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Simultaneous three-dimensional myocardial T1 and T2 mapping in one breath hold with 3D-QALAS
Sofia Kvernby\textsuperscript{1,2,*}, Marcel Jan Bertus Warntjes\textsuperscript{1,2,3}, Henrik Haraldsson\textsuperscript{1,2}, Carl-Johan Carlhäll\textsuperscript{1,2,4}, Jan Engvall\textsuperscript{1,2,4} and Tino Ebberts\textsuperscript{1,2,5}
Abstract
Background: Quantification of the longitudinal- and transverse relaxation time in the myocardium has shown to provide important information in cardiac diagnostics. Methods for cardiac relaxation time mapping generally demand a long breath hold to measure either T1 or T2 in a single 2D slice. In this paper we present and evaluate a novel method for 3D interleaved T1 and T2 mapping of the whole left ventricular myocardium within a single breath hold of 15 heartbeats.
Methods: The 3D-QALAS (3D-quantification using an interleaved Look-Locker acquisition sequence with T2 preparation pulse) is based on a 3D spoiled Turbo Field Echo sequence using inversion recovery with interleaved T2 preparation. Quantification of both T1 and T2 in a volume of 13 slices with a resolution of 2.0x2.0x6.0 mm is obtained from five measurements by using simulations of the longitudinal magnetizations $M_z$. This acquisition scheme is repeated three times to sample k-space. The method was evaluated both in-vitro (validated against Inversion Recovery and Multi Echo) and in-vivo (validated against MOLLI and Dual Echo).
Results: In-vitro, a strong relation was found between 3D-QALAS and Inversion Recovery ($R = 0.998; N = 10; p < 0.01$) and between 3D-QALAS and Multi Echo ($R = 0.996; N = 10; p < 0.01$). The 3D-QALAS method showed no dependence on e.g. heart rate in the interval of 40–120 bpm. In healthy myocardium, the mean T1 value was 1083 ± 43 ms (mean ± SD) for 3D-QALAS and 1089 ± 54 ms for MOLLI, while the mean T2 value was 50.4 ± 3.6 ms 3D-QALAS and 50.3 ± 3.5 ms for Dual Echo. No significant difference in in-vivo relaxation times was found between 3D-QALAS and MOLLI ($N = 10; p = 0.65$) respectively 3D-QALAS and Dual Echo ($N = 10; p = 0.925$) for the ten healthy volunteers.
Conclusions: The 3D-QALAS method has demonstrated good accuracy and intra-scan variability both in-vitro and in-vivo. It allows rapid acquisition and provides quantitative information of both T1 and T2 relaxation times in the same scan with full coverage of the left ventricle, enabling clinical application in a broader spectrum of cardiac disorders.
Keywords: Relaxation time, T1 mapping, T2 mapping, Three-dimensional, Myocardium, Cardiovascular magnetic resonance
* Correspondence: firstname.lastname@example.org
\textsuperscript{1}Division of Cardiovascular Medicine, Department of Medical and Health Sciences, Linköping University, Linköping, Sweden
\textsuperscript{2}Center for Medical Image Science and Visualization (CMIV), Linköping University, Linköping, Sweden
Full list of author information is available at the end of the article
© 2014 Kvernby et al.; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/4.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly credited. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated.
Background
In daily clinical practice cardiovascular magnetic resonance (CMR) settings are generally chosen to highlight intensity contrast between tissues. By varying parameters such as the echo time, repetition time and flip angle it is possible to create different contrast weighted images. The absolute intensity in contrast weighted images is defined on an arbitrary scale that differs from one examination to another. Image interpretation thus relies on comparisons with surrounding tissue. Recently it has become feasible to obtain a quantitative measurement of the signal intensity corresponding to the absolute value of the longitudinal relaxation (T1), transverse relaxation (T2) and proton density in many organs [1]. This enables numerical comparison between different tissue compositions and hence the objective detection of pathological processes by measuring the deviation from the range of normal values. Another important advantage of these quantitative images is the application of synthetic CMR, which uses the absolute parameters T1 and T2 to synthesize any T1-weighted or T2-weighted contrast image [2]. In this way conventional images can be interpreted with simultaneous access to the quantitative parameters from the same acquisition.
For cardiac applications, both quantitative T1 maps and quantitative T2 maps have been shown to provide important information. T1 maps have been successfully used to identify the area of myocardial infarction and to assess acute and chronic myocardial infarction [3]. Diffuse tissue changes such as diffuse fibrosis may be quantified non-invasively using T1 mapping where remote, normal, myocardium is not accessible for comparison [4-6]. Quantitative T2-mapping techniques have been validated in myocardial ischemia and edema [7,8] with robust results and increased accuracy in comparison with the commonly used T2-weighted images. In the assessment of edema in ischemic and non-ischemic heart disease, even native T1 mapping has provided helpful information [9]. Native T1- and T2-mapping techniques have also been validated for the determination of the area at risk after acute myocardial infarction [10]. Mapping of both relaxation parameters has potential for improving the differentiation between myocardium affected by various diseases and normal myocardium.
Various methods are available to quantify the absolute parameters T1 and T2 in the heart. Due to cardiac motion and time constraints of the cardiac cycle, several difficulties are associated with these methods. The major drawback with the existing quantitative methods is the long imaging time. An inversion recovery sequence can be used to estimate values of T1 in the heart. To allow full magnetization recovery between the radio frequency inversion pulses a relaxation period of four to five times T1 is necessary. Since T1 often has a value exceeding the duration of the cardiac cycle, the clinical applicability of the method is limited. Look and Locker described a multi point approach [11], where the relaxation curve is sampled multiple times after the initial inversion pulse, which contributes to accelerate the acquisition. The drawback with the original Look Locker (LL) -method is that it uses continuous data acquisition and not selective data acquisition in a specific time frame of the cardiac cycle. Messroghli et al. presented, a now established, modified LL inversion recovery sequence (MOLLI) [12] which uses selective data acquisition and multiple LL experiments. The MOLLI sequence acquires in its original format one single slice of the heart in 17 heartbeats, which is a limitation to its clinical use since multiple breath holds may be required to cover the myocardium. A shortened version of MOLLI has also been presented with good agreement to the original version [13], but this is still a 2D mapping method providing a single slice of the heart in one breath hold.
Three-dimensional T1-mapping methods of the heart do exist but generally suffer from long imaging time. Recently Coniglio et al. presented a 3D Inversion Recovery T1 mapping method of the heart using both ECG and respiratory triggers with accurate T1 estimates [14]. This free-breathing method was reported to take 5–8 minutes for six slices. Wartnies et al. presented a 3D single breath hold method for T1, but this approach is only appropriate at short T1 times, i.e. after administration of Gd contrast agent [15].
A multi echo sequence can be used to estimate values of T2 in the heart. Such a sequence often requires several echo time points and thus several repetitions to get a good signal to noise ratio in the T2 map and to sample enough data, which then becomes time consuming. T2 mapping methods using T2-preparation pulses exists and they appear to be robust and fast but they still only provide a single 2D slice map [16].
In this paper we present and evaluate a novel method for 3D interleaved T1 and T2 quantification of the whole left ventricular myocardium within a single breath hold of 15 heartbeats.
Method
Pulse sequence design
The sequence is based on a cardiac triggered 3D spoiled fast gradient echo sequence, Turbo Field Echo, and named 3D-QALAS (3D-QuAntification using an interleaved Look-Locker Acquisition Sequence with T2 preparation pulse). The sequence block, described in Figure 1, can be divided into two phases, one T2 sensitizing phase and one T1 sensitizing phase, with five segmented acquisitions that are run three times during a single breath hold.
The T2 sensitizing phase starts with a non slice-selective 90-degree RF pulse, followed by two 180-degree adiabatic RF refocusing pulses in a time of 50 ms. During this time
the magnetization in the xy plane decreases with the T2 relaxation time. After the last 180-degree pulse, a 90-degree RF pulse is applied to tilt the magnetization vector back to the Mz axis. The result of the T2 sensitizing phase is that T2 relaxation is encoded on the Mz axis. After the T2 sensitizing phase a 3D turbo field echo data acquisition is performed.
The T1 sensitizing phase consists of a non slice-selective 180-degree 3D adiabatic inversion pulse followed by gradient spoiling. After an inversion time of 100 ms, a second acquisition is performed. During the following T1 relaxation, three more acquisitions are performed in consecutive heartbeats.
The acquisition is hence performed once after the T2 prep pulse and four times after the T1 sensitizing inversion pulse (5 heartbeats). The acquisitions use a flip angle of 5°, a TFE-factor of 90, an echo time of 1.2 ms and a repetition time of 2.6 ms. This acquisition scheme is repeated three times to sample k-space, resulting in a breath hold of 15 heartbeats.
The number of required k-space points is reduced due to the use of elliptical k-space filling. The center of k-space is sampled first and the periphery last (low-high order). The acquisition is accelerated using a sensitivity encoding (SENSE) reduction factor of 2 in the phase encoding (y) direction and a factor of 1.2 in the slice (z) direction. To minimize artifacts from cardiac motion the acquisition window is restricted to 230 ms in end-diastole by using cardiac ECG triggering. The resolution of the 3D acquisition is 2.0 mm, 2.0 mm and 12 mm in the frequency, phase and slice direction respectively. The data was reconstructed to 2.0 mm × 2.0 mm × 6 mm, resulting in thirteen short axis slices.
**Calculation of parameters**
T1 and T2 relaxation times are calculated from the five measurements by simulations of the longitudinal magnetizations Mz. In the absence of RF pulses, during the delay time between acquisitions, the Mz relaxes with a T1 relaxation time, approaching the unsaturated magnetization M0. In Figure 1, T1 relaxation occurs during the intervals M3–M0, M6–M0, M7–M0, M0–M10, M11–M12 and M13–M1. During this period each magnetization Mn+1 can be calculated from a previous magnetization Mn with a time interval Δt according to:
\[
M_{n+1} = M_0 - (M_0 - M_n) \cdot e^{-\frac{\Delta t}{T_1}}
\]
(1)
During acquisition, the observed T1 relaxation is altered in an effective T1* relaxation time by the RF pulses with a flip angle α and subsequent spoiling, repeated each repetition time Tr. In Figure 1 T1* relaxation occurs during the intervals M2–M3, M5–M7, M4–M0, M10–M11 and M12–M13. The longitudinal magnetization approaches a saturated magnetization M0* which can be described by:
\[
\frac{T_{1^*}}{T_1} = \frac{M_0^*}{M_0} = \frac{1 - e^{-\frac{T_R}{T_1}}}{1 - \cos(\alpha) \cdot e^{-\frac{T_R}{T_1}}}
\]
(2)
Again each magnetization Mn+1 can be calculated from a previous magnetization Mn with a time interval Δt, but now according to:
\[
M_{n+1} = M_0^* - (M_0^* - M_n) \cdot e^{-\frac{\Delta t}{T_{1^*}}}
\]
(3)
During the T1-sensitizing phase the longitudinal magnetization Mz is inverted. During the T2-sensitizing phase the longitudinal magnetization Mz is decreased by a factor \(e^{-\frac{T_{T2prep}}{T_2}}\), where TE\(_{T2prep}\) is the time difference between the tip-down 90 degree RF pulse in x-direction and the tip-up 90 degree RF pulse in the –x-direction. The total acquisition results in 5 measured signals for each voxel, proportional to the magnetization M2, M6, M8, M10 and M12 in Figure 1.
The T1 and M0 values are found per voxel by using equation 1–3 in an iterative method by minimizing the
squared difference between the expected magnetization $M_2$ and the five signal data points. The T2 relaxation time is calculated using the extrapolated magnetizations just prior to the T2-sensitizing phase, $M_1$, and just after the T2-sensitizing phase, $M_2$, according to:
$$T_2 = \frac{T_{E_{T2prep}}}{\ln(M_1/M_2)} \quad (4)$$
Generation of the T1 and T2 maps was implemented on a standalone version of SyMRI® (SyntheticMR, Sweden) and required less than 10 seconds on a standard PC.
**Validation**
The MR pulse sequence was implemented on a Philips Ingenia 3T MR system (Philips Healthcare, Best, the Netherlands) and was evaluated by phantom studies as well as in-vivo comparison with other approaches.
**Phantom studies**
Test phantoms were manufactured with different concentrations of agarose (3–5% agarose in sterile water), doped with different amounts of gadolinium-Gadovist ([Gd] = 0.02–0.1 mM) each phantom thus representing specific relaxation times with $T1 \sim 200–1800$ ms and $T2 \sim 35–170$ ms. Phantoms were randomly distributed in a plastic container holding water at room temperature. A physiology simulator for artificial heart triggering was used and initially set to a heart rate of 60 beats per minute.
A series of 3D-QALAS scans were performed by intentionally varying some parameters that might affect the quantification, with the aim to investigate the robustness of the sequence. The simulated heart rate was varied from 40–120 bpm, the range previously recommended for cardiac relaxation times mapping [17], and the flip angle during acquisition, $\alpha$, was varied from 4 – 8 degrees. Cardiac arrhythmias simulating atrial fibrillation or variations in the length of the cardiac cycle were deliberately applied to investigate its effect on the relaxation times measurements. Gaussian noise distributions with three different widths were used to change the length of the cardiac cycle in order to simulate fibrillation. Phantom measurements with simulated arrhythmia were repeated twenty times so that applied noise would occur randomly over the measurement.
Reference values of T1 were established by using a standard inversion recovery turbo spin-echo sequence, with inversion times (TI) varying from 100–5000 ms and a TR of 10000 ms. Reference values of T2 were established by using a standard multi echo turbo spin-echo sequence, with echo times (TE) varying from 10 ms to 200 ms by increments of 10 ms and a TR of 3000 ms.
**In vivo studies**
Ten healthy volunteers with no history of cardiovascular disease underwent three 3D-QALAS scans, in the same session, in order to investigate the intra-scan variability of the method. The left ventricular images were viewed in short axis orientation. For comparison, three repeated conventional T1 and T2 measurements were performed in a mid ventricular 2D short axis slice. For T1 a 3–3–5 MOLLI [12] acquisition was performed and for T2 comparison a dual echo GraSE sequence was used, both with a resolution of $2.0 \times 2.0 \times 10.0$ mm.
Ethics approval was granted and all subjects gave written informed consent. Details regarding the subjects are presented in Table 1.
Mean values and standard deviation of relaxation times for each individual were calculated from three repeated image acquisitions. In each examination, four regions of interests were defined (septal, anterior, lateral and posterior) in a mid cavity short axis slice. Mean values and standard deviations of relaxation times were also calculated for the separate myocardial regions, as an average of the ten subjects. For analysis of the T1 and T2 maps a standalone version of SyMRI® (Synthetic MR, Sweden) was used.
The 3D-QALAS sequence was also validated pre and post contrast in a 65 year old male with a myocardial infarction in the inferolateral region of the left ventricle. For comparison, late gadolinium enhancement imaging was acquired.
**Results**
**Phantom studies**
The relation between 3D-QALAS and Inversion Recovery for T1 respectively Multi Echo for T2 was investigated using Pearson correlation coefficient. There was a strong relation between 3D-QALAS and Inversion Recovery ($R = 0.998; N = 10; p<0.01$) and between 3D-QALAS and Multi Echo ($R = 0.996; N = 10; p<0.01$) for relaxation times.
| Sex | Age (years) | Height (cm) | Weight (kg) | Heart rate (bpm) |
|---------|-------------|-------------|-------------|------------------|
| Volunteer 1 | Male | 25 | 179 | 69 | 68 |
| Volunteer 2 | Male | 31 | 193 | 85 | 49 |
| Volunteer 3 | Male | 27 | 190 | 100 | 73 |
| Volunteer 4 | Male | 48 | 182 | 77 | 50 |
| Volunteer 5 | Female | 39 | 178 | 62 | 62 |
| Volunteer 6 | Male | 46 | 183 | 85 | 61 |
| Volunteer 7 | Male | 33 | 180 | 90 | 54 |
| Volunteer 8 | Male | 30 | 188 | 82 | 59 |
| Volunteer 9 | Male | 27 | 182 | 74 | 64 |
| Volunteer 10 | Male | 29 | 181 | 65 | 86 |
in phantoms. Bland-Altman plots, in Figures 2 and 3, show the distribution of 3D-QALAS and Inversion Recovery respectively Multi Echo in phantoms. Average difference between the measurements was $-15.3$ ms for T1 and $3.8$ ms for T2. The 2SD range was $60.3$ ms for T1 and $7.5$ ms for T2.
The relationship between relaxation time measurement with 3D-QALAS and the corresponding reference values for different heart rates can be seen in Figure 4 for T1 and in Figure 5 for T2. The effect on T1 and T2 measurements when using different radio frequency flip angles during data acquisition, $\alpha$, is shown in Figures 6 and 7.
Noise was deliberately applied to the cardiac cycle length of the phantoms to simulate arrhythmia. The results of twenty repeated measurements for each noise level (5% noise, 10% noise and 15% noise) are shown in Figure 8 for T1 measurements and in Figure 9 for T2 measurements. Mean deviation from a steady cardiac cycle length of 60 bpm was at a noise level of 5%: $2.3\%$ for T1 and $-3.32\%$ for T2, at a noise level of 10%: $-1.33\%$ for T1 and $-0.04\%$ for T2 and at a noise level of 15%: $-22.1\%$ for T1 and $-8.01\%$ for T2.
**In vivo study**
Left ventricular myocardial relaxation times were successfully measured in-vivo using 3D-QALAS, MOLLI, and the dual echo GraSE sequence in all 10 healthy volunteers. The thirteen short axis slices of the left ventricular myocardium obtained with 3D-QALAS did not contain any noticeable artifacts or other imperfections, as demonstrated in Figure 10.
Left ventricular myocardial relaxation times, measured in-vivo with 3D-QALAS, were compared with their respective reference method and a good agreement was found, see Table 2. The mean value of T1 in healthy myocardium by 3D-QALAS was $1083 \pm 43$ ms (mean ± SD) and by MOLLI $1089 \pm 54$ ms. The mean value of
Figure 4 Heart rate dependency in T1 measurement with 3D-QALAS. Relationship between longitudinal relaxation time measurements with 3D-QALAS and the corresponding reference values measured with Inversion Recovery for different heart rates (40–120 bpm).
Figure 5 Heart rate dependency in T2 measurements with 3D-QALAS. Relationship between transverse relaxation time measurements with 3D-QALAS and the corresponding reference values measured with Multi Echo for different heart rates (40–120 bpm).
T2 in healthy myocardium by 3D-QALAS was 50.4 ± 3.6 ms and by Dual Echo 50.3 ± 3.5 ms. Relaxation times were determined in healthy volunteers and derived from regions of interest such as the four regions of the short axis left ventricle that can be seen in Table 2. Values are based on three image acquisitions for each healthy volunteer. No significant difference in relaxation times was found between the different myocardial regions.
Bland-Altman plots, Figures 11 and 12, show the distribution of 3D-QALAS and corresponding reference methods in ten healthy volunteer. Average difference between the measurements was −5.8 ms for T1 and 0.1 ms
Figure 6 Effect on T1 measurement using different radio frequency flip angles, $\alpha$, during acquisition. Measured longitudinal relaxation time (T1) with 3D-QALAS for different radio frequency flip angles, $\alpha$, during data acquisition and corresponding reference values measured with Inversion Recovery. Radio frequency flip angles are varied from 4 degrees to 8 degrees.
Figure 7 Effect on T2 measurement using different radio frequency flip angles, $\alpha$, during acquisition. Measured transverse relaxation time (T2) with 3D-QALAS for different radio frequency flip angles, $\alpha$, during data acquisition and corresponding reference values measured with Multi Echo. Radio frequency flip angles are varied from 4 degrees to 8 degrees.
Figure 8 Effect of deliberately applied arrhythmias on phantom T1 measurements. Gaussian noise distributions with three different widths (5%, 10% and 15%) were used to change the length of the cardiac cycle, initially 60 beats per minute (bpm), in order to simulate atrial fibrillation. Deviation in percentage from measurements with 60 bpm and 0% noise can be seen as a function of T1 values measured with 3D-QALAS at a heart rate of 60 bpm with 0% noise.
Figure 9 Effect of deliberately applied arrhythmias on phantom T2 measurements. Gaussian noise distributions with three different widths (5%, 10% and 15%) were used to change the length of the cardiac cycle, initially 60 beats per minute (bpm), in order to simulate atrial fibrillation. Deviation in percentage from measurements with 60 bpm and 0% noise can be seen as a function of T2 values measured with 3D-QALAS at a heart rate of 60 bpm with 0% noise.
for T2. The 2SD range was 78.9 ms for T1 and 5.5 ms for T2.
Results of individual myocardial relaxation times for the ten healthy volunteers investigated with 3D-QALAS and the corresponding in-vivo reference methods are shown in Figure 13 for T1 and in Figure 14 for T2. A two-tailed unpaired Student T-test was used to calculate whether the differences between population means were significant. No significant difference in relaxation times was found between 3D-QALAS and MOLLI (N = 10; p = 0.65) respectively 3D-QALAS and Dual Echo (N = 10; p = 0.925). Pre and post contrast 3D-QALAS maps together with a conventional late gadolinium enhancement image from a patient with a myocardial infarction can be seen in Figure 15.
**Discussion**
In order to make myocardial relaxation time mapping more clinically applicable in a daily routine, improvements in speed and coverage with maintained accuracy and precision are desirable. In this work we have developed a fast and accurate method providing simultaneous acquisition of T1 maps and T2 maps with coverage of the entire left ventricular myocardium in a single breath hold.
Relaxation time measurements with 3D-QALAS in phantoms showed highly accurate results over a large range of T1 and T2 values, covering both expected contrast enhanced and native conditions of myocardial tissue. The method appeared to be robust for changes in flip angle, heart rate, and arrhythmia during the measurement.
**Table 2 Myocardial relaxation times derived from regions of interest in healthy volunteers**
| Cases | Region | 3D-QALAS T1 | MOLLI | 3D-QALAS T2 | T2-DE |
|-----------|----------|-------------|----------|-------------|----------|
| | | T1 (ms) | T1 (ms) | T2 (ms) | T2 (ms) |
| 10 Healthy| Septal | 1111 ± 46 | 1096 ± 62| 51.1 ± 4.2 | 51.5 ± 4.4|
| | Anterior | 1066 ± 35 | 1071 ± 53| 49.3 ± 3.3 | 49.7 ± 3.0|
| | Lateral | 1072 ± 46 | 1088 ± 43| 50.2 ± 3.2 | 50.0 ± 3.3|
| | Posterior| 1084 ± 32 | 1103 ± 54| 50.9 ± 3.8 | 50.0 ± 3.0|
| | **Averages** | **1083 ± 43** | **1089 ± 54** | **50.4 ± 3.6** | **50.3 ± 3.5** |
Mean values and standard deviations of myocardial relaxation times from ten healthy volunteers assessed in four regions within a short axis slice with 3D-QALAS, MOLLI and Dual Echo GraSE EPI.
Performing relaxation time mapping in a whole 3D volume instead of in a 2D slice is followed by the requirement to collect larger quantity of k-space data in one breath hold. To fulfill this criterion without increasing the total acquisition time, i.e. the length of the breath hold, implies that there can only be a limited number of data points acquired. For the T1 curve only 4 points were measured, resulting in a dynamic range for 3D-QALAS that lies at least in the range 200–1800 ms for T1 as shown in the phantom study. Especially for the low T1 values it was important to use the simulated magnetization evolution for the analysis, rather than an exponential fit. In this analysis a perfect inversion pulse is assumed, which essentially adds a data point to the measurement: the magnetization right after the inversion pulse must be equal to minus the extrapolated magnetization just prior to the inversion pulse. This assumption makes the analysis more stable compared to the exponential fit as for example is used in the MOLLI analysis. Furthermore the 3D-QALAS method needs an acquisition read out time that is slightly longer < 230 ms, together with a larger slice thickness, 12 mm, than existing 2D relaxation time mapping methods [12,13,18] to be able to sample the larger quantity of data required to cover the whole 3D volume and to maintain good in-plane spatial resolution with a high image quality.
The dynamic range of T1 in 3D-QALAS can also be related to that of saturation recovery and inversion recovery based T1-mapped methods. In 3D-QALAS the magnetization just prior to the inversion pulse is not fully relaxed since it is placed at only one cardiac cycle after the T2 preparation pulse. The magnetization is therefore more likely to be in the interval 0.5 – 1.0 times the unsaturated magnetization and hence in the interval −0.5 – −1.0 after the inversion. This places the dynamic range of T1 of 3D-QALAS somewhere between saturation recovery and inversion recovery based T1-mapping methods.
The results also showed that the T2 measurements of 3D-QALAS were valid in the range of at least 35 – 170
ms. The expected dynamic range for T2 can be estimated by setting requirements on the signal intensity of the exponential decay curve during the T2 sensitizing phase. The upper limit of T2 can be defined by requiring that the signal intensity should at least have decreased to 90% at the end of the measurement (corresponding to $e^{-\frac{TE}{T2}} = 0.9$). The lower limit of T2 can be defined by requiring that the signal intensity should at most have decreased to 10% (corresponding to $e^{-\frac{TE}{T2}} = 0.1$) at the end of the measurement, such that the signal does not disappear in the noise level. Using these requirements, in combination with the chosen TE = 50 ms, the expected dynamic range of T2 values in our experiment becomes [22–47/5] ms, which is larger than the evaluated range.
The gradient echo sequence used for quantification could either be low flip-angle spoiled gradient echo, as suggested for 3D-QALAS, or high flip-angle balanced SSFP, as common in the MOLLI approach. As off-resonance effects may be challenging in 3D application...
with bSSFP, a low-flip angle approach is chosen in 3D-QALAS. The penalty of using spoiled gradient echo is the intrinsically lower signal strength compared to bSSFP. The penalty in SNR by choosing a low flip-angle spoiled gradient echo should however be weighted against the benefits of using a true 3D acquisition, including a full coverage of the heart, and less tissue moving in and out of the excited volume.
Quantification methods can be sensitive to inhomogeneity in the radio frequency field strength (B1), which would affect the actual local flip angle. This makes the flip angle dependency of quantification techniques relevant. The results shows that the 3D-QALAS sequence was insensitive to RF flip angles changes in the range of 4° - 8°, which can be interpreted as the relaxation time calculation is relatively insensitive to changes in the B1 field.
Heart rate dependency has proven to be a challenge for myocardial T1 mapping methods, especially at long longitudinal relaxation times [19]. We did not see such dependence within the tested range of heart rate with the method proposed in this work, either for T1 measurements or for T2 measurements, as can be seen in Figures 4 and 5. This may be a result of the use of a simulation of the full magnetization evolution during the acquisition, which included saturation effects due to long T1 relaxation times in comparison to one heartbeat. This seems to be a more robust approach than using the assumption that the magnetization has returned to M0 after a certain delay time. In theory, the dynamic range might be affected by heart hate. The dynamic range becomes eventually slightly lower at higher heart rates than for lower heart rates since the recovery of the magnetization vector is less when the total acquisition time is shorter. This assumed loss of dynamic range was not evident in the volunteer with the highest heart rate, 86 beats/min. The proposed method is robust to small random changes in cardiac cycle lengths, as was
done in phantoms to simulate cardiac arrhythmia. Gaussian noise distributions applied to the length of the cardiac cycle of 5% and 10% has a minor effect on the quantification of relaxation times. The error seen at an applied noise level of 15% deviation from a steady cardiac cycle length is most probably related to the exclusion of extremely short cardiac cycles. Cardiac cycles longer than the set value on the scanner usually pose no problem for the data acquisition to be completed within the expected cardiac cycle length, other than motion artifacts if the data acquisition does not occur at the right moment in the cardiac cycle. However, cardiac cycles much shorter than the set value will result in incomplete data and the need to complete the acquisition in the next cardiac cycle. This will thus introduce a fault in the calculation of relaxation times. To overcome this problem, a higher heart rate than the actual mean heart rate can be set on the scanner.
Left ventricular myocardial relaxation times with 3D-QALAS were compared with a 3-3-5 MOLLI for T1 measurement, a dual echo GraSE sequence for T2 measurement and consistent results were found between 3D-QALAS and the corresponding reference method. In-vivo relaxation time measurements with 3D-QALAS were in accordance with previously published results for both T1 and T2 [13,20]. Reference values for healthy myocardial tissue seem to differ between manufacturers and between different quantification methods. According to a recently published study [21], several T1-mapping methods suffer from poor absolute accuracy and reference values from different relaxation time mapping methods might thus be difficult to compare with each other. Native T1 values at 3T from inversion recovery based T1 mapping methods have shown a spread from < 900 ms to > 1300 ms in healthy volunteers [22,23].
We have evaluated the accuracy and intra-scan variability of 3D-QALAS using phantom studies and in-vivo studies on healthy volunteers. The results are promising, but further evaluation post-contrast and in cardiac disease is necessary before assessment of extracellular volume or application of the method in larger clinical studies. One patient with myocardial infarction is however included in the study to demonstrate the method at short T1, post-contrast.
The presented original version of 3D-QALAS provides 13 slices of the left ventricular volume within a breath hold of 15 heartbeats. The sequence can be modified to a shortened version, in which k-space is covered in two segments instead of three segments as in the original version. We have successfully tested a version covering eight slices within a breath hold of 10 heartbeats, still giving the same resolution as the original version but thus with less ventricular coverage. This modified version enables use of this method in patients having difficulty holding their breath and gives the possibility of full coverage of left ventricular volume in two breath holds.
3D-QALAS enables relaxation time mapping of both T1 and T2 in a 3D volume in a single breath hold. Moreover, the T1 and T2 maps are inherently co-registered, avoiding post-processing registration errors. It is reasonable to believe that quantitative information from both these parameters facilitates better differentiation between myocardium affected by e.g. edema, fibrosis, storage diseases and normal myocardium.
Conclusions
The 3D-QALAS principle has demonstrated good accuracy and intra-scan-variability both in-vitro and in-vivo. It allows a rapid acquisition and provides quantitative information of both T1 and T2 relaxation times in the same scan with full coverage of the left ventricle, enabling the method to be clinically applicable to a broader spectrum of cardiac disorders.
Competing interests
MW has a part time employment at SyntheticMR AB, Sweden.
Authors’ contributions
SK contributed in the concept and implementation of the method, designed the study, performed the experiments, in-vitro and in-vivo, analyzed the results, performed the statistical analysis and drafted the manuscript. MW provided the concept and implementation of the method and contributed in the experiments. HH contributed to the concept of the method. JE, CJC and TE contributed to the study design and to the concept of the method. All authors have revised the manuscript and approved the final version.
Acknowledgement
This research was partly funded by the Swedish Heart and Lung Foundation, the Swedish Research Council, the County Council of Östergötland, and the European Research Council.
Author details
1Division of Cardiovascular Medicine, Department of Medical and Health Sciences, Linköping University, Linköping, Sweden. 2Center for Medical Image Science and Visualization (CMIV), Linköping University, Linköping, Sweden. 3SyntheticMR AB, Linköping, Sweden. 4Department of Clinical Physiology, County Council of Östergötland, Linköping, Sweden. 5Division of Media and Information Technology, Department of Science and Technology, Linköping University, Linköping, Sweden.
Received: 27 February 2014 Accepted: 21 November 2014 Published online: 20 December 2014
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2. Riederer S, Lee J, Fazehani F, Wang H, Wright R. Magnetic resonance image synthesis, clinical implementation. *Acta Radiol Suppl*. 1986; 360:66.
3. Westenberg JJ, van Rossum AC, van der Wall EE, Reiber JHC, Roos CM, Sivananthan MU. Myocardial T1 mapping: application to patients with acute and chronic myocardial infarction. *Magn Reson Med*. 2007; 58:34–40.
4. Iles L, Pillige H, Phommarinh A, Cherayath J, Akrit P, Gupta SN, Kaye DM, Taylor AI. Evaluation of diffuse myocardial fibrosis in heart failure with cardiac magnetic resonance contrast-enhanced T1 mapping. *Am Coll Cardiol*. 2012; 59:74–80.
5. Sparrow P, Metzgerghl DR, Reid S, Ridgway JP, Bainbridge G, Sivananthan MU. Myocardial T1 mapping for detection of left ventricular myocardial fibrosis in chronic aortic regurgitation: pilot study. *Am J Roentgenol*. 2006; 187(6):W630–5.
6. Flett AS, Hayward MP, Ashworth MT, Hansen MS, Taylor AM, Elliott PM, McGreavey S, Moon KC: Equilibrium contrast cardiovascular magnetic resonance for the measurement of diffuse myocardial fibrosis: preliminary validation in humans. *J Cardiovasc Magn Reson*. 2013, 15:49.
7. Verhaart D, Thavendiranathan P, Giri A, Mirza G, Rajagopalan S, Simonetti OP, Raman SV: Direct T2 quantification of myocardial edema in acute ischemic injury. *JACC Cardiovasc Imaging*. 2011, 4:269–78.
8. Giri S, Chung Y-C, Merchant A, Mirza G, Rajagopalan S, Raman S, Simonetti O: T2 quantification for improved detection of myocardial edema. *J Cardiovasc Magn Reson*. 2012, 14:10.
9. Ferreira WM, Piechnik SK, Dall’Armerina E, Karamitsos TD, Francis JM, Choudhury RP, Friedrich MG, Robson MD, Neubauer S: Non-contrast T1-mapping detects acute myocardial edema with high diagnostic accuracy: a comparison to T2-weighted cardiovascular magnetic resonance. *J Cardiovasc Magn Reson*. 2012, 14:10.
10. Ugander M, Bagi PS, Oki AJ, Chen B, Hsu LY-T, Aletras AH, Shah S, Greiser A, Kellman P, Arai AE: Myocardial edema as detected by pre-contrast T1 and T2 CMR delineates area at risk associated with acute myocardial infarction. *JACC Cardiovasc Imaging*. 2012, 5:596–603.
11. Look A: The use of the saved time measurement of NMR and EPR relaxation times. *Rev Sci Instrum*. 1970, 41:520–518.
12. Messroghli DR, Radjenovic A, Kozierke S, Higgins DM, Sivananthan MU, Ridgway JP: Modified look-locker inversion recovery (MOLLI) for high-resolution T1 mapping of the heart. *Magn Reson Med*. 2004, 52:141–46.
13. Piechnik SK, Ferreira WM, Dall’Armerina LE, Greiser A, Neubauer S, Robson MD: Shortened Modified Look-Locker Inversion recovery (SMOLLI) for clinical myocardial T1-mapping at 1.5 and 3 T within a 9 heartbeat breathhold. *J Cardiovasc Magn Reson*. 2010, 12:65.
14. Coniglio A, Di Renzo P, Vlches Frekas G, Della Longa G, Santarelli A, Cappabianca R, Nardiello B, Louidice C, Bianchi S, D’Arienzo M, Begnazzi L: Multiple 3D gradient echo reconstruction for volume T1 mapping of the heart. *Magn Reson Med*. 2011, 66:16–24.
15. Warnitsch MJ, Kihlberg J, Enqvist J: Rapid T1 quantification based on 3D phase sensitive inversion recovery. *BMC Med Imaging*. 2010, 10:19.
16. Kellman P, Aletras AH, Martin C, Moeglin ER, Arai AE: T2-prepared SSFP improves diagnostic confidence in imaging infarct in acute myocardial infarction using a single turbo spin echo. *Magn Reson Med*. 2003, 57:959–97.
17. Moon JC, Messroghli DR, Kellman P, Piechnik SK, Robson MD, Ugander M, Gatehouse PD, Arai AE, Friedrich MG, Neubauer S: Myocardial T1 mapping and extracellular volume quantification: a Society for Cardiovascular Magnetic Resonance (SCMR) and CMR working group of the european society of cardiology consensus statement. *J Cardiovasc Magn Reson*. 2013, 15:212.
18. Huang TY, Liu Y-J, Stemmer A, Poncelet BP: T2 measurement of the human myocardium using a T2-prepared transient-state trueFISP sequence. *Magn Reson Med*. 2007, 57:960–66.
19. Messroghli DR, Kellman P, Arai AE, Sivananthan MU, Higgins DM, Ridgway JP, Walters S: Human myocardium: single-breath-hold MR T1 mapping with high spatial resolution - reproducibility study. *Radiology*. 2006, 238:1004–12.
20. von Knobelsdorff-Brenkenhoff F, Prothmann M, Dieringer M, Wassmuth R, Greiser A, Schwenke C, Niendorf T, Schulz-Menger J: Myocardial T1 and T2 mapping at 3 T: reference values, influencing factors and implications. *J Cardiovasc Magn Reson*. 2010, 12:153.
21. Kellman P, Hansen MS: T1-mapping in the heart: accuracy and precision. *J Cardiovasc Magn Reson*. 2014, 16:2.
22. Dabir D, Rogers T, Voigt T, Schaefter T, Nagel E, Schmittmann VO: Age-gender reference values of native myocardial T1, T2, 1.5 T and 3T: comparison of MOLLI and HMOLLI sequences. *J Magn Reson*. 2013, 234:10–16.
23. Leung S, Naidi MS, Uppaluri M, Han J, Kawai N, Sibley CT, Kellman P, Ara AE, Bluemke DA: Myocardial T1 and extracellular volume fraction mapping at 3 Tesla. *J Cardiovasc Magn Reson*. 2011, 13:75.
doi:10.1186/1532-429X-16-102
Cite this article as: Kvernby et al.: Simultaneous three-dimensional myocardial T1 and T2 mapping in one breath hold with 3D-QALAS. *Journal of Cardiovascular Magnetic Resonance* 2014 16:102. |
In Reply Refer To: February 11, 2020
Consultation Code: 05E1NY00-2019-SLI-1706
Event Code: 05E1NY00-2020-E-04927
Project Name: Trelina Solar Energy Center Project
Subject: Updated list of threatened and endangered species that may occur in your proposed project location, and/or may be affected by your proposed project
To Whom It May Concern:
The enclosed species list identifies threatened, endangered, proposed and candidate species, as well as proposed and final designated critical habitat, that may occur within the boundary of your proposed project and/or may be affected by your proposed project. The species list fulfills the requirements of the U.S. Fish and Wildlife Service (Service) under section 7(c) of the Endangered Species Act (ESA) of 1973, as amended (16 U.S.C. 1531 et seq.). This list can also be used to determine whether listed species may be present for projects without federal agency involvement. New information based on updated surveys, changes in the abundance and distribution of species, changed habitat conditions, or other factors could change this list.
Please feel free to contact us if you need more current information or assistance regarding the potential impacts to federally proposed, listed, and candidate species and federally designated and proposed critical habitat. Please note that under 50 CFR 402.12(e) of the regulations implementing section 7 of the ESA, the accuracy of this species list should be verified after 90 days. This verification can be completed formally or informally as desired. The Service recommends that verification be completed by visiting the ECOS-IPaC site at regular intervals during project planning and implementation for updates to species lists and information. An updated list may be requested through the ECOS-IPaC system by completing the same process used to receive the enclosed list. If listed, proposed, or candidate species were identified as potentially occurring in the project area, coordination with our office is encouraged. Information on the steps involved with assessing potential impacts from projects can be found at: http://www.fws.gov/northeast/nyfo/es/section7.htm
Please be aware that bald and golden eagles are protected under the Bald and Golden Eagle Protection Act (16 U.S.C. 668 et seq.), and projects affecting these species may require development of an eagle conservation plan (http://www.fws.gov/windenergy/)
Additionally, wind energy projects should follow the Services wind energy guidelines (http://www.fws.gov/windenergy/) for minimizing impacts to migratory birds and bats.
Guidance for minimizing impacts to migratory birds for projects including communications towers (e.g., cellular, digital television, radio, and emergency broadcast) can be found at: http://www.fws.gov/migratorybirds/CurrentBirdIssues/Hazards/towers/towers.htm; http://www.towerkill.com; and http://www.fws.gov/migratorybirds/CurrentBirdIssues/Hazards/towers/comtow.html.
We appreciate your concern for threatened and endangered species. The Service encourages Federal agencies to include conservation of threatened and endangered species into their project planning to further the purposes of the ESA. Please include the Consultation Tracking Number in the header of this letter with any request for consultation or correspondence about your project that you submit to our office.
Attachment(s):
- Official Species List
Official Species List
This list is provided pursuant to Section 7 of the Endangered Species Act, and fulfills the requirement for Federal agencies to "request of the Secretary of the Interior information whether any species which is listed or proposed to be listed may be present in the area of a proposed action".
This species list is provided by:
New York Ecological Services Field Office
3817 Luker Road
Cortland, NY 13045-9385
(607) 753-9334
Project Summary
Consultation Code: 05E1NY00-2019-SLI-1706
Event Code: 05E1NY00-2020-E-04927
Project Name: Trelina Solar Energy Center Project
Project Type: POWER GENERATION
Project Description: Trelina Solar Energy Center, LLC, is proposing to build and operate the Trelina Solar Energy Center Project in the Town of Waterloo, Seneca County, New York. It will be located on land leased or purchased from owners of private property. Proposed components include commercial-scale solar arrays, access roads, buried (and possibly overhead) electric collection lines, and electrical interconnection facilities.
Project Location:
Approximate location of the project can be viewed in Google Maps: https://www.google.com/maps/place/42.89285561500006N76.95440338908196W
Counties: Seneca, NY
Endangered Species Act Species
There is a total of 0 threatened, endangered, or candidate species on this species list.
Species on this list should be considered in an effects analysis for your project and could include species that exist in another geographic area. For example, certain fish may appear on the species list because a project could affect downstream species.
IPaC does not display listed species or critical habitats under the sole jurisdiction of NOAA Fisheries\(^1\), as USFWS does not have the authority to speak on behalf of NOAA and the Department of Commerce.
See the "Critical habitats" section below for those critical habitats that lie wholly or partially within your project area under this office's jurisdiction. Please contact the designated FWS office if you have questions.
---
1. NOAA Fisheries, also known as the National Marine Fisheries Service (NMFS), is an office of the National Oceanic and Atmospheric Administration within the Department of Commerce.
Critical habitats
THERE ARE NO CRITICAL HABITATS WITHIN YOUR PROJECT AREA UNDER THIS OFFICE'S JURISDICTION.
We have received your request for information regarding occurrences of federally-listed threatened and endangered species within the vicinity of the above-referenced project/property. In an effort to streamline project reviews, species lists may now be obtained from our website at http://www.fws.gov/northeast/nyfo/es/section7.htm. Please go to this site and follow the instructions to obtain: an official list request response; information about listed, proposed, and candidate species; and steps to complete initial assessments of whether a species may be present and impacted by a proposed action. Please note that this process involves two parts: (1) visiting the U.S. Fish and Wildlife Service’s iPaC website to obtain an official species list; and (2) returning to the New York Field Office’s website to complete the remaining steps in determining your project’s potential impacts.
As a reminder, Section 9 of the Endangered Species Act (ESA) (87 Stat. 884, as amended; 16 U.S.C. 1531 et seq.) prohibits unauthorized taking* of listed species and applies to federal and non-federal activities. Additionally, threatened and endangered species and their habitats are protected by Section 7(a)(2) of the ESA, which requires federal agencies, in consultation with the Service, to ensure that any action they authorize, fund, or carry out is not likely to jeopardize the continued existence of listed species or result in the destruction or adverse modification of designated critical habitat. An assessment of the potential direct, indirect, and cumulative impacts is required for all federal actions that may affect listed species.
For projects not authorized, funded, or carried out by a federal agency, we provide technical assistance to individuals and other non-federal entities to assist with project planning to avoid the potential for “take,” or when appropriate, to provide assistance with their application for an incidental take permit pursuant to Section 10(a)(1)(B) of the ESA.
Project construction or implementation should not commence until all requirements of the ESA have been fulfilled. If you have any questions or require further assistance regarding threatened or endangered species, please contact the Endangered Species Program at (607) 753-9334. Please refer to the above document control number in any future correspondence.
*Under the ESA and regulations, it is illegal for any person subject to the jurisdiction of the United States to take (includes harass, harm, pursue, hunt, shoot, wound, kill, trap, capture, or collect; or to attempt any of these), import or export, ship in interstate or foreign commerce in the course of commercial activity, or sell or offer for sale in interstate or foreign commerce any endangered fish or wildlife species and most threatened fish and wildlife species. It is also illegal to possess, sell, deliver, carry, transport, or ship any such wildlife that has been taken illegally. “Harm” includes any act which actually kills or injures fish or wildlife, and case law has clarified that such acts may include significant habitat modification or degradation that significantly impairs essential behavioral patterns of fish or wildlife.
February 27, 2020
Noelle Rayman-Metcalf
Endangered Species Biologist
U.S. Fish and Wildlife Service
New York Field Office
2817 Luker Road
Cortland, NY 13045
Subject: Trelina Solar Energy Center
Bog Turtle Consultation
USFWS Consultation Code – 05E1NY00-2019-SLI-1706
Dear Ms. Rayman-Metcalf:
TRC Companies, Inc. (TRC) is conducting natural resource surveys to comply with Federal and State regulations for the proposed Trelina Solar Energy Center (Project) on behalf of Trelina Solar Energy Center, LLC (Trelina Solar Energy Center). These surveys include wetland and watercourse delineations, invasive species surveys, and threatened and endangered species surveys.
As part of this effort, TRC has requested Official Species Lists from the Information for Planning and Conservation (IPaC) online portal, the most recent request occurring during February 2020. Earlier IPaC consultations during April and October 2018 listed bog turtle as possibly occurring within the Project boundary; however, the most recent species list indicates no species occurring at the Project. It is our understanding that the IPaC system has been undergoing refinement and we presume that the absence of bog turtle in the February 2020 Species List represents the most current and specific status of federal records at this Project.
Based on this, we request concurrence form your office that no further studies related to bog turtle are necessary for this Project. We will continue to consult IPaC every 90 days per the guidance noted in the Official Species Lists and we will contact your office to discuss further if a future list includes this species.
If you have any questions or concerns, please feel free to contact me at (518) 469-8843 or at firstname.lastname@example.org.
Respectfully,
[Signature]
Jason Dickey
Senior Project Manager
Cc: William Boer (NextEra), Nancy Vlahos (TRC)
Enclosure: Attachment a: USFWS – IPaC – February 11, 2020
Hi! Yes, that is correct. No need to address bog turtle now for this project as we have refined our predictive habitat model that is within iPaC. And no other federal species have been identified either, so no need to submit this project for our review.
--
Noelle L. Rayman-Metcalf
Endangered Species Biologist
U.S. Fish and Wildlife Service
New York Field Office
3817 Luker Rd.
Cortland, NY 13045
607-753-9334
email@example.com
http://www.fws.gov/northeast/nyfo
From: Jones, Nate W. <firstname.lastname@example.org>
Sent: Monday, March 2, 2020 7:45 AM
To: Rayman, Noelle <email@example.com>
Cc: Dickey, Jason <firstname.lastname@example.org>; email@example.com <firstname.lastname@example.org>
Subject: [EXTERNAL] NextEra - Trelina - Bog Turtle
Noelle,
Please see attached as a follow-up to our recent phone discussion concerning bog turtle presence, or lack thereof, at the proposed Trelina Solar Energy Center in the Town of Waterloo, NY. Monday (3/2) is my final day at TRC as I move forward to new challenges, and so I ask that you please direct your response and/or any questions you may have to TRC’s Project Manager, Jason Dickey. His contact information is included in the attached letter.
Thank you,
Nate
Nathan W.R. Jones, PWS
Project Manager / USFWS Qualified Bog Turtle Surveyor
Jason – see below and attached from NYSDEC regarding our request for T&E documentation near Trelina.
Bill Boer
NextEra Energy Resources, LLC
862.296.3463 mobile
From: Denoncour, Brianna M (DEC) <email@example.com>
Sent: Tuesday, January 14, 2020 4:15 PM
To: Boer, William <firstname.lastname@example.org>
Cc: Bonilla, Mary Anne (DEC) <email@example.com>; Cady-Poulin, Kristen K (DEC) <firstname.lastname@example.org>; Boxold, David <email@example.com>
Subject: Trelina T&E info--Confidential
CAUTION - EXTERNAL EMAIL
Hi Bill,
Below is some listed and sensitive species information covered by the Trelina solar NDA.
The coordinates for the bald eagle nest within the Trelina project area are:
REDACTED
There are 2 other eagle nests near the project, one a little over 2 miles south of the project, and one a little over 5 miles to the northwest of the project. Those coordinates are copied below:
REDACTED
Attached are shapefiles based on data from the Natural Heritage Program showing occupied habitat for wintering short-eared owl, wintering northern harrier, breeding Indiana bat, bog turtle, and coal skink.
Seneca Lake is mapped as a Waterfowl Winter Concentration Area, however no shapefile is being provided for the lake as the boundaries are easily defined by the shoreline. The northeastern portion of the lake, from the northern shoreline to about 1.5 miles south, is a mapped occurrence for lake sturgeon. No shapefile for this occurrence either.
The area within the mapped bog turtle habitat also includes locations of Iowa darter and several listed and tracked plant species and natural communities: shrubby St. John’s Wort, Sartwell’s sedge, Ohio goldenrod, New England northern reed grass, low nut sedge, brown bog sedge, marsh arrow grass, sweet coltsfoot, meromictic lake, shallow emergent marsh, rich shrub fen, red maple-tamarack peat swamp, rich graminoid fen, marl fen, marl pond, and marl pond shore.
I have only limited details regarding the most recent info on listed species breeding, wintering or habitat data within or nearby the project area. The Geneva Fields (western area of NOHA and SEOW habitat) were last surveyed 3/18/18, with one NOHA and five SEOW documented. I’m not sure if winter raptor surveys are being done at that site this winter, and regional staff may have additional information on these or other listed species in the area.
DEC does not have any records of hibernacula for listed bat species within 5 miles of the project area. Indiana bat summer occupied habitat is located just over 2 miles from the project.
I do not have any comprehensive data regarding the location of other solar projects. Please check with DEC’s Division of Environmental Permits in Albany.
Let me know if you have any questions,
Thank you,
Brianna
IMPORTANT NOTICE: This e-mail, including any attachments, may be confidential, privileged, deliberative, FOIL-expempt or otherwise legally protected. It is intended only for the addressee. If you received this e-mail in error or from someone who was not authorized to send it to you, do not disseminate, copy or otherwise use this e-mail or its attachments. Please notify the sender immediately by reply e-mail and delete the e-mail from your system.
May 17, 2019
NY Natural Heritage Program-Information Services
Attn: Andrea Chaloux, Environmental Review Specialist
NYSDEC
625 Broadway, 5th Floor
Albany, NY 12233-4757
Sent online via firstname.lastname@example.org
Re: Trelina Solar Energy Center Project, Town of Waterloo, Seneca County, New York Project Review Request
Dear Ms. Chaloux:
Trelina Solar Energy Center, LLC (Trelina Solar Energy Center), proposes to construct the Trelina Solar Energy Center Project (Project) in the Town of Waterloo, Seneca County, New York (Figure 1). The proposed Project will consist of an approximately 80 megawatt (MW) solar energy center located on land leased or purchased from owners of private property (Figure 1). Proposed components include commercial-scale solar arrays, access roads, buried (and possibly overhead) electric collection lines, and electrical interconnection facilities. The final solar array specification, as well as locations of arrays, will be finalized as part of micro-siting efforts.
Trelina Solar Energy Center is preparing an application to the NYS Board on Electric Generation Siting and the Environment in pursuit of a Certificate of Environmental Compatibility and Public Need to construct the Project under Article 10 of the Public Service Law (PSL). To support this application, we request a review and confirmation of the latest NY Natural Heritage Program Information Service records for the presence of rare or state-listed plants or animals, significant natural communities, or other significant habitats in the vicinity of the Project.
If you have any questions regarding this request, please contact me at TRC by calling (518) 469-8843 or via email at email@example.com.
Sincerely,
Jason Dickey
Senior Project Manager
cc: William Boer, NextEra
Enclosures: Figure 1. Location Map
Regional Project Location
Trelina Energy Center
Town of Waterloo,
Seneca County, New York
FIGURE 1
Mr. Metivier,
Trelina Solar Energy Center, LLC is proposing to construct the Trelina Solar Energy Center (Project), an approximately 79.5- to 80-megawatt solar generating facility in the Town of Waterloo, Seneca County, New York. An application is expected to be filed this spring to the NYS Board on Electric Generation Siting and the Environment in pursuit of a Certificate of Environmental Compatibility and Public Need to construct the Project under Article 10 of the Public Service Law.
TRC Companies, Inc. (TRC), representing Trelina Energy Center, LLC, requests a wetland boundary verification from the USACE to confirm the boundaries of wetlands and waterbodies delineated by TRC wetlands scientists during summer 2019. Attached are GIS shapefiles of TRC’s delineated boundaries. You will also be receiving in a separate email an invitation to access and download our full delineation report from TRC’s Ad-hoc FTP platform. File size precludes us from attaching the report directly to email.
Note that a similar request for wetland boundary verification was submitted to Scott Jones, Wildlife Biologist for Region 8 of the NYS Department of Environmental Conservation on March 8th, 2020. If feasible, we would like to co-schedule a site visit with the assigned USACE reviewer and Mr. Jones. We will also be inviting the NYS Department of Agriculture and Markets and the NYS Department of Public Service to participate as well. If possible for your team, we would like to schedule this site visit as a two-day effort during the first or second week in May, provided that non-essential work is allowed to resume at that time.
Thank you for your consideration and please don’t hesitate to contact me at 518-469-8843 or firstname.lastname@example.org if you have any questions about this request or have any issues accessing our supplied information.
Sincerely,
R. Jason Dickey
Senior Project Manager
CONFIDENTIALITY NOTICE: This communication and any accompanying document(s) are confidential and privileged. They are intended for the sole use of the addressee. If you receive this transmission in error, you are advised that any disclosure, copying, distribution, or the taking of any action in reliance upon the communication is strictly prohibited. If you received this message in error, please immediately notify me by replying to this message or by telephone at (816) 853-0634 and then delete the message. Thank you.
Hi Maggie - hope all is well with you and your family.
Just a quick FYI to expect a group email to you, DEC (Region 8), DPS and NYSDAM for scheduling a 2-day site verification visit at this Project site – hopefully in May. This is non-essential work and so it would have to wait until at least May 16, barring no further extensions.
I fear that we’re all going to be completely slammed once the world stops ending and so I’m hopeful that I can pin everyone down for one of the first weeks after the pause is lifted. Note that even when lifted, TRC staff will continue following responsible guidance for field operations, which for us will mean facemasks, observing social distances, and frequent sanitization.
I look forward to working with you on this. Thank you
R. Jason Dickey
Senior Project Manager
CONFIDENTIALITY NOTICE: This communication and any accompanying document(s) are confidential and privileged. They are intended for the sole use of the addressee. If you receive this transmission in error, you are advised that any disclosure, copying, distribution, or the taking of any action in reliance upon the communication is strictly prohibited. If you received this message in error, please immediately notify me by replying to this message or by telephone at (816) 853-0634 and then delete the message. Thank you.
Please consider the environment before printing this email.
-----Original Message-----
From: Metivier, Steven V CIV USARMY CELRB (US) <email@example.com>
Sent: Monday, April 13, 2020 10:31 AM
To: Dickey, Jason <firstname.lastname@example.org>
Cc: William Boer (Guest) <email@example.com>; Crawford, Margaret A CIV USARMY CELRB (USA) <firstname.lastname@example.org>
Subject: RE: [EXTERNAL] RE: Trelina Solar Energy Center | Wetland/Waterbody Verification Request (UNCLASSIFIED)
This is an EXTERNAL email. Do not click links or open attachments unless you validate the sender and know the content is safe.
Jason,
I've assigned the subject verification request to Margaret Crawford. Our processing number is 2020-00524. Ms. Crawford may be reached at 716-879-6331.
v/r,
Steve
-----Original Message-----
From: Dickey, Jason [mailto:email@example.com]
Sent: Friday, April 10, 2020 10:10 AM
To: Metivier, Steven V CIV USARMY CELRB (US) <firstname.lastname@example.org>; Regulatory, LRB LRB <email@example.com>
Cc: William Boer (Guest) <firstname.lastname@example.org>
Subject: [Non-DoD Source] RE: [EXTERNAL] RE: Trelina Solar Energy Center | Wetland/Waterbody Verification Request (UNCLASSIFIED)
Steve, I received your ftp link and I have uploaded the wetland report PDF. It's a beast at 136MB (due to photos and Corps Wetland forms), but the file was successfully uploaded. Let me know if you have any issues retrieving it. Otherwise, I appreciate your prompt attention and I look forward to coordinating with the assigned reviewer once announced. Thank you and stay well!
R. Jason Dickey
Senior Project Manager
10 Maxwell Drive, Clifton Park, NY 12065 M 518.469.8843| F 518.348.1194 LinkedIn | Twitter | Blog |
TRCcompanies.com
CONFIDENTIALITY NOTICE: This communication and any accompanying document(s) are confidential and privileged. They are intended for the sole use of the addressee. If you receive this transmission in error, you are advised that any disclosure, copying, distribution, or the taking of any action in reliance upon the communication is strictly prohibited. If you received this message in error, please immediately notify me by replying to this message or by telephone at (816) 853-0634 and then delete the message. Thank you.
Please consider the environment before printing this email.
-----Original Message-----
From: Metivier, Steven V CIV USARMY CELRB (US) <email@example.com>
Sent: Thursday, April 9, 2020 8:57 AM
To: Dickey, Jason <firstname.lastname@example.org>; Regulatory, LRB LRB <email@example.com>
Cc: William Boer (Guest) <firstname.lastname@example.org>
Subject: RE: [EXTERNAL] RE: Trelina Solar Energy Center | Wetland/Waterbody Verification Request (UNCLASSIFIED)
This is an EXTERNAL email. Do not click links or open attachments unless you validate the sender and know the content is safe.
Thanks Jason.
We can accept up to about 15MB for the file. If it's larger than that, we need to have you go through DoD Safe, which is the DoD ftp site. I'll send you instructions later this morning, as I have a call in a couple of minutes.
v/r,
Steve
-----Original Message-----
From: Dickey, Jason [mailto:email@example.com]
Sent: Thursday, April 9, 2020 8:54 AM
To: Metivier, Steven V CIV USARMY CELRB (US) <firstname.lastname@example.org>; Regulatory, LRB LRB <email@example.com>
Cc: William Boer (Guest) <firstname.lastname@example.org>
Subject: [Non-DoD Source] RE: [EXTERNAL] RE: Trelina Solar Energy Center | Wetland/Waterbody Verification Request (UNCLASSIFIED)
Understood. The file size is too large to attach to email but you should have in your inbox a link to download the PDF report from our FTP platform. Please let me know if you have any issues accessing that PDF and I will work to help resolve. Thank you,
R. Jason Dickey
Senior Project Manager
10 Maxwell Drive, Clifton Park, NY 12065 M 518.469.8843| F 518.348.1194 LinkedIn | Twitter | Blog |
TRCcompanies.com
CONFIDENTIALITY NOTICE: This communication and any accompanying document(s) are confidential and privileged. They are intended for the sole use of the addressee. If you receive this transmission in error, you are advised that any disclosure, copying, distribution, or the taking of any action in reliance upon the communication is strictly prohibited. If you received this message in error, please immediately notify me by replying to this message or by telephone at (816) 853-0634 and then delete the message. Thank you.
Please consider the environment before printing this email.
-----Original Message-----
From: Metivier, Steven V CIV USARMY CELRB (US) <email@example.com>
Sent: Thursday, April 9, 2020 8:49 AM
To: Dickey, Jason <firstname.lastname@example.org>; Regulatory, LRB LRB <email@example.com>
Cc: William Boer (Guest) <firstname.lastname@example.org>
Subject: [EXTERNAL] RE: Trelina Solar Energy Center | Wetland/Waterbody Verification Request (UNCLASSIFIED)
This is an EXTERNAL email. Do not click links or open attachments unless you validate the sender and know the content is safe.
Mr. Dickey,
Thank you for the e-mail. Please submit the document in a pdf format, as we cannot readily utilize shape files.
v/r,
Steven V. Metivier
Chief, NY Application Evaluation Section US Army Corps of Engineers
1776 Niagara Street
Buffalo, NY 14207
716-879-4314
716-879-4310 (fax)
-----Original Message-----
From: Dickey, Jason [mailto:email@example.com]
Sent: Thursday, April 9, 2020 8:39 AM
To: Metivier, Steven V CIV USARMY CELRB (US) <firstname.lastname@example.org>; Regulatory, LRB LRB <email@example.com>
Cc: William Boer (Guest) <firstname.lastname@example.org>
Subject: [Non-DoD Source] Trelina Solar Energy Center | Wetland/Waterbody Verification Request
Mr. Metivier,
Trelina Solar Energy Center, LLC is proposing to construct the Trelina Solar Energy Center (Project), an approximately 79.5- to 80-megawatt solar generating facility in the Town of Waterloo, Seneca County, New York. An application is expected to be filed this spring to the NYS Board on Electric Generation Siting and the Environment in pursuit of a Certificate of Environmental Compatibility and Public Need to construct the Project under Article 10 of the Public Service Law.
TRC Companies, Inc. (TRC), representing Trelina Energy Center, LLC, requests a wetland boundary verification from the USACE to confirm the boundaries of wetlands and waterbodies delineated by TRC wetlands scientists during summer 2019. Attached are GIS shapefiles of TRC's delineated boundaries. You will also be receiving in a separate email an invitation to access and download our full delineation report from TRC's Ad-hoc FTP platform. File size precludes us from attaching the report directly to email.
Note that a similar request for wetland boundary verification was submitted to Scott Jones, Wildlife Biologist for Region 8 of the NYS Department of Environmental Conservation on March 8th, 2020. If feasible, we would like to co-schedule a site visit with the assigned USACE reviewer and Mr. Jones. We will also be inviting the NYS Department of Agriculture and Markets and the NYS Department of Public Service to participate as well. If possible for your team, we would like to
schedule this site visit as a two-day effort during the first or second week in May, provided that non-essential work is allowed to resume at that time.
Thank you for your consideration and please don’t hesitate to contact me at 518-469-8843 or email@example.com <mailto:firstname.lastname@example.org> if you have any questions about this request or have any issues accessing our supplied information.
Sincerely,
R. Jason Dickey
Senior Project Manager
CONFIDENTIALITY NOTICE: This communication and any accompanying document(s) are confidential and privileged. They are intended for the sole use of the addressee. If you receive this transmission in error, you are advised that any disclosure, copying, distribution, or the taking of any action in reliance upon the communication is strictly prohibited. If you received this message in error, please immediately notify me by replying to this message or by telephone at (816) 853-0634 and then delete the message. Thank you.
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Outline
- Lattice field theory:
- Quantum Mechanics with Path Integral (demo)
- Lattice $\phi^4$
- Scalar QED → QCD
- Monte Carlo
- Finite temperature: Y-M deconfinement transition
- Fermions:
- Continuum symmetries
- Species doubling
- Numerical simulation
- Finite temperature
- Finite chemical potential:
- Expectations
- Sign problem
- Imaginary chemical potential
Why Monte Carlo?
- To compute: \( Z = \int \prod_N dx_i \exp[-S(\{x_i\})], \quad \langle W \rangle = \frac{1}{Z} \int \prod_N dx_i W(\{x_i\}) \exp[-S(\{x_i\})] \)
i.e. [ratios of] high-dimensional integrals
- Simpson’s (trapezoidal) rule: systematic error \( O(h^3), h \sim n^{-1/d}, n \sim \text{CPU}, \) ie. error \( \sim \text{CPU}^{-3/d} \)
Also: trapezoidal rule in high-dimension? nb. points per dim. < 2?
- Stochastic method:
- unbiased estimator (systematic error = 0)
- statistical error \( \sim \frac{1}{\sqrt{\text{CPU}}} \) in any dimension \( d \)
beats Simpson’s rule when \( d > 6 \)
- How to sample \( Z = \sum_{\text{states}} \exp[-S(\text{state})] \)?
- Random sampling: Pick states with uniform probability, give them weight \( \exp(-S) \)
- Importance sampling: Pick states with probability \( \exp(-S) \), give them uniform weight
\[ Z \approx \sum_{\text{sampled states}}^{n} 1, \quad \langle W \rangle \approx \frac{1}{n} W_i \]
Monte Carlo error: $\epsilon \equiv \frac{1}{n} \sum_{i} W_i - \langle W \rangle; \quad \epsilon_i = W_i - \langle W \rangle; \quad \epsilon = \frac{1}{n} \sum_{i} \epsilon_i$
Moments of the error:
- error is unbiased: $\langle \epsilon \rangle = 0$
- $\langle \epsilon^2 \rangle = \left( \frac{1}{n} \sum_{i} \epsilon_i \right)^2 = \frac{1}{n^2} \sum_{i,j} \epsilon_i \epsilon_j = \frac{1}{n^2} \sum_{i} \epsilon_i^2 = \frac{1}{n} \left( \langle W^2 \rangle - \langle W \rangle^2 \right)$
Cf. central limit theorem:
$$\frac{1}{n} \sum_{i} W_i = \langle W \rangle + O \left( \sqrt{\frac{\langle W^2 \rangle - \langle W \rangle^2}{n}} \right)$$
Pre-history of Monte Carlo
- **Pascal** → Fermat, 1654: “Problem of Points” (cf. Chevalier de Méré, gambler)
- Pascal triangle
- **Buffon**: 1777, Buffon’ needle problem
\[ \text{Prob(intersect)} = \frac{2}{\pi} \]
(also “noodle problem”)
- **Bayes**: 1763, statistical inference
- **Laplace**: 1812, “Théorie analytique des probabilités”
- **Brown**: 1828, pollen grains on water
- **Manhattan project**: 1942-46, “neutron transport” (scattering, absorption, fission)
Games of chance are as ancient as human history, with archaeological evidence of them on prehistoric cave paintings and, later, in the birth of probability theory, as players sought to better understand the odds. In the mid-17th century, an exchange of letters between two prominent mathematicians—Blaise Pascal and Pierre de Fermat—laid the foundation for probability, thereby changing the way scientists and mathematicians viewed uncertainty and risk.
Born in 1623 in southern France, Pascal was a child prodigy largely educated by his father, Étienne, a local magistrate who was also well-connected with some of the most famous intellectuals of that era, including René Descartes and Pierre de Fermat. As a result, young Blaise was privileged to sit in on salon-style meetings of some of the greatest minds in Europe. At age 11, he won a prize in a mathematics contest of vibrating bodies; the following year, he devised his own proof that the sum of the angles of a triangle equals two right angles.
By the time he was 16, Pascal had progressed sufficiently in his mathematical studies to write a treatise on conic sections, giving rise to what we now call Pascal’s Theorem, which states that if a hexagon is inscribed in a conic section, then the three intersection points of opposite sides lie on a straight line. One reason of huge importance to scholasticism is the fact that Descartes, when shown the paper, initially did not believe the young teenager had written it.
When Pascal’s father died, King Louis XIII commissioned a tax on the family’s land. In addition to endless calculations and re-calculations, Pascal—not yet 19—invented a mechanical calculator for adding and subtracting numbers. His final work, which became known as the Pascaglio. By 1646, he had become interested in Evangelista Torricelli’s experimentation on barometers, performing definitive experiments to demonstrate the existence of a vacuum. The SI unit of pressure is the pascal, in his honor.
In 1654, a French essayist and amateur mathematician named Antoine Gombaud, who was fond of gambling, found himself pondering what is known as “Pascal’s Problem.” It was first posed in 1640 in 1494 by an Italian monk named Luca Pacioli in his treatise *Summa di Arithmetica, Geometria, Proportioni et Proportionalità*, which gave rules for, for example, six goals are needed to win the game. The question posed by Pacioli was how one should divide the winnings if the game is interrupted when one player has five goals and the other has three goals? The player with five goals should have a larger share, but how much larger should his share be?
Gombaud turned to Pascal, who had taken up gambling when his doctor prescribed it to him to strengthen his constitution for the sake of his health. In the year before, Pascal had worked out the principles of “Pascal’s Triangle,” a method for determining the binomial coefficients for a given value of \((a+b)^n\)—similar to a method devised some 400 years earlier by Chinese mathematician Yang Hui.
Intrigued, Pascal realized he would need to invent a new method of analysis to solve the puzzle, and Gombaud would need to reflect on his player’s chances of victory given that at the time the game was interrupted. Thus began his legendary correspondence with fellow mathematician Pierre de Fermat that, over the course of several weeks, laid the foundation for modern probability theory. Their respective methods involved listing all the possibilities, and then determining the proportion of time that each player would win, in order to solve it.
Fermat’s approach involved complete enumeration of the possible outcomes. For example, if the winner of a coin toss game needs to win the best of five tosses, and one player is ahead 2 to 1 when the game is interrupted, Fermat reasoned there would be 10 possible outcomes had the game continued. Three of these favor the player ahead on the entire cap, he should win three-fourths of the time. A sticking point is a counter-argument using a different scheme of counting that only finds three possible outcomes instead of ten.
Pascal’s approach sidestepped this issue by devising an algorithm for solving what is now known as induction by mathematical induction. It involves a logical cycle of playing out each possible outcome in a successive round, starting from the point where the game was interrupted. Once the end state is reached, it is then possible to work backwards through the intermediate steps and assign a number to the probability of winning for each player at the point where the game was interrupted, and the pot would be divided accordingly.
Pascal’s analysis stopped short of considering less idealized cases where the exact number of equally possible outcomes could not be listed, such as the weather, or the stock market. By the early 18th century, Jakob Bernoulli had devised the law of large numbers in an attempt to provide a formal proof that probabilities decrease as the sample size increases for problems with an infinite number of outcomes. Other developments by leading scientists and mathematicians followed, ultimately transforming economics, actuarial science, and the social sciences.
A few weeks after his first correspondence with Fermat, Pascal narrowly escaped death when his carriage nearly ran off a bridge while crossing a river during a storm. He switched his focus from math and science to philosophical and religious treatises, and renounced games of chance. He did an occasional bit of math between 1658 and 1659 and explored the cycloid and how it might be used to calculate the volume of solids, for example.
His early work on probability seeped into his philosophical works as well, most notably the famous “Pierre’s Wager,” wherein he argued that the odds favor belief in God, even though God’s existence cannot be definitively proven. Pascal died of a brain hemorrhage on August 19, 1662, just before his 39th birthday. History has yet to reveal the outcome of his wager.
Parallel histories
Theoretical
Path integral: Feynman 1948
Imaginary time: Wick 1954
Renormalization: 60's -- 70's
Asymptotic freedom: Gross & Wilczek, Politzer 1973
Lattice gauge theory: Wilson 1974
Simulations
Manhattan project: 1942-1946
Von Neumann, Ulam, Metropolis, Fermi
Fermiac (dedicated MC analog computer): 1947
(Eniac, Maniac, Illiac,...)
First Monte Carlo symposium: 1949 (pub. 1951)
Metropolis algorithm: 1953
Lattice Monte Carlo study of $SU(2)$: Creutz 1980
Hybrid Monte Carlo (quarks): Duane et al. 1987
Nowadays: collaboration LQCD $\leftrightarrow$ industry (IBM/Columbia U.; Fujitsu/JLQCD)
Stanislaw Ulam with FERMIAC
THE FERMIAC
The Monte Carlo Trolley, or FERMIAC, was invented by Enrico Fermi and constructed by Percy King. The drums on the trolley were set according to the material being traversed, and a random choice between fast and slow neutrons. Another random digit was used to determine the direction of motion, and a third was selected to give the distance to the next collision. The trolley was then operated by moving it across a two-dimensional scale drawing of the nuclear device or reactor assembly being studied. The trolley drew a path as it rolled, stopping for changes in drum settings when the material boundary was crossed. This Intel computer was used for about two years to determine, among other things, the change in neutron population with time in numerous types of nuclear systems.
Construct Markov chain:
At each Monte Carlo step, Prob(next state) depends on current state only (not on past history)
Take finite Hilbert space (size $N$) for simplicity
After Monte Carlo step $k$, Prob(state $i$, $i = 1..N$) forms vector $v^k = \begin{pmatrix} v_1^k = \text{Prob(state 1)} \\ v_2^k = \text{Prob(state 2)} \\ \vdots \end{pmatrix}$
$v^{k+1}$ is obtained from $v^k$ by application of Markov matrix $M$: $M_{ij} \equiv \text{Prob(state } i \rightarrow \text{state } j)$
$$v_i^{k+1} = \sum_j v_j^k \text{ Prob(state } j \rightarrow \text{state } i) \implies v^{k+1} = M^T v^k$$
Properties of [non-symmetric] Markov matrix: $M_{ij} \geq 0$
$$\sum_j M_{ij} = 1 \quad \forall i \quad (\text{from } i, \text{ one always goes somewhere}) \implies \text{eigenvalues } |\lambda| \leq 1 \quad \text{(Frobenius)}$$
$$M \begin{pmatrix} 1 \\ 1 \\ \vdots \end{pmatrix} = \begin{pmatrix} 1 \\ 1 \\ \vdots \end{pmatrix} \implies M \text{ has at least one eigenvalue } \lambda = 1$$
Convergence of Markov chain
- $M$ has at least one eigenvalue $\lambda = 1 \Rightarrow$ Every Markov chain has a stationary probability distribution.
i.e. $\exists v^\infty$ such that $M^T v^\infty = v^\infty : \forall i, \sum_j \text{Prob(state } j \rightarrow \text{ state } i) \ v_j^\infty = v_i^\infty$ “balance eq.”
- $v^{k+1} = M^T v^k$ is contracting map for eigenmodes with $|\lambda| < 1$
IF $\lambda = 1$ is the only magnitude-1 eigenvalue, THEN $v^k \xrightarrow{k \to \infty} v^\infty$ such that $M^T v^\infty = v^\infty$
- Necessary and sufficient conditions:
- ergodicity (well-known): $\forall i, j, \exists k$ such that $(M^k)_{ij} > 0$
No two states are unreachable from each other
- regularity (not well-known): $\exists k$ such that $\forall i, j, (M^k)_{ij} > 0$ (example)
- Rate of convergence to stationary distribution $v^\infty$: second largest eigenvalue $\lambda_1$ of $M$
Damping of associated eigenmode after $k$ steps: $\lambda_1^k = \exp(k \log \lambda_1) = \exp(-k/\tau_{\text{exp}})$
$\tau_{\text{exp}} = -1/\log \lambda_1$ is “exponential autocorrelation time” (cf. thermalization time)
Detailed balance and Metropolis algorithm
- In practice, $v^\infty$ is given (Boltzmann weight). How to design Markov matrix $M$?
Sufficient condition: “detailed balance”, ie. $\forall i, j$, $\frac{M_{ij}}{M_{ji}} = \frac{v_j^\infty}{v_i^\infty}$
- Detailed balance $\implies$ balance (+ assume ergodicity & regularity)
$$\frac{M_{ij}}{M_{ji}} = \frac{v_j^\infty}{v_i^\infty} \Rightarrow M_{ij} v_i^\infty = M_{ji} v_j^\infty \Rightarrow \sum_i M_{ji}^T v_i^\infty = (\sum_i M_{ji}) v_j^\infty$$
- Metropolis algorithm satisfies detailed balance:
$$M_{ij} = \text{Prob(candidate } j|i) \times \underbrace{\text{Prob(accept } j)}_{\min(1, v_j^\infty / v_i^\infty)}$$
$$M_{ji} = \text{Prob(candidate } i|j) \times \underbrace{\text{Prob(accept } i)}_{\min(1, v_i^\infty / v_j^\infty)}$$
$\Rightarrow \frac{M_{ij}}{M_{ji}} = 1 \times \frac{v_j^\infty}{v_i^\infty}$
- Normalization $1/Z$ of $v^\infty$ not needed
- With $j = T_{\text{rand}} \circ i$, $i = T_{\text{rand}}^{-1} \circ j$, need $\text{Prob}(T_{\text{rand}}) = \text{Prob}(T_{\text{rand}}^{-1})$
Example: 3 states; \( V^\infty = \begin{pmatrix} 1/6 \\ 1/3 \\ 1/2 \end{pmatrix} \)
Detailed balance \( \rightarrow P = \begin{pmatrix} 1 - 2a - 3b & 2a & 3b \\ a & 1 - a - \frac{3}{2}c & \frac{3}{2}c \\ b & c & 1 - b - c \end{pmatrix} \)
eg. \( a = 0.1, b = c = 0.01 \rightarrow \lambda_1 = 0.96035, \tau_{exp} = -\frac{1}{\ln \lambda_1} = 24.72 \)
Observables:
\[ W_1 \equiv \delta(x, 3) \quad (\langle W_1 \rangle = \frac{1}{2}) \]
\[ W_2 \equiv 3\delta(x, 1) - \delta(x, 3) \quad (\langle W_2 \rangle = 0) \]
\[ C(t) \equiv \langle W(s) \ W(s + t) \rangle_s - \langle W \rangle^2 \]
Normalized: \( \rho(t) \equiv \frac{C(t)}{C(0)} \) in \([-1, +1]\)
\[ \rho(t) \sim \exp(-t/\tau_{exp}) \]
Integrated autocorrelation time $\tau_{int}(W)$:
time necessary between $\sim$ independent measurements
- Definition: $\tau_{int} \equiv \frac{1}{2} + \sum_{t=1}^{\infty} \rho(t)$ -- depends on observable
- If $\rho(t) \approx e^{-t/\tau}$, then $\int_0^{\infty} dt \ \rho(t) = \tau = \tau_{int} = \tau_{exp}$
- Typically, $\rho(t)$ decreases quickly at small $t$, and has long noisy tail
$\rightarrow$ truncate $\sum_{t=1}^{\infty}$: $\tau_{int} \sim \frac{1}{2} + \sum_{t=1}^{M} \rho(t)$, self-consistency: $M > 3\tau_{int}$
$W_1 \equiv \delta(x,3)$ ($\langle W_1 \rangle = \frac{1}{2}$);
$W_2 \equiv 3\delta(x,1) - \delta(x,3)$ ($\langle W_2 \rangle = 0$)
Example: 3 states; \( V^\infty = \begin{pmatrix} 1/6 \\ 1/3 \\ 1/2 \end{pmatrix} \)
Detailed balance \( \rightarrow P = \begin{pmatrix} 1 - 2a - 3b & 2a & 3b \\ a & 1 - a - \frac{3}{2}c & \frac{3}{2}c \\ b & c & 1 - b - c \end{pmatrix} \)
eg. \( a = 0.1, b = c = 0.01 \rightarrow \lambda_1 = 0.96035, \tau_{exp} = -\frac{1}{\ln \lambda_1} = 24.72 \)
Increase hopping prob. \( a, b, c \) to decrease \( \tau_{exp,int} \)
Limiting case: \( a = 0, b = 1/3, c = 2/3 \rightarrow P = \begin{pmatrix} 0 & 0 & 1 \\ 0 & 0 & 1 \\ 1/3 & 2/3 & 0 \end{pmatrix} \)
Lose convergence: still ergodic but not regular
\( (s \text{ even} \rightarrow (P^s)_{13} = 0; s \text{ odd} \rightarrow (P^s)_{11} = 0), \quad \text{Eigenvalues } \{1, -1, 0\} \)
Local updates: Metropolis and alternatives
- Monte Carlo program: perform many “sweeps”
- Each sweep: loop over all degrees of freedom (e.g., $\phi(x)$, $U_\mu(x)$) and update one at a time
- Measure observables after fixed number of sweeps
- Update algorithms (can/should mix for better decorrelation):
- **Metropolis** (can perform several “hits” on each d.o.f.)
- **Heatbath**: $\text{Prob}(i \rightarrow j) = v_j^\infty$
- Old state $i$ is forgotten $\rightarrow$ better decorrelation (cf. Metropolis with $n_{\text{hits}} = \infty$)
- Feasible for simple distributions $v_i^\infty$ only: Gaussian, exponential, uniform, ...
- **Over-relaxation**:
- Metropolis with deterministic $j = T \circ i$, $T^2 = 1$ (i.e., reflection)
- Excellent when feasible ($v_i^\infty$ almost Gaussian)
- Consider the possibility of subgroup update (esp. $SU(2) \subset SU(3)$)
Outline
- Lattice field theory:
- Quantum Mechanics with Path Integral (demo)
- Lattice $\phi^4$
- Scalar QED → QCD
- Monte Carlo
- Finite temperature: Y-M deconfinement transition
- Fermions:
- Continuum symmetries
- Species doubling
- Numerical simulation
- Finite temperature
- Finite chemical potential:
- Expectations
- Sign problem
- Imaginary chemical potential
Finite temperature: the Columbia plot
Projection of \((m_u = m_d, m_s, T)\) phase diagram of QCD
Finite temperature: pure gauge $SU(3)$
- Physical expectations:
- At low $T$ quarks are confined. Excitations are color-singlet bound-states of quarks and gluons.
- At high $T$ typical scattering energy is $\sim T$. By asymptotic freedom, $g(T) \to 0$ as $T \to \infty$.
Expect qualitative change ("deconfinement") at high enough $T$.
- Recall thermal boundary conditions:
- Euclidean time is compact: $\tau \in [0, \beta = 1/T]$.
- Bosonic fields are periodic: $\phi(x, \beta) = \phi(x, 0)$.
$\Rightarrow$ New closed loop: Polyakov loop (Wilson line)
$$L(x) \equiv \prod_{\tau=1,N_\tau} U_4(x,\tau) = \exp(ig \int_0^\beta d\tau A_0(x,\tau))$$
$\text{Tr} L(x)$ is gauge-invariant (and independent of starting $T$).
Physical meaning: $L(x)$ is worldline of static color charge (cf. quark).
Order parameter for confinement
- Compare system containing charge-anticharge with empty system:
\[
\frac{Z_{q\bar{q}}}{Z_0} = \exp \left( -\frac{1}{T} F_{q\bar{q}}(R) \right)
\]
- Express ratio as expectation value:
\[
\exp \left( -\frac{1}{T} F_{q\bar{q}}(R) \right) = \frac{\int \mathcal{D}U \ TrL(0) \ TrL(R)^\dagger \ \exp(-S_{YM}(U))}{\int \mathcal{D}U \ \exp(-S_{YM}(U))}
\]
\[
= \langle \text{Tr}L(0) \ \text{Tr}^*L(R) \rangle_{Z_0} \xrightarrow{R \to \infty} |\langle \text{Tr}L \rangle|^2
\]
\[
\begin{cases}
\bullet & \text{If } \langle \text{Tr}L \rangle = 0, \text{ then } F_{q\bar{q}}(R) \xrightarrow{R \to \infty} +\infty, \text{ ie. confinement} \\
\bullet & \text{If } \langle \text{Tr}L \rangle \neq 0, \text{ then } F_{q\bar{q}}(R) \xrightarrow{R \to \infty} \text{ finite, ie. deconfinement}
\end{cases}
\]
\(\langle \text{Tr}L \rangle\) is Order Parameter for confinement in Yang-Mills
Deconfinement transition
- When $T = 0$, $\langle \text{Tr} L \rangle = 0$ (confinement).
When $T \to \infty$, $g(T) \to 0 \Rightarrow |\langle \text{Tr} L \rangle| \to 1$ (free theory)
Plausible: $\exists T_c$ such that $|\langle \text{Tr} L \rangle|_{T<T_c} = 0, |\langle \text{Tr} L \rangle|_{T>T_c} > 0$, i.e. deconfinement transition
- Phase transition is found:
- second-order ($\xi$ infinite) for $SU(2)$ Yang-Mills
- first-order ($\xi$ finite) for $SU(N), N > 2$
- Hand-waving explanation: entropy mismatch at $T_c \rightarrow$ first-order
- low $T$: spectrum consists of $O(N^0)$ color singlet glueballs
- high $T$: spectrum consists of $(N^2 - 1)$ gluons
Is the phase transition associated with spontaneous symmetry breaking?
Center symmetry
- Consider “center transformation” (“large gauge transformation” in continuum):
\[
U_4(x, \tau_0) \rightarrow \exp \left( i \frac{2\pi}{N} k \right) U_4(x, \tau_0) \quad \forall x; \quad \tau_0 \text{ fixed}
\]
- space-like plaquettes unaffected
- time-like plaquettes at \( \tau = \tau_0 \) multiplied by \( z_k \times z_k^\dagger = 1 \) (\( z_k \) commutes with all links)
Action \( S_L = \beta \sum_{\square} \frac{1}{N} \text{ReTr} \square \) invariant
- But Polyakov loop rotated: \( L(x) \rightarrow z_k L(x) \forall x, \) ie. \( \langle \text{Tr}L \rangle \rightarrow z_k \langle \text{Tr}L \rangle \)
- Center symmetry realized \( \implies \langle \text{Tr}L \rangle = 0, \) ie. confinement
- Center symmetry spontaneously broken \( \implies \langle \text{Tr}L \rangle \neq 0, \) ie. deconfinement
Note: “inverse” symmetry breaking, ie. at high temperature (YM: less disorder at high \( T \))
Svetitsky-Yaffe conjecture: any gauge group, in \((d+1)\) dimensions
- Suppose transition is second-order (\(\xi \to \infty\)):
- Long-range physics dominated by fluctuations of order parameter \( \text{Tr} L \)
- If effective Hamiltonian for \( \text{Tr} L \) is short-range, then only symmetry group and dimension matter
**Universality class is that of dim-\(d\) \(Z_N\)-symmetric scalar field theory**
- Consequences: IF second-order transition, THEN
\[
SU(2) \sim 3d \text{ Ising} \quad \text{True}
\]
\[
SU(3) \sim 3d \ Z_3 ?? \quad \text{no known such universality class} \quad \rightarrow \text{first-order?} \quad \text{True}
\]
\[
Sp(2) \sim 3d \text{ Ising} ? \quad \text{NO: first-order} \quad \text{hep-lat/0312022}
\]
Svetitsky-Yaffe does **NOT** predict the order of the phase transition
$SU(3)$ Yang-Mills deconfinement transition is first-order
Allowed domain in complex plane for $\text{Tr}L$, $L \in SU(3)$
Distribution of $\text{Tr}L$ in complex plane at $T_c$
Upper right corner of Columbia plot: first-order
- $SU(3)$ Yang-Mills → first-order
- $T_c \approx 270$ MeV
- First-order transition robust against small changes of parameters (latent heat does not vanish instantly)
Effects of fermions? |
THE MAKING OF THE ENGLISH LANDSCAPE
This title, alone, will alert many readers to the subject of this note, for it appeared on the spine of W G Hoskins' most celebrated popular work, which has brought a whole generation closer to landscape understanding.
In an atmosphere of celebration uncommon in academic circles, the Department of Continuing Education at the University of Oxford recently presented a day school on 'W.G.Hoskins and the English Landscape'. It brought together many former students and colleagues from Oxford and Leicester as well as an audience which reflected Hoskins' influence in local history, landscape studies and far beyond.
Joan Thirsk chaired the day with great skill, and established the undercurrent of reappraisal when she stressed how important it was to know who were the instigators of landscape change - a theme underplayed in Hoskins' work.
The contributions fell under two major headings, those focusing on Hoskins' work and development and those drawing on his major themes and these were used to introduce more recent studies in local history and cognate fields.
Charles Phythian-Adams of the Local History Department at Leicester University made it clear that 'landscape was but a part of a wider approach to the past' which focused on a search for local culture and for the home-made civilization of rural England. Notebooks from Hoskins' early period at Leicester suggest the strong influence of Lewis Mumford, especially with regard to the contemporary transition from 'qualitative civilizations' aimed at perfection, to 'quantitative civilizations' devoted to power. David Hey's paper on the place origins and localism of family names was a solid reminder of the human stories behind landscape change and not surprisingly provided the focus for most of the closing discussion.
Roy Millward, Leicester geographer and editor of the county series which sprang from Hoskins' classic, added much detail to Hoskins' period at Leicester, revealing archive background to the twenty-nine publications on the county which appeared between 1935 and 1958. He described an academic world, now lost, where the college principal (F L Attenborough) became Hoskins' companion and photographer, where Extra-Mural courses provided the vehicle for field exploration, and radio and publishers were eager to support the growth in landscape understanding.
Hoskins' approach to landscape study, whilst achieving primacy through his adept bridging of academic and popular circles, was very much of its time - a period of post-war re-birth, of valuing survival, and re-stating national identity. It was also firmly grounded in documentary research:
"For my own part (wrote Hoskins) I am not much interested in surface impressions. The three visible dimensions of a building or a landscape are not enough; they may entrance for the moment but they make no abiding impression on the mind. One needs the fourth dimension of time to give depth to the scene; one wants to know as much as possible about the past life of a place, about its human associations, and to feel the long continuity of human life on that spot before it can make its full impression on the mind." (in Preface: Midland England, Batsford, 1949)
A most instructive insight into Hoskins' garnering of skills was provided by Michael Havinden who has reviewed the exchange of letters between Hoskins and the acoustic architect Hope Bagenal, a partnership which lasted from 1947-1976, and one which introduced Hoskins to building technology and the reading of buildings.
Michael Laithwaite, who as a graduate student, had been charged by Hoskins to examine the building history of Totnes, is still at the task. He
exemplified the development of a methodology which links painstaking documentation to the American insurance lawyer's zeal for buildings revealed through damage or alteration.
Hoskins' strategy for the analysis of local landscapes was best illustrated by Trevor Rowley, drawing on material from his unpublished Herefordshire contribution to the county series. But as Rowley showed so clearly, aerial photography has added immeasurably to our recognition of what Hoskins was probably the first to term "the landscape palimpsest" (in the preface cited above). With regard to the topography of towns, a present but secondary theme in Hoskins' work, David Palliser also showed how the techniques of urban, largely rescue archaeology had developed our understanding over the past thirty years.
Fortunately there was room for some critical reappraisal of Hoskins' contribution. This came more forcefully from Christopher Taylor of the Royal Commission on Historical Monuments. Whilst citing Hoskins' pioneer role in presenting the totality of landscape he suggested that Hoskins was a 'terrible fieldworker'. Noting the 1948 gathering near Leicester which initiated 'lost village' studies, Taylor said that the site chosen by Hoskins for the inauguration shows scant evidence of any such village. He acknowledged, however, that analytical fieldwork as now practised owed its impetus to Hoskins and others of his generation.
Drawing his examples from St James Park, Hampton Court and Windsor, John Steane showed the significance of the Crown in shaping a landscape which Hoskins had, perhaps too often, credited to the common man. This paper, together with 'The concluding reappraisal of Hoskins' identification of 'The Great Rebuilding' by Malcolm Airs suggested the diversity of approaches which have built from his work.
Landscape research has developed from forked roots to several original stems. Hoskins was described as being concerned with the totality of landscape and the great generaliser. Since his first major impact on historical and geographical research and more public visions of landscape through to the 1970's, it is inevitable that a generation of students has probed deeper and, in passing, sub-divided the field still further. Whether in doing so they have lost touch with Hoskins' vision of the landscape as a manuscript to be enjoyed is an open question.
What is clear, is that Hoskins' approach to the historic landscape influenced a very wide range of observers and interpreters engaged in the preparation of guides, waymarked walks, visitor centres and the hardware of interpretation. Unlike those who preceded, and succeeded him, Hoskins developed a questioning and attractive method of looking at the commonplace which is now embedded in education and in the way which many choose to use their leisure.
If as is to be hoped, this day course is repeated, it would be profitable to draw on a wider range of professionals who have developed their own paths from Hoskins work and who have taken account of his influential attitudes and questioned them further.
Brian Goodey
Professor of Urban Landscape Design
Oxford Polytechnic
RIGHT PROFILE PLEASE
The journal Landscape (Issue 31/2) has put out an invitation to its readers for photographs of 'The Back of Things' and as preface to comments on the wider subject of the less well known I reproduce extracts from their request, it goes: "readers of Landscape know from experience that our themes essentially are the ordinary unspecial run of the neighbourhood aspects of the landscape. We contend that the unglamorous parts of the human scene are more revealing, more interesting even than the flashy and unusual parts....The editors have been thinking about a feature for the future (or is it a future for the feature - Ed) entitled something like 'The back of things'. We invite you the reader to send us photos of the unnoticed parts of common or uncommon sights. Requirements......"
They are looking for photographs of scenes that invade the stereotype and provide stimulus and brain food because they are not run of the mill - I use the older expression. Yet if I were to put before an editor 100 photo proofs he would I am sure narrow that down to those artistic, those in accepted conformations - in short, a short list of cliches which he knows he can publish without extensive caption, explanation or apology.
Let me go one further step albeit sideways and look at the landscapes with which we tend to be concerned. Page after page of the photographs in this issue's listings are those one would expect to find. Yet in my very extensive travels through Britain since I put together issue No 10 I have been exposed to mile upon mile of hundrunity - among which I number the unphotogenic industrial farmsteads now everywhere across the countryside, the prosaic urban edges and edge growth of most medium sized towns (one look at the date style and usage of the buildings and one can guess the distance from the town centre); the repetitive images of the motorway and monotonously repeated suburbs.
These are places that do not photograph well. They may lack any concentrated expression and produce satisfactory images only on video sequences. To capture their sense in a single photograph would require some skill; it might be hard to focus all the sense of place (or unplace) into one photograph for publication. To convey their effect one would need to show them in their endlessly repeating ordinariness. But we should have no doubt that these all are landscapes and I wonder if we pay them enough attention? In my travels I view them in passing while other people live and work in them. How do our perceptions differ?
As if to experience this ordinariness I have perched patronisingly and briefly at a small town in Leicestershire, one deserted by the shoe trade and much abandoned by hosiery. The deserted boot factory I work in is now busy with high tech mapping. It seems a spiritless town of dependent people, but I explore, converse and try to love it. It is not like south London, Reading or Savile Row, even less like downtown Beirut or Moretonhampstead where I live or any other urban environment I ever worked in.
Ironically my work there is to supervise the mapping of the urban fabric of London seen from the air, 1600 square kilometres of semi detached suburbs, terraces, turn of the century high streets, profoundly redeveloped slums (what larks!) along with an infinity of low schools and their predictable playing fields, better residential areas and their affiliate golf courses, triangular business parks and modern distribution centres (I will not call them warehouses). My remote view filters out the softer traces of humanity and leaves me the hard residues left in evidence of successive generations of builders and planners. Though my view may be remote it is still of landscape and offers a most commanding perspective against which the offerings of a thousand landscape journals seem as petty anecdotes struggling to explain the urban condition.
So, I ask, could I send Landscape an airphoto and claim that it shows the 'backs of things'. Well anyway, a more considered report will no doubt follow.....this subject begins to interest me.
Meanwhile.......
MAKING A MIDDLE LANDSCAPE by Peter Rowe is reviewed in Landscape Journal 11/2. Thomas Harvey begins his review "In the literature on the 20th century American suburb the built environment has received less than its share of balanced presentation and assessment. [This book] is a step towards correction; a richly illustrated analysis of post 1920 suburban morphology". And who, I ask, will look at England. If you can suggest relevant papers or texts we will print them as references in the next issue
Bud Young
Airphoto interpreter
NEW GUIDANCE ON LANDSCAPE ASSESSMENT
This request came to me several months ago and is now too late for effective action. LRG members may however wish to be aware of the work they refer to.
"Cobham Resource Consultants (CRC) has been appointed by the Countryside Commission to prepare new guidance on landscape assessment.
The guidance will replace CCD 18 "Landscape Assessment: A Countryside Commission Approach". It will clarify the principles and role of landscape assessment, establish a common terminology, and make recommendations on landscape assessment methods. The guidance will be published by the Commission in 1993 as an advisory document for practitioners."
CRC would like to hear from consultants, planning authorities and others with recent experience of landscape assessment. Of particular interest are worked examples which could be included in the report (acknowledgement will be given)".
You may still wish to write to Julie Martin, Cobham Resource Consultants, Avalon House, Marcham Road, Abingdon, Oxon, OX14 3UG though her original mid November date has come and gone.
SLATE QUARRYING
Welsh engineering, environmental and landscape consultants Richards, Moorehead & Laing have been commissioned by the Department of the Environment to produce a report on the future of sites used by Britain's slate industry.
The department's Minerals Division wants the 18 month project to produce guidance for central and local government on the rehabilitation of current and historic slate quarries and tips. The report will also consider the environmental aspects of using slate wastes as secondary aggregates.
A SYMBOLIC AUSTRALIAN LANDSCAPE
This abstract is taken from Landscape Journal 11/2 and is of a paper by Ken Taylor accompanied by some stunning landscape paintings from National collections. One in particular Nullarbor Edge by Basil Hadley (1974) caught the eye as also The Purple Noon's Transparent Might by Arthur Streeton 1896.
"Images or visions of the Australian landscape have been integral to the forging of a national consciousness since 1788 when the British began the settlement of Australia. A recurring theme in Australian literature and landscape painting centers on relationships between people and the landscape. In landscape painting this theme has been both a dominant movement and a tradition. The fascination with the concept and meaning of the term bush has become part of an Australian preoccupation with national identity and purpose. This essay examines the Australian traditions of the rural vernacular, the bush, and attitudes towards landscape as seen historically by Australians with a predominantly British Anglo Saxon cultural background, and shows how a deep attachment to an Australian sense of place has developed as a result"
Would it in the same way be possible to develop a strong sense of place and a deep attachment to it in the drearier parts of England or France. Has Britain rejected its drearier landscapes? Are such landscapes ever the subject of landscape painting? - your views please.
WET TROPICAL LANDSCAPES ASSESSED
Tony Prineas and Paul Allen demonstrate a working method for the mapping of scenic quality in Queensland's wet tropics in Landscape Australia 1992/3. Quoting from their sub headings under 'Methodology' they list:
A universally accepted scenic quality assessment procedure was not available/ public opinion was used to determine scenic quality/ photographs were used to represent the scenes [and they explain that as opportunities for panoramic views from the few roads in the study area were limited, oblique aerial photography from a helicopter provided the only feasible means of photographing the terrain at the scale of broad landscapes]/ a scenic quality predictive model was required/ within forest scenery and small scale features were not included in the survey/ area subdivisions or landscape units needed to be defined to develop a predictive model.
What is the distinction between using oblique views from a helicopter and from high viewpoints? Is there a distinction between landscape and scenic? Is it reasonable to exclude within forest scenery? Would it have been proper to do a survey based primarily on vertical airphotography?
SECOND INTERNATIONAL CONFERENCE: CULTURAL ASPECTS OF LANDSCAPE INTERNATIONAL ASSOCIATION OF LANDSCAPE ECOLOGY Zd'ar nad Sazavou, Czechoslovakia 6th-11th September 1992
The conference in a House of Culture in Moravia was an unusual and fascinating venue and it was clear that the Culture and Landscape Working Group of the IALE believes firmly that landscape ecology needs an inter-disciplinary approach if it is to understand the cultural landscape. A very large number of papers were presented in English or Czech, with all the consequent problems of translating words, such as culture, nature, landscape that are problematic enough within one language, and carry significantly different meanings in others. There was at first a danger that the conference would become split into two parts, representing the positions of the Czechs on the one side, and the international contributors on the other - though several papers by Czechs working abroad bridged this gap. Almost all the major landscape ideas could be observed at first hand in an old Baroque market town, in its massive extensions of heavy engineering works and slab blocks, and close by in the Zdarske Vrchy Protected Landscape Area.
Many of the contributors came from scientific disciplines which led to a common notion that the biological sciences would automatically be the focal point to which other disciplines, from the arts, humanities and social sciences would contribute. That view is one which does not encourage a frank exchange of views, and takes little account of where research findings originate. In western studies the last decade has seen art history developing some of the most interesting new lights on the landscape problem - something which could scarcely have been prophesied a few years ago. The other result of a scientific audience is that they may romantically invest the arts with a degree of disinterested aesthetic insight which few art historians would accept.
Indeed Romanticism seemed to be the focal idea of the conference. Several western delegates on their first visit to the former Eastern Bloc, had a romantic and emotional attitude even to such features as the architectural horrors of the slab blocks in Zdar (or even worse in Brno). These at least were familiar to a generation brought up on the spy writer Le Carre and such buildings acted as confirmation of place. I for my part found myself regretting the speed with which the Czechs were obliterating as many evidences of the Socialist era as possible. A poignant part of their history is understandably being consigned to oblivion. How long it takes for the Socialist era to be converted from history to heritage will be something worth watching.
Western scholars originally of Czech or Slovak nationality have a particularly important role to play. They are fundamental in reintroducing Czech national scholars to the work done in the West. However they may have a distinctly nostalgic ideal of the land of their birth with vivid memories of what it once looked like and this may run counter to the possibilities for a new Bohemian landscape.
One found that landscape meanings could quite wrongly be transferred between cultures. The cultural and class meanings of the slab blocks of flats (panellaki) are wrongly interpreted by most westerners: in Czechoslovakian society such housing is primarily for people who move jobs, locations and occupations. Closer inspection shows that however poor the quality of building materials, the blocks are fiercely maintained and lovingly domesticated.
The Czechs and Slovaks themselves were keen to re-establish a close link with their home landscape, a link which they felt had been sundered in the last forty or fifty years. Such phrases as "People must be made to look and feel" have both an emotional and dictatorial feel - the latter perhaps a hangover from the recent past, and throughout the conference it seemed to be western papers which continually mentioned the ordinary person's attitudes to land. Throughout the conference it seemed necessary to re-introduce an emotional response to the landscape; this could be the basis for an ecological revival. The emotional response was seen as coming from three sources. A significant source is religion, and the role of the church is of great importance in current thinking. Several papers either specifically addressed religious issues, or made extensive reference to biblical and similar material. The aim appeared to be to make a close linkage between the church and ecological thinking.
Indeed ecology is the second source of emotional inspiration, specifically called on by Jaromil Krajca, and is often treated as a spiritual doctrine itself, with mystical and quasi religious ideas in attendance. The third source is art - painting, music and literature, seen in spiritual terms with very little discussion of the popular culture which assumes such importance in western work. A reliance on artists to promote the spirit of place seems unlikely to produce detailed policies for landscape conservation and might even lead to an exclusive romantic landscape nationalism. What makes the Czech landscape problem so fascinating is the opportunity Czechs now have for a total cultural change: new landscape policies for a 'new land'.
Meanwhile there are some remarkable similarities between the agricultural landscape produced by collectivisation compared with that produced by the Common Agricultural Policy; whether the vast weedy fields of Bohemia are more, or less attractive than the equally extensive weed free fields of the west must be a moot point.
Gentrification (to examine another comparison) in those parts of Moravia considered particularly attractive, seems to be proceeding at a rate which most in the west would consider alarming. The exchange rate of the Czech crown, means that property is very cheap for neighbouring Germans and Austrians. Most of the mediaeval houses in the
mountains were said to be inhabited some by 'intellectuals from Prague'.
The Czech landscape, to the eyes of a westerner on a first visit, is a nostalgic reminder of the landscapes of childhood, and the remains of the socialist landscape is being reformed with astounding speed.
The major question to be resolved is the extent to which democracies emerging from communist control can take into account and beware the wrong landscape policies made by the western countries. Western scholars and government agencies are now aware of the difficulties inherent in designating special landscape areas, of the dangers of preserving only an elitist landscape, and of presuming that all conservationist organisations are held together by a common purpose.
Most of the papers from the west developed these ideas, most notably Gert Groening with a paper outlining the love of landscape as promoted by the Third Reich, and David Crouch with his paper singing the interest to be found in vernacular landscape. Czech scholars must be spending prodigious amounts of time reading recent scholarship in several languages, but will they succeed in preventing adoption of an exclusive emblematic, mystical and aesthetically elitist national landscape identity.
The hope, though, must lie in such events as this. If the International Association of Landscape Ecology claims a central position in landscape which other disciplines may deny it, the promotion of conferences deliberately seeking contributions from the humanities is a great achievement. That it should take place not in the wonderful surroundings of Prague, but in a typical, small town deep in Moravia, was an outstanding idea for the overseas visitors.
Peter Howard
Beispiele für historische Kulturlandschaftsteile
All from a list of examples of historical cultural landscapes presented without explanation in a paper by Hans Herman Wobse see Garten Und Landschaft 6/92...and there's more! "Historic cultural landscapes are worth conserving for a number of reasons. They provide information about the past relationship between man and nature and provide a picture of the life and environment of earlier generations thereby giving a sense of continuity with the past" - from the english summary.
NATIONALIST LANDSCAPES
In his conference report from Czechoslovakia Peter Howard detects murmurs of a 'new emblematic, mystical, esthetically elitist, national landscape identity' and sees inherent dangers. Landscape Journal 11/1 publishes a paper on the political aspects of garden culture: 'Every garden a munition plant' reads a poster caption. 'Some notes on the mania for native plants in Germany' in Landscape Journal 11/2 considers the national landscape and its link with National Socialism in 1940 along with the authors' disquiet with contemporary expressions of similar feeling regarding alien plants. It relates the following which I quote from page 122.
According to the "Landscape Rules", settlement and landscape formation were a prerequisite for the full expression of German Zeitgeist (spirit of the times). In its introduction "Landscape Rules" ascribes the destruction of landscape in the East (parts of Poland annexed by Germany) to the inability of foreign people. This inability is compared with the (culturally highly evolved) Teutonic German whose native land is proof of one's harmonic relationship to nature:
For Teutonic German man, dealing with nature is a deep need of life. In his old native land and in the areas which he has settled and formed with the vigour of his people (Volkskraft) over the generations, a harmonious picture of farmyard and garden, of settlement, of fields and landscape has become a criterion of his being... If the new living spaces are to become a home to the settlers then the well planned and close to nature design of the landscape is a prerequisite (Allgemeine Anordung, Landschaftsregeln 1942 p51)
The elimination of foreign people is also explicitly mentioned.
It is not sufficient to settle our people in those areas and to eliminate foreign people (Volkstum). Instead the area must be given a structure which corresponds to our type of being (Wesenart) so that the Teutonic German person will feel himself to be at home, so that he settles there and is ready to love and defend his new home. (Reference as before)
A very important aspect of this planned landscape was the exclusive use of native plants........****
Now all this is pretty strong stuff and likely to make you think of instances that merit research for example: the Blois Conference which considered national, regional landscape identity in the face of the pervasive international cultural monotone; the theory and practice of the Kibbutz settlement; 'landscape loss trauma' among people driven from their homes in Bosnia and other places; even the impact of the books about England by John Massingham and other Batsford writers in 1934-45 whose aim was to strengthen national identity based on the 'true values' of landscape and country people.
PLANNING AT A TIME OF SOCIAL CHANGE
I am grateful to Garten und Landschaft 9/92 for this English summary of a paper by Brigitte Schmelzer and Jurgen Faiss
Opencast lignite mining, power generation and the chemical industry have together turned the region to the south of Leipzig into one of the most polluted areas within the Germany's new federal states, indeed parts of this landscape have become symbols of its ecological catastrophe. But it is here, where the pressure of economic and social problems threaten to result in further burdens for the already over exploited landscape, that there is a need for an early input from the landscape planner. In autumn 1991, the authors' planning team was commissioned by four local authorities within the Borna district, some 15-25 km south of Leipzig, to prepare a landscape plan. A first visit to the study area stimulated feelings of equal disgust and fascination. But alongside the mining wasteland, some relics of the natural riverine landscape were still to be found.
Within the Leipzig region, the network of river courses and their flood plains provide the overall structure to the landscape. They have long been, not only a focus of nature romanticism but also, the carrier of the main landscape ecological functions. However, as a result of the lignite mining, river courses were realigned and massive drainage measures undertaken. Until measures can be undertaken to improve the water quality, the restoration of the landscape can be nothing more than a cosmetic measure. Although there is much nostalgia for the traditional cultural landscape, it is the question whether the approach to renewal will involve a new beginning or merely a continuation. The answer lies in finding a compromise between what is desirable, what is technically possible and what can be afforded. Nevertheless, even though the flooding of the remaining excavations may appear to be the cheapest solution, some land should be left for other solutions which provide some links with the history of this landscape. What is certain, though, is the need for afforestation. The commissioning of a group of planners from the west with preparing a landscape plan so soon after unification resulted in a number of problems. Even obtaining survey data from the various public bodies was difficult. Resolving the question of soil contamination is a still greater problem. Preparing the landscape plan has not been helped by the fact that the development plan is being prepared in parallel and realities of development pressures are threatening to overtake both.
THE DEHESAS IN ANDALUSIA
This part summary of an article in Garten und Landschaft 1992/6 illuminates one of many special landscapes in Europe. My thanks to G+L and the author Andrea Hessel. A map of the distribution of similar areas of well treed rangeland in Spain is given in the article.
Before the Romans came to the Iberian peninsula the landscape was characterised by dense oak woods which stretched from the Pyrenees to Gibraltar. During the course of the centuries the more or less intensively managed cultural landscape of the dehesas developed out of this woodland. The dehesas represent a highly stable and productive mixed-use modification of this Mediterranean evergreen broadleaved woodland with its characteristic tree the holm oak (Quercus ilex). With an average density of 30 to 40 trees per hectare they also provide sufficient space for extensive grazing as well as small scale arable use.
During the sixties the dehesas suffered a deep-seated economic crisis as a result of a combination of various social and economic factors. Because the economic significance of the activities which created and maintained the dehesas was lost, many were abandoned and left to their own devices. Many were converted into commercial forestry plantations, while those which continued to be managed were "modernised" with the help of state subsidies.
CONFERENCE ON THE HISTORY OF THE ROYAL PARKS 1st OCTOBER 1992
A conference on the history of the London royal parks was held in the Royal Pharmaceutical Society Hall in Lambeth. The event was organised by the Garden History Society in association with NADFAS and was attended by about 150 people. Keith Goodway of the Garden History Society introduced the conference as being "timely" in view of the current period of change in management of the royal parks. Dame Jennifer Jenkins, chairman of the Royal Parks Review Group, introduced the topic and she was followed by papers dealing with different aspects of park history and a landscape consultant's strategy for future use of parks based on surveys of Kensington Gardens and Hyde Park.
Jennifer Jenkins' paper formed the key to the whole day. She described how the Review Group had been set up in 1991 by the Department of the Environment to assess the present and future role of the royal parks. The Group consisted of eleven persons from different walks of life: it included architects, town planners, a former writer on the Guardian, a BBC controller, a member of the British Tourist Board and one from the Sports Council and a number of horticulturalists. Notably absent from the group were landscape architects (with experience in dealing with public open space) and a landscape historian. In their report (see page one of our last issue) the Review Group concentrated on Hyde Park and Kensington Gardens and came up with 79 proposals, of which all were adopted except for two which related to dogs.
Although Jennifer Jenkins continually referred to the historic aspects of the parks and their historic significance, she made no indication as to how these might be accommodated or historic conservation attained.
The Group had not only surveyed and analyzed the problems and addressed the strategy but had also made detailed suggestions such as the redesign of gateways and paving. There were proposals to reorganize Speakers Corner and erect memorial gates for the Queen Mother. Since the historic design of the parks had not been addressed, it is impossible to see how these new proposals could respect the integrity of the site (in fact, even these decisions seemed somewhat ad hoc embellishments).
Unfortunately it appears that the present Review Group proposals which are said 'to have respect for the historic design of the landscape' as a guiding principle may only be in place to silence a potential pressure group rather than to be applied. The reference to historic design would seem to sanction the design of new landscape elements such as neo-Georgian park entrances and neo-Victorian memorial gates without reference to an historic masterplan.
It is my opinion that the Royal Parks Review Group has been over-ambitious believing that it could tackle a most complicated landscape issue without expertise in landscape architecture and landscape history. And one notes that a landscape architect is to be employed subsequently to deal with the detail design! It is therefore a sad day for landscape architecture here - after 60 years it is still not recognized as equal amongst town planners and architects. It is also sad to see that the Garden History Society has had no impact: their conference on the history of the royal parks seems to have come a little too late.
Jan Woudstra, Dutch landscape architect studying at University College London.
MICHAEL DOWER
Straight words in an editorial from the Director of the Countryside Commission
"I remember being offended, as a young planner, by the ponderous wording that we would use to defend our refusal of a planning application - it would, we said, be "detrimental to the amenities of the locality". I used to write, instead, that it would "spoil the look of the place" - and I did so, not only for love of plain English, but also because I cared about the look of the place and I believed that the public cared too. The job of the Countryside Commission is to care for the look of the English countryside, to conserve and enhance its natural beauty. We do so not as a bureaucratic drill, but for the sake of a public that cares"... and in the same editorial:
"The delightful candour of children shines through a story of tree-planting by a school group in the Peak District. Emma Farren, age 7, wrote: 'The TV camera came late. We had to dig a tree up. Then we planted it back in, so he could put us on TV.'" Children, and the media, are natural allies of the Commission and its partners in the never-ending effort to protect and improve the look of the place.
Michael Dower
HOW GREEN THE NEXT VALLEY?
The opening of the Welsh Garden Festival at Ebbw Vale in May provided the biennial opportunity for landscape and events experts to remind the British public how we got it terribly wrong when it came to the Garden festival ideal. To the images and long-term planning associated with the German and Dutch events, we can now add a number of consultant reports, including that by PA Cambridge Economic Consultants, which suggest that the British version of the garden festival is ... actually ... a positive contribution to regeneration. More than a shame, then, that having gradually learned a local garden festival vernacular in Liverpool, Stoke, Glasgow, Gateshead and Ebbw Vale, there will never be a Belfast festival (though what a positive venture it could have been), and neither will there be the innovation which a festival linked to an area of rapid agricultural change might bring.
A first visit to Ebbw Vale suggests some of the lessons which might be picked up by a pioneer new urban authority in 1994, perhaps effecting a major link with European twin towns. The first lesson must be to choose the right setting. In terms of landscape design, the visual contrivances which traditionally make Britons believe they are part of a grand environmental ceremony, Ebbw Vale offers few such delights, either blatant or subtle. The random view achieved through the Optrex sponsored eye is typical. But at the superhuman scale nature provides a superb valley, stepped in the bottom and colour graded on the slopes. By allowing for this retrieved site to speak for itself we have a new standard for any further event. In future a coastal site, possibly in the suburbs of a mis-guided seaside resort, cries out for a festival (calling Skegness, Southend or Weston-super-Mare).
The second lesson would seem to be that you make do with a minimum of gardens. Ebbw Vale certainly had feature planting (notably the hillside rainbows and the carefully presented lakeside) but I heard several older visitors reflecting that "although there aren't many gardens, it's all great fun", although there were certainly some disappointed at the thin planting. The 'fun' obviously comes from events, exhibitions and rides, but I suspect, also from gardens which are not recognised as such, imaginative planted and hard landscaped places where the occasional idea may travel home to a suburban plot. Without going over the top, Ebbw Vale tries to nudge popular garden design and plant choice into the next century.
So, the third lesson, and one developed steadily through the festival sequence, is that contemporary sculpture and art in the landscape can be accepted and enjoyed if they seem to belong to the setting. Most previous festivals have 'labelled' and catalogued their art in such a way as to distance the casual observer from the object. Whilst the range at Ebbw Vale was as good as Gateshead, the quality is not, but it was more accessible ... and enjoyable to a wider range of visitors.
The fourth lesson may be one forced by economic necessity, it is one of balance, between sponsored interiors, and site as a whole. Ebbw Vale settled down to a comfortable pattern of often visually dissonant corporate displays which offered relief from walking and the elements, as well as a range of media experiences. The mixture tastes crossed between a bumper agricultural show and a modest visitor attraction. Spaces for movement were usually generous (but perhaps not when the crowds appeared) and there was a wide variety of sitting spaces and seldom the feeling that one was being pushed through a show at the organisers' pace.
Whilst a long way from the high-minded horticultural display, Ebbw Vale continually reinforced the feeling of a well managed day out away from pressure to spend more than the entrance fee or pressure to maintain an unhealthy level of awe over what was presented. In doing so it clearly touched age and income groups not normally drawn to either landscape or arts innovation.
At the time of my visit in May there were still things to be ironed out and some which required immediate attention. I am not convinced that those with mobility problems can enjoy as much of the site as the organisers' claim. Paths, edges and access points needed attention a month into the season. The biggest letdown is with orientation: access from parking, and the entrance are poorly combined and the glamour of frequent map panels, repeated in the handout maps on entry, rather fades when you try and use them. A convoluted game of themes, colours, symbols and images is played out in two languages to the obvious confusion of most visitors - English or Welsh.
After my May visit I decided to go again, to pick up on new planting, to visit whole areas missed through mapped confusion, but most of all, to take in images which I may have to live off of for the rest of my years. After all, it was a very long gap between the Festival of Britain and the Liverpool Festival, a gap when there were few opportunities for landscape celebration and learning. Let us hope that some cities or towns have recognised an opportunity and will claim the 'Garden Festival' title and the popular enthusiasm that can be drawn to it.
Professor Brian Goodey
"I had arrived. I got out, to find that we had climbed to the top of a hill and that a cold wind was blowing over it, bringing dust and grit and filthy bits of paper. On one side was a stretch of high brick wall, which some posters told me was a sports ground. On the other side were some patches of waste ground and some decayed allotments, where the last green rags of gardening were shivering. Further along was a yard filled with rusted parts of motors and scrap-iron. I walked to the end of the brick wall and saw below and afar the vast smoky hollow of the city, with innumerable tall chimneys thrusting out of the murk. The wind dropped, and all along the edge of the pavement the filthy bits of paper settled for a moment before beginning to rustle uneasily again. A tram came making its ponderous moan, and I signalled it like a man on a raft seeing a sail."
"Once we halted and began to feel that a great depression lay in front of us; but not till two in the afternoon after we had crossed a basalt outcrop did we look out over a trough fifteen miles across, which was Wadi Hamdh, did we realize that we had escaped from the hills. On the north-west spread the great delta through which Hamdh spilled itself by twenty mouths; and we saw the dark lines, which were thickets of scrub in the flood channels of the dried beds, twisting in and out across the flat from the hill-edge beneath us, till they were lost in the sun-haze twenty miles away beyond us to our left, near the invisible sea. Behind Hamdh rose sheer from the plain a double hill, Jebel Raal; hog-backed but for a gash which split it in the middle. To our eyes, sated with small things, it was a fair sight, this end of a dry river longer than the Tigris; the greatest valley in Arabia, first understood by Doughty, and as yet unexplored; while Raal was a fine hill, sharp and distinctive, which did honour to the Hamdh.
Full of expectation we rode down the gravel slopes, on which tufts of grass became more frequent, till at three o'clock we entered the Wadi itself."
"The scenery of the palmar when first viewed produces a powerful impression, a certain weirdness and loneliness peculiarly its own, and accentuated by the mournful rustle of the dry palm leaves shaken by the wind. It is seen at its best in the early morning when the atmosphere is intensely clear and transparent, when there is not a breath of wind and the rays of the rising sun illumine the palm tops with a rich golden light. Then indeed the palm forest assumes an ethereal and almost fairy-like beauty. On the other hand a dark and gloomy winter's day when the sky is of lead, when the grass is withered or burnt by Indian fires, when the cold and biting south-west wind hurries across the plain - knocking the palm-leaves together and emphasising their dismal rustle - then the picture is bleak and depressing."
"One must say right away that in England, no matter what part one is exploring, nearly everything - except some industry and some industrial towns - is on a very small scale. Particularly is this true of the hills and the country landscapes as a whole. Visitors from more spacious lands must acquire a new scale of measurement in England: they must look for depth, rather than grandeur of height or breadth of scene. There are, indeed, views of tremendous extent to be had, even from the modest Midland hills, as from the edge of Malvern, or from solitary Bredon Hill in Worcestershire, or from the western edge of the Staffordshire moorlands; but in the main the beauty and the interest of the English scene - town or country - lies in its quality rather than in its size."
"More ethereal than the grid towers can ever be, because they are free from the weight of transmission wires, the slender masts of television and radar are things purely of the sky. In themselves they are entirely lovely, and only the little huts and fences at their feet are tiresome in the landscape. They do not overpower either the humanized countryside or dwellings, and an occasional mast rising alone from the wild landscape is exhilarating."
SHOULD YOU READ
* Daniel D Arreola *Plaza Towns in South Texas* Geographical Review 82/1 1992 56-73
* Larry R Ford *Reading the skylines of American Cities* Geographical Review 82/2 1992 180-200
* A E Mosher & D W Holdsworth *The meaning of alley housing in industrial towns: examples from late 19th and early 20th century Pennsylvania* Journ of Hist Geography 18/2 1992 174-189
* Mona Domosh *Controlling urban form: the development of Boston's Back Bay* Journ of Hist Geography 18/3 1992 288-306
* Deborah A Howe & William A Rabiega *Beyond Strips and Centres: the ideal commercial form* Journ of the American Planning Assoc 58/2 1992 213-219
* Sherwin Greene *Cityshape: communicating and evaluating community design* Journ American Planning Assoc 58/2 1992 177-189
* Our Town [photographers and writers consider the idea of community in the USA today] Aperture 127 Spring 1992
* Liz Bondi *Gender symbols in urban landscapes* Progress in Human Geography 16/2 1992 157-170
* Jon Caulfield *The imagined cities of three Canadian painters* Urban History Review 20/1 1991 3-14
* Jay Appleton *The Symbolism of Habitat. An interpretation of landscape in the Arts.* Seattle Univ Washington press 1990 ISBN 0295-969407
* B J Hudson *Hunting or a sheltered life: prospects and refuges reviewed* Landscape and Urban Planning 22 1992 53-58
* Nathan H Perkins *Three questions on the use of photo realistic simulation as real world surrogates* Landscape and Urban Planning 21 1992 265-267 the whole issue concerns data visualisation in environmental management
* H D Shang *A method for creating low cost landscape architecture simulation combining CAD with computer video imaging techniques* Landscape & Urban Planning 22 1992 11-16
* James Corner *Representation and landscape: drawing and making in the landscape medium* Word & Image 8/3 1992 243-275
* W M Adams, NAD Bourn & I Hodge *Conservation in the wider countryside, SSSIs and wildlife habitat in eastern England* Land Use Policy 9/4 1992 235-248
* Annelise Brasnaes *The landscape of agriculture planning and regulation of agricultural landscapes in the European Community* Landscape and Urban Planning 22 1992 17-30
* Pascal Blondeau *L'avenir des vergers de La Sarthe (The future of orchards in the Sarthe)* Norois 154/39 1992 131-144
* Vincent Dubrenil *Typologie des paysages ruraux de l'Ouest de la France a partir de classifications d'images due Satellite NOAA (essentially land use in 19 types)* Norois 155/39 1992 pp?!
* Alan Cooper & Ronald Murray *A structural method of landscape assessment and countryside management* Applied Geography 12/4 1992 319-338
* Richard Prentice *The Mour National Glens as treasured landscapes* Scottish Geogr Mag 108/2 1992 119-127
* Herbert G Kariel *Alpine huts in Canada's Western Mountains* The Canadian Geographer 36/2 1992 144-158
* David Wilson *Crop circles and the archaeologist* Archaeology Ireland Vol16/3 Issue 21 1992 22-24
* John Sheail *The Amenity Clause: an insight into half a century of environmental protection in the United Kingdom* Trans Inst Brit Geogr NS17 1992 152-165
GARDEN LITERATURE A NEW QUARTERLY INDEX
We have been sent a complimentary copy of Garden Literature: An index to periodical articles and book reviews. I am told by my senior editor Peter Howard that this is an extremely valuable/important publication and so it looks. The compliment slip from Sally Williams says 'We are a small start up operation. Any mention of us to your readers would be greatly appreciated'. It indexes over 100 English language periodical titles - journals, magazines, newspapers, newsletters and annuals which it lists under a wide range of subject headings. The listings appear to contain additional explanatory detail which will be very helpful. Printed on recycled paper it has a nicely leisured old fashioned feel to it and could double as the ideal Christmas subscription as well as a serious tool for research for those who need to know. Volume 1 No 1 comprises 189 large pages in three columns listing papers etc and 31 pages separately listing reviews.
For further details contact Garden Literature Press, 398 Columbus Avenue, Suite 181 Boston, Massachusetts 02116-6008 tel (617) 424-1784 and fax (617) 424-1712
TOPOS
Topos is a new European Landscape Magazine which describes itself as for landscape architects and planners. The first issue introduces examples of 15 examples of modern landscape architecture from around Europe. It advertises itself as having 156 pages, being a quarterly publication, bilingual throughout in English and German with an annual subscription of DM 206. Enquiries to Topos, Postfach 80 04 09, Callwey Verlag, Streitfeldstrasse 35, D-8000 Munchen 80.
INTERNATIONAL CENTRE FOR PROTECTED LANDSCAPES
Professor John Aitchison, at the University of Aberystwyth, Wales is the Director of the above centre which is now issuing a 12 page newsletter 'Protected Landscape'. Contact the Centre at Unit 8, Science Park, Aberystwyth, Dyfed SY23 3AH.
EDGE CITIES
The following extracts appeared within a much longer article "No particular place to live" in the Independent on Sunday Review 15th November 1992. The feature is attributed to John Lichfield.
"Welcome to Edge City, a phenomenon defined in various ways, but mostly recognisable by its lack of definition. Edge cities are suburbs with more jobs than commuters; countryside with better and bigger shops than large towns; cities with no streets.......There are more than 200 edge cities in the United States, most created in the last 12-20 years. They contain two thirds of all America's office space (much of it empty). Superficially they resemble new towns......Refusing to accept they are a community, edge cities frequently have no generally accepted name. Sometimes, they are known by the name of the shopping mall at their centre (such as Tyson's Corner near Washington DC). This edge city, 40 miles to the west of Manhattan, is one of 12 amorphous, overlapping suburb-cities in New Jersey alone. Its dimensions are uncertain, sprawling over the official boundaries of 30 or more municipalities and three counties". [Another is called by the numbers of nearby interstate freeways 287-78]
"Will there one day be a 287-78 Philharmonic Orchestra" - he goes on.
Many of our readers will be well read in this area and may wish to offer a view and substantial research references. I particularly invite comments from 265-80 - or have I mispronounced it?
ANTHOLOGY: THE ANSWERS
English Journey J.B Priestley Heinemann 1934 in the chapter "To Coventry and Birmingham" referring in this extract to a tram ride out from the centre of Birmingham. How often do we read of the urban and suburban landscapes in which we live?
Radiate intergrowth of plagioclase and augite in dolerite, Ingia intrusion West Greenland From an original in colour in Longman 1982, Atlas of igneous rocks and their textures by W.S.MacKenzie, C.H.Donaldson and C Guilford. A source of artistic inspiration. Equally valuable in describing the texture of the built environment as seen from the air.
A Naturalist in the Gran Chaco Graham Kerr Cambridge 1950. He makes several very small descriptions of landscape and observations about soil and habitat as it affected them as travellers in this book which focuses particularly on species: an exciting diary of travels made in 1889-90.
Seven Pillars of Wisdom T E Lawrence New edition Jonathan Cape 1940. Another of those books that delight those interested in topographic detail (one could almost map the type of land he travels), not to mention the grandeur of the vision and the views.
Chilterns to Black Country A portrait by W G Hoskins as preface to About Britain No 5 published by the Festival of Britain Office by Collins, 1951.
The Landscape of Power Sylvia Crowe, 1958, the Architectural Press. Not literature but firmly held esthetic opinion. Does this esthetic judgement still look good as it relates to tall slender masts - and what about the stubby little microwave jobs?
OTHER JOURNALS
LANDSCAPE DESIGN 209 April 1992
Robert Holden Green fringe in the city 10-12
Ian Thompson Once upon a Tyme... 15-16
Jeremy Linden Community spirit 17-19
Peter Daniel Elegant and exuberant 20-21
Jane Porter A space for living 22-23
Alan Rowley Park appeal 24-27
Seamus W Filor New life for Leith 28-29
Jane Porter Olympic city 30
Rosemary Coyne Cali's green oases 31-32
Kevin Mann Castlefield's canalside 33-37
Paul Sander-Jackson Grazing among the rubble 38-40
Brian Ford & Marcus Grant New structure for Seville 42-45
Stephen Blunt Competitive consultancy 46-47
LANDSCAPE DESIGN 210 May 1992
Robert Holden Too many business parks? 10-13
Brian Carter The office outdoors 14-17
Simon Edgar Parks for work and play 18-20
Francis Duffy Beyond rubber plants 22-24
Louise Wilson A refreshing philosophy 25-29
Andrew Laing The responsible workplace 31-33
Tony Kendle & Julie Schofield Saving our soil 36-39
Jon Etchells Golf answers back 41-43
Sue Illman Taken for granted 44-47
LANDSCAPE DESIGN 211 June 1992
Tony Miller The ineffective profession 11-13
Michael Brown John Darbourne 15-16
Peter Worrall Reacting to run-off 18-20
Elise Percifull An Arts and Crafts garden 22-24
Tony Kendle & Julie Schofield Countering compaction 25-28
Nick Robinson Healing with nature 29-31
Going soft - use of Computer Aided Design packages 32-42
Software guide 43
CAD education guide 45
LANDSCAPE DESIGN 212 July/August 1992
Jon E Lewis How green is my valley 11-17
Rodney Beaumont Focus on the festivals 18-20
Andrew C Theokas More than a theme park? 22-25
Matthew Risdon Landscape design: the future 26-27
Richard Stiles Determinism versus creativity 30-32
John Holliday Development in a misty world 33-37
Ken Fieldhouse Competitions, clues and the client 39-41
Charlotte Hare A chance for a change 42-44
Professor David Powlson Managing nitrate 45-49
Taisia I Wolftrub The post-Soviet profession 50-51
Robert Carson Planting: paying for results 52-53
LANDSCAPE DESIGN 213 September 1992
Issue on roof gardens
Janet Jack Room at the top 11-15
Niall G Kirkwood Terra-firma reconsidered 16-18
John Redmayne The meadow upstairs 20-21
Bernd Krupka A shallow success 22-23
Janet Jack On a podium 24-25
Janet Jack A bridge with a view 27-28
Lindsey Whitelaw Company courtyards 33-36
Gordon Haynes Of ducks and domes 37-40
James Hitchmough Calculating the earth 42-44
Charles Funke Rooftop variety 46-47
LANDSCAPE DESIGN 214 October 1992
Richard Bisgrove The battle of '92 9-12
John Rodwell Classified information 14-16
Jim O'Callaghan Predictable results 18-20
Robert Wells Common usage 23-25
Malcolm Emery Bell heathers and bulldozers? 23-25
Simon Hodge The natural choice 30-33
Keith Funnell Managing the future 34-37
Suki Pryce Plans in print 38-41
Sarah Couch Trees in line for conservation 43-46
LANDSCAPE DESIGN 215 November 1992
Ken Fieldhouse The right inflection 11-12
Jon Wallsgrove Brave new bridges 14-16
Jim McCluskey Problems and options 18-20
Peter Semens Over the sea to Skye 21-23
John Evans Outside influences 24-26
Professor Mocsenyi & Kinga Szilagyi Hungary's green appetite 29-31
Martin Spray Ludicrous landscapes 32-34
Duncan Moffatt & David Hockin Rules of combat 36-38
Martin Andrews Country houses earn their keep 39-40
John Tucker Trees for people 41-43
Simon Hodges Purposeful planting 44-46
LANDSCAPE JOURNAL 11(1) Spring 1992
Jane C Loeffler Landscape as legend: Carleton E Watkins in Kern County, California 1-21
Ruth Enis On the pioneering work of landscape architects in Israel: a historical review 22-34
Achva Benzingberg Stein & Jacqueline Claire Moxley In defense of the normative: the case of the Eucalyptus 35-50
Joachim Wolschke-Bulmahn From the war garden to the victory garden: political aspects of garden culture in the United States during World War 1 51-57
Denis Wood Culture Naturale: some words about gardening 58-65
Robert L Thayer Jr Three dimensions of technology in the American landscape 66-79
LANDSCAPE JOURNAL 11(2) Fall 1992
Rachell M Lilly & Reuben M Rainey The country place era in Virginia: the residential site planning of Charles F Gillette 99-115
Gert Groening & Joachim Wolschke-Bulmahn Some notes on the mania for native plants in Germany 116-126
Ken Taylor A symbolic Australian landscape: images in writing and painting 127-143
Richard L Mattson The cultural landscape of a southern black community: East Wilson, North Carolina, 1890 to 1930 145-159
Most Important Questions about Landscape Architecture 160-181
LANDSCAPE 31(2) 1992
Yuriko Saito The Japanese love of nature: a paradox 1–8
Darrell Kruger District Six, Cape Town An apartheid landscape 9–15
Arthur Krim Mother Road, Migrant Road Dorothea Lange on US 66 16–18
John Dickenson Vila Nova de Gaia – an urban winescape 19–25
Arnold Alanen Kakadu and Uluru – aboriginal lands in Australia's National Parks 28–38
Susan Carlisle Taming the Sauvage – French greenery and French values 39–45
GARTEN & LANDSCHAFT 4/1992
Tony Hiss Simultaneous perception 9–11
Gunther Uhlig Urban open space 12–15
Martin Schneider Temporary occupations 16–19
Carl Fingerhuth History made visible 20–22
Falk Trillitzsch Drawings for Alexanderplatz 23–26
Jochen Boskamp Public realm and social behaviour 27–32
Christophe Girot From Tibidabo to Icaria 33–38
GARTEN & LANDSCHAFT 5/1992
Issue on perennials
GARTEN & LANDSCHAFT 6/1992
Hans Hermann Wobse Significance and treatment of cultural landscapes 9–13
Gotz Schmidt Without bears and wolves 14–17
Andrea Hessel The dehesas in Andalusia 18–23
Gretel Hengard The cultural landscapes in Finland 24–27
Diedrich Bruns Evaluation of cultural landscapes 28–32
Katrin Schwinkoper, Peter Seiffert & Werner Konold Landscape ecology principles 33–38
Ludwig Trauzettel Reflections on the landscapes of Dessau-Worlitz 39–43
GARTEN & LANDSCHAFT 7/1992
Ot Hoffmann From city fathers to mother nature 13–14
Theodor Henzler Bamberg eco-housing 15–18
Georg Reinberg Housing project in Purkersdorf near Vienna 19–23
Georg Reinberg Stadlau housing project in Vienna 23–26
Dieter Schenpp A classic solar building 27–29
Corinna Trankner A house of timber and clay 30–32
Reimund Stewen Ecological housing in Cologne-Blumenberg 33–35
Doris & Manfred Hegger Ecology and building 36–38
Brenda & Robert Vale Greening the greenery 39–40
GARTEN & LANDSCHAFT 8/1992
Issue on landscape architecture in South Korea
GARTEN & LANDSCHAFT 9/1992
Niels Gormsen Surplus value for the environment 9–11
Brigitte Schmelzer & Jurgen Faiss Planning at a time of social change 12–17
Thomas Ranneberg & Johannes von Korff Restoring the landscape of opencast mining 18–23
Christoph Bormann Compensation for mining 24–26
Cornelia Amin A tile in the mosaic of Leipzig's landscape 27–29
Bernd Sikora The southern Leipzig region 30–34
Dirk Seelenmann The landscape structure plan for Leipzig 35–40
GARTEN & LANDSCHAFT 10/1992
Reuben M Rainey Byxbee park: An idyll on landfill 13–16
Gert Groning & Joachim Wolschke-Bulmahn Garden design in comics 17–21
Corinna Trankner Munich's new airport 22–25
Cornelia Müller, Elmar Knippschild & Jan Wehberg Berlin-Tegel: Harbour atmosphere without cranes 26–29
Michael May Technology park Dortmund 30–32
Martin Schaefer The intellectual worth of a garden 33–37
LANDSCAPE AUSTRALIA 1 February 1992
Don Anderson To drain or not to drain 12–15
Catherin Bull Tourism in Australia – part 1 of 3 articles 16–20
Kylie Collins Impressions of Kobe 33–36
Vladimir Sitta Czechoslovakia – a photographic report 37–41
Cynthia J Langley Gordon Ford – a natural landscape 42–47
Russell Olsson Anzac Parade Urban Design Competition 48–52
Margaret Zulaikha Speculations on urban inventions 53–55
LANDSCAPE AUSTRALIA 2 May 1992
Allan Correy Landscape design dilemma: Australian native trees and solar access conflict 101–104
Catherine Bull Tourism in Australia – part 2 of 3 articles 105–108
Don Anderson To drain or not to drain? part 2 109–111
Arlene Segal Paving the way for better environments 122–127
Ron Flook The Abel Tasman National Park, New Zealand 128–132
T R Garnett The garden of St Erth 135–138
Paula Bradley Sick of sundials? Weathervanes for interior and exterior settings 140–141
Lawrence Smith Rainforest – a major horticultural resource 143–147
Janice Lally Art for public places – a South Australian arts program 148–151
Vladimir Sitta Czechoslovakia – a photographic report part 2 180–182
LANDSCAPE AUSTRALIA 3 1992
Warwick Mayne-Wilson Poor landscape outcomes – who is to blame? 198–200
Nick Taylor Design and construct 203-204
Most influential books - a series 205-207
Catherin Bull Tourism in Australia - part 2 of 3 articles 218-222
Bruce Mackenzie Paving the Coogee Beachfront 223-228
Michael Bligh & Assoc, with Michael Darling Merilla Homestead and garden 229-235
Paula Bradley Palm Plaza, Dandenong 236-240
Tony Prineas & Paul J Allen Queensland's wet tropics world heritage area - mapping the scenic quality 241-246
PLACES 7(4)
Issue on the expansion of the University of Oregon Science Complex and essays from a symposium called 'Social Responsibility and the Design Professions'
PLACES 8(1)
Issue on transformation and conservation in historic environment: papers from 'outside America' on the importance of holding on to the cultural expression of the past at a time of rapid change.
ARBORICULTURAL JOURNAL 16(2) May 1992
J A Richardson Whitebeam (Sorbus aria) as a nature reserve tree on poor soils 99-102
A D Kendle & A D Bradshaw The role of soil nitrogen in the growth of trees on derelict land 103-122
G J Mayhead Some quantitative data for the woodlands in the National Parks of England and Wales 123-132
John P Killingbeck Hull's secret garden 133-140
Ian Gourlay The loss of Bishop Heber's tree in Oxford 141-144
Mark Johnston The Forest of London -II- a model for others 145-154
ARBORICULTURAL JOURNAL 16(3) August 1992
Josina JMH Willinge Gratama-Oudeman The Arboretum of Schovenhorst, Putten in the Netherlands 197-205
Ian Brotherton An analysis of forestry consultations 207-216
Ray Maleike & Rita L Hummel Planting landscape plants 217-226
C S Crook The feasibility of tree planting on landfill containment sites 229-241
GARDEN HISTORY 19(2) Autumn 1991
Peter H Goodchild 'No phantasticall Utopia, but a reall place' John Evelyn, John Beale and Backbury Hill, Herefordshire 105
E C Till The development of the park and gardens at Burghley 128
Alan Fletcher An early Ha-Ha? 146
Jim Gould James Maddock, The Walworth Garden and 'The Florist's Directory' 155
Lucia H Albers The perception of gardening as art 163
John Phibbs Groves and belts 175
John Alexander Smith The Islamic Garden in Oman: sanctuary and paradise 187
GARDEN HISTORY 20(1) Spring 1992
Michael G Brennan Sir Charles Somerset's observations on continental gardens in 1611 and 1612 pl
Michael Symes The garden designs of Stephen Wright 11
Ian K S Cooke Whiteknights and the Marquis of Blandford 28
Joan Percy Maria Elizabetha Jacson and her 'Florist's Manual' 45
Shirley Heriz-Smith James Veitch and Sons, Chelsea: Harry Veitch's reign, 1870-1890 57
John H Harvey Garden plants of Moorish Spain: a fresh look 71
JOURNAL OF GARDEN HISTORY 12(2) April-June 1992
Gardens of the Ancient Mediterranean
A R Littlewood A colloquium on gardens of the ancient Mediterranean 83
Maureen Carroll-Spillecke The gardens of Greece from Homeric to Roman times 84
Wilhelmina F Jashenski The gardens of Pompeii, Herculaneum and the villas destroyed by Vesuvius 102
A R Littlewood Gardens of Byzantium 126
JOURNAL OF GARDEN HISTORY 12(3) July-September 1992
German Landscape Architecture
Joachim Wolschke-Bulmahn Introduction: aspects of the history of recent landscape architecture in Germany 161
Gert Groening The idea of land embellishment 164
Joachim Wolschke-Bulmahn The 'Wild Garden' and the 'Nature Garden' - aspects of the garden ideology of William Robinson and Willy Lange 183
Grit Hottentrager New flowers - New gardens 207
Hans-Jurgen Schwarz Parks and Gardens Departments in the former GDR: the example of Leipzig 228
Ursula Poblotzki Conservative versus progressive strategies of Federal German Park Administrations in the 1950s and 1960s 235
OTHER EVENTS
11-14 January 1993 Course Planting and the upkeep of old gardens Institute of Advanced Architectural Studies, The King's Manor, York YO1 2EP Tel 0904 433987
TWO LRG CONFERENCES YOU SHOULD NOT MISS
HURRY HURRY HURRY, will this news get to you in time!...........
16 December 1992 (10.30-4.30) BLOIS AND BEYOND?
Dept of Geography, Univ of Birmingham. LRG are holding a one day workshop to follow up the highly successful International Conference held at Blois in October. Panel members will include Professor John Aitchison, Professor Jay Appleton, Dr Jacqui Burgess, David Coleman, Dr Peter Howard and Professor Adrian Phillips. Workshop sessions will focus on new directions in European landscape research and practice. The fee for the day is £18.00 incl light lunch, and there is still time to book.... Contact Carol Jones, School of Architecture & Landscape, University of Greenwich, Oakfield Lane, Dartford, Kent, DA1 2SZ 081-316-9100 or Jacqui Burgess, Dept Geography, University College of London, 26 Bedford Way, London, WC1H OAP Tel 071-387-7050
22-24 April 1993 MAPPING LANDSCAPE at the University of Wales, Aberystwyth.
The aim of the conference will be to enhance the effectiveness of professionals who are engaged in landscape issues.
The Objectives will be:
# To review current thinking and practice in describing landscapes.
# To introduce debate on the relative importance of different types of landscape.
# To practise techniques in landscape mapping and planning.
# To foster an exchange between professionals.
# To understand the significance of landscapes to local communities.
There will be special attention to mapping Welsh landscape.
The conference will be spread over three days, with an opportunity for some field work or visits on the Saturday. There will however be the option to attend for one day.
For further details contact: Cae Melindwr (Charlie Falzon and Shelagh Hourahane), Melindwr, Hen Goginan, Aberystwyth, Dyfed SY23 3PD 0970 84350
The views and opinions voiced in this newsletter are those of the authors and the editor and do not necessarily represent those of LRG as a Group.
This newsletter was prepared and edited by Rosemary and Bud Young. It is published by The Landscape Research Group Ltd, Lauric, North Road, South Kilworth, near Lutterworth, Leicestershire.
Letters, written contributions, enquiries and paid advertisements to R N Young, The Landscape Overview, 26 Cross Street, Moretonhampstead, Devon TQ13 8NL Tel 0647 40904 |
Via First Class Mail
November 16, 2012
Attn: Trademark Trial and Appeal Board
Commissioner for Trademarks
PO Box 1451
Alexandria, VA 22313-1451
Opposition No. 91200223
Opposer’s Notice of Reliance on Discovery Responses, Exhibit D and Exhibit E
Commissioner:
Enclosed for filing please find Opposer, Flame & Wax, Inc.’s, Notice of Reliance on Discovery Responses, Exhibit D and Exhibit E.
I hereby certify that this correspondence is being deposited with the United States Postal Service with sufficient postage as First-Class mail in an envelope addressed to:
Attn: Trademark Trial and Appeal Board
Commissioner for Trademarks
PO Box 1451
Alexandria, VA 22313-1451
on: November 16, 2012 by: Eric J. Goodman
Attorney for Opposer, Flame & Wax, Inc.
OPPOSER’S NOTICE OF RELIANCE ON APPLICANT’S DISCOVERY RESPONSES
Opposer Flame & Wax, Inc. hereby makes of record and notifies Applicant of its reliance on the following:
1. Documents of Applicant produced in response to Opposer’s written discovery request for production of documents submitted pursuant to Rule 2.120 of the Trademark Rules of Practice, 37 C.F.R. § 2.120, TBMP §704.11 and Fed. R. Evid. 401 and Fed. R. Evid. 801(d)(2), specifically:
a. Applicant’s Documents Nos. 5198-5203, 5207, 5210, 5213-5221, 5229-5232, 5235-5239, 5241, 5245-5246, 5248, 5259-5263, 5270 and 5282, true and correct copies of which are attached hereto as Exhibit D.
2. Written responses of Applicant to Opposer’s written discovery requests submitted pursuant to Rule 2.120(j) of the Trademark Rules of Practice, 37 C.F.R. § 2.120(j), TBMP §704.10 and Fed. R. Evid. 401 and Fed. R. Evid. 801(d)(2), specifically:
a. Applicant’s Response to Opposer’s First Set of Interrogatories to Applicant No. 5 dated and verified November 21, 2011, a true and correct copy of which is attached hereto as Exhibit E.
These documents are filed pursuant to Rule 2.120 of the Trademark Rules of Practice, and are further submissible pursuant to the parties’ Stipulation for the Introduction of Evidence and Direct Testimony During Trial Testimony Periods, filed May 4, 2012 (see TTABVUE #9), which provides that all documents produced during discovery in response to document request or interrogatories are deemed authentic business records of the producing party.
Dated: November 16, 2012
Respectfully submitted,
/s/ Eric J. Goodman
Eric J. Goodman
Amanda J. Mooney
GOODMAN MOONEY, LLP
8001 Irvine Center Drive, Suite 1170
Irvine, California 92618
email@example.com
(949) 622-0020
ATTORNEYS FOR OPPOSER
FLAME & WAX, INC.
CERTIFICATE OF SERVICE
I certify that on November 16, 2012, I served a copy of the above NOTICE OF RELIANCE to the following by U.S. Mail, postage prepaid and by electronic mail:
Kevin Welch, Esq.
Law Offices of Kevin M. Welch
P.O. Box 494
Hermosa Beach, CA 90254 0494
/s/ Eric J. Goodman
Eric J. Goodman
Exhibit D
Pursuant to Rule 34 of the Federal Rules of Civil Procedure and 37 CFR § 1.120, Applicant Laguna Candles hereby responds to Opposer Flame & Wax, Inc.’s First Request For Documents (“Request”).
**GENERAL OBJECTIONS**
The following general objections apply to each of the particular Requests propounded by Flame & Wax, Inc., and are hereby incorporated within each response set forth below. No specific objection is intended to constitute, and should not be construed as constituting, a waiver of any general objection.
1. Laguna Candles objects and responds to the Requests on behalf of itself alone and not on behalf of its agents, persons or entities acting on its behalf, or on behalf of any such division or subsidiary, whether individually or collectively and/or all persons or entities in concert with it or under its direction and control.
2. Laguna Candles objects to the Requests to the extent that they seek to impose obligations different from, or in excess of, those created by the Federal Rules of Civil Procedure.
and the Local Rules. Laguna Candles’ responses are made pursuant to, and as limited by, the Federal Rules of Civil Procedure and the Trademark Trial and Appeal Board Rules.
3. Laguna Candles objects to the Requests to the extent that they seek information and/or documents protected by the attorney-client privilege, the joint defense or common interest privilege, the attorney work product doctrine, and/or any other privileges, protections or doctrines of similar effect. To the extent that Laguna Candles inadvertently produces any information and/or documents protected by the attorney-client privilege, the joint defense or common interest privilege, the attorney work product doctrine or any other privilege or protection, such production is not intended to be, and shall not operate as, a waiver of any applicable privilege with respect to that information and/or document, or any other information and/or document. Laguna Candles reserves the right to demand that Flame & Wax, Inc.’s return any inadvertently produced information and/or documents and copies thereof. Insofar as the production of any information by Laguna Candles in response to these Requests may be deemed to be a waiver of any privilege or right, such waiver shall be deemed to be a limited waiver with respect to that particular information and/or document only.
4. Laguna Candles objects to the Requests to the extent that: (i) Opposer seeks documents that are unreasonably cumulative or duplicative; (ii) Opposer seeks documents that are not currently in the possession, custody or control of Laguna Candles; (iii) Opposer seeks documents that may be obtained from other sources that are more convenient, less burdensome or less expensive; (iv) Opposer seeks documents that are neither relevant to the parties’ claims or defenses in this action, nor reasonably calculated to lead to the discovery of admissible evidence; and (v) compliance with the Requests would be unduly burdensome, overly expensive, annoying or oppressive.
5. Laguna Candles’ production of documents and/or information, do not in any way constitute an adoption of Flame & Wax, Inc.’s purported Definitions of words or phrases contained in the Requests. Laguna Candles objects to the Definitions, and to the purported instructions in such Definitions, to the extent they (i) are unclear, ambiguous, overly broad or
unduly burdensome; (ii) are inconsistent with the ordinary and customary meaning of the words or phrases they purport to define; (iii) seek to impose obligations different from, or in excess of, those created by the Federal Rules of Civil Procedure and the Trademark Trial and Appeal Board Rules; (iv) include assertions of purported facts that are inaccurate, or at the very least are disputed by the parties to this action; and/or (v) incorporate other purported defined terms that suffer from such defects. Without limiting the breadth and general application of these objections, Laguna Candles further objects to the Definitions as follows:
a. Laguna Candles objects to the definitions of "YOU" and "YOUR" in paragraph 5 of the Definitions to the extent they purport to include "any of its employees, agents, persons or entities acting on behalf, or on behalf of any such division or subsidiary, whether individually or collectively and/or all persons or entities acting in concert with it or under its direction and control." on the grounds that: (1) the definition is vague and ambiguous; and (2) the definition is compound, overly broad, unduly burdensome, and beyond the scope of permissible discovery under the Federal Rules of Civil Procedure.
6. Laguna Candles' production of any information and/or documents is not a waiver of any of the objections set forth herein, or an admission or acknowledgement that such information and/or documents are relevant to the subject matter of this action. Further, these responses are without prejudice to, and not a waiver of: (a) Laguna Candles' right to contend at trial, or at any other proceeding in this action, that such information and/or documents are inadmissible, irrelevant, immaterial or not a proper basis for discovery; and (b) any objection by Laguna Candles to any future use of such information and/or documents that Flame & Wax, Inc. may attempt to make.
7. Laguna Candles' responses herein are based on facts presently known to Laguna Candles, and represent a diligent and good faith effort to comply with the Requests. Laguna Candles' discovery and investigation into the matters specified is continuing. Accordingly, Laguna Candles reserves its right to supplement, alter or change its responses and objections to
the Requests, and to produce additional responsive information and/or documents, if any, that Laguna Candles had in its possession, custody or control at the time the Requests were propounded. Furthermore, Laguna Candles reserves the right at trial, or at any other proceeding in this action, to rely on documents, evidence and other matters in addition to the information and/or documents produced in response to these Requests, whether or not such documents, evidence or other matters are newly discovered, or are now in existence but have not been located despite diligent and good faith efforts.
8. Laguna Candles objects to each and every Request to the extent that the Request requires disclosure of information and/or documents which were prepared, generated, or received in anticipation of or after the commencement of this litigation, or are protected from discovery under the attorney-client privilege and/or attorney work product doctrine. Without limitation, Laguna Candles will not produce and/or furnish any information reflecting, in any manner, the mental impressions, conclusions, opinions, legal theories or other work product of his counsel.
9. Laguna Candles objects to each and every interrogatory to the extent that it calls for information which is irrelevant to the subject matter involved in the pending action and/or not reasonably calculated to lead to discovery of relevant evidence.
10. Laguna Candles, in responding, answering, or objecting to each and every Request, does not concede the relevancy and/or materiality of any of those items. Any response, answer, or objection by Laguna Candles is expressly subject to and does not waive:
(a) All objections concerning the competency, relevancy, materiality, confidentiality and/or admissibility as evidence for any purpose, of any of the responses given or documents provided, in any subsequent proceeding including the trial of this action or any other action;
(b) The right to object to any discovery proceeding involving or relating to the subject matter of the requests for admission; and
(c) The right, at any time, to amend, alter, revise, clarify, delete, withdraw, and/or supplement any of the responses, answers, and/or objections set forth herein.
RESPONSES TO REQUEST FOR PRODUCTION OF DOCUMENTS AND TANGIBLE THINGS
REQUEST FOR PRODUCTION NO. 1
Produce any and all COMMUNICATION between YOU and FLAME & WAX.
RESPONSE TO REQUEST FOR PRODUCTION NO. 1
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts, Laguna Candles has located no documents or things that evidence the communications between Flame & Wax, Inc. and Laguna Candles at this time.
REQUEST FOR PRODUCTION NO. 2
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document any and all COMMUNICATION between You and FLAME & WAX.
RESPONSE TO REQUEST FOR PRODUCTION NO. 2
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts, Laguna Candles has located no documents or things that evidence the communications between Flame & Wax, Inc. and Laguna Candles at this time.
REQUEST FOR PRODUCTION NO. 3
RESPONSE TO REQUEST FOR PRODUCTION NO. 3
permit dated docuemtn use of the Laguna Candles mark at least as early as 12/6/2001 (LAGUNA5236).
REQUEST FOR PRODUCTION NO. 4
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document the creation, adoption, and/or selection of YOUR LAGUNA CANDLES trademark.
RESPONSE TO REQUEST FOR PRODUCTION NO. 4
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Laguna Candles produces screenshots from the internet archive the WayBackMachine providing documentation of use of the Laguna Candles mark at least as early as 2001 (LAGUNA5222-5228). Further, Laguna Candles produces Laguna Candles’ Sellers permit dated 12/6/2001 (LAGUNA5236).
REQUEST FOR PRODUCTION NO. 5
RESPONSE TO REQUEST FOR PRODUCTION NO. 5
REQUEST FOR PRODUCTION NO. 6
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document the dollar volume of sales in the United States of all Goods sold by YOU
bearing YOUR LAGUNA CANDLES trademark from the date of claimed first use until the present.
**RESPONSE TO REQUEST FOR PRODUCTION NO. 6**
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts, the only documents or things Laguna Candles was able to locate that is relevant to this Request is a few Supplier packing slips (LAGUNA5202), vendor price sheets and invoices (LAGUAN5203, 5204, 5210, 5211).
**REQUEST FOR PRODUCTION NO. 7**
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document the dollar volume expended by YOU in advertising and promoting YOUR goods bearing YOUR LAGUNA CANDLES trademark in the United States from the date of claimed first use until the present.
**RESPONSE TO REQUEST FOR PRODUCTION NO. 7**
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts the only documents Laguna Candles was able to locate that relate to the dollar volume of advertising are some examples of advertisements (LAGUNA5240, 5241) and later version of the Laguna Candles website www.lagunacandles.com website as shown by screenshots from the WayBackMachine (LAGUNA5229, 5230, 5231, 5232).
**REQUEST FOR PRODUCTION NO. 8**
Produce any and all DOCUMENTS which evidence, reference, reflect, record, and/or document the wholesale, retail, and other channels of trade in the United States through which YOUR goods bearing YOUR LAGUNA CANDLES trademark are/were offered, distributed, and or sold from the date of claimed first use until the present.
RESPONSE TO REQUEST FOR PRODUCTION NO. 8
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts the only documents Laguna Candles was able to locate that is relevant to the Request are various screenshot from Laguna Candles Website www.lagunacandles.com obtained from the Internet archive the WayBackMachine (LAGUNA5222-5232).
REQUEST FOR PRODUCTION NO. 9
RESPONSE TO REQUEST FOR PRODUCTION NO. 9
REQUEST FOR PRODUCTION NO. 10
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document the geographical areas in the United States YOU have sold YOUR goods bearing YOUR LAGUNA CANDLES trademarks from the date of claimed first use until the present.
RESPONSE TO REQUEST FOR PRODUCTION NO. 10
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts Laguna Candles was unable to locate any documents that
reflect the nationwide scope of Laguna Candles sales except the screenshot showing the Laguna Candles website throughout the years (LAGUNA 5222-5232).
REQUEST FOR PRODUCTION NO. 11
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document the number of units of YOUR goods bearing YOUR LAGUNA CANDLES trademark that have been sold in the UNITED STATES from the date of claimed first use until the present.
RESPONSE TO REQUEST FOR PRODUCTION NO. 11
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts Laguna Candles was unable to locate any documents that were responsive to this Request.
REQUEST FOR PRODUCTION NO. 12
Produce any and all DOCUMENTS which evidence, reflecting or summarizing YOUR revenues, including without limitation, invoices and purchase orders, generated from the sale of YOUR goods bearing YOUR LAGUNA CANDLES trademark in the United States from the date of claimed first use until the present.
RESPONSE TO REQUEST FOR PRODUCTION NO. 12
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts Laguna Candles was unable to locate any documents that were responsive to this request.
REQUEST FOR PRODUCTION NO. 13
Produce any and all advertisements and/or promotions utilized by you to promote YOUR goods bearing YOUR LAGUNA CANDLES trademark in the United States from the date of claimed first use until the present.
RESPONSE TO REQUEST FOR PRODUCTION NO. 13
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts Laguna Candles was only able to locate a few documents that were responsive to this Request; a few advertisements (LAGUNA5240-5241) and the screenshots of the website throughout the years (LAGUNA 5222-5232).
REQUEST FOR PRODUCTION NO. 14
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document advertisements, promotional materials or other DOCUMENTS and material bearing YOUR LAGUNA CANDLES trademark in the United States from the date of the claimed first until the present.
RESPONSE TO REQUEST FOR PRODUCTION NO. 14
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts Laguna Candles was only able to locate a few documents that were responsive to this Request; a few advertisements (LAGUNA5240-5241) and the screenshots of the website throughout the years (LAGUNA 5222-5232).
RESPONSE TO REQUEST FOR PRODUCTION NO. 15
REQUEST FOR PRODUCTION NO. 16
RESPONSE TO REQUEST FOR PRODUCTION NO. 16
REQUEST FOR PRODUCTION NO. 17
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document any market research conducted as it related to your goods bearing YOUR LAGUNA CANDLES trademarks in the United States.
RESPONSE TO REQUEST FOR PRODUCTION NO. 17
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: The majority of the disclosures made by Laguna Candles relate to market research (LAGUNA5000-5220).
REQUEST FOR PRODUCTION NO. 18
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document the target class(es) of consumers for YOUR goods bearing YOUR LAGUNA CANDLES trademark.
RESPONSE TO REQUEST FOR PRODUCTION NO. 18
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Laguna Candles produced screenshots of its website and advertisements to respond to this Request. (LAGUNA5222-5322 and LAGUNA5240-5241)
REQUEST FOR PRODUCTION NO. 19
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document YOUR application for a trademark registration for the mark LAGUNA CANDLES with the United States Patent and Trademark Office.
RESPONSE TO REQUEST FOR PRODUCTION NO. 19
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Laguna Candles produced the United States Patent and Trademark Office records for application serial no.: 85/137/006 (LAGUNA 5237-5239).
REQUEST FOR PRODUCTION NO. 20
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document COMMUNICATIONS between YOU and the United States Patent and Trademark concerning YOUR application for a trademark registration for the mark LAGUNA CANDLES.
RESPONSE TO REQUEST FOR PRODUCTION NO. 20
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Laguna
Candles produced the United States Patent and Trademark Office records (LAGUNA 5237-5239).
REQUEST FOR PRODUCTION NO. 21
Produce and all representative copies of all use of YOUR LAGUNA CANDLES trademark on or in connection with YOUR goods including, without limitation, all: advertisements, brochure, bids for contracts, catalogs, labels, packaging, pamphlets, tags, proposals, websites, or any other advertisements or display of YOUR LAGUNA CANDLES trademark.
RESPONSE TO REQUEST FOR PRODUCTION NO. 21
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite ongoing diligent and good faith efforts Laguna Candles was only able to locate a few documents that were responsive to this Request, namely advertisements (LAGUNA5240-5241) and the screenshots of the website throughout the years (LAGUNA 5222-5232).
REQUEST FOR PRODUCTION NO. 22
Produce any and all DOCUMENTS which evidence, reference, reflect, record, and/or document all instances of consumer confusion known to YOU as between YOU and YOUR goods bearing the LAGUNA CANDLES trademark on the one hand, and any other PERSON or entity, including Opposer FLAME & WAX, and their goods, on the other,
RESPONSE TO REQUEST FOR PRODUCTION NO. 22
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite ongoing diligent and good faith efforts Laguna Candles was unable to locate any Responsive documents and this at this time.
REQUEST FOR PRODUCTION NO. 23
Produce any and all assignments, consents, contracts, licenses, permissions, securities, transfers of title, or other documents evidencing and/or conveying interest in YOUR LAGUNA CANDLES trademark.
RESPONSE TO REQUEST FOR PRODUCTION NO. 23
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Laguna Candles is unable to locate any document or thing that is responsive to this Request.
REQUEST FOR PRODUCTION NO. 24
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record and/or document YOUR current inventory of YOUR goods bearing YOUR LAGUNA CANDLES trademark.
RESPONSE TO REQUEST FOR PRODUCTION NO. 24
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite ongoing diligent and good faith efforts Laguna Candles was unable to locate any document or thing that is Responsive at this time.
REQUEST FOR PRODUCTION NO. 25
Produce any and all DOCUMENTS evidence, reference, mention, reflect, record, and/or document YOUR goods currently in development which will bear YOUR LAGUNA CANDLES trademark.
RESPONSE TO REQUEST FOR PRODUCTION NO. 25
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: The majority of the disclosures made by Laguna Candles relate to market research which may lead to newly developed goods (LAGUNA5000-5220).
REQUEST FOR PRODUCTION NO. 26
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document any and all COMMUNICATIONS between YOU and third persons with regard to Opposer Flame & Wax, Inc.
RESPONSE TO REQUEST FOR PRODUCTION NO. 26
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts, no documents or things that evidence communications between Flame & Wax, Inc. and Laguna Candles have been located at this time.
REQUEST FOR PRODUCTION NO. 27
RESPONSE TO REQUEST FOR PRODUCTION NO. 27
REQUEST FOR PRODUCTION NO. 28
RESPONSE TO REQUEST FOR PRODUCTION NO. 28
REQUEST FOR PRODUCTION NO. 29
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document cost incurred by YOU from November 2001 in conjunction with the development of the website under the domain name www.laguancandles.com.
RESPONSE TO REQUEST FOR PRODUCTION NO. 29
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent efforts, no documents or things that evidence the communications between Flame & Wax, Inc. and Laguna Candles at this time.
REQUEST FOR PRODUCTION NO. 30
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document YOUR use of the domain name www.laguancandles.com.
RESPONSE TO REQUEST FOR PRODUCTION NO. 30
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Laguna Candles produced screenshots of the website www.lagunacandles.com as it appeared as recovered by the Internet archive the WayBackMachine and the WHOIS current data of the same website. (LAGUNA5222-5232 and LAGUNA5242-5243).
REQUEST FOR PRODUCTION NO. 31
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document costs incurred by YOU in conjunction with your maintenance of the domain name www.lagunacandles.com and corresponding website.
RESPONSE TO REQUEST FOR PRODUCTION NO. 31
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite
on-going diligent and good faith efforts, no documents or things that evidence domain name maintenance cost have been located at this time.
REQUEST FOR PRODUCTION NO. 32
RESPONSE TO REQUEST FOR PRODUCTION NO. 32
REQUEST FOR PRODUCTION NO. 33
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document YOUR efforts to sell YOUR goods bearing YOUR LAGUNA CANDLES trademark online from the date of claimed first use until the present.
RESPONSE TO REQUEST FOR PRODUCTION NO. 33
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Laguna Candles produced screenshots of the website www.lagunacandles.com as it appeared as recovered by the Internet archive the WayBackMachine (LAGUNA5222-5232).
REQUEST FOR PRODUCTION NO. 34
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document YOUR efforts to sell YOUR goods bearing YOUR LAGUNA CANDLES trademark in retail until outlets from the date of claimed first use until the present.
RESPONSE TO REQUEST FOR PRODUCTION NO. 34
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite
on-going diligent and good faith efforts, no documents or things that evidence efforts to sell goods have been located.
**REQUEST FOR PRODUCTION NO. 35**
Produce any and all DOCUMENTS which IDENTIFY retail locations that have offered for sale and/or sold YOUR goods bearing YOUR LAGUNA CANDLES trademark for the date of claimed first use until present.
**RESPONSE TO REQUEST FOR PRODUCTION NO. 35**
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts, no documents or things that evidence retail locations at this time.
**REQUEST FOR PRODUCTION NO. 36**
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document any business plans as they refer to or relate to use of YOUR LAGUNA CANDLES products in the next five years.
**RESPONSE TO REQUEST FOR PRODUCTION NO. 36**
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts, no documents or things that evidence any business plan has been located at this time.
**REQUEST FOR PRODUCTION NO. 37**
Produce any and all DOCUMENTS which evidence, reference, mention, reflect, record, and/or document surveys conducted by or on behalf of YOU pertaining to or relating to YOUR LAGUNA CANDLES
**RESPONSE TO REQUEST FOR PRODUCTION NO. 37**
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite
on-going diligent and good faith efforts, no documents or things that evidence any relevant survey has been located at this time.
**REQUEST FOR PRODUCTION NO. 38**
Produce any and all DOCUMENTS and COMMUNICATIONS relating to this lawsuit between YOU and all third parties.
**RESPONSE TO REQUEST FOR PRODUCTION NO. 38**
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts, no documents or things that evidence communication with third parties has been located at this time.
**REQUEST FOR PRODUCTION NO. 39**
Produce those DOCUMENTS identified in YOUR initial Disclosures dated October 7, 2011 as “Documents relating to the nature and manner of the use of Laguna Candles’ (sic) intellectual property.”
**RESPONSE TO REQUEST FOR PRODUCTION NO. 39**
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Laguna Candles produced screenshots of the website www.lagunacandles.com as it appeared as recovered by the Internet archive the WayBackMachine and the WHOIS current data of the same website. (LAGUNA5222-5232 and LAGUNA5242-5243).
**REQUEST FOR PRODUCTION NO. 40**
Produce those DOCUMENTS identified in your initial disclosures dated October 7, 2011 as “Documents relating to the trade channels and classes of consumers for products and services offered in connection with Laguna Candles intellectual property.”
**RESPONSE TO REQUEST FOR PRODUCTION NO. 40**
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Laguna
Candles produced screenshots of the website www.lagunacandles.com as it appeared as recovered by the Internet archive the WayBackMachine (LAGUNA5222-5232).
REQUEST FOR PRODUCTION NO. 41
Produce those DOCUMENTS identified in YOUR Initial Disclosures dated October 7, 2011 as “Documents relating to the advertising and marketing of products and services offered in connection with Laguna Candles’ (sic) intellectual property including sales and marketing expenditures.”
RESPONSE TO REQUEST FOR PRODUCTION NO. 41
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Laguna Candles produced screenshots of its website and as well a copy of a few advertisements to respond to this request. (LAGUNA5222-5322 and LAGUNA5240-5241
REQUEST FOR PRODUCTION NO. 42
Produce those DOCUMENTS identified in YOUR Initial Disclosures dated October 7, 2011 as “Documents related to unsolicited media attention and brand recognition for Laguna Candles’ (sic) intellectual property.”
RESPONSE TO REQUEST FOR PRODUCTION NO. 42
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts, no documents related to unsolicited media attention and brand recognition for Laguna Candles’ (sic) intellectual property at this time.
REQUEST FOR PRODUCTION NO. 43
Produce those DOCUMENTS identified in YOUR Initial Disclosures dated October 7, 2011 as “Documents relating to Laguna Candles website and Laguna Candles intellectual property.”
RESPONSE TO REQUEST FOR PRODUCTION NO. 43
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Laguna Candles produced screenshots of the website www.lagunacandles.com as it appeared as recovered by the Internet archive the WayBackMachine and the WHOIS current data of the same website. (LAGUNA5222-5232 and LAGUNA5242-5243).
REQUEST FOR PRODUCTION NO. 44
Produce those DOCUMENTS identified in YOUR Initial Disclosures dated October 7, 2011 as “United States Patent and Trademark Office records for Laguna Candles” (sic) Trademark Application Serial No.: 85/137,006.”
RESPONSE TO REQUEST FOR PRODUCTION NO. 44
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Laguna Candles produced the United States Patent and Trademark Office records for application serial no.: 85/137/006 (LAGUNA 5237-5239).
REQUEST FOR PRODUCTION NO. 45
Produce any and all DOCUMENTS that support, confirm, weigh, against, disconfirm, evidence, refer to, relate to, or concern the matter, issues, facts, opinions, events, or things that are the basis for any part of the admission, denials, defenses, or assertions in YOUR Answer in this Opposition proceeding.
RESPONSE TO REQUEST FOR PRODUCTION NO. 45
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts, no Responsive documents were located at this time.
REQUEST FOR PRODUCTION NO. 46
Produce any and all DOCUMENTS that support, confirm, weigh against, or disconfirm YOUR contention, opinion, or belief that registration of YOUR LAGUNA CANDLES
trademark by the United States Patent and Trademark Office would not damage Opposer Flame & Wax.
**RESPONSE TO REQUEST FOR PRODUCTION NO. 46**
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts, no Responsive documents were located at this time.
**REQUEST FOR PRODUCTION NO. 47**
Produce and all DOCUMENTS that support, confirm weigh against or disconfirm YOUR contention, opinion, or belief that YOU are entitled to the exclusive use of the terms “Laguna Candles” in International Class 04 for “candles and fragrant Candles.”
**RESPONSE TO REQUEST FOR PRODUCTION NO. 47**
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Laguna Candles produced screenshots of the website www.lagunacandles.com as it appeared as recovered by the Internet archive the WayBackMachine (LAGUNA5222-5232).
**REQUEST FOR PRODUCTION NO. 48**
Produce and all DOCUMENTS that support, confirm, weigh against, or disconfirm YOUR contention, opinion, or belief that YOUR LAGUNA CANDLES trademark consists of matter which, when applied to YOUR goods, is **not** merely descriptive, primarily geographically descriptive, or generic in violation of 15 U.S.C. §1052(e).
**RESPONSE TO REQUEST FOR PRODUCTION NO. 48**
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts, no Responsive documents were located at this time.
REQUEST FOR PRODUCTION NO. 49
Produce and all DOCUMENTS that support, confirm, weigh against, or disconfirm YOUR contention, opinion, or belief that the term “Laguna,” is not a generic term commonly used to refer to the generally known geographic location, Laguna Beach, California.
RESPONSE TO REQUEST FOR PRODUCTION NO. 49
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts, no Responsive documents were located at this time.
REQUEST FOR PRODUCTION NO. 50
Produce and all DOCUMENTS that support, confirm, weigh against, or disconfirm YOUR contention, opinion, or belief that the term “Candle” is not a generic term used to identify the goods sold by you.
RESPONSE TO REQUEST FOR PRODUCTION NO. 50
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent efforts, no Responsive documents were located at this time.
REQUEST FOR PRODUCTION NO. 51
Produce and all DOCUMENTS that support, confirm, weigh against, or disconfirm YOUR contention, opinion, or belief that FLAME & WAX’S use of the term “Laguna” in connection with its manufacturing distribution, marketing, offering for sale, and sale of candles had damaged YOU.
RESPONSE TO REQUEST FOR PRODUCTION NO. 51
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Despite on-going diligent and good faith efforts, no Responsive documents were located at this time.
REQUEST FOR PRODUCTION NO. 52
Produce any and all DOCUMENTS that concern, evidence, reference, mention, reflect, record, and/or documents all fictitious business name filings by you or on YOUR behalf.
RESPONSE TO REQUEST FOR PRODUCTION NO. 52
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Laguna Candles produced its business license and sellers permit from 2001 (LAGUNA5235-5236).
REQUEST FOR PRODUCTION NO. 53
Produce any and all DOCUMENTS that concern, evidence, reference, mention, reflect, record, and/or document licenses obtained by YOU from any public entity.
RESPONSE TO REQUEST FOR PRODUCTION NO. 53
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Laguna Candles produced its business license and sellers permit from 2001 (LAGUNA5235-5236).
REQUEST FOR PRODUCTION NO. 54
Produce any and all DOCUMENTS YOU intend to offer as evidence in this matter.
RESPONSE TO REQUEST FOR PRODUCTION NO. 54
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows: Laguna Candles produces documents LAGUNA5000-LAGUNA4243. Laguna Candles reserve the right to offer additional document into evidence as well as supplement its answers to this Request for Productions.
Respectfully submitted,
Dated: November 21, 2011
By: ____________________________
Kevin M. Welch
THE LAW OFFICE OF KEVIN M. WELCH
P.O. Box 494, Hermosa Beach, CA 90254
Tel.: (310) 929-0553, Fax (310) 698-1626
Attorney for Applicant
LAGUNA CANDLES
CERTIFICATE OF SERVICE
I hereby certify that a true and complete copy of the forgoing APPLICANT LAGUNA CANDLES' RESPONSE TO OPPOSER FLAME & WAX, INC.'S FIRST REQUEST FOR PRODUCTION OF DOCUMENTS have been served upon Opposer FLAME & WAX, INC., U.S. First Class Mail, postage prepaid, on November 21, 2011 at the following address:
Dated: November 21, 2011
By: ____________________________
Kevin M. Welch
THE LAW OFFCIE OF KEVIN M. WELCH
P.O. Box 494,
Hermosa Beach, CA 90254
Tel.: (310) 929-0553
Fax (310) 698-1626
Attorney for Applicant
LAGUNA CANDLES
November 18, 2011
Sharie Henricks
Laguna Candles
3038 Mountain View Drive
Laguna Beach, CA 92651
Dear Sharie Henricks,
On behalf of SchoolPower, we graciously thank you for participating in Firebrand Media’s “Laguna Style” and for your donation of Eco-Friendly Candles for the silent auction. Due to the generosity of community minded businesses like Laguna Candles, we were able to raise nearly $9,000 in support of SchoolPower and education in Laguna Beach.
SchoolPower is a nonprofit organization committed to raising money for all four Laguna Beach public schools. Governed by a board of parent trustees, SchoolPower depends on a multitude of volunteers, part-time staff, and a generous community to reach its goals. Programs supported by SchoolPower range from teacher grants, the arts, foreign language, athletics, and technology.
If you have any questions or would like to participate in other SchoolPower events we would be happy to meet or send you information on our upcoming events. Our Dinner Dance, hosted at The Montage in Laguna Beach, will be held March 3, 2012 and will provide another opportunity for participating in a silent auction.
Thank you for contributing and helping Laguna Beach enrich the education of every child in the district.
With gratitude,
Mike Austin
VP Business Alliance
# Laguna Candles Order Form – March – June 2011
| From: Laguna Candles | Customer No.: |
|----------------------|--------------|
| 3038 Mountain View Dr., Laguna Beach, CA 92651 | Terms: |
| Ship To: | Salesperson: |
| | Ship Week Of: |
| | The Artisan Line |
| Order No: | Delivery Via: | Routing: |
|-----------|---------------|----------|
| Scent | Quantity Ordered | Size | Price | Total |
|----------------|------------------|----------|---------|-------|
| Datura Blossom | | | | |
| Sage Lavender | | | | |
| Ginger | | | | |
| Egyptian Musk | | | | |
| Laguna Valley | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| 2”x2” 4oz. $15.00 | 3”x3” 7oz. $25.00 | 4”x4” 18oz. $45.00 | 4”x4” Rnd. 18oz. $45.00 | 4”x6” Rnd. 25oz. $55.00 | 6”x6” Rnd. 56oz. $120.00 |
| Note / Comments: | Date: | Buyer’s Signature: |
|------------------|-------|-------------------|
| | Email: |
| | Phone No.: |
| | Credit Card No.: |
Laguna Candles Order Form – August – December 2011
From: Laguna Candles
3038 Mountain View Dr., Laguna Beach, CA 92651
Ship To:
| Scents | Quantity Ordered | Size | Price |
|-----------------|------------------|----------|---------|
| Coastal | | | |
| Etoile | | | |
| Laguna Paradise | | | |
| White Amaryllis | | | |
| Tide Pool | | | |
| Size | Price |
|-----------------|---------|
| 2"x2" 4oz. $15.00 | |
| 3"x3" 7oz. $25.00 | |
| 4"x4" 18oz. $45.00 | |
| 4"x4" Rnd. 18oz. $45.00 | |
| 4"x6" Rnd. 25oz. $55.00 | |
| 6"x6" Rnd. 56oz. $120.00 | |
Note / Comments:
Date:
Email:
Phone No.:
Credit Card No.:
## Packing Slip
**Date:** 11/18/2011
**Invoice #:** 2214
### Ship To
LAGUNA CANDLES
3038 MOUNTAIN VIEW DR.
LAUGNA BEACH CA, 92651
TEL: 949-494-8186
| S.O. No. | P.O. No. | Rep | Ship | Via | FOB | Project |
|----------|----------|-----|------|-----|-----|---------|
| 912 | | | 11/18/2011 | | | |
| Item Code | Description | Quantity | U/M |
|-------------|--------------------------------------------------|----------|-----|
| LAG-TEALIGHT| 12 PACK TEALIGHT - LAGUNA PARADISE | | |
| LAG-TEALIGHT| 12 PACK TEALIGHT - PUMPKIN SPICE | | |
| LAG-TEALIGHT| 12 PACK TEALIGHT - SALINA BLOOM | | |
| LAG-TEALIGHT| 12 PACK TEALIGHT - TIDE POOL | | |
| LAG-TEALIGHT| 12 PACK TEALIGHT - UNSCENTED | | |
| LAG-SQ-SM-LP| LAGUNA CANDLES SQUARE, SMALL, LAGUNA PARADISE | | |
| LAG-SQ-LA-LP| LAGUNA SQUARE CANDLES, LARGE, LAGUNA PARADISE | | |
| LAG-SQ-XLA-LP| LAGUNA CANDLES SQUARE, X-LARGE, LAGUNA PARADISE | | |
ALL CLAIMS MUST BE MADE WITHIN 2 DAYS OF RECEIPT OF GOODS.
NO RETURNS ACCEPTED WITHOUT PRIOR AUTHORIZATION.
IF ITEMS ARE ACCEPTED THERE WILL BE A 15% RESTOCKING FEE.
LAGUNA5201
Southern California Candle Company, Inc.
2021 N. San Fernando Rd.
Los Angeles, CA 90065
Tel: 323-441-0104
Fax: 323-441-0263
Packing Slip
Date | Invoice #
-----|---------
11/18/2011 | 2213
Ship To
LAGUNA CANDLES
3038 MOUNTAIN VIEW DR.
LAUGNA BEACH CA, 92651
TEL: 949-494-8186
| S.O. No. | P.O. No. | Rep | Ship | Via | FOB | Project |
|----------|--------------|-----|------------|-----|-----|---------|
| 911 | 11-071613-GDM| | 11/18/2011 | | | |
| Item Code | Description | Quantity | U/M |
|-------------|---------------------------------------------------|----------|-----|
| LAG-SQ-LA-LP| LAGUNA SQUARE CANDLES, LARGE, LAGUNA PARADISE | | |
| LAG-SQ-XLA-LP| LAGUNA CANDLES SQUARE, X-LARGE, LAGUNA PARADISE | | |
| LABEL | LABEL CHARGE | | |
| SETUP | SETUP CHARGE | | |
ALL CLAIMS MUST BE MADE WITHIN 2 DAYS OF RECEIPT OF GOODS.
NO RETURNS ACCEPTED WITHOUT PRIOR AUTHORIZATION.
IF ITEMS ARE ACCEPTED THERE WILL BE A 15% RESTOCKING FEE.
## Sales Producers Inc.
1933 South Broadway, Suite 451
Los Angeles, CA 90007
Ph: 800-346-9613 Ph2: 213-747-8133
Fax: 800-750-0944
www.salesproducersinc.com firstname.lastname@example.org
### Vendor: Root Candle Co
| Customer Purchase Order Number | 100-80466 |
|-------------------------------|-----------|
| Order Status | HFC |
| Order Date | May-15-2009 |
| Req'd Ship Date | ASAP |
| Cancel Date | |
| Back Orders Accepted | Yes |
| Ship Via | Best |
| FOB | |
| Program | |
| Payment Terms | Net 30 |
### Sales Location: L.A. Showroom
Order Taker: Maricela Hernandez
Sales Rep: House House
Ph: 800-346-9613 Fax: 800-750-0944
Email: email@example.com
### Bill To (Acct# 280583)
**LAGUNA CANDLES**
3038 MOUNTAIN VIEW DR.
LAGUNA BEACH, CA 92651
Phone: 949-494-8186 Fax: 949-494-2376
Email: firstname.lastname@example.org
### Ship To
**LAGUNA CANDLES**
3038 MOUNTAIN VIEW DR.
LAGUNA BEACH, CA 92651
UNITED STATES
Phone: 949-494-8186 Fax: 949-494-2376
### Order Items (sorted by Entry Order)
| SKU | UPC/Barcode | Qty | UOM | Description | Unit Price | Extended |
|---------|---------------|-----|-----|--------------------------------------------------|------------|----------|
| 9987CON | 735048236660 | 4 | EA | ROOT SCENTIMENT GIFT BOX | 7.25 | 29.00 |
| 9987ENC | 735048236677 | 4 | EA | ROOT SCENTIMENT GIFT BOX | 7.25 | 29.00 |
| 9987FRI | 735048236864 | 4 | EA | ROOT SCENTIMENT GIFT BOX | 7.25 | 29.00 |
| 9987WEL | 735048236721 | 4 | EA | ROOT SCENTIMENT GIFT BOX | 7.25 | 29.00 |
| 9987SYM | 735048236707 | 4 | EA | ROOT SCENTIMENT GIFT BOX | 7.25 | 29.00 |
| 9987THA | 735048236714 | 4 | EA | ROOT SCENTIMENT GIFT BOX | 7.25 | 29.00 |
| 9987MIS | 735048236691 | 2 | EA | ROOT SCENTIMENT GIFT BOX | 7.25 | 14.50 |
| 9985137N| 735048188099 | 2 | EA | ILLUMINOIR GIFT BOX 2S CRISP | 12.50 | 25.00 |
| 998559N | 735048188198 | 2 | EA | ILLUMINOIR GIFT BOX 2S ENGLISH | 12.50 | 25.00 |
| 998541N | 735048173798 | 2 | EA | ILLUMINOIR GIFT BOX 2S TANGERINE | 12.50 | 25.00 |
| 9985169N| 735048188112 | 2 | EA | ILLUMINOIR GIFT BOX 2S GINGER | 12.50 | 25.00 |
| 9985155N| 735048188181 | 2 | EA | ILLUMINOIR GIFT BOX 2S WALK | 12.50 | 25.00 |
| 9976137 | 735048160941 | 2 | EA | METROLIGHT GLASS CRISP LINEN | 11.50 | 23.00 |
| 9976155 | 735048211377 | 2 | EA | METROLIGHT GLASS WALK ON THE PINEAPPLE | 11.50 | 23.00 |
| 9976169 | 735048226722 | 4 | EA | METROLIGHT GLASS GINGER CREAM | 5.75 | 23.00 |
| 997641 | 735048161146 | 2 | EA | METROLIGHT GLASS TANGERINE | 11.50 | 23.00 |
| 997659 | 735048161214 | 2 | EA | METROLIGHT GLASS ENGLISH | 11.50 | 23.00 |
| 131017 | 735048127388 | 3 | BX | SC.TEALIGHT 8S FRENCH VANILLA | 3.76 | 11.28 |
| 1310155 | 735048211216 | 3 | BX | SC.TEALIGHT 8S WALK ON THE PINEAPPLE | 3.76 | 11.28 |
| 1310210 | 735048242005 | 3 | BX | SC.TEALIGHT 8S PUMPKIN SPICE | 3.76 | 11.28 |
| 131078 | 735048130265 | 3 | BX | SC.TEALIGHT 8S VICTORIAN FAN | 3.76 | 11.28 |
| 1310197 | 735048241404 | 3 | BX | SC.TEALIGHT 8S MADAGASCAR | 3.76 | 11.28 |
| 1310137 | 735048152465 | 3 | BX | SC.TEALIGHT 8S CRISP LINEN | 3.76 | 11.28 |
| 1157 | 735048211643 | 2 | BX | 20 HOUR VOTIVE ORANGE VANITY | 8.82 | 17.64 |
| 144 | 735048134096 | 2 | BX | 20 HOUR VOTIVE PUMPKIN SPICE | 8.82 | 17.64 |
Version 10.049.015
Printed: 5/15/2009 4:46:30 PM
Page 1 Of 2
103210020090513141749656
Sales Order 100-80466
To view or print your Sales Orders online, please visit www.bwconnect.com
Hi Sharie!
Congratulations on the great write up in the Coastline Pilot!
I wanted to forward you information on our upcoming "Taste of Laguna" and Community EXPO which takes place atop the Glenneyre parking structure and includes a trade show, safety expo, green fest concert. This would be a great opportunity for you to introduce your product to the community. And yes, selling is allowed....great opportunity to kick off holiday shopping!
I have attached information on the event. Please get your reservation in as space is limited.
I look forward to meeting you!
I will also forward information about the Forest Avenue Promenade -- each Third Thursday of the month, we close the 200 block of Forest Ave for dining, dancing, music, entertainment -- great night in town! September will feature something special from Hurley!
Kindest Regards,
Rose
Join us on Thursday, October 8, from 5-9 p.m. for the Laguna Beach Chamber of Commerce
"Taste of Laguna" & Community Expo
"The Taste of Laguna & Community Expo offers participants targeted exposure, while giving businesses an opportunity to support the community in which we live and work. In today's economy, the Community Expo is a sensible and affordable option for small business."
INVOICE
SOLD TO
LAGUNA CANDLES
3038 MOUNTAIN VIEW DR
LAGUNA BEACH CA 92651
SHIP TO
LAGUNA CANDLES
3038 MOUNTAIN VIEW DR
LAGUNA BEACH CA 92651
| ORDER DATE | CUSTOMER NO. | SALESMAN | WHSE. | TERR. | SHIP VIA |
|------------|--------------|----------|-------|-------|----------|
| 3/31/2005 | 280583-0000 | 337 | M2 | | upa groundas |
| INVOICE DATE | CUSTOMER P.O. NO. | ORDER NO. | TERMS | | F.O.B. |
| 4/30/2005 | SHARE 03/31 | 652438 | Credit Card | | |
| ITEM CODE | DESCRIPTION | U/M | QTY:SHIPPED | QTY BACKORDERED | UNIT PRICE | DLRAMV | AMOUNT |
|-----------|-------------|-----|-------------|-----------------|------------|--------|--------|
| | BJR 033105 726.38 | | | | | | |
| | ************CREDIT CARD ORDER********** | | | | | | |
| | The following items are ONLY shipped from our TX facility: Timberline and Timberlight Pillars, Queen Bee Jars in Large, Medium and Small - but NOT Mini Queen Bee Jars. All other items will be shipped from our Ohio facility, including Timberline Colonnade and a Timberline Aristata. You will receive separate Packing Slips and Invoices for each shipment from each facility. | | | | | | |
| 17500143 | BLOOD ORANGE BOXED SQUARE GLAS | EA | 3 | | 10.00 | | 30.00 |
| 17500142 | OAKMOSS BOXED SQUARE GLASS | EA | 3 | | 10.00 | | 30.00 |
| 17500142 | SNOW DRAGON BOXED SQUARE GLASS | EA | 3 | | 10.00 | | 30.00 |
YOUR CREDIT CARD HAS BEEN CHARGED
$ 90.00
DATE 4-30-05
AUTH# 531772
INVOICE AMOUNT WILL BE APPLIED TO YOUR CREDIT CARD
TOTAL UNITS 9 CARTONS 1
GROSS AMOUNT 90.00
MISC CHARGE .00
FREIGHT .00
SALES TAX .00
INVOICE AMT 90.00
PLEASE REMOVE THIS STUB AND RETURN WITH YOUR PAYMENT.
ACCOUNT NUMBER 280583-0000
INVOICE NUMBER 01230290
INVOICE AMOUNT 90.00
PLEASE REMIT TO:
A.I. ROOT CO.
P.O. BOX 75596
CLEVELAND, OHIO 44101-4755
LAGUNA CANDLES
3038 MOUNTAIN VIEW DR
LAGUNA BEACH CA 92651
DEDUCTION TAKEN
PAYMENT ENCLOSED
CHECK NUMBER .00
LAGUNA5210
Search Engine Readiness Analysis for: www.lagunacandles.com
This document is the first step in fine-tuning your Web site. Here we will present our analysis of the nature of your site, our analysis of the most common searches people make to try to find sites like yours, and our recommendations to maximize your site traffic. The most popular search engines each look at different site features when searching and indexing the Web, and our recommendations take this into account: they’re designed to improve your site’s accessibility and ranking for as many search engines as possible. We’ll also steer you clear (if necessary) of any problems or mistakes on your site that could lead to it being downgraded or rejected by the search engines.
What do I need to do?
1. Read this analysis and let us know if we’ve misunderstood your site.
2. Implement the recommendations as you see fit. While we’ve attempted to preserve the integrity of your message and marketing presentation, our recommendations are targeted on making your site more accessible by search engines. If you feel some of our recommendations aren’t right for your site you can, of course, contact us to re-evaluate your site based on your feedback. If you’ve ordered our submission services, we can also go ahead and submit your site as-is if you’d prefer.
3. Read the terms and conditions, sign the information form on page 3 of this report and fax it back to us at +1 416 269 9768 with any comments or corrections noted.
4. Once we’ve settled on the final meta tags, contact us and we’ll email you the html code to insert into the <head> section at the top of the page on your site.
And then?
Once we have your feedback and the necessary administrative information, we’ll go ahead with the actual submission to the search engines. Submission to the search engines will not take place until we have your express permission to go ahead.
Please be aware that after we submit your URL to the search engines, they may take a while to get around to indexing the pages. Some engines and directories take up to eight weeks or even longer to visit your page and add it to their index.
Some notes on search engine No-No’s:
Search engines will retaliate against sites that misrepresent themselves to gain a higher ranking or engage in practices designed to manipulate the search results. We’ll look out for these on the URL we’re submitting. You should avoid these pitfalls on other pages of your site and in future edits you make to the site.
The practices include (but aren’t limited to) the following:
- **Invisible text**: Text on the page that is invisible to browsers but can be picked up by search engines (white text on a white background, for example). The idea here is to increase the number of keyword hits in the hope of getting a higher ranking.
- **Selective redirection**: A page that immediately redirects to another or serves a different page if the visiting program is a search robot rather than a browser, effectively falsifying or distorting the search results. If you must redirect a page, stick to server side redirects instead of using page based redirects like the Meta refresh tag.
- **Spamming or Stuffing Keywords**: Repeating keywords many times to try to trick the engine into giving a higher ranking in either the keyword tag or the page text itself.
- **Spamlish**: Computer-generated text that is supposed to be taken by the search engine as English but is actually just a random jumble of keyword phrases masquerading as body text on the page.
- **Irrelevant Content**: Using keywords that match common searches but have nothing to do with the actual content of the site.
- **Links for the Sake of Having Lots of Links**: Attempts to fool search engines that rank sites on the basis of how many links there are to them from the rest of the Web, by setting up pages elsewhere which are nothing but lists of links coming back to the site.
While these strategies may have worked to some extent in the past, the search engine companies are wise to them now, and if they detect any of them they will downgrade your ranking and may ban your site altogether. Good Internet citizenship is essential if you want your site to succeed.
**A Few Words About Macromedia Flash and Java Scripts:**
Some popular Web site features aren’t very “search engine friendly.” These features won’t get your site banned, but they may make it difficult for search engine robots to traverse the site and read your page content.
- Like image files, Macromedia Flash movies may hide page content. Search engines are not currently indexing Flash, and can’t read the information contained within Flash movies. If you are going to use Flash, make certain that you do not use it for the navigational structure of your site and that all of your important information is not contained within the movie.
- Search engines tend to give more relevance to information closer to the top of a page’s source code. Using Java Scripts and Cascading Style Sheets at the top of your code can therefore impact the relevancy of the text on your page. If you use either Java Scripts or Cascading Style Sheets on your site, make use of .js or .css files whenever possible.
Domain: www.lagunacandles.com
Company Name:
Address:
City:
State/Province:
Zip/Postal Code:
Country:
Site Contact Person:
First Name:
Last Name:
Title:
Email:
In connection with the provision of the Services by SEVENtwentyfour Inc., the undersigned hereby confirms that it is the legal owner of the URL specified, an employee of the legal owner of the URL, or has obtained the express written permission from the legal owner of the URL to permit the performance of the Services by SEVENtwentyfour Inc. on the URL. The undersigned hereby expressly indemnifies and holds SEVENtwentyfour Inc. harmless from any losses, damages or claims which may be suffered by a third party in connection with the performance of the Services by SEVENtwentyfour Inc. The undersigned has read and accepts the terms of use set out at [URL], and hereby authorizes and directs SEVENtwentyfour Inc. to perform the Services on the URL.
Signed: ____________________________ Date: ____________________________
Name: ____________________________ Title: ____________________________
Company: ____________________________
Please check one of the following options:
☐ Please send syntax for my meta tags.
☐ Please go ahead and submit my site as is.
☐ Please wait for me to contact you before submitting.
Have you subscribed to our RankChecking service?
If yes, consider updating your RankChecking search phrase to the key search phrase listed in the following report. This will allow you to track the results of your site’s optimization.
☐ Yes, update my search phrase in RankChecking.
Our Recommendations
URL:
This is the URL that we’ll submit to the search engines. Most of the search engines “spider” your site by following the links from the submitted page. It’s generally best to submit the root page of your site, since you want to make sure they index this page, and the rest of the site will usually be accessible from there.
For your site, we recommend:
http://www.lagunacandles.com/index.html
Key Search Phrase:
The key to maximizing traffic to your site is identifying the search phrase people most commonly use to try to find sites offering products or services like yours. Once the phrase is selected, the site is fine-tuned to attempt to ensure that it will be ranked in the top 20 for that search phrase.
To help you choose the right phrase, we first examine your site thoroughly in order to understand your business. Then we check the usage statistics for the major search engines to find the most popular phrase that fits your site. This isn’t always as straightforward as you might think! For example, if your site lists jobs you might assume “employment opportunities” is a good phrase. Actually, the statistics show that people are twice as likely to search for “job opportunity,” three times as likely to try “job listing,” and eighteen times as likely to type in “job search.” This is part of the expertise we bring to your analysis.
For your site, we recommend using the phrase:
Scented Soy Candles
Title:
The title of your page is given the greatest weight by most of the search engines, so one of the best ways to get a top ranking is to have the key phrase in your title. You might be tempted to try including many phrases in your title, but actually that strategy doesn’t work. Search engines will only index a pre-determined amount of characters in this tag & will generally display even less.
For your site, we recommend:
You Can Copy and Paste to replace the old TITLE TAG:
YOUR OLD TITLE:
<title>Laguna Candles</title>
NEW TITLE TO PASTE:
<title>Scented Soy Candles Highly Scented Candles and Beauty Products</title>
Keywords:
Be advised, the majority of search engines no longer place any value on the content of the Meta keyword tag. Of the crawlers that do index the content of this tag, the information is only useful as a means of reinforcing terms that are also included in other key areas of your page, including the title tag and body text.
A common mistake in defining keywords is to compile a long list of single words that are somehow related to the content of your site. In practice, few people search for single words, because most people know that single word searches typically yield tens of millions of hits. It’s far better to define a small number of keyword phrases that people actually use to search, and to incorporate these same phrases into the page text itself.
Keywords should be repeated as little as possible within the keyword tag. Originally, search engines simply counted them, so a site with the defined keywords “job, job, job, job, job, job” would be rated an excellent match for a search for “job” and ranked highly. Now, however, if an engine spots too many repeated keywords it will not index the page and may ban it from future searches. Even if the word appears only a few times, your ranking may be reduced for every occurrence. For this reason, we often recommend three-word phrases that may look a little strange. For example, if we think people will search for your site with “designer fashion” or “fashion supplies,” we would recommend the keyword phrase “designer fashion supplies,” because this would match either search and wouldn’t involve any repetition.
For your site, we recommend:
You can copy and paste this KEYWORDS LIST to replace the old Keyword list into your document:
PASTE IN BETWEEN <HEAD> and </HEAD>
<meta name="keywords" content="scented soy candles, unscented candles, soy scented candles, candles, aromatherapy candles, scented candle, handmade candle, votive candle, wedding candle, candle, beauty, health, warm, glow, candlelight, soap, beeswax, scents, mood, romantic, ambiance, skincare products, nutritional supplements, herbal blend tea, body care, hair care, spa, shower gel, wax, fire, light, collenettes, jars, foundation, cheek colors, finishing powder, lip gloss, concealer, creams, lotions, deep cleanse, hydrate, lift, fragrance, shampoo, conditioner, hair tonic, herbal tea, normal to very dry, dandruff, dandruff control, harsh, dry, seasonal, weathered skin, nutritionals, nutritional supplements, vitamins, herbal supplement, agaricus, immune, immune system, weight loss supplement, wrinkles, rejuvenated skin, smooth skin, sun protection, uv protection, blemishes, acne, whiteheads,"
blackheads, large pores, enlarged pores, oily skin, dry skin, normal skin, california, laguna beach"
Body Text:
Studies show that sites with about 200 words of copy on a page achieve the best rankings, and that pages with little or no text may not be added to the engine indexes or ranked at all. In other words, the kind of root page many people find impressive, with a big image or logo of some kind and an invitation to "Enter Here," is about the worst design possible for success with the search engines. Not only should text feature prominently on your page, the body of the text should tie in with your title and keywords by echoing the key phrases.
If the main title of your page has the words presented within a graphic, you should also include the title as straight text or as an "ALT" property of the graphic. Since the search engine robot can't read the content of the graphic, this technique can boost your ranking by further supporting your key phrases.
For your site we recommend:
4. Images can have Alt tags embedded in them, which can explain the image and provide space for key search phrases. We recommend adding Alt tags to the following images, using these phrases:
You can copy and paste the alt=" " tag onto your webpage.
***ADD ALT TAGS TO THESE IMAGES***
src='logo gold.gif' alt="Scented Soy Candles and Beauty Products from Laguna Candles "
src='myaccount.gif' alt="Log into your account to purchase Scented Soy Candles and Beauty Products"
src='help2.gif' alt="Customer Service to help you purchase Scented Soy Candles and Beauty Products"
src='phonenumber.gif' alt="Phone number for Laguna Candles – Home of the best scented soy candles"
src='home727-2.gif' alt="Home page of Laguna Candles – Scented soy candles"
src='candles727.gif' alt="View all of our scented soy candles and other candles"
src='beauty727.gif' alt="View our beauty and health products from Laguna Candles – Home of the best scented soy candles"
src='sbag727.gif' alt="View your shopping cart"
src='search726.gif' alt="Search for items including scented soy candles"
src='go726.gif' alt="Search for items including scented soy candles"
src='dept.gif' alt="Departments of Laguna Candles"
src='scanides.gif' alt="View all our scented soy candles and other candle products"
src='beautyh.gif' alt="View all our beauty and health products at Laguna Candles – Home of the best scented soy candles"
src='value727.gif' alt="Look at our special value deals on products such as scented soy candles"
src='gcerti727.gif' alt="Use gift certificates on all our products including scented soy candles"
src='mail727.gif' alt="Become a member and receive more information on all scented soy candles and other products"
src='noevir3.gif' alt="Noevir – Where beauty is science"
src='page4.jpg' alt="Some of our products including scented soy candles and health and beauty products"
2. Search engines give much weight to the content of a strong title text. The closer to the top of the <BODY> Tag on the page the more important Search engines consider this text.
You can copy and paste the <H1> statement under the <Body> tag of your document.
PASTE BELOW SENTENCE UNDERNEATH THE <BODY> TAG:
<H1>Scented Soy Candles – Highly Scented Candles and Beauty Products from Laguna Candles</H1>
3. Tweaking the body text to incorporate key search phrases will improve search engine ranking. We recommend the following:
– Highly Scented Candles and Beauty Products from Laguna Candles
Scented Soy Candles from Laguna Candles are our main specialty of candles. We carry a large selection of decorative candles, and accessories for candles as well as Natural Personal Care Products.
You will find a wide selection of candle sticks, taper candles, collenette candles, pillar candles, soy candles, votives, tea light candles, candle melts, romantic candles for dinner, travel tins, specialty and wedding candles to satisfy the most discriminating tastes. Our pillar candles are developed with a special safety feature that self extinguishes to safeguard against a forgotten candle.
We are a family owned and operated business located in beautiful Laguna Beach, California. We take great pride in providing our customers with a large assortment of decorative, scented and unscented, beeswax and soy candles. Our are quite possibly the best on the market and our scents feature the very essence of quality, purity and simplicity only found in our natural product.
Our and other candles represents the very essence of naturally pure and beautiful products to enhance your home and enshance your rooms in the warm glow of candlelight. Fit for every occasion of your life, are a wonderful way to relax and rejuvenate yourself.
Please don’t forget, visit our Beauty & Health section and explore our fine line of all-natural personal care items from Japan. Featuring our collection of Noevir skincare products, nutritional supplements, herbal blend tea, body care, hair care, soaps and gifts sets, sun defense and cosmetics.
Description:
The search engines don’t use your defined description to index or rank your page, but some will display it when a search returns a hit to your page, so it needs to give a clear, concise summary of your site and what you have to offer.
For your site we recommend:
You can copy and paste the new description into the head of your document:
PASTE NEW DESCRIPTION:
<meta name="description" content="Scented Soy Candles from Laguna Candles. Large selection of scented soy candles, decorative candles, and accessories for candles. Enjoy the glow of the candles light with Scented Soy Candles. Beauty Products are also available">
Directory Description:
Directories like Yahoo! and The Open Directory Project require a short description without any sales or promotional language, so a second, edited-down version is also needed. This directory description should not be included in the Meta data for your site.
For your site, we recommend:
This can be copied and pasted into the Directory Description upon submission.
Scented Soy Candles and Natural Personal Care Products from Laguna Candles
Yahoo! Categories:
Yahoo! is actually a directory rather than a search engine, since human editors assign the site to categories. Since Yahoo! charges a $200 processing annual fee for the consideration of commercial sites into their directory, we do not include submission to their directory in our Search Engine Submission service. Should you choose to submit to Yahoo! on your own, the category listed below includes sites similar to yours.
For your site, we recommend:
WE THINK YOU SHOULD SUBMIT UNDER THE CATEGORY:
http://dir.yahoo.com/Business_and_Economy/Shopping_and_Services/Home_and_Garden/Housewares/Candles/
The Open Directory Project Categories:
The Open Directory Project (www.dmoz.org) has partnerships with several major Search Engines, including AOL Search, AltaVista, HotBot, Google, Lycos and Netscape Search. Like Yahoo!, submissions to the Open Directory Project are overseen by human editors. We'll submit your site to the following category in their directory. If your site is accepted, it can take anywhere from 2 weeks to several months before it is listed in the directories of any of the partner sites.
For your site, we recommend:
WE THINK YOU SHOULD SUBMIT UNDER THE CATEGORY: Makin
g/Candles/
LAGUNA
LAGUNA is a leading furniture and home decor company, specializing in high-quality, stylish, and affordable products for your home. Our mission is to provide our customers with the best possible experience, from the moment they visit our website until after their purchase.
Our products range from classic to modern, and we offer a wide variety of styles to suit any taste. Whether you're looking for a statement piece for your living room or a functional item for your kitchen, we have something for everyone.
We pride ourselves on our commitment to customer satisfaction. We strive to ensure that every order is delivered on time and in perfect condition. If you have any questions or concerns, please don't hesitate to contact us.
Thank you for choosing LAGUNA. We look forward to serving you!
Welcome to Laguna Candles.
Designer Soy Candles, Natural Beeswax Candles, Fragranced Tassels, Upscale Home Decor, Personal Accessories
Laguna Candles is a family owned and operated company that has been in business since 1985. We pride ourselves on offering the highest quality products at competitive prices. Our commitment to customer satisfaction is reflected in our attention to detail and our dedication to providing exceptional service.
Our products are made from the finest materials available, ensuring that each item meets our high standards for quality and durability. We believe that by offering only the best, we can provide our customers with products that will bring joy and beauty into their homes.
We hope you enjoy browsing our website and discovering the many ways in which Laguna Candles can enhance your life. If you have any questions or comments, please don't hesitate to contact us. We look forward to serving you soon!
Welcome to Laguna Candles
Designer Soy Candles, Natural Beeswax Candles, Fragrance of Tassels, Upscale Home Decor, Personal Accessories
Laguna Candles is a family owned and operated company that has been in business since 1984. We pride ourselves on our commitment to quality, customer service, and environmental responsibility. Our candles are made from 100% natural soy wax and beeswax, and we use only the finest fragrances and essential oils.
We offer a wide range of products, including designer soy candles, natural beeswax candles, fragrance of tassels, upscale home decor, and personal accessories. Our candles are hand-poured in small batches, ensuring the highest quality and attention to detail.
At Laguna Candles, we believe that every candle should be a work of art, and we take great care to ensure that each one is beautifully crafted and thoughtfully designed. Whether you're looking for a gift for someone special or a way to enhance your own home, we have something for everyone.
Thank you for visiting our website, and we hope you'll find everything you need to create a beautiful and relaxing atmosphere in your home.
LAGUNA
Our site is currently being revamped to better reflect our "New Line New Look".
CITY OF LAGUNA BEACH
BUSINESS LICENSE CERTIFICATE
ACCOUNT NUMBER: 141419
BUSINESS LOCATION: AT BUSINESS LOCATION
POST IN CONSPICUOUS PLACE: KEEP FOR YOUR RECORD
ACCT. NO.: 141419
The Person, firm or corporation named above is hereby granted license to engage in, carry on or conduct, within CITY OF LAGUNA BEACH, CALIFORNIA, the business, trade, calling, profession, occupation or enterprise(s) described above, for the period indicated. This license is revocable solely and on enforcement of litigation. This license must be renewed for a renewal license before it is an approved Business License, as certified by City Personnel or its representative(s). If it is a residential, floor a small-scale organized business in the city.
DATE PAID: 09/09/2008
PAYMENT: $600.00
RATE CODE: 1
RATE CODE: 1
BUSINESS LOCATION IN LAGUNA BEACH: 3038 MOUNTAIN VIEW DRIVE
PMTN# 0039829
OWNER, FIRM OR CORPORATION: LAGUNA CANDLES
EXPIRATION DATE: 09/09/2009
BALANCE: $0.00
BUSINESS NAME: LAGUNA CANDLES
TAXES PAID IN ACCORDANCE WITH THE CITY BUSINESS TAX ORDINANCE
MAILING ADDRESS: 3038 MOUNTAIN VIEW DRIVE
CITY AND STATE: LAGUNA BEACH, CA 92651
CITY OF LAGUNA BEACH
NON-REFUNDABLE,
CALIFORNIA STATE BOARD OF EQUALIZATION
SELLER'S PERMIT
ACCOUNT NUMBER
12/6/2001 SR EAA 97-954889
LAGUNA CANDLES
SHARIE DENISE HENDRICKS
3038 MOUNTAIN VIEW DR
LAGUNA BEACH, CA 92651-2055
THIS PERMIT DOES NOT AUTHORIZE THE HOLDER TO ENGAGE IN ANY BUSINESS CONTRARY TO LAWS REGULATING THAT BUSINESS OR TO POSSESS OR OPERATE ANY ILLEGAL DEVICE.
IS HEREBY AUTHORIZED PURSUANT TO SALES AND USE TAX LAW TO ENGAGE IN THE FOLLOWING BUSINESS AT THE ABOVE LOCATION:
This permit is valid until revoked or canceled but is not transferable. If you sell your business, or drop out of a partnership, notify us or you could be responsible for sales and use taxes owed by the new operator of the business.
For general tax questions, please telephone our Information Center at 800-400-7115.
For information on your rights, contact the Taxpayers' Rights Advocate office at 888-324-2798 or 916-324-2798.
BOE-442-R REV. 14 (10-04)
A MESSAGE TO OUR NEW PERMIT HOLDER
As a seller, you have rights and responsibilities under the Sales and Use Tax Law. In order to assist you in your endeavor and to better understand the law, we offer the following sources of help:
• Visiting our website at www.boe.ca.gov
• Visiting a district office
• Attending a Basic Sales and Use Tax Law class offered at one of our district offices
• Sending your questions in writing to any one of our offices
• Calling our toll-free Information Center at 800-400-7115
As a seller, you have the right to issue resale certificates for merchandise that you intend to resell. Conversely, you have the responsibility of not misusing resale certificates. While the sales tax is imposed upon the retailer;
• You have the right to seek reimbursement of the tax from your customer
• You are responsible for filing and paying your sales and use tax returns timely
• You have the right to be treated in a fair and equitable manner by the employees of the Board
• You are responsible for following the regulations set forth by the Board
As a seller, you are expected to maintain the normal books and records of a prudent businessperson. You are required to maintain these books and records for no less than four years, and make them available for inspection by a Board representative when requested. You are also expected to notify us if you are buying, selling, adding a location, or discontinuing your business, adding or dropping a partner, officer, or member, or when you are moving any or all of your business locations. If it becomes necessary to surrender this permit, you should only do so by mailing it to a Board office, or giving it to a Board representative.
If you would like to know more about your rights as a taxpayer, or if you are unable to resolve an issue with the Board, please contact the Taxpayers' Rights Advocate office for help by calling toll-free, 888-324-2798 or 916-324-2798. Their fax number is 916-323-3319.
Please post this permit at the address for which it was issued and at a location visible to your customers.
THE STATE BOARD OF EQUALIZATION
Sales and Use Tax Department
LAGUNAS236
Thank you for your request. Here are the latest results from the TARR web server.
This page was generated by the TARR system on 2011-11-22 19:14:16 ET
Serial Number: 85137006 Assignment Information Trademark Document Retrieval
Registration Number:(NOT AVAILABLE)
Mark
LAGUNA CANDLES
(words only): LAGUNA CANDLES
Standard Character claim: Yes
Current Status: An opposition after publication is pending at the Trademark Trial and Appeal Board. For further information, see TTABVUE on the Trademark Trial and Appeal Board web page.
Date of Status: 2011-06-13
Filing Date: 2010-09-23
Transformed into a National Application: No
Registration Date: (DATE NOT AVAILABLE)
Register: Principal
Law Office Assigned: LAW OFFICE 115
Attorney Assigned:
FRENCH CURTIS W
Current Location: 650 -Publication And Issue Section
Date In Location: 2011-04-08
LAST APPLICANT(S)/OWNER(S) OF RECORD
1. Laguna Candles
Composed Of:
Candice Hendricks, a United States Citizen
Address:
Laguna Candles
3038 Mountain View Drive
Laguna Beach, CA 92651
United States
Legal Entity Type: Sole Proprietorship
State or Country Where Organized: California
GOODS AND/OR SERVICES
International Class: 004
Class Status: Active
Candles and fragrant candles
Basis: 1(a)
First Use Date: 2003-10-17
First Use in Commerce Date: 2003-10-17
ADDITIONAL INFORMATION
Disclaimer: "CANDLES"
MADRID PROTOCOL INFORMATION
(NOT AVAILABLE)
PROSECUTION HISTORY
NOTE: To view any document referenced below, click on the link to "Trademark Document Retrieval" shown near the top of this page.
2011-06-13 - Opposition instituted for Proceeding
2011-06-13 - Opposition papers filed
2011-05-17 - Notice Of Actual Publication E-Mailed
2011-05-17 - Published for opposition
2011-04-08 - Law Office Publication Review Completed
2011-04-07 - Approved for Pub - Principal Register (Initial exam)
2011-03-25 - Examiner's Amendment Entered
LAGUNA5238
2011-03-25 - Notification Of Examiners Amendment E-Mailed
2011-03-25 - EXAMINERS AMENDMENT E-MAILED
2011-03-25 - Examiners Amendment -Written
2011-03-11 - Previous Allowance Count Withdrawn
2011-02-28 - Withdrawn From Pub - Og Review Query
2011-02-11 - Law Office Publication Review Completed
2011-02-11 - Assigned To LIF
2011-01-18 - Approved for Pub - Principal Register (Initial exam)
2011-01-05 - Examiner's Amendment Entered
2011-01-05 - Notification Of Examiners Amendment E-Mailed
2011-01-05 - Examiners amendment e-mailed
2011-01-05 - Examiners Amendment -Written
2010-12-30 - Assigned To Examiner
2010-09-29 - TEAS Amendment Entered Before Attorney Assigned
2010-09-29 - TEAS Voluntary Amendment Received
2010-09-28 - New Application Office Supplied Data Entered In Tram
2010-09-27 - New Application Entered In Tram
ATTORNEY/CORRESPONDENT INFORMATION
Attorney of Record
Kevin Matthew Welch
Correspondent
KEVIN MATTHEW WELCH
THE LAW OFFICE OF KEVIN M WELCH
PO BOX 494
HERMOSA BEACH, CA 90254-0494
Phone Number: (310) 929-0553
Fax Number: (310) 698-1626
LAGUNA
www.lagunacandies.com
Laguna Candies was founded in 2017 by local Laguna artist, Ingrid Soto. Laguna is known for its rich history and vibrant culture. The company's mission is to create high-quality, artisanal chocolates that reflect the unique flavors and traditions of Laguna.
The company's products include:
- Handcrafted chocolates
- Gourmet truffles
- Custom orders
- Corporate gifts
Laguna Candies is committed to using only the finest ingredients and to supporting local artists and artisans. The company's chocolates are made with love and care, and are sure to delight chocolate lovers everywhere.
For more information, visit www.lagunacandies.com or contact us at email@example.com.
| QTY | ITEM | UNITS | DESCRIPTION | TOTAL | UNIT PRICE | TOTAL |
|-----|-------|-------|------------------------------------------------------------------------------|-------|------------|---------|
| 10ea.| 2.5 | 10 | Coastal, Laguna Paradise, Tide Pool, Sage Lavender, Egyptian Musk, Laguna Valley, Ettolile, White Amaryllis, Datura Blossom, Ginger | 70 | 5.25 | $367.50 |
| 4ea. | 3x3 | 10 | Coastal, Laguna Paradise, Tide Pool, Sage Lavender, Egyptian Musk, Laguna Valley, Ettolile, White Amaryllis, Datura Blossom, Ginger | 40 | 10.50 | $420.00 |
| 1 | 2.5 | 3 | Coastal, Laguna Paradise, Tide Pool, | 3 | 5.25 | $15.75 |
Subtotal: $803.25
Tax: N/A
Total: $803.25
Paid:
BALANCE DUE: $803.25
Please return the portion below with your payment.
Invoice #
Customer ID
Date
Amount Enclosed
3038 Mountain View
Laguna Beach, CA
92651
PHONE (949) 494-8186
FAX (949) 494-8110
E-MAIL firstname.lastname@example.org
WEB SITE www.lagunacandles.com
| DATE | YOUR ORDER # | OUR ORDER # | SALES REP. | F.O.B. | SHIP VIA | TERMS | TAX ID |
|------|--------------|-------------|------------|--------|----------|-------|--------|
| | None Given | 1102 | Crystal | | | Net Thirty | |
| QTY | ITEM | UNITS | DESCRIPTION | TOTAL | UNIT PRICE | TOTAL |
|-----|------|-------|------------------------------------------------------------------------------|-------|------------|-----------|
| 3ea.| 2.5 | 10 | Coastal, Laguna Paradise, Tide Pool, Sage Lavender, Egyptian Musk, Laguna Valley, Ettolle, White Amaryllis, Datura Blossom, Ginger | 30 | 5.25 | $157.50 |
| 2ea.| 3x3 | 10 | Coastal, Laguna Paradise, Tide Pool, Sage Lavender, Egyptian Musk, Laguna Valley, Ettolle, White Amaryllis, Datura Blossom, Ginger | 20 | 10.50 | $210.00 |
| 1 | 2.5 | 5 | Coastal, Laguna Paradise, Tide Pool, Sage Lavender, Egyptian Musk, | 5 | 5.25 | $26.25 |
| 3 | 2.5 | 3 | Coastal | No | Credit | N/C |
| 2 | 3x3 | 2 | Laguna Valley | No | Credit | N/C |
Subtotal: $393.75
Tax: N/A
Total: $393.75
Paid
BALANCE DUE: $393.75
Please return the portion below with your payment.
Invoice #
Customer ID
Date
Amount Enclosed
3038 Mountain View
Laguna Beach, CA
92651
PHONE (949) 494-8186
FAX (949) 494-8110
E-MAIL email@example.com
WEB SITE www.lagunacandles.com
| QTY | ITEM | UNITS | DESCRIPTION | TOTAL | UNIT PRICE | TOTAL |
|-----|-------|-------|---------------------------|-------|------------|---------|
| 35 | 3" | unit | Timber white pillar candle| 35 | 1.75 | $61.25 |
| 25 | 3" | Unit | Timber brown pillar candle| 25 | 1.75 | $43.75 |
| 35 | 6" | Unit | Timber white pillar candle| 35 | 4.00 | $140.00 |
| 12 | 6" | Unit | Timber brown pillar candle| 12 | 4.00 | $48.00 |
| 20 | 9" | Unit | Timber white pillar candle| 20 | 6.00 | $120.00 |
| 25 | 9" | Unit | Timber brown pillar candle| 25 | 6.00 | $150.00 |
Subtotal: $562.00
Tax: $43.63
Shipping: $80.00
Total: $686.63
BALANCE DUE: $686.63
Invoice #: 08-01911MTG
Customer ID:
Date:
Amount Enclosed:
3038 Mountain View
Laguna Beach, CA
92651
PHONE (949) 494-8186
FAX (949) 494-8110
E-MAIL firstname.lastname@example.org
WEB SITE www.lagunacandles.com
Sharie Hendricks, Founder
Laguna Candles
email@example.com
Office: 949-494-9049
Cell: 949-510-2943
www.lagunacandles.com
"Not Just Any Candle, A Laguna Candle"
-------- Original Message --------
Subject: Laguna Candles in Coast Magazine
From: Clarence Hendricks <firstname.lastname@example.org>
Date: Thu, December 01, 2011 10:48 am
To: Robyn Turner <email@example.com>
Cc: firstname.lastname@example.org
Hi Robyn,
Hope all is well and you survived the viscous winds last night!
Sharie asked me to forward you the links to our feature in Coast Magazine which came out yesterday.
http://www.virtualonlineeditions.com/publication/?i=90407&p=85
http://www.virtualonlineeditions.com/publication/?i=90407&p=86
--
Regards,
Clarence Hendricks
Hendricks Creative
Phone: 949-494-9049
Cell: 949-680-8444
www.hendrickscreative.com
The right scent can enhance a room, evoke happy feelings and help put people in a jolly mood, especially during the holiday season. Find a scent to grace your home or give as gifts to loved ones with our definitive list of OC-based aromatic candles ranging from the luxurious to the affordable.
1 LAGUNA CANDLES EGYPTIAN MUSK ARTISAN CANDLE :: from Laguna Beach, a blend of Bohemian musk, white musk, ylang ylang, rose, amber, Egyptian patchouli and sandalwood, $15-$120 :: lagunacandles.com
2 DAYNA DECKER HOLIDAY FERRAGAMO FIG CANDLE :: from Fountain Valley, a blend of ferragamo fig, galbanum, lilac, petit-grain, fig leaf, hyacinth, cedar, amber and lemon-on-tree woods, about $79 :: daynadecker.com
3 VOLUSPA COEUR DE CASSIS CANDLE :: from Lake Forest, a blend of berry cassis, fresh leaves, vintage plum and twigs, about $16 :: voluspa.com
4 MAKANA CANDLES CRANBERRY CLOVE CANDLE :: from Laguna Beach, a blend of cranberries, orange peel and clove, $9-$25 :: makanaandcandlestudies.com
5 88 ORANGE SCENT BLOSSOM SOY CANDLE :: from Costa Mesa, a blend of citronella, tangerine, organic orange blossoms, water lily, neroli and lilac, $35 :: 88orange.com
Holiday Glow
Aromatic candles with a hint of pine and a touch of orange add to the holiday spirit. $12.50 each at Waterford Gift Gallery, located near the Laguna Mall in Dana Point.
Hi Sharie!
Thanks for sending the info. I'm very excited and happy to hear that you will be extending this special offer to bask readers. We will definitely include this opportunity in our gift guide.
The winter issue of bask is due to be released early December, I'm sure you'll have access to copies at the Surterre office but I'll also send you the pdf as well.
I would love one of your candles! I'll be in the Newport Surterre/bask office on Tuesday, thanks!
Hope you have a great weekend!
Golie
Sent from my Verizon Wireless BlackBerry
Hello Golie,
Thank you so much, I am so excited and really appreciate it. The prices are on our Laguna Candles site, but they are as follows, the 2by2 square is $15.00 it is 4 oz and burn time is 20 hrs. 4by4 square is $45.00 it is 18oz, and the burn time is 120hrs, the 4by4 round, is $45.00 it is 18 oz burn time is 120 hrs.
I also wanted to mention that if it is ok with you we would like to offer your readers a 10% discount for all who go to the site and enter promo code "laguna Candles". Please let me know if that is OK. I would also love to drop you off a candle as well, just let me know when and where.
Thanks again,
Sharie
Sharie Hendricks, Founder
Laguna Candles
email@example.com
Office: 949-494-9049
Cell: 949-510-2943
www.lagunacandles.com
"Not Just Any Candle, A Laguna Candle"
NOTICE: This email is intended solely for the person or entity to which it is addressed and may contain confidential or proprietary information. If you are not the named recipient, or you received this email in error, you are not authorized to copy, print, share, save, or rely upon this email; instead, please contact the sender immediately and delete this email and any attachments. Additionally, in accordance with applicable professional rules and regulations, please understand that any written advice contained in, forwarded with, or attached to this e-mail is not intended or written by the sender of this email to constitute, and must not be used as a substitute for, the advice of licensed engineers, lawyers and accountants.
Sharie Hendricks, Founder
Laguna Candles
firstname.lastname@example.org
Office: 949-494-9049
Cell: 949-510-2943
www.lagunacandles.com
"Not Just Any Candle, A Laguna Candle"
**ZIMAX, Inc.**
PO BOX 2218
Huntington Park, CA 90255-1518
| Phone # | Fax # |
|---------|-------|
| (323) 581-8300 | (323) 581-4300 |
**Bill To**
Laguna Candles
Sharie Hendricks
3038 Mountain View Dr.
Laguna Beach, CA 92651-2055
**Ship To**
Laguna Candles
Sharie Hendricks
3038 Mountain View Dr.
Laguna Beach, CA 92651-2055
| P.O. Number | Terms | Rep | Ship | Via | F.O.B. |
|-------------|-------|-----|------|-----|--------|
| | Pre paid | RA | 3/7/2011 | Customer Pick... | |
| Item Code | Description | Quantity | Case | Price ... | Amount |
|-----------|-------------|----------|------|------------|--------|
| SQCD-2525 | Square Glass Vase 2.5"X2.5" x2.5" H Case 48 | 336 | 7 | 1.00 | 336.00 |
**E-mail**
email@example.com
**Web Site**
www.zimaxinc.com
**Total**
$336.00
Exhibit E
Pursuant to Rule 34 of the Federal Rules of Civil Procedure and 37 CFR § 1.120, Applicant Laguna Candles hereby responds to Opposer Flame & Wax, Inc.’s First Set of Interrogatories (“Interrogatories”).
**GENERAL OBJECTIONS**
The following general objections apply to each of the particular Interrogatory propounded by Flame & Wax, Inc., and are hereby incorporated within each response set forth below. No specific objection is intended to constitute, and should not be construed as constituting, a waiver of any general objection.
1. Laguna Candles objects and responds to the Interrogatories on behalf of itself alone and not on behalf of its agents, persons or entities acting on its behalf, or on behalf of any such division or subsidiary, whether individually or collectively and/or all persons or entities in concert with it or under its direction and control.
2. Laguna Candles objects to the Interrogatory to the extent that they seek to impose obligations different from, or in excess of, those created by the Federal Rules of Civil Procedure.
and the Trademark Trial and Appeal Board Rules. Laguna Candles’ responses are made pursuant to, and as limited by, the Federal Rules of Civil Procedure and the Trademark Trial and Appeal Board Rules.
3. Laguna Candles objects to the Interrogatories to the extent that they seek information protected by the attorney-client privilege, the joint defense or common interest privilege, the attorney work product doctrine, and/or any other privileges, protections or doctrines of similar effect. To the extent that Laguna Candles inadvertently produces any information protected by the attorney-client privilege, the joint defense or common interest privilege, the attorney work product doctrine or any other privilege or protection, such production is not intended to be, and shall not operate as, a waiver of any applicable privilege with respect to that information, or any other information. Laguna Candles reserves the right to demand that Flame & Wax, Inc.’s return any inadvertently produced information and copies thereof. Insofar as the production of any information by Laguna Candles in response to these Interrogatories may be deemed to be a waiver of any privilege or right, such waiver shall be deemed to be a limited waiver with respect to that particular information only.
4. Laguna Candles’ responses to Interrogatories, do not in any way constitute an adoption of Flame & Wax, Inc.’s purported Definitions of words or phrases contained in the Requests. Laguna Candles objects to the Definitions, and to the purported instructions in such Definitions, to the extent they (i) are unclear, ambiguous, overly broad or unduly burdensome; (ii) are inconsistent with the ordinary and customary meaning of the words or phrases they purport to define; (iii) seek to impose obligations different from, or in excess of, those created by the Federal Rules of Civil Procedure and the Trademark Trial and Appeal Board Rules; (iv) include assertions of purported facts that are inaccurate, or at the very least are disputed by the parties to this action; and/or (v) incorporate other purported defined terms that suffer from such defects. Without limiting the breadth and general application of these objections, Laguna Candles further objects to the Definitions as follows:
a. Laguna Candles objects to the definitions of "YOU" and "YOUR" in paragraph 5 of the Definitions to the extent they purport to include "any of its employees, agents, persons or entities acting on behalf, or on behalf of any such division or subsidiary, whether individually or collectively and/or all persons or entities acting in concert with it or under its direction and control" on the grounds that: (1) the definition is vague and ambiguous; and (2) the definition is compound, overly broad, unduly burdensome, and beyond the scope of permissible discovery under the Federal Rules of Civil Procedure.
5. Laguna Candles' production of any information and/or documents is not a waiver of any of the objections set forth herein, or an admission or acknowledgement that such information and/or documents are relevant to the subject matter of this action. Further, these responses are without prejudice to, and not a waiver of: (a) Laguna Candles' right to contend at trial, or at any other proceeding in this action, that such information and/or documents are inadmissible, irrelevant, immaterial or not a proper basis for discovery; and (b) any objection by Laguna Candles to any future use of such information and/or documents that Flame & Wax, Inc. may attempt to make.
6. Laguna Candles' responses herein are based on facts presently known to Laguna Candles, and represent a diligent and good faith effort to comply with the Interrogatories. Laguna Candles' discovery and investigation into the matters specified is continuing. Accordingly, Laguna Candles reserves its right to supplement, alter or change its responses and objections to the Interrogatories, and to produce additional responsive information and/or documents, if any, that Laguna Candles had in its possession, custody or control at the time the Requests were propounded. Furthermore, Laguna Candles reserves the right at trial, or at any other proceeding in this action, to rely on documents, evidence and other matters in addition to the information and/or documents produced in response to these Interrogatories, whether or not such documents, evidence or other matters are newly discovered, or are now in existence but have not been located despite diligent and good faith efforts.
7. Laguna Candles objects to each and every Request to the extent that the Request requires disclosure of information and/or documents which were prepared, generated, or received in anticipation of or after the commencement of this litigation, or are protected from discovery under the attorney-client privilege and/or attorney work product doctrine. Without limitation, Laguna Candles will not produce and/or furnish any information reflecting, in any manner, the mental impressions, conclusions, opinions, legal theories or other work product of his counsel.
8. Laguna Candles objects to each and every Interrogatory to the extent that it calls for information which is irrelevant to the subject matter involved in the pending action and/or not reasonably calculated to lead to discovery of relevant evidence.
9. Laguna Candles, in responding, answering, or objecting to each and every Interrogatory, does not concede the relevancy and/or materiality of any of those items. Any response, answer, or objection by Laguna Candles is expressly subject to and does not waive:
(a) All objections concerning the competency, relevancy, materiality, confidentiality and/or admissibility as evidence for any purpose, of any of the responses given or documents provided, in any subsequent proceeding including the trial of this action or any other action;
(b) The right to object to any discovery proceeding involving or relating to the subject matter of the requests for admission; and
(c) The right, at any time, to amend, alter, revise, clarify, delete, withdraw, and/or supplement any of the responses, answers, and/or objections set forth herein.
RESPONSES TO DEFENDANT’S FIRST SET OF INTERROGATORIES
INTERROGATORY NO. 1
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INTERROGATORY NO. 5
State the wholesale, retail, and other channels of trade in the United States through which YOUR goods bearing YOUR LAGUNA CANDLES trademark are/were offered, distributed,
and/or sold, including without limitation the identity of all retail locations, from the date of claimed first use until the present.
**RESPONSE TO INTERROGATORY NO. 5**
Laguna Candles incorporates by reference each of its general objections listed above. Subject to and without waiving such objections Laguna Candles responds as follows:
Complexion Day Spa
12201 Seal Beach Blvd
Seal Beach, CA 90704
California Style
23811 Aliso Creek Rd. #111
Laguna Niguel, CA 92677
Montage Resort
30801 South Coast Hwy.
Laguna Beach, CA 92651
Coast Hardware
Laguna Beach, CA 92651
Laguna Drugs
Broadway
Laguna Beach, CA 92651
Marriot Laguna
25135 Park Lantern
Dana Point, CA 92629
Marriot Renaissance Hotel
Aliso Viejo, CA 92656
Spa Gregory’s LLC
200 Newport Center Drive
Suite #100
Newport Beach, CA 92660
The Grand Del Mar
5300 Grand Del Mar Court
San Diego, CA 92130
INTERROGATORY NO. 6
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Respectfully submitted,
Dated: November 21, 2011
By: ____________________________
Kevin M. Welch
THE LAW OFFICE OF KEVIN M. WELCH
P.O. Box 494
Hermosa Beach, CA 90254
Tel.: (310) 929-0553
Fax (310) 698-1626
Attorney for Applicant
LAGUNA CANDLES
CERTIFICATE OF SERVICE
I hereby certify that a true and complete copy of the foregoing APPLICANT LAGUNA CANDLES’ RESPONSE TO OPPOSER FLAME & WAX, INC.’S FIRST REQUEST FOR PRODUCTION OF DOCUMENTS have been served upon Opposer FLAME & WAS, INC., U.S. First Class Mail, postage prepaid, on November 21, 2011 at the following address:
Dated: November 21, 2011
By: [Signature]
Kevin M. Welch
THE LAW OFFCIE OF KEVIN M. W ELCH
P.O. Box 494,
Hermosa Beach, CA 90254
Tel.: (310) 929-0553
Fax (310) 698-1626
Attorney for Applicant
LAGUNA CANDLES |
Pilot test of a novel food response and attention training treatment for obesity: Brain imaging data suggest actions shape valuation
Eric Stice \(^a\),*, Sonja Yokum \(^a\), Harm Veling \(^b\), Eva Kemps \(^c\), Natalia S. Lawrence \(^d\)
\(^a\) Oregon Research Institute, 1776 Millrace Drive, Eugene OR 97403 USA
\(^b\) Behavioural Science Institute, Radboud University Nijmegen, PO Box 9104, 6500 HE Nijmegen, The Netherlands
\(^c\) School of Psychology, Flinders University, GPO Box 2100, Adelaide, SA 5001, Australia
\(^d\) School of Psychology, University of Exeter, Exeter EX4 4QG, UK
**Article history:**
Received 29 June 2016
Received in revised form 9 April 2017
Accepted 17 April 2017
Available online 19 April 2017
**Keywords:**
fMRI
Reward
Attention
Response training
Attention training
Obesity treatment
Fat loss
**Abstract**
Elevated brain reward and attention region response, and weaker inhibitory region response to high-calorie food images have been found to predict future weight gain. These findings suggest that an intervention that reduces reward and attention region response and increases inhibitory control region response to such foods might reduce overeating. We conducted a randomized pilot experiment that tested the hypothesis that a multi-faceted food response and attention training with personalized high- and low-calorie food images would produce changes in behavioral and neural responses to food images and body fat compared to a control training with non-food images among community-recruited overweight/obese adults. Compared to changes observed in controls, completing the intervention was associated with significant reductions in reward and attention region response to high-calorie food images (Mean Cohen’s \(d = 1.54\)), behavioral evidence of learning, reductions in palatability ratings and monetary valuation of high-calorie foods (\(p = 0.009, d's = 0.92\)), and greater body fat loss over a 4-week period (\(p = 0.009, d = 0.90\)), though body fat effects were not significant by 6-month follow-up. Results suggest that this multifaceted response and attention training intervention was associated with reduced reward and attention region responsivity to food cues, and a reduction in body fat. Because this implicit training treatment is both easy and inexpensive to deliver, and does not require top-down executive control that is necessary for negative energy balance obesity treatment, it may prove useful in treating obesity if future studies can determine how to create more enduring effects.
© 2017 Elsevier Ltd. All rights reserved.
Obese versus lean humans show greater responsivity of brain regions implicated in reward (striatum, amygdala, orbitofrontal cortex [OFC]), attention (anterior cingulate cortex [ACC]), and motor processes (precentral gyrus, cerebellum) to high-calorie food images (Brooks, Cedernaes, & Schioth, 2013; Stice, Yokum, Bohon, Marti, & Smolen, 2010; Stoessel et al., 2008) and attentional bias for high-calorie food images (Castellanos et al., 2009; Nijs, Muris, Euser, & Franken, 2010). Critically, elevated reward region response to high-calorie food images and cues predicts future weight gain (Demos, Heatherton, & Kelley, 2012; Stice, Burger, Yokum, 2015; Yokum, Gearhardt, Harris, Brownell, & Stice, 2014; Yokum, Ng, & Stice, 2011). Attentional bias for high-calorie food also predicts greater *ad lib* intake (Nijs et al., 2010; Werthmann, Field, Roefs, Nederkoorn, & Jansen, 2014) and future weight gain (Calitri, Photos, Tapper, Brunstrom, & Rogers, 2010). These cross-sectional and prospective relations are consistent with the theory that obesity may result from increased reward sensitivity to high-calorie food-cues (Boswell & Kober, 2016) that is coupled with a weak ability to inhibit impulses (Nederkoorn, Houben, Hofmann, Roefs, & Jansen, 2010).
Obese versus lean humans also show less inhibitory control region (ventral medial prefrontal cortex [vmPFC]) response to high-calorie food advertisements (Gearhardt, Yokum, Stice, Harris, & Brownell, 2014) and less activation of prefrontal regions (dlPFC, ventral lateral PFC) when trying to inhibit responses to high-calorie food images (Batterink, Yokum, & Stice, 2010), and lower dorso-lateral PFC response to high-calorie food images predicted greater subsequent *ad lib* intake (Cornier, Salzberg, Endly, Bessesen, & Tregellas, 2010). Further, adults who showed less inhibitory...
region (inferior, middle, and superior frontal gyri) recruitment during a delay-discounting task showed elevated future weight gain (Kishinevsky et al., 2012). Individuals with less gray matter volume in inhibitory regions (superior frontal gyrus, middle frontal gyrus) also showed marginally greater future weight gain (Yokum, Ng, & Stice, 2012).
These data suggest the hypothesis that an intervention that decreases reward and attention region response to high-calorie foods and increases inhibitory region response may reduce overeating rooted in exposure to omnipresent food cues. Auspiciously, experiments indicate that training people to inhibit a behavioral response to high-calorie food and to direct their attention away from high-calorie foods, which might reduce these neural vulnerability factors, reduces intake of high-calorie foods and produces weight loss (e.g., Kemps, Tiggemann, Orr & Grear, 2014; Lawrence et al., 2015a; Veling, van Koningsbruggen, Aarts, & Stroebe, 2014), suggesting that food response and attention training may prove efficacious in treating obesity.
Experiments show that relative to control training, go/no-go, stop-signal, and respond-signal computer training in which participants are signaled to repeatedly respond behaviorally with a button press to low-calorie food or non-food images, and to repeatedly inhibit behavioral responses to high-calorie food images, is associated with decreased palatability ratings for the foods paired with response inhibition signals and less ad lib intake of those high-calorie foods versus high-calorie foods not paired with inhibitory signals (Chen, Veling, Dijksterhuis, & Holland, 2016; Folkvord et al., 2016; Houben, 2011; Houben & Jansen, 2011; Lawrence et al., 2015a, Lawrence, Verbruggen, Morrison, Adams, & Chambers, 2015; Veling, Aarts, & Stroebe, 2013a; Veling, Aarts, & Stroebe, 2013b). As these paradigms directly train participants to inhibit a behavioral approach response to the high-calorie training foods, while training them to make a behavioral response to the non-training foods/images, we conceptualize this as response training. Relatively overweight adults who completed stop-signal response training in 4 15-min weekly sessions, in which stop-signals were consistently (100% of the time) paired with 100 images of high-calorie foods and go-signals were consistently paired with 100 non-food images, showed significantly greater directly-measured pre-post weight loss than those who completed a stop-signal paradigm in which non-food images were paired with go and stop signals on a 50:50 basis (Veling et al., 2014). Participants who completed 4 10-min go/no-go training sessions in which high-calorie food images were consistently paired with no-go-signals and low-calorie food images were not, likewise showed greater directly-measured weight loss and reduced caloric intake per 24-hr food diary measure versus controls who completed parallel response inhibition training with non-food images (Lawrence et al., 2015a); critically, the weight loss effects (2.2 kg) persisted through 6-month follow-up ($p = 0.01; d = 0.48$). Similar effects emerged in a trial that used a stop-signal training task (Allom & Mullan, 2015), though this effect did not replicate in a second study, likely because the high-calorie foods were not as consistently paired with an inhibitory response, as was the case in the other experiments, and because participants were not overweight or obese, as in the other trials (Jones et al., 2016). Respond-signal training, in which people are trained to make a quick behavioral response for certain food images consistently paired with an auditory respond signal (for 25% of the foods), and to inhibit responses for other food images consistently not paired with the respond signal, was associated with increased choice for the foods paired with the respond signal versus those not paired with the respond signal, with effects persisting over 2-month follow-up (Schonberg et al., 2014). Of note, removing the behavioral responses from the respond-signal training abolished the effects on food choice, implying that the motor response element is essential for its efficacy.
There is also evidence that attention training can reduce attentional bias for high-calorie food cues, which should decrease the potential for these cues to induce overeating among people with greater reward region responsivity to such cues. In a food-specific dot-probe paradigm, participants were shown images in which pairs of foods are shown side-by-side and are asked to respond as quickly as possible to indicate whether a visual probe subsequently appears behind the left or right image. In critical trials, chocolate foods are shown on one side of the screen and non-chocolate foods on the other. In non-chocolate attention training the probe appears behind non-chocolate foods 90% of the time and behind chocolate foods 10% of the time; this directly trains people to make a response to non-chocolate foods while indirectly training them to withhold a response to chocolate foods. In chocolate attention training the contingencies are reversed. Completion of the former versus the latter training was associated with greater reductions in attentional bias for chocolate foods, chocolate craving, and chocolate food intake (Kemps, Tiggemann, & Hollitt, 2014). Obese participants who completed attention training for an array of low-calorie foods showed a reduction in attentional bias for high-calorie food images used in the training paradigm versus those who completed attention training for high-calorie foods (Kemps et al., 2014a). Completing attention training for low-calorie food images was associated with reduced attentional bias for the high-calorie food images used in the training and less consumption of high-calorie foods in a taste test versus completion of attention training for high-calorie foods (Kakoschke, Kemps, & Tiggemann, 2014). However, the results from this study could be explained by the response-facilitation training to high-calorie foods in the control condition, suggesting it is vital to use neutral control conditions in these types of studies. It is noteworthy that a training paradigm lacking a behavioral response element (Werthmann et al., 2014) did not produce the significant shift in attentional bias that emerged in the dot-probe training that included behavioral responses, implying that the motor response element of attention training may also be essential.
The response training interventions that reduced weight showed an average Cohen’s $d = 0.61$, a medium effect size. We therefore conducted a randomized trial to test the hypothesis that a more intensive multifaceted training protocol including both food response and attention training would be associated with greater reductions in body fat than a parallel generic response and attention training with non-food images. We reasoned that making the training multifaceted might improve participant engagement and treatment compliance. We also reasoned that it might be useful to train responses to and attention toward low-calorie foods while at the same time training response inhibition to and attention away from high-calorie foods, as this should be more effective than using non-food images for the former training and would increase the credibility of the treatment, though there is little evidence that such training would increase consumption of low-calorie foods. We used high-calorie and low-calorie foods that were tailored to the preferences of participants, as there seemed little value in training response inhibition and attention from high-calorie foods that participants did not like.
We also investigated three theories regarding the mechanism of effect for the multifaceted food response and attention training. First, response training may result in automatic elicitation of an inhibitory response, which replaces the automatic approach response to high-calorie foods (Verbruggen & Logan, 2008), consistent with evidence that stop-signal response training slows button press response to high-calorie training foods versus high-calorie non-training foods (Veling, Aarts, & Papies, 2011). Second,
response training may reduce valuation of high-calorie training foods (Veling, Holland, & van Knippenberg, 2008), leading to reduced intake, consistent with evidence that pairing foods with response inhibition reduces appetitive valuation of the training foods (Lawrence et al., 2015a; Veling et al., 2013a). Third, training attention away from high-calorie foods may reduce attention for such foods, which should decrease cravings for and intake of high-calorie foods (Kemps et al., 2014a), consistent with evidence that participants who complete dot-probe training showed reduced attentional bias for and intake of foods consistently not paired with the dot probe (Kaloschke et al., 2014; Kemps et al., 2014b).
It is important to acknowledge that by combining the response inhibition and attention training tasks it is not possible to examine the unique contributions of these training tasks in changing value and neural response to foods. However, our aim was to test whether the multifaceted training as a whole influences these outcomes. To examine the mechanism of effect, we assessed pre-post changes in palatability and monetary value ratings of the food images to index valuation. In addition, we measured errors and response times during training to index improvements in stimulus-specific learning, attention, and inhibition. We also used functional magnetic resonance imaging (fMRI) to test whether completing food response training was associated with pre-to-post increases in inhibitory region response to high-calorie food images and reductions in reward and attention region response to these images compared to completing training with non-food images. We used fMRI because it is uniquely suited to simultaneously evaluate whether training is associated with changes in inhibitory, attention, and reward valuation region responsivity and because it would provide a novel objective neuroscience test of the mechanisms of effect for this new multifaceted treatment, in line with recent work that has used neuroscience to inform psychological treatment (Craske, 2014). Thus, our joint objectives were to evaluate the effects of our novel multifaceted food response and attention training intervention on body fat loss and to identify potential mechanisms associated with the intervention.
1. Methods
1.1. Participants and procedures
We recruited 47 overweight/obese adults (91% female; 82% European-American; M % body fat = 44.9 ± 8.5; M BMI = 36.6 ± 8.7) for a weight loss trial and randomly assigned them to a food response and attention training condition or a parallel generic response and attention training comparison condition involving non-food images. Recruitment material (mass email messages and advertisements) invited individuals with weight concerns to participate in a weight control trial. Informed consent was obtained for this institutional review board-approved trial. A brief phone screen interview verified inclusion and exclusion criteria. Weight concerns and a BMI of 25 or greater were required for inclusion. Exclusion criteria were current DSM-IV anorexia nervosa, bulimia nervosa, or binge eating disorder. A research assistant used a random number table to randomize participants to condition.
During the first visit to the lab (pretest), participants rated the palatability of 200 color images of high-calorie foods and 200 images of low-calorie foods; they also completed surveys, height, weight, and body composition measurements. Three to 6 days after their first visit to the lab, participants were scanned and completed the first of their four weekly training sessions (visit #2). Participants returned to the lab for their second (visit #3) and third (visit #4) training sessions. Immediately after their 4th training session (visit #5), participants rated the palatability of the 200 color images of high-calorie foods and 200 images of low-calorie foods again, completed their second scan, and completed surveys, height, weight, and body composition measurements; the latter three outcomes were also assessed at 6-month follow-up (visit #6). Participants received $30/hour for completing assessments.
1.2. Response training intervention
Participants (n = 23) completed 4 50-min weekly training visits in the lab wherein they completed 5 training tasks. During each visit they completed 10-min versions of previously validated stop-signal (Veling et al., 2014) and go/no-go training (Lawrence et al., 2015a) to high-calorie food images. As noted, we used low-calorie foods for go trials. We used 100% response contingencies for food images because the more strongly stimuli are associated with response outcomes, the greater the associative learning (Livesey & McLaren, 2007) and the more effective the training (Jones et al., 2016). Participants also completed a 10-min respond-signal training (Schonberg et al., 2014) in which they pressed a button in response to a tone that accompanied presentation of low-calorie food images on 100% of the trials and withheld a button press response 100% of the time in response to all high-calorie foods because no respond tone occurred with any of these images. We did not include the adaptive nature of the original stop-signal and respond-signal tasks because we reasoned that it would decrease the number of correct inhibitory responses toward the high calorie food items, which may reduce efficacy of the training as a whole (Jones et al., 2016). We employed the different tasks for three reasons. First, the go/no-go training, stop-signal training, and respond-signal training involve distinct task sets (the former two emphasise stopping, the latter going) and they have shown different effects on valuation and food intake in prior studies: The former two inhibit intake and cause devaluation of stop foods, the latter does not; the respond-signal task may increase valuation of go foods, the go/no-go and stop tasks do not (e.g., Chen et al., 2016). Second, offering slightly different tasks may make the intervention as a whole more engaging and acceptable. Third, by using different kinds of cues to respond or withhold responding toward the food items across the tasks we aimed to facilitate learning of general go or stop responses to the food items rather than the learning of specific food-signal associations or the learning of responses to the go, no-go or stop cues themselves (Best, Lawrence, Logan, McLaren, & Verbruggen, 2016).
Participants also completed a 10-min dot-probe training that trained attention to low-calorie foods and away from high-calorie foods (90% of the time for both events) (Kaloschke et al., 2014). In addition, participants completed a 10-min visual-search training in which they quickly identified the one low-calorie food image in a larger array of high-calorie food images. Visual-search training has reduced attention for rejection-related words and increased attention for acceptance-related words and reduced exam- and occupational stress previously (Dandenau & Baldwin, 2004; Dandenau, Baldwin, Baccus, Sakellaropoulou, & Pruessner, 2007). We selected dot-probe training because it targets the orienting attention network and visual-search training because it targets the executive attention network (Posner, Sheese, Odludas, & Tang, 2006). All training tasks involved exposure to 80 high-calorie foods/beverages commonly consumed to maximize training generalizability. We used 80 randomly selected images from the 100 high-calorie food images and the 100 low-calorie food images that each participant rated the most palatable to ensure that the images were tailored to participants’ tastes (palatability ratings ranged from 1 to 10). They also rated how much they would be willing to pay (<$1 to $10+) for a serving of each of the foods.
1.3. Training paradigms
**Stop-signal training.** In this 10-min training task participants saw images with either a dark blue or light gray border. They were told to press the space bar as quickly as possible when the border was blue (go trials) and to withhold a response when the border was gray (no-go trials). Images were presented for 1250 ms or until the participant responded followed by a 500 ms inter-trial interval (Fig. 1A). The blue or gray border appeared around the image 100 ms after image onset. After an erroneous response or omission a red cross appeared for 500 ms, which occurred in all training tasks. The 80 high-calorie food images were always framed with a gray border and the 80 low-calorie food images by a blue border. Filler images of glasses of water were also included, and associated with go and no-go signals on a 50:50 basis, which was also done in the go/no-go and respond-signal tasks. The task was divided into 10 blocks of 32 trials (blocks contained 14 low-calorie foods, 14 high-calorie foods, and 4 glasses of water; 320 trials total). After each block participants were presented with their % correct responses and mean reaction time, and encouraged to improve their scores from block to block, to maintain motivation. Similar feedback was presented in each training paradigm.
**Go/no-go training.** In this 10-min task participants were told that pictures would appear in the left or right-hand side of a rectangle for 1250 ms. They were told to press a button ('c' for left and 'm' for right) as quickly as possible to indicate the side of presentation (go-trials). On half of the trials, the rectangular frame surrounding the picture was dashed instead of a solid line, which was a signal for them to withhold their response (no-go trials, Fig. 1B). Each of the 80 high-calorie food images, 80 low-calorie food images, and 40 water glass fillers images were randomly selected with replacement (300 trials total). The task was divided into 6 blocks of 50 trials each. High-calorie food images were always paired with inhibition signals whereas low-calorie foods were never paired with inhibition signals.
**Respond-signal training.** In this 10-min task participants were told to make a button press response for images paired with an auditory respond signal and to inhibit a response for images not...
paired with the respond signal (Fig. 1C). The 80 images of low-calorie food were consistently paired with the auditory respond-signal tone, whereas the 80 images of high-calorie foods were not. Each image appeared for 1000 ms; participants were told to respond as quickly as possible when they heard the respond-signal tone (between 200 ms and 400 ms after the image appeared). High- and low-calorie food images were presented twice and water glasses were presented once per training (352 trials), divided into 8 blocks of 44 trials.
**Dot-probe training.** In this 10-min task participants were trained to direct their attention away from high-calorie food images and to direct their attention toward low-calorie food images (Fig. 1D). Each of the 80 high-calorie food images was randomly paired with one of the 80 low-calorie food images. Each food picture pair was presented for 500 ms side by side, preceded by a fixation cross for 500 ms. Immediately after the images disappeared, a small dot probe appeared in the location of one of the images. Participants had to indicate as quickly as possible whether the probe appeared in the location previously occupied by the left or the right image by pressing response keys. The probe appeared in the location previously occupied by a high-calorie food image 10% of the time and in the location previously occupied by a low-calorie food image 90% of the time. The probe remained until a response was made. We added a stop signal tone that indicated that participants should not respond to probes that appeared behind high-calorie foods half the time they were presented with a probe (5% of trials) to provide more direct inhibitory training. Each of the 80 picture pairs was presented 4 times (320 trials), with each picture presented twice on each side of the screen. The training was divided into 8 blocks of 40 trials.
**Visual-search training.** In this 10-min task participants searched for one low-calorie food image in a $4 \times 4$ array of high-calorie food images, touching the low-calorie food as quickly as possible (Fig. 1E). As such, this task trained attention toward low-calorie foods while training attention away from high-calorie foods. Images were randomly selected for presentation on a touch-screen laptop. Participants completed 4 training blocks containing 30 arrays each (120 trials total), with each array presented for 3000 ms or until the participant responded. When participants touched the low-calorie food image, it was framed in green and zoomed toward them, while the high-calorie food images zoomed away (1000 ms). For incorrect responses, all images zoomed away and a red x appeared over the images (1000 ms).
Because food response training is more effective when participants are hungry (Veling et al., 2013a), training was done at least 3 h since last caloric intake. To increase the likelihood that participants would complete all trainings (including controls), training sessions began with a brief motivational enhancement activity, which we have used in an obesity prevention program (Stice, Rohde, Shaw, & Gau, 2017). For example, in a brief computer-based task participants generated 5 health costs of obesity.
**Generic response training control condition.** Controls ($n = 24$) completed parallel response and attention training with non-food images, based on evidence that this does not lead to any changes in caloric intake or weight (Lawrence et al., 2015a; Lawrence et al., 2015b; Veling et al., 2014). This allowed us to tell participants that both interventions were designed to improve response inhibition, which should produce weight loss given that impulsivity increases risk for overeating, ensuring credibility of the control intervention. Although it might be argued that mere exposure to high-calorie food images could produce weight loss, two trials confirmed that repeated exposure to high-calorie food images without response training did not produce weight change, implying that mere exposure to high-calorie foods does not affect weight (Allom & Mullan, 2015). Further, controlled laboratory studies have shown that response training decreases responses to food compared to control conditions in which people respond to food in some way (e.g., Houben & Jansen, 2011; van Koningsbruggen, Veling, Stroebe, & Aarts, 2014). We used 80 images of birds and 80 images of flowers (counterbalanced) for the control response and attention training; we included images of small mammals (chipmunks) as filler images. We selected these categories to control for the visual complexity and intensity of food images used in the response and attention training. This represents a rigorous control, as it parallels the duration of the food response intervention, with the exception that the training is generic, rather than food-specific.
### 1.4. Measures
**Body fat.** We used air displacement plethysmography (ADP) via the Bod Pod S/T to assess percent body fat because this is a more sensitive measure of adiposity than BMI (Stice et al., 2015b). Indeed, pre-to-post change in body fat did not correlate significantly with pre-post change in BMI in the present study ($r = 0.03$, $p = 0.837$). Further, the goal was to reduce excess body fat, rather than lean muscle mass or bone mass. ADP estimates of percent body fat show high test-retest reliability ($r = 0.92–0.99$), correlate with DEXA and hydrostatic weighing estimates ($r = 0.98–0.99$), and have a mean difference of only 1.7% relative to DEXA estimates (Weyers et al., 2002).
**fMRI food image exposure paradigm.** Participants completed a scan assessing neural response to images of high- and low-calorie foods. They consumed their regular meals but refrained from eating or drinking caffeinated beverages for 3–4 h preceding their scans. During this event-related paradigm, participants were exposed to 40 randomly selected images from the 100 high-calorie foods each participant rated highest in palatability and 40 randomly selected images from the 100 low-calorie foods each participant rated highest in palatability. Half of these images were used in the training and half were not, so as to better assess generalizability of the training effects. Images were presented for 5 s in a randomized order. A 2–4 s jitter occurred between each picture during which a blank screen with a crosshair was presented. Stimuli were presented in one scanning run (total duration 20 min).
### 1.5. Imaging and statistical analysis
Data were acquired using a Siemens Skyra 3 T MRI scanner. A 32-channel head coil acquired data from the entire brain. We collected 409 scans for the food image paradigm. Functional scans used a T2* weighted gradient single-shot echo planar imaging (EPI) sequence (TE = 30 ms, TR = 2000 ms, flip angle = 80°) with an in-plane resolution of $3.0 \times 3.0$ mm2 ($64 \times 64$ matrix; $192 \times 192$ mm2 field of view). To cover the whole brain, 32 4 mm slices (interleaved acquisition, no skip) were acquired along the AC-PC transverse, oblique plane as determined by the midsagittal section. Structural scans were collected using an inversion recovery T1 weighted sequence (MP-RAGE) in the same orientation as the functional sequences to provide detailed anatomic images aligned to the functional scans. High-resolution structural MRI sequences (FOV = $256 \times 256$ mm2, $256 \times 256$ matrix, thickness = 1.0 mm, and in-plane resolution of $1 \times 1$ mm) were acquired. Total scan time was 45 min, including the structural scan.
Neuroimaging data was preprocessed and analyzed using previously published procedures (Stice, Burger, & Yokum, 2015a). We contrasted BOLD activation during high-calorie food images versus low-calorie food images. Condition-specific effects at each voxel were estimated using general linear models. Vectors of the onset for each event of interest were compiled and entered into the
design matrix so that event-related responses could be modeled by the canonical hemodynamic response function using SPM12.
Individual maps were constructed to compare the activations within each participant during high-calorie food images versus low-calorie food images and were constructed for pretest and posttest separately (i.e., pretest high-calorie > low-calorie and pretest low-calorie > high-calorie; posttest high-calorie > low-calorie and posttest low-calorie > high-calorie). We then conducted a 2 Group (intervention, control) x 2 Time (pre, post) repeated-measures ANOVA on BOLD responses to examine group differences in change in neural response to high-calorie and low-calorie food images between conditions using these individual maps. Reported hunger before each scan was included as a covariate in analyses. Whole brain analyses were conducted after the binarized DARTEL derived sample-specific gray matter mask was applied. An overall significance level of $p < 0.05$ corrected for multiple comparisons across the gray matter masked whole brain was calculated. The threshold for correcting for multiple testing was calculated by: 1) estimating the inherent smoothness of the masked functional data with the 3dFWMHx module in AFNI (Cox, 1996), and 2) performing 10,000 Monte Carlo simulations of random noise at 3 mm through the masked data using the 3DClustSim module of AFNI (Forman et al., 1995). Simulation results indicated activity surviving a threshold of $p < 0.001$, with a cluster ($k$) $\geq 15$ is statistically significant corrected for multiple comparisons. Data were inspected to insure that outliers did not drive significant effects. Effect sizes ($r$) were derived from the Z-values ($Z/\sqrt{N}$).
### 1.6. Statistical analyses of non-imaging data
Repeated measures ANOVAs with one between-subjects factor with two levels (condition) evaluated change in the behavioral data, neural responses to food images, percent body fat, BMI, and value ratings of food images. The levels of the within-subject factor, time, varied by measure with two time points for the behavioral data (training session 1 on visit #2 vs. training session 4 on visit #5), neural response data (pre-training on visit #2, and post-training on visit #5, scan), value ratings for food images (pretest on visit #1 and posttest on visit #5) and three time points for percent body fat and BMI (pretest at visit #1, posttest at visit #5, and 6-mo follow-up at visit #6). Effects for percent body fat and BMI were examined during the acute phase of the intervention (visit #1 vs. #5) and again including the longer-term follow-up (visit #1 vs. #5 and #6). Eta-square values from the models were converted to a d-statistic and provided as a measure of effect size and interpreted as 0.2 small, 0.5 medium, and 0.8 large.
### 2. Results
#### 2.1. Behavioral data
Intervention and control groups did not statistically differ on demographic factors or study variables at baseline (smallest $p = 0.11$), with the exception of monetary valuation of low-calorie foods at baseline, suggesting randomization produced initially equivalent groups (see Table 1). Note that the analyses testing the condition effects on change in monetary valuation of low-calorie foods statistically controlled for baseline differences in monetary valuation of low-calorie foods. Retention was 87% at the posttest assessment and 85% at the 6-month follow-up assessment. Number of completed assessments was not related to condition ($\chi^2[1,47] = 1.73, p = 0.422$). Participants showed excellent adherence to the training and reported high acceptability, as indexed by the fact that 100% of participants completed all trainings.
Task performance accuracy in all tasks and training sessions (weekly visits) was high (at least 80%) demonstrating that all participants were engaged in the training. Table 2 displays mean group errors (expressed as a proportion of no-go/stop trials) and mean go reaction time (RT) for the first and final (fourth) training session from both the food response training condition and the generic training control condition to illustrate task performance over time (see Supplementary Material for more details). Repeated measures ANOVAs confirmed that the intervention and control groups showed similar task performance and improvements over time in most tasks. There were very few errors, go RT improved over sessions, and there were only minor differences between groups. Namely, the intervention relative to control group showed a larger attentional bias score from the dot-probe task and slower RT in the visual-search task (potentially reflecting the greater motivational salience of food versus non-food images), significantly greater reductions in RT for intervention versus control participants (which may have emerged because intervention versus control participants showed slower RT at baseline), and stronger respond-signal learning. Further, both groups showed similar learning of stimulus-specific respond and no-respond associations, as demonstrated by the lower error rates and faster reaction times to the 100% versus 50% associated stimuli. These results suggest that training conditions were generally matched for task demands, stimulus-specific learning, and engagement.
#### 2.2. Intervention effects on neural response to high-calorie versus low-calorie food images
Forty-one participants completed both pre and post scans (food response training n = 20; control n = 21). Six participants were
| Table 1 | Test of group differences on demographic characteristics and baseline measures. |
|---------|----------------------------------------------------------------------------------|
| | Intervention | Control | Test Statistics |
| Categorical [N, (%)] | | | |
| Female | 21 | 87.5 | 21 | 95.5 | $\chi^2[1,46] = 0.91, p = 0.339, d = 0.28$ |
| Taking medications | 7 | 28.0 | 6 | 27.3 | $\chi^2[1,47] = 0.01, p = 0.955, d = 0.02$ |
| Continuous [Mean, (SD)] | | | | | |
| Age | 32.8 | (8.3) | 32.4 | (8.4) | $t[42] = 0.15, p = 0.882, d = 0.04$ |
| Body Mass Index | 38.46 | (9.76) | 35.00 | (7.66) | $t[45] = 1.36, p = 0.181, d = 0.40$ |
| Percent body fat | 46.89 | (8.25) | 43.10 | (8.41) | $t[45] = 1.56, p = 0.126, d = 0.46$ |
| Value ratings for food images | | | | | |
| Palatability rating high calorie foods | 5.14 | (1.30) | 5.14 | (1.46) | $t[47] = 0.04, p = 0.972, d = 0.01$ |
| Monetary value rating high calorie foods | 4.80 | (1.38) | 4.36 | (1.16) | $t[47] = 1.21, p = 0.236, d = 0.36$ |
| Palatability rating low calorie foods | 4.65 | (1.25) | 5.05 | (1.35) | $t[47] = 1.08, p = 0.286, d = 0.32$ |
| Monetary value rating low calorie foods | 4.62 | (1.51) | 3.79 | (0.81) | $t[47] = 2.35, p = 0.025, d = 0.70$ |
Table 2
Comparison of Performance on the Go/No-Go task, Stop-Signal Task, Dot-Probe Task, Visual-search Task, and Respond Signal Task between the Intervention and Control Group.
| Group | Time-point | Intervention (n = 23) | Control (n = 24) |
|----------------|------------|-----------------------|------------------|
| | | Session 1 | Session 4 | Session 1 | Session 4 |
| **Go/No-go** | | | | | |
| No-Go errors (HC) | 0.013 (0.02) | 0.007 (0.01) | 0.011 (0.01) | 0.01 (0.01) |
| No-Go errors (Filler) | 0.025 (0.09) | 0.027 (0.06) | 0.043 (0.05) | 0.035 (0.04) |
| **Category effect** | 0.012 (0.07) | 0.02 (0.05) | 0.032 (0.05) | 0.025 (0.03) |
| Go RT ms (LC) | 512.1 (61.7) | 463.5 (58.6) | 507.2 (73.4) | 433.3 (57.1) |
| Go RT ms (Filler) | 522.3 (78) | 475.8 (74.8) | 508.8 (81.9) | 440 (55.6) |
| **Category effect** | 10.1 (34.8) | 12.3 (30.6) | 1.7 (30.2) | 6.7 (14.3) |
| **Stop-Signal** | | | | | |
| Stop errors (HC) | 0.006 (0.01)³ | 0.016 (0.02)³ | 0.004 (0.01) | 0.013 (0.02) |
| Stop errors (Filler) | 0 (0)³ | 0.024 (0.08)³ | 0.015 (0.04) | 0.053 (0.09) |
| **Category effect** | -0.006 (0)³ | 0.008 (0.08) | 0.011 (0.04) | 0.039 (0.09) |
| SST Go RT ms (LC) | 543.3 (110.7)³ | 348.8 (32.6)³ | 499.8 (94.4) | 349.9 (37.5) |
| SST Go RT ms (Filler) | 550.9 (125.4)³ | 357.9 (29.3)³ | 519 (102.5) | 359.8 (46.9) |
| **Category effect** | 7.61 (44.4)³ | 9.11 (18.4)³ | 19.23 (25.7) | 9.88 (25.1) |
| **Dot-Probe** | | | | | |
| Target RT ms (LC) | 401.6 (64.1) | 305.8 (80.9)³ | 397.5 (51.4) | 335.7 (70.1)² |
| Target RT ms (HC) | 514.4 (65.2) | 461.2 (94.5)⁶ | 434.3 (76.1) | 460.3 (65.4)² |
| **Attentional bias (ms)** | 112.8 (86.7) | 155.6(103.8)⁶ | 36.8(56.4) | 124.6 (75.9)² |
| **Visual-search** | | | | | |
| Target RT ms (LC) | 1655.7 (111) | 1440.2 (137)² | 928.4 (133)¹ | 909.6 (147)⁵ |
| **Respond-Signal** | | | | | |
| Go RT ms (LC) | 330.75 (55.3)⁹ | 355.55 (89.3)¹³ | 359 (64.5)⁶ | 323.19 (54.6)⁹ |
| Go RT ms (Filler) | 424.19 (75)⁹ | 427.31 (90.2)¹³ | 402.41 (67.2)⁹ | 349 (44.4)⁹ |
| **Category effect** | 93.4 (68.8)⁹ | 71.8 (70.2)¹³ | 43.4 (50.2)⁶ | 25.8 (22.1)⁹ |
Notes. Standard deviations are given between parentheses. Go RTs are means for correct trials. Errors = proportion of no-go or stop trials with incorrect response. HC = High-calorie foods or their control task equivalents (birds); Filler = Water filler stimuli or their control task equivalents (small mammals); LC = low-calorie food images or their control task equivalents (flowers). Numbers in superscript refer to data missing from this number of participants in this cell, e.g. ¹Data missing from 1 participant in this cell, ²Data missing from 2 participants etc. The Category effect (shown in bold font) shows the difference between 100% and 50% associated stimuli – with larger numbers indicating quicker responding and lower inhibition errors to 100% vs. 50% predictive stimuli.
ineligible due to fMRI contra-indications. Whole brain analyses comparing the food response training and control participants on change in BOLD activity in response to high-calorie food pictures > low-calorie food pictures showed significant group x time interactions in the right postcentral gyrus ($r = 0.73$), right mid insula ($r's = 0.61$ and $0.57$; Fig. 2C), left superior temporal gyrus ($r's = 0.72$ and $0.61$), bilateral Rolandic operculum ($r$ left = $0.64$; $r$ right = $0.60$), left inferior parietal lobe ($r = 0.66$; Fig. 2A), and right putamen ($r = 0.61$; Fig. 2B) (Table 3). The interactions revealed that the food response-training group showed decreases in BOLD activity in these regions and the generic response-training group showed minor increases in BOLD activity (Fig. 2). Post-hoc analyses tested whether changes in these regions were significant within groups. We extracted the main effect parameter estimates at the individual level from the peak coordinates (i.e., right postcentral gyrus [MNI coordinates: 48, −24, 24], left superior temporal gyrus [MNI coordinates: −48, −12, −6], left inferior parietal lobe [MNI coordinates: −57, −39, 27], right putamen [MNI: 33, 0, −6]) at pretest and posttest. Bonferroni tests were used to correct for the number of tests ($p < 0.05/4$ peaks = 0.01). The food response training participants showed significant decreases in the right postcentral gyrus ($d = 1.41$), left superior temporal gyrus ($d = 0.82$), left inferior parietal lobe ($d = 1.09$), and right putamen ($d = 0.68$). The control group showed a significant increase in left superior temporal gyrus ($d = 0.74$). No other significant changes in BOLD activity occurred in the control group.
The food response training versus generic response training participants did not show significant increases in BOLD activity from pre-to posttest. There were no significant group x time differences in BOLD signal in response to low-calorie > high-calorie food images. There were no significant changes in BOLD activity in
 Greater pre-to post BOLD response decreases in A) inferior parietal lobe (MNI: −57, −39, 27, Z = 4.21, k = 71), B) putamen (MNI: 33, 0, −6, Z = 3.93, k = 79), and C) mid insula (MNI: 42, 6, 0, Z = 3.89) in response to high-calorie relative to low-calorie food images in the food response training condition versus control condition.
Table 3
Significant Condition-by-Stimulus-by-Time Interactions in Brain Activation during Exposure to Food Images: Flexible Factorial 2 × 2: Intervention (n = 20) vs control (n = 21).
| Contrasts and regions | k | Z-value | MNI coordinates | r |
|----------------------------------------|-----|---------|-----------------|------|
| **Intervention > control** | | | | |
| **High-calorie > low-calorie** | | | | |
| Baseline > follow-up: | | | | |
| Postcentral gyrus | 63 | 4.68 | −48, −24, 24 | 0.73 |
| Mid insula | 3.66| 36, −12, 9 | | 0.57 |
| Superior temporal gyrus | 100 | 4.60 | −48, −12, −6 | 0.72 |
| Rolandic operculum | 4.11| −45, 0, 12 | | 0.64 |
| Superior temporal gyrus | 3.89| −48, 0, −12 | | 0.61 |
| Inferior parietal lobe | 71 | 4.21 | −57, −39, 27 | 0.66 |
| Putamen | 78 | 3.93 | 33, 0, −6 | 0.61 |
| Mid insula | 3.89| 42, 6, 0 | | 0.61 |
| Rolandic operculum | 3.87| 51, 0, 6 | | 0.60 |
Notes. Peaks within the regions were considered significant at p < 0.001, k ≥ 15, p < 0.05, corrected for multiple comparisons across the entire brain. Hunger was controlled for in the analyses.
the generic response training group compared to the food response training group.
We tested whether pre-post changes in BOLD response correlated with pre-post changes in palatability and monetary valuation ratings of the high-calorie ‘inhibited’ and low-calorie ‘go’ food pictures across all participants. For these analyses, we extracted the parameter estimates of the significant group × time interactions of the significant peaks and tested whether change in parameter estimates correlated with change in palatability and monetary valuation ratings of the high-calorie and low-calorie food pictures. Bonferroni corrections were used to correct for the number of tests. Pre-post reductions in BOLD activity in the right postcentral gyrus (r = 0.43, p = 0.007) and right mid insula (r = 0.43, p = 0.007) correlated positively with pre-post reductions in palatability ratings of the high-calorie food pictures. Pre-post reductions in BOLD activity in the right putamen (r = 0.39, p = 0.01) and mid insula (r = 0.39, p = 0.01) correlated positively with pre-post reductions in monetary valuation ratings of high-calorie food pictures. Changes in BOLD activation did not significantly correlate with changes in palatability and monetary value ratings of low-calorie food pictures.
2.3. Intervention effects on body fat and palatability and monetary value ratings of food images
Palatability ratings for high calorie foods changed over time (F [1, 36] = 42.45, p < 0.001, d = 2.08), differed as a function of group (F [1, 36] = 5.12, p = 0.030, d = 0.76) and showed significant condition x time differences (F[1,36] = 7.59, p = 0.009, d = 0.92; food response training: pretest M = 5.1 [SD = 1.3], posttest M = 3.5 [SD = 1.4]; control: pretest M = 5.6 [SD = 1.5], posttest M = 4.9 [SD = 1.5]). Follow-up tests of the significant interaction showed intervention participants significantly decreased over time at approximately twice the magnitude (F [1, 19] = 37.74, p < 0.001, d = 2.81) compared to control participants (F [1, 17] = 7.55, p = 0.014, d = 1.33). Monetary ratings for high calorie foods changed over time (F [1, 36] = 5.00, p = 0.032, d = 0.70), did not differ as a function of group (F [1, 36] = 0.78, p = 0.384, d = 0.29) and showed significant condition x time differences (F[1,36] = 7.57, p = 0.009, d = 0.92; food response training: pretest M = 4.7 [SD = 1.4], posttest M = 3.5 [SD = 1.0]; control: pretest M = 4.3 [SD = 1.0], posttest M = 4.5 [SD = 1.5]). Follow-up tests of the significant interaction showed intervention participants significantly decreased over time (F [1, 19] = 9.36, p < 0.001, d = 1.40) whereas control participants did not (F [1, 17] = 0.32, p = 0.576, d = 0.28). No significant condition x time effect was found for palatability or monetary ratings for low-calorie foods.
Results showed that percent body fat from pretest to posttest significantly changed over time (F [1, 38] = 4.98, p = 0.032, d = 0.72), did not differ as a function of group (F [1, 38] = 1.09, p = 0.303, d = 0.33), but did show a significant condition x time interaction (F[1, 38] = 7.64, p = 0.009, d = 0.90; percent body fat: pretest M = 45.9 [SD = 8.0], posttest M = 44.9 [SD = 8.3] for response training and pretest M = 42.5 [SD = 8.9], posttest M = 42.6 [SD = 9.2] for control participants). Follow-up tests of the significant interaction showed that percent body fat of intervention participants significantly decreased over time (F [1, 19] = 9.83, p = 0.005, d = 1.44) whereas that of control participants did not change over time (F [1, 19] = 0.19, p = 0.665, d = 0.20). Pre to posttest results showed that BMI did not change over time (F [1, 39] = 0.02, p = 0.877, d = 0.05), did not differ as a function of group (F [1, 39] = 1.00, p = 0.324, d = 0.32) and did not show a significant condition x time interaction (F[1, 39] = 0.02, p = 0.877, d < 0.01; BMI: pretest M = 37.7 [SD = 9.2], posttest M = 37.7 [SD = 9.2] for response training participants and pretest M = 35.0 [SD = 7.7], posttest M = 35.0 [SD = 7.6] for control participants). Pre-to-post change in body fat showed a marginal correlation with pre-to-post change in palatability ratings for high-calorie foods (r = 0.31, p = 0.066) and low-calorie foods (r = −0.29, p = 0.087), but not with pre-to-post change in monetary value ratings for high-calorie foods (r = 0.04, p = 0.835) or low-calorie foods (r = 0.06, p = 0.747).
When we included data from the 6-month follow-up for body fat and BMI, the time × condition interactions were not significant, signaling that the body fat loss effect did not persist over 6-month follow-up. Specifically, for body fat there was no change over time (F [2, 70] = 0.69, p = 0.506, d = 0.06), no difference as a function of group (F [1, 35] = 1.31, p = 0.260, d = 0.39) and a non-significant condition x time interaction (F[2, 70] = 1.58, p = 0.214, d = 0.33). Similarly, for BMI, there was non-significant change over time (F[2, 72] = 1.27, p = 0.288, d = 0.25), non-significant group differences (F [1, 36] = 1.36, p = 0.250, d = 0.39) and a non-significant condition x time interaction (F[2, 72] = 0.02, p = 0.976, d < 0.01).
3. Discussion
In sum, completion of the food response training intervention versus the generic training intervention was associated with (a) behavioral evidence of learning during the training tasks, (b) a significant reduction in reward and attention region response to high-calorie food images versus low-calorie food images, (c) reduced palatability ratings and monetary valuation of high-calorie foods, but not low-calorie foods, and (d) greater body fat loss over a 4-week period, though this effect was not significant by 6-month follow-up.
Behavioral data from both groups suggested that participants showed the expected stimulus-response learning during the trainings; they showed faster go responses to consistent (vs. inconsistent) go items and responses became faster over sessions. Both groups also showed lower commission errors to consistent (vs. inconsistent) no-go/stop items. Yet there was evidence of larger attentional bias in the food response training vs. generic training for food versus non-food image tasks overall from the dot-probe training and slower RT in the visual-search task for food versus non-food images. The latter might have driven the significantly larger reductions in RT for food response training participants versus generic control training participants. In addition, food response training participants showed greater RT differences for respond versus non-response images on the response-signal task compared to controls. In general, these data replicate past findings from studies that evaluated single modality training interventions.
(Kakoschke et al., 2014; Lawrence et al., 2015a; Verbruggen & Logan, 2008) and confirm that the training tasks worked as expected, even when the different training tasks were combined.
Critically, completing food response versus generic response training was associated with significantly greater pre-post reductions in neural responsivity to high-calorie versus low-calorie food images in regions that appear to play a role in attention (inferior parietal lobe), reward processing (putamen, mid insula), and sensory processing (postcentral gyrus, superior temporal gyrus), including oral somatosensory processing (Rolandic operculum). Reductions in responsivity in the postcentral gyrus and mid insula were positively associated with the decrease in palatability ratings of the high-calorie ‘inhibited’ foods and reductions in the putamen and mid insula were positively associated with the decrease in monetary value ratings of high-calorie ‘inhibited’ foods. These findings suggest that the reductions in the postcentral gyrus, mid insula, and putamen could have contributed to the decrease in palatability and value of the high-calorie foods. The inferior parietal lobe has been implicated in attentional bias towards high-calorie food images (Führer, Zysset & Stumvoll, 2008) and unhealthy food commercials (Gearhardt et al., 2014). The putamen responds to (food) reward (Stoeckel et al., 2008; Stice, Burger & Yokum, 2013) and may underlie the automatic “go” response towards high-calorie foods (Fuentes-Claramonte et al., 2015), an important component of reward valuation (Guitart-Masip, Duzel, Dolan, & Dayan, 2014). The insula integrates perception, emotion, interoceptive awareness, cognition, gustation, as well as information about the salience and reward value of stimuli (Dagher, 2009), though the mid insula is particularly responsive to food cravings (Pelchat, Johnson, Chan, Valdez, & Ragland, 2004). Thus, results suggest that the food response training may reduce attention- and reward-related responsivity to high-calorie food cues. Interestingly, there is evidence that surgical weight loss also reduces putamen and insula responsivity to food cues (Bruce et al., 2012; Ochner et al., 2012b). This pattern of findings implies that reducing reward region response to high-calorie food images/cues mediates the effects of two treatments shown to reduce body fat and implies that response and attention training might represent a “knifeless” method of engaging this intervention target. Collectively, data suggest that response training was associated with reduced activation in attention and reward regions, suggesting that humans automatically devalue stimuli associated with behavioral inhibition and reduce attentional allocation to the trained food images (i.e., actions shape valuation).
Food response training was also associated with greater reductions in the (oral) somatosensory regions (e.g., postcentral gyrus, Rolandic operculum) and the superior temporal gyrus in response to high-calorie food, though the latter effect was equally driven by a reduction in responsivity in intervention participants and an increase in responsivity in control participants. These regions have been implicated in the neural encoding of taste and are activated by high-calorie food cues (Ochner et al., 2012a) as well as high-fat/sugar food receipt (Stice, Figlewicz, Gosnell, Levine, & Pratt, 2013).
It was noteworthy that food response training did not increase responsivity of inhibitory regions to high-calorie food images at posttest. However, it is possible that participants in both groups showed increases in general inhibitory control.
The fMRI findings are highly innovative, in that past research has not used brain imaging to evaluate the effects of food response training interventions. The fact that participants were exposed to high-calorie and low-calorie foods that were both used and not used in the response training provides some evidence of generalizability of training effects, though there were too few images of foods not used in the training for separate analyses.
It could be argued that because intervention participants were exposed to images of high-calorie foods more than control participants, that this drove the differential change in BOLD signal. However, this is unlikely because we tested change in BOLD response to high-calorie foods > low-calorie foods; mere exposure would have reduced BOLD response to both types of food images, and therefore cannot logically explain the observed pattern of findings.
Completing the food response training was associated with decreases in palatability and monetary value ratings for high-calorie ‘inhibited’ foods, which were large effects ($d = 1.10$ and $0.87$, respectively), relative to completing the generic response training. This suggests that response training reduces valuation of high-calorie foods, as found in past trials of single modality training interventions (Lawrence et al., 2015a; Veling et al., 2013a).
Response training and attention training was not associated with increased palatability rates of, and willingness to pay for, low-calorie foods. Although we had participants respond to low-calorie foods because it seemed like it would increase the credibility of the intervention for weight loss purposes, to our knowledge only one study has found evidence of increased valuation of low-valued foods (Chen et al., 2016). One difference is that Chen and associates used an adaptive staircase procedure that made responding correctly more challenging. This pattern of findings suggests that making the trainings adaptive may result in increased attentional engagement that contributes to a change in valuation of stimuli associated with go/respond cues (Schonberg et al., 2014).
Food response training participants also showed greater reductions in body fat than generic response training controls, a large effect ($d = 0.90$), although effects were non-significant by 6-month follow-up and we did not detect any effects for BMI. The fact that the body fat reduction effects did not persist at follow-up implies that it will be critical for future research to evaluate procedures to improve the persistence of body fat loss effects (e.g., by adding booster training sessions). It is encouraging that our pre-to post-training (one month) body fat loss effect converges with evidence that single modality training has produced weight loss in studies conducted by multiple independent research teams (Allom & Mullan, 2015; Lawrence et al., 2015a; Veling et al., 2014), but it would have been more encouraging if we had also observed effects for BMI. The fact that we detected intervention effects in this and a previous trial with body fat, but not with BMI (Stice et al., 2015a and 2015b) suggests that the former is a more sensitive measure of body fat than is BMI, which reflects height-adjusted overall body density. As has been noted by methodologists, BMI does not differentiate between body fat and muscle mass (e.g., Rothman, 2008).
There are other important factors to consider when interpreting the body fat loss effect. First, our active credible comparison condition represents a more rigorous control than the minimal education or assessment-only control typically used in obesity treatment trials, as it was matched for contact time and should equate expectancy effects. Several behavioral weight loss interventions produced significantly greater weight loss than a minimal intervention exercise condition, but they did not significantly outperform a credible general practice comparison condition matched for clinician contact time (Jolly et al., 2011). Second, the acute effect size for this brief 4-hr intervention ($d = 0.90$) compares favorably to the average pre-post weight loss effect from much more intensive 6-month behavioral weight loss treatments ($d = 0.85$) (Franz et al., 2007) that are typically 50 h in duration. Third, unlike the typical behavioral obesity treatment that is delivered by professional clinicians that costs $1400/year per participant (Pellegrini, Hoffman, Collins, & Spring 2014), our response training intervention can be delivered over the Internet
to an enormous number of obese/overweight individuals at a minimal expense. Fourth, our pilot treatment lasted only 1-month, versus the typical behavioral obesity treatment that often spans 6–12 months.
It is important to consider the limitations of the present study when interpreting the effects. First, the sample size was only moderate, which limited our sensitivity to detecting small to moderate effects. Second, training only took place in 4 brief 50 min sessions, which might have limited the effects on body fat loss and persistence of these effects. Future experiments should test whether increasing training duration or frequency results in larger intervention effects. Third, the relatively small sample size of this pilot did not provide adequate power for formal mediation analyses. Relatedly, because we did not include pre and post measures of inhibitory control to food and attention toward high calorie food items in both groups, we were not able to test whether intervention participants showed a reduced attentional bias and improved inhibitory control compared to controls. Future trials should assess attentional bias for, and inhibitory control in response to, high-calorie versus low-calorie food images in both conditions before and after training to provide a better assessment of the mechanisms of effect. Fourth, the intervention involved both response training and attention training, making it impossible to gauge the relative effects of these two interventions. Fifth, the food response training participants reported slightly higher baseline monetary value ratings for low-calorie foods compared to the generic response training controls. Although the analyses testing the effects of condition effects on change in monetary valuation of low-calorie foods statistically controlled for baseline differences in monetary valuation of low-calorie foods, this baseline difference may have influenced the outcome. Finally, the sample was predominantly European-American, which may limit generalizability to other ethnic groups.
Food response training has advantages over standard weight loss interventions, including the fact that it targets implicit processes, rather than relying on effortful control to affect changes in eating. The treatment-of-choice for obesity – behavioral weight loss interventions – relies on top-down effortful control to reduce food intake. Another drawback of behavioral weight loss interventions is that they involve prolonged caloric deprivation, which ironically increases the reward value of high-calorie foods (Leidy, Lepping, Savage, & Harris, 2011; Stice, Burger, & Yokum, 2013a). This may represent a key rate-limiting factor for the amount and persistence of weight loss from existing behavioral obesity treatment. Response training, which is associated with a reduction in the elevated approach behavior toward high-calorie foods exhibited by obese individuals, relies on implicit training, which is a bottom-up approach – that is most effective for precisely those that need it most – individuals with a pronounced approach tendency for high-calorie foods and low inhibitory control (Batterink et al., 2010; Seeyave et al., 2009). Such computerized training aims to directly change the automatic cognitive motivational processes that drive overeating, such as elevated reward and attention region response to food cues, and should thus result in sustained behavior change (Jansen, Houben, & Roefs, 2015; Marteau, Hollands, & Fletcher, 2012). It is also a cost-effective intervention that could be used alone or with extant weight loss treatments. However, it will be critical to evaluate procedures for producing body fat loss effects that persist over time, such as refining the trainings to produce greater reduction in valuation of high-calorie foods and greater increases in valuation of low-calorie foods and adding booster trainings in multiple contexts. Future research should also evaluate whether adding food response training to behavioral and surgical weight loss treatments improves efficacy.
Conflict of interest statement
The authors declare that there are no conflicts of interest.
Acknowledgements
National Institutes of Health grant DK-080760 supported this study. The National Institutes of Health had no role in the study design, collection, interpretation of the data, writing the manuscript, or the decision to submit the paper for publication. The authors thank the Lewis Center for Neuroimaging at the University of Oregon for their assistance with the fMRI scans.
Appendix A. Supplementary data
Supplementary data related to this article can be found at http://dx.doi.org/10.1016/j.brat.2017.04.007.
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CONGRESSIONAL LEADERSHIP AGENDA
March 18, 1969
8:30 - 8:50 a.m. I. One-Bank Holding Company Legislation
8:50 - 9:10 a.m. II. House Vote on Increase in the Debt Ceiling
9:10 - 9:30 a.m. III. Consolidation of Departmental Field Regions
The President entered at 8:35 and asked Mr. Kennedy to explain the one-bank holding company legislation. Kennedy asked Dr. Charles Walker to do so. The Administration bill has the unanimous support of Treasury, Justice, Budget, Council of Economic Advisers and the three banking agencies. He read a Presidential Message on the Bank Holding Company Act of 1969. The legislation intends to build upon the 1956 Act, in which President Eisenhower took the lead. The 1956 Act applies only to holding companies with more than 1 bank. The 1969 Act would apply to 1-bank holding companies of which there are approximately 800 now. It would contain a grandfather date of 1968 but require corporations acquired thereafter to confine themselves to financial and fiduciary functions. Kennedy endorsed Walker's remarks and said that it was important to check the growth of conglomerates.
Widnall agrees with the legislation but disagrees with the approach. He believes Treasury should send the bill with its own message to Congress rather than have the President message the bill to Congress. The point is that this would confine the struggle to Patman and Treasury rather than Patman and the President. Walker said Patman's bill and this bill are not too far apart, but Patman's would require complete divestiture.
RMN inquired if Congressional Leadership agreed with Widnall. Dirksen asked if this was intended to be an opening gun against all conglomerates and cited a case to illustrate some of the beneficial effects that can flow from mergers. Walker said "no." RMN said that administration policy would be devised on the basis of the effect upon economic efficiency and the interests of the consumer. Ford said that some legislation is bound to pass, and in
such case, it is not necessary for the President to make it a personal privilege battle. He agreed with Widnall. Bennett agrees with Treasury that the President should send a message. Perhaps a second message could come from Treasury. He and Sparkman will introduce the Administration bill. Taft said that his trip home last weekend proved that people were concerned about the threat of conglomerates. He suggested that the message be amended to broaden the gauge. Rhodes agrees that the public is concerned about the danger of business bigness growing out of mergers. Scott suggested that the message eliminate the word "conglomerates" so that it would not be interpreted as a broadside against all mergers. Allott agreed with Taft and Rhodes.
Byrnes reported that the Rules Committee will meet this morning and will likely issue a closed rule for debate tomorrow on the debt ceiling increase. Ford said that the GOP Conference in the House this afternoon will smooth the way for the legislation. He expects 120 Republican votes.
RMN talked about the difficulty of reducing budget items and inquired what expenditure limitation the Appropriations Committee is likely to put upon appropriation bills. Ford said that House Republicans could not gracefully change positions on expenditure limitations which were imposed on all bills last year. He also warned that it would be more difficult for Republicans to justify supporting a second debt ceiling increase. Dirksen said that Proxmire will propose reducing the 10% surtax to 5% with a $15 billion spending cut. Byrnes said that an overall expenditure limitation was not as desirable as a selective limitation. This is believed to be Mills's attitude. Yet, he believes that an overall limitation would be tactically useful when surtax extension is debated. Mayo said that "little ceilings" are more restrictive than an overall ceiling but did not dispute that this might be a
desirable discipline. Williams suggested that the President ask Congress specifically for an expenditure limitation. He favors a general rather than a selective limitation. He also feels the surtax will never be extended unless there is a dramatic spending cut first. Mayo called attention to the fact that even an overall limitation has little flexibility if it is punctured by specific exceptions.
RMN said that much money can be saved by personnel cuts. There are too many people in every agency. "If you let personnel grow like topsy, the programs they administer grow." He illustrated his point with the White House photographers who are no longer around. He further said that his European trip cost $300,000 a week less than similar Presidential trips simply because he insisted upon a reduced staff.
Ford said that if the Administration expects to get Republican help in extending the surtax, it should recommend an overall expenditure limitation. Scott said that further savings can be made "by doubling up the duties" in foreign embassies and installations. RMN announced that Marshall Greene will be the new Assistant Secretary for Far Eastern Affairs, and he recalled that when Greene was Ambassador to Indonesia, he cut the staff by 75%. Cramer suggested that ranking Republican Members on legislative committees should be advised in advance of major spending cut proposals.
Blount unveiled a new plan to save money in the Post Office Department. The Johnson budget shows a $200 million surplus in the Department account. This is achieved by subtracting $695 million in public services, adding $519 million in new revenues from rate increases and ignoring the $280 million Phase III pay increase scheduled in July. He used charts to illustrate the fact that most of the Department's work is done in six hours with peak periods between
6:00 and 9:00 p.m. and between 3:00 and 6:00 a.m. If these peaks could be leveled out over a 24-hour period, great savings could be achieved. He will propose a new system including a priority mail stamp. Users would pay a premium for premium service. All other mail would be put in the deferred-handling category and handled outside the peak periods. This plan might be frustrated if the Department accepts another proposal to merge first class and air mail. For that reason, and because such a merger would work a net revenue loss, the merger is not being approved at this time.
Ford asked about rate increases on junk mail, pointing out that voters feel that they are already paying more than their share when they buy first class stamps. Blount indicated that consideration would be given to the comment.
Wilson asked if the unions would approve a proposal which would mean a large reduction in personnel. Blount said that cuts would be absorbed by attrition. The Vice President said that the union leaders are worried about the loss of dues-paying members. Ford suggested that the timing was bad and asked that an announcement be postponed until after debt ceiling legislation is disposed of.
RMN said that any man who had survived a scrape with Congress should have no difficulty grappling with the unions. Blount replied that the "Congressional barbecue" was good training. RMN said that we are going to make him a college president next. Blount replied, "There are a lot of people trying to get rid of me."
Hughes of Budget outlined the proposal to reorganize the regional field offices of the federal agencies in accordance with the paper dated March 18 attached hereto. Senator Bennett asked if the plan was to unify all agencies in each region or just to fix identical geographical jurisdiction. Hughes replied that it was the latter; that there would be
no central boss; rather, that Regional Councils would undertake to coordinate the work of all agencies within the Region; that this would be an initial step toward decentralization of responsibility and decision-making. At this point, RMN intervened to suggest that Members of Congress should promptly report the names of any regional officer who is playing partisan politics in his office. Ford recommended that any announcement about this proposal be delayed until after the Reorganization Act passes Congress today. Cramer suggested that Republican Members who will lose some regional offices under the new plan should be notified in advance.
RMN raised the question of student unrest again. He invited comment around the table. He announced that he would meet later today with the Attorney General and following that meeting, would issue a press statement. Ford said that this course is right and popular; the law is already on the books to deny federal funds to student violaters; that the previous Administration did not enforce the law and this Administration will. Taft said that he raised the question at a biracial meeting last week and was surprised to find that there was "no feedback." Dirksen said that this is the worst type of anti-social conduct and should be dealt with firmly. The Vice President pointed out that the practice has reached the high school and junior high school levels. Allott said that he has an 8-minute film of what happened at the University of Colorado which he would be glad to make available to the President; that he was ashamed of his alma mater because it did not deal firmly with the problem that he was convinced that the problem is more than student unrest and is "not dissimilar to the pattern in Hitler Germany." He said that Wolff, the German radical who recently walked out of a Congressional hearing, should not have been granted an American visa. Mrs. Smith said that the emphasis should be placed on the Presidents and Trustees of the colleges rather than the students themselves. Scott said that as a matter of semantics, it would be well to equate student unrest with fascism, the effort of a small minority to impose its will on the majority at the expense of the rights of the majority.
I said that pursuant to the theme Scott has suggested, the President might do well to explore with the Attorney General the possibility of applying the Interstate Anti-riot Law passed by the last Congress. The President said that this would be discussed but that the problem was the difficulty of assembling "hard evidence." He used these words after I put them in his mouth. I did not pursue the point, but I was tempted to say that this is the same answer Ramsey Clark gave whenever anyone suggested that he prosecute the more blatant leaders. Civil attorneys can afford to pick and choose the cases they try and select only those they are likely to win. Prosecutors shouldn't claim that option. If they have the evidence that convinces the reasonable mind beyond a reasonable doubt, they should prosecute and run the risk of losing a few cases. The people will respect a Justice Department which tries and fails but not one which is afraid to try.
The President adjourned the meeting at 10:15 a.m.
RICHARD H. POFF
SENATOR DIRKSEN: Good morning, ladies and gentlemen. The first object of discussion this morning was the one bank holding. That has been bouncing around for quite some time. It is evident now, of course, that there will be legislation in this field. There is a big interest in it, both in the House and in the Senate.
To some extent it has been popularized by Congressman Patman of Texas. He has introduced a bill. I believe Senator Proxmire of Wisconsin has introduced a bill.
The Administration, of course, is very much interested. There will be a bill and the Administration will support a bill. I fancy that Senator Bennett and Sparkman will probably introduce a version that can conceivably get the support of the Administration.
It is an important thing from one economic standpoint, certainly, and that is the concentration of power in the whole economic and industrial and financial field today. It has brought a sense of apprehension and alarm in a great many quarters.
I have looked at it over a period of time, giving a little attention to it, so we can see now that there has been a rapid progressive increase in a number of bank holdings, and obviously, it is going to cry for attention one day soon.
So that is one field of endeavor in which we are sure there will be legislation in the not too distant future, and if it is the right kind of legislation, certainly it will have Administration support.
CONGRESSMAN FORD: Just to follow up on what Senator Dirksen said, there is the Patman Bill and there will be the Administration Bill in the House. In some respects, the Administration Bill is stronger than the Patman Bill and there are some technical differences between the two otherwise.
I am confident the House will pass a bill, and we will wholeheartedly endorse the Administration proposal, because we think it is strong in important areas.
There was another matter discussed. The President is meeting with the Attorney General and with the Secretary of HEW this afternoon on the student riot problem, and its various ramifications.
The previous Administration did not implement the legislation that the Congress provided during the last session to withhold funds from those students who are involved in campus riots. Neither did the last Administration use as effectively as we think they should, the anti-riot legislation.
But there will be this conference today and the President will have a statement later this week in reference to the overall problem. It is our general impression that these militants, small in number, are really using Facist tactics in depriving the rest of the students the opportunity to get an education.
I think the whole approach of the Administration will be aimed at this Facist group that want to deprive students of an opportunity to get an education.
SENATOR DIRKSEN: There was rather broad Leadership participation in this subject, and the discussion went around the table. The President is deeply interested and obviously so. I think there was a general feeling that the type of demonstration that is carried on to the extreme is absolutely anti-social in nature. If it is criminal, of course there are criminal statutes to deal with it. Whether it is in the category of a misdemeanor or a felony, in any event it is crime.
But in so many cases, it is anti-social conduct, and there has to be a deterrent for it. Now what is the deterrent? Perhaps the withholding of these loans or denying forebearance on these loans, or any other economic weapon that maybe available in order to deter this action in the extreme.
So the President has been discussing it with a number of people, and he will be prepared to say something on this subject a little later.
CONGRESSMAN FORD: We also discussed the ABM proposal by the President, and there was overwhelming support on behalf of the Leadership for the President's program. I can say from my travels in Michigan over the weekend that the public reaction generally, as far as I could detect, was favorable to the President's recommendation.
SENATOR DIRKSEN: I think we ought to recognize the fact that this morning there seemed to be virtual unanimity on the ABM. There may be an exception or two, but virtually there was a unanimous attitude in support of the President's position.
I know there has been a tendency to raise the question as to whether there will be a battle in the Senate. Obviously it will be widely discussed, but when you think in terms of a battle, I am not so sure it will be a battle, because the argument is going to be pretty substantial in behalf of this proposal.
MORE
CONGRESSMAN FORD: In light of the fact that tomorrow the House will consider the debt limitation legislation, we discussed in considerable depth the viewpoint of the Administration in reference to the fiscal situation. The Director of the Bureau of the Budget was present. He pointed out that they are working on specific reduction in various departments.
There is the distinct possibility that we will have an overall ceiling on expenditures which will be very, very helpful and beneficial in convincing the American people that the Administration really means what it says when they talk about trying to extricate us from the serious financial problem we are in and the inflationary impact of runaway Federal budget problems.
SENATOR DIRKSEN: One can hardly talk about the public debt without thinking of the corollary things that go with it. For instance, that means expenditure; it means the overall budget; it means whether there will be a surplus or a deficit.
So this whole matter was rather widely discussed this morning. Obviously there is going to be a search for economies wherever they can be made. It will reasonably selective, and on the other hand, you hope it will be substantial.
The President is receiving the full cooperation of every department head and every agency head in this field. You have to have cooperation in order to get it done.
In addition thereto, there has to be a cooperative spirit on the part of Congress, because we undertook this in the predecessor Administration when we passed that Financial Reform Act, including a $6 billion expenditure cut, plus the surtax.
Now both of these will be coming up again, so what can you exercise out of the budget? There you have the Budget Director at your elbow, and I pretend no figure this morning to indicate whether it will be "X" bill or "Y" bill or "Z" bill, because it is just a little too early, and besides the Appropriations Committee of the House, where these bill start, is only now beginning to get its teeth into it.
But the whole economy issue will certainly not be lost, and we will have vigorous attention not only on Capitol Hill, but in the Executive branch and with the departments.
O Congressman Ford, can I ask you about your statement on the past Administration's failure to use the laws? Can we infer properly from this, that the current Administration is not considering further laws to curb student excesses on the campus?
CONGRESSMAN FORD: I would not preclude additional legislation, but we now have statutes which can be used; one referring to the Department of HEW and the other referring to the Attorney General. For that reason the President is meeting with both, and I think you will find in the President's message this week some real action in both areas.
When will the Administration's legislation on one bank holding companies be introduced?
CONGRESSMAN FORD: I think it will be made available for the Committee sometime this week.
Mr. Ford, the previous Administration took the position, I believe, that the legislation written providing that you could deny funds to a student convicted of some misdemeanor, would not hold up. Are you satisfied that it would not work?
CONGRESSMAN FORD: I think the legislation passed by Congress will work, but you have to have a will in the Executive Branch to make it work. I think this Administration has the will and if there is any need for modification or change in the law, the Administration will ask for that authority.
SENATOR DIRKSEN: I have no reaction that the previous Administration ever said it would not work. First of all, you are on good legal ground. This is a benefit issued out of the Federal Treasury, and then the Congress and Executive comes into play, so there is no question about the right to do it if we want to.
I think they were timid in the previous Administration in not quite putting their hearts into it, but it has to be done, and this Administration is going to deal with it.
I thought Secretary Cohen had taken the position that it would not do the job.
SENATOR DIRKSEN: Secretary Cohen is just one. I don't know how much of an exploration he made about it, but we undertook to point out that we were for it, and did make that case up on the floor and in the Finance Committee.
At the economic discussion this morning, was it the consensus of the Leadership that the surtax must be extended?
CONGRESSMAN FORD: There was no specific discussion on this point. The emphasis was that the Administration was going to work with the economy block in the Congress to try to reduce extenditures; one, so that we could justify the debt limitation, and two, increase the Administration's efforts against the inflationary impact we are faced with right now.
SENATOR DIRKSEN: I will give you a personal reason for it, without attributing it to anybody else. If the surtax yields between $10 billion and $11 billion, and you let it die, then there is a $10 billion or $11 billion hole in the receipt of the Administration, so how are you going to fill up that hole unless you find $10 billion that you can delete from the budget to even break even, let alone be thinking in terms of a surplus.
So it speaks for itself, and if I were speaking for myself, you could not throw it overboard unless you find that money elsewhere.
Do you think there is a chance of doing that?
SENATOR DIRKSEN: Of throwing it overboard?
Yes.
SENATOR DIRKSEN: Let me answer as a member of the Senate Finance Committee. If you leave it to me, we will keep the surtax.
There have been suggestions that that $10 billion or $11 billion could be obtained through raising tax reforms.
SENATOR DIRKSEN: There has been sort of amorphous terms assigned here as tax reforms covering a great many things. But as you know, tax reforms are very, very slow, and sometimes when they talk about tax reform, they put it in the frame of two or three years. You are dealing here with an instant budget for a fiscal year that will begin on the first of July, and perhaps you cannot await the reform process. You have to have something in the duke. It has to be good, hard information about that budget, and of course, that will be available.
Congressman Ford, you mentioned a distinct possibility, in your words, of another expenditure ceiling in the coming year. Do you have in mind that the Administration might propose an expenditure ceiling or that the Congress might impose one on its own?
CONGRESSMAN FORD: It was discussed from both angles and it was not decided whether the Administration would recommend one or whether we, representing the Administration in the House, would seek to impose one, but it was pointed out that there are some benefits from an overall ceiling rather than having individual expenditure ceilings on each and every Appropriation Bill as they go through the House.
I think there is a very good argument that can be made for a ceiling. I happen to personally prefer the overall rather than the individual on each Appropriation Bill, but no decision was made as to which avenue or which approach would be made.
How many billions do you have in mind? Do you have any approximation?
CONGRESSMAN FORD: No specific figure was discussed. I think there was a high degree of unanimity that it ought to be a figure of somewhat less than that recommended in the January budget, but I would not tie anybody to a specific figure at this time.
Would the one bank holding company bill go up as a Presidential message?
SENATOR DIRKSEN: Let us say that it would go up as an Administration proposal, or Administration support, but it could be either way, and I don't know if that is too material, because of the importance of the subject.
THE PRESS: Thank you.
HOUSE ACTION
Wed. March 12 - Funds for Standing House Committees
By voice vote the House approved funds for 13 committees as follows: Rules, Veterans' Affairs, Armed Services, Interior and Insular Affairs, Judiciary, Merchant Marine and Fisheries, District of Columbia, Agriculture, Ways and Means, Standards of Official Conduct, Select Committee on Small Business, Science and Astronautics, Foreign Affairs.
Wed. March 12 - International Development Association
The House passed by roll call vote, 247 yeas to 150 nays, H.R. 33 to provide for increased participation by the United States in the International Development Association from $312 million to $480 million.
Prior to passage a motion to recommit was rejected by a roll call vote, 241 nays to 155 yeas.
Thurs. March 13 - Investigative Authority
The House by voice vote adopted resolutions giving the following standing committees investigative authority for the 91st Congress: Post Office and Civil Service, Government Operations.
Thurs. March 13 - Lumber Cost Investigation
The House agreed to H. Res. 306, to authorize the Committee on Banking and Currency to conduct an investigation and study of prices of lumber and plywood.
Thurs. March 13 - Parking Committee
The House agreed to H. Res 282, to create a select committee to regulate parking on the House side of the Capitol.
Mon. March 17 - Consent Calendar (One Bill)
H. R. 4297 - Providing $350 thousand and extending for one year the National Commission on Reform of Federal Criminals Laws
PROGRAM AHEAD
Tuesday - Suspensions (5 Bills)
S. 1058 - To extend the period within which the President may transmit to the Congress plans for reorganization of agencies of the Executive Branch of the Government.
H. R. 7206 - Salary Adjustment for Vice President and certain officers of Congress.
H. R. 2669 - To amend the War Claims Act of 1948 with respect to claims of certain nonprofit organizations.
H. R. 2171 - Relating to National Observances and Holidays.
H. R. 8438 - To extend the time for filing final reports under the Correctional Rehabilitation Study Act of 1965 until July 31, 1969.
Wednesday and balance of week
H. R. 8508 - Establish limitation on National Debt (Subject to rule being granted)
H. R. 515 - To amend the National School Lunch Act and the Child Nutrition Act of 1966 (Subject to a rule being granted)
Agenda for WH meeting Mar 18
Cramer - (1) Water Poll Control in Committee this week
(GRF) ought to have another meeting last one
(2) Environmental fill-in
EDDA - Appalachia coming up right after recess
Republican substitute
Model Countryside
(3) Reaction ABM
(4) Budget Review
Claussen & Harsha reordering priorities
similar efforts in other committees
Supplements '670
(5) Pace of Legis Program
S1058 (Beorg.)
Taft: 1. Labor Court idea (Pace endorsing Griffin bill)
2. SST financing (vital to my district)
3. Space financing
Smith: 1. Appointments
Wilson: 1. Need for National Oceanographic Agency
Ford
1. Merchant Marine Program
Maritime Gibson
2. Student visitors - NEW & Justice
The Secretary of the Treasury, with my approval, has today transmitted to the Congress proposed legislation on the further regulation of bank holding companies.
Legislation in this area is important because there has been a disturbing trend in the past year toward erosion of the traditional separation of powers between the suppliers of money -- the banks -- and the users of money -- commerce and industry.
Left unchecked, the trend toward the combining of banking and business could lead to the formation of a relatively small number of power centers dominating the American economy. This must not be permitted to happen; it would be bad for banking, bad for business, and bad for borrowers and consumers.
The strength of our economic system is rooted in diversity and free competition; the strength of our banking system depends largely on its independence. Banking must not dominate commerce or be dominated by it.
To protect competition and the separation of economic powers, I strongly endorse the extension of Federal regulation to one-bank holding companies and urge the Congress to take prompt and appropriate action.
The Reorganization Act which the Congress has passed and which I am signing today gives the President important tools in his effort to make the machinery of government work more effectively. As a part of that same effort, I am announcing today certain structural changes which I am making in the systems through which the government provides important social and economic services.
It was possible for me to take these particular actions without the authority extended under the Reorganization Act. I announce them at this time, however, because they provide specific illustrations of ways in which we can make significant improvement in the quality of government by making it operate more efficiently.
This restructuring expresses my concern that we make much greater progress in our struggle against social problems. The best way to facilitate such progress, I believe, is not by adding massively to the burdens which government already bears but rather by finding better ways to perform the work of the government.
That work is not finished when a law is passed, nor is it accomplished when an agency in Washington is assigned to administer new legislation. These are only preliminary steps; in the end the real work is done by the men who implement the law in the field.
The performance of the men in the field, however, is directly linked to the administrative structures and procedures within which they work. It is here that the government's effectiveness too often is undermined. The organization of federal services has often grown up piece-meal -- creating gaps in some areas, duplications in others, and general inefficiencies across the country. Each agency, for example, has its own set of regional offices and regional boundaries; if a director of one operation is to meet with his counterpart in another branch of the government, he often must make an airplane trip to see him. Or consider two federal officials who work together on poverty problems in the same neighborhood, but who work for different Departments and, therefore, find themselves in two different administrative regions, reporting to headquarters in two widely separated cities.
Coordination cannot flourish under conditions such as that. Yet without real coordination, intelligent and efficient government is impossible; money and time are wasted and important goals are compromised.
This is why I said in the campaign last fall that "the need is not to dismantle government but to modernize it." The systematic reforms I announce today are designed to help in that modernization process. I would discuss those reforms under three headings: rationalization, coordination and decentralization. It should be recognized, of course, that the three elements are interdependent. Without one the others would be meaningless.
I. The first concern is to rationalize the way our service delivery systems are organized. I have therefore issued a directive which streamlines the field operations of five agencies by establishing -- for the first time -- common regional boundaries and regional office locations. This instruction affects the Department of Labor, the Department of Health, Education and Welfare, the Department of Housing and Urban Development, the Office of Economic Opportunity, and the Small Business Administration. The activities of these agencies -- particularly in serving disadvantaged areas of our society -- are closely related. Uniform boundaries and regional office locations will help assure that they are also closely coordinated.
The eight new regions and the locations of the new regional centers are as follows:
Region I (Boston) - Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont
Region II (New York City) - New York, New Jersey, Puerto Rico, and the Virgin Islands
Region III (Philadelphia) - Delaware, District of Columbia, Kentucky, Maryland, North Carolina, Pennsylvania, Virginia, and West Virginia
Region IV (Atlanta) - Alabama, Florida, Georgia, Mississippi, South Carolina, and Tennessee
Region V (Chicago) - Illinois, Indiana, Minnesota, Michigan, Ohio, and Wisconsin
Region VI (Dallas - Fort Worth) - Arkansas, Louisiana, New Mexico, Oklahoma, and Texas
Region VII (Denver) - Colorado, Idaho, Iowa, Kansas, Missouri, Montana, Nebraska, North Dakota, South Dakota, Utah, and Wyoming
Region VIII (San Francisco) - Alaska, Arizona, California, Guam, Hawaii, Nevada, Oregon, and Washington
I am asking all other federal agencies to take note of these instructions, and I am requesting that any changes in their field organization structures be made consistent with our ultimate goal: uniform boundaries and field office locations for all social or economic programs requiring interagency or intergovernmental coordination.
My directive also asks that the five Departments and agencies involved provide high-level representation in cities where regional offices do not exist. Such physical relocations as are required will be made over the next eighteen months, with special efforts to minimize disruptions to the programs, the employees, and the communities involved.
II. The second step in this reform process emphasizes coordination. It calls for an expansion of the regional council concept from the four cities where it presently operates (Chicago, New York, Atlanta, and San Francisco) to all eight of the new regional centers. The regional council is a coordinating body on which each of the involved agencies is represented. It offers an excellent means through which the various arms of the federal government can work closely together in defining problems, devising strategies to meet them, eliminating friction and duplications, and evaluating results. Such councils can make it possible for the Federal government to speak consistently and with a single voice in its dealings with states and localities, with private organizations, and with the public.
III. The third phase of this systematic restructuring of domestic programs focuses on decentralization. I am asking the Director of the Bureau of the Budget to join with the heads of nine departments and agencies in a review of existing relationships between centralized authorities and their field operations. Participating in the review will be the Departments of Agriculture; Commerce; Health, Education and Welfare; Housing and Urban Development; Labor; Transportation; Justice; the Office of Economic Opportunity; and the Small Business Administration.
This review is designed to produce specific recommendations as to how each agency: (1) can eliminate unnecessary steps in the delegation process; (2) can develop organizational forms and administrative practices which will mesh more closely with those of all other Departments; and (3) can give more day-by-day authority to those who are at lower levels in the administrative hierarchy. Decentralized decision-making will make for better and quicker decisions--it will also increase cooperation and coordination between the Federal government on the one hand and the states and localities on the other. Those Federal employees who deal every day with state and local officials will be given greater decision-making responsibility.
Again, this action is a concrete manifestation of a concern I expressed during the campaign: "Business learned long ago that decentralization was a means to better performance. It's time government learned the same lesson."
Some of the reforms which I am announcing today have been urged for many years -- but again and again they have been thwarted. This inertia must be overcome. Old procedures that are inefficient, however comfortable and familiar they may seem, must be exchanged for new systems which do the job as it must be done.
The particular reforms I have discussed here are part of a broad and continuing process of restructuring the basic service systems of government. The reorganization of the Manpower Administration in the Department of Labor -- announced on March 13 -- is another example of this process. So are the reforms which are being made in the postal system and in the Office of Economic Opportunity.
I have established both the Urban Affairs Council and the Office of Intergovernmental Relations in part so that the government could be better advised on additional improvements in service systems. Further systematic restructuring is on the way. Each reform, I believe, will have a major impact on the quality of American government -- an impact which will benefit all of our citizens -- in all parts of our country -- well beyond the lifetime of this Administration.
The Federal government has been assigned many new responsibilities in the last several decades -- many of which it carries and many of which it fumbles. Many of the disappointments and frustrations of the last several years can be blamed on the fact that administrative performance has not kept pace with legislative promise.
This situation must be changed. The actions I announce today are important steps toward achieving such changes. By rationalizing, coordinating, and decentralizing the systems through which government provides important social and economic services, we can begin at last to realize the hopes and dreams of those who created them. |
To Whom It May Concern,
Please clarify the comment deadline for the Bay Delta Conservation Plan/California WaterFix Partially Recirculated DEIR/DEIS, SCH Number: 2008032062
Document Type: EIR - Draft EIR
Alternate Title: Bay Delta Conservation Plan
Project Lead Agency: Water Resources, Department of
According to the website http://baydeltaconservationplan.com/2015PublicReview/PublicReviewRDEIRSDEIS.aspx the comment period ends October 30, 2015 as stated:
“Public Review Partially Recirculated Draft Environmental Impact Report/Supplemental Draft Environmental Impact Statement (RDEIR/SDEIS)
The Partially Recirculated Draft Environmental Impact Report/Supplemental Draft Environmental Impact Statement (RDEIR/SDEIS) is being made available to the public in accordance with the California Environmental Quality Act (CEQA), and the National Environmental Policy Act (NEPA).
The comment period begins July 10, 2015. Comments must be received electronically or postmarked on or before October 30, 2015. For more information on how to submit comments, click here.”
The October 30, 2015 deadline for comments conflicts with what is shown on the website https://s3.amazonaws.com/californiawater/pdfs/FIX_eBlast_7-9-15.pdf which states:
“The revised environmental document is being made available for public review and comment from July 10, 2015 through August 31, 2015.”
Contact me if you have any questions.
Regards,
James Herota, MPPA
Central Valley Flood Protection Board
Senior Environmental Scientist
Projects and Environmental Branch
(916) 574-0651
Thank you for receiving public comments in response to the Draft BDCP Plan and Draft EIR/EIS.
I oppose all alternatives in the BDCP that propose construction of new diversions and tunnels under the Delta. I oppose the project because:
It is too costly (up to $54 billion with interest and other hidden costs) and the general public should not have to cover any of this outrageous, including habitat restoration costs. These should be paid by those who receive the water (since the Delta diversions degraded the habitat in the first place).
Operation of the diversions and tunnels threaten to dewater major upstream reservoirs in northern California and reduce downstream river flows, to the detriment of fish, wildlife, recreation, and other public trust values.
Diversion and tunnel facilities would adversely impact too much Delta farmland and habitat, harm Brannan Island State Park, infringe on the Stone Lakes National Wildlife Refuge, and degrade other essential conservation lands.
You cannot restore Delta habitat without first determining how much fresh water the Delta needs to survive and thrive. Restoration of fresh water flows from the San Joaquin River in the south Delta are particularly important.
The tunnels will need more upstream storage facilities to feed fresh water into them. These include raising Shasta Dam, building the Sites Reservoir, and possibly reviving the Auburn Dam on the American River and the Dos Rios Dam on the Eel. The environmental, cultural, and financial impacts of these controversial projects are a significant foreseeable but ignored impact of the BDCP.
To whom this May concern.
Time and time again your system is proven to fail. You have covered our faces far too many times with blindfolds of distractions, lies and misleading objectives. Some to blind, some to mislead and some simply in plain view. With no thought, no care, only to fill your greed. You seem to forget one thing. We have seen you your wicked ways. We have stripped you from your sheep costumes and seen the hungry wolf. My people have cultivated and lived in this land for many years. In fact I am a native Californian. I am a proud child of a farmer. Third generation field worker. We have drank the water and cultivated our land here for a beautiful tomorrow. The land and water have provided for many families. For many, many years. Many moons have passed. From the time the water flowed freely. To the time you decided to start putting in dams. Our people flourished from the delta and now you want to lie to us and tell us that these tunnels are for the better? To Benefit other farms, farmers, and provide drinking water for others? Lies!!! Lies!!! Lies!!! We know about the oil giants involvement and investments. We know how many billions of water is used for hydraulic fracturing (fracking) Kern county. We know how much it will cost us tax payers. We know how you will destroy all of our nature, fish, families, jobs. We know!!! In the end you will run us dry till our tears are the only thing left for us to drink... I will do what I can to voice and educate our people about your harmful, dishonest solutions, delusions, lies! I will end my words with one of my favorite speeches by: Judi Bari, environmental activists speech, June, 1996.
Capitalism, first of all, is based on the principle of private property--of certain humans owning the earth for the purpose of exploiting it for profit. At an earlier stage, capitalists even believed they could own other humans. But just as slavery has been discredited in the mores of today's dominant world view, so do the principles of biocentrism discredit the concept that humans can own the earth.
Hermain Ambriz
Sent from my iPhone
According to the BDCP EIR/EIS, the operation of the twin tunnels, coupled with the impacts of climate change, will drain Trinity Reservoir by up to 19%, Shasta Reservoir by up to 20%, Folsom Reservoir by up to 31%, and Oroville Reservoir by up to 32%. The result may be even lower flows (particularly in the fall) in the Trinity, Sacramento, American, and Feather Rivers than we are witnessing now during one of California’s driest years on record. The Sacramento River’s flow downstream of the project’s three new water intakes (located just south of Sacramento) will be reduced all year long.
The 45 mile-long twin Delta tunnels and their fresh water intakes, forebays, tunnel debris disposal sites, and additional facilities will eat up at least 5,700 acres of Delta farmland and wildlife habitat. Some of the facilities and debris disposal sites will be located on Brannan Island State Park and on conservation land purchased with public funds to provide habitat for the threatened sandhill crane. The diversion intakes, access roads, lights and other urban intrusions associated with these facilities, will be directly adjacent to the Stone Lakes National Wildlife Refuge and Delta Meadows State Park.
This is just not a good idea; please stop this nonsense and listen to people.
Michael A. Hodge, Principal Consultant
Organizational Development Services Plus
www.HodgeConsulting.net
email@example.com
(916) 300-2416
Sir/Ma’am
I still sure you will not be good stewards of our Delta waters. You still want to take almost 5 million cubic feet of water before it hits the Delta. Without proving beyond a doubt in a dry year you won’t stop send water south, rendering our Delta full of salt water. If the cap on the water, who shuts it off, is strictly away from the state controls and southern water users we in the north part of the state will end up as desert. Like Owens Valley. Lastly I just think our Governor wants a legacy project that will outlive his father’s legacy project.
As a California resident I am adamantly opposed to the twin tunnels water grab by Kern County mega-agri business interests. This plan will definitely cause irreparable harm to one of the most diverse ecosystems on the planet, the California Delta. It makes no sense to irrigate the desert for the benefit of a few very rich senior water rights holder to the detriment of thousands of delta citizens. Just say no to the tunnels.
Thanks,
Patrick Pickerell
President, Peridot Corporation
1072 Serpentine Lane
Pleasanton CA. 94566
925-461-8830 EXT 111
July 23, 2015
BDCP/Water Fix Comments
P.O.Box 1919
Sacramento, CA 95812
cc: Governor Jerry Brown
Subject: Support Alternative 4A of California Water Fix
Dear BDCP/Water Fix Comments:
On behalf of Kern Inyo Mono Counties Building and Construction Trades Council, we are writing to express our strong support for the California Water Fix (Alternative 4A). The California Water Fix represents a thoroughly vetted, viable plan to fix California’s aging water distribution system that supplies water to 25 million Californians and 3 million acres of farmland, while also protecting the natural environment in the Delta.
The recirculated documents are the culmination of nearly a decade of extensive expert review, planning and scientific and environmental analysis by the state’s leading water experts, engineers and conservationists, and unprecedented public comment and participation. The California Water Fix (Alternative 4A) reflects significant changes and improvements to the plan to address comments from the state and federal governments and other stakeholders.
We urge the Department of Water Resources and the Administration to move forward to bring the California Water Fix to fruition.
Our state’s system of aging dirt levees, aqueducts and pipes that brings water from the Sierra Nevada Mountains to 2/3 of the State is outdated and at risk of collapse in the event of a major earthquake or flood. Problems with this aging system have already resulted in significant water supply cutbacks and shortages for people, farms and businesses, as well as damage to fish, wildlife and the environment.
The California Water Fix will improve our water delivery infrastructure to allow us to responsibly capture and move water during wet years, so that we have a greater water supply during future droughts. The current drought has demonstrated that California’s aging water infrastructure is not equipped to handle the regular boom and bust cycles of our climate. With above average rains predicted in the near future, we must move forward with improved infrastructure to capture the water when it’s available.
The California Water Fix (Alternative 4A) will:
- Protect water supplies by delivering them through a modern water pipeline rather than relying solely on today’s deteriorating dirt levee system.
- Build a water delivery system that is able to protect our water supplies from earthquakes, floods and natural disasters.
- Improve the ability to move water to storage facilities throughout the state so we can capture it for use in dry years.
- Restore more natural water flows above ground in rivers and streams in order to reduce impacts on endangered fish and other wildlife.
- Protect and restore wildlife and the environment of the Sacramento-San Joaquin Delta.
Getting to this point has been a long and thorough process. Now is the time to act and move forward to protect California’s water security.
For these reasons, we support the California Water Fix (Alternative 4A).
Sincerely,
John Spaulding
Executive Secretary
Kern, Inyo, & Mono Counties Building and Construction Trades Council
Submitting a letter of support on behalf of Kern, Inyo & Mono Counties Building and Construction Trades Council.
Sheri Madsen
Senior Account Executive
Bicker, Castillo & Fairbanks
O: (916) 443-0872
C: (916) 600-8157
www.bcfpublicaffairs.com
This email message is confidential. If you are not the intended recipient, any disclosure is strictly prohibited. If you received this email in error, please immediately notify the sender at firstname.lastname@example.org and delete this message from your system. Thank you.
July 21, 2015
BDCP/Water Fix Comments
P.O.Box 1919
Sacramento, CA 95812
cc: Governor Jerry Brown
Subject: Support Alternative 4A of California Water Fix
Dear BDCP/Water Fix Comments:
On behalf of Kings County Farm Bureau, we are writing to express our strong support for the California Water Fix (Alternative 4A). The California Water Fix represents a thoroughly vetted, viable plan to fix California’s aging water distribution system that supplies water to 25 million Californians and 3 million acres of farmland, while also protecting the natural environment in the Delta.
The recirculated documents are the culmination of nearly a decade of extensive expert review, planning and scientific and environmental analysis by the state’s leading water experts, engineers and conservationists, and unprecedented public comment and participation. The California Water Fix (Alternative 4A) reflects significant changes and improvements to the plan to address comments from the state and federal governments and other stakeholders.
We urge the Department of Water Resources and the Administration to move forward to bring the California Water Fix to fruition.
Our state’s system of aging dirt levees, aqueducts and pipes that brings water from the Sierra Nevada Mountains to 2/3 of the State is outdated and at risk of collapse in the event of a major earthquake or flood. Problems with this aging system have already resulted in significant water supply cutbacks and shortages for people, farms and businesses, as well as damage to fish, wildlife and the environment.
The California Water Fix will improve our water delivery infrastructure to allow us to responsibly capture and move water during wet years, so that we have a greater water supply during future droughts. The current drought has demonstrated that California’s aging water infrastructure is not equipped to handle the regular boom and bust cycles of our climate. With above average rains
predicted in the near future, we must move forward with improved infrastructure to capture the water when it’s available.
The California Water Fix (Alternative 4A) will:
- Protect water supplies by delivering them through a modern water pipeline rather than relying solely on today’s deteriorating dirt levee system.
- Build a water delivery system that is able to protect our water supplies from earthquakes, floods and natural disasters.
- Improve the ability to move water to storage facilities throughout the state so we can capture it for use in dry years.
- Restore more natural water flows above ground in rivers and streams in order to reduce impacts on endangered fish and other wildlife.
- Protect and restore wildlife and the environment of the Sacramento-San Joaquin Delta.
Getting to this point has been a long and thorough process. Now is the time to act and move forward to protect California’s water security.
For these reasons, we support the California Water Fix (Alternative 4A).
Sincerely,
Dustin Ference
Executive Director
Kings County Farm Bureau
Attached is our letter of support.
Kendra Garcia
Office Administrator
Kings County Farm Bureau
870 Greenfield Ave. | Hanford, CA 93230
Off: 559.584.3557 | Cell: 559.312.4367
email@example.com
KCFB
KINGS COUNTY FARM BUREAU
July 23, 2015
John Laird, Secretary
California Natural Resources Agency
1416 Ninth Street, Suite 1311
Sacramento, CA 95814
(via e-mail: firstname.lastname@example.org)
Mark W. Cowin, Director
California Department of Water Resources
P.O. Box 942836, Room 1115-1
Sacramento, CA 94236-0001
(via e-mail: email@example.com)
David Murillo, Regional Director
U.S. Bureau of Reclamation
2800 Cottage Way
Sacramento, CA 95825
(via e-mail: firstname.lastname@example.org)
email@example.com
Re: BDCP/CA WaterFix RDEIR/SDEIS comment period extension
Dear Secretary Laird, Director Cowin, and Regional Director Murillo:
On behalf of the Delta Protection Commission, I am writing to request an additional 60-day extension in the comment period for the Bay Delta Conservation Plan (BDCP)/California WaterFix Recirculated Draft EIR (RDEIR)/ Supplemental Draft EIS (SDEIS), beyond the extension to October 30, 2015 that was announced this week.
The Delta Protection Commission (Commission) is a California State agency created in 1992 and identified in statute as a “forum for Delta residents to engage in decisions regarding actions to recognize and enhance the unique cultural, recreational, and agricultural resources of the Delta” [PRC section 29703.5(a)]. The Commission has taken an active role in providing comment on the BDCP’s impacts on the Delta’s “…unique cultural, recreational, natural resource and agricultural values of the Delta as an evolving place”, as called for in the Delta Protection Act (Public Resources Code section 29702).
We have heard from Delta interests that more time is needed to understand the revised Delta isolated conveyance proposal. While an additional 60 days beyond the originally announced 52-day comment period is welcome, more time is needed to ensure that all interested parties have an opportunity to provide meaningful review and comment.
The Commission approved this request for extension at its July 16, 2015 meeting, with State agency members (Natural Resources Agency, Department of Food and Agriculture, State Transportation Agency) abstaining from the vote.
Sincerely,
Erik Vink
Executive Director
cc: Members, Delta Protection Commission
Secretary Laird, Director Cowin, and Regional Director Murillo --
Please find attached correspondence relative to the BDCP/CA WaterFix RDEIR/SDEIS comment period extension.
Thank you,
Sheri Keven | Clerk to the Commission
Delta Protection Commission
2101 Stone Blvd., Suite 210 | West Sacramento, CA 95691
Ph (916) 375-4800 | Fx (916) 376-3962
firstname.lastname@example.org
**Every Californian should conserve water. Find out how at:**
www.SaveOurWater.com or www.Drought.CA.gov **
I would support new dams and storage facilities but spending billions on new tunnels is a non starter! It add no storage or capacity and has the perception of setting up a water grab in the future. No tunnels, no way.
Thanks Scott D. Miller
As a 30 owner of a house on the Sacramento River (Long Island), I have watched the river water quality and quantity decline.
There are less fish in the system and more invasive species of weeds etc.
The Bay Delta Conservation Plan must include the following:
NO TUNNELS
INCREASED AREAS FOR WATER STORAGE IN HEAVY WATER YEARS
A STRONG EFFORT TO ELIMINATE THE WEED PROBLEM
Thank you,
Raymond F. Brant
17400 Grand Island Rd.
Walnut Grove
CA 95690
Dear BDCP,
The Tunnel project suggested by Governor Brown, is a travesty against the delta estuaries and a blight against the river delta region! Any political PLOY designed to marginalize the destruction of the delta water ways or any attempt by your organization to concoct PHONY made up stores to make the general public believe THIS project will improve water distribution and conservancy WILL not be taken or met with lightly!
NO TUNNELS, Mean NO TUNNELS!!!
James A. Edwards
Elk Grove CA
Delta twin tunnels are last link in the California system
No discussion about the future of the Delta can be complete without a good understanding of the historic proposals for this estuary. Since the early planning stages of the Central Valley Project of the 1930’s, it has always been proposed that some sort of Delta Cross Canal or tunnel be built to transport water either around or under the Delta.
With respect to fresh water inflows into the Delta, history shows that before the several dams of the Central Valley Project (CVP) were completed in the 1940’s, salinity intrusion into the Delta was a serious problem during times of drought.\(^1\) Since the CVP started releasing water into the Sacramento River, Delta farmers have had a more dependable supply of high quality irrigation water, even during high tides and low rain fall years.
One of the goals of the CVP was to provide fresh water to flush out the brackish water that creeps into the Delta during high tides.\(^2\) But another element of the CVP that was never built was a Delta Cross Canal. Water was to be pumped out of the Sacramento River, below Sacramento City, and conveyed along the eastern edge of the Delta through improved sloughs and man-made canals to the pumping stations on the south side of Delta.\(^2\)
In 1957 the California Water Plan issued by the Department of Water Resources envisioned a more elaborate project to move water around the Delta named the Trans-Delta System. At its heart the Trans-Delta System would have had control structures on the Sacramento River and Steamboat Slough to divert water into the Delta Cross Channel located below Walnut Creek and then into a Delta Cross Canal.\(^3\) Another element was a siphon under the Sacramento River east of Collinsville that would deliver water near Antioch. Known as the Antioch Crossing, the proposed siphon tunnel was to be 3,000 foot long with a diameter of 25 feet. The overall length of the Antioch Cross project was to be 33 miles in length and have capacity of 17,000 second-feet and transport 11,250,000 acre-feet of water per season.\(^4\)
Both the CVP and California State Water Project (SWP) engineers understood that the Delta could never handle the volume of water it was being asked to transfer from north to south for an indefinite period of time without damage to the Delta itself. Only because this tidal estuary was reclaimed during the 19\(^{th}\) and 20\(^{th}\) centuries was it minimally suited to aid in the transport of water from the north side of the Delta to the south side. Had the thousands of miles of levees not been built along rivers and sloughs in Delta, the Central Valley Project would have had to build a canal around the Delta.
The CVP and SWP have provided flood protection for Sacramento Valley communities and helped maintain high quality fresh water in the Delta to be used by farmers to grow crops. The large amount of fresh water released into the Delta from the Sacramento River and the export of a like amount of water to the southern end of the Delta has contributed to what scientists tell us is an ecological disaster for
the Delta’s fisheries. This combined with the fragility of the Delta levees susceptible to collapse from either earthquake or flood makes the construction of the proposed twin tunnels project almost a necessity.
Opponents of any Delta Cross Canal or Tunnel need to realize that vast amount of water conserved behind the CVP and SWP dams is under contract to irrigation and water districts south of the Delta. The dams of Folsom, Oroville, Shasta and Trinity were specifically built to release water during the summer for farmers and residents in the San Joaquin Valley and Southern California. It is unfortunate that a conveyance project across the Delta was never built under the CVP or SWP.
While I don’t always agree with how either the San Joaquin Valley farmers or Southern California residents use the water that is exported to them, that doesn’t negate the fact that they have a contract for the delivery of the water. They are not stealing or grabbing Northern California water. They are buying the water stored behind dams constructed expressly for that purpose.
It’s time to build the missing links of California’s water system and construct the most environmentally responsible proposed project to date for conveying water across the Delta: the BDCP twin tunnels
1. Sacramento-San Joaquin Delta Atlas, page 53, State of California Department of Water Resources, August 1987.
2. The Central Valley Project, page 125, California State Department of Education, 1942.
3. Bulletin No. 3 The California Water Plan, page 186, California Department of Water Resources, May 1957.
4. Bulletin No. 3 The California Water Plan, page 187, California Department of Water Resources, May 1957.
Kevin Knauss
Granite Bay, CA 95746
As a homeowner on the Delta, we strongly disagree with the tunnel portion of this plan. It simple makes NO sense any way you look at it.
Wayne and Janann Lewis
Oxbow Marina
People are depending on you...The water fix plan is reasonable...Get moving the water problems will only get worse.
Dirahn Gilliams 90007 07/18/2015
cc: Governor Jerry Brown
Subjects:
Support Alternative 4A - the California Water Fix & Distilled water from Catalytic Depolymerization of recycled waste
As for maintaining higher reservoir levels in less precipatated areas of California a facility that allows for around 1.7 million gallons of clean water from an Alphakat KDV 1000 annually. If multiple plants are erected then it will accumulate even more natural resources needing for California.
California Department of Water Resources:
I am writing to express my strong support for the California Water Fix (Alternative 4A). It represents a thoroughly vetted, viable plan to fix California’s aging water distribution system that supplies water to 25 million Californians and 3 million acres of farmland, while also protecting the natural environment in the Delta.
We urge the Department of Water Resources and the Administration to move forward to bring the California Water Fix to fruition as quickly as possible.
Our state’s aging system of aging dirt levees, aqueducts and pipes that brings water from the Sierra Nevada Mountains to 2/3 of the State is outdated and at risk of collapse in the event of a major earthquake or flood. We must update this aging system to protect water supplies for our state.
The California Water Fix (Alternative 4A) is the culmination of nearly a decade of extensive expert review, planning and scientific and environmental analysis by the state’s leading water experts, engineers and conservationists, and unprecedented public comment and participation. It reflects significant changes and improvements to the plan to address comments from the state and federal governments and other stakeholders.
The California Water Fix will replace aging dirt levees with a modern, secure water pipeline; upgrade the water distribution system to protect water supplies from earthquakes and natural disasters; and restore more natural river flows to protect fish and wildlife.
Getting to this point has been a long and thorough process. The time to act and move forward is now to protect California’s water security.
For these reasons, I support the California Water Fix and Replenishing the reservoirs through Alphakat systems.
Norm Gallagher 92004-2442 07/18/2015
Just as we need long term strategic management of the economy to defend against the economic crisis, we also need a long term strategic fix for our water management system in California. I support any and all water management plans that advance our ability to control our water in a cost effective and fair way. Clearly long term water storage, water allocation, and allocation based on fair, equitable and sound economic decisions.
cc: Governor Jerry Brown
Subject: Support Alternative 4A - the California Water Fix
California Department of Water Resources:
I am writing to express my strong support for the California Water Fix (Alternative 4A). It represents a thoroughly vetted, viable plan to fix California’s aging water distribution system that supplies water to 25 million Californians and 3 million acres of farmland, while also protecting the natural environment in the Delta.
We urge the Department of Water Resources and the Administration to move forward to bring the California Water Fix to fruition as quickly as possible.
Our state’s aging system of aging dirt levees, aqueducts and pipes that brings water from the Sierra Nevada Mountains to 2/3 of the State is outdated and at risk of collapse in the event of a major earthquake or flood. We must update this aging system to protect water supplies for our state.
The California Water Fix (Alternative 4A) is the culmination of nearly a decade of extensive expert review, planning and scientific and environmental analysis by the state’s leading water experts, engineers and conservationists, and unprecedented public comment and participation. It reflects significant changes and improvements to the plan to address comments from the state and federal governments and other stakeholders.
The California Water Fix will replace aging dirt levees with a modern, secure water pipeline; upgrade the water distribution system to protect water supplies from earthquakes and natural disasters; and restore more natural river flows to protect fish and wildlife.
Getting to this point has been a long and thorough process. The time to act and move forward is now to protect California’s water security.
For these reasons, I support the California Water Fix.
Alyssa Marshall 93930 07/20/2015
cc: Governor Jerry Brown
Subject: Support Alternative 4A - the California Water Fix
California Department of Water Resources:
I am writing to express my strong support for the California Water Fix (Alternative 4A). It represents a thoroughly vetted, viable plan to fix California’s aging water distribution system that supplies water to 25 million Californians and 3 million acres of farmland, while also protecting the natural environment in the Delta.
We urge the Department of Water Resources and the Administration to move forward to bring the California Water Fix to fruition as quickly as possible.
Our state’s aging system of aging dirt levees, aqueducts and pipes that brings water from the Sierra Nevada Mountains to 2/3 of the State is outdated and at risk of collapse in the event of a major earthquake or flood. We must update this aging system to protect water supplies for our state.
The California Water Fix (Alternative 4A) is the culmination of nearly a decade of extensive expert review, planning and scientific and environmental analysis by the state’s leading water experts, engineers and conservationists, and unprecedented public comment and participation. It reflects significant changes and improvements to the plan to address comments from the state and federal governments and other stakeholders.
The California Water Fix will replace aging dirt levees with a modern, secure water pipeline; upgrade the water distribution system to protect water supplies from earthquakes and natural disasters; and restore more natural river flows to protect fish and wildlife.
Getting to this point has been a long and thorough process. The time to act and move forward is now to protect California’s water security.
For these reasons, I support the California Water Fix. As a mother of two children I would like to help ensure that my kids will have a reliable water source in their future. It’s time to make changes while being smart, conservation conscientious, and progressive towards California's future residents.
I am writing to express my strong support for the California Water Fix (Alternative 4A). It represents a thoroughly vetted, viable plan to fix California’s aging water distribution system that supplies water to 25 million Californians and 3 million acres of farmland, while also protecting the natural environment in the Delta.
We urge the Department of Water Resources and the Administration to move forward to bring the California Water Fix to fruition as quickly as possible.
Our state’s aging system of aging dirt levees, aqueducts and pipes that brings water from the Sierra Nevada Mountains to 2/3 of the State is outdated and at risk of collapse in the event of a major earthquake or flood. We must update this aging system to protect water supplies for our state.
The California Water Fix (Alternative 4A) is the culmination of nearly a decade of extensive expert review, planning and scientific and environmental analysis by the state’s leading water experts, engineers and conservationists, and unprecedented public comment and participation. It reflects significant changes and improvements to the plan to address comments from the state and federal governments and other stakeholders.
The California Water Fix will replace aging dirt levees with a modern, secure water pipeline; upgrade the water distribution system to protect water supplies from earthquakes and natural disasters; and restore more natural river flows to protect fish and wildlife.
Getting to this point has been a long and thorough process. The time to act and move forward is now to protect California’s water security.
For these reasons, I support the California Water Fix.
How is California’s water used?
HOME / BANNERS / HOW IS CALIFORNIA’S WATER USED?
HOW IS CALIFORNIA’S WATER USED?
Posted June 25, 2015 In Banners
2 0
The common misconception is that farmers use 80% of the water in California. That’s simply not true and here’s why:
According to the California Department of Water Resources (DWR), water is divided between three distinctly different users: agriculture, urban users…and the environment. In the California Water Plan, or Bulletin 160,
DWR accounts using this chart:
Urban-8.9%, Ag-40.8%, Environment-50.3%
In short, what DWR is saying is that water that isn’t used by farmers or cities and industry is water that is set aside for the environment, which is good! Californians cherish a healthy environment and our elected leaders have passed laws and regulations that provide about half of the state’s developed water supply for environmental protection.
I am writing to express my strong support for the California Water Fix (Alternative 4A). It represents a thoroughly vetted, viable plan to fix California’s aging water distribution system that supplies water to 25 million Californians and 3 million acres of farmland, while also protecting the natural environment in the Delta.
We urge the Department of Water Resources and the Administration to move forward to bring the California Water Fix to fruition as quickly as possible.
Our state’s aging system of aging dirt levees, aqueducts and pipes that brings water from the Sierra Nevada Mountains to 2/3 of the State is outdated and at risk of collapse in the event of a major earthquake or flood. We must update this aging system to protect water supplies for our state.
The California Water Fix (Alternative 4A) is the culmination of nearly a decade of extensive expert review, planning and scientific and environmental analysis by the state’s leading water experts, engineers and conservationists, and unprecedented public comment and participation. It reflects significant changes and improvements to the plan to address comments from the state and federal governments and other stakeholders.
The California Water Fix will replace aging dirt levees with a modern, secure water pipeline; upgrade the water distribution system to protect water supplies from earthquakes and natural disasters; and restore more natural river flows to protect fish and wildlife.
Getting to this point has been a long and thorough process. The time to act and move forward is now to protect California’s water security.
Funds designated for the bullet train should be diverted to this project, as this is more important and a much higher priority.
For these reasons, I support the California Water Fix.
Carolee Krieger 93108 cc: Governor Jerry Brown
Subject: Absolutely AGAINST Alternative 4A - the California Water Fix
California Department of Water Resources:
I am writing to express my strong disagreement with the California Water Fix (Alternative 4A). It represents an unconscionable boondoggle that has little chance of succeeding. The tunnels do NOT make any new water. Only desalination can do that. The tunnels are priced at an abnormally high rate that will harm Californians and, eventually, all agriculture and do nothing to protect the natural environment in the Delta.
We urge the Department of Water Resources and the Administration to stand down from the WaterFix and drop this boondoggle!
We need a less costly system on the nature of a through-delta conveyance with reinforced levees. You need to update our aging governor on the practicality of a non-tunnel project.
For these reasons, I am against the California Water Fix!
Dan Bacher Bacher 95821-3713 cc: Governor Jerry Brown
Subject: Absolutely AGAINST Alternative 4A - the California Water Fix
California Department of Water Resources:
I am writing to express my strong disagreement with the California Water Fix (Alternative 4A). It represents an unconscionable boondoggle that has little chance of succeeding. The tunnels do NOT make any new water. The tunnels are priced at an abnormally high rate that will harm Californians and, eventually, all agriculture and do nothing to protect the natural environment in the Delta.
We urge the Department of Water Resources and the Administration to stand down from the WaterFix and drop this boondoggle!
We need a less costly system on the nature of a through-delta conveyance with reinforced levees. You need to update our aging governor on the practicality of a non-tunnel project.
For these reasons, I am against the California Water Fix!
Bill Wells 95821 07/24/2015
cc: Governor Jerry Brown
Subject: Support Alternative 4A - the California Water Fix
California Department of Water Resources:
I am writing to express my strong disagreement with the California Water Fix (Alternative 4A). It represents a thoroughly inept plan to further damage California’s aging water distribution system that supplies water to 25 million Californians and 3 million acres of farmland, while also destroying the natural environment in the Delta.
We urge the Department of Water Resources and the Administration to fire half the people involved with this boondoggle and make the other half start doing some work.
The state's water system and the Delta environment are at risk. We must find methods to create new water to keep pace with California's increasing population.
The California Water Fix (Alternative 4A) is the culmination of nearly a decade of extensive inept review, planning and scientific and environmental analysis by the stooges of Stuart Resnick and the water barons. It is basically putting lipstick on a pig (no insult to pigs intended).
According to the shadowy astroturf group "Californians for Water Security) The California Water Fix proposes replacing "dirt levees with a modern, secure water pipeline" a stupid crack pot idea - replacing all the levees with a pipeline would cost in the hundreds of billions of dollars and destroy the Delta.
Getting to this point has been a long and thoroughly inept process. The time to fire everyone associated with this crazy idea is now.
For these reasons, I do not support the California Water Fix.
L # 123
- [x] Unused
- [ ] Duplicate of _____
- [ ] Out of Scope
- [ ] Other:
(replace original)
I am writing to express my strong support for the California Water Fix (Alternative 4A). It represents a thoroughly vetted, viable plan to fix California’s aging water distribution system that supplies water to 25 million Californians and 3 million acres of farmland, while also protecting the natural environment in the Delta.
We urge the Department of Water Resources and the Administration to move forward to bring the California Water Fix to fruition as quickly as possible.
Our state’s aging system of aging dirt levees, aqueducts and pipes that brings water from the Sierra Nevada Mountains to 2/3 of the State is outdated and at risk of collapse in the event of a major earthquake or flood. We must update this aging system to protect water supplies for our state.
The California Water Fix (Alternative 4A) is the culmination of nearly a decade of extensive expert review, planning and scientific and environmental analysis by the state’s leading water experts, engineers and conservationists, and unprecedented public comment and participation. It reflects significant changes and improvements to the plan to address comments from the state and federal governments and other stakeholders.
The California Water Fix will replace aging dirt levees with a modern, secure water pipeline; upgrade the water distribution system to protect water supplies from earthquakes and natural disasters; and restore more natural river flows to protect fish and wildlife.
Getting to this point has been a long and thorough process. The time to act and move forward is now to protect California’s water security.
For these reasons, I support the California Water Fix.
We have no grass, catch rain in barrels, use bath water to flush toilets, a plastic bucket under the faucets for dish & hand washing, use a broom instead of a hose, and have four dirty autos.
Robert Buchanan 91941 07/24/2015
cc: Governor Jerry Brown
Subject: Support Alternative 4A - the California Water Fix
California Department of Water Resources:
Never in the history of the state of California has a developer had to bring a new source of water to their development. They take more water out of the water resources we use. This must change! Any new development much find and bring water from a new source.
I am writing to express my strong support for the California Water Fix (Alternative 4A). It represents a thoroughly vetted, viable plan to fix California’s aging water distribution system that supplies water to 25 million Californians and 3 million acres of farmland, while also protecting the natural environment in the Delta.
We urge the Department of Water Resources and the Administration to move forward to bring the California Water Fix to fruition as quickly as possible.
Our state’s aging system of aging dirt levees, aqueducts and pipes that brings water from the Sierra Nevada Mountains to 2/3 of the State is outdated and at risk of collapse in the event of a major earthquake or flood. We must update this aging system to protect water supplies for our state.
The California Water Fix (Alternative 4A) is the culmination of nearly a decade of extensive expert review, planning and scientific and environmental analysis by the state’s leading water experts, engineers and conservationists, and unprecedented public comment and participation. It reflects significant changes and improvements to the plan to address comments from the state and federal governments and other stakeholders.
The California Water Fix will replace aging dirt levees with a modern, secure water pipeline; upgrade the water distribution system to protect water supplies from earthquakes and natural disasters; and restore more natural river flows to protect fish and wildlife.
Getting to this point has been a long and thorough process. The time to act and move forward is now to protect California’s water security.
For these reasons, I support the California Water Fix.
I am writing to express my strong disagreement with the California Water Fix (Alternative 4A). It represents an unconscionable boondoggle that has little chance of succeeding. The tunnels do NOT make any new water. Only desalination can do that. The tunnels are priced at an abnormally high rate that will harm Californians and, eventually, all agriculture and do nothing to protect the natural environment in the Delta.
We urge the Department of Water Resources and the Administration to stand down from the WaterFix and drop this boondoggle!
We need a less costly system on the nature of a through-delta conveyance with reinforced levees. You need to update our aging governor on the practicality of a non-tunnel project.
For these reasons, I am against the California Water Fix! Email is a crucial way for us to stay in touch with you and keep you updated on our progress as we fight to protect California's water. If you prefer to not receive these updates, then you can go here to unsubscribe.
I am writing to express my strong support for the California Water Fix (Alternative 4A). It represents a thoroughly vetted, viable plan to fix California’s aging water distribution system that supplies water to 25 million Californians and 3 million acres of farmland, while also protecting the natural environment in the Delta.
We urge the Department of Water Resources and the Administration to move forward to bring the California Water Fix to fruition as quickly as possible.
Our state’s aging system of aging dirt levees, aqueducts and pipes that brings water from the Sierra Nevada Mountains to 2/3 of the State is outdated and at risk of collapse in the event of a major earthquake or flood. We must update this aging system to protect water supplies for our state.
The California Water Fix (Alternative 4A) is the culmination of nearly a decade of extensive expert review, planning and scientific and environmental analysis by the state’s leading water experts, engineers and conservationists, and unprecedented public comment and participation. It reflects significant changes and improvements to the plan to address comments from the state and federal governments and other stakeholders.
The California Water Fix will replace aging dirt levees with a modern, secure water pipeline; upgrade the water distribution system to protect water supplies from earthquakes and natural disasters; and restore more natural river flows to protect fish and wildlife.
Getting to this point has been a long and thorough process. The time to act and move forward is now to protect California’s water security.
For these reasons, I support the California Water Fix.
Oh and by the way . BAN FRACKING!!! It is the biggest danger to clean water in EVERY state not just CA.
July 20, 2015
The Honorable Sarah “Sally” Jewell, Secretary
United States Department of the Interior
1849 C Street, NW, Room 6156
Washington, DC 20240
Ms. Theresa Olson
Conservation & Conveyance Division Chief
U.S. Bureau of Reclamation, Bay-Delta Office
801 I Street, Ste 140
Sacramento, CA 95814-2536
Secretary John Laird
California Natural Resources Agency
1416 Ninth Street, Suite 1311
Sacramento, CA 95814
RE: Public Review Period Extension Request for REIR/SEIS Comments
On July 10, 2015, the Bay Delta Conservation Plan/California ‘WaterFix’ (“Project”) Partially Recirculated Draft Environmental Impact Report/Supplemental Draft Environmental Impact Statement (“RDEIR/SDEIS”) was released with a 52 day public review and comment period scheduled to end on August 31, 2015. Given the complexity of the proposed revisions and additions on the rebranded Project, alternatives, and proposed mitigation in nearly 8,000 pages of documentation and analysis, the RDEIR/SDEIS will reasonably require more than 52 days to review. **Sacramento County requests the comment period be extended to 45 days after the public release/notice of the two following documents:** *The Petition to Change the Point of Diversion for the Project by the State Water Resources Control Board (“SWRCB”), and the biological assessment resulting from the Project’s Section 7 consultation.* Extending the RDEIR/SDEIS comment period until after these two critical documents are released for public comment will allow a better understanding of the rebranded Project and its impacts, providing the public a more meaningful review. Alternatively, Sacramento County (“County”) requests a 120 day extension to provide meaningful review and comments.
The RDEIR/SDEIS contains substantial changes from the initial public draft. The RDEIR/SDEIS describes three new project alternatives and their mitigation in an excess of 2,200 pages – not including related figures, modeling, or redline appendices comparisons. But in addition to these voluminous changes and modifications, the recently released documents also include revisions to the BDCP Habitat Conservation Plan (Appendix D), analysis concerning the Project’s consistency with the Delta Plan (Appendix G), and modeling titled in a manner suggesting it will support petitions that Project proponents will file with the SWRCB (Appendix C). The inclusion of this material in the RDEIR/SDEIS is unexpected and previously undisclosed. In light of these surprise actions, and to adequately evaluate and analyze the RDEIR/SDEIS for related CEQA/NEPA impacts, the County will first need to receive and review these other, forthcoming documents containing information relevant to project impacts: the Section 7 Biological Assessment and its supporting documentation, and the SWRCB petition filings.
Further, the federal agencies and Project proponents have continued the practice of frustrating the public review process through a lack of transparency. While the County is party to a Cooperating Agency Agreement dictating the roles, responsibilities, and commitments of federal Lead and Cooperating Agencies pursuant to NEPA, the federal agencies ignored the Agreement’s covenants during the first part of 2015, thus limiting Cooperating Agency involvement in the development of the RDEIR/SDEIS by, in part, failing to provide preliminary deliverables like technical analyses and information for review and comment prior to this public release. Further, the federal agencies and Project proponents continue to withhold responses to prior comments—refusing to post and share comments as they were and are submitted. To this end, County staff from almost every department and discipline must identify, coordinate, review, and draft responses to the voluminous new documents to both highlight the new information and analyses general flaws as well as their unique impacts to County infrastructure, traffic, health and human services, historic Delta communities and agricultural land, air quality, water quality, flood issues, and public safety issues. The continued lack of communication, collaboration, and transparency from the federal agencies and Project proponents, in contravention of the County’s Cooperating Agency Agreement and sound public policy, results in the County being unable to efficiently and effectively provide its NEPA/CEQA analyses for the revised document within a 52 day review period.
Finally, the County continues to address the statewide and regionally devastating drought. The same staff tasked with providing meaningful, detailed analysis and comments to the RDEIR/SDEIS are needed to implement and execute water supply shortage measures, outreach, and mitigation during this most critical period of the drought emergency. Failing to extend the short 52 day comment period in light of the unprecedented, current drought conditions and their corresponding challenges will deprive the County of the time necessary to adequately review and comment on these new documents integral to its future. The County is among the communities most affected by the proposed actions of the BDCP and Project, and should be provided sufficient time to return insightful, consequential comments on the RDEIR/SDEIS.
In the name of sound and reasonable public policy, the new generation of Delta ecosystem restoration and water supply (reliability) projects and programs require and deserve a thorough evaluation and analysis. The County therefore respectfully requests that the public comment period for the RDEIR/SDEIS be extended to 45 days after the public release of the SWRCB petitions for the Project, and the biological assessment resulting from the Project's Section 7 consultation. At the least, the public comment period should be extended until after critical drought months pass and expert staff are once again available to thoroughly review the documents (a minimum of 120 additional days).
Sincerely,
Robert B. Leonard
Chief Deputy County Executive
Municipal Services
Cc: Mike Tucker, National Marine Fisheries Service
Please include in formal letters. Thanks, Theresa.
--
Theresa Olson
Conservation and Conveyance Division Chief
Bay-Delta Office
Bureau of Reclamation
Office: (916) 414-2433
Cell (916) 261-4893
Just because you label a ‘Plan’ a Conservation Plan, it does not make it a Conservation Plan. What are you Conserving? I do not see Conservation, I see Destruction. What am I missing?
I am against the BDCP/California WaterFix Partially Recirculated Draft Environmental Impact Report/Supplemental Draft Environmental Impact Statement (RDEIR/SDEIS) as it does not adequately address the concerns I had with your Draft EIR/EIS.
Dennis Park
5103 Cabrillo Pt.
Discovery Bay, CA 94505
(925) 516-8763
We are 100% against the tunnels. They will not fix any state water system problems we have. What they will do is, cost the tax payers of this state a great deal of money, damage the Delta, and take more water from Northern California and send it to Southern California. Remember the Owens Valley was once a rich farming area and is now a desert thanks to Southern California. Boy again, PLEASE. Do something that helps conserve water from good years to see us through droughts and don't ruin another huge agricultural area.
Sincerely,
Bruce and Kim Carmichael
824 Granada Ln
Vacacille CA
Please add me to your E Mail update list.
email@example.com
Thank you!
Sent from my iPad
It is getting so citizens have no voice in what State Government is doing and judges are continuing to override voters. If they decide to destroy the Delta wet lands by allowing salt water intrusion, where will farmers get their water for irrigation to the most fertile land in California? This is not about little fish or ecosystem; it's about destroying farm land. Southern corporate farmers average farm size 2,200 acres with 50 farms over 42,000 acres. These farms started by flooding the land with water from the Delta washing alkali into the Kesterson Reservoir National Wildlife Refuge. Without water flow to keep salt water from encroaching further the Delta we will be without question be destroyed. I think citizens living in the central valley should be the ones to decide their fate. I think money should not be a part of the decision or who you owe to political donors. Thank You Ben Coleman (209-368-0247) 1706 S. Sacramento St. Lodi, Ca. 95240
I would like to address this issue with the following statement. NO, NO, NO! This will not fix anything. Please look at alternative measures that, in the long run, will assure all of California the water it so desperately needs. Conservation of water should be at the top of the list. More watersheds, more reservoirs, more ways of containing rain, when it comes. Please, I beg you, as someone who lives on the delta, do not destroy this beautiful place.
Thank you,
Barbara Jean Sugar
Sent from Yahoo Mail on Android
I have the following questions for the tunnels plan. This serves as my comment on this project.
1. How will construction of the tunnels over a fourteen-year period help with drought?
2. Will the state conduct a full cost-benefit analysis of the project that includes the value of freshwater to the San Francisco Bay-Delta estuary?
3. How much water is available for export through the tunnels in a drought after prior water rights and public trust needs are met? And if there isn’t any, how often will the tunnels be dry?
4. How does California Water Fix help reduce reliance on Delta imports as mandated by the 2009 Delta Reform Act?
5. The State Water Resources Control Board, the Department of Water Resources, and the Bureau of Reclamation have allowed for the waiving and weakening of Delta water quality standards for all water uses and species protections during the drought, endangering numerous Delta species and bringing some to the precipice of extinction. How can San Francisco Bay-Delta business, tourism, fishing, and farming communities trust the tunnels would be operated any better?
6. Isn’t the majority of the habitat designated under California Eco Restore for mitigation for the 2008 biological opinions? Isn’t that habitat for damage already done to the Delta?
7. How does a Delta tunnels-only project and less than 2000 acres of mitigation habitat comply with the 2009 Delta Reform Act “coequal goals” of water supply reliability and ecosystem restoration while protecting the Delta as a place?
8. If the North Delta diversions are better for fish, how much will the overall “take” or “kill” numbers for endangered fish species be reduced? What can we expect in terms of reduction numbers?
9. WHERE does the water for the tunnels come from? What will that do to the source area? How long is it sustainable? Have you analyzed the economic and environmental impacts on those regions?
10. According to Dr. Jeff Michael of University of the Pacific, the estimated benefits for the project drop by $10 billion without regulatory assurance for water deliveries. How can farmers afford such costly water and hope to maintain a profit? How much of the project will urban ratepayers and property taxpayers Southern California and Silicon Valley pay for the project?
Bob Panzer 95688 07/27/2015
cc: Governor Jerry Brown
Subject: Support Alternative 4A - the California Water Fix
California Department of Water Resources:
I am writing to express my strong opposition to the California Water Fix (Alternative 4A). It is yet another plan that does not produce one new drop of water, which is the only viable solution to support millions of Californians and 3 million acres of farmland. Nor does it protect the Delta's fresh water, which already has been depleted by one-third and is threatening fisheries, recreational use, farmland and clean air.
I urge the Department of Water Resources and the Administration to reject the latest proposal. Save our Delta!
John Lane 92103 07/27/2015
cc: Governor Jerry Brown
Subject: Support Alternative 4A - the California Water Fix
California Department of Water Resources:
I am writing to express my strong support for the California Water Fix (Alternative 4A). It represents a thoroughly vetted, viable plan to fix California’s aging water distribution system that supplies water to 25 million Californians and 3 million acres of farmland, while also protecting the natural environment in the Delta.
We urge the Department of Water Resources and the Administration to move forward to bring the California Water Fix to fruition as quickly as possible.
Our state’s aging system of aging dirt levees, aqueducts and pipes that brings water from the Sierra Nevada Mountains to 2/3 of the State is outdated and at risk of collapse in the event of a major earthquake or flood. We must update this aging system to protect water supplies for our state.
The California Water Fix (Alternative 4A) is the culmination of nearly a decade of extensive expert review, planning and scientific and environmental analysis by the state’s leading water experts, engineers and conservationists, and unprecedented public comment and participation. It reflects significant changes and improvements to the plan to address comments from the state and federal governments and other stakeholders.
The California Water Fix will replace aging dirt levees with a modern, secure water pipeline; upgrade the water distribution system to protect water supplies from earthquakes and natural disasters; and restore more natural river flows to protect fish and wildlife.
Getting to this point has been a long and thorough process. The time to act and move forward is now to protect California’s water security. And stop letting corporations take our water and sell for profit, and or Frack it away.
For these reasons, I support the California Water Fix.
Jan McCleery 94505 07/27/2015
cc: Governor Jerry Brown
Subject: Oppose Alternative 4A - the California Water Fix
California Department of Water Resources:
I am writing to express my strong OPPOSITION for the California Water Fix (Alternative 4A). It represents a costly, damaging plan to move water from the Sacramento River directly to the south and will destroy the natural environment in the Delta.
We urge the Department of Water Resources and the Administration to stop all action on the California Water Fix as quickly as possible.
Our state’s system of relying totally on the Delta and moving too much water from the Delta through aqueducts and pipes to bring water from the Sierra Nevada Mountains to the South needs to be changed and add more modern desalination, recycling, ground water recharge, and better conservation to the mix. Note - there is no issue with the current water supply even in the event of a major earthquake or flood - that's the "Earthquake Bogey" thought up after Katrina but proven not applicable to the Delta. We must stop destroying the Delta.
The California Water Fix (Alternative 4A) is the culmination of nearly a decade of wasted money, resulting in no value. It has been extremely time consuming for the public, as shown by the unprecedented public comment and participation. Even with the public's inputs, the basis of the plan never changes and keeps planning for a terrible 10-14 year construction project right through the heart of the Delta destroying the Delta's scenic beauty, value for recreation and boating, fresh water for Delta farms and communities. It reflects absolute rejection of the Delta communities' inputs and the inputs from the rest of Northern Californians and any environmentalist who wants a pure and healthy Delta, salmon runs, and clean San Francisco Bay.
The California Water Fix will do nothing to upgrade the levees. If the state truly believed there was a risk of earthquakes and natural disasters, they would do something to protect the people who live here from death by flooding. Obviously there is no real concern of earthquakes and natural disasters causing the levees to fall down and the communities in the Delta to flood.
Getting to this point has been a long and torturous process. The time to act and move forward is now to stop threatening the property and happiness of the Northern California citizens and find true solutions for California's water. In the meantime, we must balance the amount of farming that can be done in the Central Valley desert with the true amount of water available before desal and other water-producing efforts can be brought on-line. We also need to limit expansion of housing to meet the water needs. The system is in crisis and a total collapse will ruin the entire state's economy in a real way.
While the state re-plans for desalination and other true solutions, I call for the state to quickly balance the water need with available water by retiring Westlands acreage in the desert, stopping the spread of almonds.
throughout the Central Valley, and halting new developments in L.A. until a true, state-wide water solution is identified.
For these reasons, I strongly oppose the California Water Fix and call for the state to drop the plan immediately.
Dan Lieberman 92595 07/27/2015
cc: Governor Jerry Brown
Subject: Support Alternative 4A - the California Water Fix
California Department of Water Resources:
I am writing to express my strong support for the California Water Fix (Alternative 4A). It represents a thoroughly vetted, viable plan to fix California’s aging water distribution system that supplies water to 25 million Californians and 3 million acres of farmland, while also protecting the natural environment in the Delta.
We urge the Department of Water Resources and the Administration to move forward to bring the California Water Fix to fruition as quickly as possible.
Our state’s aging system of aging dirt levees, aqueducts and pipes that brings water from the Sierra Nevada Mountains to 2/3 of the State is outdated and at risk of collapse in the event of a major earthquake or flood. We must update this aging system to protect water supplies for our state.
The California Water Fix (Alternative 4A) is the culmination of nearly a decade of extensive expert review, planning and scientific and environmental analysis by the state’s leading water experts, engineers and conservationists, and unprecedented public comment and participation. It reflects significant changes and improvements to the plan to address comments from the state and federal governments and other stakeholders.
The California Water Fix will replace aging dirt levees with a modern, secure water pipeline; upgrade the water distribution system to protect water supplies from earthquakes and natural disasters; and restore more natural river flows to protect fish and wildlife.
Getting to this point has been a long and thorough process. The time to act and move forward is now to protect California’s water security.
In addition, I’d recommend a state-wide standardization of water rates to prevent price-gouging by local districts and price-breaks for those who have consistently been among the most conservation-minded, using the least water and using it more efficiently.
The tiered system is inequitable when (in the case of my local water district, the EVMWD) they institute a 27% increase for Tier 1 (lowest usage) ONLY, (regardless of conservation) but no across-the-board increase for the more extensive-use levels. This is unfair, targeting those who can least afford it while leaving the rates the same for those who are heavier users and wouldn’t have as much trouble dealing with their bill. Sound familiar?
For these reasons, I support the California Water Fix.
July 22, 2015
BDCP/Water Fix Comments
P.O. Box 1919
Sacramento, CA 95812
cc: Governor Jerry Brown
Subject: Support Alternative 4A of California Water Fix
Dear BDCP/Water Fix Comments:
On behalf of California Small Business Association, we are writing to express our strong support for the California Water Fix (Alternative 4A). The California Water Fix represents a thoroughly vetted, viable plan to fix California’s aging water distribution system that supplies water to 25 million Californians and 3 million acres of farmland, while also protecting the natural environment in the Delta.
The recirculated documents are the culmination of nearly a decade of extensive expert review, planning and scientific and environmental analysis by the state’s leading water experts, engineers and conservationists, and unprecedented public comment and participation. The California Water Fix (Alternative 4A) reflects significant changes and improvements to the plan to address comments from the state and federal governments and other stakeholders.
We urge the Department of Water Resources and the Administration to move forward to bring the California Water Fix to fruition.
Our state’s system of aging dirt levees, aqueducts and pipes that brings water from the Sierra Nevada Mountains to 2/3 of the State is outdated and at risk of collapse in the event of a major earthquake or flood. Problems with this aging system have already resulted in significant water supply cutbacks and shortages for people, farms and businesses, as well as damage to fish, wildlife and the environment.
The California Water Fix will improve our water delivery infrastructure to allow us to responsibly capture and move water during wet years, so that we have a greater water supply during future droughts. The current drought has demonstrated that California’s aging water infrastructure is not equipped to handle the regular boom and bust cycles of our climate. With above average rains predicted in the near future, we must move forward with improved infrastructure to capture the water when it’s available.
The California Water Fix (Alternative 4A) will:
- Protect water supplies by delivering them through a modern water pipeline rather than relying solely on today’s deteriorating dirt levee system.
- Build a water delivery system that is able to protect our water supplies from earthquakes, floods and natural disasters.
- Improve the ability to move water to storage facilities throughout the state so we can capture it for use in dry years.
- Restore more natural water flows above ground in rivers and streams in order to reduce impacts on endangered fish and other wildlife.
- Protect and restore wildlife and the environment of the Sacramento-San Joaquin Delta.
Getting to this point has been a long and thorough process. Now is the time to act and move forward to protect California’s water security.
For these reasons, we support the California Water Fix (Alternative 4A).
Sincerely,
Betty Jo Toccoli
California Small Business Association
From: Sheri Madsen <firstname.lastname@example.org>
Sent: Monday, July 27, 2015 4:05 PM
To: BDCPcomments
Cc: email@example.com
Subject: CA Small Business Association Support Letter
Attachments: CSBA EIR Comment Letter.pdf
Sending on behalf of Betty Jo Toccoli from California Small Business Association.
July 21, 2015
BDCP/Water Fix Comments
P.O.Box 1919
Sacramento, CA 95812
SUBJECT: California Water Fix (Alternative 4A)
Position: SUPPORT
The Southwest Riverside County Association of Realtors® and the more than 4,000 Realtor® members we represent in Southern California, is pleased to express our strong SUPPORT for the California Water Fix (Alternative 4A).
The California Water Fix represents a thoroughly vetted, viable plan to fix California’s aging water distribution system that supplies water to 25 million Californians and 3 million acres of farmland, while also protecting the natural environment in the Delta.
The recirculated documents are the culmination of nearly a decade of extensive expert review, planning and scientific and environmental analysis by the state’s leading water experts, engineers and conservationists, and unprecedented public comment and participation. The California Water Fix (Alternative 4A) reflects significant changes and improvements to the plan to address comments from the state and federal governments and other stakeholders.
We urge the Department of Water Resources and the Administration to move forward to bring the California Water Fix to fruition.
Our state’s system of aging dirt levees, aqueducts and pipes that brings water from the Sierra Nevada Mountains to 2/3 of the State is outdated and at risk of collapse in the event of a major earthquake or flood. Problems with this aging system have already resulted in significant water supply cutbacks and shortages for people, farms and businesses, as well as damage to fish, wildlife and the environment.
The California Water Fix will improve our water delivery infrastructure to allow us to responsibly capture and move water during wet years, so that we have a greater water supply during future droughts. The current drought has demonstrated that California’s aging water infrastructure is not equipped to handle the regular boom and bust cycles of our climate. With above average rains predicted in the near future, we must move forward with improved infrastructure to capture the water when it’s available.
The California Water Fix (Alternative 4A) will:
- Protect water supplies by delivering them through a modern water pipeline rather than relying solely on today’s deteriorating dirt levee system.
- Build a water delivery system that is able to protect our water supplies from earthquakes, floods and natural disasters.
- Improve the ability to move water to storage facilities throughout the state so we can capture it for use in dry years.
- Restore more natural water flows above ground in rivers and streams in order to reduce impacts on endangered fish and other wildlife.
• Protect and restore wildlife and the environment of the Sacramento-San Joaquin Delta.
Getting to this point has been a long and thorough process. Now is the time to act and move forward to protect California’s water security.
The Southwest Riverside County Association of Realtors® is pleased to SUPPORT the California Water Fix (Alternative 4A) because it offers the best solution to minimize seismic risk to our state’s water supply infrastructure while restoring the Delta’s ecosystem.
Sincerely,
Gene Wunderlich, Realtor®
Vice President, Government Affairs
Southwest Riverside County AOR
firstname.lastname@example.org
Cc:
Governor Jerry Brown 916.558.3160
Senator Dianne Feinstein 202.224.2501
Senator Barbara Boxer 202.228.3865
Congressman Ken Calvert 202.225.2004 951.277.0420
Congressman Duncan Hunter 202.225.0235
Senator Jeff Stone 916.651.4928 951.894.3536
Senator Mike Morrell 916.651.4923
Senator Joel Anderson 916.651.4936 951.676.1030
Senator Richard Roth 916.651.4931
Assemblymember Melissa Melendez 916.319.2167 951.894.5053
Assemblymember Marie Waldron 916.319.2175 760.480.7516
Assemblymember Brian Jones 916.319.2171 619.441.2327
Assemblymember Eric Linder 916.319.2160
California Chamber of Commerce 916.325.1272
email@example.com
firstname.lastname@example.org.
The Southwest Riverside County Association of Realtors would like to submit the attached letter of support for Option 4A of the California Water Fix.
Gene Wunderlich, Realtor®
Vice President, Government Affairs
Southwest Riverside County
Association of Realtors
951-205-1911
July 27, 2015
BDCP/Water Fix Comments
P.O.Box 1919
Sacramento, CA 95812
SUBJECT: California Water Fix (Alternative 4A)
Position: SUPPORT
The Southwest California Legislative Council is an advocacy coalition comprised of representative members of the Temecula Valley, Murrieta, Wildomar, Menifee Valley, Lake Elsinore Valley and Perris Valley Chambers of Commerce representing more than 3,500 employers dedicated to promoting job growth, economic expansion, and preserving the overall global competitiveness of California.
The SWCLC is pleased to express our strong SUPPORT for the California Water Fix (Alternative 4A). The California Water Fix represents a thoroughly vetted, viable plan to fix California’s aging water distribution system that supplies water to 25 million Californians and 3 million acres of farmland, while also protecting the natural environment in the Delta.
The recirculated documents are the culmination of nearly a decade of extensive expert review, planning and scientific and environmental analysis by the state’s leading water experts, engineers and conservationists, and unprecedented public comment and participation. The California Water Fix (Alternative 4A) reflects significant changes and improvements to the plan to address comments from the state and federal governments and other stakeholders.
We urge the Department of Water Resources and the Administration to move forward to bring the California Water Fix to fruition.
Our state’s system of aging dirt levees, aqueducts and pipes that brings water from the Sierra Nevada Mountains to 2/3 of the State is outdated and at risk of collapse in the event of a major earthquake or flood. Problems with this aging system have already resulted in significant water supply cutbacks and shortages for people, farms and businesses, as well as damage to fish, wildlife and the environment.
The California Water Fix will improve our water delivery infrastructure to allow us to responsibly capture and move water during wet years, so that we have a greater water supply during future droughts. The current drought has demonstrated that California’s aging water infrastructure is not equipped to handle the regular boom and bust cycles of our climate. With above average rains predicted in the near future, we must move forward with improved infrastructure to capture the water when it’s available.
The California Water Fix (Alternative 4A) will:
- Protect water supplies by delivering them through a modern water pipeline rather than relying solely on today’s deteriorating dirt levee system.
- Build a water delivery system that is able to protect our water supplies from earthquakes, floods and natural disasters.
- Improve the ability to move water to storage facilities throughout the state so we can capture it for use in dry years.
- Restore more natural water flows above ground in rivers and streams in order to reduce impacts on endangered fish and other wildlife.
• Protect and restore wildlife and the environment of the Sacramento-San Joaquin Delta.
Getting to this point has been a long and thorough process. Now is the time to act and move forward to protect California’s water security.
The Southwest California Legislative Council is pleased to SUPPORT the California Water Fix (Alternative 4A) as a workable plan of action because it offers the best solution to minimize seismic risk to our state’s water supply infrastructure while restoring the Delta’s ecosystem.
Respectfully,
Alex Braicovich, Chair
email@example.com
Gene Wunderlich, Legislative Liaison
firstname.lastname@example.org
Cc:
Governor Jerry Brown 916.558.3160
Senator Dianne Feinstein 202.224.2501
Senator Barbara Boxer 202.228.3865
Congressman Ken Calvert 202.225.2004 951.277.0420
Congressman Duncan Hunter 202.225.0235
Senator Jeff Stone 916.651.4928 951.894.3536
Senator Mike Morrell 916.651.4923
Senator Joel Anderson 916.651.4936 951.676.1030
Senator Richard Roth 916.651.4931
Assemblymember Melissa Melendez 916.319.2167 951.894.5053
Assemblymember Marie Waldron 916.319.2175 760.480.7516
Assemblymember Brian Jones 916.319.2171 619.441.2327
Assemblymember Eric Linder 916.319.2160
California Chamber of Commerce 916.325.1272
email@example.com
firstname.lastname@example.org.
The Southwest California Legislative Council would like to submit the attached letter in support of option 4A of the California Water Fix.
Gene Wunderlich
Legislative Liaison
SWCLC
Southwest California Legislative Council
Building these tunnels would be a big waste of money and not accomplish anything to end our water problems.
The only thing it would accomplish would be to send more water from the Delta to Southern California therefore causing more brackish water from the Bay to go further up the Delta where there is now freshwater. It would be an environmental disaster.
Let's learn how to recycle our water and use gray water where appropriate. We have a Space Station orbiting the Earth that doesn't have fresh water piped up to it in big tunnels, yet they are doing just fine. Let's use our modern technology to solve our water problems instead of Gold Rush era technology.
Sincerely,
Scott Miller
Sent from XFINITY Connect Mobile App
Hello,
Can you please add me to your mailing list?
Marcella
J. Marcella Ayala, MBA
Western U.S. Business Development Manager
Ferrovial Agroman, U.S. Corp.
5670 Wilshire Boulevard, Ste. #2490
Los Angeles, California 90036
(323) 302-4491 / Office
(310) 824-3043 / Cell
email@example.com
WEBSITE: www.fauscorp.com
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I would like to request a DVD of the BDCP RDEIR/SDEIS. I would appreciate both the redlined and non-redlined versions.
Please mail to Jan McCleery
5672 Drakes Drive
Discovery Bay, CA 94505
Thank you for your time.
This is a boondoggle plain and simple and you want taxpayers to foot the bill. Who will benefit? The crony capitalists that donated money to Jerry Brown. You refuse to build water storage and desalination plants or properly capture the rainwater flowing into the ocean. Yet you want to stick taxpayers with this project that creates no water, will destroy the Delta and cause saltwater intrusion, and will cost $67 billion. Shame on you.
Gregory P. Goehring
Attorney at Law
321 West Lodi Avenue
Lodi, CA 95240
firstname.lastname@example.org
(209) 334-3651 phone
(209) 333-7953 fax
Delphine Brody
SacValley Water Justice Network
4045 43rd St.
Sacramento, CA 95820
I would like to connect w/ Anacita Augustinas, DWR. And I wd like to contact others!
Hi Anecita,
The attached was given to me at the end of the meeting last night in Sacramento. My understanding is that Delphine Brody representing the Sacramento Valley Water Justice Network is interested in Tribal Water issues and did mention the Winnemem Wintu tribe. I told her that you would be the person to talk to. Can I send her your contact info?
-marcus
Are certain amounts of water from these projects earmarked for certain corporations or industry? Where does this water come from and what impacts will they have on the region? I heard that Paramount Farming will receive a huge sum of these resources for their farms in Kern County. These farms are retired oil fields and in a 2003 LA Times article, it was shown that Paramount privatized a state-owned resource. Could the same be said for the CA Water Fix? Also, as a publicly funded project costing $67 billion of ratepayer money, I am concerned that this project is not clearly laid out for common citizens that are not aware of water policy and politics. Given the context of a corporate agribusiness privatizing state resources in the past, I am concerned the same could happen for the California Water Fix. There needs to be a solid assessment of the water in adjudicating and knowing what makes sense statewide.
I do not support this plan. Dams, tunnels, manmade structures, do not always work. We need to work with natural ecosystems flow instead of against it. Think of waterways as veins of blood in our bodies. I support a more holistic approach. We are already in a drought, this water plan Brown proposes, does not take into consideration the destructive ecosystem impacts. If Southern California has billions of dollars to invest in Hollywood, they should be that invested in the maintenance & care of their natural ecosystems & water. WE CANNOT AFFORD THIS.
It is under my understanding that on December 30th, 2009 EPA issued an "Action Plan" where they raise awareness on 4 major chemicals that are currently affecting our public health and environment. One of these chemicals is bis (2-ethylhexyl) phthalate (aka DEHP). In the old and currently "updated" EIR/ES there is no specific reference to this phthalate. It is also in my understanding that not a lot of research is done on this toxic plasticizer that has the potential to effect the endocrine system of humans. It also fails to assess the effects of this chemical or any other toxic chemical on ANY wildlife so if these chemicals effect us and we just drink it imagine living in a toxic environment - that's what the fish are facing. Also these documents before this "open house" were EXTREMELY DIFFICULT to access and I'm an academic. Imagine the rest of the public, how will they access. Only parts of the old and new EIR & ES are available to the public.
As a white water paddler I spend a considerable amount of time on the river. Because of the lack of free flowing rivers, I can only see them during the brief times of the year is dam release. I see first hand that our water supply is dwindling. This project will to have a more reliable transfer of water through the Delta. What water we really don't want to have more water in the future. We are in a "new normal" or what we call a drought. Our focus needs to be on a better way to use the water we do have. Educate people about where it comes from, that it's not limited by a finite resource. Save the Delta for the fish, not the water intended. |
Polysaccharides from *Agaricus bisporus* and *Agaricus brasiliensis* show similarities in their structures and their immunomodulatory effects on human monocytic THP-1 cells
Smiderle et al.
Polysaccharides from *Agaricus bisporus* and *Agaricus brasiliensis* show similarities in their structures and their immunomodulatory effects on human monocytic THP-1 cells
Fhermanda R Smiderle\(^2\), Andrea C Ruthes\(^2\), Jeroen van Arkel\(^1\), Wasapon Chanput\(^3\), Marcello Iacomini\(^2\), Harry J Wichers\(^3\) and Leo JLD Van Griensven\(^*\)
**Abstract**
**Background:** Mushroom polysaccharides have traditionally been used for the prevention and treatment of a multitude of disorders like infectious illnesses, cancers and various autoimmune diseases. Crude mushroom extracts have been tested without detailed chemical analyses of its polysaccharide content. For the present study we decided to chemically determine the carbohydrate composition of semi-purified extracts from 2 closely related and well known basidiomycete species, i.e. *Agaricus bisporus* and *A. brasiliensis* and to study their effects on the innate immune system, in particular on the *in vitro* induction of pro-inflammatory cytokines, using THP-1 cells.
**Methods:** Mushroom polysaccharide extracts were prepared by hot water extraction and precipitation with ethanol. Their composition was analyzed by GC-MS and NMR spectroscopy. PMA activated THP-1 cells were treated with the extracts under different conditions and the production of pro-inflammatory cytokines was evaluated by qPCR.
**Results:** Semi-purified polysaccharide extracts of *A. bisporus* and *A. brasiliensis* (= blazei) were found to contain (1→6)(1→4)-linked \(\alpha\)-glucan, (1→6)-linked \(\beta\)-glucan, and mannogalactan. Their proportions were determined by integration of \(^1\)H-NMR signs, and were considerably different for the two species. *A. brasiliensis* showed a higher content of \(\beta\)-glucan, while *A. bisporus* presented mannogalactan as its main polysaccharide. The extracts induced a comparable increase of transcription of the pro-inflammatory cytokine genes IL-1\(\beta\) and TNF-\(\alpha\) as well as of COX-2 in PMA differentiated THP-1 cells. Pro-inflammatory effects of bacterial LPS in this assay could be reduced significantly by the simultaneous addition of *A. brasiliensis* extract.
**Conclusions:** The polysaccharide preparations from the closely related species *A. bisporus* and *A. brasiliensis* show major differences in composition: *A. bisporus* shows high mannogalactan content whereas *A. brasiliensis* has mostly \(\beta\)-glucan. Semi-purified polysaccharide extracts from both *Agaricus* species stimulated the production of pro-inflammatory cytokines and enzymes, while the polysaccharide extract of *A. brasiliensis* reduced synthesis of these cytokines induced by LPS, suggesting programmable immunomodulation.
**Keywords:** *Agaricus bisporus*, *A. brasiliensis*, \(\alpha\)-glucan, \(\beta\)-glucan, mannogalactan, immunomodulation
\(^*\) Correspondence: email@example.com
\(^1\)Plant Research International, Wageningen University and Research, Bornsesteeg 1, 6708 PD Wageningen, The Netherlands
Full list of author information is available at the end of the article
© 2011 Smiderle et al; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/2.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.
Background
Mushroom polysaccharides have traditionally been used for the prevention and treatment of a multitude of disorders like infectious illnesses, cancers and various autoimmune diseases. Bioactive polysaccharides are recognized by membrane receptors in leukocytes and macrophages, leading to proliferation and differentiation of immune cells [1,2]. These activities are responsible for enhancing the innate and cell-mediated immune responses, and consequently, for the induction of antitumoral and bactericidal effects [3,4].
Dendritic cells (DC's) and macrophages play important roles in many host reactions. They process antigen material and present it on their surface to other cells of the immune system. That is, they function as antigen-presenting cells to the T cells controlling immunity. Macrophages might behave both as pro-inflammatory cells to prevent e.g. infectious disease, as well as anti-inflammatory cells with a reparatory effect, as in wound healing [5]. By binding to their receptors, the bioactive polysaccharides activate various immune pathways like phagocytosis, complement activity, and respiratory burst and also the production of cytokines such as tumor necrosis factor-α (TNF-α), different kinds of interleukins (IL's) and enzymes as cyclooxygenase-2 (COX-2) [6,7]. All these effects collaborate to modulate cell differentiation and proliferation, enabling the host to defend itself against pathogens and tumors.
The monocytic THP-1 human myeloid leukemia cell line [8] expresses the Fc receptor and can be induced by phorbol 12-myristate 13-acetate (PMA) to differentiate into macrophage-like morphology [9]. Upon PMA treatment the suspension culture changes and cells become adherent to glass and plastics and show an increase in mitochondrial and lysosomal numbers and in cytoplasmic to nuclear ratio, as well as an altered differentiation dependent on cell surface markers in a pattern similar to monocyte-derived macrophages [10]. In addition they have a high absorption capacity for latex micro beads and express a cytokine profile that resembles macrophages.
*Ganoderma lucidum* polysaccharides have been found to induce monocytic THP-1 cells into dendritic cells [11] if added together with GM-CSF/IL-4, and recently it was published [12] that *G. lucidum* polysaccharides induced cytokine secretion and cell death in the same cell line. Also a heteromannan isolated from *Morchella esculenta* was able to activate the expression of NF-κB in THP-1 cells [13].
Among the polysaccharides that are encountered in mushrooms and have been tested *in vitro* and *in vivo* there are α-glucans, β-glucans, heteroglucans, heteroglucans, and others. The immunomodulatory effects are attributed mainly to (1→3)-β-glucans and (1→3)(1→6)-β-glucans [14,15]. Linear (1→6)-β-glucans and (1→4)-α-glucans of *A. brasiliensis* were shown to present antitumoral activities [16]. Interestingly, Ito et al. (1997) [17] have reported that macrophage activation and an alteration of complement factor C3 is necessary for the induction of an anti-tumor effect when *A. brasiliensis* polysaccharides are used.
Heteropolysaccharides isolated from different basidiomycetes were also considered as bioactive polymers, showing a large diversity of structures and effects. Galactoglucomannan (*L. edodes*), xyloglucan (*P. pulmonarius*), and glucagalact (*G. lucidum*) are examples of these molecules [1].
The range of extractions and isolation procedures used nowadays [2,18] to separate carbohydrate contents from mushrooms, leads to different yields and compositions of bioactive materials. Usually the extracts obtained are not completely pure, retaining small amounts of proteins, phenolic components, and/or other carbohydrates that can also influence the biological effects. It was observed that proteins, terpenoids, steroids, and fatty acids all can function as immunomodulators, respectively as cytotoxic, antitumor, antibactericidal, and antihypertension compounds [1].
Since the different components of a mushroom extract may act in synergy, careful studies have to be carried out to compare the activity of isolated compounds with those of crude mushroom extracts and whether whole mushrooms provide benefits that go beyond those achievable with isolated constituents. It remains therefore necessary to perform chemical analyses of the crude extracts to evaluate their components, and to compare these biological effects with the activities observed for the isolated agents.
For the present study we decided to chemically determine the carbohydrate composition of semi-purified extracts from 2 closely related and well known basidiomycete species, i.e. *Agaricus bisporus* and *A. brasiliensis* and to study their effects on the innate immune system, in particular on the *in vitro* induction of pro-inflammatory cytokines, using THP-1 cells.
Methods
Cell culture
The human monocytic cell line THP-1 (Cell Lines Service, Eppelheim, Germany) was grown in RPMI 1640 culture medium (Sigma, cat. R8758) supplemented with 10% heat-treated newborn calf serum Sterile A (Gibco, cat. 161010-159) and 100 U/mL resp. 100 ug/mL penicillin/streptomycin (P/S) (Sigma-Aldrich), at 37°C in 5% CO₂ in a humidified incubator.
Macrophage differentiation and stimulation
The mature macrophage-like state was induced by treating THP-1 monocytes (500,000 cells/mL) for 48 h with 30 ng/mL phorbol 12-myristate 13-acetate (PMA; Sigma) in 24-wells polystyrene tissue culture plates (Costar) with 1 mL cell suspension in each well. The medium was then removed and replaced by fresh medium containing the different test samples.
Gene expression kinetics by Real-Time PCR
Total RNA was isolated by using RNeasy mini kit (Qiagen, USA) with a RNase-free DNase (Qiagen) treatment for 15 min according to the manufacturer's instructions. Complementary DNA (cDNA) was synthesized from isolated RNA with Taqman Reverse Transcription Reagent kit (Applied Biosystems, USA). Expression levels of each gene were measured in duplicate reactions, performed with the same cDNA pool, in the presence of the fluorescent dye (iQ SYBR Green Supermix) using an iCycler iQ instrument (Bio-Rad Laboratories). The experiments were performed in a 20 μL reaction volume with specific primer pairs [19], and the conditions of real-time quantitative PCR were as follows: denaturation at 95°C for 3 min and amplification by cycling 40 times at 95°C for 10 s and 60°C for 30 s. Glyceraldehyde-3-phosphate dehydrogenase (GAPDH) was chosen for normalisation. The PCR of all products were subjected to a melting curve analysis to verify the single amplification product. The relative messenger RNA (mRNA) expression were presented as described in Chanutpt et al. (2010), [19]: the values were expressed as fold change relative to the value at time point zero, calculated as $\Delta \Delta CT = 2^{-\Delta CT_{GAPDH} - CT_{sample}}$ [20]. All experiments were performed with the same amount of cells ($0.5 \times 10^6$ per ml) and the same quantity of RNA input. qPCR was performed twice on each sample, in duplicate.
Mushroom extracts preparation
The crude extracts from fruiting bodies of *Agaricus bisporus* (I.E. Lange) Imbach strain Sylvan A15, which is a commercial substrate of Horst U1 (ATCC 62462) and *Agaricus brasiliensis* Wasser et al. (syn. *Agaricus blazei* Murill) strain M7700, obtained from Innerlife B.V. (Venlo, The Netherlands) were prepared by hot water extraction as described before [21] and concentrated to > 35° Brix for cold storage. Polysaccharides were semi-purified by repeated precipitation with two volumes of 96% ethanol. The precipitate was dissolved in water and then centrifuged at 12,000 rpm in an Eppendorf centrifuge to remove residual solids. The solution was three times frozen and thawed and the precipitate was centrifuged as before. The resulting pellet (HWP) and the soluble fraction (HWS) were lyophilized. Both fractions were tested on THP-1 cells.
Analysis of monosaccharide composition by GC-MS
Each polysaccharide fraction (1 mg) was hydrolyzed with 2 M TFA at 100°C for 8 h, followed by evaporation to dryness. The dried carbohydrate samples were dissolved in 0.5 N NH$_4$OH (100 μL), held at room temperature for 10–15 min in reinforced 4 ml Pyrex tubes with Teflon lined screw caps. NaBH$_4$ (1 mg) was added, and the solution was maintained at 100°C for 10 min, in order to reduce aldoses to alditoils [22]. The product was dried and excess NaBH$_4$ was neutralized by the addition of acetic acid or 1 M TFA (100 μL), which was removed following the addition of methanol (×2) under a N$_2$ stream in a fume hood. Acetylation of the Me-alditoils was performed in pyridine-Ac$_2$O (200 μL; 1:1, v/v), heated for 30 min at 100°C. The resulting alditol acetates were analyzed by GC-MS, and identified by their typical retention times and electron impact profiles. Gas liquid chromatography-mass spectrometry (GC-MS) was performed using a Varian (model 3300) gas chromatograph linked to a Finnigan Ion-Trap model 810 R-12 mass spectrometer, with He as carrier gas. A capillary column (30 m × 0.25 mm i.d.) of DB-225, held at 50°C during injection and then programmed at 40°C/min to 220°C or 210°C (constant temperature) was used for qualitative and quantitative analysis of alditol acetates and partially O-methylated alditol acetates, respectively [23].
Analysis of monosaccharide composition by HPLC
The samples were hydrolyzed with 2 M TFA at 100°C overnight, followed by evaporation to dryness. The residual TFA was removed by two evaporation cycles with 0.5 mL of MeOH, and the final residue was dissolved in 0.5 mL of H$_2$O.
After 100 fold dilution monosaccharides were determined using a Dionex HPLC system (Dionex Corp. Sunnyvale, Cal. USA) fitted with a Carbo Pac PA-1 column (4-250 mm), and a 25 μL sample loop with 20 mM NaOH isocratic solution (1 mL min-1) as the mobile phase. An ED40 electrochemical detector fitted with a pulsed amperometric cell was used. Glucose and galactose were used as standards.
Spectroscopy analysis
Nuclear magnetic resonance (NMR) ($^{13}$C and coupled $^{1}$H(obs.),$^{13}$C heteronuclear single quantum correlation (HSQC)) spectra were obtained using a 400 MHz Bruker model DRX Avance spectrometer incorporating Fourier transform, as described before in detail [24]. Samples were dissolved in D$_2$O and examined at 70°C. Chemical shifts are expressed in ppm (δ) relative to the resonance of D$_2$O at δ 30.2 ($^{13}$C) and 2.22 ($^{1}$H).
Determination of the phenolic content of the extracts
Folin assay was used for the phenolic determination of the extracts [25]. 100 μL Folin's phenol reagent was added to each sample (50 μL) and the solutions were mixed well. Then, 400 μL Na₂CO₃ was added to each mixture. The absorption of 200 μL of each sample was measured at 590 nm in the SPECTRAFluor spectrophotometer. Gallic acid was used as a standard in concentrations ranging from 12.5 to 50 μg/mL.
Statistical Analysis
The results are expressed as mean ± standard deviation of duplicate cultures of two representative experiments. Statistical significance was determined using one-way analysis of variance (ANOVA) followed by Bonferroni's test. P ≤ 0.05 was considered statistically significant. The graphs were drawn and the statistical analyses were performed using GraphPad Prism version 5.01 for Windows (GraphPad Software, San Diego, CA, USA).
Results
Chemical analysis of the extracts
The semi-purified polysaccharide extracts were analyzed for phenol content as well as for their monosaccharide composition. The phenol components were measured by the Folin-Ciocalteau method based on the chemical reduction of the reagent [25], while the monosaccharide composition was analysed by HPLC. *A. bisporus* (ABS) and *A. brasiliensis* (ABL) extracts contained 0.96 and 0.78 μg phenol per mg of dry matter, respectively. Wei et al. (2008) [26] had found 3.4% and 2.1% of phenol content in *A. bisporus* and *A. brasiliensis*, respectively. The latter authors observed that polysaccharides of *A. brasiliensis* and also a brown-colored polysaccharide/phenol complex of *A. bisporus* were very active ROS generators. It has been published that polysaccharides are able to bind to polyphenols by intermolecular interactions [27], changing the molecular conformation of carbohydrates; therefore their presence should not be ignored.
The main monosaccharides of the samples and their respective proportions are given in Table 1. The extract from *A. bisporus* presented mainly glucose, mannose, galactose, and methyl-galactose. The presence of methyl groups was confirmed by GC-MS.
| Sample | Glucose | Mannose | Galactose | Gal-Me* | Fucose | Ribose |
|--------|---------|---------|-----------|---------|--------|--------|
| ABS | 51.4 | 6.8 | 33.9 | 3.0 | 1.6 | 3.3 |
| ABSE | 43.0 | 10.3 | 36.6 | 3.3 | 2.0 | 4.8 |
| ABL | 66.7 | 4.9 | 23.1 | - | 5.6 | - |
The samples were analyzed by HPLC. *Confirmed by GC-MS.
The $^{13}$C-NMR spectrum showed four signals in the anomeric region at δ 98.1, 99.7, 102.6, and 103.0 ppm (Figure 1a). The resolution and complexity of the signs indicates the presence of more than one polysaccharide in the sample. After treatment with α-amylase from *B. licheniformis* (250 U/mL) for 2 h at 50°C and re-precipitation with ethanol, the remainder (ABSE) showed a reduction of the level of glucose when analysed by GC-MS (Table 1). It can be seen in Figure 1b that the signs at δ 99.7 ppm and between δ 60.0 and 80.0 ppm do not appear in the spectrum anymore, showing clearly that there was a poorly branched α-glucan present with a main chain (1→4)-linked, which was degraded by the enzyme. The original signs at δ 98.1, 102.6, and 103.0 ppm were not reduced. The presence of an α-glucan in *A. bisporus* had already been described previously [24]. These authors showed by NMR experiments and methylation analysis that the α-glucan was composed of a (1→4)-linked main chain, substituted at O-6 by single units of α-glucose in the proportion 1:8. Normally, β-glucans are isolated from mushrooms [6]. We distinguished six signals in the $^{13}$C-NMR spectrum at δ 103.0; 75.8; 74.9; 73.2; 69.6; 68.4 ppm, typical from β-glucan (1→6)-linked, which was confirmed by the inversion of the sign at δ 68.4 in the DEPT experiment (data not shown). Several other low intensity signals were observed for this polysaccharide fraction and seem to be related to a polysaccharide composed mainly of galactose, as already observed for other basidiomycetes such as *Pleurotus ostreatus* [28], *P. pulmonarius* [29], *P. eryngii* and *P. ostreatus* [30]. The latter authors isolated an α-galactan, while the previous ones described a mannogalactan from *Pleurotus* genus. In our study we found 10% of mannose in the ABS extract, and the spectra showed more complexity, giving a strong indication that a similar mannogalactan, as the one described by Jaklovjevic et al. (1998) [28] and Smiderle et al. (2008) [29] is presented also in *A. bisporus*. Both authors isolated a polysaccharide with a main chain composed of (1→6)-α-galactose substituted at O-2 by β-mannose units. Interestingly, galactomannan and terminal mannose have been found to bind to mannose receptors in human phagocytic cells and exert immunomodulatory effects [13,31]. Furthermore, this heteropolymer contains natural methyl groups indicated by the sign at δ 56.3 ppm, and confirmed by GC-MS analysis showing the presence of 3-O-methyl-galactose. We decided to perform $^1$H-NMR and HSQC experiments to evaluate the proportion of each polysaccharide present in ABS extract. It was possible to integrate four main signals from the $^1$H-NMR spectrum (data not shown) based on HSQC anomeric region (Figure 2a), and determine the proportion of α-glucan (20.4%), β-glucan (23.7%), and mannogalactan (55.8%) in the extract (Table 2). These two samples partially purified
polysaccharides (ABS) and the same after α-amylase treatment and re-precipitation (ABSE) were tested for their immuno activity properties in THP-1 cells.
The polysaccharide fraction prepared of *A. brasiliensis* showed similar monosaccharide composition as the fraction observed for *A. bisporus* (Table 1), although the proportion of glucose was higher. The $^{13}$C-NMR spectrum (Figure 1c) also showed similarities with the other species regarding the presence of the signals, especially in the anomeric region. The high intensity signs arise from the linear (1→6)-β-glucan ($\delta$ 102.9; 75.7; 74.9; 73.1; 69.7; 68.8 ppm), as already described for *A. brasiliensis* [32]. The inversion of the sign at $\delta$ 68.8 ppm in the $^{13}$C-NMR DEPT spectrum proved the O-6 linkage (data not shown). Minor signs at $\delta$ 97.9 and 102.3 ppm confirmed the presence of the mannogalactan that we found for *A. bisporus*. Although some authors commented about the presence of galactose and mannose in *A. brasiliensis*, this heteropolymer was not well-characterized yet for these two species [16]. The (1→4)-linked α-glucan is present in higher amounts than in *A. bisporus*, even though the signal was not so evident at $\delta$ 99.9 ppm. The high concentration and solubility of the β-glucan evidences its signs in the spectrum, and reduces the resolution of the other molecules' signals. The α-glucan was also observed for *A. brasiliensis* and described by Gonzaga et al. (2005) [18]. By analyses of HSQC (Figure 2b) and integration of the areas in $^1$H-NMR spectrum (data not shown) it was possible to determine the proportion of each polysaccharide in the extract: α-glucan (25.7%), β-glucan (49.1%), and mannogalactan (25.2%) (Table 2). This extract was also tested on THP-1 cells. The protein content of both mushroom extracts was low since the NMR spectra showed no or few N-H signals (data not shown).
**Gene expression for inflammation-related cytokines and enzymes of THP-1 macrophages stimulated with extracts**
The extracts were added to THP-1 macrophages (after differentiation with PMA) at 250 μg/mL. Cells were harvested at the time points 0 h, 3 h, and 6 h and kept in lysis buffer at -20°C for the next step. The total RNA was isolated from the cells using RNeasy mini kit (Qiagen) and
1 μg was used to synthesize cDNA. The q-PCR analyses were pursued to evaluate the mRNA expression level of pro-inflammatory cytokine genes IL-1β and TNF-α and also the inflammation-related enzyme COX-2. Phosphate buffered saline (PBS; 50 μl) and lipopolysaccharide (LPS; 1 μg/ml) were used as negative and positive controls, respectively. It was possible to observe that both crude extracts from *A. bisporus* and *A. brasiliensis* induced the expression of TNF-α, IL-1β, and COX-2 (Figure 3). TNF-α showed a 150 fold increase of relative gene expression when compared to the time point 0 h. This result was observed for both mushrooms after 3 h of incubation. After 6 h the level of mRNA started to decrease, which
**Table 2 Proportions of polysaccharides in the extracts**
| Polysaccharides | *A. bisporus* (%) | *A. brasiliensis* (%) |
|-----------------|------------------|----------------------|
| α-glucan | 20.4 | 25.7 |
| β-glucan | 23.7 | 49.1 |
| Mannogalactan | 55.8 | 25.2 |
**Figure 2 Anomeric regions of HSQC spectra from *A. bisporus* extract (ABS) (A) and *A. blazei* extract (ABL) (B)**
**Figure 3 mRNA expression level of genes for IL-1β, TNF-α, and COX-2 after treatment with mushroom extracts**
Negative control (PBS), positive control (LPS), *A. bisporus* extract (ABS), α-amylase treated *A. bisporus* extract (ABSE), and *A. blazei* extract (ABL). Statistical analyses were performed by means of one-way analysis of variance (ANOVA) followed by Bonferroni's test. The results represent the mean ± SD of duplicate cultures of two representative experiments. *p < 0.05, **p < 0.01, ***p < 0.001 versus negative control.
was expected considering that this is the first cytokine to be produced under inflammatory stress [33,34]. IL-1β was expressed almost equally at both time points, ABS and ABL induced an almost 2-fold increase after 6 h treatment (p < 0.001). The extract treated with α-amylase showed higher stimulation compared to the others (2.5-fold increase; p < 0.001). The presence of the α-glucan interferes negatively with the activity; it probably blocks the active compounds or it interferes with their access to the membrane receptors, reducing cell stimulation and its effects.
Although the polysaccharides led to a high increase in production of TNF-α, and COX-2 mRNAs, the effect observed for the positive control LPS was still higher than the other samples.
The ideal situation would keep a balance among pro- and anti-inflammatory cytokines. To evaluate if the *A. brasiliensis* extract (ABL) was able to diminish the levels of TNF-α and IL-1β, we added the bacterial toxin LPS and ABL to the cells, in three different conditions, as described in table 3. The aim was to verify if the mushroom extract could possibly reduce the pro-inflammatory cytokines produced in the presence of LPS, or if it increases the effect of lipopolysaccharide. After 9 h with LPS, the cells showed 3.9 and 9.4 fold increase for IL-1β and TNF-α, respectively, compared to time 0 h (Figure 4). All conditions seemed to reduce the level of IL-1β induced by LPS stimulation, although the most effective was the simultaneous addition of ABL and LPS, which reduced the production of IL-1β in 56.5% (p < 0.001). While the most effective condition to modulate TNF-α was the simultaneous addition of both stimuli (reduction of 76.1%; p < 0.01) or the addition of ABL after 3 h with LPS (reduction of 69.8%; p < 0.01).
**Discussion**
Basidiomycetes present different kinds of glucans and heteropolysaccharides. The common monosaccharide composition of these polymers is glucose, galactose, mannose, xylose, and fucose. Normally (1→3),(1→6)-β-glucans are extracted from these organisms, and also galactomannans, heteroglycans, and fucogalactans [2,4]. Mushrooms included in the same genera show more similarities in their composition, including the structure of carbohydrates [30]. In the present study, we compared two species from the genus *Agaricus*, which showed comparable NMR profiles. Both extracts contained mixtures of three main polysaccharides and their composition was comparable to what had been observed for other basidiomycete mushrooms, i.e. presenting glucose, galactose, mannose and fucose [16]. *A. brasiliensis* showed higher contents of β-glucan while *A. bisporus* presented mannogalactan as main polysaccharide. The proportion of each polysaccharide observed for both species varied significantly, and this may be an explanation for the differences encountered in the biological effects described by other authors. *A. brasiliensis* is known to be a medicinal mushroom and it has been widely used in Japan for many years for the treatment of cancer and other diseases [35]. *A. bisporus*, on the other hand, is mainly consumed as food; however
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**Table 3 Description of conditions for treating cells**
| Condition | Time 0 h | After 3 h | After 6 h | After 9 h |
|----------------------------------|----------|-----------|-----------|-----------|
| Negative control | PBS | - | - | All cells were harvested |
| Positive control | LPS | - | - | |
| Stimulus at same time | LPS + ABL| - | - | |
| Prevention with extract | ABL | - | LPS | |
| Treatment with extract | LPS | ABL | - | |
---
**Figure 4** mRNA expression level of genes for IL-1β, TNF-α after treatment with ABL. Negative control (PBS) and positive control (LPS). Statistical analyses were performed by means of one-way analysis of variance (ANOVA) followed by Bonferroni's test. The results represent the mean ± SD of duplicate cultures of two representative experiments. *p < 0.05; **p < 0.01; ***p < 0.001 versus positive control.
there is quite some evidence concerning possible therapeutic properties as reduction of blood glucose [36] and cholesterol levels [37], generation of ROS species by human cells [26], and NO production stimulation [38].
In this study we evaluated the capacity of the mushroom extracts to stimulate the production of the pro-inflammatory cytokines TNF-α, IL-1β, and the enzyme COX-2 on THP-1 cells. In this assay, the samples were added to the cells and after different incubation periods they were harvested for analysis. The differences between both species were not significant. However a slight increase of expression was observed for the three transcripts induced by the α-amylase treated polysaccharide (ABSE) of *A. bisporus*. This treatment increased the content of β-glucan and mannogalactan, since it degrades only α-(1→4)-linkages. Although this glycan-like molecule showed antitumor properties [16], there are no reports showing an immunostimulatory activity. Galactomannan from *M. esculenta* [13] and a polysaccharide from *G. lucidum*, containing glucose (58.1%), mannose (15.1%), and galactose (13.5%) had been found to stimulate THP-1 and showed an increase in NF-κB expression or were able to activate the differentiation to DC’s, respectively [12]. Therefore, the presence of β-glucan may not be the only agent for the effects observed in the present study.
Macrophages contain specific membrane receptors that might bind polysaccharides and/or glycoproteins as Toll-like receptor 4 (TLR4), CD14, complement receptor 3 (CR3), scavenger receptor, dectin-1, and mannose receptor [4]. The binding to these receptors activates the transcription factor NF-κB, which controls the expression of multiple genes in activated monocytes and macrophages. Some of the genes regulated by NF-κB are the pro-inflammatory cytokines, chemokines, and inflammatory enzymes [13,39]. This could explain the induction of TNF-α, IL-1β, and COX-2 by THP-1 cells after the treatment with the extracts. It is known that the structure of the polysaccharides, as well as their conformation, molecular weight, and solubility in water may influence the receptor ligand interaction [2]. Moradali et al. (2007) [1] mentioned that triple-helix conformation of glucans and the presence of hydrophilic groups in the outside surface of the helix are important for their biological effect. Considering that the receptors are not specific for glucose polymers, it may be possible that the mannogalactan present in the extracts also bind the receptors, activating the nuclear transcription factor. Besides, the presence of the mannogalactan can also provide a well-suited conformation for the β-glucans, and facilitate their binding to dectin-1, the well-known receptor for glucans [39]. Further experiments should be performed to elucidate the mechanism of the immunomodulatory effects of these polymers.
A complementary study was performed to evaluate the capacity of ABL extract to reduce the expression of pro-inflammatory cytokines. The treatment reduced the expression of IL-1β, and markedly reduced TNF-α production. The addition of ABL concomitantly with LPS or after 3 h was found to reduce or avoid the expression of TNF-α and IL-1β, while the reduction, by adding ABL before LPS, was not effective. It was shown before that CD14 and Toll-like receptor 4 (TLR4) present in macrophages are essential for LPS recognition and consequently for responsiveness to this bacterial endotoxin [40]. Considering that these receptors are probably bound by polysaccharides, it is possible that there is competition between LPS and glucans/mannogalactans when added concomitantly. These experiments led to the conclusion that the semi-purified polysaccharide extracts of *A. bisporus* and *A. brasiliensis* can stimulate the production of pro-inflammatory cytokines and enzymes in THP-1 cells, as well as reduce the response to LPS.
It is well known that TNF-α and IL-1β are pro-inflammatory cytokines; therefore they can induce inflammation, fever and tissue damage. Blocking these chemokines could help relieve symptoms of inflammatory processes as in rheumatoid arthritis inflammatory bowel disease and other autoimmune diseases. Contrarily, as TNF-α and IL-1β play an important role against invasive pathogens, their induction may be relevant to increase e.g. antimicrobial resistance [41]. Eventual optimal application will depend on specifications of specific target groups.
The presence of α-glucan in the *A. bisporus* extract reduced its activity, showing that the β-glucan and the mannogalactan are the major bioactive agents. In addition *A. brasiliensis* polysaccharide extract reduced the LPS induced synthesis of TNF-α and IL-1β. Both extracts (ABS and ABL) presented comparable effects even though they showed significant differences in the proportion of β-glucan and mannogalactan in their composition. While *A. bisporus* presents 55.8% of mannogalactan and only 23.7% of β-glucan, *A. brasiliensis* is composed of 25.2% of mannogalactan and 49.1% of β-glucan.
**Conclusions**
The closely related species *A. bisporus* and *A. brasiliensis* show major differences in polysaccharide composition: *A. bisporus* shows high mannogalactan content whereas *A. brasiliensis* has mostly β-glucan. Semi-purified polysaccharide extracts from both *Agaricus* species stimulated the production of pro-inflammatory cytokines and enzymes, while the polysaccharide extract of *A. brasiliensis* reduced synthesis of these cytokines induced by LPS, suggesting programmable immunomodulation.
Acknowledgements and Funding
The authors would like to thank the Brazilian funding agencies Conselho Nacional de Desenvolvimento Científico e Tecnológico (CNPq), Coordenação de Aperfeiçoamento de Pessoal de Nível Superior (CAPES), and Fundação Araucária.
Author details
1 Plant Research International, Wageningen University and Research, Bomenweg 1, 6708 PO Wageningen, The Netherlands. 2 Departamento de Biologiaquímica e Biologia Molecular, Universidade Federal do Paraná, Centro Politécnico, CP 19046, Curitiba-PR, Brasil. 3 Wageningen University and Research Centre, Borne Weilanden 9, 6708 WG Wageningen, The Netherlands.
Authors’ contributions
FS carried out the chemical analyses and qPCR, as well as the experiments with cells, and drafted the manuscript. AR participated on NMR experiments. JA carried out the HPLC analyses. WC participated in the design of the study with cells and the interpretation of the results. RW participated with cells and helped with discussion of results. ML contributed with the design of chemical results and the design of chemical procedures. LG carried out the polysaccharide extractions, and coordinated the draft of the manuscript, helping with the discussion of biological results and English correction of the text. All authors read and approved the final manuscript.
Competing interests
The authors declare that they have no competing interests.
Received: 11 May 2011 Accepted: 25 July 2011 Published: 25 July 2011
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13. Duncan CKS, Pugh N, Pasco DS, Smith SA: Isolation of a galactomannan that enhances macrophage activity from the edible fungus Morchella esculenta. Appl Environ Microbiol 1993, 59(10):3200–3204.
14. Sakagami Y, Mizoguchi Y, Shin T, Seki S, Kobayashi K, Morisawa S, Yamamoto S: Effects of an anti-tumor polysaccharide, schizophyllan, on interferon-γ and interleukin 2 production by peripheral blood mononuclear cells. Biochem Biophys Res Comm 1988, 155:650–655.
15. Huber R, Schmid R, Kuhn M, Muller-Hermelink H, Fink GR: Phagocytosis by human neutrophils is stimulated by a unique fungal cell wall component. Cell Host Microbe 2007, 2:55–66.
16. Mizuno T, Hagiwara T, Nakamura T, Ito H, Shimura K, Sumiya T, Asakura A: Antitumor activity and some properties of water-soluble polysaccharides from “Hinensutake”, from the fruiting body of Agaricus blazei Murill. Agric Biol Chem 1990, 54(11):2831–2836.
17. Ito H, Shimura K, Itoh H, Kayade M: Antitumor effects of a new polysaccharide-protein complex (ATOM) prepared from Agaricus blazei (Iwade strain 101) “Hinensutake” and its mechanisms in tumor-bearing mice. Mycosenologia 1991, 17(1):277–84.
18. Savelkoul HFJ, Ricciardi NM, Heijnen CJ, Wichers HJ: Isolation and characterization of polysaccharides from Agaricus blazei Murill. Carbohydr Polym 2005, 60:43–49.
19. Chanput W, Mes J, Vreeburg RAM, Savelkoul HFJ, Wichers HJ: Transcription profiles of LPS-stimulated THP-1 monocytes and macrophages: a tool to study inflammatory modulating effects of food-derived compounds. Food Funct 2010, 1:256–261.
20. Livak KJ, Schmittgen TD: Analysis of relative gene expression data using real-time quantitative PCR and the 2ΔΔCt method. Methods 2001, 2005:402–408.
21. Wei S, Van Griensven LILD: Pro- and antioxidative properties of medicinal mushroom extracts. Int J Med Mush 2008, 10(4):315–324.
22. Sasaki GL, Gorin PAJ, Iacomi M, Carraro M, Savelkoul HFJ, Ricceroni M: Application of additives derivatives for gas chromatography-mass spectrometry: Novel approaches on carbohydrates, lipids and amino acids analysis. J Chromatogr A 2008, 1208:215–222.
23. Sasaki GL, Gorin PAJ, Freitas LC, Zuckerman M: Lentinulin M Rapid system for partially O-methylated alditol acetate standards for GC/MS: some relative activities of hydroxyl groups of methyl glycopyranosides on Purdie methylation. Carbohydr Res 2005, 340:731–739.
24. Smiderle FR, Sasaki GL, van Arkel J, Iacomi M, Wichers HJ, van Griensven LILD: High molecular weight glucan of the culinary medicinal mushroom Agaricus bisporus is a functional carbohydrate complex with low molecular weight galactan. Molecules 2010, 15:5818–5830.
25. Ainsworth EA, Gillespie KM: Estimation of total phenolic content and other oxidation substrates in plant tissues using Folin-Ciocalteu reagent. Nat Protocols 2007, 2:4, 875–877.
26. Wei S, Plesser JRG, Van Griensven LILD: Phenolic compounds present in medicinal mushroom extracts generate reactive oxygen species in human cells in vitro. Int J Med Mush 2008, 10(1):11–13.
27. Renard CMCG, Baron A, Guyot S, Drillevau JF: Interactions between apple cell walls and native apple polyphenols quantification and some consequences. Int J Biol Macromol 2008, 42:911–920.
28. Jakovljevic D, Stojiljkovic M, Radulovic M, Hriznjak-Jelicic J, Jakovljevic M: On the mannoglucan from the fruit bodies of Pleurotus ostreatus (Fr.) Quel. J Serb Chem Soc 1998, 63(2):137–142.
29. Smiderle FR, Olsen LM, Carbonero ER, Marcon R, Baggio G, Freitas C, Santos ARS, Toni R, Gorin PAJ, Iacomi M: A 3-O-methylated mannooligosaccharide from Pleurotus pulmonarius: structure and antioxidative effect. Phytochemistry 2008, 69(19):2731–2739.
30. Carbonero ER, Gracher AHF, Rosa MCG, Torri E, Sasaki GL, Gorin PAJ, Iacomi M: Unusual partially 3-O-methylated α-galactan from mushrooms of the genus Pleurotus. Phytochemistry 2009, 69:252–257.
31. Seifried LE, Hull SR: A formula for counting of mycelial mannyl units of lipozyme mannan from a virulent strain of Mycobacterium tuberculosis to human macrophages. J Immunol 1994, 152(8):4070–4079.
32. Mizuno T, Hagaki K, Kanao T, Hagiwara T, Nakamura T, Ito H, Shimura K, Sumiya T, Asakura A: Antitumor activity and some properties of water-insoluble hetero-glycan from “Hinensutake”, the fruiting body of Agaricus blazei Murill. Agric Biol Chem 1990, 54(11):2831–2836.
33. Armstrong J, Jordan N, Miller A: Interleukin 1 (IL-1) regulation of tumour necrosis factor cx [TNF-cx] from human alveolar macrophages and peripheral blood monocytes. Thorax 1996, 51:143–149.
34. Sato TA, Keelan JA, Mitchell MD: Critical paracrine interactions between TNF-α and IL-10 regulate lipopolysaccharide-stimulated human chondrocytes for cytokine and prostaglandin E2 production. *J Immunol* 2003, 170:158-165.
35. Cameli CM, Maraschin M, Mendonc MM, Zucco C, Ferreira AG, Tavares LA: Structural characterization of β-glucans of *Agaricus brasiliensis* in different stages of fruiting body maturity and their use in nutraceutical products. *Bioresour Technol* 2009, 100:5000-5005.
36. Yilmaz M, Kantak G, Zeytinoglu M, Senturk H, Bayramoglu G, Dokumacioglu A, Van Griensven LJJD: Pancreas protective effect of antioxidative *Agaricus bisporus* extract on rats with streptozotocin induced diabetes. *Int J Med Mushr* 2010, 12(4):379-389.
37. Jeong SH, Kim SY, Yang BK, Lee JR, Koyyalamudi SR, Pang G, Cho KY, Song CH: White button mushroom (*Agaricus bisporus*) lowers blood glucose and cholesterol levels in diabetic and hypercholesterolemic rats. *Nutr Res* 2010, 30:49-56.
38. Volman JJ, Helisop PTG, Wei S, Baas JJP, Von Griensven LJJD, Somersma A, van der Meer RW, Phu L: Effects of mushroom-derived β-glucan-rich polysaccharide extracts on nitric oxide production by bone marrow-derived macrophages and nuclear factor-κB transactivation in Caco-2 reporter cells: Can effects be explained by structure? *Mol Nutr Food Res* 2010, 54:268-276.
39. Tada R, Ikeda F, Aski K, Yoshikawa N, Kato Y, Adachi Y, Tanaka A, Ishibashi Y, Fukui K, Ohira N: Barley-derived β-D-glucan induces immunostimulation via a dectin-1-mediated pathway. *Immunol Lett* 2009, 123:144-148.
40. Fujiwara M, Miura M, Tanamoto K, Suzuki T, Azuma H, Ikeda H: Molecular mechanisms of macrophage activation and deactivation by lipopolysaccharide: roles of the receptor complex. *Pharmacol Ther* 2003, 100:131-134.
41. D'angelo CA: Proinflammatory cytokines. *Chest* 2000, 118:S203-S208.
**Pre-publication history**
The pre-publication history for this paper can be accessed here:
http://www.biomedcentral.com/1472-6882/11/58/prepub
doi:10.1186/1472-6882-11-58
**Cite this article as:** Smiderle et al., Polysaccharides from *Agaricus bisporus* and *Agaricus brasiliensis* show similarities in their structures and have immunomodulatory effects on human monocyte THP-1 cells. *BMC Complementary and Alternative Medicine* 2011 11:58. |
TITLE 16. BOARD OF PSYCHOLOGY
NOTICE IS HEREBY GIVEN that the Board of Psychology (hereinafter “Board”) is proposing to take the action described in the Informative Digest. Any person interested may present statements or arguments orally or in writing relevant to the action proposed at a hearing to be held at the Radisson Newport Beach, 4545 MacArthur Boulevard, Newport Beach, California, at 9:00 a.m., or as soon as practicable thereafter, on May 21, 2011. Written comments, including those sent by mail, facsimile, or e-mail to the addresses listed under Contact Person in this Notice, must be received by the Board at its office no later than 5:00 p.m. on May 16, 2011, or must be received by the Board at the hearing. The Board, upon its own motion or at the instance of any interested party, may thereafter adopt the proposals substantially as described below or may modify such proposals if such modifications are sufficiently related to the original text. With the exception of technical or grammatical changes, the full text of any modified proposal will be available for 15 days prior to its adoption from the person designated in this Notice as contact person and will be mailed to those persons who submit written or oral testimony related to this proposal or who have requested notification of any changes to the proposal.
Authority and Reference: Pursuant to the authority vested by Section 2930 Business and Professions Code, and to implement, interpret or make specific Sections 2928, 2930, 2960.5, and 2965 Business and Professions Code, and Sections 11415.60 and 11500 of the Government Code, the Board is considering changes to Division 13.1 of Title 16 of the California Code of Regulations (CCR) as follows:
INFORMATIVE DIGEST/POLICY STATEMENT OVERVIEW
Business and Professions Code section 2920.1 mandates that protection of the public shall be the highest priority of the Board in exercising its licensing, regulatory, and disciplinary functions. Whenever the protection of the public is inconsistent with other interests sought to be promoted, the protection of the public shall be paramount.
This proposal would make specific regulatory changes to enhance the Board’s mandate of consumer protection.
This proposal would delegate authority to the Executive Officer to approve settlement agreements for revocation, surrender, or interim suspension of a license or registration.
This proposal would delegate authority to the Executive Officer to order an applicant for licensure to submit to a physical or mental examination if it appears that the applicant may be unable to safely perform the duties and functions of a psychologist, psychological assistant or registered psychologist due to physical or mental illness affecting competency. Additionally, if after receiving the evaluation report the Board determines that the applicant is unable to practice safely, the Board may deny the application.
This proposal would amend the title of Article 7 of Division 13.1 from Restoration of Suspended or Revoked Licenses, to Standards Related to Denial, Discipline, and Reinstatement of Licenses and Registrations to provide clarification of the subject matter of the regulations contained within Article 7.
This proposal would, in addition to conduct described in Business and Professions Code Section 2960, further define “unprofessional conduct” to also prohibit the inclusion of provisions in agreements to settle civil disputes that would forbid another party to the dispute from contacting, cooperating with, or filing a complaint with the Board, or that would require another party to the dispute to attempt to withdraw a complaint the party has filed with the Board.
The definition of “Unprofessional Conduct” would also include failure of the licensee or registrant to provide lawfully requested documents; failure to cooperate with an investigation pending against a licensee or registrant; failure to report an indictment, charging a felony, arrest, conviction of the licensee or registrant; failure to report any disciplinary action taken by another licensing entity or authority; or failure to comply with a court order issued in the enforcement of a subpoena mandating the release of records to the Board.
**FISCAL IMPACT ESTIMATES**
**Fiscal Impact on Public Agencies Including Costs or Savings to State Agencies or Costs/Savings in Federal Funding to the State:** Minor.
**Nondiscretionary Costs/Savings to Local Agencies:** None.
**Local Mandate:** None.
**Cost to Any Local Agency or School District for Which Government Code Sections 17500 – 17630 Require Reimbursement:** None.
**Business Impact:**
The Board has made an initial determination that the proposed regulatory action would have no significant statewide adverse economic impact directly affecting business, including the ability of California businesses to compete with businesses in other states because it only affects individual licensees and registrants.
**AND**
The following studies/relevant data were relied upon in making the above determination: None.
**Impact on Jobs/New Businesses:**
The Committee has determined that this regulatory proposal will not have any impact on the creation of jobs or new businesses or the elimination of jobs or existing businesses or the expansion of businesses in the State of California because it only affects individual licensees and registrants.
**Cost Impact on Representative Private Person or Business:**
The cost impacts that a representative private person or business would necessarily incur in reasonable compliance with the proposed action and that are known to the Board are costs associated with a disciplinary order. Costs only affect individuals who are applying for licensure or registration or licensees or registrants being disciplined. These costs may include fees for a physical or mental examination and attorney fees associated with license or registration denial or disciplinary action.
**Effect on Housing Costs:** None
**EFFECT ON SMALL BUSINESS**
The Board has determined that the proposed regulations would not affect small businesses because the regulations are applicable only to applicants and licensees or registrants who are disciplined by the Board.
**CONSIDERATION OF ALTERNATIVES**
The Board must determine that no reasonable alternative it considered to the regulation or that has otherwise been identified and brought to its attention would either be more effective in carrying out the purpose for which the action is proposed or would be as effective and less burdensome to affected private persons than the proposal described in this Notice.
Any interested person may present statements or arguments orally or in writing relevant to the above determinations at the above-mentioned hearing.
**INITIAL STATEMENT OF REASONS AND INFORMATION**
The Board has prepared an initial statement of the reasons for the proposed action and has available all the information upon which the proposal is based. It may be obtained at the hearing or prior to the hearing upon request from the Board at 2005 Evergreen Street, Suite 1400, Sacramento, California 95815 or on the Board’s website at: www.psychboard.ca.gov.
**TEXT OF PROPOSAL**
Copies of the exact language of the proposed regulations and of the initial statement of reasons, and all of the information upon which the proposal is based, may
be obtained at the hearing or prior to the hearing upon request from the Board at 2005 Evergreen Street, Suite 1400, Sacramento, California 95815 or on the Board’s website: www.psychboard.ca.gov.
AVAILABILITY AND LOCATION OF THE FINAL STATEMENT OF REASONS AND RULEMAKING FILE
All the information upon which the proposed regulations are based is contained in the rulemaking file which is available for public inspection by contacting the person named below.
You may obtain a copy of the final statement of reasons once it has been prepared, by making a written request to the contact person named below or by accessing the website listed below.
CONTACT PERSON
Any inquiries or comments concerning the proposed rulemaking action may be addressed to:
Name: Linda Kassis
Address: 2005 Evergreen Street, Suite 1400
Sacramento, CA 95815
Telephone No.: (916) 263-0712
Fax No.: (916) 263-2697
E-Mail Address: firstname.lastname@example.org
The backup contact person is:
Name: Jeffrey Thomas
Address: 2005 Evergreen Street, Suite 1400
Sacramento, CA 95815
Telephone No.: (916) 263-1617
Fax No.: (916) 263-2697
E-Mail Address: email@example.com
Website Access: Materials regarding this proposal can be found at: www.psychboard.ca.gov.
Proposed changes are shown by underlining for new text and strikethrough for deleted text.
1. Section 1380.4 is amended to read as follows:
§ 1380.4. Delegation of Functions.
Except for those powers reserved exclusively to the “agency itself” under the Administrative Procedure Act (section 11500 et seq. of the Government Code), the Board delegates and confers upon the executive officer for the Board, or in his or her absence, the assistant executive officer, or in his or her absence, the chairperson president of the Board, or in his or her absence, the vice chairperson president of the Board, all functions necessary to the dispatch of business of the Board in connection with investigative and administrative proceedings under the jurisdiction of the Board, including the authority to order an examination pursuant to section 820 of the Code or section 1381, or to approve a settlement agreement for the revocation, surrender, or interim suspension of a license or registration.
NOTE: Authority cited: Section 2930, Business and Professions Code. Reference: Sections 2928 and 2965, Business and Professions Code; and Sections 11415.60 and 11500, Government Code.
2. The title of Article 7 of Division 13.1 is amended to read as follows:
Article 7. Restoration of Suspended or Revoked Standards Related to Denial, Discipline, and Reinstatement of Licenses or Registrations
3. Section 1397.2 is added to Article 8 of Division 13.1 to read as follows:
§ 1397.2. Other Actions Constituting Unprofessional Conduct.
In addition to the conduct described in Section 2960 of the Code, “unprofessional conduct” also includes but is not limited to the following:
(a) Including or permitting to be included any of the following provisions in an agreement to settle a civil dispute arising from the licensee’s or registrant’s practice to which the licensee or registrant is or expects to be named as a party, whether the agreement is made before or after the filing of an action:
(1) A provision that prohibits another party to the dispute from contacting, cooperating with, or filing a complaint with the Board.
(2) A provision that requires another party to the dispute to attempt to withdraw a complaint the party has filed with the Board.
(b) Failure to provide to the Board, as directed, lawfully requested certified copies of documents within 15 days of receipt of the request or within the time specified in the request, whichever is later, unless the licensee or registrant is unable to provide the certified documents with this time period for good cause, including but not limited to, physical inability to access the records in the time allowed due to illness or travel. This subsection shall not apply to a licensee or registrant who does not have access to, and control over, medical records.
(c) Failure to cooperate and participate in any Board investigation pending against the licensee or registrant. This subsection shall not be construed to deprive a licensee or registrant of any privilege guaranteed by the Fifth Amendment to the Constitution of the United States, or any other constitutional or statutory privilege. This subsection shall not be construed to require a licensee or registrant to cooperate with a request that would require the licensee or registrant to waive any constitutional or statutory privilege or to comply with a request for information or other matters within an unreasonable period of time in light of the time constraints of the licensee’s or registrant’s practice. Any exercise by a licensee or registrant of any constitutional or statutory privilege shall not be used against the licensee or registrant in a regulatory or disciplinary proceeding against the licensee or registrant.
(d) Failure to report to the Board within 30 days any of the following:
(1) The bringing of an indictment or information charging a felony against the licensee or registrant.
(2) The arrest of the licensee or registrant.
(3) The conviction of the licensee or registrant, including any verdict of guilty, or pleas of guilty or no contest, of any felony or misdemeanor.
(4) Any disciplinary action taken by another licensing entity or authority of this state or of another state or an agency of the federal government or the United States military.
NOTE: Authority cited: Section 2930, Business and Professions Code. Reference: Section 2930, Business and Professions Code.
Hearing Date: May 21, 2011
Subject Matter of Proposed Regulations: Delegation of Functions and Unprofessional Conduct
Sections Affected: Title 16, Division 13.1, California Code of Regulation Sections 1380.4, 1397.2, and the title of Article 7
Introduction
During July 2009, a series of articles appeared in the Los Angeles Times newspaper pointing out consumer protection issues and findings of egregious licensee misconduct at a specific healing arts licensing board within the Department of Consumer Affairs (Department). The articles addressed systemic problems with how the board handled complaints, investigations, disciplinary actions, and probation monitoring.
Based on these findings, the Department held a series of meetings to address these findings. The Department also reviewed existing enforcement processes of other Department healing arts boards. The review discovered systematic problems due to legal, procedural, and inadequate resources that limit a board's ability to investigate and act on cases in a timely manner.
The Department worked with the healing arts boards to identify areas that could be improved administratively to better coordinate the Department's enforcement objectives, improve services provided to the boards, and to establish streamlined processes and procedures. The Department recognized the need for all healing arts boards to review their processes and realign consumer protection laws and regulations to ensure that consumer protection is paramount.
In response to this review, the Department launched the Consumer Protection Enforcement Initiative (CPEI) to overhaul the enforcement processes used by healing arts boards within the Department.
Business and Professions Code Section 2920.1 mandates that protection of the public shall be the highest priority of the Board of Psychology in exercising its licensing, regulatory, and disciplinary functions. Whenever the protection of the public is inconsistent with other interests sought to be promoted, the protection of the public shall be paramount.
This regulatory proposal is in response to the Department's request to implement regulations to enhance the Board's mandate of consumer protection.
Specific Purpose of each adoption, amendment, or repeal:
Amend Section 1380.4. Delegation of Functions
This proposal would delegate authority to the Executive Officer to approve settlement agreements for revocation, surrender, or interim suspension of a license or registration.
Factual Basis/Rationale:
Existing law requires that the Board, itself, vote to adopt all stipulated settlement agreements proposed to be entered into by the Board’s Executive Officer. Government Code Section 11415.60(c) provides for delegation of this function.
Under existing law, the Executive Officer has the authority to pursue administrative action against a licensee or registrant who has violated the law. Ultimately it is the Board that votes on all decisions, including proposed decisions rendered by an Administrative law Judge, and stipulated settlements. This proposal would delegate to the Board’s Executive Officer the authority to adopt settlement agreements (stipulated decisions) for revocation, surrender, or interim suspension of a license or registration.
Authorizing the Board’s Executive Officer to approve Stipulated Settlements resulting in revocation, surrender of a license or registration, or interim suspension will allow the Board to focus on more pressing disciplinary matters and will shorten the timeline for Stipulated Surrender cases to take effect, thus adding to consumer protection by allowing the orders to become effective in a more timely manner.
This proposal would also clarify the authority of the Executive Officer to order an applicant for licensure or registration or a licensee or registrant to submit to a physical or mental examination if it appears that the applicant, licensee, or registrant may be unable to safely perform the duties and functions of a psychologist, psychological assistant, or registered psychologist due to physical or mental illness affecting competency.
Factual Basis/Rationale:
Existing law, Section 820 of the Code, authorizes the Board to examine licensees and registrants for mental illness or physical illness affecting competency. Pursuant to Business and Professions Code Section 2906.5, the Board may refuse to issue any license or registration whenever it appears that an applicant may be unable to practice his or her profession safely due to mental illness or chemical dependency.
This proposal would clarify the authority of the Executive Officer to compel an applicant for licensure or registration that has physical or mental health issues to submit to physical or mental examinations to assist the Board in determining an applicant’s fitness for licensure or registration. The proposal would also clarify the authority of the Executive Officer to deny the application if the applicant is unable to
safely practice, based on the review of the evaluation report.
Amend the title of Article 7 of Division 13.1
This proposal would amend the title of Article 7 of Division 13.1 from Restoration of Suspended or Revoked Licenses, to Standards Related to Denial, Discipline, and Reinstatement of Licenses or Registrations.
Factual Basis/Rationale:
California Code of Regulations contained in Article 7 include provisions for probation monitoring, substantial relationship criteria defined, rehabilitation criteria for denials and reinstatements, and rehabilitation criteria for suspensions or revocations. The title is being amended to provide clarification of the subject matter of the regulations contained within Article 7.
Adopt Section 1397.2:
Section 1397.2(a)(1), (2)
This proposal would, in addition to conduct described in Business and Professions Code Section 2960, further define “Unprofessional Conduct” to also prohibit the inclusion of provisions in agreements to settle civil disputes that would forbid another party to the dispute from contacting, cooperating with, or filing a complaint with the Board, or that would require another party to the dispute to attempt to withdraw a complaint the party has filed with the Board, either before or after the filing of an action to which the licensee or registrant is or expects to be named as a party.
Factual Basis/Rationale:
The increasing use of provisions in civil dispute settlements prohibiting the other party from contacting, cooperating with, or filing complaints with the Board, hereafter, an “agreement not to pursue,” denies consumers the right to file complaints and prevents the Board from investigating and disciplining licensees or registrants who present a danger to consumers. These licensees or registrants may continue to practice and harm the public because the Board is not aware of civil dispute settlements. This proposal would prevent licensees or registrants who have violated the law from avoiding disciplinary action against their licenses or registrations.
“Agreements not to pursue” can delay and thwart the Board’s effort to investigate possible cases of misconduct, thereby preventing the Board from protecting the public. These clauses delay action by the Board and tarnish the reputation of competent and reputable licensed and registered health care professionals. By allowing repeat offenders who injure patients to hide their legal acts from the Board further prevents the Board from protecting consumers.
It has been argued that a licensee or registrant should not be subject to review by the Board after a civil settlement has been reached. Protection from license or registration
disciplinary action does not attach to civil proceedings or subsequent administering proceedings. Criminal, civil, and administrative proceedings each serve entirely different legal functions. No ordinary citizen can claim immunity from one proceeding because he or she already underwent the other. It necessarily follows that Board licensees and registrants should not enjoy any exception to the rule of legal process.
Section 1397.2(b)
This proposal would also define as "Unprofessional Conduct" failure to provide the Board with lawfully requested copies of documents within 15 days of receipt of the request or within the time specified in the request, whichever occurs later unless the licensee or registrant is unable to comply for good cause. "Good cause" is specified to include physical inability to access the requested records in the time allowed due to an illness or travel.
Factual Basis/Rationale
Failure of a licensee or registrant to provide lawfully requested documents delays the Board's investigation of consumer complaints. The obtaining and inspection of documents is crucial in investigating consumer complaints and taking appropriate action against a licensee or registrant who may cause patient harm.
Patient records can only be obtained under two circumstances: 1) the patient has given written authorization for release of the records to the Board; and 2) pursuant to a subpoena. Under both circumstances penalties would apply if the records are not supplied by those who have both possession and control over the records.
Existing law, California Business and Professions Code (Code) Section 2969(a)(1), specifies that a licensee who fails or refuses to comply with the Board's request for records, within 15 days of receiving the request, is required to pay a civil penalty to the Board of $1000 per day for each day the records are not produced, up to a maximum of $5,000. Existing law, Section 2960 of the Code, specifies that any licensee or registrant may have their license or registration revoked, suspended, reprimanded, or placed on probation by the Board for unprofessional conduct, incompetence, gross negligence, or repeated acts of negligence in their profession. Section 2969(d) of the Code, specifies that failure to comply with a court order issued in the enforcement of a subpoena mandating the release of records to the Board constitutes unprofessional conduct and is grounds for suspension or revocation, however there is no similar language for failure to comply with a request for records that is accompanied by the patients written authorization for the release of records to the Board.
A licensee or registrant who does not provide requested information, or who does not cooperate with the Board, can create a significant delay in an investigation and can endanger patient safety. The proposed regulation identifies the failure of a licensee or registrant to provide requested records as an act of unprofessional conduct, and ultimately authorizes the Board to take disciplinary action against a licensee or registrant who fails to provide records upon request accompanied by written
authorization. This will enable the Board to more quickly investigate the underlying allegations and offenses and act accordingly to provide better consumer protection. If a licensee or registrant is able to demonstrate "good cause" for being unable to comply with a records request, they may contact the Board and may be granted an extension of time to return the records depending on the circumstances.
1397.2(c)
Also defined as "Unprofessional Conduct" is the failure to cooperate and participate in any Board investigation pending against a licensee or registrant.
Factual Basis/Rationale:
Again, failure of the licensee or registrant to cooperate with the Board in an investigation further erodes the Board's mandate of consumer protection. This proposal would not, however, deprive a licensee or registrant of any privilege guaranteed by the Fifth Amendment to the Constitution or other constitutional or statutory privileges. Additionally, this proposal would not require the licensee or registrant to cooperate with a request that would require them to waive any constitutional or statutory privilege.
1397.2(d)
This proposal would further define as "Unprofessional Conduct" the failure of a licensee or registrant to report to the Board within 30 days the bringing of an indictment or information charging a felony, an arrest, conviction of a crime; any disciplinary action taken against another licensing entity; or failure or refusal to comply with a court order issued in the enforcement of a subpoena mandating the release of records to the Board.
As part of the licensing process, all applicants for licensure as a psychologist or registration as a psychologist or psychological assistant are fingerprinted for purposes of conducting criminal history background checks through the California Department of Justice (DOJ) and Federal Bureau of Investigation (FBI). In most cases, the Board receives subsequent arrest notifications for licensees or registrants convicted of crimes. The Board, however, may not always be made aware of convictions or other actions. Additionally, other agencies may not be required to report actions or not be aware that the individual has a psychologist license, psychological assistant registration, or is a registered psychologist in California.
Factual Basis/Rationale:
By requiring licensees and registrants to report this information, the Board gains an additional enforcement tool so that a determination may be made to pursue disciplinary action against the licensee or registrant, as appropriate.
Underlying Data
1. Department of Consumer Affairs, Consumer Protection Enforcement Initiative,
Updated 1/21/10. <http://www.dca.ca.gov/about_dca/cpei/index.shtml>, under read about the initiative here.
2. Department of Consumer Affairs, SB 1111 (4/12/2010 version) Proposed Changes through Regulations
**Business Impact**
This regulation will not have a significant adverse economic impact on businesses because it only impacts psychologist licensees, registered psychologists, and psychological assistant registrations.
**Specific Technologies or Equipment**
This regulation does not mandate the use of specific technologies or equipment.
**Consideration of Alternatives**
No reasonable alternative to the regulation would be either more effective in carrying out the purpose for which the action is proposed or would be as effective and less burdensome to affected private persons than the proposed regulation.
Set forth below are the alternatives which were considered and the reasons each alternative was rejected:
1. Not adopt the regulations. This alternative was rejected because the Board has identified areas of concern regarding enhanced protection of consumers.
2. Adopt regulations. The Board determined that this alternative is the most feasible because it will assist the Board in its mandate of consumer protection. |
Live with Allah
17th March 2020
وَالَّذِينَ عُطِّلَتْ غَرَقًا
By those [angels] who extract with violence
وَالَّذِينَ شَطَبَ نَشَاطًا
And [by] those who remove with ease
وَالَّذِينَ سَبَحَتْ سَبَحًا
And [by] those who glide [as if] swimming
فَالَّذِينَ سَبَقَ
And those who race each other in a race
فَالَّذِينَ أَمَرَ
And those who arrange [each] matter,
On the Day the blast [of the Horn] will convulse [creation],
There will follow it the subsequent [one].
Hearts, that Day, will tremble,
Their eyes humbled.
They will say: "We were not among those who believed."
They are [presently] saying, "Will we indeed be returned to [our] former state [of life]?
Even if we should be decayed bones?
They say, "That, then, would be a losing return."
Indeed, it will be but one shout,
And suddenly they will be [alert] upon the earth's surface.
هلْ أَنَاكَ حَدِيثُ مُوسَى
When his Lord called to him in the sacred valley of Tuwa,
"Go to Pharaoh. Indeed, he has transgressed.
And say to him, 'Would you [be willing to] purify yourself
And let me guide you to your Lord so you would fear [Him]?"
And he showed him the greatest sign,
But Pharaoh denied and disobeyed.
Then he turned his back, striving.
And he gathered [his people] and called out
And said, "I am your most exalted lord."
So Allah seized him in exemplary punishment for the last and the first [transgression].
Indeed in that is a warning for whoever would fear [Allah].
Are you a more difficult creation or is the heaven? Allah constructed it.
And He darkened its night and extracted its brightness.
And after that He spread the earth.
And from them We have produced springs, out of which they drink, and out of which We have produced gardens of date-palms and crops, of both kinds. A share of them We give to them, and a share of them We make as booty for those who fight in the way of Allah. And We have made some of them above others in rank, that Allah may test them by means of that which He has given them. And verily, Allah is All-Hearer, All-Knower.
He extracted from it its water and its pasture,
And the mountains He set firmly
As provision for you and your grazing livestock.
But when there comes the greatest Overwhelming Calamity -
The Day when man will remember that for which he strove,
And Hellfire will be exposed for [all] those who see -
So as for he who transgressed
And preferred the life of the world,
Then indeed, Hellfire will be [his] refuge.
But as for he who feared the position of his Lord and prevented the soul from [unlawful] inclination,
Then indeed, Paradise will be [his] refuge.
They ask you, [O Muhammad], about the Hour: when is its arrival?
In what [position] are you that you should mention it?
To your Lord is its finality.
You are only a warner for those who fear it.
It will be, on the Day they see it, as though they had not remained [in the world] except for an afternoon or a morning thereof.
We need to say that My Lord I lived my life with Allah and I believe in Him alone. The pillars of faith is six and Allah makes us to live with Allah’s name Al Momin and He makes you believe that He exists. Allah gives honor to whom He wills and He takes honor away from whoever He wills. Allah is Rabb and He is the One who
makes people remember that He exists. Allah sent this virus and people forgot all their plans and everything stopped and Allah made us realize that only this is the reality and now your only concern in health that shows how meaningless is everything else. People are living with minimum. Allah empty the lives of people with all unnecessary things to enjoy the real things. Its removing all unnecessary gathering and live simple things. People are now enjoying the basic things. People are more thankful for what they have. Allah make the people do the little things and Allah wants people to do things with little things and blessings. Actually we are living with this Name Al Momin. This shows that you can live with basic and focus on what you have and you can live with the minimum and basic. People are forgetting the sense of time and what day it is and they are just waiting for relief. This is a protection from Allah Al Momin and a relief. This life is just like people from before who were freely doing what they wanted. This is for coolness of their eyes.
This has given people flexibility of doing work whenever they want. People have stress free care free life without any worry. We used to think that we need so many things that we don’t need anymore and we are doing very well without everything. In paradise everything goes in the best system and living with Allah make you see that you look at this situation in a positive way. You feel suffocated as everything is closed and stopped. Allah made everything easy. Even closing the masjid is big blessing. Allah will not make anything happen except with His permission. There is big wisdom behind everything. After everything opens and masajid opens we will appreciate this opportunity. One masjid close in an area and so many masajid open as everyone is trying to pray jamaah is becoming masjid. This should be taken positively and people have time to bond with their family members. We never expected people to unite in this way. Instead only one person praying everyone is praying together. This is a beautiful opening. How Allah made this easy for all of us. The more good we see we can see more openings in this situations. We are now exploring the new parts in our homes and we appreciate everything in our home. We have stopped taking children to school or for anything else. Your connection with Allah can be improved with this situation. We are like living in Ramadan before Ramadan coming. The feeling of Ramadan is very different and now we have same feeling. How Allah gave the feelings even if you are eating and not making taraveeh prayer. In Ramadan your faith is very spiritually connected. After Ramadan you want to keep this feeling. Ramadan is very different. When
Allah restricts humanity it is for a reason. This virus is for the whole world just like Ramadan. This feeling is really from Allah and this is something you cannot imagine and do it. You feel like its really Ramadan. The ayah after ramadan is;
وَإِذَا سَأَلَكَ عِبَادِي عَنِّي فَإِنِّي قَرِيبٌ أُجِيبُ دَعْوَةَ الدَّاعِ إِذَا دَعَانِ فَلَيَسْتَجِبُوا لِي وَأُؤْمِنُوا بِآَلَهَمْ يَرْشُدُونَ
SAHIH INTERNATIONAL
And when My servants ask you, [O Muhammad], concerning Me - indeed I am near. I respond to the invocation of the supplicant when he calls upon Me. So let them respond to Me [by obedience] and believe in Me that they may be [rightly] guided.
This is feeling of nearness to Allah. We feel nearness to Allah when we are restricted in life like in ramdan we are restricted from food. Now we are restricted in so many ways and we are connecting to Allah. Everybody is restricted and feeling the same. Everybody is waiting for Aftaar in Ramadan and now people are waiting for relief from this virus. Allah can draw us near Him with His laws. When everything is available you forget but when you are restricted then you remember Him and this is the law of Allah that He draws us near Him. This is the law in Ramadan. The restriction and relief comes in aleration and this is how it happens. Not only in Ramadan but the feeling of nearness to Allah is a pleasure by itself. We apply the rule of Ramadan now in this life.
Now what we are facing is a hidden blessing, things that we never think are a blessing. The truth becomes very visible and this makes you so near and close. You feel more close and you become purified from all unnecessary things. We feel nearness of Allah. Families are united and close to each other. Now all of us came back to Allah. we all came back to Allah with removing all the distractions around us. We need to go to Allah when we are alive and with feelings of nearness and closeness. Allah loves us and Allah took care of everything. Only Allah is capable of closing everything at the same time. There were so many distrarctions. Now we see this ayah through different angels. Why this happened around us? Because Allah loves you and Allah wants you to go to Him. Allah wants us to believe in the Day of judgement and Allah makes you to see the different glimpse of the day of judgement and how people are eliminated and you will see people getting saved. Now you will see different groups of people. You will see only believers to be with each other. This crisis is a big blessing and you can see all parts of the Day of
Judgement. There will be no activity on the Day of Judgement. People who never prayed also want to pray in masjid now.
Say, "O Allah, Creator of the heavens and the earth, Knower of the unseen and the witnessed, You will judge between your servants concerning that over which they used to differ."
And if those who did wrong had all that is in the earth entirely and the like of it with it, they would [attempt to] ransom themselves thereby from the worst of the punishment on the Day of Resurrection. And there will appear to them from Allah that which they had not taken into account.
And there will appear to them the evils they had earned, and they will be enveloped by what they used to ridicule.
And when adversity touches man, he calls upon Us; then when We bestow on him a favor from Us, he says, "I have only been given it because of [my] knowledge." Rather, it is a trial, but most of them do not know.
Those before them had already said it, but they were not availed by what they used to earn.
And the evil consequences of what they earned struck them. And those who have wronged of these [people] will be afflicted by the evil consequences of what they earned; and they will not cause failure.
Do they not know that Allah extends provision for whom He wills and restricts [it]? Indeed in that are signs for a people who believe.
Say, "O My servants who have transgressed against themselves [by sinning], do not despair of the mercy of Allah . Indeed, Allah forgives all sins. Indeed, it is He who is the Forgiving, the Merciful."
And return [in repentance] to your Lord and submit to Him before the punishment comes upon you; then you will not be helped.
And follow the best of what was revealed to you from your Lord before the punishment comes upon you suddenly while you do not perceive,
Lest a soul should say, "Oh [how great is] my regret over what I neglected in regard to Allah and that I was among the mockers."
Or [lest] it say, "If only Allah had guided me, I would have been among the righteous."
Or [lest] it say when it sees the punishment, "If only I had another turn so I could be among the doers of good."
But yes, there had come to you My verses, but you denied them and were arrogant, and you were among the disbelievers.
And on the Day of Resurrection you will see those who lied about Allah [with] their faces blackened. Is there not in Hell a residence for the arrogant?
And Allah will save those who feared Him by their attainment; no evil will touch them, nor will they grieve.
Allah is the Creator of all things, and He is, over all things, Disposer of affairs.
To Him belong the keys of the heavens and the earth. And they who disbelieve in the verses of Allah - it is those who are the losers.
Say, [O Muhammad], "Is it other than Allah that you order me to worship, O ignorant ones?"
And it was already revealed to you and to those before you that if you should associate [anything] with Allah, your work would surely become worthless, and you would surely be among the losers."
Rather, worship [only] Allah and be among the grateful.
They have not appraised Allah with true appraisal, while the earth entirely will be [within] His grip on the Day of Resurrection, and the heavens will be folded in His right hand. Exalted is He and high above what they associate with Him.
And the Horn will be blown, and whoever is in the heavens and whoever is on the earth will fall dead except whom Allah wills. Then it will be blown again, and at once they will be standing, looking on.
And the earth will shine with the light of its Lord, and the record [of deeds] will be placed, and the prophets and the witnesses will be brought, and it will be judged between them in truth, and they will not be wronged.
And every soul will be fully compensated [for] what it did; and He is most knowing of what they do.
And those who disbelieved will be driven to Hell in groups until, when they reach it, its gates are opened and its keepers will say, "Did there not come to you messengers from yourselves, reciting to you the verses of your Lord and warning you of the meeting of this Day of yours?" They will say, "Yes, but the word of punishment has come into effect upon the disbelievers.
[To them] it will be said, "Enter the gates of Hell to abide eternally therein, and wretched is the residence of the arrogant."
But those who feared their Lord will be driven to Paradise in groups until, when they reach it while its gates have been opened and its keepers say, "Peace be upon you; you have become pure; so enter it to abide eternally therein," [they will enter].
And they will say, "Praise to Allah, who has fulfilled for us His promise and made us inherit the earth [so] we may settle in Paradise wherever we will. And excellent is the reward of [righteous] workers."
And you will see the angels surrounding the Throne, exalting [Allah] with praise of their Lord. And it will be judged between them in truth, and it will be said, "[All] praise to Allah, Lord of the worlds."
Allah is Al Momin and He is confirming your thoughts, decree and everything else. What should be extracted from this is that Alhamdullilah. When you believe in Allah then you should say Alhamdullilah. When you see the journey till the end then you see that people of paradise will say Alhamdullilah. Allah Al Momin promised you and He confirming His promise to you. Allah's confirmation is mentioned in Quran. Now what you face is mini Day of Judgement. There is only people and there is nothing else that is important and true colors of everyone will come out and also there is no sun or moon or sky and there will be a wide land with people this is all specialty of day of judgment and you can clearly see all Names of Allah. a believer
will feel I knew this will happen. Disbelievers will feel regret and shame and hypocrite will be sad and say what did I do to myself. You will clearly see who is Allah. The sky is still there but the earth is barren now. Reality of people is coming out. The disbeliever will see wrath of Allah and the believer will see goodness of Allah.
In this situation also the people will see accordingly. If you are a believer you will see greatness and majesty in this situation. You will see the good side with mercy and love of Allah. The disbeliever will see sadness and the negative aspects. We need to focus on the good and say Alhamdullilah like the believers. Now is the time to believe by living with Allah through the crisis. In these ayah we recited we know that there is people’s action and what people will wish and regret and hope.
Allah is the originator and Creator and He is the knower and He will judge between people and He is the One who restricts and withhold and He is the One who gives. There are people who appreciate this life and then there are people who are ready to give everything to save themselves from this disease. On the day of judgment people in hell fire will be ready to give everything that they have to be saved. We are afraid of the panic and fear. More than this number people are getting attacked by other virus than this virus that is the virus of terror. People are terrified. Who will protect you from this virus? One is the virus which affects physically and other is fear that affects the heart of the people. Now we need to believe to feel secure and safe. Humans when anything bad happens to them they run to Allah. When people are saved then they forget to attach to Allah and immediately they associate any goodness that came to their knowledge and that we did this and we saved from our knowledge. We need to prepare now that when we recover from this how will we react to the situation. Will we associate the relief to Allah or to our knowledge. Allah will confirm after Allah gave us the things we forget Him.
A momin will believe in Allah and then he will feel safe and secure till he enters Jannah. One day this virus will end and everything will open and schools will open and you will be able to enjoy so how will we react. We need to remember Allah
that’s why Allah said that you don’t want to loose this opportunity and Allah gave all glimpse in Quran. This is Allah Al Momin. I need to feel humiliated and feel very humble about this situation. The one who transgress in sins they must not despair from the mercy of Allah. We need to have faith that Day of Judgment will come and you need to trust Him. Now if I don’t connect to Allah then I am losing. People who never prayed want to pray in masjid. People who didn’t do umrah wants to go for Umrah. This is how we will regret on the day of Judgment. We will have these regrets that why I didn’t take these opportunities in this life. Don’t say I wish I did this or that rather be the one who will come forward and do all the good deeds.
In order to avoid regret on the day of Judgment we need to take action now. When the government makes rules to avoid gathering and masajid then its all good for us and if we don’t follow these instructions then these people are arrogant and they will be doomed. This is the same on the day of judgement that people who are arrogant will be in hell fire. But people who take precaution will be saved like the people of Jannah who were careful in this life and they succeed on the day of judgment.
The main precaution for the Muslim is that they need to worship Allah alone and they need to save themselves from shirk and then be with people who fear Allah. In Islam Allah already told us that wash hands and then your circle should be limited and don’t let anyone come to your house and that to stay home and be happy with what you have. Now what people are doing is real islam. We were instructed to meet family and now that is what people are doing. That’s why Allah said that people underestimated the power of Allah. now Allah is making everyone follow His commands by force when people didn’t do it willingly. That’s why as believers we need to submit to Allah’s commands willingly.
Allah has grasped the whole world now and Allah is going to grasp this world on the DOJ. So many countries are being locked down. We need to remember DOJ that one blow of trumpet and everything will be shut. This is the best time to reflect as we are free from all distractions. |
MICROFILM DIVIDER
OMB/RECORDS MANAGEMENT DIVISION
SFN 2053 (2/85) 5M
ROLL NUMBER
DESCRIPTION
2304
2001 SENATE INDUSTRY, BUSINESS AND LABOR
SB 2304
Minutes:
The meeting was called to order. All committee members present. Hearing was opened on SB 2304 relating to unemployment compensation benefit amounts and maximum potential benefits.
SENATOR JOEL HEITKAMP, District 27, main sponsor. This bill will benefit those workers whose irregular earning patterns leave them without benefits. Under this bill they would qualify. Example: construction workers, they have no control over the weather and get laid off.
MIKE DEISZ, ND Building and Construction Trades Council, in support. Reviewed eligibility determination and how the proposed changes would work. Written testimony attached.
VIRGIL HORST, business agent for the Operating Engineers, in support. Seasonal workers get penalized under current law due to their working excessive hours in uneven quarters, this bill will correct that. Written testimony attached.
REPRESENTATIVE ANDREW MARAGOS, District 3, in favor.
DAVID KEMNITZ, NDAFL-CIO, in favor.
SENATOR MUTCH: How many employees would be affected?
D KEMNITZ: Between 137 and 170.
SENATOR MUTCH: And this would create over a million dollar hit on employers.
SANDIE FERDERER, unemployed construction worker in favor of this legislation. This bill will help employees stay in the state.
RAY GUDAJTES, JSND, neutral, to explain fiscal note. We do not have a true picture because many people do not apply because they know they are not eligible.
SENATOR KLEIN: Would adding individuals lower the reserve and raise premiums for the employers?
R GUDAJTES: Initially no, eventually yes, it will be additional cost to the fund. Employers pay up to a percentile on taxable wage base, anything beyond that is spread out to employers as part of insurance.
SENATOR MUTCH: What percentage would be spread out to employers?
R GUDAJTES: Depends on how much was drawn out by the employer.
SENATOR KLEIN: Did you study what other states have done?
R GUDAJTES: No, there are variations in eligibility criteria and structure among different states.
Hearing concluded.
Committee reconvened. Tape 3-A- 1.5 to 13.8
All committee members, except SENATOR KLEIN, present. Discussion held.
SENATOR KREBSBACH: Motion: send out of committee without recommendation.
SENATOR ESPEGARD: Seconded. Roll call vote: 6 yes; 1 absent not voting. Motion carried.
Floor assignment: SENATOR MUTCH.
1A. State fiscal effect: Identify the state fiscal effect and the fiscal effect on agency appropriations compared to funding levels and appropriations anticipated under current law.
| | 1999-2001 Biennium | 2001-2003 Biennium | 2003-2005 Biennium |
|----------------------|--------------------|--------------------|--------------------|
| | General Fund | Other Funds | General Fund | Other Funds | General Fund | Other Funds |
| Revenues | $0 | $0 | $0 | $0 | $0 | $0 |
| Expenditures | $0 | $0 | $0 | $0 | $0 | $0 |
| Appropriations | $0 | $0 | $0 | $0 | $0 | $0 |
1B. County, city, and school district fiscal effect: Identify the fiscal effect on the appropriate political subdivision.
| | 1999-2001 Biennium | 2001-2003 Biennium | 2003-2005 Biennium |
|----------------------|--------------------|--------------------|--------------------|
| Counties | $0 | $0 | $0 |
| Cities | $0 | $3,100 | $3,100 |
| School Districts | $0 | $11,500 | $12,800 |
2. Narrative: Identify the aspects of the measure which cause fiscal impact and include any comments relevant to your analysis.
The bill will reduce the monetary requirements to qualify for unemployment insurance benefits. Consequently, more individuals will now be eligible for benefits. Current claimant monetary determination is based on the individual's base period wage ratio (total base period wages/highest quarter wages), of 1.50 or more. This bill changes the qualifying base period wage ratio to 1.0. This will increase the amount of benefits that will be paid from the Unemployment Insurance Trust Fund.
We estimate the increased benefits for the 2001-03 biennium to be $1,077,000 and $1,200,000 for the 2003-05 biennium. This estimate only reflects what can be determined from the data we have in our system. Therefore, we expect the full impact of the change to be greater, however, we cannot determine that amount. Our system only has records for those individuals that had completed an application for unemployment insurance. In many cases, when an individual is made aware that they are not monetarily eligible, they choose not to complete the application or in other cases, individuals are familiar with the program requirements and do not attempt to apply.
The projected additional cost to state entities is $14,600 for the 2001-2003 biennium and $16,300 for the 2003-2005 biennium. Unemployment insurance records do not differentiate an account's ownership as city or county, they are grouped together as "local government". Consequently, the additional costs can only be projected for "local government". The amounts for City and County in Section 1B are an even split of the projected increase for "local government".
3. State fiscal effect detail: For information shown under state fiscal effect in 1A, please:
A. Revenues: Explain the revenue amounts. Provide detail, when appropriate, for each revenue type and fund affected and any amounts included in the executive budget.
B. Expenditures: Explain the expenditure amounts. Provide detail, when appropriate, for each agency, line item, and fund affected and the number of FTE positions affected.
C. Appropriations: Explain the appropriation amounts. Provide detail, when appropriate, of the effect on the biennial appropriation for each agency and fund affected and any amounts included in the executive budget. Indicate the relationship between the amounts shown for expenditures and appropriations.
| Name: | Wayne Kindem |
|-------------|-----------------------|
| Phone Number: | 328-3033 |
| Agency: | Job Service North Dakota |
| Date Prepared: | 01/31/2001 |
Date: Feb 07/01
Roll Call Vote #: 1
2001 SENATE STANDING COMMITTEE ROLL CALL VOTES
BILL/RESOLUTION NO. 2304
Senate Industry, Business and Labor Committee
Subcommittees on ____________________________
or
Conference Committee
Legislative Council Amendment Number _______________________
Action Taken: Taken out of committee without recomm.
Motion Made By Sen Krebsbach Seconded By Sen Espegard
| Senators | Yes | No |
|------------------------|-----|----|
| Senator Mutch - Chairman | ✓ | |
| Senator Klein - Vice Chairman | A | |
| Senator Espegard | ✓ | |
| Senator Krebsbach | ✓ | |
| Senator Tollefson | ✓ | |
| Senators | Yes | No |
|------------------------|-----|----|
| Senator Every | ✓ | |
| Senator Mathern | ✓ | |
Total (Yes) 6 No 0
Absent 7
Floor Assignment Senator Mutch
If the vote is on an amendment, briefly indicate intent:
REPORT OF STANDING COMMITTEE
SB 2304: Industry, Business and Labor Committee (Sen. Mutch, Chairman) recommends BE PLACED ON THE CALENDAR WITHOUT RECOMMENDATION (6 YEAS, 0 NAYS, 1 ABSENT AND NOT VOTING). SB 2304 was placed on the Eleventh order on the calendar.
2001 TESTIMONY
SB 2304
Mr. Chairman, members of the committee. My name is Mike Delsz, I am here to testify on behalf of the North Dakota Building and Construction Trades Council in support of Senate Bill 2304.
Senate Bill 2304 proposes an amendment to Section 52-02-04 subsection 2 and Section 52-06-05. That amendment provides an opportunity for individuals whose total base period wages are less than one and one-half times their high quarter earnings to qualify for 12 weeks of benefits if their base period earnings were at least 20 times the average weekly wage in the state.
Senate Bill 2304 will help people who earn most of their wages during a relatively short period of time, such as in highway construction. The season in industries like highway construction is determined by the weather. People in the industry are required to work long hours when weather permits.
I am going to review with you how eligibility is determined and how the changes proposed in Senate Bill 2304 would work.
(See attachment #1) We assumed the people in our examples would work about two weeks in the April to June quarters, earning $13 per hour for 60 hours of pay per week, or $1560 during that quarter. We also assumed these people would be paid for an average of 73 hours per week during the July to September quarters for a total of $12,237 for that quarter. We then assumed the people would again work 2 weeks at $13 per hour during the October to December quarter for a total of $1560 with no employment during the January March quarter. The first two examples are for claims filed on October 15th.
Example #1 - A person who has been in the industry for a number of years
Example #2 - A person who started working in the industry in 2000
Example #3 - The same person in example #2 and what would happen if that person's claim was refilled in January
With the 1.5 times high quarter earnings requirement, benefits for people who become unemployed in October or November are often delayed until new quarters start in January or April (Sometimes they never qualify). This leaves these people without income when they need it most - the holiday season and the months when heating bills are highest.
Attachment #2 lists the 31 states that provide the ability for unemployed people to qualify for Job Insurance benefits without meeting the 1.5 times the high quarter requirement.
The 1.5 times high quarter earnings requirement is one more barrier for workers. Highway and other heavy construction projects require people who are skilled, willing to work long hours, usually out of town and during short seasons. The work has to get done. Contractors will continue to find it increasingly difficult to find qualified people.
In North Dakota, we continue to experience out-migration of our workforce. It is easy to understand why people, especially younger workers, would consider locating to Minnesota where they would qualify for a higher weekly benefit amount and only have to earn $250 outside their high quarter to qualify for benefits.
Unemployment is a fact of life in heavy construction. The pool of people who can and will do this work is shrinking. People who cannot make a living from the combination of wages earned in heavy construction, other off-season work and Job Insurance benefits have two choices - They can leave the industry or leave the state.
Senate Bill 2304 has a Fiscal Note which shows an estimated cost to the Job Insurance Trust Fund of $1.077 million during the next biennium. We do not know how many people who were included in this estimate filed a claim in October, for example, were found ineligible and then came back in January or April, qualified and then drew their benefits. People who simply become eligible earlier with the 20 weeks earning requirement would not be an increased cost but would only mean moving the cost forward one or two quarters.
We do know that on an individual basis Senate Bill 2304 will have a major impact for workers in heavy construction who want to continue living and working in our state. We urge your favorable consideration of this bill.
Mr. Chairman, thank you for the opportunity to appear before your committee. I am available to answer any questions.
Determining Weeks of Benefit Eligibility
Benefit eligibility is based on earnings during the first 4 of the last 5 completed calendar quarters. Examples are for a Job Insurance claim filed October 15, 2000.
| Current quarter | Lag Quarter | First four of the last five completed calendar quarters | Base period earnings |
|-----------------|-------------|--------------------------------------------------------|----------------------|
| Oct-Dec 2000 | Jul-Sep 2000 | Apr-Jun 2000 Jan-Mar 2000 Oct-Dec 1999 Jul-Sep 1999 | |
Example #1
Base Period Earnings = $15,457
= 12,337
Weeks of Eligibility = \frac{\text{Base Period Earnings}}{\text{High Quarter Earnings}}
= \frac{15,457}{12,337}
= 1.25
Not eligible - Not 1.5 times
Weekly Benefit Amount = \frac{\text{High 2 1/2 Quarters}}{65}
= \frac{14,677}{65}
= $226
Example #2
Base Period Earnings = $1560
High Quarter Earnings = $1560
Weeks of Eligibility = \frac{\text{Base Period Earnings}}{\text{High Quarter Earnings}}
= \frac{1560}{1560}
= 1.0 = Weeks
Not eligible - Not 1.5 times
Average Weekly Wage = $451 x 20 = $9020*
Example #3
Base Period Earnings = $13,897
High Quarter Earnings = $12,337
Weeks of Eligibility = \frac{\text{Base Period Earnings}}{\text{High Quarter Earnings}}
= \frac{13,897}{12,337}
= 1.13
Must be at least 1.5 times
Weekly Benefit Amount = \frac{\text{High 2 1/2 Quarters}}{65}
= \frac{13,897}{65}
= $214
* Eligible for 12 Weeks
* Not eligible
Comparison of States whose minimum qualifying requirement is less than 1.5 times the high quarter earnings during the base period
1. Alaska: $1,000 with wages in 2 quarters
2. Arizona: *Wages in 2 quarters and either 1.5 times high quarter wages or high quarter wages sufficient to qualify for maximum Weekly Benefit Amount
3. Arkansas: Wages in 2 quarters and Base Period earnings of 27 times the claimant's weekly benefit amount
4. California: $1300 in high quarter or $900 in high quarter and 1.25 times high quarter earnings in the Base period
5. Colorado: *40 times the claimant's weekly benefit amount
6. Connecticut: *40 times the claimant's weekly benefit amount
7. Delaware: 36 times the claimant's weekly benefit amount
8. Hawaii: 26 times the claimant's weekly benefit amount
9. Idaho: 1.25 times the high quarter with wages in 2 quarters
10. Illinois: $1600 with $440 in a quarter outside the high quarter
11. Indiana: 1.25 times the high quarter with $1650 in last 2 quarters and $2750 in base period wages
12. Iowa: 1.25 times high quarter wages and the individual's wages in the high quarter must be at least 3.5% and 1.75% respectively of the state's average annual wage
13. Kansas: 30 times the claimant's weekly benefit amount with wages in 2 quarters
14. Maine: 2 times Annual Average Weekly Wage in each of the last 2 quarters and base period earnings of 6 times the Average Weekly Wage
Comparison of States whose minimum qualifying requirement is less than 1.5 times the high quarter earnings during the base period
15. Massachusetts: ___30 times the claimant's weekly benefit amount
16. Minnesota: _______Base period wages in 2 or more quarters and $250 in the second highest quarter
17. Mississippi: _____*40 times WBA with wages in 2 quarters and high quarter wages equal to 26 times the minimum weekly benefit amount
18. Nebraska: _______$1600 with $800 in each of 2 quarters
19. Nevada: _________1.5 times high quarter wages or wages in at least 3 of 4 base period quarters
20. New Hampshire: __$2800 with $1400 in each of 2 quarters
21. New Mexico: _____Earnings in at least 2 quarters with at least the minimum qualifying wage in the high quarter
22. North Carolina: ___6 times the State Average Weekly Wage and paid wages in at least 2 quarters of the Base Period
23. Rhode Island: ____1.5 times High Quarter wages or $6,780 in the Base Period
24. Texas: ____________37 times the weekly benefit amount and wages in 2 quarters
25. Vermont: ________$1435 in a quarter and additional Base Period Wages of at least 40 percent (1.4 times) of high quarter wages
26. West Virginia: ___$2,200 with wages in 2 quarters
27. Wisconsin: _________30 times the weekly benefit amount with wages of 4 times the weekly benefit amount outside the high quarter
28. Wyoming: _________1.4 times high quarter wages - 8 percent of State Average Weekly Wage in Base Period rounded to the lower $50
* In four of these states, only those qualifying for the maximum weekly benefit amount escape the 1.5 times high quarter qualifying requirement.
Comparison of States whose minimum qualifying requirement is less than 1.5 times the high quarter earnings during the base period
(New York, *North Carolina, Ohio, *Rhode Island, Washington, *Wisconsin: Individuals who fail to qualify using the first four of the last five completed quarters may qualify on wages paid during the last four completed quarters. *Massachusetts uses the last four completed quarters for all claims. New Jersey and *Vermont provide two options for individuals who do not qualify using the first four of the last five completed calendar quarters: The claimant may use the last four completed quarters or use the last three quarters plus any wages paid during the quarter in which the claim is filed-- *Indicates states that also provide other relief from the 1.5 times high quarter earnings requirement.)
A total of 31 of the 50 states provide some relief from the 1.5 times high quarter qualifying requirement.
To: Chairman Mutch
Members of the Industry, Business and Labor Committee
Subject: SB 2304 - Unemployment Compensation
My name is Virgil Horst. I am a business agent for the Operating Engineers. On behalf of the employees in the construction industry, I would ask for your support of SB 2304.
The majority of our workers are seasonal employees of construction companies that employ residents of North Dakota. Unemployment was basically a tool put in place to keep the seasonal worker in the labor force. In states like North Dakota where we experience harsh weather conditions our contractors who build, or repair roads, water line projects, dikes, and dams are forced to complete the work as quickly as possible before the ground freezes. These conditions often require the labor force to work beyond the normal 40-hour week. It is these particular seasonal workers that are often penalized by not qualifying for unemployment benefits due to excessive hours they work. We know January, February, March, and most often April produce no work for the seasonal worker. Often with rainy, wet springs or late load restrictions some work is delayed until May or June. In July, August, and September the average seasonal worker puts in 60-80 hours per week. Weather permitting October and November seasonal workers may work as many as 80-100 hours per week so contractors can complete projects and meet deadlines. Usually in late November and December Mother Nature sets in. This creates a problem for two individuals earning the same annual income. One may not even qualify for unemployment benefits and it may affect the number of weeks he receives because of working excessive hours in uneven quarters. Why is this individual who worked in uneven quarters penalized through no fault of his own because his total annual earnings are less than one and one half times his high quarters due to the fact he worked a lot of overtime.
In closing it gets more difficult each year to keep people in our industry or even our state due to the way of life we live with hardly any income during the winter months. In the summer months we have the added burden of accumulating expenses while working away from home. It is for these reasons we are losing our work force. Good economic development helps keep our work force here in North Dakota. I ask for your support on the passage of SB 2304.
Thank you.
OUT OF TOWN EXPENSES
MOTELS: $20-$35 PER NIGHT
$20.00 x 6 = $120.00 PER WEEK X 4 = $480.00 PER MONTH
MEALS: $5.00 = BREAKFAST
$6.00 = LUNCH
10.00 = SUPPER
21.00 PER DAY FOOD EXPENSES X 6 =
$126.00 x 4 = $504.00 PER MONTH
ROOM AND BOARD TOTAL $984.00 PER MONTH
GAS: 32.5 CENTS PER MILE
(AS IRS CALCULATION) |
FOREST TENURE PATHWAYS TO GENDER EQUALITY
A PRACTITIONER’S GUIDE
NAYNA J JHAVERI
EDITORS
ILIANA MONTERROSO & ANNE M LARSON
CIFOR
CGIAR
RESEARCH PROGRAM ON Forests, Trees and Agroforestry
CGIAR
RESEARCH PROGRAM ON Policies, Institutions, and Markets
Led by IFPRI
FOREST TENURE PATHWAYS TO GENDER EQUALITY
A PRACTITIONER’S GUIDE
NAYNA J JHAVERI
EDITORS
ILIANA MONTERROSO & ANNE M LARSON
Center for International Forestry Research (CIFOR)
© 2020 by the Center for International Forestry Research.
All rights reserved.
Content in this publication is licensed under a Creative Commons Attribution 4.0 International (CC BY 4.0), http://creativecommons.org/licenses/by/4.0/
ISBN 978-602-387-150-6
DOI: 10.17528/cifor/007909
Jhaveri NJ. 2020. *Forest tenure pathways to gender equality: A practitioner’s guide.* Editors: I Monterroso and AM Larson. Bogor, Indonesia: CIFOR.
Designed by: The Other Design Studio
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Any views expressed in this publication are those of the authors. They do not necessarily represent the views of CIFOR, the editors, the authors’ institutions, the financial sponsors or the reviewers.
CGIAR Research Program on Forests, Trees and Agroforestry (FTA)
This research was carried out by CIFOR as part of the CGIAR Research Program on Forests, Trees and Agroforestry (FTA). FTA is the world’s largest research for development program to enhance the role of forests, trees and agroforestry in sustainable development and food security and to address climate change. CIFOR leads FTA in partnership with Bioversity International, CATIE, CIRAD, INBAR, ICRAF and TBI.
FTA’s work is supported by the CGIAR Trust Fund: cgiar.org/funders/
CGIAR Research Program on Policies, Institutions, and Markets (PIM)
The CGIAR Research Program on Policies, Institutions, and Markets (PIM) leads action-oriented research to equip decisionmakers with the evidence required to develop food and agricultural policies that better serve the interests of poor producers and consumers, both men and women. PIM combines the resources of CGIAR centers and numerous international, regional, and national partners. The program is led by the International Food Policy Research Institute (IFPRI).
www.pim.cgiar.org
## CONTENTS
| Page | Section |
|------|------------------------------------------------------------------------|
| v | Acknowledgments |
| vi | Abbreviations |
| vii | The Practitioner’s Guide in a nutshell |
| 1 | Gender-responsive accelerators for forest tenure reform |
| | 1.1 Gender and the global forest tenure scenario |
| | 1.2 Building gender-responsive accelerators for effective tenure change|
| | 1.3 Creating change step 1: Analyze |
| | 1.4 Creating change step 2: Strategize |
| | 1.5 Creating change step 3: Realize |
| 46 | With gender in mind: Forest tenure policy, legal reform and government administration |
| | 2.1 Generating momentum for change: Forest tenure laws and policies |
| | 2.2 Building forward: Gender responsiveness in government agencies |
| 72 | Gender matters in community-based forest tenure |
| | 3.1 State of gender equality within community-based forest tenure |
| | 3.2 Crafting gender-responsive tenure governance in community-based forestry |
| | 3.3 Gender, participatory mapping and community-based forest tenure |
| | 3.4 Women entrepreneurs leverage community-based forest tenure rights |
| | 3.5 Gender, forest tenure, and restoration of multifunctional forest landscapes |
| 118 | References |
| 133 | Annex 1. Common terms: Gender |
| 136 | Annex 2. Common terms: Tenure |
1. Accelerating gender-responsive forest tenure reform involves three key steps. 3
2. The bundle of tenure rights and responsibilities. 4
3. Intersectional character of gendered structural discrimination patterns. 6
4. SDG 5 targets on gender equality. 8
5. Gender gaps in forest tenure institutions. 14
6. Three steps for building gender-responsive accelerators for forest tenure reform. 16
7. Framework for situational gender analysis of community-based forest tenure. 22
8. Guiding principles for action research on gender and forest tenure. 27
9. Lessons for an effective strategic approach to gender-responsive forest tenure reform. 32
10. Key action arenas for securing gender-responsive forest tenure reform. 34
11. Four action spheres for gender-responsive forest tenure reform. 40
12. Illustrative interventions for tackling gender gaps in specific action arenas. 42
13. Key components of gender-responsive forest tenure regulatory framework. 49
14. Three stages of gender-responsive forest tenure policy, law and administration. 52
15. Interventions to support gender-responsive review of laws related to forest tenure at the national or subnational level of government. 55
16. Legislative best practices to secure the forest tenure rights of Indigenous and rural women. 56
17. Changing the culture of government administration on forest tenure in a gender-responsive direction. 62
18. Proportion of female and male graduated forestry students, by education level, 2000–2015. 65
19. Interventions to guide staff work process and capacity building. 66
20. Illustrative monitoring and evaluation indicators for gender and forest tenure. 68
21. Spectrum of devolution level in community-based forest regime. 75
22. Stages in level of gender-responsive governance of community-based forests. 78
23. Factors affecting perception of ‘secure enough’ forest tenure for gender equality. 80
24. How to support indigenous and rural women’s forestland tenure governance rights. 86
25. Gender-responsive outcome pathways. 88
26. Eight key domains of women’s empowerment in community-based forestry. 90
27. Designing interventions for gender-responsive change in the responsible local governance of forest tenure. 93
28. Typology of women’s participation in community-based forest institutions. 103
ACKNOWLEDGMENTS
This guide has emerged from several years of research and engagement in multiple countries under CIFOR’s ‘Global Comparative Study on Forest Tenure Reform (GCS-Tenure), led by Anne Larson and the late Esther Mwangi; the project’s gender analysis was coordinated by Iliana Monterroso.
The team of the author and editors would like to thank the reviewers who gave their careful attention to the whole publication and helped shape its content. This includes Margareta Nillson, Ylwa Renström Svensson, Samuel Munck, and Raymond Achu Samdong of The Tenure Facility, Ruth Meinzen-Dick of the International Food Policy Research Institute (IFPRI), and Lasse Krantz of the University of Gothenburg. An earlier version of a guide was drafted by Esther Obaikol.
Many appreciative thanks to CIFOR’s Gideon Suharyanto who has overseen the editing and publishing process, and to the creative team of Angeline Pradhan and Upesh Pradhan at The Other Design Studio for the publication’s design.
GCS-Tenure was funded by the European Commission and the Global Environmental Facility (GEF) with technical support from the International Fund for Agricultural Development (IFAD) and the United Nations Organization for Food and Agriculture (FAO). The study forms part of both the Program on Policies, Institutions and Markets (PIM) led by the International Food Policy Research Institute (IFPRI), and the CGIAR Research Program on Forest, Trees and Agroforestry (FTA) led by CIFOR.
The opinions expressed in this paper represent the analysis of the authors and do not necessarily reflect the views of CIFOR, IFPRI, CGIAR or the financial sponsors.
| Abbreviation | Description |
|--------------|-------------|
| ACM | adaptive collaborative management |
| AMAN | Indigenous People’s Alliance of the Archipelago (Aliansi Masyarakat Adat Nusantara) |
| AAL | adequate asset livelihoods |
| BWRA | Ancestral Domain Registration Agency (Badan Registrasi Wilayah Adat) |
| CEDAW | Convention on the Elimination of All Forms of Discrimination Against Women |
| CFUG | community forestry user group |
| CIFOR | Center for International Forestry Research |
| CONAFOR | National Forestry Commission of Mexico (Comisión Nacional Forestal) |
| COP | Conference of the Parties |
| CRL | Community Rights Law |
| CSO | civil society organization |
| DRC | Democratic Republic of Congo |
| FAO | Food and Agriculture Organization |
| FDST | Forest Dwelling Scheduled Tribes |
| FECOFUN | Federation of Community Forestry User Groups, Nepal |
| FLR | forest landscape restoration |
| FPIC | free, prior and informed consent |
| FRA | Forest Rights Act |
| FRC | Forest Rights Committee |
| GAD | Gender and Development |
| GESI | gender and social inclusion |
| GPA | gender plan of action |
| Ha | hectare |
| INDC | Intended Nationally Determined Contributions |
| IPCC | Intergovernmental Panel on Climate Change |
| IPLC | Indigenous Peoples and local communities |
| ITTC | International Tropical Timber Council |
| ITTO | International Tropical Timber Organization |
| IUCN | International Union for Conservation of Nature |
| JFM | joint forest management |
| JKPP | Indonesian Community Mapping Network (Jaringan Kerja Pemetaan Partisipatif) |
| KPA | Consortium for Agrarian Reform (Konsorium Pembaruan Agraria) |
| LAL | low asset livelihoods |
| MRVS | monitoring, reporting and verification system |
| NFLRA | National Forest Landscape Restoration Assessment |
| NGO | non-governmental organization |
| NMWA | National Mechanism for Women’s Affairs |
| NTFP | non-timber forest product |
| ONAMIAP | National Organization of Andean and Amazonian Indigenous Women (Organización Nacional de Mujeres Indígenas) |
| OTFD | Other Traditional Forest Dwellers |
| PES | payment for environmental services |
| PPA | participatory prospective analysis |
| REDD+ | reducing emissions from deforestation and degradation plus |
| ROAM | Restoration Opportunities Assessment Methodology |
| RRI | Rights and Resources Initiative |
| SDG | sustainable development goal |
| SGBV | sexual and gender-based violence |
| SLAL | severely limited asset livelihoods |
| SSFE | small-scale forest enterprise |
| UNDRIP | United Nations Declaration on the Rights of Indigenous Peoples |
| VGGT | FAO Voluntary Guidelines on the Responsible Governance of Tenure of Land, Fisheries and Forests in the Context of National Food Security |
| WID | Women in Development |
This practitioner’s guide explains how to promote gender-responsive forest tenure reform in community-based forest regimes. It is aimed at those taking up this challenge in developing countries. There is no one single approach to reforming forest tenure practices for achieving gender equality and women’s empowerment. Rather, it involves taking advantage of opportunities that emerge in various institutional arenas such as policy and law-making and implementation, government administration, customary or community-based tenure governance, or forest restoration at the landscape scale. The overall aim is to promote the responsible governance of forest tenure so that it serves the interests of both women and men of all backgrounds.
The goal is to journey along the pathways to forest tenure reform through a three-step process: Analyze, Strategize and Realize. Focused diagnostic analysis to create an empirical foundation for change can support the design of sequential interventions to promote gender-responsive forest tenure reform at various scales. To this end, the guide is a timely resource to support high-impact interventions suited to accelerating change within the national and local context in community-based forest tenure regimes.
This sourcebook provides multiple forms of guidance: conceptual ideas, operational direction, good practices, case-study insights, research findings and resources for further exploration. It is designed to support a wide range of practitioners, women and men, from a range of institutions such as government offices, non-governmental organizations, civil society organizations, donor agencies, women’s organizations, as well as networks and federations. This includes gender experts who are responsible for the integration of gender equality and women’s empowerment in their respective organizations, and also those working broadly in the world of land tenure, forest tenure and governance, forest landscape restoration, agroforestry, value-chain development and social impact enterprises.
The first chapter sets out how to think about creating gender-responsive accelerators for forest tenure reform. The focus is narrowed in the second chapter on improving gender equality and women’s empowerment through forest tenure policies, laws and government administrative systems. The final chapter focuses on how to bring about gender-responsive changes in community-based forest tenure regimes. No one set of methods or approaches will work for all contexts and, as such, the guide aims to showcase a range of knowledge and tools. These can be tailored and adjusted over time in an adaptive and collaborative manner to suit particular situations. This practitioner’s guide offers numerous case studies as well as resource materials from across Africa, Asia and Latin America so that each issue can be explored through real-world experience. Moreover, the guide draws upon the latest manuals and guidance documents available on promoting gender-responsive forest tenure reform.
A young girl in a red outfit carries a basket on her back and holds a sickle, standing in a grassy field with mountains in the background.
We were not seeking women’s participation to increase statistics, but to be active in every process. We also simultaneously engaged in creating awareness that as well as becoming beneficiaries of managing the forest, women were equally responsible for any losses encountered. We encouraged women to take leadership in capacities building activities such as training, workshops, public speaking. Thus, identifying the needs of women and deprived people, giving them policy priority and supporting them has been paying off in leadership skills and capability.
In gender development, the role of men is equally crucial. In many forestry user groups, men are the ones who insist on women’s greater participation and their capacity building. We have to give opportunities to whomever is disadvantaged on their terms. In our community there are people with different interests and need and opportunities should be tailored to each interest group. We have to mainstream such practice in all villages in rural areas. FECOFUN has been playing a significant role throughout the country at different levels.
Apsara Chapagain
ex-Chairperson, FECOFUN (2012)
1.1 GENDER AND THE GLOBAL FOREST TENURE SCENARIO
The majority of the world’s forested areas in developing countries are publicly owned. However, there is an increasing trend toward forest tenure rights and ownership being held by communities, individuals and private companies (Sunderlin et al. 2008; Larson et al. 2010; FAO 2011, 2015a; RRI 2015, 2018). Over the past four decades, many governments in Asia, Africa and Latin America have revised land and forestry laws to provide greater statutory (*de jure*) recognition for forest tenure rights of Indigenous Peoples and local communities (IPLCs). Although the total land area outside the state’s jurisdiction is still small, this forest tenure transition is an influential devolution trend with significant positive ramifications (Sunderlin et al. 2008; Larson et al. 2010; Dahal et al. 2012; Alden Wily 2014; Sunderlin 2014; RRI 2018).
Within this devolution process, however, only a few countries have tackled head on the issue of gender equality and women’s empowerment (see Annex 1: Common Terms on Gender). Although gender and forestry programming started in the 1980s (see Rojas 1993; FAO 1997; Hoskins 2016), progress has been limited. It is clear that community rights do not equal rights for women in today’s forest sector. There is structural discrimination that sidelines women’s influence in how forest resources are used and governed in community-based forestry. For example, women are rarely as well-represented as men within local forest governance bodies. That said, the gendered dimensions of forest tenure can vary significantly from place to place because they are the result of complex historical processes (such as colonialism), women’s movements, policy and legal transformations, and local institutional dynamics (see, for example, Elmhirst et al. 2017).
Fully achieving social and environmental improvements from the ongoing forest tenure transition critically hinges on its ability to inclusively support the diverse needs of both women and men (FAO 2018c). While the message of the importance of gender equality is beginning to be heard, it has not always been accompanied by real transformative action on the ground (Monterroso and Larson 2019a). In order to accelerate practical change, we need to better understand the multiple pathways to achieving gender equality in forest tenure. There is much to learn and be inspired by. What pathways have reduced the gender gap? Taking a look at specific countries who are leading the way can guide others to make the gender leap. In particular, learning from failures and the need to identify the ways in which women’s practices are socially embedded and networked, as well as the multidimensionality of women’s agency will lead to real and lasting transformation (Rao 2017). This is the aim of the *Analyze*, *Strategize*, and *Realize* pathway set out in this publication (Figure 1). Sustained multipronged actions are required, appropriately sequenced in time, to systematically advance.
Forest tenure is a broad concept that refers to who has rights to forestlands, and therefore who uses, manages and makes decisions about forest resources (see Annex 2: Common Terms on Tenure) (Larson 2012; Larson and Springer 2016; World Bank 2019a; also see Borelli et al. 2019 on tenure in agroforestry). Forest tenure encompasses diverse institutional arrangements within broad categories, such as state control, ownership, tenancy, community-based tenure and customary (or *de facto*) tenure over forests. Even a term such as ‘customary tenure’ is simply an omnibus term with
multiple types of tenure systems (Chimhowu 2019). Each has its own tenure governance arrangements involving various degrees of participation and collaboration with the government. Often, communally owned forests are part of customary territories (Alden Willy 2014; Jhaveri et al. 2016). Each type of tenure affects women and men living in and around forests in very particular ways. When we examine the bundle of tenure rights held by women and men (see Figure 2), the picture for any forested area is complicated. Women typically have rights to forest resources, such as fodder, fuelwood, medicinal plants, and some commercially valuable non-timber forest products (NTFPs). Men typically have rights to forest resources that bring in more cash value, such as timber and high-value NTFPs. Moreover, it is men who typically hold authority and influence over how rules are made on rights such as access, use, management and alienation, whereas women often work in a more informal and negotiated way to assert their tenure rights.
If we look at forest use from the household perspective, women and men negotiate who will use which forest resources and how the benefits are to be shared. Mostly, it will be prevailing social norms that determine such distributions. Any given household uses a range of resources within their landscape: agricultural cultivation areas (irrigated and rain fed), forests used in common, home gardens and orchards near the household, private agroforestry plots and even forest concession areas in which timber harvesting takes place. Besides resource use, women and men may be employed in forest plantations, such as for oil palm, Brazil nut or cocoa production. As such, community-based forestry takes place within a broader context in which there are areas for agricultural production as well as complex ‘forest–tree–landscape’ continuums (Parrotta et al. 2016).
The way women and men with different levels of social and financial assets are involved in decision making and manage forests used jointly by the community has important implications. It affects the condition of the forest, as well as household food security, poverty reduction, livelihoods and income generation (see IFRI and RRI 2016; Larson et al. 2019c). It is not useful to look at women as one monolithic category. Instead, examining gender intersectionality involves identifying the multiple types of structural discrimination that come together to create obstacles to groups of or individual women (Figure 3). Women and men will apply the benefits they receive from forest resources...
ACCESS
The right to enter or pass through a forest may be granted to the individual or a group. Within this forest, there may be further delineated rights such as women’s and men’s ability to access particular parts of the forest or specific trees to harvest any given forest product.
MANAGEMENT
The right to make decisions regarding use and management of a forest area to meet women’s and men’s needs, including, for example, through zoning and silvicultural techniques. Management is the most complicated of the tenure rights because it involves establishing forest management objectives, understanding how to assess forest condition across the landscape, determining ways to regulate varied types of uses across an annual cycle and how to ensure these rules are observed in practice.
WITHDRAWAL OR USE
Women and men may hold different rights to harvest and benefit from diverse forest products such as timber, fuel, food, fodder, medicinal and other NTFPs.
EXCLUSION
The right to regulate and exclude outsiders who do not hold forest access rights. That said, some outsider women or men may be allowed to access and use the forest at specified times in particular ways.
Figure 2. The bundle of tenure rights and responsibilities.
ALIENATION
The property holder’s right to transfer any part of the forest to another by sale, lease or other means, as well as the ability to use the resource as collateral.
DURATION
The length of time the rights holder can exercise their rights, be it for a specified limited time or in perpetuity.
EXTINGUISHABILITY
Legal right to due process and compensation for individuals or community members in the face of any attempts to extinguish any rights.
FUTURE INTEREST
Right to inherit the rights at some point in time.
REGULATORY RESPONSIBILITIES
Can include: preparation of forest inventory and sustainable forest management plan, paying taxes, permits for extraction and transport of resources, and profit-sharing with the state.
RESPONSIBILITY & SUPPORT
SUPPORT SYSTEMS
Government support for preparation of forest inventory and management plans, forest nursery, and subsidies; donor agency and non-governmental organization (NGO) support for capacity building on such themes as silvicultural approaches, gender equality, poverty or well-being ranking; funding support for technical equipment; and enterprise development.
Note: This framework of bundle of tenure or property rights has evolved over time (see World Bank 2019a). There have been recent arguments for reframing this framework because many other stakeholders besides the local communities are involved in tenure regimes (Sikor et al. 2017).
Source: Adapted from Larson (2012); FAO and RECOFTC (2016); Larson and Springer (2016); Doss and Meinzen-Dick (2020); World Bank (2019a); FAO (2019a).
in different ways, whether for personal use or for their family’s needs. Different IPLC households have different social networks within local communities that hold influence over how tenure rights are decided and exercised both within the forest governance body and in day-to-day practices. Tenure rights work in both formal and informal ways. Moreover, when new resources, such as carbon, are found in forests, tenure rules will necessarily change to reflect the newly introduced goals. Changes in tenure rules can come from many quarters: not only climate change, but construction of new road infrastructure, market development, pressure to convert forestland to agriculture or create forest concessions for timber production and so on. The list goes on.
All in all, this ongoing forest tenure transition has important positive effects because it provides incentives to IPLCs to actively engage with and benefit from local forest management. It thereby promotes social stability and security by reducing poverty and disputes. There is an emerging consensus that given the right set of governance conditions, community forest tenure has the potential to reduce deforestation, improve carbon sequestration and expand livelihood options for rural communities when compared with state-managed forests (see, for example, Stevens et al. 2014; Ding et al. 2016; IFRI and RRI 2016; Stickler et al. 2017; World Bank 2019a; Hajjar et al. 2020).¹ Moreover, it is well recognized that gender equality catalyzes positive
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¹ The research on this topic is not conclusive – see Runsheng et al. (2016) and Ojanen et al. (2017).
multiplier effects for a range of development issues, be they forests, health or education (UN Women 2018a). Since it is evident that women’s and men’s knowledge of forests and specific trees is quite different and can be complementary, their joint contribution is needed to put into place collaborative forms of sustainable forest management (FAO and RECOFTC 2016; Colfer et al. 2017; Kristjanson et al. 2019). By pooling their financial resources from forests, communities can install local clinics, better roads, infrastructure and technology that reduces women’s work burden. In this way, women and men are able to participate effectively in decision making jointly providing for social welfare needs. In terms of household benefits, women will typically use their earnings from forest resources to pay for their children’s health, education and other needs. All in all, such inclusive improvements can reduce conflict and strengthen community bonds. Combining the efforts of women and men improves the chances of equity, efficiency and effectiveness in forested landscapes. It can also reduce poverty and enhance development benefits.
There is now a new wave of forest tenure reform raising the profile of gender equality in community-based forest tenure regimes. It aims to change the entrenched system of discrimination. Tremendous diversity in forest tenure reform arrangements means that creating gender-responsive reform requires attention to the details. Using a situational gender analysis, a strategy can be designed to inform the specific set of sequenced and paced interventions needed to achieve the vision. The actual changes in forest tenure pathways through these interventions, of course, will not necessarily be linear or predictable. Forest tenure reform differs from agrarian reform because it does not involve redistributing land but rather focuses on how local governance and secure rights are responsibly structured. Meeting the development hopes and environmental well-being of all requires multiple changes in tenure regimes: enabling women and men to equally participate, collectively deciding rules that are socially inclusive, building sustainable forests, equitably sharing distributed benefits and leveraging forest resources for enterprise development. Working toward gender equality and women’s empowerment will involve inclusive as well as women-focused and men-focused change pathways.
The push for gender equality in community-based forest tenure regimes comes from many directions: local women, male champions, women’s federations, forestry federations, civil society groups, local and international NGOs, parliamentarians, donor agencies and, importantly, from the government’s development and policy agenda. Such reform does not happen overnight or in a linear way: change can come from above as well as below. All significant opportunities need to be leveraged. Global policies and guidelines can play a pivotal role in driving change at the national level. At the global scale, there are international conventions and declarations relating to women’s human rights that inspire the push for gender equality. This includes the 1979 Convention on the Elimination of All Forms of Discrimination Against Women (CEDAW)\(^2\) (and its subsequent Optional Protocol) and the 2007 United Nations Declaration on the Rights of Indigenous Peoples (UNDRIP) that explicitly states the importance of protecting Indigenous women and children from violence and discrimination. More specifically on tenure issues, a groundswell of support for strengthening tenure rights has been surging in recent years. The 2012 Food and Agriculture Organization’s (FAO) Voluntary Guidelines on the Responsible Governance of Tenure of Land, Fisheries and Forests in the Context of National Food Security (VGGT) have played a major role in meeting a range of key development goals (FAO 2012). Gender equality is one of the VGGTs 10 guiding implementation principles (see FAO 2013).
Created in 2015, the 2030 Agenda on Sustainable Development, with its 17 Sustainable Development Goals (SDGs), has much to say on gender (UN Women 2018b). Even though there is no specific mention of
\(^2\) This includes related regional protocols such as the Protocol to the African Charter on Human and Peoples’ Rights on the Rights of Women (known as the Maputo Protocol) passed in 2005.
the importance of community tenure and governance for forests (IFRI and RRI 2016; Katila et al. 2020), it is clear that gender responsive forest tenure reform can support the achievement of many SDGs (FAO 2018; RRI 2018; Arora-Jonsson et al. 2019; Winkel et al. 2019; Katila et al. 2020). One SDG gender target relates to ownership, property and natural resources: Target no. 1.4.2 sets out that “by 2030, ensure that all men and women, in particular the poor and the vulnerable, have equal rights to economic resources, as well as access to basic services, ownership and control over land and other forms of property, inheritance, natural resources, appropriate new technology and financial services including microfinance” (FAO 2018c). Additionally, Goal 5 on Gender Equality includes a target on women’s equal “access to ownership and control over land and other forms of property” (see Figure 4) (UNGA 2015) although the related indicator 5.a.1 focuses only on ownership or secure rights to agricultural land (not forests) by sex.
Notably, recent reports on global climate change have specifically underscored the importance of community land tenure. While support for community tenure and governance is missing from the Paris Agreement\(^3\) (RRI 2016), the Intergovernmental Panel on Climate Change’s (IPCC) 2019 special report on *Climate Change and Land* recognizes the importance of land tenure, including community and customary forms of tenure, as well as gender agency as critical factors in climate and land sustainability outcomes (IPCC 2020). It states that:
>Insecure land tenure affects the ability of people, communities and organizations to make changes to land that can advance adaptation and mitigation. Limited recognition of customary access to land and ownership of land can result in increased vulnerability and decreased adaptive capacity. Land policies (including recognition of customary tenure, community mapping, redistribution, decentralization, co-management, regulation of rental markets) can provide both security and flexibility in response to climate change.
In parallel, the report calls for a gender-inclusive approach because the recognition of women’s land rights and involvement of women with land management knowledge into land-related decision-
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\(^3\) A review of 161 Intended Nationally Determined Contributions (INDC) submitted for the 21st session of the Conference of the Parties (COP-21) indicates that only 21 countries representing 13% of tropical and subtropical forest areas made a clear commitment to implement IPLC tenure security or community-based natural resource management in their INDC submissions (RRI 2016).
making can enable the take-up of integrated adaptation and mitigation measures. Importantly, it acknowledges that because women are not a homogenous group, an intersectional approach is needed (see Annex 1: Common Terms on Gender). This requires the climate change–gender nexus to be researched before appropriate rights-based instruments can be leveraged to create change, be it for adaptation or mitigation.
Global policy changes on gender equality as well as on forest provide a strong foundation for the launch of national and local forest tenure reforms for gender-responsive transformation. Advancing forest tenure pathways to gender equality requires creativity, determination and swiftly taking up opportunities that present themselves. In the end, a gender-equal world in communally used forested landscapes will be of our making.
SECTION 1.1
FURTHER READING
[FAO]. Food and Agriculture Organization. 2012. Voluntary Guidelines on the Responsible Governance of Tenure of Land, Fisheries, and Forests in the Context of National Food Security. Rome: FAO.
Katila P, Colfer CJP, de Jong W, Galloway G, Pacheco P and Winkel G, eds. 2019. Sustainable Development Goals: Their Impacts on Forests and People. London: Cambridge University Press.
Katila P, McDermott C, Larson A, Aggarwal S, and Giessen L. 2020. Forest tenure and the Sustainable Development Goals – A critical view. Forest Policy and Economics. https://doi.org/10.1016/j.forpol.2020.102294
World Bank. 2019. Securing Forest Tenure Rights for Rural Development. An Analytical Framework. Washington, DC: Program on Forests (PROFOR), The World Bank.
MASSIVE POTENTIAL
Gender justice through the Forest Rights Act in India
QUESTION FOR REFLECTION
How can women and men in forest-dependent communities legitimately reclaim their forestland rights in India?
In 2006, the “Securing Rights of the Forest Dwelling Communities through Scheduled Tribes and Other Traditional Forest Dwellers (Recognition of Forest Rights) Act” (or Forest Rights Act (FRA)) was enacted. It aimed to address historical injustices and reinstate the land and forest rights of forest-dependent communities traditionally living on lands notified as state forests. The FRA creates a new rights-based paradigm for forest governance with recognition of two types of forest rights: individual forest rights and community forest rights for both women and men. Both forest dwelling Scheduled Tribes (FDST) and Other Traditional Forest Dwellers (OTFD) (some 250 million people living in and around forests) are eligible to submit claims under the FRA. Although the lead agency for implementation is the Ministry of Tribal Affairs, in practice it is undermined by an array of laws, policies and programs implemented by the much more powerful Ministry of Environment, Forests, and Climate Change.
The FRA provides equal rights for women over both individual lands and community forest resources, and aims to secure women’s representation. However, these provisions in the law have been largely disregarded (TISS 2018; see also Tyagi and Das 2018). The FRA enables women to claim titles jointly with spouses as members of households, and permits households to submit claims with women as the first title holder (such as single women or women-headed households). Additionally, one-third of the members of the Forest Rights Committee (FRC) under the Gram Sabha\(^4\) (a permanent body for village governance that is responsible for processing FRA claims) must be women. The Sub-Divisional Level Committee and Divisional Level Committee involved in processing forest claims also must have an elected woman member.
Difficulties in a number of dimensions, however, have been identified in the FRA’s gender-equal implementation (Bhalla 2016). The prevailing patriarchal mind-set among state agencies means that women are perceived to be encroachers rather than legitimate title holders (Ramdas 2009; TISS 2018). FDST women are often unaware of the requirements that one-third of Gram Sabha meeting attendance must be by women. They do not know what their role on the FRC is, and do not appreciate the importance of participating in site verification (Working Group of Women and Land Ownership 2018). Moreover, in the absence of adequate public services for water, health and so on, women have found it difficult to significantly improve their economic realities, despite obtaining FRA rights (Zaidi 2019). In a twist, Bhil women in southern Rajasthan, who were already managing the community-based forest resources in their relatively more egalitarian society, had their authority usurped when the FRC (with only 30% women membership) took control of community forestry resources (Bose 2011). This reversal demonstrates the importance of examining existing forest access and use patterns before mobilizing programs for gender equality.
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\(^4\) The quorum of the Gram Sabha shall not be less than half of its members, and at least one-third of the members present in meeting should be women.
Lastly, even though the FRA allows title holders to sell their NTFPs as they choose, this does not always work in practice. In states, such as Madhya Pradesh, where the FRA is undermining the forest department’s lucrative monopoly on *tendu* leaf (an NTFP typically collected and sold by women for making *beedi* cigarettes), forest staff confiscate *tendu* leaves not directly sold to the forestry department (Kukreti 2017). Unlike Maharashtra, Madhya Pradesh has not amended its forest laws to recognize the NTFP rights awarded under the FRA. Despite such obstacles, there have been some positive changes in women’s empowerment due to supportive civil society organization (CSO) work. In southern Rajasthan, once women obtained FRA rights, they were able to access forestlands more easily without the arbitrary behavior of officials and having to pay to collect fodder (Zaidi 2019). Secure land rights also enabled them to sell agricultural products at the local market. Importantly, having FRA land assets has increased confidence among women, especially widows, and regressive practices such as polygyny have been challenged.
Recommendations for strengthening gender rights under the FRA in the states of Odisha and Jharkhand include the following (Bhalla 2016; Richardson 2016):
**NATIONAL LEVEL**
- increase women’s minimum membership in the FRC (from one-third to one-half), Sub-Divisional Level Committee, and Divisional Level Committee
- mandate that the head of every alternate FRC be a woman
- ensure that CSO members in Sub-Divisional and Divisional Level Committees have a proven track record of FRA work
- require mandatory serving times for committee members which are not based on national election cycles
- integrate a module on gender mainstreaming in FRA training for committee members
- disaggregate data by gender, caste, ethnicity and OTFD-related categories.
**DISTRICT AND STATE LEVEL**
- support government agencies through training and sensitization for government officials
- exchange best practices and lessons learned, including on forest land verification for individual and community rights and recording FRA titles
- support applicants in weighing benefits of individual versus communal titling or a combination of both, each with their own linked benefit streams
- promote deep involvement in target communities to change long-standing customs and practices that work against gender equality
- hold frequent meetings of women’s groups to help empower women
- initiate exchanges on gender mainstreaming and integration of marginalized groups (e.g. women, OTFDs) in the FRA implementation process
- distribute Odisha’s progressive FRA government circulars to other states
- hold consultations at district level to explore how positive lessons can be implemented in other parts of the state.
Strong support from NGOs and CSOs to help women recognize and assert their rights can create fundamental change in the lives of many millions of marginalized and poor women across India’s substantial tribal belt.
**LESSONS**
Having a law that supports gender-equal principles is an important starting point that enables other supportive activities (typically through NGOs and CSOs). These are critical for achieving the objectives: amending rules, changing prevailing practices, gender-sensitization work, capacity-building programs, reviewing benefit streams, and so on.
If we don’t take a gendered approach, we’re likely to do more harm than good for women.... In the REDD+ [reducing emissions from deforestation and degradation plus] context, if the status quo is inequitable then interventions that don’t understand and address those inequities from the beginning are doomed to perpetuate them.
Dr. Anne Larson
CIFOR Team Leader for Equity, Gender, Justice and Tenure (2014)
BUILDING GENDER-RESPONSIVE ACCELERATORS FOR EFFECTIVE TENURE CHANGE
Gender-responsive forest tenure reform is possible: women and men working together to create change is now well-demonstrated (Mayers et al. 2013). At the national level, more than two-thirds of heads of forestry agencies in the Asia-Pacific have observed that gender issues are being given greater attention (FAO 2019b). This presents a growing opportunity. Creating positive influence over pivotal policy and decision-making arenas for achieving gender-responsive changes can be done provided there is careful analysis, strategic planning and practical realization of those ideas. In doing so, it is critical to take advantage of the supportive momentum for forest tenure reform, as well as the lessons that have been widely shared in recent years.
There have been changes in how women’s role in forestry should be conceived. The importance of women in forestry first came into focus in the 1980s as a result of the fuelwood crisis bringing a “Women in Development” (WID) orientation into action. By the 1990s, however, shortcomings of the WID approach became evident because both women’s and men’s roles in development needed to be considered. Social norms regarding women’s and men’s roles in the household and livelihood activities were fundamental. As such, a new paradigm called “Gender and Development” (GAD) was introduced. This focused on how the structural and power relations between women and girls, on the one hand, and men and boys could be transformed in positive ways.
There has been much debate about how to achieve gender equality. An important strategy introduced in 1985 for mobilizing such change was gender mainstreaming. After some decades of this approach, there is growing debate about what the merits of gender mainstreaming are. While many institutions have tried to mainstream gender issues within their work programs, implementation has been weak or uneven with the benefits unclear. There has been doubt as to whether all energies should be put into this gender mainstreaming basket. Instead, it is believed that making development work for women and men requires an approach that is broader in vision than mainstreaming. This can involve, for example, focusing on women’s organizations, and carrying out stand-alone work that builds leadership and capability among women and girls (see, for e.g., RECOFTC 2019). Supporting male gender champions in local and national institutions is another approach. Taking advantage of opportunities as and when they arise can instill a more agile and grounded method for mobilizing gender change agents. Rather than seeking sensitivity toward gendered differences, there is a growing move toward gender-responsive approaches that aim to create transformative changes. At times, impatience with the speed of change has led to calls for gender justice.
It is evident that there are a wide range of gender gaps to consider when it comes to community-based forest tenure (Figure 5). How do we prioritize which gaps to focus on first to accelerate change? What type of situational gender analysis is needed to figure out which gaps are of priority importance? Once an analysis is done, a good step-wise strategy can be put into place and a sequential set of actions or interventions can be designed.
**Policy, Law & Government Administration**
- Government forestry policies and laws either do not address gendered needs at all, or if they do, address them in peripheral ways or lack provisions or guidelines to implement them.
- Men who are not aware about gender-equality responsibilities dominate important decision-making institutions.
- Government agencies and other key forestry institutions have weak knowledge, capacity as well as budget to carry out gender-responsive forest tenure work.
- Sectoral divisions between the forest agency and others such as the Ministry of Women, Ministry of Environment, or the National Planning Commission stand in the way of gender integration and coordination in the forest sector.
- There is a lack of gender-disaggregated data for understanding how and why gender is critical for supporting poverty reduction, local livelihoods and equity, conflict reduction, as well as effective forest management among other goals.
- Forest tenure rights are not recorded in a gender-disaggregated way.
**Forestry Programs & Projects**
- Programs and interventions by the government, donor agencies or NGOs are gender blind.
- The needs of different types of women and men and intersectional forms of discrimination are not recognized.
- Project proponents have poor understanding and recognition of women’s role, within *de facto* and legitimate customary and indigenous rights institutions in the implementation of policies and laws.
- Staff are insufficiently sensitized to gender issues.
- Budgetary or technical resources devoted to gender-responsive forest tenure improvements are inadequate.
**Supportive Women’s & Forestry Organizations**
- Insufficient understanding of the importance of gender equality and women’s empowerment broadly in the forestry sector, in particular tenure issues.
- There is a strong tendency to give importance to obtaining and strengthening community-level tenure rights over focusing on women’s and men’s specific rights.
- There is insufficient direct and consistent support by NGOs and grassroots federations for local communities in obtaining tenure recognition and asserting forest rights for women as well as men through building women’s leadership for effective participation in forest governance bodies.
*Figure 5. Gender gaps in forest tenure institutions.*
RESEARCH ORGANIZATIONS
• There is inadequate evidence-based research on many key gendered themes of forest tenure from the local, regional to the national scale.
• There is a need to provide educational support and training to new researchers (as well as others, such as government officials, academics, and NGO/CSOs) on integrating gendered approaches into their research and action-oriented analyses.
• Research findings on gender and forest tenure are not communicated in accessible ways to policymakers, parliamentarians, local leaders and other relevant stakeholders.
LOCAL FOREST TENURE & GOVERNANCE
• Patriarchal gendered norms and moral notions of women’s role prevail that restrict women’s active engagement in forestry beyond the collection of food, fuel and fodder while sanctioning men’s freedom of movement, public speech and authority, as well as types of forest uses.
• Constraints on women in terms of the heavy burden of household and childcare responsibilities lead to time and mobility restrictions to effective participatory engagement in tenure governance.
• Long-standing conflicts over forest tenure rights negatively affect women’s ability to access and manage their forest resources.
• Forest policies and laws do not explicitly recognize the importance of, and therefore support needed, for gender equality leading to gender constraints and exclusionary outcomes in local communities.
• Women and men may both not be aware of the provisions in laws, regulations or policies regarding gender equality as well as how they are to be implemented.
• Women and the marginalized are often not included in forest governance bodies and also do not possess the authority, legitimacy or leadership skills to influence rule-making.
• Roles, rights, and responsibilities, particularly for women, are unclear or insecure, leading to poor management, conflict and poverty.
• Women’s specific rights over trees and forests not recognized within the community-based forest management plan.
• Women and men’s differential knowledge about forests over the annual cycle is not acknowledged in policy processes, project design and forest governance.
• Women typically receive lower financial benefits from sale of forest products or payment for environmental services (PES) than men.
• Significant gender gaps exist across a spectrum of additional arenas relevant to forest tenure such as literacy and education; fair employment; access to information and mobile technologies; availability of extension services, technical and business training; credit and markets; accessible transport; and engagement in forest-based enterprises.
Figure 6. Three steps for building gender-responsive accelerators for forest tenure reform.
ANALYZE
- Understand the achievements to date, as well as future challenges and needs.
- Conduct a situational gender analysis at multiple scales from macro to micro.
STRATEGIZE
- Decide on an effective strategy for achieving change within a specific time frame.
- Develop a vision of what the gender-equal responsible governance of forest tenure would look like.
REALIZE
- Implement the strategy through a set of sequenced and paced activities in which reflection and learning are integrated.
- Identify the right partners for collaborative action and pathways for change.
Whatever the context or goals, accelerating gender-responsive forest tenure reform involves three steps to create change in these gender gaps: *Analyze, Strategize*, and *Realize* (Figure 6). This covers the whole iterative cycle of reforming forest tenure through a gendered lens irrespective of whether it is being initiated by a community, a gender office in the forest ministry, a women’s NGO, a donor agency project, or a local-level grassroots forestry group. While a number of guides and tools are available on forest tenure reform, many of these need to be re-interpreted through a gendered lens (see FAO 2011, 2014; Mayers et al. 2013; Coleman 2019; World Bank 2019a). Thinking afresh is vital because new ideas are needed to envision a gender-equal future. As the VGGT sets out, forest tenure reform is a cyclic process of continuous improvement that builds security across multiple dimensions of tenure regimes (FAO 2012). It is not a one-time endeavor: coordinated momentum needs to be built up for effective transformation.
**SECTION 1.2**
**FURTHER READING**
[FAO] Food and Agriculture Organization. 2016. *How to Mainstream Gender in Forestry*. Rome: FAO.
[FAO and RECOFTC] Food and Agriculture Organization and The Center for People and Forests. 2016. *Mainstreaming Gender into Forestry Interventions in Asia and the Pacific. A Training Manual*. Rome and Bangkok: FAO and RECOFTC.
Kristjanson P and Jensen A. 2018. *In Brief: Gender in Forest Landscape Projects. Action and Indicators*. Washington, DC: PROFOR.
GLOBAL GENDER ACCELERATOR: The International Tropical Timber Organization policy guidelines on gender equality and empowerment of women
QUESTION FOR REFLECTION
What is driving the development of new global policies on gender equality for the tropical forest sector?
In December 2017, the International Tropical Timber Council (ITTC) took a major step by adopting its new Policy Guidelines on Gender Equality and Empowerment of Women to support gender integration and mainstreaming (Caswell 2018; Dieterle 2019). The goal was to close the gender gap and empower women at all levels within the tropical timber trade. The impetus behind this groundbreaking move by the International Tropical Timber Organization (ITTO)\(^5\) was the need to directly link up with various mandates of the SDGs, the United Nations Global Objectives on Forests, and the United Nations Forum on Forests’ Strategic Plan 2030.
This gender policy will be considered when developing, implementing and evaluating ITTO projects and activities across member countries. ITTO projects will be both gender-sensitive and, where possible, gender-transformative. Gender will become integrated within the criteria and indicators guiding both the ITTO as well as implementing partners. This will facilitate the collection of sex-disaggregated data (particularly on women’s role in forest industry and trade) and deepen understanding of the issues as well as gains along the way. Through this approach, the national policies of ITTO member countries will also be encouraged to build enabling frameworks to support gender equality.
In tropical timber producing countries, layers of disadvantages operate against women working in and running forest-based enterprises. The patriarchal nature of customary tenure institutions combined with the gender blindness of statutory frameworks on tenure (such as not requiring joint titling of property) means that prevailing rules work against women (ITTO and RRI 2011). Women also do not gain equal access to employment opportunities or receive equal pay for equal work. Without formal tenure rights to obtain loans, they are unable to initiate entrepreneurial projects (Caswell 2019). Lastly, women are poorly represented in many timber trade companies, be it in production, processing or manufacturing (especially at senior levels), in major forest authorities, institutions and organizations; and international trade groups (Caswell 2019). Implementation of ITTO policy guidelines will have to work on these many obstacles.
\(^5\) The ITTO is a commodity organization set up in 1994 that has member countries covering both production and consumption nodes of the tropical timber trade. It develops policies and provides a forum to discuss and exchange information on the global tropical timber economy. Its members cover 80% of the world’s tropical forests, and 90% of the world trade in tropical timber.
The ITTO guidelines are made up of eight core elements (Caswell 2019):
a. ITTO policies, action plans and thematic programs. Integrate a gender perspective and mainstream gender.
b. ITTO project cycle. Gender equality will be addressed in all aspects of the project cycle. The *ITTO Manual for Project Formulation* contains updated guidance on how to conduct a gender analysis.
c. Capacity building. Enhance capacity to establish, strengthen and implement laws and policies to achieve gender equality and empower women, particularly in tropical forest sector.
d. Statistics and information. Gender will be integrated in data collection and statistical processes.
e. Learning, knowledge management and communication. Increase learning on gender equality as part of knowledge management practices, including by scaling up best practices and improving understanding of gender and the international tropical timber economy.
f. Networking and partnerships. The ITTC and ITTO Secretariat will work with Trade Advisory Group and the Civil Society Advisory Group to strengthen gender mainstreaming. Alliances will be built with relevant organizations such as UN Women.
g. Internal functioning. ITTO will strengthen gender balance in the Council’s bureaus, expert panels and working groups. Create an office atmosphere of respect for women at all levels.
h. Accountability. A mechanism will be established that tracks and measures progress on the above.
**LESSONS**
The SDGs together with other international UN forestry objectives play an important role in catalyzing the creation of national gender-equal policies for the forestry sector.
We need to challenge our own blind spots and put gender research into practice. In the gender arena there’s been a lot of very good research and knowledge generated on the landscape approach, but unfortunately not much of it has been used to advance or create actions that advance gender equity — this is an ongoing puzzle and we need to think about how different actions can advance our goals of gender equality.
Dr. Esther Mwangi
CIFOR Principal Scientist (Mollins 2013)
CREATING CHANGE
STEP 1: ANALYZE
In order to get started, there has to be a good up-to-date understanding of where things stand with respect to gendered forest tenure and its responsible governance. This is the first step: *Analyze*. Usually, whatever information is available is quite limited and even discussions on the subject are relegated to the margins of the debate. Therefore, an analysis of the current state of gender in forest tenure is essential – an undertaking that will quickly pay off. It is the art of identifying key fracture lines that need the most work. A detailed evaluation of what is going on and what needs attention can be called a situational gender analysis. What are the particular gender gaps at work in a specific context? To what extent are laws influencing actual practice in community-based forest tenure regimes?
Such a situational gender analysis of forest tenure examines the factors that affect how women and men access, use and manage forest resources in order both to understand what the success factors are, as well as to identify the pivotal challenges to be addressed. While many different types of gender analysis frameworks are available (for a comparative assessment in the forestry sector, see, for example, Manfre and Rubin 2012; FAO and RECOFTC 2016; also IREX 2018; Ochieng 2019), in practice, the analytical focus and approach need to be tailored to the goals and target landscape. A reliable evidence base is the foundation for establishing a strategy with its roadmap or action plan. Of course, it will also help to track trends in positive changes and update the strategy. Such an analysis can inform varied types of objectives from the bigger goal of amending the forest laws or policy goals to the day-to-day goal of reducing any harm to women and men in local forest tenure institutions.
Based on the analysis, a status report on gender and forest tenure (be it national or local in scope) can be widely disseminated to help set out what has been achieved to date, and also inform the crafting of a strategy for change. A set of guiding questions is given in Figure 7 to help carry out this situational gender analysis. These questions broadly draw upon the ‘gender box’ forestry framework that examines key gender issues at three scales: macro, meso, and micro (Colfer 2013). For any specific situational gender analysis, a tailored set of questions will need to be identified that depends on the objective at work.
GUIDING QUESTIONS
NATIONAL & SUBNATIONAL SCALE
CONTEXTUAL FACTORS
• What type of forest ecology and conditions prevail in different parts of the country? Is the timber in high demand for commercial purposes? What level of dependency is there among women and men on the varied forest resources?
• In what way have changes in the local socioeconomic and infrastructural conditions affected forest tenure rules within local forest governance bodies for women and men across the country?
CURRENT STATE OF GENDER & FOREST TENURE
• Who is affected by the current national forest tenure situation (consider women and men of different income, social and ethnic status)? What are the gender differentiated impacts?
• Are there insecure tenure conditions for women and men? Are they due to the absence of law and policy that asserts the importance of gender equality? Are there long-standing conflicts or zones of instability that are affecting recognition and assurance of tenure conditions? Are there investment pressures on land for conversion to agricultural use or forest plantations? Is there poor government service delivery?
Figure 7. Framework for situational gender analysis of community-based forest tenure. Source: Adapted from Larson (2012), Colfer (2013), FAO (2019c), Kristjanson et al. (2019).
FOREST TENURE REFORM PROCESS
• Has a national forest tenure assessment been carried out? Does it adopt a gendered perspective? Does it draw upon international good practices for its evaluation?
• Is there an ongoing forest tenure reform process? Is it a gender-responsive process? How are women and men participating in the design and implementation of the process? What has been achieved (in policy, law and their implementation) and what still needs attention?
• Who are the parliamentarians, key decision makers, NGOs/CSOs or federations who are supporting gender equality in forest tenure? Is there strong women leadership among these influential agents of change?
• Has there been devolution in forest tenure rights to IPLCs? Over what types of lands or forests has this devolution occurred? What was the driving force behind the devolution? Was it carried out through policy or legal frameworks?
• How well does the forest tenure policy and legal framework compare with the VGGT guidelines, especially on gender?
• Does the policy or legal framework offer protections in the face of large-scale investments and marketization, as well as tenure changes due to climate change adaptation and mitigation?
• Have positive gender-equal changes in community-based forest tenure institutions been achieved? Who have been the key actors behind this change?
GOVERNMENT ADMINISTRATION
• How well are forestry laws or policies implemented in practice?
• Are there local government offices or service providers that are able to respond to the community needs of women and men in adequate ways?
• How does the administration of tenure rights take place in relation to recording tenure, taxation, valuation and spatial planning? Is it attentive to gender issues?
• Is there any gender-disaggregated data collected on the forestry sector including on tenure?
FOREST GOVERNANCE
• Is the current forest tenure arrangement a newly developed or customary system? Or is it a hybrid type reforming a long-standing set of tenure practices? Is it a de facto or de jure system?
• How were the current boundaries of the community-based forest tenure regime demarcated and mapped? Were women and men both consulted and involved?
• What is the forest governance system that manages the local forests? How gender equal is the membership of the governance body? What are the sources of its legitimacy? Are there effective women leaders? Any local women’s group supporting members of the forest governance system?
• What type of participation do women and men engage in within the governance body? Where on the spectrum from nominal to empowering participation (see Her His Forest Tenure Insight no.9)?
• What type of government regulatory frameworks (be it on forests, timber extraction, or enterprise development) affects how the forest governance body can operate? Does it have to pay taxes? Does it have to have a forest management plan approved by the government in order to legitimately function as a governance body? Does it need to obtain licenses to operate a forest-based enterprise? Transport permits?
• Does the government provide any training, capacity or technological support to the local forest governance body?
• What are the overall goals of the forest governance body with regard to the forest condition and to the social uses of the forest? What types of rules over which bundles of rights have been established by the governance body? Are the various incentives adequate for motivating long-term commitment by both women and men community members to sustainable forest management? Does it cover a ‘holistic bundle of resources’ meaning both high and low value ones?
• Are there different types of access, use and management rights for women and men of different socioeconomic status for the varied forest products? Is this determined by social norms or by formally established rules? Is there a formal forest management and operational plan? Does it recognize women’s and men’s specific rights? Does the plan influence how forests are actually managed in practice?
• Are women and men both involved in patrolling, monitoring and ensuring rules are complied with?
• How are different types of forest-derived benefits (both subsistence and commercial) shared between women and men in the community? Are these individual or collective benefits?
• If disputes appear, what do they usually revolve around? How are they addressed? Are the dispute resolution systems attentive to gendered differences?
HOUSEHOLD DYNAMICS
- What types of domestic roles do women and men have within their households? Childcare? Cooking? Food collection? Health care? Elder care?
- What type of assets and education do women and men have in the local community? How does it affect the ability of women and men to govern and benefit from the forests?
- What are the decision-making dynamics between women (older and younger) and men (older and younger) within the household? How do negotiations take place? Who controls financial resources? What types of reproductive rights exist?
- Are there any differences in the knowledge that women and men have of the local forests? What factors affect their knowledge? Are there overlaps in knowledge?
- Are there particular geographical spaces women and men are allowed to work in? Only in the home? In specific areas of forests near their home? Which types of forests? Forests further afield?
- How do inheritance and marriage practices and laws affect how women and men are able to benefit from existing forest tenure rights allocations?
- Do women and men have individual bank accounts? Is mobile banking available?
COMMUNITY DYNAMICS
- How is technology (including mobile technology) used by women and men? What types of technology are available? Are they labor-saving or time-saving technologies?
- Are there any collectively-managed funds, resources or groups within the local community? What types of practices are carried out collectively?
GENDERED IMPACTS
- In what way does the level of women’s effective participation on the local forest governance body affect the content of tenure rules as well as the social dynamics around forest use and management? If women’s participation on governance body has increased, how has it changed men’s behavior?
- In what ways have interventions to support gender equality generated women and men’s empowerment? Through: political leadership; control over household income; household decision-making over education or reproductive health; or joining women’s groups and larger political causes?
How can the research for this type of situational gender analysis be conducted? In all likelihood, this analysis will be interdisciplinary, requiring some ecological and substantial social science knowledge. A mix of research methods (methodological pluralism) will be called for because the analysis will need to look across numerous issues such as economic growth, trade dynamics, laws, government administration, governance, rule systems, leadership and the micro-use of forests (Bose 2017; Bose et al. 2017).
There is no simple formula for how to do this action research, but guidance can be found in various publications on gender analysis (see Manfre and Rubin 2012 for example). There are numerous possible methodologies: literature review, participant observation, questionnaires, focus groups or individual interviews with government officials and experts, focus group interviews with NGOs or local communities, household interviews, household socioeconomic surveys, interviews with women leaders, participatory mapping exercises, among others.\(^6\) Where conflict is a significant issue, the *Rapid Land Tenure Assessment* manual is valuable (Galudra et al. 2010). If detailed information on household livelihoods and well-being is needed, the *National Socioeconomic Surveys in Forestry: Guidance and Survey Modules for Measuring the Multiple Roles of Forests in Household Welfare and Livelihoods* (FAO, CIFOR, IFRI and the World Bank 2016) can jumpstart thinking to meet specific needs. Whichever types of methodologies are used, some guiding principles should be kept in mind when designing action research on gender and forest tenure (see Figure 8).
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\(^6\) It is very useful to learn about very specific methodologies that can inspire an approach true to your needs. Take, for example, some from this menu: Mapping Gender Preferences for Tree and Shrub Forages, Understanding Gender Roles in Production and Marketing of Agroforestry Tree Products using Task Assessment, Gender-Specific Assessment of Natural Resources using the Pebble Game, Participatory Resource Mapping for Gender Analysis, Capturing Considered Appreciation of Multifunctional Landscapes through Viewscape Interpretation, Capturing Gender-Specific Understanding of Landscape Functions through Participatory GIS, and Social Network Analysis for Determining Gender-Differentiated Sources of Information and Tree Seedlings among others (see Catacutan et al. 2014a).
The benefits of varied data collection methodologies, especially participatory ones, need to be evaluated before deciding how to go about the study (for a discussion on this, see Nightingale 2003; Colfer and Minarchek 2012; Manfre and Rubin 2012; CGIAR Gender Platform n.d.). In terms of forward-looking approaches, methods such as participatory prospective analysis (PPA) can help plot out future scenarios. PPA explores and anticipates changes and involves foresighting and building alternative scenarios. It also facilitates engagement between multiple stakeholders who may have different and, at times, conflicting perspectives. As a collaborative approach, it brings together actors involved in forest tenure reform implementation to forge a consensus strategy (see for example, Liswanti et al. 2019 on Indonesia, and the methodological guidance in Bourgeois et al. 2017).
Once the data and information have been collated, a draft report can be prepared that can be shared in workshops with specific stakeholder groups to ensure balance in representation and accuracy. When finalized, the status report can be used to prepare a summary or brief (and translated into local languages). This can help to broadly circulate the main findings and recommendations for developing a strategy. Such a study can also be updated after, say, 5 years to provide a sense of direction of change.
**SECTION 1.3**
**FURTHER READING**
Colfer CJP and Minarchek RD. 2012. *Women, men and forest research: A review of approaches, resources and methods for addressing gender*. Occasional Paper no. 80. Bogor, Indonesia: CIFOR.
Colfer CJP. 2013. *The gender box: A framework for analysing gender roles in forest management*. Occasional Paper 82. Bogor, Indonesia: CIFOR.
Manfre C and Rubin D. 2012. *Integrating Gender into Forestry Research: A Guide for CIFOR Scientists and Programme Administrators*. Bogor, Indonesia: CIFOR.
ANALYZING GENDER EQUALITY IN A NEW COMMUNITY FORESTRY STRATEGY: Lessons from the Democratic Republic of Congo
QUESTION FOR REFLECTION
How can an analysis of gender challenges help to bring about gender equality in a new legal framework for community forestry?
In February 2016, the Democratic Republic of Congo (DRC) finalized a new legal framework for community forestry. Compared to neighboring countries, this was an extraordinary development because the local community forestry concessions would be much larger (at 50,000 hectare (ha) maximum), be held in perpetuity by local communities following custom and could be used for multiple purposes (Rainforest Foundation UK 2018). The DRC has the second largest and most intact contiguous tropical forest in the world. This was a huge opportunity to attain gender equality: the potential impact on the 40 million forest-dependent people (half of the national population) could be sizable with some 75 million ha (three-quarters of its national forest area) available for community forestry.
Given this was a new development, the potential to set into motion gender-equitable practices from the start was substantial. Because of the magnitude of the tasks ahead, one international NGO working on community forestry, Rainforest Foundation UK, believed it was essential to learn from small pilots built upon careful analysis of local conditions and only then scale up.\(^7\) Failure early on would disillusion communities. Therefore, when a Roundtable on Community Forestry was created in 2015 in order to prepare a National Community Forestry Strategy (that was finalized in 2018), it set about working out key gender and equality principles.\(^8\) Based on this, a set of 10 pilot concessions was established in western DRC over a 5-year period (2018–2023). The design of these pilots involved a literature review and field-based assessment (in Équateur Province) of the gender issues among Bantu communities (Rainforest Foundation UK 2019b, see also Moise 2019).\(^9\)
Through this process, some key elements of the gender challenge came into focus: women in comparison to men had limited access to education, information, reproductive health services, social and economic networks, and decision-making opportunities (see also
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7 Research examining the financial benefits from community forests in eastern DRC indicates that because of high start-up costs and complex regulatory requirements, the studied community forests had negative financial performance (Lescuyer et al. 2019).
8 In this strategy, gender is considered a “cross-cutting component” and “its strategic axes must also incorporate the perspectives of gender, youth, and vulnerable groups in order to be inclusive.” Additionally, it states that women “are important users of the forest ecosystem and must be taken into account when setting up governance structures, making decisions and allocating concessions.” In particular, it guards against a non-inclusive interpretation of customary practices: “the DRC model based on customary and cultural entities (families, clans and lineages) must not discriminate against women.”
9 Given that Indigenous women face different challenges, gender dynamics in their communities will need to be studied separately.
Although women were as active as men in forest management, this did not translate into authority over decisions at household or community levels (Steim and Krause 2016). Because land rights were clan and lineage based, women were dependent on men for access and ownership, and there was inadequate legislation guaranteeing their rights and inheritance (Moise 2019). In light of these restrictive dynamics, women proposed that one man and one woman from each clan should sit on the local community forestry management committee, which should also include representation from marginalized groups. Here, because different clan unit clusters in a village managed collective affairs at the clan level, the ‘community’ of community forestry needed clan representation. Since gendered relations vary by clan, addressing gender issues across the community is a delicate task.
Most importantly, the gender assessment found that there was a significant need to build capacity among local government staff as well as change attitudes among community members through the support of women’s organizations and other civil society groups. Among the many pro-active recommendations for gender-responsive action were (see Rainforest Foundation UK 2019b):
- Recognize the importance of gender equality in the constitution of management bodies in the current community forestry legislative framework
- Establish a minimum threshold or quota for women participants
- Work toward at least 30% representation by women in local management structures, striving ultimately for 50%
- Foster emergence of women leaders
- Document women’s forest knowledge and practices
- Draw up an inventory of existing collective practices
- Develop indicators that measure the quantitative and qualitative involvement of women, and the benefits they obtain
- Conduct certain activities, such as focus groups or mapping, with women separately
- Ensure that the redistribution of income directly benefits women
- Encourage networking between women from different communities
- Continually raise awareness among different groups of men (elders, heads of household, youth)
- Identify male equality ‘champions’.
Ultimately, these gender analyses led to positive actions to change statutory protections at the provincial level. In Équateur Province, the Coalition of Women Leaders for the Environment and Sustainable Development successfully mobilized to create, for the first time, a provincial decree that protects women’s land and forest rights in May 2018 (Losale and Cyr 2018). Now the Coalition is mobilizing similar changes in Mai-Ndombe, Sud Kivu, and Kongo Central provinces. These actions could be a game changer for national-level recognition of women’s forest rights.
**LESSONS**
Work quickly to identify the gender challenges in creating a new legal framework for community forestry by carrying out gender assessments. These will provide a set of locally tailored gender-responsive interventions in combination with revisions to the legal framework.
I have argued for the need to situate black women’s struggles geopolitically in order to understand the dynamic nature of domination and resistance, and the uneven and multiple power relations within which women act. I have also stressed the heterogeneity of women’s movements, and traced how race and ethnicity intersect with gender, class and other factors to shape Afro-Colombian women’s needs and activism. Lastly, I invoked postcolonial feminism to suggest to forestry scholars and gender experts that it is imperative to reflect critically on the desires and methods to conserve forests and better the lives of Third World women. That is, I bring into the discussion of forests and gender the reminder that development and conservation projects are projects of environmental and social change, and therefore political projects embedded within complex and uneven networks of power relations. Understanding these power relations and how they unfold in a particular location and sector are key to gender and forestry research and action.
Dr. Kiran Asher
Professor of Women, Gender, Sexuality Studies,
University of Massachusetts-Amherst (2016, 217)
CREATING CHANGE
STEP 2: STRATEGIZE
The first step in the situational gender analysis highlights the challenges so that the strategic plan can define the overall direction of change needed to bring about gender-responsive reform of community-based forest tenure. The second step for creating change is: Strategize. It sets out where your community, office or institution wants to be at some point in the future, and what type of steps it will take to get there. If useful, it can include a vision statement of what type of gender-equal forestry world is being sought to capture the inspirational elements that are driving the strategic thinking and work. The strategy can then set out specific goals to be achieved over a given time period. Ideally, it will also include components on communication and influence. Once completed, the third step for change, Realize, can be undertaken to create a roadmap or action plan that lays out what specific set of steps are needed to ensure goals will be within reach.
Developing a strategic plan requires some anticipatory planning. Who should be heading up its development? Ideally, the leadership of the office, organization or village should be the key coordinator, who, with support staff, designs the process for strategic planning. This will involve a meeting, be it for one or two days or longer. Important considerations include who will participate: here, not only should representative staff (gender-equal) be involved, but it may be useful to invite other members of collaborative organizations with whom there is an established and productive relationship, as well as some experts on key themes such as gender and forest management. Consider where it will take place. Will it take place in an office, or will there be an off-site center where participants can socially connect while also focusing on the strategic plan? Then, importantly, having a facilitator who can help to organize the schedule of the strategic planning session and facilitate the main sessions (some will be plenary-style and others will be small group discussions) will be valuable. Careful pre-planning with the facilitator to organize each section of the strategic planning meeting will prepare the ground for a successful collaborative venture. Instilling a culture of listening, joint reflection and brainstorming future possibilities will ensure that the plan supports the overall vision of the participants.
In developing a results-oriented strategic plan, it is useful to first consider the lessons that have emerged from work on forest tenure reform to date (see, for example, Coleman 2019) (Figure 9). They help to scan the current landscape of development thinking, forestry sector objectives and forest tenure context to distill and prioritize what issues first need attention, as well as how to achieve transformation.
Once there is a sense of what the overarching needs are, then it is possible to zoom in on the specific set of goals. Figure 10 provides a list of all the major elements that need strategic attention in securing gender-responsive forest tenure reform. Some of these elements will require a sustained strategy over a long period of time: such as achieving policy or legal reform. Others, such as building a system of recording gender-disaggregated tenure rights, could be put into place more quickly, especially at local levels. When thinking strategically, it is valuable to sequence interventions so that whatever can build success quickly and receive wide public recognition will generate momentum toward the long-term picture.
SECTION 1.4
FURTHER READING
[FAO] Food and Agriculture Organization. 2011. Reforming Forest Tenure. Issues, Principles and Process. FAO Forestry Paper No. 165. Rome: FAO.
Mayers J, Morrison E, Rolington L, Studd K and Turrall S. 2013. Improving governance of forest tenure: A practical guide. Governance of Tenure Technical Guide No.2. London and Rome: International Institute for Environment and Development (IIED) and FAO.
GLOBAL & NATIONAL DEVELOPMENT AGENDAS
• Should be part of a holistic and integrated reform agenda for the forest sector that is in line with policies on gender equality and social inclusion, as well as poverty alleviation.
• Need to be related to goals of the overall national development agenda, including on gender equality.
• Can draw upon global agendas such as the 2030 Agenda on Sustainable Development, the Paris Agreement, the VGGTs, REDD+, and Forest Landscape Restoration to build momentum.
STRATEGY FOR CHANGE
• Utilizes windows of opportunity to ensure that the actions have a higher chance of achieving the desired forest tenure reform goals.
• Identifies powerful change agents: Strengthens women’s, community and indigenous organizations and tenure champions so that they can promote the gender-responsive forest tenure agenda.
• Puts into practice an iterative process that involves collaboration, learning and reflection in the transition to gender equality.
• Collates and shares lessons on the achievements and challenges of local-level forest management institutions and enterprises by tracking change.
Figure 9. Lessons for an effective strategic approach to gender-responsive forest tenure reform.
Source: Adapted from Hobley (2007), FAO (2011, 2014b); Aggarwal and Freudenberger( 2013); Mayers et al. (2013); RRI (2017, 2018, 2019).
NATIONAL POLICY & LAW
• Builds gender-responsive approaches into existing legal and policy frameworks that promote defensible and durable rights, as well as social equity, but proactively considers how implementation can be practically carried out in effective ways.
• Reviews procedures and institutional frameworks to ensure that clear roles, guidelines and provisions are in place for coordinating gender-responsive implementation at all governance levels.
• Aims to harmonize forest tenure systems with land tenure systems.
• Identifies whether there are constructive decentralization processes with which devolution can work to promote gender-responsive changes.
• Builds supportive networks to help gender focal person in forestry ministry carry out their work.
RESPONSIBLE GOVERNANCE OF COMMUNITY-BASED FOREST TENURE
• Aims to understand the cultural and social embeddedness of tenure practices by identifying the multiple local networks that influence how decision-making arenas function.
• Works toward transparent, accountable and participatory tenure governance institutions that are multistakeholder in orientation.
• Where legal frameworks are new for community forms of tenure, works to roll them out through pilots and then at scale so that rights can be translated into valued benefits in practice.
• Strives to ensure there is no rollback or regression of IPLC tenure rights.
• Ensures that forest tenure rules suit the local circumstances, needs and objectives – complex rules mean there will be a lower chance of implementation and higher transaction costs.
• Helps to focus on laws and policies, and also build ‘secure enough’ gendered forest tenure by working on factors that affect perception of tenure security such as social practices, trust in government and legal awareness.
• Promotes and strengthens overall social equity in community tenure regimes through win-win pathways working with male champions.
• Builds gendered systems of compliance with forest tenure rules to ensure that they have minimal transaction costs and maximum enforcement capability.
• Initiates pilots with the private sector on strengthening gender-equal forest tenure rights held by IPLCs in order to promote social impact enterprises and overall economic growth.
| Key Action Arena | Dimensions |
|------------------------------------------------------|---------------------------------------------------------------------------|
| Legal frameworks for tenure rights | • Recognition of all rights and rights holders, including women and men of different status
| • Recognition of a robust bundle of rights that are inclusively allocated to all women and men
| • Recognition of a ‘holistic bundle of resources’ that support women and men’s potential |
| Implementation of legal recognition | • Accessible, efficient procedures suited to both women and men
| • Formal recognition of indigenous and community lands |
| Appropriate regulations for land and resource management | • Management objectives that are attentive to women’s and men’s needs
| • Regulations that are simple, minimize transaction costs, and are appropriate to management objectives
| • Efficient implementation of permitting processes
| • Recognition of the diversity of resource-based livelihoods |
| Effective support from responsible government agencies | • Participatory and adaptive processes for decision-making with equal participation from women and men
| • Political will and aligned objectives including gender equality
| • Clear and mutually supportive mandates for responsible agencies that include gender equality
| • Capacities and financial resources for gender equality transformation through the government’s implementation roles |
Figure 10. Key action arenas for securing gender-responsive forest tenure reform.
Source: Adapted from World Bank (2019a).
5. **Empowered and inclusive tenure governance**
- Inclusive institutions and decision-making processes that include women and men of different status
- Community defined rules and/or plans for land and resource governance
- Capacities and financial resources for tenure security and role of tenure institutions
- Multilevel links to social mobilization, advocacy and support organizations such as women’s organizations and forestry federations
- Enabling frameworks for enterprise development
6. **Systems for recording tenure rights**
- Comprehensive gender-disaggregated and accurate information
- Accessibility and affordability of the system in order to record, maintain/update, and share information on tenure rights
7. **Enforcement of tenure rights**
- Gender-sensitive capacities and mutual support among institutions responsible for enforcement
- Effective implementation of monitoring and enforcement systems involving both women and men
8. **Protection of tenure rights in relation to other forms of tenure and land use**
- Legal clarity and resolution mechanisms for rural and environmental policy coherence
- Strong safeguards to avoid infringements on tenure rights – including Free, Prior and Informed Consent (FPIC) and environmental and social standards
9. **Conflict and dispute resolution**
- Accessible and competent mechanisms to resolve disputes initiated by women and men over tenure rights
- Effective gender-sensitive resolution of disputes
STRATEGIZING FOR A GENDER LEAP FORWARD: Aliansi Masyarakat Adat Nusantara (AMAN) mobilizes women’s knowledge for customary forest recognition in Indonesia
QUESTION FOR REFLECTION
How can anticipatory participatory mapping work to incorporate women’s knowledge into accelerated large-scale customary forest lands recognition?
In a landmark case, the Indigenous People’s Alliance of the Archipelago (Aliansi Masyarakat Adat Nusantara, AMAN) in Indonesia filed a request in 2012 for an official juridical review of Forestry Law no. 41 of 1999. They asserted that although the law recognizes the existence of customary forests (hutan adat), these forests would be designated and managed as state forests (hutan negara). AMAN argued that this law went against the principles enshrined in Indonesia’s Constitution. In response, Indonesia’s Constitutional Court Ruling no. 35/PUU-X/2012 (known as MK 35) established a major precedent by asserting that customary forests would no longer be part of state forests. This ruling has legitimized the massive transfer of forest tenure rights from the government to customary communities affecting some 50–70 million Indigenous peoples living in and around Indonesia’s forests. The question is how quickly can this process actually take place?
In 2010, prior to this juridical review, AMAN had preemptively started laying the groundwork for the gendered recognition of customary rights. It actively involved women in its participatory mapping of customary forests (covering more than 7 million ha to date). In addition, it set up an Ancestral Domain Registration Agency (Badan Registrasi Wilayah Adat, BWRA), together with the Indonesian Community Mapping Network (Jaringan Kerja Pemetaan Partisipatif, JKPP) and Forest Watch Indonesia (Down to Earth Indonesia 2010). The BWRA establishes standards for community participatory mapping and documentation. It operates as a service center that registers, verifies and certifies claims prior to submission to the Ministry of Environment and Forests. It also integrates these maps into other governmental unified mapping initiatives. From the beginning, JKPP’s mapping approach recognized the importance of women’s knowledge about boundaries and resources in their areas (Down to Earth Indonesia 2014).
Rather than a blanket gender approach, JKPP understood the need to consider actual local gender dynamics, including the level of women’s leadership and authority in different customary communities across the archipelago. The previous National Coordinator of JKPP, Kasmita Widodo (now head of BWRA) reflected that where women have taken the lead in their communities, such as in pushing against mining takeovers, they have also played a dominant and strategic role in their participatory mapping work. In some areas (such as among the Tanah Ai indigenous community in Flores...
of East Nusa Tenggara) where women are the formal land rights holders paying the land tax, they naturally assumed a leading role in mapping and land-use decision-making. Even when women have not been in the lead, JKPP’s work mobilized one woman from each village in the mapping team, held women’s focus group meetings, organized a women-only facilitation team to go from home to home and held meetings at times and locations that suited women’s schedules.
Although the first round of MK 35 implementation has been very weak, with only 66 *hutan adat* certificates having been issued for over 44,630 ha by 2020 (with the largest in Kalimantan for 9480 ha),\(^{10}\) there are many positive signs emerging. The Tenure Facility is supporting a significant expansion of AMAN’s participatory mapping efforts (The Tenure Facility n.d.), in particular by incorporating gendered perspectives. In parallel, there has been a new tide of organizational change strengthening women’s involvement in customary forest mapping. In 2012, AMAN established a wing called Perempuan AMAN (Association of Indigenous Women of the Archipelago) (Perempuan Aman n.d.). Its chair, Devi Anggraini asserted that its goal is to involve more women in both community participatory mapping and drafting laws at the local and national levels to build women’s economic development. Additionally, both the recent heads of AMAN, Rukka Sombolinggi, as well as the lead for the national Consortium for Agrarian Reform (*Konsorium Pembaruan Agraria*, KPA) (supporting customary tenure rights) are women. These developments have occurred against a background in which little attention has been paid to gender and forest tenure in Indonesia (Siscawati and Mahaningtyas 2012; Siscawati 2020). All in all, the landscape of gender-responsive initiatives has blossomed to ensure that the large-scale implementation of MK 35 is a socially inclusive endeavor.
**LESSONS**
Anticipate the importance of gender-responsive participatory mapping when setting up the groundwork for recognition of customary forest tenure by understanding local gender specificities and building women’s leadership in key national and legal organizations.
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\(^{10}\) See the government site for updated data on *hutan adat*: [http://pkps.menlhk.go.id/](http://pkps.menlhk.go.id/)
As a woman, 35 years ago in a school of forestry, I needed to be trained in something that a company would hire me for, so I decided to work in tree improvement. [...] Entering a male-dominated industry was challenging. [...] It made me stronger, and I think I learned about leadership. One of the things I learned is that all of your success or failure depends on how you do things. It’s not about your knowledge, it’s not about your capacity, it’s how well you do things.
Ivone Namikawa
Co-chair, the Forests Dialogue (Santiago 2020)
CREATING CHANGE
STEP 3: REALIZE
This third step, *Realize*, is centered on how to design and implement interventions that can bring about the changes sought in the strategic plan. This forms the road map or action plan. One of the main difficulties faced by tenure reformers is that the strategic plan is never actually implemented. What this means is that consideration must be given to what is practically feasible given the political landscape, who the collaborative agents of change can be, the budgetary scenario and the human resources available to carry it out. The reality is much more complicated, time-consuming and unpredictable than an idealized scenario. Achieving positive results will need both short-term and longer-term actions that will build confidence and enthusiasm for achieving the goals. This demands a rather tenacious approach.
In any road map, it is essential to identify the process of change needed for achieving any sub-goal that relates to a particular action arena. This process is likely to be a step-wise one, engaging with four different spheres of action (Figure 11).
Careful thinking about who the partners for change will be helps to bring about the targeted goal. Who are the critical actors and what are the levers of change needs deliberate reflection (Bhalla 2016)? Which organization has networks and influence over particular action arenas? Which leaders will be able to anchor the local work so that a productive and well-targeted approach can be put into place? What is the right way to slowly nurture such leaders who possess influence and strategic knowledge?
How can influential CSOs be supported with training on tenure issues (see FAO 2014b; and FAO and FIAN International 2017, for example)? Some important pointers in thinking about collaborating partners are:
- Diversify your view of change pathways and change agents – do not always choose the usual suspects; think and think again.
- Identify women change agents – in women’s organizations as well as influential women leaders, but also those coming into their own through considerable experience and determined motivation.
- Work with men as allies and identify male champions and leaders of organizations who actively pursue gender equality in the forest sector.
Figure 11. Four action spheres for gender-responsive forest tenure reform.
- **ENABLING PROCESSES**
Policy, law, regulatory and government administrative frameworks and processes at the national and local level
- **TENURE GOVERNANCE**
The gender-responsive governance of tenure at the local or community level
- **RIGHTS AND RESPONSIBILITIES**
The particular bundle of rights and responsibilities allocated to IPLC women and men by enabling frameworks and local forest governance bodies
- **NETWORKS**
Organizations and networks that mobilize change
• Take the time to consider who are likely to oppose changes and how they can be brought into the processes and dialogues for change.
• Actively build the capacity and effectiveness of key members of coalitions and networks in support of the strategic plan goals such that change can be activated at both national and local levels.
• Think together about how robust engagement can be put into place so that leaders with influence, such as parliamentarians and other policymakers or village heads, can be inspired to take on board the long-term challenge of reform.
For each component of the road map or action plan, carefully reflect on what the right type of entry point is (see Marin and Kuriakose 2017). Then consider what the realistic pathway for change can be (see Figure 12 for a range of examples). Rather than think broadly about a goal, such as reforming the forest law to ensure that gender is addressed across all dimensions: narrow in, and think about how to bring specific principles into play within the forest legislation such as representation in decision making, or how gender concerns should be internalized in developing a forest management plan. Law is one thing, yes, it enables: but looking carefully at regulations and guidelines also is well worth the effort. As is clear, the devil is in the details.
SECTION 1.5
FURTHER READING
[FAO] Food and Agriculture Organization. 2014. *Strengthening Forest Tenure Systems and Governance. Training Module for Facilitators*. Rome: FAO.
Kristjanson, P, Bah T, Kuriakose A, Shakirova M, Segura G, Siegmann K and Granat M. 2019. *Taking Action on Gender Gaps in Forest Landscapes*. Working Paper. Washington, DC: PROFOR.
| GENDER GAP ADDRESSED | ACTION ARENA IN WHICH GAP IS ADDRESSED |
|--------------------------------------------------------------------------------------|----------------------------------------|
| Lack of gender focal point in forest ministry | Forest ministry leadership |
| No specified requirement in enabling legal framework on forest tenure regarding level of women's representation in local governance body | Forest ministry unit responsible for legal drafting |
| Lack of gender-disaggregated data and data collection methodology guidance on forest tenure | Forest ministry |
| Patriarchal gender norms and moral values in forest-dependent rural communities with existing forest tenure rights | Local tenure governance level |
| Women's heavy labor burden of child care and household responsibilities preventing their active engagement in forest tenure institutions | Local tenure governance level |
| Gender-blind local forest management plan | Local tenure governance level |
| RELEVANT STAKEHOLDERS/ACTORS | ILLUSTRATIVE INTERVENTIONS |
|-----------------------------|----------------------------|
| Forest ministry members supportive of gender focal point, leaders of Ministry of Women, and leaders in women’s organizations | Build political will around the necessity of a gender focal point to meet the new planning agenda of the government. |
| Legal unit of forestry ministry, legal experts on forest tenure, and leadership from women’s and forestry research organizations | Carry out action research on how women’s representation in different tenure institutions affects forest use and management, livelihoods and equity to inform why this requirement is vital for fairness, good development and sustainable forest management. |
| Forest ministry, women’s research institute; and forestry NGOs/CSOs and federations | Propose a gender-disaggregated database system and hold a multistakeholder workshop to discuss its structure and content. |
| Local forest tenure governance institution members; local government staff; and forestry and women’s NGOs/CSOs and federations | Carry out awareness raising activities with different groups of men and women to consider how alternative gender norms and moral values could support a socially inclusive approach to forest tenure and management. |
| Local forest tenure governance institution members; forestry and women’s NGOs/CSOs and federations; and appropriate technology organizations | Consider what type of infrastructure (technological or otherwise such as a collective grain milling service) used jointly at the village level could reduce women’s labor burden in an affordable and accessible way to all. |
| Local forest department staff, executive committee members of local forest tenure institution; forestry and women’s NGOs/CSOs and federations; and experts on participatory mapping | Through the support of gender-transformative participatory mapping approaches, build an understanding of the different forest zones and their uses, sustainability levels, and associated silvicultural techniques to establish a baseline in conjunction with forest extension services. |
HARMONIZING CHANGE: Gender equality and the Community Rights Law of Liberia
QUESTION FOR REFLECTION
Why does the National Forest Policy of Liberia not match the principles set out in its National Gender Policy when it comes to gender equality?
In Liberia, a post-conflict country, has been going through a lengthy peace-building and reform process that has included land and forest tenure reform. Active steps were taken to integrate gender equality into the 1986 Constitution, create a Ministry of Gender and Development in 2001 and issue a National Gender Policy in 2009 (later revised and validated for the period 2018-2022). However, the laws governing forest policy, such as the 2009 Community Rights Law (CRL), only refer to gender issues in passing (Weah 2012; Bandiaky-Badji et al. 2016; Zinnah et al. 2020). This is somewhat contradictory since Liberia is clearly committed to gender equality: the Constitution enshrines the principle of equal rights for men and women and prohibits gender discrimination; and it is also a CEDAW signatory. Therefore, this mismatch is probably the result of timing: the Gender Policy and CRL came out in the same year of 2009. So what is to be done now?
It is clear that all the objectives of the National Gender Policy directly relate to the forestry sector. The policy provides a comprehensive set of goals: promoting gender-equitable socioeconomic development; enhancing women’s and girl’s empowerment; increasing gender mainstreaming in national development; and creating and strengthening structures, processes and mechanisms in which women participate equally and that ensure women and men can equally access, control, and benefit from the country’s resources. Certainly, these objectives have already been applied to the land tenure sector. Ex-President Ellen Johnson Sirleaf, the first democratically elected female head of state in Africa, was vocal in her support of the legal recognition of women’s land rights. As a result, the 2018 Land Rights Act sets out strong ownership and customary land claims for women (and youth from minority groups) stating they have equal rights to use and manage community land. It also requires the community land governance body to be equally composed of women, men and youth and make decisions by consensus. Further, it establishes that concessions need to adhere to national gender and other related policies (Dodd et al. 2018; Zinnah et al. 2020).
When it comes to forestry, the scenario is puzzlingly different. The CRL was developed in accordance with the 2006 National Forestry Reform Law in order to empower communities to fully engage in sustainable forest management. While the CRL permits the creation of a Community Council as its highest decision-making body, it only asserts that it is up to the community to ensure that all gender and community segments are represented (Weah 2012; Onzere et al. 2020). Moreover, the CRL only directly refers to women in section 4.2(a) when it states that “a five member Community Forestry Management
Body shall manage the day-to-day activities of community forest resources. At least one member of the body shall be a woman” (Weah 2012). This superficial treatment of gender equality means that no gender analysis has been carried out of forest sector policies and laws, and as a result, neither the Forest Development Authority nor NGOs give serious attention to gender issues (Weah 2012).
In practice, women living where customary law prevails face obstacles in obtaining the rights granted under the Constitution (Weah 2012). Within Community Forest Development Committees, no more than two women are represented among its 10 members, and only nominal positions such as treasurer or chaplain are offered to women. A recent study that examines the obstacles to women’s participation in forest management looked at the detailed differences among three categories of women, those with: severely limited asset livelihoods (SLAL), low asset livelihoods (LAL) and adequate asset livelihoods (AAL). For the first two, there was a substantial struggle to provide sufficient food due to different levels of labor and resource shortages. As such, these women could not devote time to community activities. Only those with AAL were able to allocate time to participate in forest management committees. The result was that AAL women were able to benefit from this participation through reducing their overall vulnerability, and as such, the gap between them and SLAL and LAL widened (Onzere et al. 2020). New initiatives to empower women through legal education and other supportive activities are now underway and hopefully will lead to the CRL being amended (Haywood 2019).
Some of the recommendations offering solutions include (Weah 2012):
- Initiate national dialogue to brainstorm and agree on way forward
- Build the capacity of NGOs working on gender and women’s issues
- Build the capacity of community-based organizations
- Democratize local decision making
- Build alliances and networks
- Expand women’s livelihood options.
**LESSONS**
Having a Constitution that enshrines gender-equal rights and a national gender policy do not automatically pave the way for a gender-responsive forest law or policy: a strategy has to be forged to purposefully create that change.
BERK RESTORASI
Unless women have equal standing in all laws governing indigenous lands, their communities stand on fragile ground. For many indigenous peoples, it is the women who are the food producers and who manage their customary lands and forests. Safeguarding their rights will cement the rights of their communities to collectively own the lands and forests they have protected and depended on for generations.
Victoria Tauli-Corpuz
ex-UN Special Rapporteur on the Rights of Indigenous Peoples (Down to Earth India 2017)
Whether the motivation to reform forest tenure policies and laws in a gender-responsive way comes from local-level community needs, global or national government agendas, donors or CSOs, a central element of reform is the development of well-crafted policies and laws as part of an overall forest tenure regulatory framework. While many countries have forest policies, and increasingly ones that recognize forest tenure as a key requirement for improving forests, the issue of gender equality is not given importance. In many countries, forest sector laws and policies are either altogether silent on this issue or provide a simple statement calling for attention to women’s needs. National laws and regulations on the rights of IPLC women to inheritance, community membership, community-level governance and community-level dispute resolution are routinely unjust and not close to meeting the requirements of international law and related standards (RRI 2017).
One cannot assume that things will be better when newly designed forest policies are implemented. Gender blindness is a pervasive problem, be it among forest sector policy makers or government staff. It is not a problem limited to one small domain of the government law-making or administrative system –it is widespread from the central level to local offices. Ensuring gender integration in all forest tenure laws and policies needs to be a central component of the overall forest tenure regulatory framework (see Figure 13). Other critical dimensions of the regulatory framework such as supportive government services for recording tenure rights will enable the policy and legal core to be implemented.
Any program to address gender equality will have to consider whether existing forest policies and laws are clear and coherent when it comes to equality.
Reform policy and legal frameworks on forest (and/or land, etc.) sector, together with supportive regulations, that address tenure rights so that both women’s and men’s rights to use, manage and benefit from forests, and participate in boundary demarcation, governance and decision making are recognized and protected.
Support implementation of legal frameworks through multiple avenues such as media communication, capacity building of local government staff and provision of adequate budgets.
Determine detailed regulations that support the implementation of the legal frameworks with attention to the local ability of women and men to comply over the long term.
There are multiple ways in which government agencies support forest tenure rights for women and men: recording tenure rights, administration of forest planning, land-use planning information systems and forest extension services. These need to be carried out in ways that make it possible to recognize and protect these legitimate rights for women and men.
Develop protocols for the formal documentation of forest tenure rights for women and men to ensure that incentives for sustainable forest management are in place. Such records can support any conflict resolution involving overlapping or ambiguous rights allocations, and should be accessible to women and men in low-cost and time-saving formats.
Ensure that the enforcement of forest tenure rights is carried out with gender equality in mind. Enforcement methods will need to include gender-sensitive ways of monitoring, patrolling, sanctioning and overall compliance. In addition, educate the communities dependent on forests about the existing laws and regulations so that their tenure rights cannot easily be ignored, be it by outsiders or those who seek to illegally access resources.
Build mechanisms to protect existing forest tenure rights from incursions be they for concessions, establishing conservation zones or REDD+ initiatives. Address legal overlaps and review government actions to recognize the rights of third parties. Without a set of strong protections, there will be tenure insecurity and a reduced willingness to invest time and effort into sustainable forest management by women and men.
Address disputes and conflicts in a gender-sensitive way. These mechanisms will need to be attentive to the different needs of women and men in terms of the ability to defend their rights and communicate their concerns.
Figure 13. Key components of gender-responsive forest tenure regulatory framework.
Source: Adapted from World Bank (2019a).
between women and men, and that gender equality is integrated across all provisions. The VGGT calls upon governments to create and maintain policies and laws that permit the responsible governance of tenure that includes gender principles (FAO 2012). In addition, any additional policies, laws and procedures should be developed through a participatory process in which civil society, private sector and academia can contribute to realization of the government’s stated objectives.
Typically, when existing forest policies are updated, an important window of opportunity appears to reconsider how gender can be addressed. This then forms the basis for legal and regulatory reform. Drawing upon the overall tenure assessment carried out under the Analyze step set out earlier, it is possible to identify the level of gender equality recognition in existing policy and laws: minimal, improved or good (Figure 14). Based on this, a detailed review of the existing enabling legal framework and related regulations (including bylaws) can be carried out with a gender lens. Thereafter, a sequential plan of action that aims to create fundamental changes at key nodes of the forest regulatory system can be followed up by gradual and consistent ways of building capacity, strengthening knowledge systems, and ensuring real enforcement where it matters. Importantly, decisions as to strategic points of engagement and collaborative partners need to be made. As is obvious, this whole process is no small task but produces enduring shifts in social equity.
Why different countries adopt divergent approaches toward gender equality cannot be explained simply. For example, in one region such as South Asia, a small country facing considerable poverty such as Nepal has a relatively strong set of protections for women and men in the forest sector, compared to a large, more developed country such as India, where the latest Draft National Forest Policy does not mention gender or women at all (Bose 2018). In many countries, affirmative legal changes may have been achieved but then implementation remains weak for a host of reasons. Take the case of Uganda, where some key steps have already been taken because the Forestry Policy, Forestry Act and the Forestry Plan all address gender and women’s specific needs (Mukasa et al. 2016). In the end, though, the results are not strong because implementation is weak, and cultural norms, beliefs and practices continue to be obstacles to equal participation and benefit sharing (Banana et al. 2013; Mukasa et al. 2016; Monterroso et al. 2019).
Typically, it has been significant mobilizations for social justice or women’s rights by forestry federations and networks or by parliamentarians that have led to positive changes in the policy and law. For instance, in the case of Indonesia, gender mainstreaming gained momentum during the introduction of Gender-Responsive Budgeting by the Minister of Finance in 2009 as well as mobilizations by local organizations around REDD+ policies and activities (Arwida et al. 2017). The Ministry of Environment and Forests reinvigorated the Gender Working Group in 2012, began gender-responsive budgeting, organized training on awareness about gender equality and increased the capacity to carry out gender analysis. This mobilization often works through multistakeholder consultative platforms for policy development, be it for a forest sector policy or a gender strategy for the forest sector. The uptake of this work also depends on whether the forestry ministry is receptive to such calls for change. There need to be influential agents of change within the ministry itself, be they women or men. Building up effective momentum to achieve the aspired changes in the forest tenure policy and legal framework requires a coordinated and consistent push by parliamentarians, forest sector federations, NGOs, CSOs, donor agencies and private sector groups to create alliances and strengthen the authority of key women and men champions.
Often, the first step in creating gender-responsive transformations in forest tenure lies in the national forest policy (sometimes called forest strategy). It establishes a long-term vision for the forest sector that not only includes aspirations and objectives but also sets out what types of actions are needed to attain that vision over a specified time period. Most importantly, this national forest policy needs to be put into action
by the government’s forestry agency at its highest level and inform its daily practice. The forest policy covers fundamental principles (such as multidimensional goals, gender equality, poverty reduction, devolution orientation, good governance principles and so on) that inform the overarching legal, policy and institutional frameworks. It also covers the different categories of productive and conservation forest use, the condition of forest health across landscapes, forest industry (including locally owned forest-based enterprises), biodiversity concerns, forest and land tenure, community forestry, financing and investment, and PES. In other words, it covers the entire gamut of concerns within the forestry sector, all of which need to be seen through a gendered lens. In this way, a gender-responsive, multidimensional and holistic approach to forest policy can be developed.
Forest policies can only be gender-responsive if the conditions for multistakeholder dialogues give explicit attention to participatory inclusivity in terms of women, indigenous peoples and marginalized communities (FAO 2010, 2020b; see also Bandiaky-Badji 2011 on Senegal). In this way, gender equality principles will become integrated across the full range of themes that are present in any well-designed forest policy. That is they will be evidence based, linked to national and global development agendas (such as SDGs), negotiate compromises across diverse interests, be cross-sectoral in approach, consider the portfolio of tenure and governance regimes, be socially inclusive, be planned for the long term and be adaptable to emerging needs. Through a carefully considered dialogue, a gender-responsive policy that promotes sustainable forest management across all forest types within the national territory can be negotiated and agreed to. Preliminary consultations in different regions of the country can build up the picture from the ground level. This can include women-only meetings and other modes of strengthening contributions to the policy dialogue. In parallel, an evidence base needs to be prepared on the relationship between gender and forest tenure to inform policy-making. Various guides are available on how to carry out policy engagement and policy influence (see ODI n.d.).
When it comes to forest tenure, depending on the national commitment to different degrees of devolution, gender-responsive forest tenure arrangements will either be promulgated solely through policy measures, or through enabling legal frameworks that offer a stronger set of protections. In the case of India, the older joint forest management (JFM), a form of devolved management, was put into action through the 1988 National Forest Policy, whereas the 2006 Forest Rights Act mobilized a stronger set of individual and community tenure rights for ‘tribal’ (adivasi) communities and OTFD. While the FRA has a much more gender-sensitive commitment than JFM, it is the actual particulars of how gender intersects with other social axes that need policy attention (see Elias et al. 2020). The chances of that type of reflection, however, appears to be receding in India as the most recent draft of the new National Forest Policy has become more interested in industrial forestry and does not mention women’s or gendered forest rights or the importance of gender fairness (Bose 2018; Warrier 2018). Where national forest policy addresses pro-poor forest tenure issues, women’s concerns automatically come into play because they are typically marginalized and receive fewer high-value benefits from devolved tenure systems (Hobley 2007; Miller et al. 2020). Even where policies are being developed for program-specific purposes, such as REDD+, the involvement of women decision makers requires very careful preparatory work. Given the limited number of women at senior levels of forestry agencies, the chances of women becoming influential members of REDD+ working groups is slim (Pham et al. 2016).
Once a national forest policy has been finalized, the task of reforming forest tenure legal frameworks can be taken up. While each country has very specific processes, promoting gender-responsive transformation of law can include a number of different activities at the national or subnational level (Figure 15).
Figure 14. Three stages of gender-responsive forest tenure policy, law and administration.
| LEVEL 1 | MINIMAL |
|---------|---------|
| Constitution does not refer to issue of non-discrimination between women and men. |
| Forest sector laws, policies and strategic plans related to forest tenure do not address gender issues. |
| Government does not refer to importance of addressing gender issues within its administrative system. |
| No office in forest ministry to support gender equality. |
| LEVEL 2 | IMPROVED |
|---------|----------|
| Constitution establishes principle of non-discrimination between women and men. |
| Forest sector laws, policies and strategic plans related to forest tenure broadly state importance of equity in a gender neutral way but there are no specific stipulations set out regarding how this is to be addressed in terms of governance, use rights, management and benefits. |
| Government underscores importance of gender equality within its administrative system but does not spell out how this is to be put into practice. |
| A gender focal point in the forest ministry is appointed but with little support from leadership. |
| LEVEL 3 | GOOD |
|---------|------|
| Constitution establishes principle of gender equality and women’s empowerment. |
| Forest sector laws (and other relevant sectoral laws such as on land and finance), policies and strategic plans related to tenure clearly articulate how gender equality is to be achieved in governance, use rights, management and benefits; clear guidelines and provisions are established. |
| Government not only recognizes importance of gender equality within its administrative system but also sets out protocols to be followed by senior and junior personnel, and assigns human and financial resources. |
| A gender focal point in the forest ministry is actively supported by leadership and provided funds to initiate mainstreaming and project activities. |
| Level of Gender Equality Recognition | No recognition of need to train forest sector staff on gender dimensions of forest tenure in policy and law. | No reference to gender equality concepts within forest sector. | Little evidence of women leadership within the forest sector. | Little evidence of women’s engagement in forest tenure policy- and law-making process. | No stipulations for women’s role in forest tenure decision-making institutions at national or local levels. |
|-------------------------------------|-------------------------------------------------------------------------------------------------|---------------------------------------------------------------|-----------------------------------------------------------------|---------------------------------------------------------------------------------|--------------------------------------------------------------------------------|
| | Preliminary training of forest sector staff on gender dimensions of forest tenure in policy and law. | Limited dissemination of gender equality concepts across forest sector. | Some women appointed to leadership positions who are not influential within the forest sector. | Some women play an active role in forest tenure policy- and law-making process. | Stipulations set out need for 30% women’s representation in forest tenure decision-making institutions at national or local levels. |
| | Good, targeted and consistent training of senior, junior and local-level forest sector staff (including enforcement personnel) at different governance levels on gender dimensions of forest policy and law including implementation. | Good dissemination of gender equality concepts across all departments of forest sector that allows for long-term adoption and institutionalization of gender mainstreaming practice. | A number of women are appointed to influential leadership positions within the forest sector at different governance levels. | A number of dynamic women play a leading role in forest tenure policy- and law-making process at different governance levels. | Stipulations set out need for 50% women’s representation in forest tenure decision-making institutions at national or local levels. |
A number of laws (such as forestry, land, inheritance), including the Constitution, will need to undergo a gender and tenure review to put them on a stronger footing (see Figure 16 for a list). Such a review needs to consider whether laws and associated operational regulations governing community-based forest lands cover all the necessary tenure elements in order for an effective and fair system of forest community-based management to be set up (ClientEarth 2019, 2020; see also Larson and Pulhin 2012). Whether a new law is being drafted, or an existing law is being revised, a participatory process can foster the development of a law that is not only integrated but covers the perspectives of all involved in the governance of forest tenure arrangements that are inevitably polycentric in nature (see Armitage 2008; Meinzen-Dick et al. 2020). Where national law is not sufficiently strong on gender and forest tenure issues, such as for REDD+ implementation, international law can be leveraged to strengthen them (Silverman 2015).
Creating a set of knowledge products and guides to show how to promote gender equality in legislative work on forestry issues.
Building linkages to gender equality advocates outside formal channels through sustained engagement.
Preparing a statement by those submitting draft laws to the parliaments or subnational governments on their gender implications which then becomes a mandatory part of the first legislative reading.
Developing participatory dialogues on the VGGT gender principles as part of a legal assessment against VGGT guidelines as they relate to the forest sector with relevant government agencies, parliamentary members, legal experts, NGOs/CSOs, academics and experts, and donors (FAO 2016c).
Training parliamentarians and law makers to ensure they know how to integrate gender into all dimensions of their work.
Working with the legal department staff in order to integrate a gender perspective into the legislation sent to Parliament from the executive branch.
Creating reward and recognition mechanisms for those working to improve gender equality provisions within the forest sector and other related legislation.
Ensuring there is dedicated gender equality infrastructure such as a parliamentary or ministry committee on gender equality or a women’s parliamentary caucus.
Developing a theory of change for gender equality focused legislative assistance.
Including a gender expert in the legislative department who then ‘gender proofs’ the draft laws.
Reducing the obstacles for women parliamentarians or lawmakers carrying out their roles (“substantive representation”) rather than focusing on just quotas for women (“descriptive representation”) while also building their understanding of gender and forest tenure issues.
Figure 15. Interventions to support gender-responsive review of laws related to forest tenure at the national or subnational level of government.
Source: Adapted from UNDP (2018)
National Constitution
- Non-discrimination and equal protection regarding gender
- Prohibit discrimination against children
- Recognize customary laws/practices to the extent that they comply with the constitution
- Do not provide exemptions for constitutional compliance
- Self-executing human rights treaties
- Equality within family and marriage
- Guarantee inheritance rights
- Affirm women’s equal legal capacity
- Affirm economic rights related to property, rural land and natural resources
Laws regulating community lands and forests
- Prohibit gender-based discrimination with respect to land and forests
- Render discriminatory customary practices void
- General affirmation of women’s land, forest and property rights
- Gender-inclusive land allocation, titling, and certification processes, including women-headed households
- Recognize women’s right to economic empowerment
- Recognize women’s community-level membership rights
- Recognize women’s equal inheritance rights at a community level
- Right to substantively participate in community-based decision-making processes
- Recognize women’s rights to participate in community land negotiation, acquisition and redistribution processes
- Recognize women’s rights to hold positions within community-level leadership and dispute resolution bodies
- Recognize women’s right to bring land/forest disputes before community-level forums and other forums
Civil codes, family codes, and laws on succession, marriage and domestic violence
- Recognize women’s equal, civil, familial and economic rights
- Equal protection for girls
- Prohibit domestic violence, including economic violence, against all women
- Recognize women’s legal capacity
- Recognize women’s equal property rights
- Spousal consent required to dispose of marital/jointly held, used, or possessed property
SECTION 2.1
FURTHER READING
ClientEarth. 2020. *Toolkit for Enabling Laws on Community Forestry*. London: ClientEarth.
Keene S and Ginsburg C. 2018. *Legislative Best Practices for Securing Women’s Rights to Community Lands*. Washington, DC: Rights and Resources Initiative (RRI).
GRASSROOTS INSPIRING CHANGE
Gender and community forestry guidelines in Nepal
QUESTION FOR REFLECTION
How can policies promoting gender equality developed by forestry federations or grassroots groups influence government regulations?
In Nepal, it was the gender equality rules first set up by the Federation of Community Forestry User Groups, Nepal (FECOFUN) that were later adopted by the Community Forestry Guidelines issued under the 1993 Forest Act. During the drafting of the FECOFUN Constitution in 1995, after a defiant and protracted struggle by a group of women for 33 days, FECOFUN finally voted that 50% of its executive committee members at the national, district and local level had to be women (Chapagain 2012). In addition, a woman had to occupy one of each of the key office-bearer positions for Chairperson or Vice Chairperson, as well as Secretary or Treasury. The aim was that such forms of gender equality will lead to women’s autonomy, and that, at a fundamental level, it would challenge the stereotypic idea of male leadership.
This was a landmark decision with significant impact because FECOFUN’s 19,300 or so community forestry user groups (CFUGs) across the country cover some 40% of Nepal’s population. FECOFUN was initiated in July 1995 from the vision that CFUGs should be connected together to learn from each other and to strengthen their role in the forestry policy-making process. This multi-tiered federation is a social movement organization that was galvanized by Nepal’s democracy activism in the 1990s (Ojha et al. 2007) and is now the largest civil society organization in the country (Paudel et al. 2010). Since its beginning in 1995, two women have been elected chairpersons of the national federation, one of whom was a founding member (RECOFTC 2018b, c). With gender equality central to its mission, women’s membership in CFUG executive committees today stands at 35% moving closer toward its 50% goal.
Soon after, in the mid-2000, the Nepal government with the encouragement of donors began to forge a “Gender and Social Inclusion” (GESI) strategy for the forest sector (Jhaveri 2013). Some important developments led to this gender strategy: first, the Ninth Five-Year Plan (1997-2002), saw a shift from the earlier WID approach to a GAD framework. Second, the World Bank together with UK’s Department for International Development prepared a comprehensive Gender and Social Exclusion Assessment across government sectors in 2006. As such, in 2003 the forest sector gender work began on preparing a GESI strategy as well as a Gender, Poverty, and Social Equity monitoring framework. After these were completed in 2007, the earlier Community Forestry Guidelines under the 1993 Forest Act were amended in 2009: now, instead of the earlier requirement that 30% of CFUG executive committee members be women, it required 50% be women members (Paudel et al. 2010). In addition,
both women and men in a household could become CFUG members and therefore participate in general assembly meetings. The taskforce that prepared these guidelines included members from FECOFUN and HIMAWANTI (a women’s natural resource NGO) and involved widespread grassroots consultations through FECOFUN channels. Another important feature of Nepal’s CFUGs is that there are over a thousand women-only CFUGs.
The positive multiplier effects of the gender equality principles in the Community Forestry Guidelines can be seen in the first local government elections in 20 years that took place from May to September 2017 after the country moved to a federalist model. Numerous women who had engaged with community forestry ran and won seats having attained greater confidence and sense of vision (FECOFUN and RRI 2018). For example, Manju Malashi who was treasurer of FECOFUN’s National Secretariat was elected mayor of Silgudi municipality in Doti district, and Kamala Basnet, a FECOFUN central committee member, was elected deputy mayor of Bhimeshwor municipality in Dolakha district. Some 41% of all local, elected government positions are now occupied by women. Since FECOFUN’s inception, therefore, it has been spearheading women’s active engagement in decision making, first in community forests and now in local government.
LESSONS
An influential and effective national forestry organization or federation with representation that reaches across the country and strong gender equality principles built into its Constitution creates the grounds for the government to adopt the same gender principles in forest tenure.
I always like to say: “One cannot walk far with just one leg.” What I mean by this is that we, both women and men, need to know, equally, in what way and how to protect our forests. Mexico is a shining example of the progress being made in mainstreaming gender, and, while there are other nations that have also made important advances, it is crucial to share Mexico’s experience and best practices with other countries so that they can learn from and emanate these best practices.
Lorena Aguilar
Global Senior Gender Adviser IUCN (2017)
2.2
BUILDING FORWARD: GENDER RESPONSIVENESS IN GOVERNMENT AGENCIES
Achieving gender responsiveness on forest tenure in government agencies is an ongoing and substantial undertaking. It includes a number of key dimensions such as: building a national mechanism for women’s affairs; supporting a gender focal point in the forest ministry; increasing numbers of women forestry professionals, providing staff guidance on work process and capacity building; maintaining gender-differentiated tenure records; and creating a gender-disaggregated database for monitoring forest tenure. Guidance on each of these dimensions is provided below. Launching parallel initiatives in these dimensions helps to change the overall culture of government service delivery and illuminates why and how gender equality matters in the forestry world. The most frequent obstacles for improving government implementation and service delivery for forest tenure reform are inadequate budgets and insufficient skilled personnel (Arwida et al. 2017; Coleman 2019).
At the core, the pervasive problem of lack of women in leadership or decision-making positions within government forestry agencies is still common-place although there are small signs of positive changes. For example, in Nepal, Radha Wagle became the first female joint secretary at the Ministry of Forests and Environment as well as head of the REDD+ Implementation Centre in 2015 (World Bank 2019b). She is working on strengthening the Gender and Social Inclusion Strategy that was developed in Nepal in the 1990s, particularly by creating codes of conduct for implementation at the district and local levels. A number of approaches can be set in motion for improving gender-transformative approaches to forest tenure within government agencies (Figure 17).
Ensuring equal salaries, benefits and opportunities for women and men staff so as to provide incentives to competently carry out responsibilities.
Cultivating inspirational leadership that supports gender equality at the senior levels of departments and offices in order to guide staff on priorities for gender issues.
Giving priority to those staff working at the local level on gender-responsive institutional development, local forest planning, extension support, and enforcement.
Developing a gender (and social inclusion) strategy or action plan and associated monitoring framework.
Building participatory gender-sensitive work processes that provide step-by-step guidance suited to the specific needs of the unit or office.
Engaging in regular activities for capacity development so that interactions serve to internalize how gender equality can be achieved and new ideas shared.
Developing mechanisms for regular consultation and validation of policy decisions with civil society groups, forestry federations and gender experts who are promoting gender equality.
NATIONAL MECHANISM FOR WOMEN’S AFFAIRS
While hardly discussed within the work on the forest sector, the national mechanism for women’s affairs (NMWA) is an important player within national governments. It aims to provide policy advocacy support throughout the government so that a consistent and fair approach toward women’s and men’s needs can be forged. Typically, NMWA is a central coordinating unit within the government. At the Fourth International Women’s Conference in Beijing, the role of what were then called “national women’s machinery” came into focus. Given that women’s ministries were not well-placed to catalyze gender mainstreaming across the government on their own (because they were poorly resourced or not influential enough), another institutional mechanism was needed. National women’s machinery was later re-named NMWA. NMWAs typically take up a range of initiatives: gender-responsive budgeting, legal reforms based on global mandates, targeted measures to end gender discrimination, promotion of the use of gender-disaggregated data and gender-responsive research, support for monitoring and evaluation of gender equality goals, and identification of lessons and good practices. Initially focused on women’s needs, they have now re-oriented to transform gender relations across the government’s policy and programmatic approaches. Together with women’s organizations and forestry federations, they can exert considerable pressure to achieve the changes needed to support different dimensions of gender equality in forest tenure. Over time, NMWAs have changed to adjust to their circumstances, and hence there is tremendous diversity in their institutional location and form (Jahan 2010).
GENDER FOCAL POINT
The primary task for a gender focal point (or unit) is to activate the process of gender mainstreaming within any forest or sectoral office, department or ministry. They need to identify specific work arenas with the management through which to develop targeted activities in order to mainstream gender concerns. Their job is to catalyze rather than to carry out such projects themselves. As such, their main task is to coordinate the development and implementation of a Gender Action Plan that can then pave the way for all forest government units. Together with this, an operations manual can provide clarity on how gender mainstreaming is to be carried out. It is typically useful to take a look at the forest sector’s organizational structure, work procedures and overall work culture to determine what kind of approach is most effective for gender mainstreaming. At times, a centralized approach can work best, and in other cases, something more decentralized across many dispersed offices can be the right match for the organizational style. In addition, a communication strategy can be part of the Gender Action Plan. Earmarked funding support, a roster of gender consultants and building networks with supportive experts and CSOs/NGOs will bring dynamism into the work of the gender focal point.
Whether or not the gender focal point has to be a female is a question to consider in setting up this position. If it is a woman, the deputy person can be a male to ensure some gender balance in responsibilities. Additionally, rotating positions every two or three years helps to ensure there is enthusiasm and fresh thinking built into the responsibility. Not much research has been done on gender focal points in the forest sector. Some countries have noted they intend to hire a gender focal point but beyond that, there is little understanding of the realistic programming challenges faced by the position (see for example, FAO and RECOFTC 2016). Very often, junior under resourced people are appointed to such positions. There is slim evidence of what has worked or what the challenges are.
WOMEN FORESTRY PROFESSIONALS
The notion that only men can join the forestry profession is extremely prevalent. But that picture is rapidly changing, and as such, the stereotypic image of forestry professionals is morphing. One important source of data on this change is the FAO’s Forest Resources Assessment. It receives information on employment in forestry and logging from 136 countries representing 91% of the world’s forests. Within that, the latest data shows that 71% of the countries (representing 38% of world’s forests) provide genderdisaggregated data (FAO 2020a). This data shows that, in 2015, some 58% and 42% of a total of 3.88 million employees were male and female, respectively. Of course, it is not clear what percentage of these employees are senior level versus junior level, but at an aggregate level, the picture is definitely looking more balanced than expected. At the same time, data on graduates in forestry indicates that there is growing involvement of women, and gender parity is a goal that can be attained (FAO 2020a). Indeed, a granular picture emerges when the data over the period 2000 to 2015 is broken down into level of professional training (see Figure 18) (FAO 2020a). Except at the doctoral level, the overall trend appears to be more women being trained over time at the master’s, bachelor’s, and technical certificate/diploma level.
Beyond this data, there are many inspiring stories from different countries on the dynamic role of women forestry professionals. There are numerous pivots of change pointing to innovative thinking and action. In the Guyana Forestry Commission, the entire Monitoring, Reporting and Verification system (MRVS) team for REDD+ is both led by and made up of highly motivated women (Bholanath 2019). Today, some 45% of the Forestry Commission’s workforce is made up of women, many in technical and managerial roles. In India’s Tamil Nadu state, some 30% of those undergoing training for post of forester are women; there is much interest in women staff for positions requiring sensitive skills such as in tiger reserves (Bharadwaj 2017). In some Indian states, such as Haryana, a Women’s Empowerment Cell has been set up (Haryana Forest Department n.d.).
Of particular note is how women foresters are building their collective influence. In Nepal, a group of women foresters formed the Female Foresters Network seeking to promote gender equality in forestry policy and practice. Today, its 500 members from the government and non-profit sector are focused on changing the prevalent forms of hegemonic masculinity. Through such networks, women are able to challenge
Figure 18. Proportion of female and male graduated forestry students, by education level, 2000–2015.
Source: FAO (2020a).
The reasons behind this are important: because the MRVS is critical to Guyana’s green development strategy, it needed to ensure staff retention would not be a problem. Skilled men in the Forestry Commission were migrating abroad and women were quickly moving up in the organization. Additionally, this trend was supported by the increasing number of female students studying at the University of Guyana’s Faculty of Forestry.
the prevailing paradigms for deeper and lasting change. Lastly, and importantly, while the Forests Dialogue has been running multistakeholder global engagements on various forest themes for 20 years, in 2020, two new women leaders from the forest industry were chosen to co-lead for the first time in its history (Santiago 2020). These represent the varied types of changes leading to women increasingly entering into and taking up leadership positions within the forestry profession.
**STAFF WORK PROCESS GUIDANCE AND CAPACITY BUILDING**
Without building gender equality across the staff work processes of forest administration, the gender focal points alone cannot achieve many positive changes.
At the core, the forest agency leadership has to set the vision and demonstrate clear actions to all levels of the forest administration. Creating a practical set of guidance on how staff will consider gender equality requirements within their work and performance will ensure that the culture of work is significantly changed within a reasonable space of time. It is not a question of initiating brand new endeavors but rather inculcating gender-sensitive thinking in all existing work processes and managerial tools (including performance appraisal). Particular attention to anticipating likely roadblocks or obstacles will help pave the way toward regularizing gender equality within administrative operations. A number of interventions that serve to build this change can be brought about by the leadership (see Figure 19).
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12 During a global teleconference organized by the network in May 2020, unknown men who were not registered disturbed the event through explicit and obscene sexual content framed in an abusive way (Giri and Dangal 2020). The harassment was reported to the authorities and a digital protest was launched that reached 64,000 people online.
GENDER-DIFFERENTIATED TENURE RECORDS
The VGGTs call on states to identify, record, maintain and publicize tenure rights in order to recognize and respect all legitimate tenure rights in a gender-sensitive manner. Tenure records are not needed in all places. As is well known, the formalization of title can be a mixed blessing for both women and men (Aggarwal and Freudenberg 2013). Informal systems tend to be better at adapting to changes, whereas formalization tends to fix borders and create more static systems. Formalization can bring greater interference from the state and control over decision-making systems that have been localized over a long period. New responsibilities and requirements imposed by the state can typically be complicated and onerous. In this sense, a careful assessment of the merits of recording need to be taken up early on by any community before commencing any recognition process that fixes boundaries in a detailed way.
If needed therefore, the next question is how to create a new system to record rights and also record rights for the first time (for a guide see: FAO 2017a). Alternatively, the question is how to improve an existing system of recording tenure rights (in which overlapping or conflicting rights can be documented) (for a guide see: FAO 2017b). Any system of recording tenure rights applies not only to private rights but also public, collective, communal, customary and informal rights. Additionally, records can be maintained for land tenure rights and also forest, fishery and water rights too. What is critical is for these independent data systems to be interlinked through an integrated system so that information can be shared (through geospatial systems) for the purposes of rights recognition and other uses, such as land-use planning.
To begin with, the titling process of demarcating and harmonizing boundaries needs to be carried out in a gender-responsive way. Consultations, for example, on customary rights need to be designed such that the inputs of women and men from different backgrounds form part of the process of identifying boundaries for both individually used and collectively used areas. Communication materials can be prepared that are tailored for women, so they understand the purpose of the field-based participatory mapping work. When it comes to recording, the system of data management needs to be disaggregated based on gender. Attention needs to be given to recording female- or male-headed households, noting whether they are de jure divorced households, widowed or *de facto* monoparental. Where such records are held depends on many factors, including the level of decentralization of government. If there is devolution of tenure rights, and this take place together with government decentralization, then decentralized tenure record keeping at the local district level or village cluster level makes sense.
Additionally, the issues of accessibility and cost for the records will have gendered implications. Given the heavy work burdens and limited available time women have, any tenure record-keeping system will have to be convenient in order to be usable. Furthermore, any costs associated with these records will be considered against the benefits of such records; the benefits of titling and records are not always immediately obvious to many. A mobile office service that can be easily accessed by all can often be the most cost effective. A simplified approach makes the tenure recording system more socially inclusive. Deciding on which locally suitable technology best enables reductions in time and cost will be an important factor. Registry staff can include both women and men so that all feel they can comfortably both approach the office for service provision. Here, publications that serve to improve legal literacy for women and men can be very valuable. A sustainable system is one in which the benefits outweigh the costs in terms of time, money and other factors.
GENDER-DISAGGREGATED DATA AND MONITORING FOREST TENURE
For effective gender-responsive monitoring and evaluation, be it for implementation of policy and law or for projects, both qualitative and quantitative gender-disaggregated data are needed. The data provides empirical evidence on how gender-responsive forest tenure affects multiple types of change pathways and results. Yet, there remains a serious lack of such data, and therefore very patchy understanding of how gender equality transformations actually take place when it comes to forest tenure (FAO 2018c, 2019c).
OUTCOME ORIENTED INDICATORS
1. **Indicator**
Percentage of women and men from community/user group involved in boundary demarcation of forest area for tenure rights recognition
**Sources of Verification and Tool**
- Focus groups
- Stakeholder interviews
- Project implementation staff
- Local forest office records
- Bank records
- Committee meeting minutes
- Interviews with stakeholders
- Local traditional authorities (such as village leader or local council leader)
- Program and project records
2. **Indicator**
Percentage of community forest user group members who are women and men
**Sources of Verification and Tool**
- Committee meeting minutes
- Focus groups
- Local forest office records
- Program and project records
3. **Indicator**
Percentage of women and men actively participating in forest governance committees that create tenure rules (including bank account signatory roles)
4. **Indicator**
Changes in perceptions of women and men regarding the importance of gender-equal tenure rules for achieving good forest management and benefit sharing
**Sources of Verification and Tool**
- Focus groups
- Stakeholder interviews
5. **Indicator**
Capacity-building support for forest management methods (including silvicultural techniques) that recognize gendered differences
**Sources of Verification and Tool**
- Project records
- Training records
6. **Indicator**
Percentage of women and men involved in forest monitoring and patrolling activities
**Sources of Verification and Tool**
- Participatory monitoring
- Project records
**Figure 20.** Illustrative monitoring and evaluation indicators for gender and forest tenure.
Source: Adapted from World Bank, FAO and IFAD (2009).
## Impact Oriented Indicators
### Indicator 1
**Perception in level of food security due to secure forest access within specified time period after tenure rights clarified and recognized in a gender-equal way**
**Sources of Verification and Tool**
- Focus group interviews
- Program and project records
### Indicator 2
**Perception of sustainability in availability of forest resources for meeting a range of household needs (fuel, fodder, food, medicinal plants)**
**Sources of Verification and Tool**
- Focus group interviews
- Program and project records
### Indicator 3
**Number of conflicts involving women and men over forest access, use and management during a specified time period**
**Sources of Verification and Tool**
- Interviews with stakeholders (involved with conflict and not)
- Local traditional authorities (such as village leader or local council leader)
- Program and project records
### Indicator 4
**Perception of a 50% improvement in level of forest tenure security among women and men**
**Sources of Verification and Tool**
- Interviews with stakeholders
- Focus group interviews
- Program and project records
### Indicator 5
**Change in time taken to collect fuelwood by women and men from forests before and after a baseline time**
**Sources of Verification and Tool**
- Participatory monitoring
- Project records
### Indicator 6
**Number of women and men with individual bank accounts into which cash benefits from forest product sales or payments for environmental services can be made**
**Sources of Verification and Tool**
- Interviews with stakeholders
- Focus group interviews
### Indicator 7
**Increase in annual income from forest resource cash flow for women and men over specified time period**
**Sources of Verification and Tool**
- Focus group interviews
- Program and project records
### Indicator 8
**Number of women and men who received business training for forest-based enterprises**
**Sources of Verification and Tool**
- Project records
- Training records**
Crafting clear indicators to measure gender equality and women’s empowerment that covers the breadth and depth of programs and projects in the forest sector is necessary to measure and improve performance of policies, laws or projects. Identifying gender data gaps helps in identifying which indicators best address need, population coverage and policy relevance. These indicators will be used in different ways: by institutions and offices with the mandate to implement and track devolved forestry institutions; by projects run by donors or NGO/CSOs; or by local-level forestry governance institutions. In the case of pilots, the gender-disaggregated data and indicators can help with design of the scaling up process. By becoming the data platform through which the adjustment of project activities can take place, the anticipated outcomes and impacts within targeted groups of women and men become more realizable.
The particular set of indicators will, of course, have to be tailored to the objectives but some illustrative guidance can be valuable for designing them (see Figure 20). While many indicators are quantitative, and are often structured to facilitate comparisons (nationally or globally) or are compatible with larger statistical data collection templates, they do not necessarily help project beneficiaries to reflect upon their own perceptions or the real changes they have gone through (Colfer et al. 2013). The data collection methodology, therefore, needs to be put together not only in a gender-responsive way (see Elias 2013; Doss and Kieran 2014), but also consider how the analysis will be used and by whom.
The results from such evaluation work can contribute to numerous types of monitoring activities (see World Vision 2020). They can help design gender action plans for the forest sector. While there are initiatives to track gender equality such as the extent to which governments are meeting the SDGs (UN Women 2018a), more specific types of monitoring of global initiatives focused on tenure issues are also growing. Such data can also be part of tracking implementation of the VGGTs within the forest sector. Guidance and toolkits to support the monitoring of gender-sensitive implementation of the VGGTs are available (see Seufert and Suárez 2012; Action Aid 2017). Other kinds of monitoring tools to track the level of gender integration in forestry research have also been developed (CGIAR FTA 2019; Paez et al. 2019). Using the *Gender Equality in Research Scale*, for example, involves a self-assessment questionnaire to be used by project leaders or teams on an annual basis, and thereby reflect on how to better integrate gender in the research portfolio (CGIAR FTA 2019).
**SECTION 2.2**
**FURTHER READING**
[FAO] Food and Agriculture Organization. 2017. *Creating a system to record tenure rights and first registration*. Governance of Tenure Guide no. 9. Rome: FAO.
[FAO] Food and Agriculture Organization. 2017. *Improving ways to record tenure rights*. Governance of Tenure Guide no. 10. Rome: FAO.
Seufert P and Suárez S. 2012. *Monitoring the voluntary guidelines on the responsible governance of tenure of land fisheries and forests. A civil society perspective*. FAO Land Tenure Working Paper no. 22. Rome: FAO.
MEXICO’S SHINING EXAMPLE
Government steps toward empowering women in community-based forestry
QUESTION FOR REFLECTION
How can national forest agencies improve women’s participation across multiple types of forestry programs?
Mexico’s forestry commission, Comisión Nacional Forestal (CONAFOR), has launched various gender-responsive strategies that, in sum, are gradually changing the face of forestry. This has been motivated by the National Development Plan covering 2013–2018 that established the inclusion of gender as a cross-cutting principle that must be reflected in all of Mexico’s laws, policies and programs in every sector and at every scale (Aguilar 2017).
The challenges have been typical ones: not only are about 80% of its collective forest landowners men (who benefit from various subsidies and supportive programs), but also governance structures are dominated by men (PROFOR 2017). Moreover, the forest sector has been mainly focused on male-dominated timber production where women are less active. In response, CONAFOR has launched a range of gender-responsive initiatives that include (PROFOR 2017):
- Creating a gender unit in the main forest agency
- Launching a gender network that reaches all states
- Promoting a government institutional culture with a gender perspective (called gender transversality)
- Setting up a dedicated funding window for women
- Establishing Mexico’s first female fire protection brigade.
The scale and sophistication of its approaches makes it a shining global example (Kristjanson et al. 2018). Moreover, even as new initiatives are being put into motion, lessons are being learned about how to design them. Take the case of “Productive Forestry Projects for Women” that was begun by CONAFOR in 2017 (Kristjanson et al. 2019). Of the 51 applications received, only 10 could be approved (with a total funding support of $548,223)). The remainder faced a range of problems: incomplete applications, lack of compliance with eligibility criteria, no accreditation of legal ownership of land, or failure to clarify how support would be applied. Furthermore, to apply, applicants had to contribute between 10 and 50% in cash or in kind to the project. The low percentage of women who have bank accounts and their weak access to financial services also posed a problem. Such learning has helped to finesse the next round of initiatives. These illustrate the structural issues impairing women’s participation in the forest sector that are embedded in unequal access to assets that ultimately limit their ability to benefit and be empowered.
LESSONS
It takes a number of gender-responsive initiatives to change the overall prevailing culture and operation of the forest tenure regulatory framework for lasting change.
A woman in a forest, reaching up to touch leaves.
It appears that focusing on the dynamic relationships between men and women (rather than solely on women) has a higher probability of providing guidance for changes to institutions, policies, and practices relevant for transforming gender inequality. Such a focus must, however, avoid a zero-sum struggle between men and women. To effect change, the role of gender research is to unpack ‘farmers’ and ‘choices’; to identify opportunities for leveraging empowerment and inclusive change; and to engage with the various actors of change such as government, civil society and the donor community.
Delia Catacutan (with others)
Southeast Asia Regional Coordinator, World Agroforestry (ICRAF) (Catacutan et al. 2014b, ix)
STATE OF GENDER EQUALITY WITHIN COMMUNITY-BASED FOREST TENURE
The process of forest tenure devolution has resulted in forestlands coming under the local control of IPLCs through *de facto* legitimate rights, policy or legal measures. Such forested lands can be said to be under community-based tenure, collective tenure or communal tenure. These terms are used interchangeably. This type of tenure involves a group of people jointly using a forested area based on agreed rules (be they formal or informal) for access, use, management and so on. Where forests are managed under this form of tenure, the term ‘community-based forestry’ is typically used in an all-inclusive sense. In practice, however, the details of community-based forest rights in terms of scale, management, autonomy and duration can vary considerably from country to country, and even from area to area. It can range from weak devolution where communities are participating in, say, nature conservation activities organized by the government or an NGO for a few years, to strong ownership rights where communities have full legal authority to autonomously manage the forestlands in perpetuity for multiple purposes based on their own governance structure (see Figure 21) (see Ewers 2011; FAO 2019c; Larson et al. 2010).
Therefore, it is essential to zoom in on what the specific governance mode is, and what types of rights and responsibilities in the tenure bundle have been established. These may be formal ones written down in bylaws or they may be commonly understood practices that prevail in a day-to-day way. A term such as ‘community-based forestry’ can include forested lands which remain under the jurisdictional control of the government or it can include those forested lands which are under the full ownership of the community with rights to sell, mortgage and lease. The term ‘community’ also needs to be carefully examined: what are the presuppositions in a specific context about what makes a ‘community’? It can be a customary community in which some new migrants or settlers have made their home; it can be a “user group” made up of members of different adjoining villages who use a particular forest tract; or it can be a community in which a number of diverse clans who live and govern
| TYPE (BASED ON FAO 2019C) | WEAK DEVOLUTION | MODERATE DEVOLUTION | STRONG DEVOLUTION | OWNERSHIP |
|--------------------------|-----------------|---------------------|------------------|-----------|
| **CHARACTERISTICS** | Delegated | Shared and partly devolved | Fully devolved | Owned |
| | Participatory involvement in program-led activities | Share benefits from government-owned forests | Collective management of forests involving devolution of rights to use, manage and regulate | Full title to customary lands including forest areas |
| | Little authority to make decisions | Established through policy framework | Established through legal framework | All responsibility to use and manage lies with community |
| | Some rights to harvest forest resources such as fuelwood, fodder or other NTFPs | Shorter or insecure tenure duration | Enduring rights in perpetuity | |
| | Some employment opportunities in government’s forest management work | Limited community authority | Autonomy | |
| | Rights to use certain forest products with controls on timber harvesting | | Devolution of rights based on approval of a forest management or operational plan | |
| | | | Specified rights to sell timber commercially | |
| **MODALITY** | Large-scale afforestation projects | Joint forest management | Community forestry | Native or peasant community |
| | Community protected-area management | Community forestry | Local community forestry concessions | |
| **EXAMPLES** | Sri Lanka | India | Nepal | Peru |
| | Cambodia | Thailand | Democratic Republic of Congo | |
Figure 21. Spectrum of devolution level in community-based forest regime.
their lives in village clusters come together into an administrative ‘village’ defined by the government as a unit. The details are crucial for understanding how gender dynamics work within varied types of community-based forestry regimes.
Women’s dependencies on a multitude of forest resources have largely been invisible in the formal world of forest management. Initially, concern about women’s involvement in local forests began in the 1980s as a result of fuelwood shortages that led to a growing interest in how women and men use forest resources differently (Hoskins 2016). Today, even though there are some generalizable portrayals of the typical interest women and men have in forests (see Sunderland et al. 2014), it is imperative to understand the specific types of gendered division or overlap in responsibilities that are at work (see Larson et al. 2016b). For example, tree tenure is very important for women because they seek to have control over those species that they need for household food, fodder, fuel or for income generation (Fortmann 1985; Bruce 1989; Rocheleau and Edmunds 1997). Careful understanding will make clear what kind of knowledge and perspectives are brought to the table when greater numbers of women formally participate in tenure governance institutions. In this way, their foundational contribution to forest management becomes part of authoritative decision-making and benefit sharing (individual or collective) for both women and men in the community.
It is clear that where there is a functional governance structure and well-crafted management regulations, devolution can produce benefit streams for both women and men in the community, as well as improve the forest condition. Much has been achieved through direct management by those who have strong rights to the forests in their locality (Gilmour 2016). That said, terms such as ‘community’, ‘collective’ or ‘communal’ are also opaque in that the issue of who they include; which women and men hold authority and decision-making control needs to be properly understood to promote gendered fairness and inclusiveness. Establishing community-based forest governance is not enough; democratic innovations in the governance processes and the principles that guide rule development and implementation are essential (Smith 2019). This requires commitment to the process of designing forest tenure regimes in ways that bring everyone together on the path to sustainable development. That said, many among communities will see the introduction of new principles such as gender equality as an external imposition infringing upon local sovereignty. Therefore, sensitive experimentation is worthwhile: simply emulating what another community has done will leave the important issues neglected. All in all, only talking in terms of ‘community’ rights is not adequate from a gendered perspective.
Another important dimension of community-based forestry to consider is the scale at which it takes place. Not all of it happens at the village scale. Terms such as ‘collaborative forestry’ (used in Nepal) refer to larger forested areas involving multiple government administrative units (in which there may be hundreds of villages) where the government and local communities work together to manage forests for high-value timber production as well as subsistence, fuel and fodder needs. The manageability of tenure governance is also affected where the geographical size is larger and therefore the numerous disparate communities do not engage in regular face-to-face interactions, and build trust among themselves.
All community-based forestry regimes go through phases of change: adjusting their regime to respond to new challenges and emerging lessons, both internal and externally driven (see Farjam et al. 2020). At some stage in this journey comes a broad-based recognition that gender equality is essential for all involved. It then becomes useful to determine what the overall general condition of forest governance is in terms of gender fairness. Figure 22 sets out the different stages in the level of gender responsiveness of community-based
forest governance starting from ‘minimal’ level through ‘improved’ to ‘good’ level. While this is a simplified portrayal, it is a first step to encapsulate the type of challenges that will be faced.
In most places, however, mobilizing participatory approaches in community-based forests has not automatically meant that gender equality has been accepted. Typically, gender concerns, be they in terms of gender sensitization or the more transformative gender-responsive goals, have not received much attention besides some lip service (Sun et al. 2012). Not only are women’s rights to access forest products not formally recognized in the way men’s rights are, but women do not have much say in forest governance. If there was greater acknowledgement of research that underscores the importance of secure tenure rights, social equity and cohesion, and democratic and equitable governance to successful community forestry, more action on gender equity would be initiated\(^{13}\) (see Baynes et al. 2015; also Coleman and Mwangi 2013).
Even in countries, such as Uganda, that have recognized the importance of gender concerns in forests since the early 1990s, women have largely been kept out of decision-making arenas (Banana et al. 2013). That said, the Ugandan picture is not completely bleak: for example, more than 50% women are actively participating in forest decision making in Lamwo (with registered communal land associations). This contrasts to Masindi (with customary lands that overlap with state forests under restricted access) where women’s participation is very low (Monterroso and Larson 2019). In Latin America, little attention has been given to gender issues in the now significant literature on community-based forestry (Schmink and García 2015). Partly, this is because the need to obtain legal territorial recognition for indigenous people or community rights has been at the forefront of the political agenda (the ‘community trumps gender’ phenomenon) and, partly, this is due to the focus on large-scale commercial operations in community forestry.
Where there have been relatively substantive achievements in moving toward gender equality within locally managed forests, it has been the result of support by federations, NGOs (community forestry, gender or development related) or civil society groups. For example, in Nepal, it was FECOFUN, the national federation for community forestry, who set the policy platform in place in the mid-1990s by making 50% women membership in executive committees mandatory, as well as ensuring rotating office-bearer positions among women and men (see *Her His Forest Tenure Insight No. 6*) (Chapagain 2012; Giri 2012).
When promoting gender equality in community-based forests, all too often the focus tends to be on changing formal rules in bylaws or local conventions. Clearly, changing the formal rules through the forest governance institution is of central importance. In practice, however, because women’s rights of access, use and management are often based on socially accepted norms or are informally negotiated (involving a mix of community-level, intra-women-level, and household-level engagement), the reality on the ground may not match formal rules or management plans. Therefore, in analyzing the reality of gender and forest tenure in community-based forestry, much attention has to be given to these informal practices that make up ‘institutional bricolage’ (see Friman 2020) and how they can be moved toward gender fairness. For example, women often have to pay the forest guards to be able to enter a forest to collect firewood and fodder, or they have to negotiate with men for the right to collect *sal* (*Shorea robusta*) leaves (for making an NTFP product),
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\(^{13}\) In one study, five interconnected success factors for community forestry were identified (Baynes et al. 2015). This was based on the experience in Mexico, Nepal and the Philippines primarily but also considered other country experiences in Africa, Asia and Latin America. The five success factors are: secure property (tree and land) rights; reduction of socioeconomic differences and gender-based inequality in order to reduce conflict and improve cohesion; intra-community forestry group governance forms which are democratic and equitable in terms of leadership, voting and benefit sharing; government support to community-based forestry (such as enabling legislation or positive incentives) and material benefits to community members (such as income from NTFP sales, employment or payment for environmental services).
| LEVEL 1 | LEVEL 2 | LEVEL 3 |
|---------|---------|---------|
| **MINIMAL** | **IMPROVED** | **GOOD** |
| Management committee with little representation from women | Management committee with about 30% representation by women of different economic and social status | Management committee with about 50% or more representation by women of different economic and social status |
| Only men from each household attend general assemblies unless it is a women-headed household | Both women and men from each household attend general assemblies | Women develop linkages horizontally with other forest user groups and vertically with NGOs, federations and civil society groups |
| No recognition of the differentiated role of women and men in use of forests and their management capability | Some formal recognition of the specific ways in which women and men use and manage forests | Women and men involved in development of annual forest operational plan |
| | Women and men involved in boundary demarcation and resource zoning | Women and men both involved in monitoring and patrolling forests |
| | Silvicultural practices acknowledge the differential forest product needs of women and men of varied economic and social status | Women and men involved in conflict resolution |
| | Benefits of the forest flow with equal regard to needs of women and men | Funding pools are designed to meet women’s community needs |
| | Women receive leadership and capacity-building training to become empowered participants | Women involved in or lead forest-based enterprises (harvesting, processing, marketing) |
| | | Women have strong control over the income they generate from forest-based products |
*Figure 22. Stages in level of gender-responsive governance of community-based forests.*
while men retain rights to its timber. Additionally, women may play a stronger role in decisions over forest and land use in the household than they do in forest governance bodies (see for example, Larson et al. 2016b)14. Beyond the formal realm of a forest governance body, identifying other decision-making arenas that will influence forest use and management patterns is essential. Specifically when it comes to conflict or war zones, women and men are at the mercy of the leader of the territory or area, and donor or aid agencies are rarely able to provide support to protect tenure rights needed for basic subsistence. Understanding what happens to tenure rights in such areas is vital for providing humanitarian relief and supportive services.
In reality, many women among IPLCs perceive their forest rights to be insecure for a host of reasons. Where forest tenure insecurities of different kinds exist, dispute is highly likely (see Oyerinde 2019 for a discussion of collective violence and common land in Africa). Tenure insecurity is not simply about the absence of clear policy or legal frameworks in support of forest tenure arrangements (Doss and Meinzen-Dick 2020). Rather, a feeling of ‘secure enough’ tenure is an aggregate perception among women and men that is based on a mix of factors such as community acceptance of gender norms, broad-based awareness of gender-equal tenure rights or how trustworthy the government is in implementing policies and laws (Figure 23). Sometimes one event creates a cascading effect of insecurity, for example, when community-based forest tenure is eroded through individualization and sales of land sanctioned by the forest governance body leading to marginalization of some community members.
Forest tenure systems are not static and, when they change, the way in which participation takes place and how benefits are distributed also change. For example, when a REDD+ project is initiated, there are typically considerable differences in understanding of the project between affected women and men (Larson et al. 2016a), and women’s involvement is more superficial than that of men (Larson et al. 2014). A careful analysis of tenure and gender dynamics under REDD+ can play a pivotal role in improving the success of REDD+ initiatives (for customary tenure systems, see Tebtebba 2018 for example). A range of factors can result in changes in the policy orientation and specific rules governing community-based forests including: agricultural expansion, individualization of forest lands, commercialization and external investment, transportation infrastructure, demographic pressures, elite capture, new legal and governance frameworks, and resource-based conflicts (Fuys et al. 2008). For example, male outmigration (see Her His Forest Tenure Insight no. 8 below) in rural areas could alter women’s ability to participate, for good or bad, in forest tenure institutions. Similarly, as more women hold influential positions in the local or national government, there is growing interest in how this will create a positive knock-on effect in further strengthening the gender equality agenda in forest tenure.
Going forward, there is a need to go beyond simplistic gender analyses so that better insight into the causes and effects of gendered social norms and practices can inform strategic thinking (Asher and Varley 2018). There is no such thing as overall improvements in gender equality: how some women will benefit and other women will get further left out needs vigilant attention. As much as gender-disaggregated data are obviously needed, their role is not simply to report on relative imbalances but rather mobilize further gender acceleration through a richer picture of social dynamics and power relations (Asher and Varley 2018).
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14 Some of the earlier and more recent work on gender and rural household negotiations can be useful for understanding decision making and empowerment for community-based forestry. See, for example, Agarwal (1997), Locke and Okali (2010) and Seebens (2011).
Figure 23. Factors affecting perception of ‘secure enough’ forest tenure for gender equality.
Source: Adapted from: Caron et al. (2014); NRC and IFRC (2014); Doss and Meinzen-Dick (2020); Prindex (2019, 2020); Scalise and Giovarelli (2020).
- Gender-equal community norms on the range of tenure rights
- Quality of women’s and men’s social relationships in the community
- Gender-equal community or individual decision making and authority
- Awareness of gender-equal tenure rights
- Exercisability and robustness of various tenure rights held in the bundle by women and men
- Community-based verification of occupancy for women and men
- Gender-equal local tenure governance body bylaws
- Administrative recognition (based on policy or law) of gendered tenure rights
- Trust in authorities implementing gender equality principles
- Prevalence of gendered tenure recognition in the specific context
- Duration of occupancy by women and men
[FAO and RECOFTC] Food and Agriculture Organization and The Center for People and Forests. 2016. *Mainstreaming Gender into Forestry Interventions in Asia and the Pacific. A Training Manual*. Rome and Bangkok: FAO and RECOFTC.
Hecht SB, Yang AL, Sijapati Basnett B, Padoch C and Peluso NL. 2015. *People in motion, forests in transition: Trends in migration, urbanization and remittances and their effects on tropical forests*. Occasional Paper no. 42. Bogor, Indonesia: CIFOR.
[RECOFTC] The Center for People and Forests. 2016. *Ensuring Women’s Participation in Forest Decision-Making. Advancing Sustainable Development Goal 5 on Gender Equality through Community Forestry in the Asia-Pacific*. Annual Report 2015-2016. Bangkok: RECOFTC.
Male outmigration, gender fairness, and community forestry in Nepal
QUESTION FOR REFLECTION
Does male outmigration open up opportunities for greater women’s participation in community forestry governance?
It is becoming increasingly clear that male outmigration is affecting forest tenure governance (see Hecht et al. 2015; Juniwaty et al. 2019). The question is: in what way? What are the implications for women and men’s role in local forest governance? One country in which we can look at these dynamics is Nepal which is the most remittance-dependent country in the world. Outmigration started here in the early 2000s to global destinations in Asia, the Middle East and further afield. We know that reforestation has increased over this period but not to what extent has this been the result of community forestry institutions, or more so due to outmigration (Oldekop et al. 2018). Remittances have led to declining forest dependencies as households can afford to purchase non-forest fuel sources, fodder and construction materials, but in what way has this opened up opportunities for women to become more active and influential in community forestry institutions?
The emerging picture is quite mixed. Certainly, women have increasingly been attending general assemblies\(^{15}\) and learning about the process of forest governance (Giri and Darnhofer 2010a; see also RECOFTC 2018c). Based on research in Ramechhap district with more than 50% male outmigration in CFUGs, the effect is complicated depending on the women’s household context. Where there is no man in the household, or where the woman is in a nuclear household, women are more likely to participate (Giri and Darnhofer 2010b, see also Lama et al. 2017). Yet, more recent research in CFUGs with high and low migration rates in three districts (representing mountainous, middle hills and lowland/Terai ecozones) shows that there was little change in terms of CFUG executive committee membership (Lama et al. 2017). Quite unexpectedly, there was greater participation by women in low migration CFUGs (Lama et al. 2017). What this indicates is that women do not simply move into positions vacated by men; rather, there are various gendered dynamics set into play by male outmigration, such as time poverty, older and elite men dominating executive committees and enduring gender norms.
If we go one step further and take a comparative look through the lens of gender intersectionality, an even more complex picture emerges based on ethnicity and caste conditions (Sijapati Basnett 2016). In Bhatpole village in Kavrepalanchowk district, a largely Tamang area (with primarily gender egalitarian cultural practices), community forestry has been a women-led initiative from the outset. Nine of the 11 CFUG executive committee members were women. The list of users in the CFUG operational plan mostly included women.
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\(^{15}\) General assemblies and executive committees are the two main decision-making bodies for CFUGs.
In contrast, in Gharmi village of Kaski district with high rates of male outmigration among the low caste Bishwa-Karmas (Dalits), their push to start a community forest as a caste-based struggle in an area that also included high caste Poudyals and Khatri-Chhetris ended up excluding women from forestry decision making. Here, the low caste communities, in emulating the high caste gender norms on women’s honor and division of labor, did not extend the ideas of ‘equality’, ‘rights’ or ‘citizenship’ to women.
**LESSONS**
Male outmigration does not generically open up opportunities for greater leadership and participation by women: the research indicates the importance of understanding the various axes of existing social dynamics.
Men generally recognize the great role women play in improving the families’ living standards, but it is important for them to also agree that for the women to continue to play that role and even improve in that role, they need security to lands and forests.
Cécile Ndjebet
Coordinator, African Women’s Network for the Community Management of Forests (REFACOF) (Mwangi and Evans 2018, 3).
3.2 CRAFTING GENDER-RESPONSIVE TENURE GOVERNANCE IN COMMUNITY-BASED FORESTRY
Achieving the responsible governance of forest tenure within community-based forests involves interventions in a number of action arenas. This includes how national laws and policies are implemented, how members of governance institutions are selected, how local forest-related policy goals are identified and how specific rules on access, use, management, monitoring and sanctions, and conflict resolution methods attend to gender-differentiated needs. Before launching into the specifics, we review some broad-based principles for how to strategically engage in improving community-based forest tenure for gender equality (Figure 24, see also Giovarelli et al. 2016).
Community-wide engagement is essential for sustainable, wide-spread progress. Successful processes and interventions aiming for sustainable and wide-spread change empower women and strengthen their governance rights as part of an ongoing and collaborative process involving the entire community.
Engage community leaders: Successful projects often receive the support of male and female community leaders.
Provide culturally appropriate support: Successful activities implemented by organizations external to communities are designed alongside community members, resonate with communities’ cultural norms and prioritize communities’ agency.
Recognize that social change takes time: Successful activities allow enough time to transform patriarchal attitudes toward gender roles and for normative changes to manifest in favor of women’s land governance rights.
Figure 24. How to support indigenous and rural women’s forestland tenure governance rights.
Source: RRI (2019).
Highlight the valuable contributions that women already make to their communities: Render visible the positive impact of women’s work on the management and conservation of community lands.
Demonstrate the community-wide advantages of securing women’s governance rights: Successful initiatives empowering women also benefit – and are presented as benefiting – the entire community.
Use information to empower women as community leaders and decision makers: Successful activities use the sharing of information with women as the foundation of women’s leadership and decision-making capacity.
Establish meeting spaces, activities, networks or institutions that are exclusively for women: Successful initiatives often facilitate women-only networks, institutions, activities, meeting spaces or agreements.
Create self-sustaining, multilevel networks of women leaders: Successful activities create networks of women leaders who engage in mentoring and information sharing to maximize results.
Build and leverage strategic relationships with a variety of stakeholders outside of communities: Successful initiatives effectively communicate and build relationships with a wide variety of external actors to garner their support.
Women and men in communities and governments participate actively in design of forest management plans, projects, and policies.
Women and men, as individuals and groups, access, use and benefit from forest landscapes equally.
Women and men, as individuals and groups, earn income by planting trees, harvesting sustainably and protecting forest landscapes through equitable initiatives (PES, certification, etc.).
REACH
BENEFIT
EMPOWER
Women and men are involved in management activities such as silvicultural work, fire control, nursery development, patrolling and monitoring, and dispute resolution.
Benefits can be in the form of secure resource availability, household or individual income generation, and community-level benefits.
Women are empowered in households with greater control over finances, food security, education and resource rights.
Women have greater effective authority over decision making within forest governance bodies.
Figure 25. Gender-responsive outcome pathways.
Source: Adapted from Johnson et al. (2018).
It is critical to think about pathways of change for women and men. Although much work has been done on bringing more women to the decision-making table so that they can effect change, it is imperative to consider the types of changes that are being sought. Figure 25 sets out the change pathways whereby women and men who participate actively in forest management activities receive benefits, and thereby become empowered at the household or community level. These three stages are called Reach, Benefit and Empowerment. Research indicates that there are no clear differences in outcomes based solely on whether the forest tenure regimes designated forest lands for community use or granted communities full ownership (Larson et al. 2019a). Rather, achieving goals such as food security or livelihood improvements requires examining how particular interventions work in specific types of change pathways to create transformations.
Identifying change pathways involves looking carefully at the type of women’s empowerment being sought. There are many dimensions to women’s empowerment such as production, community-level decision making, authority over household decisions, individual and family income, community-based leadership, and reducing time and labor burdens (Figure 26).
Figure 26. Eight key domains of women’s empowerment in community-based forestry.
Before getting into the details of change pathways and particular interventions, the core issue of power dynamics in creating gender-transformative change needs to be confronted. Power dynamics at the household, community and village level play a central role in determining how day-to-day practices in the forests take place, how forest resources are used, how decisions over forest products are taken within households, and how governance takes place. Every attempt to create positive transformations in the journey toward gender equality will very likely be resisted by those who are vested in the status quo. Understanding what is at work requires objectively looking at gender intersectionality: the various axes of structural discrimination at work in any household or community’s practices. This involves examining prevailing social norms, hierarchical relationships, how decision making typically is carried out, and what types of conflicts tend to be common. Additionally, what are the relationships and networks through which the powerful and less powerful exert their influence and cultivate benefits for themselves or their families? Through this, creative and inspiring approaches that build alliances among women, between men and women, and nurtures women and male champions can create positive forces for gradually bringing everyone on board. Sensitive and carefully crafted communication that brings everyone to the table to identify realistic goals and approaches is critical. Building upon what already exists is ideal rather than creating new initiatives which require spending a lot of time and money on groundwork preparation. However it is carried out, a hopeful approach aligned with strategic thinking about how to create change through equalizing assets and decision-making authority between women and men is critical.
An adaptive collaborative management (ACM) approach can help navigate the multiple challenges in the face of change. ACM involves an iterative style that basically follows the Analyze, Strategize and Realize set of steps focusing on reflection and learning (Mukasa et al. 2016; Evans et al. 2014, 2017). ACM is a learning journey in which facilitators work with communities along these steps.
Some careful thinking about intervention design can produce multiple rewards (Figure 27). This table is divided into two major sections: one is related to interventions focused on the forest governance institution or body, and the second is related to more generalized interventions within the broader community itself. Given the multiple action arenas involved, strategic preparation about what needs priority attention and how sequencing of interventions can take place is called for. What we know is that intensive engagement at the community level with good room for sequenced discussions and iterative work produces remarkably better results than a one-time thorough approach.
RESPONSIBLE GOVERNANCE OF FOREST TENURE
CREATING RESPONSIBLE LOCAL GOVERNANCE OF FOREST TENURE
ENABLING POLICIES AND LAW
Does the Constitution, national or subnational policies and laws prohibit discrimination based on sex? Do they provide for equal rights between women and men? Are there any provisions in the forest law mandating the proportion of members of local forest governance executive committees be women? Are there any stipulations regarding gender-equal benefit sharing?
Local forest governance bodies can provide empirical evidence and support action-oriented research on how gender equality in forest tenure creates an accelerator effect for various development goals. This can support policy development and legal reform.
Local forest governance bodies can create and join alliances mobilizing to reform forest tenure policies and law on issues such as proportional representation in forest governance bodies, benefit sharing among women and men, and gender-equal FPIC.
GENDER-EQUAL REPRESENTATION ON FOREST GOVERNANCE BODY
Are all women and men in the community able to become members of the community-based forest governance body? Is there a requirement that 30 to 50% of executive committee members be women? Are there stipulations that office-bearer positions rotate among women and men? Do women also have authority to manage community-based forestry funds?
Carry out awareness raising and bylaw amendment activities so that the local forest governance body can mandate how gender-equal representation (in its multiple forms) can be achieved.
GENERAL MEMBERSHIP IN COMMUNITY-BASED FORESTRY REGIME
Is there a general assembly in which all members of the community-based forest tenure regime participate? If so, can all women and men adult members of households become participants? Are time and place of meetings suitable to women and men, near and distant?
The bylaws can be amended to require all women and men members of households be eligible to join the community-based forestry regime.
Raise discussions at the assembly about where and when meetings are suitable to both women and men coming from near and far; arrange seating at the meeting so that both women and men can actively participate.
FOREST GOVERNANCE DECISION-MAKING
What is the process of decision making? Are a set of bylaws or rules in place that include the full bundle of tenure rights over high and low value forest resources? Are they robust and durable? Do they recognize the different types of rights women and men need to sustainably manage forest resources, build livelihoods and run enterprises? How are bylaws updated? Are most people in the community involved in making decisions about bylaw changes?
Train women on relevant policies and law so they are able to participate knowledgeably in executive committee meetings.
Train women on how executive committees and general assemblies are run with a focus on how to introduce and achieve changes supporting gender equality.
Provide women with skills to effectively participate in decision making by training them in public speaking and debating to achieve the goals being sought and build confidence.
Ensure that all women and men understand the importance of organizing meetings that consider time commitments, mobility requirements, and cultural norms so that women can comfortably participate.
Figure 27. Designing interventions for gender-responsive change in the responsible local governance of forest tenure.
Source: Adapted from Ostrom (1990); Fuys et al. (2008); Caron et al. (2014); FAO (2016a); Gilmour (2016); Mayers et al. (2016).
FOREST GOVERNANCE POLICY GOALS
What are the policy goals of the forest governance body? Do these goals recognize the multifunctional uses of the forested area? How women and men use different resources and zones of the forest? How are the goals of forest management related to climate change, growing markets, and changing national development goals?
Support a step-wise series of workshops on identifying policy goals through the input of all key stakeholders within a community-based forestry regime; draw upon a facilitator who is gender sensitive.
DISCRIMINATION, POVERTY AND WELL-BEING
Has there been any initiative by forest governance body to understand the patterns of discrimination, poverty and well-being in the community?
Train leaders and users of the community-managed forestry regime about discrimination, poverty and well-being to understand the ways in which forests are used and benefits are shared recognizing the importance of social equity to effective forest management.
COMMUNITY-BASED FOREST BOUNDARIES
Are the geographical boundaries of the community-based forestry regime clearly defined? Were these boundaries mapped with the involvement of women and men in the community? Does it involve a village or cluster of villages or a group of households who are dependent on a particular forested area? Is this map (paper-based or digitized) housed with the community-based forestry regime office, or with the local government? Are there any audio-visual resources associated with the map that reflect forested areas (or zones) typically used in different ways by women and men?
Carry out participatory mapping (working with an NGO) involving women and men equally as contributors to knowledge for initial consultation, map preparation, as mappers and as data analysts.
Work to store the map and audio-visual data in a location that is accessible to all in a low-cost way.
RECORDING RIGHTS
Are the bylaws (with associated maps and forest management plans) as well as list of members of the community-based forestry regime recorded at the local or digital tenure registry? Is it accessible to all in a low-cost way?
Work with the local government on recording the tenure rights in a gender-differentiated way.
Ensure that the records are accessible to all in a low-cost way and can be readily updated.
**FOREST MANAGEMENT PLAN**
Are women and men both involved in preparing a forest management plan? Is there a good agreed understanding about how women’s and men’s uses and management methods of the forests take place (see Ombogoh and Mwangi 2019)? Are socioeconomic surveys at the household level needed to get an accurate picture of the situation?
Document women’s and men’s knowledge about different forest areas and trees and their resources, as well as their understanding of climate change adaptation and mitigation.
Determine whether there is a match between local ecological conditions and the various rules on use and management by women and men?
Involve women in silvicultural management and development of forest operational plans.
Actively engage women in project-specific planning such as for REDD+ or PES or adaptation from the beginning (see FAO 2018b).
**FOREST TENURE RULES**
Based on the forest management plan, a set of rules in the bylaws will need to be established on the bundle of tenure rights that includes: access, use, management, monitoring, dispute resolution, alienation and so on. Do the various tenure rules match the ecological and socioeconomic conditions? Are the rules clear in terms of when, where, level of harvesting, and technology that can be used to carry out sustainable use and management?
Engage in a multi-step process whereby the existing rules affecting women and men are “shouted out”: these are then reviewed two or three times before a new set are included in the bylaws; creating awareness of the VGGT principles in the process will be important.
**BENEFIT SHARING**
How are the multiple benefits provided by different resources from the forests including water conservation shared among the women and men in the community of different social status and geographical location? Are these benefits accruing to individuals, households or at the collective level of the community?
When the forest management plan is developed, a series of discussions will be needed about how benefits (some of which are in kind, and some in financial form) are to be shared among women and men considering differential needs and interests.
MONITORING
Who is monitoring the condition of the forest as well as compliance with bylaw rules in different areas? How will anyone flouting the bylaws be identified? What will be the set of subsequent actions? Are women better able to apprehend women who do not comply with rules?
Provide for patrolling and monitoring by both women and men by creating gender-segregated teams with specific responsibilities.
CONFLICT RESOLUTION MECHANISMS
Are there typical types of disputes that commonly occur? How are small disputes and larger conflicts addressed? Is the executive committee able to address these issues in a low-cost way? Are these sensitive to gendered needs where women are able to speak up and have their concerns heard?
Include women in any conflict resolution body (ideally who are involved in monitoring work), or provide for women-only conflict resolution bodies for women who break rules; provide training to improve technical capacity so they can effectively carry out their responsibility.
GRADUATED SANCTIONS
What type of sanctions will be imposed on those who violate the bylaws? Are there a set of graduated sanctions that are related to level of seriousness and offense context?
Take an annual opportunity to reflect on the established graduated sanctions to review whether they meet the needs of women and men who have different dependencies on the forest.
LANDSCAPE OR NATIONAL NETWORKING AND LINKAGES
Does the local forest governance body have any informal or formal links with other governance bodies in the landscape, or nationally with federations? Are women receiving forest landscape-related information as much as men?
Explore opportunities for women and men in the local forest governance body to develop networking links with other forest governance bodies within the landscape or nationally.
MINIMAL RECOGNITION OF RIGHTS TO ORGANIZE
To what extent does the tenure governance body have autonomy when it comes to designing, implementing and addressing new gendered needs as they arise? Is there a low or high level of government involvement in the community-based forestry regime? Are the government officials sensitive to gender concerns?
Organize meetings with local government staff (who hold authority and have decision-making power) on a range of emerging needs of women and men so that they understand the importance of autonomy for successful forest management.
INTERACTING WITH EXTERNAL PROJECT PROPONENTS AND INVESTORS
Where external project proponents and investors are involved in the local area, is there a good understanding of how the FPIC principle can be implemented in a gender-equal way (FAO 2014a; Coleman 2019)? Are there principles set out in bylaws for collaborative project management, as well as contract templates for investor agreements (see FAO 2015b, 2016d)?
Provide training on the importance of gender-equal FPIC in the context of donor projects that cover such themes as community-based forestry, REDD+, and PES initiatives.
Where investors are exploring opportunities, work with an NGO to identify how best to carry out the preliminary engagement, subsequent negotiations, as well as prepare investor agreements that attend to gender equity.
WORKING WITH LOCAL GOVERNMENT
Do community members have trust in the government effectively implementing laws and policies, particularly those promoting gender equality? Is there good service delivery in terms of technical support for forest management, forest law enforcement, or in business incubation for enterprise development?
Build a positive working relationship with the local government in conjunction with cultivating alliances with influential NGOs/CSOs to improve government administration and service delivery on gender and forest tenure in an ongoing process.
WORKING WITH LOCAL LEADERS
To what extent do local leaders, both men and women, work to support gender equality in governance of forest tenure?
Build, support and recognize the work of male equality champions.
Cultivate alliances with influential women such as the wives of leaders and chieftains to mobilize positive changes for gender equality.
COMMUNICATIONS
How are stories of positive change and inspiring leadership promoting gender equality shared within the community? Through particular meeting spaces or collective ritual gatherings?
Find regular opportunities to share knowledge about women and men’s specific dependencies on the forest and what that means for overall development in the community.
Collect and share positive stories about changes in gender equality within the forest governance regime such as on forest management, use rules, benefit sharing or enterprise development.
WORKING WITH WOMEN’S GROUPS
What kinds of women’s groups exist in the community? Self-help groups? Savings groups? Mother’s groups? In what way are they associated with the forest sector activities? Can alliances be built with them to strengthen gender equality on forest tenure?
Develop a separate women-only supportive group to help women on the forest governance body, and build links with other women’s group to effect quicker change.
EDUCATION, AWARENESS AND TRAINING
CHANGING GENDER NORMS
What are the prevailing gender norms among the different hierarchically ranked status groups in the community? How do they affect the way in which women and men are able to access and use forests? How does it affect women’s participation in governance meetings? Who are the new role models for girls and young women, and boys and young men?
Change gender norms through gradual and sustained effort in the form of numerous interventions, be it through inclusive dialogues with influential community and religious leaders; communicating targeted messages through radio and theater; rewarding public achievements, and so on; requires an approach that conveys the importance of inclusiveness and gender equality between women and men of different backgrounds.
Mentorship programs can be set up for supporting young women and men who are becoming active in forest governance and management.
BUSINESS TRAINING AND INCUBATION
Does the regulatory framework support women’s entry into setting up forest-based enterprises? Any incentives on registration or taxes to support women? Do women in the community have opportunities to join training on starting a forest-based enterprise? Are they able to join study visits to other communities with profitable forest-based enterprises? Is training provided on running a business? On technologies for forest products processing? Is there a business incubation center that is attentive to gendered needs?
Identify sources of women-focused investments to incubate profitable forest-based enterprises.
Provide business skills to women seeking to start one particular type of forest-based enterprise suitable to local context.
LEGAL AWARENESS AND EMPOWERMENT
To what extent are women and men knowledgeable about forest and related laws and regulatory provisions? What do they know about their rights to remedies within these laws?
Organize small group events (for women and men separately) to increase knowledge of the law, how it is implemented in practice, and what supportive services exist.
REDUCING LABOR AND TIME BURDENS
What types of specific areas of intervention can support reductions in heavy responsibilities women hold in the household such as cooking, collecting fuel, child care, elderly care, looking after livestock and so on?
Carry out action research on what women and men believe are priority interventions for reducing their household labor burdens and time spent collecting forest resources to help set the stage for decisions on best supportive actions.
SEXUAL AND GENDER-BASED VIOLENCE (SGBV)
What are the threats of violence and coercion made to women as well as men, be they physical, emotional, psychological or sexual in nature about forest issues (Camey et al. 2020)?
Change the patterns of SGBV through a multipronged approach that addresses gender norms, patriarchal forms of power, masculinity and increasing vulnerabilities among men due to poverty and loss of livelihoods.
Prepare a “Protection against sexual harassment and abuse” policy to help motivate behavior changes.
BANKING, CREDIT AND TECHNOLOGY
Does the community generate collective funds (from say, sale of NTFPs) to support women with new technologies to reduce their heavy household workloads? In what way can women use their forest tenure rights to gain access to bank loans for starting or growing forest-related enterprises? How can such loans support entry into processing, marketing and retailing nodes of the value chain? How many women have independent bank accounts? Can they be accessed by mobile phones?
Create a community fund for women to meet their tailored needs for reducing time or labor burdens.
Provide credit or grants to women-led tree nurseries or forest-based enterprises that are linked to strengthening recognition of women’s forest tenure rights.
Support women in opening independent bank accounts, ideally with mobile banking service.
SECTION 3.2
FURTHER READING
[FAO] Food and Agriculture Organization. 2019. *A framework to assess the extent and effectiveness of community forestry*. Working Paper no. 12. Rome: FAO.
[RRI] Rights and Resources Initiative. 2019. *Strengthening Indigenous and Rural Women’s Rights to Govern Community Lands*. Washington, DC: RRI.
WHAT DOES RESEARCH SAY: Why is women’s participation in community-based forests important?
QUESTION FOR REFLECTION
How important is women’s participation as members in a forest governance committee for achieving gender equality?
From the early 2000s, the predominant theme of research on gender and community forestry governance has been on issues of women’s participation (Mai et al. 2011, see also Asher and Varley 2018 for an update). Increasing women’s participation in local forest governance has long been considered the cornerstone of gender-transformative change. The core idea has been that if enough women actively and effectively participate, then improvements on gender equality will inevitably ensue. Gender-equal representation would lead not just to benefits for women of different status but would result in rules that would be in the interest of all community members.
The work of Indian economist Bina Agarwal on gender and community forestry in South Asia has been influential in throwing open this discussion. In the face of the optimistic hype about improving women’s participation in forest governance, her critical interpretation of what she termed ‘participatory exclusions’ (that is exclusions within seemingly participatory institutions) (Agarwal 2001, 1623) prompted careful consideration of how much women were really effectively participating in community forests. To clarify, she developed a typology that differentiated levels of women’s participation in community forestry that is often used still today (Figure 28). This typology points to the importance of understanding how assertive and influential women can be in participating in governance bodies. It is not uncommon for women to participate in majority numbers and express their opinions vocally and still be ignored, as is seen in the case of the Lam Dong REDD+ project in Vietnam (Gurung and Setyowati 2012). At the same time, there is more to participation than simply how women’s voices are expressed in decision-making forums: heavy household responsibilities mean that it is elite women who all too often are able to make time to join such meetings.
A follow-on question is about ‘critical mass’: what proportion of women do you need on a collective forest decision-making body to support gender-equal representation and therefore to improve forests, livelihoods and income generation? Even though research has been carried out on this subject for some 20 years now, there is still no consensus. Some studies have demonstrated that increasing women’s participation up to about 30% of forest user group governance membership in South Asia has produced improvements in forest resource management and distributional equity, often through ensuring better rule compliance (Agarwal 2010, 2017). In addition, the presence of older women members on committees has contributed in positive ways. This research has also underscored that it is women with the most at stake, for example, landless women who are more committed participants in assemblies, speaking out regularly on their needs and flouting prevailing social norms. In subsequent work, it was argued that while the power of numbers and implicitly shared interests can help to
build the strength of women’s participation, conscious recognition and collective articulation through intra-group dynamics as well as horizontal linkages with other local groups and federations can also bring about needed changes (Agarwal 2015).
That said, other research undertaken in Kenya, Uganda, Bolivia and Mexico zooms in on another facet of the issue asserting that mixed gender groups are better able to engage in forest resource enhancing behavior than women-only groups (Mwangi et al. 2011; Sun et al. 2011). In other cases, such as in Brazil, research indicates that women-only and topic-focused groups create space where women are able to build positive initiatives for change (Shanley et al. 2011; Sun et al. 2012). Additionally, global research that examined how the gender composition of forest and fisheries management groups affects resource governance and conservation outcomes found that there is clear evidence for South Asia (India and Nepal) where women’s involvement in management groups does improve governance and conservation, but in other geographical areas, there is an inadequate empirical basis for good analysis (Leisher et al. 2016). In essence, there is a clear need for more geographically diverse research to improve global-level understanding. In the end, it is about more than numbers. Rather, substantive knowledge, roles, relationships and networks that women members of forest executive committees bring to bear on their influential role are vital for effective participation (see AIPP 2013; Upadhyay et al. 2013; RECOFTC 2016).
**LESSONS**
While increasing empowered participation of women in forest tenure governance institutions is clearly important, numbers alone are not the critical factor as it is the substantive influence women can exert that leads to positive change for gender fairness.
In our village, the men go into the forest to map, but I manage the data. Women can study that data and make conclusions.
Maliwan Agkara
Secretary of the Nam Khae mapping project in Thailand that is working to get government-recognized title to their forest land (RECOFTC 2020)
GENDER, PARTICIPATORY MAPPING AND COMMUNITY-BASED FOREST TENURE
With the focus so squarely targeted at improving women’s participation in forest tenure governance, it is easy to forget the other essential interventions needed to improve gender equality. Establishing the boundaries of community forests as well as resource mapping is a foundational step for clarifying and asserting forest tenure rights. While participatory mapping has grown in leaps and bounds over the last 30 years, the multiple ways in which women can engage in creating and analyzing maps is now becoming prominent (IFAD 2009; Tettebba 2013). Such maps can be used to geospatially document tenure relations, such as for creating a citizen’s cadaster, delineating customary or ancestral lands, determining the boundaries of community forests, identifying resource-use areas and resolving conflicts. They can also be used for other related needs such as livelihood strategies, participatory land-use planning, or documenting place-based oral histories and mythologies (see, for example, Etongo and Glover 2012). Mapping can be required in the claims process, or it may be initiated by the community to legitimize its *de facto* tenure rights. Women can contribute to consultations before mapping occurs, identify and validate boundaries and resource zones, but they can also work as mappers, community surveyors and analysts. The process of visibilization creates new understanding and representation of gendered knowledge. In this way, gendered participatory mapping becomes a pivotal part of the clarification, assertion, recording and analysis of forest tenure rights.
In recent years, the use of mobile technologies has not only helped to lower costs, but also has facilitated more inclusive participation from various community members who hold expert knowledge (see, for e.g., USAID n.d.), while capturing gendered audio-visual data. Thinking carefully about how to include women’s and men’s diverse perspectives in using mobile technologies produces a map that all can agree to. Participatory mapping guides may suggest carrying out the mapping work separately for women and men to allow women to speak freely, and to find a time and place that respects their other work commitments. Yet, there are few reports of how the mapping was actually carried out in practice and with what gendered effect on local leadership, forest management and governance, or forest-based enterprise start-up. There are some positive developments afoot with examples of participatory mapping guides that are set out in gender-sensitive ways (see for example Vasundhara 2016; Rainbow Environment Consult 2018; Rainforest Foundation UK 2019a; USAID LTS Team 2019). Going forward, this is an important area for developing gender-responsive and locally relevant tools and protocols, in either written or audio-visual formats. Mapping is certainly not a one-time-use tool: it can be very valuable for tracking change, assessing the impacts of development projects, or adaptively building land-use planning systems. The snowball effect of mapping in consolidating rights assertion will take time to understand.
SECTION 3.3
FURTHER READING
Boissière M, Duchelle AE, Atmadja S and Simonet G. 2018. *Technical Guidelines for Participatory Village Mapping Exercise*. Bogor, Indonesia: CIFOR.
Rainbow Environment Consult. 2018. *Synthetic and Practical Guide of the Unified Methodology of Participatory Mapping in Cameroon*. Yaoundé, Cameroon: Rainbow Environment Consult.
Women’s role in participatory mapping in Latin American countries
QUESTION FOR REFLECTION
Why have women been left out of participatory mapping for boundary demarcation of customary lands in many Latin American countries?
In Latin America, 33% of forests are managed under some type of collective tenure regime owned by communities, most of which are held by indigenous peoples (such as *resguardos* – indigenous reserves) (RRI 2018). Despite this substantial progress, formalization of claims over lands is still slow in many countries, and little is known about how these reform processes involve and benefit women. While existing procedures for formalizing rights are long, complex and costly for both boundary demarcation and mapping of key natural resources (Monterroso et al. 2017), it has become increasingly clear that incorporating women in demarcation procedures is essential for avoiding the risks of perpetuating social differentiation of vulnerable groups. Moreover, it is important because rural and indigenous women and men have different forms of knowledge about land and natural resources (Cruz-Burga et al. 2019; Duran et al. 2018). Because there are seldom legal provisions regarding the demarcation procedure, most communities rely on their own self-organizing capacities (Notess et al. 2018). At this point, women are typically left out (Monterroso et al. 2019b).
Consequently, women’s organizations have mobilized in countries such as Peru and Colombia to become more active not only in the formalization processes but also in policy discussions relevant to their territories (Bolaños 2017). For instance, in Peru, the National Organization of Andean and Amazonian Indigenous Women (*Organización Nacional de Mujeres Indígenas*, ONAMIAP) has asserted the need to review formalization procedures that currently only require involvement of the household head arguing that both women and men should be included (ONAMIAP and RRI 2017).
Clear mechanisms need to be established for engaging women during mapping and other steps for titling (Larson et al. 2019b; Monterroso et al. 2019b). There are other initiatives afoot that provide technical support for gender-responsive participatory mapping work. For example, Cadasta (an organization that provides technical tools and services on documentation of land and resource rights) has worked with the Aso Manos Negra, the Association for the Defense of the Environment and Black Culture (a women-run organization in Colombia formed in 1996) to map and document community lands among Afro-Colombians in the Pacific region (Cadasta n.d.). Cadasta developed a customized data collection system and provided in-person training so that Aso could collect data on women’s economic activities and land use, track the formalization process for community lands and survey women’s community associations. This work has been indispensable for
tracking more than 270 pending claims for recognition of Afro-Descendant communities (Guerrero et al. 2017; Herrera Arango and Helo Molina 2018). Available georeferenced data for only 147 of these claims shows that at least 1 million hectares have been claimed by Afro-Colombian communities (RRI 2018).
LESSONS
To secure women’s participation in the boundary demarcation of customary territories, the government needs to specify rules and mechanisms on how gendered participatory mapping is to be carried out. This will allow mapping and data management initiatives to track government progress.
__________________________
16 Cadasta has also worked with the Ethnic and Indigenous Lands Observatory at the Universidad Javeriana supporting Afro-Colombian and indigenous communities to document, claim and self-manage their land rights.
Thanks to the development of financing mechanisms, community forest enterprises have been able to modernize their [production] processes. By modernizing the sawmills and providing technical assistance for women’s training, women now can participate in the process [by] working at the sawmills. This has been very good. The mechanization of the process, and the economic benefits [derived], have led to women taking part in...jobs that used to be exclusively for men.
Berenice Hernandez Toro
Director of Financing, CONAFOR and Forest Investment Program Focal Point for Mexico (Kuriakose 2018)
3.4
WOMEN ENTREPRENEURS LEVERAGE COMMUNITY-BASED FOREST TENURE RIGHTS
Ensuring that women and men have equally recognized rights to forests is not simply about ensuring that subsistence livelihoods and food security needs are met. These rights are also a powerful lever for jumpstarting entrepreneurial aspirations and establishing social impact enterprises. It is an important dimension of the realizability of tenure rights. Yet, such commercially relevant tenure rights are rarely part of the bundle of devolved tenure rights recognized by the government to IPLCs. Therefore, the details of the bundle of rights (as well as related regulatory frameworks) need to be crafted in such a way that both women and men have the appropriate set of rights to launch entrepreneurial businesses. Where the forest tenure transition has taken hold and where tenure rights to forests under the government’s jurisdictional control are transferred to communities, firms or individuals, substantial growth in community forest enterprises has been the norm (Molnar et al. 2007; see also Greijmans et al. 2014)). Small-scale or locally owned forestry is a very large sector that can become a force for changing the face of rural development given the right set of catalytic interventions for women and men (Mayers et al. 2016). Yet, little is known about gender-equal opportunities because of limited studies and gender-disaggregated data on forest-based enterprises (Ingram et al. 2016; FAO 2018a).
Studies show that there are major obstacles to women being able to benefit at higher nodes of forestry product value chains (see Ingram et al. 2014). Poorer women harvest medicinal plants or other NTFPs, become employees raising medicinal or aromatic plant seedlings or carry out processing with very simple labor-intensive technology. It is much less common to find women involved through employment in a forest-based enterprise; in processing, trading and marketing; as well as engaging in service provision.
In India, for example, the small-scale forest enterprise (SSFE) sector provides employment to millions of poor people who collect, process and sell forest products (Saigal and Bose 2003). Some 50% of SSFE employees are the landless or women. Even though the extra cash improves their income security, there are significant policy bottlenecks to obtaining better returns. Take the case of the *tendu* (or *kendu*) leaf used to roll *beedis* (a type of cigarette), where many of the pickers and rollers are women and children. There are about 750,000 tendu leaf pickers, mostly in central India. Following the passage of the 1996 Panchayats (Extension to Scheduled Areas) Act in 1996 and the 2006 FRA, Indian states are obliged to hand over tenure rights to *tendu* leaf and other NTFPs to forest dwellers (Lele et al. 2015). In Madhya Pradesh (the biggest producer of *tendu* leaf), the transfer has started to benefit leaf pluckers in limited ways. In Orissa, where women in various forest protection committees took to the streets in the state capital in 2005 to get government leaf collection centers set up in nearby locations (with limited success) (Singh 2007), the state government has retained its monopoly over *tendu* and other NTFPs violating the FRA provisions (Pani 2018). The implication is that women, as major leaf pickers, will not be able to garner the benefits they are due by federal law.
Greater obstacles need to be confronted at higher levels of the value chain. One problem can be the gender stereotypes associated with certain forest-based enterprises. Take the case of the numerous timber-based community forest enterprises that are operated and managed predominantly by men such as in Mexico (Antinori and Bray 2005). Although the charcoal sector, which provides income to millions of people, is another that is portrayed as dominated by men, but in fact, women are increasingly entering the value chain. New studies now reveal that women are actually involved across the entire value chain but with women having a stronger presence in retail nodes of the chain, with men involved in production and transportation (Ihalainen et al. 2020; see also Delagneau and Ahoussi 2019; Gonzalez 2020). The extent to which women take up responsibilities further up a value chain as a trader or wholesaler (rather than collector or processor) varies across regions (Ingram et al. 2016; Gumicio et al. 2018). Increasingly, guides are available on how to understand the gender-differentiated characteristics of forest value chains (see Stein and Barron 2017; FAO 2018a), and particularly to support women as traders (Awono et al. 2010; Rousseau et al. 2015).
Tenure rights play a role in gender-equal value chain dynamics. One of the main stumbling blocks in women engaging in higher-value activities is the lack of recognized tenure rights to trees and forests. Where women are involved in smaller commercial activities for local markets, such as woodcutting and marketing, tree tenure is among the factors affecting typically poor women’s ability to profit from the harvesting (Friman 2020). Women are unable to leverage their informal tenure rights as collateral to obtain a loan for enterprise development, be it for production, processing, marketing or retailing. In this context, understanding how women in community-based forests leverage their joint strength to improve their involvement in forest businesses is needed (see Bolin 2018). Mostly, women from wealthier backgrounds draw upon their private agricultural lands to jumpstart a commercial initiative. That leaves many women excluded from profitable entrepreneurial opportunities.
[FAO] Food and Agriculture Organization. 2018. *Developing Gender-Sensitive Value Chains. Guidelines for Practitioners*. Rome: FAO.
Haverhals M, Ingram V, Elias M, Sijapati Basnett B, and Petersen S. 2016. *Exploring gender and forest, tree and agroforestry value chains. Evidence and lessons from a systematic review*. InfoBrief no. 161. Bogor, Indonesia: CIFOR.
Tree tenure and shea butter value chains in Burkina Faso
QUESTION FOR REFLECTION
In what way does informal tree tenure over lucrative shea trees pose obstacles to women in being able to benefit from higher-value processing opportunities?
Women’s tree tenure holds the key to securing financial flows from the shea butter commodity chain. In the agroforestry parklands of central and central-western parts of Burkina Faso, the shea tree is of crucial importance because its nut butter is valuable in the global commodity chains for the cosmetic and confectionery industries (Elias 2016). A slow-growing tree producing fruits after 15–20 years, shea is locally valued not only for its nut butter but also its nutritious fruits, medicinal benefits and hardwood. It is called the butter tree or women’s green gold because it provides significant aggregate income for women (as collectors and butter processors).
However, men still occupy the most profitable roles in the industry earning three to four times more money. Women use their control over the money mainly for their children’s education. Interestingly, although knowledge and cultural practices around its use and management are distinctly in women’s hands, men also know much about this tree because of its economic importance (Elias 2016).
Women, as the main nut collectors, have to operate within the customary land ownership system, which is lineage based and patrilineal. In this, tree tenure dynamics are of paramount importance for women. Over time, these dynamics have changed because of the influx of new settlers over the last 20 years and who now outnumber the long-standing residents. Still, the prevailing rules governing access to shea trees on cultivated and fallow lands provide for stronger rights for indigenous families than settler families (Poudyal 2009; Rousseau et al. 2016).
Nevertheless, the result is that access to shea trees has become increasingly competitive. In response, women from indigenous families have tried to strengthen the informal cooperative relations among themselves (particularly to restrict access to settler women), while settler women (who are at a distinct disadvantage) have chosen to become involved in making higher-value shea products, as well as create formal cooperatives (Poudyal 2009).
A bigger problem facing all women harvesters results from the liberalization of the shea industry in the 1990s. This created an oligarchic structure of male-dominated wholesalers (Rousseau et al. 2015; Chen 2017). Attempts to bypass these traders through fair-trade projects that could benefit women harvesters has had little effect on the predominant value chain dynamics.
Women continue to have difficulty in engaging in higher-value processing because their forest tenure rights cannot be formally leveraged to access capital. If there were fewer barriers to land and asset ownership, women would have the capital to engage in markets
and influence decision making. Being the country’s third most exported product, forest tenure policy needs to consider how to promote gender equality along the value chain by clarifying how women’s tree tenure rights can be translated into investment capital.
**LESSONS**
Women who harvest shea fruit face a double burden: not only is there greater competition among women over fruits due to the influx of settler women, but the absence of women’s formal tree tenure rights means they cannot access the capital needed to enter into higher-value processing nodes of the value chain.
Steering sustainable development policies toward a ‘landscapes approach’ framework, which applies an integrated approach to land management, will make the relevance of gender to environmental debates even more apparent.
Dr. Seema Arora-Jonsson
Associate Professor of Rural Development with the University of Agricultural Sciences in Uppsala, Sweden (Mollins 2013)
Creating positive effects at scale is also part of forest tenure reform thinking. Instead of considering forest tenure rights at the scale of one forest, improving forests and social equity can involve thinking across a landscape with its multiple tenure niches. Women and men in households will be drawing upon different types of resources across any ‘forest–tree–landscape continuum’ with diverse tenure niches creating a mosaic of protected forests, managed forests, orchards, multi-storied agroforestry areas, single species crop production and other land uses (Bruce 1989; Parrotta et al. 2016). How to govern and improve such forest landscapes is the art of gendered thinking across multiple and complex factors such that collaborative initiatives can foster further greening in support of multifunctionality.
Working at the landscape level is beginning to manifest in a number of initiatives such as jurisdictional REDD+ or forest landscape restoration (FLR) (Jhaveri and Adhikari 2016; Irawan et al. 2019). Indeed, since FLR is increasingly receiving public attention, the tendency has been to leverage existing programs such as REDD+ in new ways (Sijapati Basnett et al. 2017). Within this, it is clear that implementing some form of tenure reform is a way of incentivizing outcomes including gender equality (Sunderlin et al. 2018; McLain et al. 2019). While methodologies for FLR, such as the Restoration Opportunities Assessment Methodology (ROAM), has now included gender-responsive dimensions (IUCN 2017; Siles and Prebble 2018; FAO and WRI 2019; Seymour 2020), detailed understanding of the linkages between gender and tenure remain elusive. A review of eight ROAM reports revealed that while they noted that lack of rights or weak rights were obstacles in the way of scaling up FLR, none carried out an in-depth tenure and governance assessment (McLain et al. 2019).
One of the major obstacles is the lack of guidance on analyzing property rights within multilevel or polycentric landscape governance (Buck et al. 2019). Because working at the landscape scale is complicated, the concepts are still evolving. Rarely are tenure regimes, let alone their gender dimensions, easy to classify at this scale. Therefore, it becomes even more important for those involved in landscape governance to be trained in tenure diagnostic tools so that different types of hybrid tenure systems can be accurately examined (Ranjatson et al. 2019). This includes exploring women and men’s indigenous and local knowledge about trees and the landscape’s multiple uses (Elias 2018).
Gendered tenure plays a critical role in a number of factors behind successful restoration because it enables stakeholders to perceive that the rewards of their efforts will flow back to them over the long term. Tenure affects factors such as level of commitment by the range of stakeholders involved, engaging implementers (mid-level brokers and government officials), and willingness to hear those who have a clear stake in their landscapes, in particular women and the marginalized (Sarmiento Barletti et al. 2020). Longitudinal studies of gender and REDD+ across multiple sites show that the perception of well-being among women decreased at a higher level than for men, and as such point to the need for better attention to gender equality and safeguarding women’s rights in regenerating forests (Larson et al. 2018).
**FURTHER READING**
Buck, LE, Scherr SJ, Chami B, Goldman M, Lawrence T, Mecham J, Nevers E and Thomas R. 2019. *Exploring Property Rights and Tenure in Integrated Landscape Management*. Washington, DC: EcoAgriculture Partners on behalf of the Landscapes for People, Food and Nature Initiative.
[IUCN] International Union for Conservation of Nature. 2017. *Gender-Responsive Restoration Guidelines: A Closer Look at Gender in the Restoration Opportunities Assessment Methodology*. Gland, Switzerland: IUCN.
McLain R, Lawry S, Guariguata MR and Reed J. 2019. *Integrating tenure and governance into assessments of forest landscape restoration opportunities*. Infobrief no. 241. Bogor, Indonesia: CIFOR.
Gender-responsive forest landscape restoration in Malawi
QUESTION FOR REFLECTION
What are the critical components of a gender-responsive approach to carrying out a national forest landscape restoration assessment?
After Malawi made its pledge to restore 4.5 million hectares of forestlands in 2016 to the African Forest Landscape Restoration Initiative and the Bonn Challenge, it quickly launched the National Forest Landscape Restoration Assessment (NFLRA) through a multi-sectoral national taskforce. Using the ROAM methodology, it sought to identify priority areas and interventions that were tailored to the local socioeconomic and ecological context. From the very start, this was done through a gender-responsive approach working with the International Union for Conservation of Nature (IUCN 2017).
The goal was to ensure that a Gender Plan of Action (GPA) would inform the NFLRA. A number of steps were taken: first, a gender specialist group was created by building the capacity of gender experts from various relevant ministries on forest restoration. A pre-ROAM inception workshop was held with this group to familiarize the experts with FLR and the linkages with gender concerns. Two members of this group were added to each of the three technical working groups developing the NFLRA in order to ensure gender integration. One particular working group on stocktaking and mapping undertook a gender analysis drawing upon IUCN’s Gender Responsive FLR Analysis Framework (IUCN 2017). Drawing up a range of data that was collected such as relevant policies, gendered dimensions of existing FLR initiatives, sex-disaggregated socioeconomic data (and its geospatial dimensions), and district-level perspectives on gender-responsive FLR, the GPA aimed to guide the technical working groups. The GPA findings were then integrated into the NFLRA report and the National Strategy and Action Plan. A separate, comprehensive chapter setting out the findings of the gender analysis was also included in the NFLRA. Proactive thinking at the planning stage on gender-responsive approaches facilitates integration across the board.
LESSONS
The Malawi experience indicates that a gender-responsive NFLRA process can benefit from: building and training gender experts across different sectors to join the gender specialist group; including members of the gender specialist group in various technical working groups to ensure gender integration; collecting relevant data to prepare a GPA; and carrying out a gender analysis using a gender-responsive FLR analysis framework.
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Zinnah MM, Jackollie MS, Crayton E and Cisco OB. 2020. *Gender assessment of the policy environment in relation to the cocoa, oil palm, rubber and timber value chains in Liberia*. London: PROFOREST.
**Gender:** Gender does not mean sex or women. It refers to the socially and culturally accepted ideas (roles, behaviors and identities) that are taught by society about what it means to be female or male. Instead of a biologically framed notion, it requires understanding of socialization practices. Such gendered differences affect the power relations between women and men (and between themselves), and can result in inequalities in decision-making processes, benefits, empowerment, and outcomes. In forestry, it can refer to how women and men occupy certain spaces in the household, farm and forest; what types of forest resource collection activities are deemed socially acceptable; and how deference to male authority is to be demonstrated. For example, in Burkina Faso, women are considered the collectors of shea nuts, although women and men might both know how a shea tree grows, which types of shea nuts are best, and how they are to be harvested given the economic importance of this forest product. Therefore, men will defer to women’s knowledge because they hold primary rights to the shea fruit and nuts.
**Gender analysis:** This involves an analysis of the gender issues standing in the way of gender equality, be it for lobbying for policy and legal changes, designing a development project or for improving local community-based decision-making institutions. Therefore, it can form part of a needs assessment, a situation analysis or a policy review. There is no standard type of gender analysis: it has to be tailored to the need. This typically includes such dimensions as identifying the different roles of women and men in a given context, their varied access to and control over resources and benefits, as well as the attendant development effects. It can involve both qualitative and quantitative information. It is a key component of gender mainstreaming activities. In the forest sector, for example, it can be used to understand the challenges and gaps facing gender equality in government administration, or to identify how to improve gendered decision-making institutions and benefits in REDD+ initiatives.
**Women’s empowerment:** The empowerment of women is a process through which women gain greater power and control over their lives and thereby have stronger ability to make strategic choices within households and the community. Having the ability to influence the direction of social change to promote sustainable development and social justice is ultimately what leads to gender equality. Through greater participation and receiving benefits from forest tenure governance and rules, women will be empowered to take decisions in a range of arenas such as day-to-day forestry practices, financial management, technology, income generation and enterprise development, education, health and so on.
**Gender equality or equity:** Gender equality refers to women and men having the opportunity to equally enjoy society’s goods, opportunities, resources and rewards. It is the term used in many international agreements such as CEDAW (see SIDA 2016). Here, it is not that women and men would become the same but, rather that they have same dignity, opportunities and support to achieve desirable outcomes. Under the law, both women and men are equal. In a world with gender parity, prevailing discrimination, prejudices and rigid gender roles would be positively transformed.
---
17 A number of sources are available for understanding gender terms (see for e.g., UN Women Training Centre n.d.)
Gender equality is not solely a women’s issue but involves the engagement of both women and men in the transition process to a fairer world. Gender equity focuses more so on fairness and justice in terms of benefits and needs.
Gender equality is found, for example, in the equal role of women and men (representing the spectrum of social and economic status) in forest governance bodies, where members able to draw upon their knowledge, assert their authority effectively and thereby influence decision-making outcomes through rules that recognize both women and men’s rights on an equal basis. Women’s representation does not mean solely protecting women’s rights: it is the overall well-being of the community that is being sought. Crafting governance and the tenure rules requires a deft and artful approach to balancing interests.
**Gender gap:** This term originally referred to the systematic difference between women’s and men’s participation in the labor force. The annual *Global Gender Gap Report* by the World Economic Reform has an index that tracks a wider set of gaps: the gendered differences in economic participation and opportunity, educational attainment, health and survival, and political empowerment (see World Economic Forum 2018). The gender gap in forestry refers to a range of factors that stand in the way of gender parity, and has been examined in some countries such as Mexico (World Bank 2018).
**Gender intersectionality:** Simply focusing on women, as a broad category, is not enough. Examining gender intersectionality involves moving beyond simplistic depictions of gender polarities to discern how individual women and men face multiple and intersecting types of structural discrimination, as well as empowerment (Colfer et al. 2018). Intersectionality may be a vague word but inequalities are seldom caused by one factor alone. Typically, there are clustered deprivations meaning that different types of discrimination are found together in a correlated pattern. Yet, research shows that nearly all gender-differentiated forestry research does not consider intersectionality (Djoudi et al. 2016, as an exception see Nightingale 2011). This may be because there is little guidance on how to use the concept in understanding specific situations, and on how to mobilize the insights developed (Colfer et al. 2018). While the policy world does not like such complexities (Arora-Jonsson 2014), intersectionality is a necessary approach to gender-based forestry analysis.
**Gender mainstreaming:** Now a ubiquitous term, the gender-mainstreaming approach was agreed to at the 1995 Fourth World Conference on Women held in Beijing to promote gender equality. Mainstreaming means that the implications of any planned action, be it legislation, policies, programs or institutional development deliberately assesses its implications for gender equality so that obstacles and constraints can be addressed in a proactive way. In doing so, it becomes part and parcel of the design, implementation, monitoring and evaluation of any initiatives to ensure that gender is not simply an add-on activity but integrated at all steps. It also facilitates learning in any organization. This is often a twin-track process that involves programs specifically targeted at improving gender fairness, and the integration of gender considerations into other programming. In forestry government agencies, a gender focal is the nodal person for supporting gender mainstreaming both in terms of administrative processes as well as development of policies and laws, and their implementation.
**Gender proofing:** This involves analyzing any policy proposal or strategic plan for specific types of potential gender discriminatory impacts. This is an anticipatory approach that aims to recognize and prevent negative consequences. In the case of developing a national REDD+ strategy for example, gender proofing involves examining how it can undermine women’s access to fuelwood, fodder and medicinal products, as well as rights to benefits from REDD+ financial and other social welfare gains.
**Gender responsiveness:** This term emerged because gender sensitivity was thought to be insufficient for creating the required transformations. Rather than only promoting a ‘do no harm’ principle, gender responsiveness is a more active approach that takes up specific measures to improve women and men’s participation, their leadership skills, their authority and effective engagement, benefits and empowerment. This involves taking steps to reduce existing barriers and obstacles such as gender norms, discriminatory rules and regulations, and disincentives to productively engage and negotiate. Understanding whether any intervention is achieving its transformative goals requires some form of monitoring and evaluation. In forestry, for example, gender-responsive actions will seek to ensure that rules set up within laws or policies to require 50% participation by women and men in decision-making bodies are effectively implemented among most IPLC members.
**Gender sensitivity:** This involves policies and programs taking into account the cultural and social factors leading to gender-based exclusion and discrimination within households, the public sphere and decision-making bodies. The aim is to develop respect for the individual regardless of the person’s gender.
**National mechanisms for women’s affairs:** These consist of government offices, departments, commissions or ministries that provide leadership and support to governmental actions to achieve greater gender equality.
The following is a condensed glossary with terms used in this publication.
**Access rights:** The ability to access or pass through a forested area or specific trees to be able to harvest particular resources. Within the forest, women and men (whether informally or formally) may be able to access only certain parts of the forest. Often, access rights are related to household or group membership in the community.
**Alienation:** The property holder’s right to transfer the forest to another by sale, lease or other means, as well as the ability to use the resource as collateral to raise finance. Many customary or community-based forest tenure regimes are being eroded by sale of individual plots of land.
**Bundle of forest rights:** The various rights that together constitute forest tenure such as access, use, management, exclusion and alienation. Forest tenure over a specific forest area can be vested in an individual, firm, communities or the state.
**Communal, collective, common property or community-based forest tenure:** These are multiple terms that refer to a forest tenure regime where a communally used forest area is governed through a community-based or collective governance institution.
**De facto or customary forest tenure right:** Refers to informal tenure that is based on locally recognized rights without formal statutory recognition by the state. Can be a set of legitimate rules and regulations that have been inherited from prior generations.
**De jure or statutory forest tenure right:** This is concerned with a set of forest tenure rights that are established and protected by the state. This involves, *inter alia*, the definition of the distribution of the rights and responsibilities between the state and other actors.
**Exclusion rights:** The right to regulate and exclude outsiders who do not hold access rights to the forests. That said, some outsider women or men may be allowed to access and use the forest at specified times in particular ways.
**Forest ownership:** The right to use, control, transfer or otherwise enjoy a land parcel as long as those activities are allowed by law. In statutory law, it is often associated with freehold land.
**Forest property:** Forest property is a benefit (or income) stream to women and men, and a forest property right is a claim to benefits from forest resources that are protected by the state or another higher body (Bromley 1990).
**Forest tenure:** Defines who owns forestlands, and who uses, manages, and makes decisions about forest resources. The term ‘forest tenure’ gives importance to the social relationships and institutions that determine patterns of forest use. The term ‘property’ is sometimes
---
18 There are a number of publications that provide a comprehensive glossary on tenure (Bruce (1998), FAO (2012), Larson (2012), USAID (2013), RRI (2018), and World Bank (2019a).
used interchangeably with tenure, although property refers to the right to a benefit stream. Tenure, however, is not *ownership*. Rather, tenure draws our attention to a *bundle of rights* (such as access, use, management or alienation) that in total make up a forest tenure institution.
**Forest tenure reform**: This is a general term that refers to a change in the set of rights and responsibilities to use, manage or control forests or forested land. This can involve changes in policy, law, regulations, forest governance, and tenure rules for different rights holders (Larson et al. 2010). Such changes can result in new types of tenure arrangements that are suited to the local ecological, socioeconomic and political context for sustainable forest management (FAO 2011).
**Forest tenure transition**: The ongoing devolution process whereby forested lands under the jurisdiction of the state are gradually changing so that the forest tenure rights are increasingly transferring to the authority of IPLCs, firms and individuals. This devolution trend has different patterns and pace in different continents but in an overall sense continues to move forward.
**Management rights**: This is a complicated right because it encompasses many facets such as establishing objectives of forest management, understanding how to assess forest condition across the landscape, knowing how to regulate varied types of uses across an annual cycle, running a forest nursery and also undertaking different types of silvicultural management for specific forested plots. It can also include the right to convert the forest to agriculture, or permit a private sector company to use and manage a portion of the community’s forested lands.
**Responsible governance of tenure**: Brings a focus on how responsibly tenure rights to forest resources are designed and implemented so that both realization of human rights and sustainable social and economic development can take place. The VGGT set out both its general principles as well as principles for implementation, including gender equality.
**Tree tenure**: Specific tenure rights held by an individual or group of persons over particular tree species in a forested area. Can include the right to plant trees, harvest fruits and other products from the trees, harvest the trees themselves, and own or inherit the trees. Tree rights may not necessarily hold over the land they are growing on.
**Tenure registry**: A public register that is used to record information (including maps) about forest tenure deeds, titles or community-based regimes.
**Tenure security**: This refers to the level of confidence people have they will not be arbitrarily deprived of their forest tenure rights (including the benefits they derived from them), and will not be unreasonably contested in the face of challenges. While statutory protection offers a formal sense of tenure security, in practice, tenure security is an aggregate perception made up of a range of factors such as trust in government implementation of tenure rules, social norms prevailing about forest tenure, awareness of legal rights to obtain redress in the face of challenges, and so on.
**Use rights**: The right to appropriate specific forest resources, often designated in terms of level of use and time of harvest. Women and men can hold different types of use rights to the diverse products a forest area offer, or the right to use a forested land (such as for grazing). Sometimes also called usufruct rights.
Page 1
Young women whose husbands work abroad collect fodder from forests in Nepal
Mokhamad Edliadi/CIFOR
Page 12
Jhalari women-only community forestry user group office-bearers in the Terai, Nepal
Nayna Jhaveri
Page 20
Women rely on firewood as only energy source in East Nusa Tenggara, Indonesia
Aulia Erlangga/CIFOR
Page 30
Acacia seedlings being planted in Yangambi, Democratic Republic of Congo
Axel Fassio/CIFOR
Page 38
Women sanding wood craft products in Jepara, Indonesia
Melati Kaye/CIFOR
Page 46
Harvesting purun used for weaving and handicrafts in South Sumatra, Indonesia
Rifky/CIFOR
Page 60
Harvesting coffee in the Sierra Otomi-Tepehuain Hidalgo, Mexico
Manuel A Espinosa S/ITESO
Page 73
Woman collecting edible okok (Gnetum species) leaves in Center Region, Cameroon
Olivier Girard/CIFOR
Page 84
Young acacia saplings being planted in Yangambi, Democratic Republic of Congo
Axel Fassio/CIFOR
Page 104
Women in a mapping workshop in KassenaNankana district, Ghana
Axel Fassio/CIFOR
Page 108
Woman working as a small-scale timber harvester in Ecuador
Tomas Munita/CIFOR
Page 114
Woman showcasing forest foods and fruits that are foraged and cultivated in Zambia
Joe Nkaadani/CIFOR
This practitioner’s guide explains how to promote gender-responsive forest tenure reform in community-based forest regimes. It is aimed at those taking up this challenge in developing countries. There is no one single approach to reforming forest tenure practices for achieving gender equality and women’s empowerment. Rather, it involves taking advantage of opportunities that emerge in various institutional arenas such as policy and law-making and implementation, government administration, customary or community-based tenure governance, or forest restoration at the landscape scale.
This sourcebook provides multiple forms of guidance from: conceptual ideas, operational direction, good practices, case-study insights, research findings and resources for further exploration from across Africa, Asia and Latin America. It is designed to support a wide range of practitioners, women and men, from a range of institutions such as government offices, non-governmental organizations, civil society organizations, donor agencies, women’s organizations, as well as networks and federations. This includes gender experts who are responsible for the integration of gender equality and women’s empowerment in their respective organizations, and also those working broadly in the world of land tenure, forest tenure and governance, forest landscape restoration, agroforestry, value-chain development and social impact enterprises.
The goal is to journey along the pathways to forest tenure reform through a three-step process: Analyze, Strategize and Realize. Focused diagnostic analysis to create an empirical foundation for change can support the design of sequential interventions to promote gender-responsive forest tenure reform at various scales. To this end, the guide is a timely resource to support high-impact interventions suited to accelerating change within the national and local context in community-based forest tenure regimes. |
Annual Accounting and Authentication of Drug Control Funds and Related Performance Fiscal Year 2011
U.S. Department of Justice
Office of the Inspector General
Audit Division
Report 12-11
January 2012
This report contains the attestation review reports of the U.S. Department of Justice’s Drug Enforcement Administration, Federal Bureau of Prisons, National Drug Intelligence Center, Office of Justice Programs, and Organized Crime Drug Enforcement Task Forces Program’s annual accounting and authentication of drug control funds and related performance for the fiscal year ended September 30, 2011. The Office of the Inspector General performed the attestation reviews. The report and annual detailed accounting of funds obligated by each drug control program agency is required by 21 U.S.C. §1704(d), as implemented by the Office of National Drug Control Policy Circular, *Drug Control Accounting*, dated May 1, 2007.
The Office of the Inspector General prepared the reports in accordance with attestation standards contained in *Government Auditing Standards*, issued by the Comptroller General of the United States. An attestation review is substantially less in scope than an examination and, therefore, does not result in the expression of an opinion. We reported that nothing came to our attention that caused us to believe the submissions were not presented, in all material respects, in accordance with the requirements of the Office of National Drug Control Policy Circular, and as otherwise agreed to with the Office of National Drug Control Policy.
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# ANNUAL ACCOUNTING AND AUTHENTICATION OF DRUG CONTROL FUNDS AND RELATED PERFORMANCE FISCAL YEAR 2011
## TABLE OF CONTENTS
| Section | Page |
|------------------------------------------------------------------------|------|
| OFFICE OF THE INSPECTOR GENERAL’S REPORTS, COMPONENT DETAILED | |
| ACCOUNTING SUBMISSIONS, AND COMPONENT PERFORMANCE SUMMARY REPORTS | |
| DRUG ENFORCEMENT ADMINISTRATION | 3 |
| FEDERAL BUREAU OF PRISONS | 29 |
| NATIONAL DRUG INTELLIGENCE CENTER | 45 |
| OFFICE OF JUSTICE PROGRAMS | 61 |
| ORGANIZED CRIME DRUG ENFORCEMENT TASK FORCES PROGRAM | 85 |
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DRUG ENFORCEMENT ADMINISTRATION
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We have reviewed the accompanying Office of National Drug Control Policy (ONDCP) Detailed Accounting Submission, which includes Management’s Assertion Statement, Table of Drug Control Obligations, and the related disclosures; and the Performance Summary Report, which includes Management’s Assertion Statement and the related performance information, of the U.S. Department of Justice’s Drug Enforcement Administration (DEA) for the fiscal year ended September 30, 2011. The DEA’s management is responsible for the Detailed Accounting Submission and the Performance Summary Report.
Our review was conducted in accordance with attestation standards contained in Government Auditing Standards, issued by the Comptroller General of the United States. An attestation review is substantially less in scope than an examination, the objective of which is the expression of an opinion on the ONDCP Detailed Accounting Submission and the Performance Summary Report. Accordingly, we do not express such an opinion.
Management of the DEA prepared the Detailed Accounting Submission and the Performance Summary Report to comply with the requirements of the ONDCP Circular, Drug Control Accounting, dated May 1, 2007, and as otherwise agreed to with the ONDCP.
Based on our review, nothing came to our attention that caused us to believe that the Detailed Accounting Submission and the Performance Summary Report for the fiscal year ended September 30, 2011, are not presented, in all material respects, in conformity with the ONDCP’s Circular,
Drug Control Accounting, dated May 1, 2007, and as otherwise agreed to with the ONDCP.
This report is intended solely for the information and use of DEA management, the ONDCP, and the U.S. Congress, and is not intended to be and should not be used by anyone other than these specified parties.
Mark L. Hayes, CPA, CFE
Director, Financial Statement Audit Office
Office of the Inspector General
U.S. Department of Justice
January 18, 2012
Drug Enforcement Administration
Detailed Accounting Submission
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On the basis of the Drug Enforcement Administration’s management control program, and in accordance with the guidance of the Office of National Drug Control Policy’s (ONDCP) Circular, *Drug Control Accounting*, dated May 1, 2007, we assert that the Drug Enforcement Administration system of accounting, use of estimates, and systems of internal controls provide reasonable assurance that:
1. Obligations reported by budget decision unit are the actual obligations from the Drug Enforcement Administration’s accounting system of record for these budget decision units.
2. The drug methodology used by the Drug Enforcement Administration to calculate obligations of budgetary resources by function is reasonable and accurate in all material respects.
3. The drug methodology disclosed in this statement was the actual drug methodology used to generate the Table of Drug Control Obligations.
4. The data presented are associated with obligations against a financial plan that was revised during the fiscal year to properly reflect the changes, including ONDCP’s approval for reprogrammings and transfers affecting drug-related resources in excess of $1 million.
5. Drug Enforcement Administration did not have any ONDCP Fund Control Notices issued in FY 2011.
Frank M. Kalder, Chief Financial Officer
Date: 1/8/12
## Drug Obligations by Budget Decision Unit and Function:
### Construction
- Investigations: $0.106
### Diversion Control Fee Account
- Investigations: $275.321
- Intelligence: $8.144
- Prevention: $0.037
### Domestic Enforcement
- Intelligence: $180.606
- Investigations: $1,511.143
- Prevention: $2.145
### International Enforcement
- Intelligence: $23.764
- International: $462.889
### State and Local Assistance
- State and Local Assistance: $12.867
### Total Drug Control Obligations
- Total: $2,477.022 *
### High-Intensity Drug Trafficking Area (HIDTA) Obligations
- Total: $15.754
* Includes obligations of carryover unobligated balances
Disclosure 1: Drug Methodology
The mission of the Drug Enforcement Administration (DEA) is to enforce the controlled substances laws and regulations of the United States and to bring to the criminal and civil justice system of the United States or any other competent jurisdiction, those organizations, and principal members of organizations, involved in the growing, manufacture, or distribution of controlled substances appearing in or destined for illicit traffic in the United States; and to recommend and support non-enforcement programs aimed at reducing the availability of illicit controlled substances on the domestic and international markets. In carrying out its mission, the DEA is the lead agency responsible for the development of the overall Federal drug enforcement strategy, programs, planning, and evaluation. The DEA's primary responsibilities include:
- Investigation and preparation for prosecution of major violators of controlled substances laws operating at interstate and international levels;
- Management of a national drug intelligence system in cooperation with Federal, state, local, and foreign officials to collect, analyze, and disseminate strategic and operational drug intelligence information;
- Seizure and forfeiture of assets derived from, traceable to, or intended to be used for illicit drug trafficking;
- Enforcement of the provisions of the Controlled Substances Act and the Chemical Diversion and Trafficking Act (CDTA) as they pertain to the manufacture, distribution, and dispensing of legally produced controlled substances and chemicals;
- Coordination and cooperation with Federal, state and local law enforcement officials on mutual drug enforcement efforts and enhancement of such efforts through exploitation of potential interstate and international investigations beyond local or limited Federal jurisdictions and resources;
- Coordination and cooperation with other Federal, state, and local agencies, and with foreign governments, in programs designed to reduce the availability of illicit abuse-type drugs on the United States market through non-enforcement methods such as crop eradication, crop substitution, and training of foreign officials;
- Responsibility, under the policy guidance of the Secretary of State and U.S. Ambassadors, for all programs associated with drug law enforcement counterparts in foreign countries;
Liaison with the United Nations, Interpol, and other organizations on matters relating to international drug control programs; and
Supporting and augmenting U.S. efforts against terrorism by denying drug trafficking and/or money laundering routes to foreign terrorist organizations, as well as the use of illicit drugs as barter for munitions to support terrorism.
The accompanying Table of Drug Control Obligations was prepared in accordance with the Office of National Drug Control Policy (ONDCP) Circular, *Drug Control Accounting*, dated May 1, 2007 and a September 3, 2008 updated memo showing function and decision unit. The table represents obligations incurred by the DEA for drug control purposes and reflects 100 percent of the DEA’s mission.
Since the DEA’s accounting system, the Unified Financial Management System (UFMS), does not track obligation and expenditure data by ONDCP’s drug functions, the DEA uses Managerial Cost Accounting (MCA), a methodology approved by ONDCP to allocate obligations tracked in DEA’s appropriated account/decision units to ONDCP’s drug functions.
**Data:** All accounting data for the DEA are maintained in UFMS. UFMS tracks obligation and expenditure data by a variety of attributes, including fund type, allowance center, decision unit and object class. UFMS was implemented in the first quarter of FY 2009. One hundred percent of the DEA’s efforts are related to drug enforcement.
**Other Estimation Methods:** None.
**Financial Systems:** UFMS is the information system the DEA uses to track obligations and expenditures. Obligations derived from this system can also be reconciled against enacted appropriations and carryover balances.
**Managerial Cost Accounting:** The DEA uses allocation percentages generated by MCA to allocate resources associated with the DEA’s three decision units to ONDCP’s drug functions. The MCA model using an activity-based costing methodology provides the full cost of the DEA’s mission outputs (performance costs). The table below shows the allocation percentages based on the DEA’s MCA data.
| The DEA Budget Decision Unit | Allocation | ONDCP Function |
|------------------------------|--------------|----------------------|
| Construction Account | 100.0% | Investigations |
| Diversion Control Fee Account| 97.11% | Investigations |
| | 2.87% | Intelligence |
| | 0.01% | International |
| Domestic Enforcement | 89.21% | Investigations |
| | 10.66% | Intelligence |
| | 0.13% | Prevention |
| International Enforcement | 95.12% | International |
| | 4.88% | Intelligence |
| State and Local Assistance | 100.00% | State and Local Assistance |
The DEA’s financial system began recording obligations in the appropriated three decision units and the Diversion Control Fee Account in FY 2008.
**Decision Units:** One hundred percent of the DEA’s total obligations by decision unit were associated with drug enforcement. This total is reported and tracked in UFMS.
**Full Time Equivalents (FTE):** One hundred percent of the DEA FTEs are dedicated to drug enforcement efforts. The DEA’s Direct FTE total for FY 2011, including Salaries & Expenses (S&E) and Diversion Control Fee Account (DCFA) appropriations, was 9,804 through pay period 19, ending September 24, 2011.
**Transfers and Reimbursements:** High Intensity Drug Trafficking Area (HIDTA) transfers and reimbursable obligations are excluded from the DEA’s Table of Drug Control Obligations since they are reported by other sources.
**Disclosure 2: Methodology Modification**
The DEA’s method for tracking drug enforcement resources has not been modified from the method approved in FY 2005. The DEA uses current Managerial Cost Accounting (MCA) data to allocate FY 2011 obligations from three decision units to ONDCP’s drug functions.
**Disclosure 3: Material Weaknesses and Other Findings**
For the FY 2011 financial statement audit, DEA received an unqualified audit opinion with one significant deficiency related to the data retrieved from STRIDE to populate the Evidence footnote on the FY 2011 Financial Statements.
DEA concurs with this finding and has addressed the necessary corrective action. The information reported as of September 30, 2011 in the Notes to the Financial Statements is accurate and represents a disclosure with no financial impact. The resolution resulted in a recommendation of no additional action required for this matter on the NFR by auditors.
DEA has not received the signed audit opinion at this time. The distribution of the FY 2011 final audit report is expected January 2012 after the consolidated statements are completed and printed.
**Disclosure 4: Reprogrammings and Transfers**
There was no reprogramming in FY 2011.
The DEA had several transfers during FY 2011 (see the attached Table of FY 2011 Reprogrammings and Transfers). The DEA had 18 transfers into its S&E account - one transfer from the Department of Justice (DOJ), Community Oriented Policing Services (COPS) Meth funding in the amount of $8,283,400, six transfers from ONDCP’s High Intensity Drug Trafficking
Area (HIDTA) program totaling $15,456,391, one transfer from Department of State (DOS) for the Merida initiative in the amount of $1,000,000, four transfers for the Afghanistan initiative totaling $48,283,000, and six internal transfers from expired FY 2006/FY 2007/FY 2008/FY 2009 and FY 2010 S&E funds to DEA’s S&E No-Year fund totaling $60,551,634. Also, the DEA had 5 transfers out of its S&E account - two transfers to the Department of Justice’s Narrowband Communications Office totaling $1,632,689 and three transfers to DOJ’s Working Capital Fund totaling $360,798.
Transfers under the Drug Resources by Function section in the Table of FY 2011 Reprogramming and Transfers are based on the same MCA allocation percentages as the Table of Drug Control Obligations.
| | Reprogrammings | Transfers In | Transfers Out | Total |
|--------------------------------|----------------|--------------|---------------|-------------|
| **Domestic Enforcement** | | | | |
| Investigations | $0 | 6.436 | (6.669) | $0 |
| Construction Account | | 54,019 | (55,797) | (1,778) |
| Intelligence | | 0.077 | (0.079) | (0.002) |
| Prevention | | | | |
| **Domestic Total** | | 60,552 | (62,545) | (1,993) |
| **International Enforcement** | | | | |
| International | | 2,407 | 0.000 | 2,407 |
| Intelligence | | 46,876 | 0.000 | 46,876 |
| Prevention | | | 0.000 | - |
| **International Total** | | 49,283 | - | 49,283 |
| **State & Local Assistance** | | | | |
| State & Local Assistance | | 8,283 | - | 8,283 |
| **State & Local Assistance Total** | | 8,283 | - | 8,283 |
| **Total** | | 118,118 | (62,545) | $55,573 |
| **HIDTA Transfers** | | 15,456 | - | 15,456 |
S:\ONDCP\FY 2011\Submissions\DEA Revised Submission\Revised FY 2011 Table of Drug Control Obligations_Final.xlsx Transfer In and Out
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Drug Enforcement Administration
Performance Summary Report
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On the basis of the Drug Enforcement Administration’s management control program, and in accordance with the guidance of the Office of National Drug Control Policy’s (ONDCP) Circular, *Drug Control Accounting*, dated May 1, 2007, we assert that the Drug Enforcement Administration system of performance reporting provides reasonable assurance that:
1. Drug Enforcement Administration uses Priority Target Activity Resource Reporting System to capture performance information accurately and Priority Target Activity Resource Reporting System was properly applied to generate the performance data.
2. Drug Enforcement Administration met the reported performance targets for FY 2011.
3. The methodology described to establish performance targets for the current year is reasonable given past performance and available resources.
4. Drug Enforcement Administration has established at least one acceptable performance measure for each budget decision unit, as agreed to by ONDCP, for which a significant amount of obligations were incurred in the previous fiscal year. Each performance measure considers the intended purpose of the National Drug Control Program activity.
Frank M. Kalder, Chief Financial Officer
Date: 1/8/12
I. PERFORMANCE INFORMATION
Performance Measures
The Drug Enforcement Administration (DEA) is committed to bringing organizations involved in the growing, manufacturing, or distribution of controlled substances to the criminal and civil justice system of the U.S., or any other competent jurisdiction. To accomplish its mission, the DEA targets Priority Target Organizations (PTOs), which represent the major drug supply and money laundering organizations operating at the international, national, regional, and local levels that have a significant impact upon drug availability in the United States. Specifically, the DEA’s PTO Program focuses on dismantling entire drug trafficking networks by targeting their leaders for arrest and prosecution, confiscating the profits that fund continuing drug operations, and eliminating international sources of supply. As entire drug trafficking networks from sources of supply to the distributors on the street are disrupted or dismantled, the availability of drugs within the United States will be reduced.
In its effort to target PTOs, the DEA is guided by key drug enforcement programs such as the Organized Crime Drug Enforcement Task Forces (OCDETF) program. The DEA, through the OCDETF program, targeted the drug trafficking organizations on the DOJ’s FY 2011 Consolidated Priority Organization Target (CPOT) list – the “Most Wanted” drug trafficking and money laundering organizations believed to be primarily responsible for the Nation’s illicit drug supply. The disruption or dismantlement of CPOT-linked organizations is primarily accomplished through multi-agency and multi-regional investigations directed by the DEA and the Federal Bureau of Investigation. These investigations focus on the development of intelligence-driven efforts to identify and target drug trafficking organizations that play a significant role in the production, transportation, distribution, and financial support of large scale drug trafficking operations. The DEA’s ultimate objective is to dismantle these organizations so that reestablishment of the same criminal organization is impossible.
Since the PTO Program is the DEA’s flagship initiative for meeting its enforcement goals, including the enforcement goals of DEA’s Diversion Control Program (DCP), the performance measures associated with this program are the most appropriate for assessing the DEA’s National Drug Control Program activities. The performance measures selected include the number of active international, domestic, and DCP-related priority targets linked to CPOT targets disrupted or dismantled and the number of active international, domestic, and DCP-related targets not linked to CPOT targets disrupted or dismantled. These are the same measures included in the National Drug Control Budget Summary. DEA’s resources are presented in the Table of Drug Control Obligations in the international and domestic enforcement decision units and Diversion Control Fee Account. Reimbursable resources from the OCDETF program contributed to these performance measures, but are not responsible for specifically identifiable performance.
In addition to the DCP’s enforcement activities, a large component of the DCP is regulatory in nature. Specifically, DEA’s DCP is responsible for enforcing the Controlled Substances Act (CSA) and its regulations pertaining to pharmaceutical controlled substances and listed chemicals. The DCP actively monitors more than 1.3 million individuals and companies that are registered with DEA to handle controlled substances or listed chemicals through a system of scheduling, quotas, recordkeeping, reporting, and security requirements. The DCP implements an infrastructure of controls established through the CSA and ancillary regulations. This system balances the protection of public health and safety by preventing the diversion of controlled substances and listed chemicals while ensuring an adequate and uninterrupted supply for legitimate needs. As a result of this regulatory component, an additional performance measure, the number of Administrative/Civil/Criminal Sanctions Imposed on Registrants/Applicants, is included in this report, which is indicative of the overall regulatory activities supported by the DCP.
A measure corresponding to the DEA’s state and local assistance decision unit was not included since most of the resources included in the DEA’s state and local assistance decision unit are reimbursable resources and the performance associated with the reimbursed activities is more accurately presented by the reimbursing agencies.
**Data Validation and Verification**
**PTOs**
PTOs identified by the DEA’s domestic field divisions and foreign country offices are tracked using the *Priority Target Activity Resource Reporting System* (PTARRS), an Oracle database used to track operational progress and the resources used in the related investigations (i.e., investigative work hours and direct case-related expenses). Through PTARRS, DEA assesses and links PTOs to drug trafficking networks, which address the entire continuum of the drug conspiracy. Once an investigation meets the criteria for a PTO, the investigation can be nominated as a PTO submission through PTARRS. PTARRS provides a means of electronically validating, verifying and approving PTOs through the chain of command, beginning with the case agent in the field and ending with the headquarters’ Operations Division. The roles in the electronic approval chain are as follows:
**In the Field**
- **Special Agent** – The Special Agent, Task Force Officer, or Diversion Investigator collects data on lead cases that will be proposed as PTOs. They can create, edit, update, and propose a PTO record.
- **Group Supervisor** – The Group Supervisor/Country Attaché coordinates and plans the allocation of resources for a proposed PTO. The Group Supervisor/Country Attaché can create, edit, update, propose, resubmit, and approve a PTO record.
- **Assistant Special Agent in Charge** – The Assistant Special Agent in Charge /Assistant Regional Director reviews the PTO proposed and approved by the Group Supervisor/Country Attaché, ensuring that all the necessary information meets the criteria
for a PTO. The Assistant Special Agent in Charge /Assistant Regional Director can also edit, update, resubmit, or approve a proposed PTO.
- **Special Agent in Charge** – The Special Agent in Charge /Regional Director reviews the proposed PTO from the Assistant Special Agent in Charge /Assistant Regional Director and is the approving authority for the PTO. The Special Agent in Charge /Regional Director can also edit, update, resubmit, or approve a proposed PTO.
**At Headquarters**
- **Operations Division (OC)** – The Section Chief of the Data and Operational Accountability Section (OMD), or his designee, is the PTO Program Manager, and is responsible for the review of all newly approved PTO submissions and their assignment to the applicable Office of Global Enforcement (OG) or Office of Financial Operations (FO) section. The PTO Program Manager may request that incomplete submissions be returned to the field for correction and resubmission. OMD is also responsible for tracking and reporting information in the PTO Program through PTARRS; and is the main point-of-contact for the PTO program and PTARRS related questions.
- OMD will assign PTO’s based on the nexus of the investigation to organizations located in specific geographic areas of the world, or to specific program areas. After assignment of a PTO, the appointed HQ section becomes the point-of-contact for that PTO and division/region personnel should advise appropriate HQ section personnel of all significant activities or requests for funding during the course of the investigation. The Staff Coordinator (SC) assigned to the PTO will initiate a validation process to include a review for completeness and confirmation of all related linkages (e.g., CPOTs). In the unlikely event that the documentation submitted is insufficient to validate reported linkages, the SC will coordinate with the submitting office to obtain the required information.
- All PTO cases that are reported as disrupted or dismantled must be validated by OMD or the Organized Crime Drug Enforcement Task Force – OCDETF Section (OMO). OMD will validate all non-OCDETF related PTO cases and OMO will validate all OCDETF related cases. These disruptions and dismantlements are reported to the Executive Office of OCDETF via memo by OMO.
**Administrative/Civil/Criminal Sanctions**
The CSA Database (CSA2) is an Oracle database, which maintains all of the historical and investigative information on DEA registrants. It also serves as the final repository for punitive actions (i.e. sanctions) levied against CSA violators. During the reporting quarter, the domestic field divisions change the status of a registrant’s (CSA2) Master Record to reflect any regulatory investigative actions that are being conducted on the registrant. The reporting of the regulatory action by each field division is available on a real-time basis through the reporting system within CSA2, as the investigative status change occurs. The regulatory investigative actions that are collected in a real-time environment are as follows: letters of admonition/MOU, civil fines, administrative hearing, order to show cause, restricted record, suspension, surrender for cause, revocations, and applications denied.
The Diversion Investigators and Group Supervisors/Diversion Program Managers are tasked to ensure that timely and accurate reporting is accomplished as the registrant’s investigative status changes. Group Supervisors/Diversion Program Managers have the ability to view the report of ongoing and completed regulatory investigation actions for their office/division at any time during the quarter or at the quarter’s end, since the actions are in real-time.
**Targets Projection Methodology**
The DEA sets annual and long-term targets that are challenging, but realistic.
**PTOs**
In the first few years of the DEA’s Priority Targeting Program, the DEA repeatedly exceeded its annual targets for PTO disruptions\(^1\) and dismantlements\(^2\). In response, the DEA refined its projection methodology by using regression analysis to determine the relative weight of many independent variables and their ability to forecast the number of PTOs disrupted and dismantled. Specifically, regression allows DEA to incorporate, test and evaluate a number of independent variables, including but not limited to arrests, investigative work hours, drug seizures, PTOs opened, and asset seizures. While the elements of the regression have changed over time with the elimination of less correlated variables and the addition of new more highly correlated variables, the disparity between actual performance and established targets has markedly decreased. Specifically, DEA’s overall FY 2011 actual PTO performance exceeded the established target by only .11%. This is a phenomenal result to date.
**Administrative/Civil/Criminal Sanctions**
Projections for the number of Administrative/Civil/Criminal Sanctions levied are derived using an MS Excel algorithm which compiles and computes a trend (usually linear) utilizing actual data from the preceding time periods (e.g., fiscal years) and predicts data estimates for subsequent fiscal years.
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\(^1\) A disruption occurs when the normal and effective operation of a targeted organization is impeded, as indicated by changes in organizational leadership and/or changes in methods of operation, including financing, trafficking patterns, communications, or drug production.
\(^2\) A dismantlement occurs when the organization’s leadership, financial base, and supply network are destroyed, such that the organization is incapable of operating and/or reconstituting itself.
Measure 1: Number of Active International and Domestic PTOs Linked to CPOT Targets Disrupted or Dismantled
Table 1: Measure 1
| | FY 2008 Actual | FY 2009 Actual | FY 2010 Actual | FY 2011 Actual | FY 2011 Target | FY 2012 Target |
|----------------|----------------|----------------|----------------|----------------|----------------|----------------|
| | 336 | 361 | 500 | 529 | 460 | 440 |
As of September 30, 2011, the DEA disrupted or dismantled 529 PTOs linked to CPOT targets, which is 15 percent above its FY 2011 target of 460. When compared with FY 2010 actual performance (500 CPOT linked PTOs disrupted or dismantled), DEA’s FY 2011 performance represents a 6 percent increase. In the current budget environment, this performance is a testament to DEA’s commitment to DOJ’s CPOTs, which include the most significant international command and control organizations threatening the United States as identified by OCDETF member agencies. For FY 2012, DEA has established a target of 440 PTOs linked to CPOT targets based on our regression analysis and our budget resources.
Measure 2: Number of Active International and Domestic PTOs Not Linked to CPOT Targets Disrupted or Dismantled
Table 2: Measure 2
| | FY 2008 Actual | FY 2009 Actual | FY 2010 Actual | FY 2011 Actual | FY 2011 Target | FY 2012 Target |
|----------------|----------------|----------------|----------------|----------------|----------------|----------------|
| | 1,759 | 1,777 | 1,921 | 2,155 | 2,110 | 2,050 |
As of September 30, 2011, the DEA disrupted or dismantled 2,155 PTOs not linked to CPOT targets, which is 2 percent above its FY 2011 target of 2,110. When compared with FY 2010 actual performance (1,921 PTOs disrupted or dismantled), DEA’s FY 2011 performance represents a 12 percent increase. Moreover, a comparison of the FY 2010 actual performance and the FY 2011 target demonstrates DEA’s willingness to both set ambitious targets and focus its limited resources toward achieving those goals. For FY 2012, DEA has established a target of 2,050 PTOs not linked to CPOT targets based on our regression analysis and our budget resources.
Measure 3: Number of DCP-related PTOs Disrupted/Dismantled
Table 3: Measure 3
| | FY 2008 Actual | FY 2009 Actual | FY 2010 Actual | FY 2011 Actual | FY 2011 Target | FY 2012 Target |
|----------------|----------------|----------------|----------------|----------------|----------------|----------------|
| | 196 | 224 | 262 | 346 | 290 | 325 |
Beginning in FY 2011, DEA reported its DCP PTOs separately under the Diversion Control Fee Account. As a participant in the PTO program, the DCP is required to report PTOs linked to CPOT and not linked to CPOT. However, with the nature of the DCP, CPOT linkages are a rare event. Beginning in FY 2010, with the creation of Tactical Diversion Squads (TDS) in every domestic field diversion, the DCP began focusing on the identification of PTOs and their eventual disruption and dismantlement. As the DCP continues to work to fully staff its TDS groups, PTO performance is expected to increase. In FY 2010, the number of PTOs disrupted was 156 and the number dismantled was 106. In FY 2011, the DCP disrupted 187 PTOs and dismantled 159 PTOs, which represents 4 percent and 45 percent above the ambitious FY 2011 targets of 180 disruptions and 110 dismantlements, respectively. As a result of DEA refining its methodology for identifying DCP PTOs during FY 2011, the actual disruptions and dismantlements exceeded the established targets significantly. When the FY 2011 targets were initially established, DEA only counted DCP PTOs initiated by a diversion investigator. DEA now includes PTOs initiated by a special agent if the primary drug trafficked by the PTO is a drug type funded under the Diversion Control Fee Account. For FY 2012, the Diversion Control Fee Account has set a target of 325 PTOs linked and not linked to CPOTs based on regression analysis and budget resources.
Measure 4: Number of Administrative/Civil/Criminal Sanctions Imposed on Registrants/Applicants
Table 4: Measure 4
| | FY 2008 Actual | FY 2009 Actual | FY 2010 Actual | FY 2011 Actual | FY 2011 Target | FY 2012 Target |
|----------------|----------------|----------------|----------------|----------------|----------------|----------------|
| | 1,601 | 1,557 | 1,519 | 2,110 | 1,717 | 1,802 |
Number of Administrative/Civil/Criminal Sanctions Imposed on Registrants/Applicants
As of September 30, 2011, the DCP imposed 2,110 Administrative/Civil/Criminal Sanctions on its registrants/applicants, which is 23 percent above its FY 2011 target of 1,717. When compared with FY 2010 actual performance (1,519), DEA’s FY 2011 performance represents a 39 percent increase. For FY 2012, DCP’s target for Administrative/Civil/Criminal Sanctions is 1,802 based on MS Excel algorithm.
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FEDERAL BUREAU OF PRISONS
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Office of the Inspector General’s Report on Annual Accounting and Authentication of Drug Control Funds and Related Performance
Director
Federal Bureau of Prisons
U.S. Department of Justice
We have reviewed the accompanying Office of National Drug Control Policy (ONDCP) Detailed Accounting Submission, which includes Management’s Assertion Statement, Table of Drug Control Obligations, and the related disclosures; and the Performance Summary Report, which includes Management’s Assertion Statement and the related performance information, of the U.S. Department of Justice’s Federal Bureau of Prisons (BOP) for the fiscal year ended September 30, 2011. The BOP’s management is responsible for the Detailed Accounting Submission and the Performance Summary Report.
Our review was conducted in accordance with attestation standards contained in Government Auditing Standards, issued by the Comptroller General of the United States. An attestation review is substantially less in scope than an examination, the objective of which is the expression of an opinion on the ONDCP Detailed Accounting Submission and the Performance Summary Report. Accordingly, we do not express such an opinion.
Management of the BOP prepared the Detailed Accounting Submission and the Performance Summary Report to comply with the requirements of the ONDCP Circular, Drug Control Accounting, dated May 1, 2007, and as otherwise agreed to with the ONDCP.
Based on our review, nothing came to our attention that caused us to believe that the Detailed Accounting Submission and the Performance Summary Report for the fiscal year ended September 30, 2011, are not presented, in all material respects, in conformity with the ONDCP’s Circular,
Drug Control Accounting, dated May 1, 2007, and as otherwise agreed to with the ONDCP.
This report is intended solely for the information and use of BOP management, the ONDCP, and the U.S. Congress, and is not intended to be and should not be used by anyone other than these specified parties.
Mark L. Hayes, CPA, CFE
Director, Financial Statement Audit Office
Office of the Inspector General
U.S. Department of Justice
January 18, 2012
Federal Bureau of Prisons
Detailed Accounting Submission
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On the basis of the Federal Bureau of Prisons (BOP) management control program, and in accordance with the guidance of the Office of National Drug Control Policy’s (ONDCP) Circular, *Drug Control Accounting*, dated May 1, 2007, we assert that the BOP system of accounting, use of estimates, and systems of internal controls provide reasonable assurance that:
1. Obligations reported by budget decision unit are the actual obligations from the BOP’s accounting system of record for these budget decision units.
2. The drug methodology used by the BOP to calculate obligations of budgetary resources by function is reasonable and accurate in all material respects.
3. The drug methodology disclosed in this statement was the actual drug methodology used to generate the Table of Drug Control Obligations.
4. The data presented are associated with obligations against a financial plan that did not require revision for reprogrammings or transfers during FY 2011.
5. BOP did not have any ONDCP Fund Control Notices issued in FY 2011.
W.P. Dalius, Jr.
Assistant Director for Administration
1/18/2012
Drug Obligations by Budget Decision Unit and Function:
Decision Unit: Inmate Care and Programs
Treatment
Total Inmate Care and Programs
Total Drug Control Obligations
| FY 2011 Actual Obligations |
|-----------------------------|
| $92.46 |
Disclosure 1: Drug Methodology
The mission of the Federal Bureau of Prisons (BOP) is to protect society by confining offenders in the controlled environments of prisons and community-based facilities that are safe, humane, cost-efficient, appropriately secure, and which provide work and other self-improvement opportunities to assist offenders in becoming law-abiding citizens.
The BOP’s drug resources are dedicated one hundred percent to the Drug Treatment Program. The Drug Treatment Program includes: Drug Program Screening and Assessment; Drug Abuse Education; Non-Residential Drug Abuse Treatment; Residential Drug Abuse Treatment; and Community Transitional Drug Abuse Treatment.
The Table of Drug Control Obligations was prepared in accordance with the Office of National Drug Control Policy (ONDCP) circular, *Drug Control Accounting*, dated May 1, 2007. The table represents obligations incurred by the BOP for drug control purposes. The amounts are net of all reimbursable agreements. The BOP receives drug control funds solely for the purpose of drug treatment.
**Data** - All accounting information for the BOP is derived from the Department of Justice (DOJ) Financial Management Information System (FMIS2). FY 2011 actual obligations for Drug Treatment Programs are reported as Drug Control Obligations since the entire focus is drug related.
**Financial Systems** - The FMIS2 is the DOJ financial system that provides BOP obligation data. Obligations in this system can also be reconciled with the enacted appropriation and carryover balances.
Disclosure 2: Methodology Modifications
The overall methodology to calculate drug control obligations has not been changed from the prior year (FY 2010). Only direct obligations associated with Drug Treatment Programs in the Table of Drug Control Obligations are reported.
Disclosure 3: Material Weaknesses or Other Findings
There were no significant deficiencies or material weaknesses identified in the Independent Auditors' Report on Internal Control over Financial Reporting and no findings in the Independent Auditors' Report on Compliance and other Matters.
Disclosure 4: Reprogrammings or Transfers
There were no drug related reprogrammings or transfers during FY 2011.
Disclosure 5: Other Disclosures
The BOP allocates funds to the Public Health Service (PHS). The PHS provides a portion of the drug treatment for federal inmates. In FY 2011, $840,000 was allocated from the BOP to PHS, and was designated and expended for current year obligations of PHS staff salaries, benefits, and applicable relocation expenses relating to seven PHS FTEs related to drug treatment during FY 2011. Therefore, the allocated obligations were included in BOP's Table of Drug Control Obligations.
Federal Bureau of Prisons
Performance Summary Report
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On the basis of the Federal Bureau of Prisons (BOP) management control program, and in accordance with the guidance of the Office of National Drug Control Policy’s (ONDCP) Circular, *Drug Control Accounting*, dated May 1, 2007, we assert that the BOP system of performance reporting provides reasonable assurance that:
1. BOP uses SENTRY to capture performance information accurately and SENTRY was properly applied to generate the performance data.
2. BOP met the reported performance target for FY 2011.
3. The methodology described to establish performance targets for the current year is reasonable given past performance and available resources.
4. BOP has established at least one acceptable performance measure for each budget decision unit, as agreed to by ONDCP, for which a significant amount of obligations ($1 million or 50 percent of the agency drug budget, whichever is less) were incurred in the previous fiscal year. Each performance measure considers the intended purpose of the National Drug Control Program activity.
W.F. Dalius, Jr.
Assistant Director
for Administration
Date: 1/18/2012
Performance Measures
The BOP has established a performance measurement of monitoring the utilization of residential drug treatment program capacity as a performance indicator to measure effective usage of Drug Treatment Programs. This measure complies with the purpose of National Drug Control Program activity.
The Violent Crime Control and Law Enforcement Act (VCLEA) of 1994 requires the BOP to provide residential substance abuse treatment for 100% of “eligible” inmates by the end of FY 1997 and each year thereafter (subject to the availability of appropriations). The BOP established a performance measurement tracking the capacity of the Residential Drug Abuse Program (RDAP) to the number of participants at the end of each fiscal year. The objective is to monitor the utilization of RDAP capacity.
RDAP is offered at 60 BOP institutions and one contract facility. Inmates who participate in these residential programs are housed together in a treatment unit that is set apart from the general population. Treatment is provided for a minimum of 500 hours.
Current Year Performance Targets
Data on inmate capacity and participation is entered in the BOP on-line system (SENTRY). SENTRY and Key Indicator reports provide the counts of inmates participating in the RDAP and subject matter experts enter and analyze the data.
The BOP achieved a total capacity of 5,892 (capacity is based on number of treatment staff) that was available for the entire fiscal year and 5,989 actual participants (participants are actual inmates enrolled in the program at year end) thus exceeding the target level for FY 2011.
For FY 2012, the capacity of BOP’s RDAP is projected to be 5,900 with total participants of 5,605.
Performance Measure 1: Fiscal year-end Residential Drug Abuse Treatment Program Capacity and Enrollment
| Fiscal Year | Capacity | Participants* | Utilization |
|-------------------|----------|---------------|-------------|
| FY 2007 Actual | 6,066 | 5,892 | 97% |
| FY 2008 Actual | 6,050 | 5,783 | 96% |
| FY 2009 Actual | 6,050 | 5,815 | 96% |
| FY 2010 Actual | 6,024 | 6,238 | 104% |
| FY 2011 Target | 6,024 | 5,723 | 95% |
| FY 2011 Actual | 5,892 | 5,989 | 102% |
| FY 2012 Target | 5,900 | 5,605 | 95% |
*Participants may exceed Capacity due to overcrowding and demand for the program.
Data Validation and Verification
To ensure the reliability of the data, the capacity of the program and the utilization rate is monitored by subject matter experts at the end of each quarter using Key Indicator reports generated from SENTRY.
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NATIONAL DRUG INTELLIGENCE CENTER
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Office of the Inspector General’s Report on Annual Accounting and Authentication of Drug Control Funds and Related Performance
Director
National Drug Intelligence Center
U.S. Department of Justice
We have reviewed the accompanying Office of National Drug Control Policy (ONDCP) Detailed Accounting Submission, which includes Management’s Assertion Statement, Table of Drug Control Obligations, and the related disclosures; and the Performance Summary Report, which includes Management’s Assertion Statement and the related performance information, of the U.S. Department of Justice’s National Drug Intelligence Center (NDIC) for the fiscal year ended September 30, 2011. The NDIC’s management is responsible for the Detailed Accounting Submission and the Performance Summary Report.
Our review was conducted in accordance with attestation standards contained in Government Auditing Standards, issued by the Comptroller General of the United States. An attestation review is substantially less in scope than an examination, the objective of which is the expression of an opinion on the ONDCP Detailed Accounting Submission and the Performance Summary Report. Accordingly, we do not express such an opinion.
Management of the NDIC prepared the Detailed Accounting Submission and the Performance Summary Report to comply with the requirements of the ONDCP Circular, Drug Control Accounting, dated May 1, 2007, and as otherwise agreed to with the ONDCP.
Based on our review, nothing came to our attention that caused us to believe that the Detailed Accounting Submission and the Performance Summary Report for the fiscal year ended September 30, 2011, are not presented, in all material respects, in conformity with the ONDCP’s Circular,
Drug Control Accounting, dated May 1, 2007, and as otherwise agreed to with the ONDCP.
This report is intended solely for the information and use of NDIC management, the ONDCP, and the U.S. Congress, and is not intended to be and should not be used by anyone other than these specified parties.
Mark L. Hayes, CPA, CFE
Director, Financial Statement Audit Office
Office of the Inspector General
U.S. Department of Justice
January 18, 2012
National Drug Intelligence Center
Detailed Accounting Submission
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On the basis of the National Drug Intelligence Center (NDIC) management control program, and in accordance with the guidance of the Office of National Drug Control Policy’s (ONDCP) Circular, *Drug Control Accounting*, dated May 1, 2007, we assert that the NDIC system of accounting, use of estimates, and systems of internal controls provide reasonable assurance that:
1. Obligations reported by budget decision unit are the actual obligations from the NDIC’s accounting system of record for these budget decision units.
2. The drug methodology used by the NDIC to calculate obligations of budgetary resources by function is reasonable and accurate in all material respects.
3. The drug methodology disclosed in this statement was the actual drug methodology used to generate the Table of Drug Control Obligations.
4. The data presented are associated with obligations against a financial plan that did not require revision for reprogrammings or transfers during FY 2011.
5. NDIC did not have any ONDCP Fund Control Notices issued in FY 2011.
David J. Mrózowski, Assistant Director
Date: 1-18-12
| Drug Obligations by Budget Decision Unit and Function: | FY 2011 |
|------------------------------------------------------|---------|
| National Drug Intelligence Center Salaries and Expenses | Actual Obligations |
| Intelligence | $33.66 |
| Total, NDIC Salaries and Expenses | $33.66 |
| Total Drug Control Obligations | $33.66 |
Disclosure No 1. Drug Methodology
NDIC’s mission is to provide drug-related intelligence support to the drug control, public health, law enforcement, and intelligence communities of the United States in order to reduce the adverse effects of drug trafficking, drug abuse, and other drug-related criminal activity.
NDIC’s drug resources are dedicated to the Intelligence function. This includes strategic intelligence, document and media exploitation, and external training.
The Table of Drug Control Obligations was prepared in accordance with the Office of National Drug Control Policy (ONDCP) circular, *Drug Control Accounting*, dated May 1, 2007. The table represents obligations incurred by NDIC for drug control purposes. The amounts are net all reimbursable agreements. NDIC receives drug control funds solely for the purpose of Intelligence.
**Data** – All accounting information for the NDIC is derived from DOJ’s Financial Management Information System (FMIS) 2. FY 2011 actual obligations for Intelligence function are reported as Drug Control Obligations since the entire focus is drug related.
**Financial Systems** – FMIS2 is DOJ’s financial system that provides NDIC with obligation data. Obligations in this system can also be reconciled with the enacted appropriation.
Disclosure No. 2 Methodology Modifications
In FY 2011 there were no changes to the drug methodology from prior years.
Disclosure No. 3 Material Weaknesses or Other Findings
The annual assurance statement required by the Federal Managers’ Financial Integrity Act (FMFIA) concludes that the DOJ Offices, Boards and Divisions can provide reasonable assurance that its systems of management, accounting, and administrative controls, taken as a whole, substantially comply with the FMFIA and with the component requirements of the Federal Financial Management Improvement Act.
Disclosure No. 4 Reprogrammings or Transfers
NDIC did not have any reprogrammings or transfers in FY 2011.
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National Drug Intelligence Center
Performance Summary Report
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On the basis of the National Drug Intelligence Center (NDIC) management control program, and in accordance with the guidance of the Office of National Drug Control Policy’s (ONDCP) Circular, *Drug Control Accounting*, dated May 1, 2007, we assert that the NDIC system of performance reporting provides reasonable assurance that:
1. NDIC uses DOJ’s Justice Planning and Performance Reporting System (JPPR) to capture performance information accurately, and JPPR was properly applied to generate the performance data.
2. NDIC met the reported performance targets for FY 2011.
3. The methodology described to establish performance targets for the current year is reasonable given past performance and available resources.
4. NDIC has established at least one acceptable performance measure for each budget decision unit, as agreed to by ONDCP, for which a significant amount of obligations ($1 million or 50 percent of the agency drug budget, whichever is less) were incurred in the previous fiscal year. Each performance measure considers the intended purpose of the National Drug Control Program activity.
David J. Mrozowski, Assistant Director
Date: 1/18/12
Performance Measures
The NDIC has established a performance measure depicting the percentage of Document and Media Exploitation (DOMEX) missions that support DOJ Strategic Goal 2: Prevent Crime, Enforce Federal Laws, and Represent the Rights and Interests of the American People. This measure complies with the purpose of the National Drug Control Program activity.
The NDIC DOMEX program provides timely support to the law enforcement and intelligence communities by conducting document and media exploitation of materials seized in federal, state, and local law enforcement investigations involving illicit drugs, terrorism, and other crimes that impact national security. DOMEX analysts review and analyze large amounts of data from both paper and electronic evidence and complete their analysis usually within a one to two-week timeframe. Prior to conducting a DOMEX mission, NDIC analysts meet with the customer to assess the extent of the evidentiary holdings and identify priority intelligence requirements. When performing a mission, Information Technology Specialists from the NDIC Digital Evidence Laboratory extract pertinent data from captured electronic media such as computer hard drives, portable drives, and cellular phones while DOMEX analysts exploit key information from seized hardcopy evidence. The extracted and exploited data is entered into the Real-time Analytical Intelligence Database (RAID), an in-house developed relational database, which organizes the information and facilitates in-depth analysis. This methodology allows analysts to quickly identify leads for investigators and prosecutors including those pertaining to coconspirators, associates, assets, and evidence of criminal activity.
DOMEX analysts provide investigators and prosecutors with a range of products and support. At the conclusion of each mission, NDIC DOMEX produces an Intelligence Support Report (ISR) containing actionable findings and investigative leads that promote effective intelligence-driven investigations. Analysts also develop graphics using computer-assisted analyses. Examples include link charts, matrices, timelines, and graphics depicting geospatial analysis. This support sometimes enables prosecutors to secure guilty pleas from defendants prior to trial. For cases that go to trial, DOMEX often provides graphics such as those previously described as well as expert testimony by an NDIC analyst involved with the case. These actions significantly strengthen investigations and increase the likelihood of successful prosecutions.
Current Year Performance Targets
NDIC has worked diligently to support Department priorities while contending with a $10 million budget reduction in FY 2011 and an additional $14 million reduction in FY 2012. Despite these cuts, NDIC DOMEX has managed to preserve mission critical tools to support investigations and prosecutions. The NDIC Intelligence Production Policy outlines the Center’s DOMEX mission prioritization and approval processes ensuring NDIC DOMEX missions
predominately support high-level DOJ cases, primarily OCDETF cases. In FY2012, the NDIC will increase its fiscal year target percentage of missions that support DOJ strategic goals and objectives from 90 percent to 95 percent and expects to complete at least 135 such missions during the fiscal year.
**Performance Measure 1: Percentage of DOMEX Missions that Support DOJ’s Strategic Goals and Objectives**
The NDIC DOMEX program has had an instrumental impact by assisting in the efficient investigation and successful prosecution of high-level targets involved in drug trafficking, money laundering, terrorism, and other criminal activities that threaten U.S. national security. During FY 2011, NDIC completed 142 missions, all of which supported DOJ strategic goals and objectives. Further, 118 of the 142 missions completed during FY 2011 supported OCDETF investigations, illustrating the priority NDIC places on such investigations. The remaining missions were conducted on behalf of the Drug Enforcement Administration; Federal Bureau of Investigation; Bureau of Alcohol, Tobacco, Firearms & Explosives; U.S. Attorney’s Offices; U.S. Immigration and Customs Enforcement; Defense Criminal Investigative Service; and other entities.
| Fiscal Year | Completed DOMEX Missions | Number of Missions that Support DOJ Strategic Goals | Percentage of Missions that Support DOJ Strategic Goals |
|-------------|--------------------------|---------------------------------------------------|--------------------------------------------------------|
| | | | Fiscal Year Target | Fiscal Year Actual |
| FY2011 | 142 | 142 | 90% | 100% |
| FY2012 | | | 95% | |
*Note: The NDIC implemented this performance measure in FY2011 and continues to improve its performance target methodologies. As appropriate, the NDIC will implement changes to improve performance and performance measurement of the DOMEX function. Because this measure was not reported or tracked prior to FY 2011, no performance information prior to FY 2011 is available.*
**Data Validation and Verification**
The NDIC records detailed information on the specifics of DOMEX missions and compiles and reports this data quarterly. Missions are reviewed against the DOJ Strategic Plan to determine the strategic goals and objectives they support. This information is tallied and compared against total missions performed to derive the percentage of missions supporting DOJ strategic goals and objectives. The data and calculations are reviewed and validated by DOMEX managers and budget personnel then entered into DOJ’s JPPR system each quarter for external dissemination through the DOJ Quarterly Status Report.
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OFFICE OF JUSTICE PROGRAMS
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Office of the Inspector General’s Report on Annual Accounting and Authentication of Drug Control Funds and Related Performance
Assistant Attorney General
Office of Justice Programs
U.S. Department of Justice
We have reviewed the accompanying Office of National Drug Control Policy (ONDCP) Detailed Accounting Submission, which includes Management’s Assertion Statement, Table of Drug Control Obligations, and the related disclosures; and the Performance Summary Report, which includes Management’s Assertion Statement and the related performance information, of the U.S. Department of Justice’s Office of Justice Programs (OJP) for the fiscal year ended September 30, 2011. OJP’s management is responsible for the Detailed Accounting Submission and the Performance Summary Report.
Our review was conducted in accordance with attestation standards contained in Government Auditing Standards, issued by the Comptroller General of the United States. An attestation review is substantially less in scope than an examination, the objective of which is the expression of an opinion on the ONDCP Detailed Accounting Submission and the Performance Summary Report. Accordingly, we do not express such an opinion.
Management of OJP prepared the Detailed Accounting Submission and the Performance Summary Report to comply with the requirements of the ONDCP Circular, Drug Control Accounting, dated May 1, 2007, and as otherwise agreed to with the ONDCP.
Based on our review, nothing came to our attention that caused us to believe that the Detailed Accounting Submission and the Performance Summary Report for the fiscal year ended September 30, 2011, are not presented, in all material respects, in conformity with the ONDCP’s Circular,
Drug Control Accounting, dated May 1, 2007, and as otherwise agreed to with the ONDCP.
This report is intended solely for the information and use of OJP management, the ONDCP, and the U.S. Congress, and is not intended to be and should not be used by anyone other than these specified parties.
Mark L. Hayes, CPA, CFE
Director, Financial Statement Audit Office
Office of the Inspector General
U.S. Department of Justice
January 18, 2012
Office of Justice Programs
Detailed Accounting Submission
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On the basis of the Office of Justice Programs (OJP) management control program, and in accordance with the guidance of the Office of National Drug Control Policy’s (ONDCP) Circular, *Drug Control Accounting*, dated May 1, 2007, we assert that the OJP system of accounting, use of estimates, and systems of internal controls provide reasonable assurance that:
1. Obligations reported by budget decision units are the actual obligations from OJP’s accounting system of record for these budget decision units.
2. The drug methodology used by OJP to calculate obligations of budgetary resources by function is reasonable and accurate in all material aspects.
3. The drug methodology disclosed in this statement was the actual drug methodology used to generate the Table of Drug Control Obligations.
4. The data presented are associated with obligations against a financial plan that was revised during the fiscal year (FY) to properly reflect the changes, including ONDCP’s approval for reprogrammings and transfers affecting drug-related resources in excess of $1 million.
5. OJP did not have any ONDCP Fund Control Notices issued in FY 2011.
Leigh Benda, Chief Financial Officer
OJP Official Responsible for Assertion
Date: 01/18/12
## Drug Obligations by Budget Decision Unit and Function:
| Program | FY 2011 Actual Obligations |
|----------------------------------------------|----------------------------|
| **Regional Information Sharing System** | |
| State and Local Assistance | $44.45 |
| Total, Regional Information Sharing System | $44.45 |
| **Enforcing Underage Drinking Laws** | |
| Prevention | $21.09 |
| Total, Enforcing Underage Drinking Laws | $21.09 |
| **Drug Court Program** | |
| State and Local Assistance | $37.95 |
| Total, Drug Court Program | $37.95 |
| **Residential Substance Abuse Treatment** | |
| Treatment | $24.60 |
| Total, Residential Substance Abuse Treatment | $24.60 |
| **Prescription Drug Monitoring Program** | |
| State and Local Assistance | $6.20 |
| Total, Prescription Drug Monitoring Program | $6.20 |
| **Southwest Border Prosecution Program** | |
| State and Local Assistance | $25.19 |
| Total, Southwest Border Prosecution Program | $25.19 |
| **Northern Border Prosecution Program** | |
| State and Local Assistance | $2.35 |
| Total, Northern Border Prosecution Program | $2.35 |
| **Second Chance Act Program** | |
| State and Local Assistance | $38.19 |
| Total, Second Chance Act Program | $38.19 |
| **Byrne Criminal Justice Innovation** | |
| State and Local Assistance | $5.25 |
| Total, Byrne Criminal Justice Innovation | $5.25 |
| **Total Drug Control Obligations** | $205.27 |
| **Methamphetamine Enforcement and Lab Cleanup** | $8.28 |
---
1/ Program obligations reflect direct program obligations plus estimated indirect support management and administrative costs. Therefore, obligations reflected above may exceed the budget authority shown on the Reprogramming and Transfers Schedule.
2/ Actual obligations reported for the Second Chance Act Program reflect only 50% of total obligations for this decision unit, as directed by the Office of Management and Budget and Office of National Drug Control Policy.
3/ In FY 2011, OJP made funds available for the Byrne Criminal Justice Innovation Program via a $5.0 million reprogramming from various sources of prior-year discretionary funds.
4/ Funding for the Methamphetamine Enforcement and Lab Cleanup Program is transferred from the Office of Community Oriented Policing Services (COPS) to the Drug Enforcement Administration for program administration; therefore, obligations are not tracked by the Office of Justice Programs (OJP). FY 2011 total obligations for the program were reported to OJP by the COPS budget office. See Disclosure 1 for additional information.
Disclosure 1: Drug Methodology
The mission of the Office of Justice Programs (OJP) is to provide federal leadership in developing the Nation’s capacity to prevent and control crime, administer justice, and assist crime victims. As such, OJP’s resources are primarily targeted to providing assistance to state, local, and tribal governments. In executing its mission, OJP dedicates a significant level of resources to drug-related program activities, which focus on breaking the cycle of drug abuse and crime including: drug testing and treatment, provision of graduated sanctions, drug prevention and education, and research and statistics.
The Table of Drug Control Obligations was prepared in accordance with the Office of National Drug Control (ONDCP) Circular, *Drug Control Accounting*, dated May 1, 2007 and ONDCP’s memorandum, *Current Budget Issues*, dated September 3, 2008.
OJP’s Office of the Chief Financial Officer, Budget Formulation, Liaison, Planning and Performance Division is responsible for the development and presentation of the annual OJP ONDCP Budget. OJP’s fiscal year (FY) 2011 drug obligations have a total of 12 decision units identified for the National Drug Control Budget. Of the 12 decision units identified, nine are reflected in the Table of Drug Control Obligations. Two OJP programs, the Weed and Seed Program and Drug Prevention Demonstration Program, reported no obligations in FY 2011 and therefore, do not appear on the Table of Drug Control Obligations. Further, ONDCP requires OJP to report on the Methamphetamine Enforcement and Lab Cleanup Program, which is appropriated to the Office of Community Oriented Policing Services (COPS), an office within the Department of Justice’s (DOJ’s) Offices, Boards and Divisions (OBDs), and transferred to the Drug Enforcement Administration (DEA) for administration. As the obligations related to the COPS program are reported in the financial statements of the OBDs, they are not included in the FY 2011 actual obligations total on OJP’s Table of Drug Control Obligations. Decision units include the following:
- Regional Information Sharing System
- Enforcing Underage Drinking Laws
- Drug Court Program
- Residential Substance Abuse Treatment Program
- Prescription Drug Monitoring Program
- Southwest Border Prosecution Initiative
- Northern Border Prosecution Initiative
- Second Chance Act Program
- Weed and Seed Program
Drug Prevention Demonstration Program\(^1\)
Byrne Criminal Justice Criminal Innovation Program\(^2\)
Methamphetamine Enforcement and Lab Cleanup (COPS Program)
In determining the level of resources used in support of the nine budget decision units (excluding Drug Prevention Demonstration Program, Weed and Seed, and Methamphetamine Enforcement and Lab Cleanup), OJP used the following methodology:
**Drug Program Obligations by Decision Unit:** Data on obligations, as of September 30, 2011, were gathered from DOJ’s Financial Management Information System 2 (FMIS2). The total obligations presented for OJP are net of funds obligated under the Crime Victims Fund and Public Safety Officers’ Benefit Program.
**Salaries and Expenses Data.** Salaries and Expenses (S&E) obligations were gathered from OJP’s FMIS2. The obligation amounts were allocated by applying the relative percentage of Full-Time Equivalent (FTE) assigned to nine drug-related decision units to total S&E obligations for OJP. There were no S&E obligations associated with the Weed and Seed Program nor the Drug Prevention Demonstration Program, as these programs did not have any actual obligations; and the Methamphetamine Enforcement and Lab Cleanup, as this program is not administered by OJP.
Overall, OJP program activities support all four goals of the National Drug Control Strategy: (1) Substance Abuse Prevention, (2) Substance Abuse Treatment, (3) Domestic Law Enforcement; and (4) Interdiction and International Counterdrug Support. Functionally, OJP program activities fall under the following functions: prevention, state and local assistance, and treatment. To determine the function amount, OJP used an allocation method that was derived from an analysis of each program’s mission and by surveying program officials. OJP then applied that allocation percentage to each decision unit line item. The Table of Drug Control Obligations shows FY 2011 obligations for nine programs, categorized by function and decision unit, which are reported by OJP. Two programs, the Weed and Seed Program and the Drug Prevention Demonstration Program, did not have any actual obligations in FY 2011, and are therefore, not included in the Table of Drug Control Obligations.
For the Table of Drug Control Obligations, amounts were calculated as follows:
**Function:** The appropriate drug-related percentage was applied to each program/decision unit line item and totaled by function.
---
\(^1\) In FY 2010, while there were prior year unobligated balances, in FY 2011, there were no actual obligations for neither the Weed and Seed Program, nor the Drug Prevention Demonstration Program. As such, these programs are not listed on OJP’s Table of Drug Control Obligations.
\(^2\) In FY 2011, OJP made funds available for the Byrne Criminal Justice Innovation Program via a $5.0 million reprogramming from various sources of prior-year discretionary funds.
Decision Unit: In accordance with the ONDCP circulars, 100 percent of the actual obligations for eight of the nine budget decision units are included, with the exception of the Second Chance Act Program. Fifty percent of the actual obligations for the Second Chance Act Program are reflected for this decision unit, as agreed to by ONDCP.
Full-Time Equivalent: FTE data originates from the U.S. Department of Agriculture’s National Finance Center, and is obtained by OJP through the DOJ, Justice Management Division Data Center. The same percentage that is applied to calculate FTE, was also applied to the S&E obligations.
Disclosure 2: Methodology Modifications
As specified in the ONDCP Circular, *Budget Formulation*, dated May 1, 2007, in FY 2011, OJP is reporting 100 percent of the actual obligations related to eight of the nine budget decision units included in the National Drug Control Budget, with the exception of the Second Chance Act. In April 2009, it was determined after discussions between ONDCP and the Office of Management and Budget (OMB) that some of the activities under the Second Chance Act Program were deemed drug-related in nature; therefore, beginning in FY 2009, OJP would report 30 percent of the obligations associated with this decision unit in the Table of Drug Control Obligations. In FY 2011, per OMB and ONDCP, the percentage reported for the Second Chance Act for drug-related activities increased from 30 percent to 50 percent.
Disclosure 3: Material Weaknesses and Other Findings
Neither OJP nor the financial statement auditors found material weaknesses, significant deficiencies, or matters of non-compliance for financial reporting in FY 2011.
Disclosure 4: Reprogrammings or Transfers
In accordance with the ONDCP’s Circular, *Drug Control Accounting*, dated May 1, 2007, see the attached Reprogrammings and Transfers Schedule. In FY 2011, OJP made $.5 million in reprogrammings, and $6.7 million in drug-related transfers-in. The reprogramming amount reflects reallocations of funding from the decision units to the Salaries and Expenses account. The transfers-in amount reflects OJP’s FY 2011 recoveries associated with the reported decision units. In addition, in FY 2011, OJP made $5.0 million available to the Byrne Criminal Justice Innovation Program via a reprogramming from various sources of prior-year discretionary funds.
Disclosure 5: Other Disclosures
- Of the total FY 2011 actual drug obligations, $14.5 million are a result of carryover unobligated resources.
Office of Justice Programs
Performance Summary Report
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On the basis of the Office of Justice Programs’ (OJP) management control program, and in accordance with the guidance of the Office of National Drug Control Policy’s (ONDCP) Circular, *Drug Control Accounting*, dated May 1, 2007, we assert that OJP’s system of performance measurement processes provide reasonable assurance that:
1. OJP uses the Grants Management System (GMS), the Performance Management Tool (PMT), and the Data Collection and Technical Assistance Tool to capture performance information accurately and was properly applied to generate the performance data.
2. Explanations offered for failing to meet a performance target and for any recommendations concerning plans and schedules for meeting future targets or for revising or eliminating performance targets is reasonable.
3. The methodology described to establish performance targets for the current year is reasonable given past performance and available resources.
4. OJP has established at least one acceptable performance measure for each budget decision unit, as agreed to by ONDCP, for which a significant amount of obligations ($1 million or 50 percent of the agency drug budget, whichever is less) were incurred in the previous fiscal year. Each performance measure considers the intended purpose of the National Drug Control Program activity.
Leigh Bendix, Chief Financial Officer
Date
OJP Official Responsible for Assertion
PERFORMANCE MEASURES
The Office of Justice Programs (OJP), established by the Justice Assistance Act of 1984, supports collaboration of law enforcement at all levels in building and enhancing networks across the criminal justice system to function more effectively. Within OJP’s overall program structure, specific resources dedicated to support the National Drug Control Strategy are found in the Residential Substance Abuse Treatment (RSAT) program, the Drug Court program, the Prescription Drug Monitoring Program (PDMP), and the Enforcing Underage Drinking Laws (EUDL) program. As required by the ONDCP circular, *Drug Control Accounting*, dated May 1, 2007, OJP is reporting on the following performance measures of the above programs for this Performance Summary Report:
- Number of participants in the RSAT Program,
- Graduation rate of program participants in the Drug Court Program
- PDMP interstate solicited and unsolicited reports produced
- EUDL Programs that used evidence-based programs or practices
**Current Year Performance Targets**
**Decision Unit: RSAT Program**
**Performance Measure 1: Number of participants in the RSAT Program**
**Table 1: Number of Participants in the RSAT Program**
| CY 2007 Actual | CY 2008 Actual | CY 2009 Actual | CY 2010 Target | CY 2010 Actual | CY 2011 Target | CY 2012 Target |
|----------------|---------------|---------------|----------------|----------------|----------------|----------------|
| 26,991 | 28,308 | 39,159 | 25,000 | 29,872 | 28,000 | 30,000 |
**Data Validation and Verification**
(1) RSAT, administered by the Bureau of Justice Assistance (BJA) and created by the Violent Crime Control and Law Enforcement Act of 1994 (Public Law 103-322), assists state and local governments in developing and implementing residential substance abuse treatment programs (individual and group treatment activities) in correctional and detention facilities. The RSAT Program must be provided in residential treatment facilities, set apart from the general correctional population, focused on the substance abuse problems of the inmate, and develop the inmate's
cognitive, behavioral, social, vocational, and other skills to solve the substance abuse and related problems.
The RSAT Program formula grant funds may be used to implement four types of programs. For all programs, at least 10% of the total state allocation is made available to local correctional and detention facilities, provided such facilities exist, for either residential substance abuse treatment programs or jail-based substance abuse treatment programs as defined below.
The four types of programs are: 1) residential substance abuse treatment programs which provide individual and group treatment activities for offenders in residential facilities that are operated by state correctional agencies; 2) jail-based substance abuse programs which provide individual and group treatment activities for offenders in jails and local correctional facilities; 3) post release treatment component which provides treatment following an individual's release from custody; and 4) an aftercare component which requires states to give preference to subgrant applicants who will provide aftercare services to program participants. Aftercare services must involve coordination between the correctional treatment program and other human service and rehabilitation programs, such as education and job training, parole supervision, halfway houses, self-help, and peer group programs that may aid in rehabilitation.
The number of offenders who participate in the RSAT Program is a measure of the program’s goal to help offenders become drug-free and learn the skills needed to sustain themselves upon return to the community.
(2) Data for this measure are reported on a calendar year (CY) basis and, as a result, 2011 data will be available in June 2012.
(3) In CY 2010, the target of 25,000 was exceeded by 4,872. There are many contributing factors that determine the number of people who participate in the RSAT Program including the numbers of eligible offenders, available staff, and treatment providers; security issues; and the state’s ability to provide the required 25% matching funds.
(4) The CY 2011 and CY 2012 targets are 28,000 and 30,000 participants, respectively, and are increases over previous targets.
(5) BJA implemented the Performance Measurement Tool (PMT) on January 1, 2009, to support grantees’ ability to identify, collect, and report performance measurement data online for activities funded under their award. RSAT grantees are able to report data in PMT and create a report, which is uploaded to the Grants Management System (GMS).
Program managers obtain data from reports submitted by grantees, telephone contact, and on-site monitoring of grantee performance. Data are validated and verified through a review by program managers.
Current Year Performance Targets
Decision Unit: Drug Court Program
Performance Measure 2: Graduation Rate of Program Participants in the Drug Court
Table 2: Graduation Rate of Program Participants in the Drug Court Program
| FY 2008 Actual | FY 2009 Actual | FY 2010 Actual | FY 2011 Target | FY 2011 Actual | FY 2012 Target |
|---------------|---------------|---------------|----------------|---------------|---------------|
| 63.2% | 57.3% | 52.6% | 73% | 43% | 48% |
Data Validation and Verification
(1) According to data from the National Crime Victimization Survey published in 2008, there were 6.1 million violent victimizations of residents age 12 or older in 2006. Victims of violence were asked to describe whether they perceived the offender to have been drinking or using drugs. Twenty-seven percent of the victims of violence reported that the offender was using drugs or drugs in combination with alcohol. The high percentage of victims victimized by an offender who had been drinking or abusing drugs demonstrates the need for drug-treatment services. OJP has a long history of providing drug-related resources to its constituencies in an effort to break the cycle of drugs and violence by reducing the demand, use, and trafficking of illegal drugs.
The drug court movement began as a community-level response to reduce crime and substance abuse among criminal justice offenders. This approach integrated substance abuse treatment, sanctions, and incentives with case processing to place non-violent drug-involved defendants in judicially supervised rehabilitation programs. OJP’s Drug Court Program, administered by BJA, was established in 1995 to provide financial and technical assistance to states, state courts, local courts, units of local government, and Indian tribal governments in order to establish drug treatment courts. Drug courts employ the coercive power of the judicial system to subject non-violent offenders to an integrated mix of treatment, drug testing, incentives and sanctions to break the cycle of substance abuse and crime. This community-level movement is supported through drug court grants and targeted technical assistance and training. Since 1989, more than 2,300 drug courts (adult, juvenile and tribal) have been established serving over 1,000 jurisdictions. Currently, every state has a drug court in operation.
The Graduation Rate of Program Participants is calculated by dividing the number of graduates during the reporting period (numerator) by the total number of participants exiting the program, whether successfully or unsuccessfully, during the reporting period (denominator).
(2) The FY 2011 target for the drug court graduation rate was originally set at 73%; however, based on both historical grantee reporting and extensive research into the national average drug court graduation rates, the target was revised to 48% in FY 2011.
The FY 2011 target of 48% reflects a more appropriate target for this measure, based on research into previous targets and actual rates.
Research indicates that the national average for drug court graduation rates is 50% for established (mature) drug courts and 46% for implementation grantees (immature drug courts). BJA believes the FY 2011 target was missed by 30% due to the following reasons. BJA has been reporting graduation rates for implementation grantees and not for established drug court grantees. Established drug courts are much more likely to experience success with higher graduation rate than implementation grantees, as implementation grantees are new and are in the midst of establishing their processes and staffing. Also, implementation grantees do not have the capacity to report accurately. Recent findings from the technical assistance provider revealed that the implementation grantees have very little technological capacity to collect and track necessary data for these measures and creates doubt on the accuracy of the numbers. In addition, the graduation rate calculation includes both failures and incompletes, which skews the results. Participants who moved, died, were ill, or whose case changed jurisdiction are erroneously coded as failures, which lowers the overall graduation rate.
For FY 2012, BJA will report on graduation rates for implementation and established grantees’ graduation rates separately, as well as revising the wording of the drug court measures so that failures and incompletes are separated.
(3) Revised to “Percent of Drug Court Participants who Graduate from the Drug Court Program,” the new methodology excludes participants who are not eligible to graduate (e.g., have not been enrolled in the program long enough to even be considered in the graduation pool). BJA feels that this approach (dividing the number graduating by the total number exiting the program, whether successfully or unsuccessfully) provides a more accurate reflection of the success or failure of participants exiting the program. Grantees will begin reporting on this measure in the 2\textsuperscript{nd} Quarter of 2012 and actual will be available after April 2012.
(4) End of year performance data for the Drug Court Program are provided semi-annually by progress reports via GMS in June and January. BJA implemented PMT on January 1, 2009, to support grantees’ ability to identify, collect, and report performance measurement data online for activities funded under their award. Drug Court grantees report data in PMT and create a report which is uploaded to GMS.
Program managers obtain data from reports submitted by grantees, telephone contact, and on-site monitoring of grantee performance. Data are validated and verified through a review of grantee support documentation by program managers.
Current Year Performance Targets
Decision Unit: Prescription Drug Monitoring Program
Performance Measure 3: Number of interstate solicited and unsolicited reports produced
Table 3: Total number of interstate solicited reports produced
| CY 2010 Actual | CY 2011 Target |
|----------------|----------------|
| 196,843 | 200,000 |
Table 4: Total number of interstate unsolicited reports produced
| CY 2010 Actual | CY 2011 Target |
|----------------|----------------|
| 1,304 | 1,300 |
*Note: Data are not available for years prior to CY 2010.
Data Validation and Verification
(1) The Harold Rogers’ Prescription Drug Monitoring Program (PDMP), administered by BJA, enhances the capacity of regulatory and law enforcement agencies and public health officials to collect and analyze controlled substance prescription data and other scheduled chemical products through a centralized database administered by an authorized state agency.
(2) The objectives of the PDMP are to build a data collection and analysis system at the state level; enhance existing programs’ ability to analyze and use collected data; facilitate the exchange of collected prescription data among states; and assess the efficiency and effectiveness of the programs funded under this initiative. Funds may be used for planning activities or implementation activities.
(3) This performance measure contributes to the National Drug Strategy by aligning with the core area of improving information systems to better analyze, assess, and locally address drug use and its consequences. The measure collects data on reports for the following users: prescribers, pharmacies/pharmacists, law enforcement (police officers, correctional officers, sheriffs or deputies, state coroners who are considered law enforcement and other law enforcement personnel), regulatory agencies, patients, researchers, medical examiners/coroners, drug treatment programs, drug court judges, and others.
(4) BJA began collecting data for this measure in January 2010; therefore, to provide a year’s worth of data, calendar, not fiscal, data are used. BJA did not set targets for this measure prior to FY 2011 because there were not enough historical data to develop a
reasonable target. The FY 2012 target cannot be accurately determined. The measure is new and being reported on for the first time. There is not enough historical data to appropriately assess a reasonable target. BJA anticipates gathering enough data throughout the calendar year to provide a target for the following year.
(5) An increase in reports produced may indicate an increase in the use of the PDMP systems and reflects increased information sharing between states.
Current Year Performance Targets
Decision Unit: Enforcing Underage Drinking Laws Program
Performance Measure 4: Programs Implementing Evidence-Based Programs or Practices
Table 5: Programs that used evidence based programs or practices
| FY 2008 Actual | FY 2009 Actual | FY 2010 Actual | FY 2011 Target | FY 2011 Actual | FY 2012 Target |
|---------------|---------------|---------------|----------------|----------------|----------------|
| 72% | 79% | 74% | 80% | 87% | 90% |
Data Validation and Verification
(1) The Enforcing Underage Drinking Laws (EUDL) program, administered by the Office of Juvenile Justice and Delinquency Prevention (OJJDP), supports and enhances efforts by state and local jurisdictions to reduce the availability of alcohol to minors. EUDL program areas include compliance checks, party prevention patrols, bar patrols, and special events management/task force operations.
(2) This performance measure is appropriate as it is a core measure for EUDL and fits within OJJDP’s mission to promote best practices and strategies. Using evidence based programs or practices provides communities with solid programs that are effective with diverse populations, have been shown to produce results, and make good use of limited resources. Keeping track of how many EUDL grantees are using evidence based programs or practices illustrates how states and local jurisdictions are implementing the most effective strategies possible.
(3) This performance measure contributes to the National Drug Control Strategy by ensuring that communities are using the most effective practices available to combat underage drinking. The EUDL program and this measure directly address the strategy’s number one goal “to strengthen efforts to prevent drug use by underage persons in communities”, since alcohol is the number one drug of choice among America’s youth. EUDL also addresses goal four “to help break the cycle of drug use, crime, delinquency, and incarceration through curtailing access and consumption of alcohol by underage young people”.
(4) OJJDP program managers and the Training and Technical Assistance provider based the EUDL program target on grantee current data and familiarity with the state level programs and grantees. The FY2012 target of 90% was developed based on the most recent data results from EUDL grantees. Grantees continue to make advancements in the impact of their programming based on the integration of evidence based programs and practices.
(5) OJJDP implemented the Data Collection Training and Technical Assistance Tool (DCTAT) to support grantees’ and subgrantees’ ability to identify, collect, and report performance measurement data online for activities funded under this award. EUDL grantees report data in the DCTAT and create a report, which is uploaded to GMS.
Program managers obtain data from reports submitted by grantees, telephone contact, and on-site monitoring of grantee performance. Data are validated and verified through a review by program managers.
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ORGANIZED CRIME DRUG ENFORCEMENT TASK FORCES PROGRAM
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Office of the Inspector General’s Report on Annual Accounting and Authentication of Drug Control Funds and Related Performance
Director
Executive Office for the Organized Crime Drug Enforcement Task Forces
U.S. Department of Justice
We have reviewed the accompanying Office of National Drug Control Policy (ONDCP) Detailed Accounting Submission, which includes Management’s Assertion Statement, Table of Drug Control Obligations, and the related disclosures; and the Performance Summary Report, which includes Management’s Assertion Statement and the related performance information, of the U.S. Department of Justice’s Executive Office for the Organized Crime Drug Enforcement Task Forces (OCDETF) for the fiscal year ended September 30, 2011. The OCDETF’s management is responsible for the Detailed Accounting Submission and the Performance Summary Report.
Our review was conducted in accordance with attestation standards contained in Government Auditing Standards, issued by the Comptroller General of the United States. An attestation review is substantially less in scope than an examination, the objective of which is the expression of an opinion on the ONDCP Detailed Accounting Submission and the Performance Summary Report. Accordingly, we do not express such an opinion.
Management of the OCDETF prepared the Detailed Accounting Submission and the Performance Summary Report to comply with the requirements of the ONDCP Circular, Drug Control Accounting, dated May 1, 2007, and as otherwise agreed to with the ONDCP.
Based on our review, nothing came to our attention that caused us to believe that the Detailed Accounting Submission and the Performance Summary Report for the fiscal year ended September 30, 2011, are not presented, in all material respects, in conformity with the ONDCP’s Circular,
Drug Control Accounting, dated May 1, 2007, and as otherwise agreed to with the ONDCP.
This report is intended solely for the information and use of OCDETF management, the ONDCP, and the U.S. Congress, and is not intended to be and should not be used by anyone other than these specified parties.
Mark L. Hayes, CPA, CFE
Director, Financial Statement Audit Office
Office of the Inspector General
U.S. Department of Justice
January 18, 2012
Organized Crime Drug Enforcement Task Forces Program
Detailed Accounting Submission
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On the basis of the Organized Crime Drug Enforcement Task Forces (OCDETF) management control program, and in accordance with the guidance of the Office of National Drug Control Policy’s (ONDCP) Circular, *Drug Control Accounting*, dated May 1, 2007, we assert that the OCDETF system of accounting, use of estimates, and systems of internal controls provide reasonable assurance that:
1. Obligations reported by budget decision unit are the actual obligations from the OCDETF’s accounting system of record for these budget decision units.
2. The drug methodology used by OCDETF to calculate obligations of budgetary resources by function is reasonable and accurate in all material respects.
3. The drug methodology disclosed in this statement was the actual drug methodology used to generate the Table of Drug Control Obligations.
4. The data presented are associated with obligations against a financial plan that was revised during the fiscal year to properly reflect the changes, including ONDCP’s approval for reprogrammings and transfers affecting drug-related resources in excess of $1 million.
5. OCDETF did not have any ONDCP Fund Control Notices issued in FY 2011.
Peter Maxey, Budget Director
Date: 1/8/12
## Drug Obligations by Decision Unit and Function
### Investigations:
- Drug Enforcement Administration (DEA) $204,376
- Federal Bureau of Investigation (FBI) 141,142
- U.S. Marshals Service (USMS) 8,745
- Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) 11,868
- OCDETF Fusion Center (OFC) 11,859
**TOTAL INVESTIGATIVE DECISION UNIT**
| Decision Unit | Obligations |
|--------------------------------|-------------|
| | 377,990 |
### Prosecutions:
- U.S. Attorneys (USAs) 146,030
- Criminal Division 2,091
- EXO Threat Response Unit (TRU) 0.804
**TOTAL PROSECUTORIAL DECISION UNIT**
| Decision Unit | Obligations |
|--------------------------------|-------------|
| | 148,925 |
Total Agency Obligations $526,915
Drug Percentage 100%
---
1/ Component allocations include the proportional distribution of the OCDETF Executive Office costs.
The Organized Crime Drug Enforcement Task Forces (OCDETF) Program is comprised of member agencies from three different Departments: the Department of Justice (DOJ), the Department of Treasury (Treasury), and the Department of Homeland Security (DHS). Beginning in FY 1998 and continuing through FY 2003, OCDETF member agencies were funded through separate appropriations. (Prior to the creation of DHS, which involved the transfer of the U.S. Coast Guard to DHS from the Department of Transportation, OCDETF was funded in DOJ, Treasury and Transportation appropriations.)
During FY 2004 and FY 2005, the DOJ’s Interagency Crime and Drug Enforcement (ICDE) appropriation included funding to reimburse agencies in the DOJ, Treasury and DHS for their participation in the OCDETF Program. The availability of a consolidated budget has been critical to the OCDETF Program’s ability both to ensure the proper and strategic use of OCDETF resources and to effectively monitor Program performance across all Departments and participating agencies. However, Congress repeatedly expressed concern with funding non-DOJ agencies via a DOJ appropriations account, and in FY 2005, Congress decreased base funding for non-DOJ program participants.
Recognizing that uncertainty surrounding funding levels for non-DOJ participants posed great difficulties for OCDETF in terms of program planning and administration, the Administration has not submitted a consolidated budget for the program since FY 2007. Instead, funding for the OCDETF Program’s non-DOJ partners was requested through direct appropriations for Treasury and DHS. Currently, only DOJ OCDETF appropriated funding comes from the ICDE account.
The OCDETF Program is directly charged with carrying out the DOJ drug supply reduction strategy, and all of its activities are aimed at achieving a measurable reduction in the availability of drugs in this country. The disruption and dismantlement of drug trafficking networks operating regionally, nationally, and internationally is a critical component of the supply reduction effort. In particular, the OCDETF Program requires that in each OCDETF case, investigators identify and target the financial infrastructure that permits the drug organization to operate.
The Table of Drug Control Obligations was prepared in accordance with the Office of National Drug Control Policy (ONDCP) Circular, *Drug Control Accounting*, dated May 1, 2007 and ONDCP’s memorandum, *Current Budget Issues*, dated September 3, 2008. The Table represents obligations from the ICDE account incurred by OCDETF for drug control purposes. All amounts are net of reimbursable agreements.
Data - All accounting information for the OCDETF Program is derived from the DOJ Financial Management Information System 2 (FMIS2). ICDE resources are reported as 100 percent drug-related because the entire focus of the OCDETF Program is drug control.
Financial Systems - FMIS2 is the financial system used to provide all ICDE obligation data. Obligations that are derived by this system reconcile with the enacted appropriations and carryover balances.
The OCDETF Program’s Decision Units are divided according to the four major activities of the Task Force -- Investigations, Drug Intelligence, Prosecutions, and Administrative Support -- and reflect the amount of reimbursable ICDE resources appropriated for each participating agency. With respect to the Table of Drug Control Obligations, the calculated amounts were derived from the FMIS2 system as follows:
a. **Investigations Function** - This decision unit includes the reimbursable resources that support investigative activities of the following participating agencies: the Drug Enforcement Administration; Federal Bureau of Investigation; the Bureau of Alcohol, Tobacco, Firearms and Explosives; and the U.S. Marshals Service. The methodology applies 100 percent of the resources that support the OCDETF Program’s investigative activities.
b. **Drug Intelligence Function** - This decision unit includes the reimbursable resources that support intelligence activities of the following participating agencies: the Drug Enforcement Administration and the Federal Bureau of Investigation, including the operational costs associated with the OCDETF Fusion Center. The methodology applies 100 percent of the resources that support the OCDETF Program’s intelligence activities.
c. **Prosecution Function** - This decision unit includes the reimbursable prosecution resources for the following participating DOJ agencies: the U.S. Attorneys and the Criminal Division. The methodology applies the total of 100 percent of the OCDETF Program’s Prosecution resources to the Prosecution Decision Unit.
d. **Administrative Support Function** - This decision unit includes funding for the OCDETF Executive Office for program oversight and support activities, as well as reimbursable resources to provide financial investigative training for member agencies. The methodology applies 100 percent of the resources that support the OCDETF Program’s administrative support activities.
**Disclosure No 2. - Modifications to Drug Control Methodology**
The overall methodology to calculate drug control obligations has not been modified in the Table of Drug Control Obligations. However, the Administration’s request for the OCDETF Program reflects a restructuring that collapses the OCDETF Program's four areas - Investigations, Drug Intelligence, Prosecution, and Administrative Support- into two decision units- Investigations and Prosecutions. Under this methodology, the Administrative Support of the OCDETF Executive Office is pro rated among decision units based on the percentage of appropriated
ICDE Program funding. Additionally, Drug Intelligence Costs is reported as part of the Investigations Decision Unit.
**Disclosure No 3. - Material Weaknesses or Other Findings**
The OCDETF Program is a component within the DOJ Offices, Boards and Divisions (OBDs). The OBDs FY 2011 Independent Auditors’ Report on Internal Control over Financial Reporting revealed no material weaknesses or significant deficiencies. In addition, the annual assurance statement required by the Federal Managers’ Financial Integrity Act (FMFIA) concludes that the OBDs can provide reasonable assurance that its systems of management, accounting, and administrative controls, taken as a whole substantially comply with the FMFIA and with the component requirements of the Federal Financial Management Improvement Act.
**Disclosure No 4. - Reprogrammings and Transfers**
There was no reprogramming in FY 2011.
Total availability consists of enacted budget authority for FY 2011, plus unobligated balances and recoveries brought forward from prior years. The OCDETF Program’s FY 2011 obligations include all re-allowed carryover funds and transfers. In FY 2011, the OCDETF Program re-allowed $976,000 from its no-year account (15X0323) as follows: $250,000 for the New York Strike Force; $100,000 for the Chicago Strike Force; $100,000 for the ATF ‘Operation Deliverance’; $96,000 for DEA costs associated with an ongoing FARC investigation; $430,000 for the OCDETF Executive Office MIS Programmer which is proportionally obligated to all resources functions.
In FY 2011, $2,207,267 in unobligated balances and prior year recoveries was brought forward from FY 2010 and available for new obligations. Of this amount, $976,000 was established as new obligations during FY 2011.
| Line Item | Transfer \(^1\) | Total |
|--------------------------------------------------------------------------|-----------------|--------|
| **Drug Resources by Decision Unit and Function** | | |
| **Investigations:** | | |
| Drug Enforcement Administration (DEA) | ($0.550) | (0.550)|
| Federal Bureau of Investigation (FBI) | (0.052) | (0.052)|
| U.S. Marshals Service (USMS) | 0.000 | 0.000 |
| Alcohol, Tobacco, Firearms and Explosives (ATF) | 0.000 | 0.000 |
| OCDETF Fusion Center Support (OFC) | 0.000 | 0.000 |
| **TOTAL INVESTIGATIONS DECISION UNIT** | (0.602) | (0.602)|
| **Prosecutions:** | | |
| U.S. Attorneys (USAs) | 0.00 | 0.000 |
| Criminal Division (CRM) | 0.00 | 0.000 |
| EXO Threat Response Unit (TRU) | 0.00 | 0.000 |
| **TOTAL PROSECUTIONS DECISION UNIT** | 0.00 | 0.000 |
| **Total Resources** | ($0.602) | (0.602)|
\(^1\) Represents radio resources transferred to the DOJ Wireless Law Enforcement Communications Account as required by the FY 2011 DOJ Appropriations Act (P.L. 112-110).
Organized Crime Drug Enforcement Task Forces Program Performance Summary Report
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On the basis of the Organized Crime Drug Enforcement Task Forces (OCDETF) management control program, and in accordance with the guidance of the Office of National Drug Control Policy’s (ONDCP) Circular, *Drug Control Accounting*, dated May 1, 2007, we assert that the OCDETF system of performance reporting provides reasonable assurance that:
1. OCDETF has a system to capture performance information accurately and that system was properly applied to generate the performance data.
2. OCDETF met the reported performance targets for FY 2011.
3. The methodology described to establish performance targets for the current year is reasonable given past performance and available resources.
4. OCDETF has established at least one acceptable performance measure for each budget decision unit, as agreed to by ONDCP, for which a significant amount of obligations ($1 million or 50 percent of the agency drug budget, whichever is less) were incurred in the previous fiscal year. Each performance measure considers the intended purpose of the National Drug Control Program activity.
Peter Maxey, Budget Director
Date: 1/18/12
Performance Measures
The Office of National Drug Control Policy (ONDCP) agreed to the OCDETF Program reporting only one measure for both of the OCDETF Decision Units (Investigations and Prosecutions) as the efforts of both are needed to achieve the results tracked by the measure. The disruption and dismantlement of a drug organization is a very complex operation that begins with investigative and intelligence activities by federal agents and culminates in federal prosecution of the parties involved.
Current Year Performance Targets
The annual targets for the OCDETF Program’s performance measures are determined by examining current year and prior year actuals. In addition to the historical factors, resources (including funding and personnel) are also taken into account when formulating a respective target.
The FY 2012 OCDETF Dismantlements and Disruptions (D&D) target is based on the percentage of FY 2011 OCDETF D&Ds to FY 2011 Department D&Ds, and the Department’s FY 2012 target. In FY 2011, OCDETF D&Ds accounted for 56% of the Department’s disruptions and 66% of the Department’s dismantlements. The Department’s targets for FY 2012 are 340 disruptions and 145 dismantlements. Therefore, the OCDETF D&D target for FY 2012 is 189 disruptions (or 56% of the Department’s disruptions); and 95 dismantlements (or 66% of the Department’s dismantlements).
Performance Measure 1: Consolidated Priority Organization Target (CPOT) -Linked Trafficking Organizations Disrupted and Dismantled
Table 1: Measure
| | FY 2008 Actual | FY 2009 Actual | FY 2010 Actual | FY 2011 Target | FY 2011 Actual* | FY 2012 Target |
|----------------|----------------|----------------|----------------|----------------|-----------------|----------------|
| Dismantlements | 69 | 99 | 120 | 104 | 128† | 95 |
| Disruptions | 214 | 162 | 214‡ | 185 | 230§ | 189 |
* The overlap of Drug Enforcement Administration (DEA) and Federal Bureau of Investigation (FBI) in 4 FY 2011 Dismantlements/Disruptions results in the reduction of 4 disruptions from the total numbers.
† Breakdown by agency for OCDETF is: 128 Dismantled (109 DEA and 19 FBI)
‡ Originally there were 212 disruptions; however, there were 2 additional DEA disruptions counted for FY 2010 after submission of this document.
§ Breakdown by agency for OCDETF is: 230 Disrupted (181 DEA and 53 FBI)
The goal of the OCDETF Program is to identify, investigate, and prosecute the most significant drug trafficking and money laundering organizations and their related enterprises, and to disrupt and dismantle the operations of those organizations in order to reduce the illicit drug supply in the United States. By dismantling and disrupting trafficking organizations that are CPOT-linked, OCDETF is focusing enforcement efforts against organizations that include heads of narcotic and/or money laundering organizations, poly-drug traffickers, clandestine manufacturers and producers, and major drug transporters, all of whom are believed to be primarily responsible for the domestic illicit drug supply. Additionally, the financial investigations conducted by OCDETF are focused on eliminating the entire infrastructure of CPOT-linked organizations and permanently removing the profits enjoyed by these most significant drug traffickers. Reducing the nation’s illicit drug supply and permanently destroying the infrastructure of significant drug trafficking organizations are critical pieces of the Attorney General’s Drug Strategy as well as the National Drug Control Strategy. By reporting on the number of CPOT-linked organizations being disrupted or dismantled, OCDETF clearly indicates the number of significant drug organizations that have been impacted by law enforcement efforts.
OCDETF was able to dismantle 128 CPOT-linked organizations in FY 2011, exceeding its target. This is a 7 percent increase over the 120 that were dismantled in FY 2010, the highest number reported prior to FY 2011. OCDETF disrupted 230 CPOT-linked organizations in FY 2011, exceeding its target for disruptions. This is 7% greater than the 214 reported at the end of FY 2010. The total of 358 CPOT-linked organizations that were either dismantled or disrupted during FY 2011 is 7% higher than the 334 dismantled or disrupted in FY 2010, which was a record year. This achievement exceeded OCDETF’s goal for disruptions and dismantlements.
During FY 2011, in addition to making important gains against CPOT-linked organizations, OCDETF agencies continued to achieve significant successes against the CPOTs themselves. Over the course of the last year, six CPOT targets were dismantled and six CPOT targets were disrupted. Through these dismantlements and disruptions, OCDETF agencies made significant impacts against the Gulf Cartel and other significant cartels operating out of South America. Five of the six dismantled CPOT targets were arrested and extradited to the United States for prosecution. These six dismantled CPOTs had a significant impact on the illegal drug supply in the United States. It is estimated that their individual activities included: the capability of importing and distributing 100,000 tablets of MDMA per month into the United States and
distributing MDMA, cocaine, marijuana, hash, and methamphetamine around the world; distributing 40 kilograms of heroin to the New York area on a monthly basis; and moving cocaine valued in excess of $4 billion into the United States since 2004.
In addition to arrests, OCDETF agencies made other significant gains against the dismantled and disrupted CPOT targets including seizing nearly two million MDMA tablets from a dismantled CPOT target; securing the forfeiture of $35 million from a dismantled CPOT and seizing 24 properties in excess of 12,000 acres; and seizing approximately $245 million in assets and financial instruments, over 90 labs, and 24 tons of cocaine from a disrupted CPOT target. Law enforcement activity targeting these CPOTs involved complex and coordinated intelligence driven investigations, with exceptional cooperation between U.S. law enforcement agencies and international partners.
The CPOT List is updated semi-annually. Each OCDETF agency has an opportunity to nominate targets for addition to/deletion from the List. Nominations are considered by the CPOT Working Group (made up of mid-level managers from the participating agencies). Based upon the Working Group’s recommendations, the OCDETF Operations Chiefs decide which organizations will be added to/deleted from the CPOT List.
Once a CPOT is added to the List, OCDETF investigations can be linked to that organization. The links are reviewed and confirmed by OCDETF field managers using the OCDETF Fusion Center, agency databases, and intelligence information. Field recommendations are reviewed by the OCDETF Executive Office. In instances where a link is not fully substantiated, the sponsoring agency is given the opportunity to follow-up. Ultimately, the OCDETF Executive Office "un-links" any investigation for which sufficient justification has not been provided.
**Data Validation and Verification**
When evaluating disruptions/dismantlements of CPOT-linked organizations, OCDETF verifies reported information with the investigating agency’s headquarters. |
Topological-defect-induced surface charge heterogeneities in nematic electrolytes
Miha Ravnik\textsuperscript{1,2} and Jeffrey C. Everts\textsuperscript{1,*}
\textsuperscript{1}Faculty of Mathematics and Physics, University of Ljubljana, Jadranska 19, 1000 Ljubljana, Slovenia
\textsuperscript{2}Department of Condensed Matter Physics, Jozef Stefan Institute, Jamova 39, 1000 Ljubljana, Slovenia
(Dated: July 16, 2020)
We show that topological defects in an ion-doped nematic liquid crystal can be used to manipulate the surface charge distribution on chemically homogeneous, charge-regulating external surfaces, using a minimal theoretical model. In particular, the location and type of the defect encodes the precise distribution of surface charges and the effect is enhanced when the liquid crystal is flexoelectric. We demonstrate the principle for patterned surfaces and charged colloidal spheres. More generally, our results indicate an interesting approach to control surface charges on external surfaces without changing the surface chemistry.
The precise distribution of bound electric charges on a surface, space curve, or a (crystal) lattice, has important consequences in diverse fields ranging from biology, chemistry, and material science. On the (macro)molecular scale, differences in electronegativity of atoms [1] result in a heterogeneous electron distribution in molecules which affects the acidity and, therefore, chemical reactivity of (organic) functional groups [2]. Surface charge distributions in biological systems can affect protein-protein and protein-ligand interactions [3–5] and virus assembly [6, 7]. Similarly, for colloidal particles, heterogeneous surface charge distributions can affect pair interactions [8, 9], their self-assembly [10–13], and catalytic properties [14] with direct relevance in applications such as nanoparticle-based drug delivery [15]. On even larger length scales, surface charge heterogeneities on flat plates can cause spatial ion-concentration oscillations [16], influence electrokinetic flow [17, 18], and affect device performance [19] in polycrystalline batteries [20] or solar cells [21].
In some materials charge modulations can even induce superconductivity [22, 23] or colossal magnetoresistance [24]. Overall, as clearly evident from these examples, the control and manipulation of charge profiles is highly relevant and an open challenge in diverse fields of science and technology.
Surface charge heterogeneities of ionic or electronic nature, can be realised in various ways. In colloidal science, a fixed surface charge distribution can be realised with different-surface charging functionalities on the same particle, such as patchy particles [25, 26] or Janus particles [27], whereas charge-heterogeneous flat surfaces can be manufactured with agents such as micelles [28]. These type of charge heterogeneities are effectively permanent and imprinted in the material properties, but they can also be induced by ion packing [29], dielectric contrast [30, 31], many-body effects [13], particle shape [32] or flow [33]. In all these cases the control over the surface charge distribution is, however, limited.
In this Letter, we show that topological defects in ion-doped nematic fluids can be used to manipulate and spatially control the surface charge density of charge-regulating external surfaces, using a minimal numerical model. The position of topological defects in nematic fluids can be controlled by an external field, geometry and/or material flow, and the defects can be of diverse forms, from points, loops, networks to even knots and solitons [34–44], which we use in selected geometries. As the first geometry, we explore nematic cells consisting of parallel flat plates with a homogeneous charging functionality, but with an inhomogeneous surface (anchoring) imposed director pattern that generates surface or bulk topological defects. Today, such patterned surfaces can be experimentally realised with techniques such as photolithography [45, 46] or metasurfaces [47]. Secondly, we consider charged spherical colloidal particles in nematic electrolytes, and show that the surrounding topological defect breaks the spherical symmetry of the surface charge causing a surface charge inhomogeneity. In both examples, we also show that the topological-defect induced charge heterogeneity is further enhanced if the...
Figure 2. Topological-defect induced surface charge heterogeneity on the bottom plate with constant surface potential $\Phi_0 = -1$, in case of (a)-(c) no flexoelectricity $G = 0$ and (d)-(f) $q_e G = 10 \, \text{pC} \cdot \text{m}^{-1}$. The top plate has homeotropic anchoring with a surface defect for $W = 10^{-3} \, \text{J} \cdot \text{m}^{-2}$ [(a), (d)] or a bulk $-1/2$ line defect for $W = 10^{-2} \, \text{J} \cdot \text{m}^{-2}$ [(b), (e)], which results in inhomogeneous diffuse net ionic charge densities $\rho_s(\mathbf{r})$ (colormap). The proximity and type of defect result also in an inhomogeneous surface charge $q_e \sigma$ [(c), (f)], where dashed lines indicate the surface-defect case and full lines the bulk line defect case.
Nematic is flexoelectric, meaning that a local elastic distortion in the orientational order of the nematic fluid causes a local electric polarisation [48–51]. More generally, this work shows that by designing and manipulating the surface or bulk topological defects in nematic electrolytes, one could realise and controllably tune diverse -possibly arbitrary- surface charge profiles.
An inhomogeneous surface charge profile is first demonstrated in the geometry of a standard nematic cell as shown in Fig. 1, which consists of two parallel flat plates, but each with different surface anchoring: the top surface is assumed to impose homogeneous homeotropic anchoring, whereas the bottom surface is set to impose the indicated patterned anchoring. The cell is filled with a nematic electrolyte, characterised by tensorial order parameter $Q(\mathbf{r})$ [52], and positive and negative monovalent ions with densities $\rho_\pm(\mathbf{r})$. The top plate ($z = h$) is uncharged, whereas the bottom plate ($z = 0$) is charged, with surface charge density $q_e \sigma(\mathbf{r})$, and $q_e$ the proton charge. The top and bottom surface impose an inhomogeneous nematic (director) profile – both at the surface and in the nematic bulk, that even includes a surface or a bulk defect –, which causes the development of an inhomogeneous electrostatic potential $\phi(\mathbf{r})/(3 q_e)$, with $\beta^{-1} = k_B T$ the thermal energy. The ion distributions are given within the mean-field approximation by the Boltzmann distributions $\rho_\pm(\mathbf{r}) = \rho_s \exp[\mp \phi(\mathbf{r})]$, with $\rho_s$ as the reservoir salt concentration, to write the modified Poisson-Boltzmann equation as [53],
$$\nabla \cdot \left[ \left( \mathbf{I} + \frac{2}{3} \frac{e_m}{\bar{\epsilon}} \mathbf{Q} \right) \cdot \nabla \phi - 4 \pi \lambda_B \mathbf{P}_f \right] = \kappa^2 \sinh \phi,$$
with $\mathbf{I}$ the unit tensor, $e_m$ the molecular dielectric anisotropy; $\bar{\epsilon}$ the rotationally averaged dielectric tensor, $\lambda_B$ the isotropic Bjerrum length, and we used the single-constant approximation for the flexoelectric (and order electric) polarisation $q_e \mathbf{P}_f = q_e G \nabla \otimes \mathbf{Q}$, with $q_e G$ the molecular flexoelectric constant. Finally, $\kappa^{-1} = (8 \pi \lambda_B \rho_s)^{-1/2}$ is the isotropic (reference) Debye screening length. We use typical values of thermotropic nematics $\bar{\epsilon} \sim 10$ [54], with $\kappa^{-1}$ between $10^2$ and $10^3 \, \text{nm}$ (bulk ion densities of $10^{-8} - 10^{-6} \, \text{M}$) [55–58], where the nonelectrostatic contribution of the ions can be approximated to behave as an ideal gas [59].
The electrostatics is fully coupled to the nematic $\mathbf{Q}$ tensor profile given by the minimum of the total free energy, where the balance between nematic elasticity, flexoelectricity, and dielectric anisotropy gives the following equation for $\mathbf{Q}$ [53]:
$$\beta L \nabla^2 \mathbf{Q} + G \nabla \otimes \nabla \phi + \frac{e_m}{12 \pi \lambda_B \bar{\epsilon}} \nabla \phi \otimes \nabla \phi = \left[ \beta A + \beta C \text{Tr}(\mathbf{Q}^2) \right] \mathbf{Q} + \beta B \mathbf{Q}^2,$$
with $L$ the nematic elastic constant (within the single-constant approximation) and Landau-de Gennes bulk parameters $A$, $B$, and $C$. For all these parameters, we take the values corresponding to standard nematic liquid crystals, like 5CB [53], unless stated otherwise. The overline defines the traceless part of the tensor, e.g., $\overline{\mathbf{A}} = \mathbf{A} - (\text{tr} \mathbf{A}) \mathbf{I}/3$ for an arbitrary $3 \times 3$ tensor $\mathbf{A}$ [60]. Eqs. (1) and (2) are akin to models of dilute electrolytes in binary fluid-fluid mixtures with ions coupled to the fluid composition profile [31, 61–63]. Note, that in our
approach we generalise and solve this model for nematic electrolytes with the full nematic tensorial order parameter, dielectric anisotropy, and flexoelectricity included.
The charge at the bottom plate is caused by the adsorption or desorption of ions [64] from the nematic fluid on specific chemical groups located on this surface, where we assume the bottom plate to be chemically homogeneous in the sense that these chemical groups are identical over the entire surface and homogeneously distributed. Now the local surface charge depends on the local ion concentration; therefore, any inhomogeneity in the ion concentration will lead to an inhomogeneous surface charge. We will show that such inhomogeneities can be realised by an inhomogeneous nematic $Q$-tensor profile. We model the bottom plate as a constant-potential plate with boundary condition $\phi(x,y,0) = \Phi_0$, being the simplest form of a charge-regulating electrostatic boundary condition, with $\Phi_0$ as the surface-imposed constant potential. The surface charge profile $\sigma$ can then be evaluated by the normal component of the dielectric displacement,
$$\sigma = -\hat{\nu} \cdot \left[ \left( I + \frac{2}{3} \frac{\epsilon_m}{\epsilon} Q \right) \cdot \nabla \phi/(4\pi \lambda_B) - G \nabla \cdot Q \right],$$
with $\hat{\nu}$ as an outward pointing unit normal vector, and assuming no electric fields are generated inside the bottom plate.
Although, we assume that chargeable chemical groups are homogeneously distributed, the bottom plate is patterned in terms of the nematic anchoring, imposing a fixed orientational director pattern $n^B$. We assume strong anchoring conditions for the bottom plate, and set $Q = Q^B$ with $S_{eq}$ the equilibrium (bulk) value of the scalar order parameter, and no surface-imposed biaxiality. Specifically, we consider the one-dimensional pattern
$$n^B = (\sin(x\pi/w), \cos(x\pi/w), 0),$$
periodic in $x$ with period $w$, and a top plate with homeotropic anchoring strength $W$ [65]. Note that we consider periodic surface imposed anchoring patterns, but—in view of the mechanism for the creation of surface charge heterogeneities—they could also be realised with nonperiodic and even random patterns.
Fig. 2 shows the topological-defect induced surface charge heterogeneity as generated by the introduced surface anchoring pattern [Eq. (4)] obtained from numerical calculations with the finite-element software package COMSOL Multiphysics. For smaller anchoring [Fig. 2(a) and Fig. 1], the nematic structure exhibits a surface defect line, whereas for stronger anchoring [Fig. 2(b)], the defect evolves into a -1/2 defect line along the $y$ direction. For no flexoelectricity ($G = 0$), the diffuse ionic screening cloud $\rho_s(r) = \rho_+(r) - \rho_-(r)$ is translational invariant in $y$ but not in $x$ and $z$, and is more extended at fixed $\kappa^{-1}$ in the case of the bulk line defect. However, the most striking observation is that not only the screening cloud is affected by the location of the defect, but also the surface charge density, see Fig. 2(c), which becomes strongly peaked around the location of the defect when the defect approaches the bottom plate; compare dashed (surface defect) with full (bulk defect) lines, and this behaviour is robust also for varying screening length $\kappa^{-1}$. This result clearly highlights, that surface charges can be induced by manipulating topological defects, such as by bringing a nematic defect closer to the surface. The overall increase in $\sigma$ upon decreasing $\kappa^{-1}$ can be understood from the Grahame equation [66], $\sigma = \sinh(\Phi_0/2)/(2\pi \lambda_B \kappa^{-1})$, which is an exact result for isotropic solvents and infinite-plate separation, but turns out to be a reasonable estimate in calculating the average surface charge density even for the nematic case [53].
Flexoelectricity in a nematic electrolyte has a further
major effect on the diffuse ion cloud [67] and in turn on the surface charge heterogeneity. Figs. 2(d-e) show that the surface charge profile at the bottom plate $\sigma$ becomes more inhomogeneous as the result of flexoelectricity [Fig. 2(f)], and bringing the defect closer to the bottom surface results in a local minimum in $\sigma$ rather than a local maximum [compare to Fig. 2(c)]. The trend with varying $\kappa^{-1}$ is similar as for $G = 0$ for the average surface charge density. The manipulation of surface charges by topological defects is robust with respect to the type of charge-regulating boundary condition, as charge localisation around topological defects is observed also if we assume an ion-dissociation boundary condition on the bottom plate, see [53].
To generalise, the key requirement for realising surface charge heterogeneities, is that the director component perpendicular to the surface has a gradient which varies across the surface. We demonstrate this requirement in a cell with a patterned bottom plate of the form
$$\mathbf{n}^B = \frac{(\sin(x\pi/w), \sin(y\pi/w), 0)}{\sqrt{\sin^2(x\pi/w) + \sin^2(y\pi/w)}},$$
and planar degenerate anchoring at the top cell surface $z = h$, with $W_{\perp}^d$ the in-plane anchoring strength, and $W_{\parallel}^d$ the surface-ordering anchoring strength [68]. Such a nematic cell has a strictly inplane $(xy)$ director field ($n_z = 0$), see Figs. 3(a)-(b) for bottom and top plate profiles. In Fig. 3(c), we show the three-dimensional structure of the nematic defect lines, with $+1$ defects in the corners and in the centre of the unit cell, and $-1$ defects in the center of each edge of the cell for $z = 0$. The $\pm 1$ defects split further away from the bottom surface into two $\pm 1/2$ defects. For no flexoelectricity $G = 0$, we find a roughly homogeneous surface charge distribution [Fig. 3(d)], whereas for the flexoelectric case $G \neq 0$ gradients in the electrostatic potential and gradients in $S$ lead to an inhomogeneous surface charge distribution, with positive peaks around the defects. We find that the absence of director field gradients perpendicular to the surface leads to much weaker -but now twodimensional-control of the surface charge by topological defects, in contrast to the one-dimensional pattern of Eq. (4).
As the third system, we show that even homogeneous charging functionalised surfaces with *homogeneous anchoring* conditions can result in surface charge heterogeneities due to topological defects, emergent from the geometry and topology of the surface. The simplest system where this occurs is a charged colloidal sphere with homeotropic (perpendicular) anchoring, immersed in a homogeneous nematic with far-field director in the $z$ direction. Such charged spheres have only been theoretically investigated in the absence of ions and charge regulation [69]. Depending on the particle size, a Saturn-ring defect is formed (small particles) or a point defect (large particles), to compensate the distortion imposed by the particle, see the insets of Fig. 4 [70, 71]. For particle radius $r_p = 250$ nm, we see in Fig. 4(a) that an inhomogeneous surface charge $\sigma$ is induced with two maxima and a minimum exactly at the equator for $G = 0$ for the Saturn-ring defect, with an amplitude that is relatively small compared to the average. For nonzero flexoelectricity $G \neq 0$, the amplitudes of the surface charge are enhanced and a maximum positive charge density is found at the equator (although $\Phi_0 < 0$). For the point defect, (e.g. $r_p = 1 \mu$m), we find similar to the Saturn-ring defect a minimum of relatively small amplitude close to the location of the defect. This amplitude is enhanced for $G > 0$ and the minimum turns into a maximum. These results show that particles of diverse shapes and topologies in nematic electrolytes could possibly realise diverse and highly heterogeneity-rich surface charge profiles.
The major experimental challenge for exploring the defect-induced surface charge heterogeneities, is how to directly measure the surface charge distribution, rather than indirectly by e.g. considering the effective pair potential (colloidal particles) or disjoining pressure (flat plates). Most surface charge measurements rely on measuring the total surface charge, rather than the distribution, such as with titration [72] or electrophoresis [73], although there are a few cases where heterogeneities could still be assessed with these methods [74–76]. Other methods rely on flow [33, 77], or atomic-force microscopy [78], but interpreting the results in these nematic systems might require additional mathematical modelling [79]. Furthermore, fluorescence-based techniques might offer a versatile route to locally probe the surface charge [80, 81]. Finally, we mention surface plasmon resonance imaging, which is a promising probe-free spectroscopic technique that can map out the electric double layer [82, 83].
On the theoretical side we neglected effects that become more prevalent at high ion densities and/or lower $\bar{\epsilon}$, such as Bjerrum pairs [59, 84, 85], steric effects [86–88], and ion-specific interactions [89], that are all well investigated for isotropic solvents but not for nematic electrolytes. Furthermore, explicit ion dependence of the dielectric tensor, flexoelectric coefficients, and the liquid-crystal bulk phase behaviour are all relevant effects that deserve further study, as well as higher-order dipolar corrections to the Poisson-Boltzmann equation [90]. Furthermore, the presented results are relevant for lyotropic systems, which also exhibit dielectric anisotropy [91] and flexoelectricity [92]. Likely, lower Debye lengths in lyrotropics could be reached than in thermotropics because they are often water based and, therefore, have a higher ion solvability. Lyotropic building blocks can be colloidal particles of various designed shape and charge, therefore we envisage that lyrotropics can have ion-tunable flexoelectricity and dielectric anisotropy, similar to the ion- and charge-tuning of the elastic constants of charged hard rods [93].
In conclusion, our results show that topological defects in nematic electrolytes can be used to control and manipulate surface charges in a broad and extensive way, which can be further enhanced by the effects of flexoelectricity. Our work has clear relevance for the self-assembly of charged colloidal particles in liquid crystals [38], but also on the performance of liquid-crystal-based devices, such as nematic-based electric double layer capacitors or nematic microfluidic applications [94]. Likely equally relevant, this work can be relevant for biological systems and active matter, where topological defects are known to have a prime role in their dynamic behaviour; in combination with charges this could lead to phenomena such as dynamic or active surface charge regulation.
Acknowledgements - J. C. E. acknowledges financial support from the European Union’s Horizon 2020 programme under the Marie Skłodowska-Curie Grant Agreement No. 795377. M. R. acknowledges financial support from the Slovenian Research Agency ARRS under Contracts P1-0099, J1-1697, and L1-8135. The authors acknowledge fruitful discussions with Š. Čopar and B. Werkhoven.
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THE VANDEVER-HAWORTH SITE
Wg-16, WAGONER COUNTY, OKLAHOMA
BY -
TIMOTHY G. BAUGH
ARCHAEOLOGICAL SITE REPORT NO. 17
OKLAHOMA RIVER BASIN SURVEY
UNIVERSITY OF OKLAHOMA RESEARCH INSTITUTE
NORMAN, OKLAHOMA
1970
Description: This one piece iron plate consists of a rectangular area merging into a circular shaped portion that is crowned by another smaller rectangular area. There are five holes in this plate which consist of: three square holes in the large rectangular portion; one round hole in the circular area; and one square hole in the small rectangular portion. It appears that this plate was attached to the underside of the wagon directly above the front axle and served as a bearing for the rotating axle.
Dimensions: Length, 33.8 cm.; width of large rectangular area, 15.7 cm.; diameter of circular area, 13.2 cm.; width of small rectangular area, 5.5 cm.; size of square holes, 1.5 cm. x 1.5 cm.; hole diameter, 3.1 cm.
Reinforcing Bands
Number of specimens: 2; complete 2.
Description: Each of these items are made from a single hand-forged band which has been curved around into an oval shape with the ends overlapping. The use of these bands was probably for the reinforcement of a wagon tongue. There are two holes in each band for attachment to the tongue by nails, one of which is still in place. The smaller specimen has a slight ridge running around the center of the band. These two bands could have been used on the same wagon or separate wagons.
Dimensions: Length, 23.9 cm. and 19.8 cm.; height, 9.3 cm. and 9.1 cm.; width, 4.7 cm. and 3.0 cm.; thickness, 0.5 cm. to 0.7 cm. and 0.4 cm. to 0.5 cm.
ARTIFACTS: TRADE GOODS
Beads
Beads Type I
Number of specimens: 2; complete 2.
Fig. 16a
Description: These are Harvard Crimson translucent necklace beads which appear to have been painted pink. They are of simple construction and are medium size spheroids in shape.
Dimensions: Diameter, 0.8 cm.; height, 0.7 cm.
Comment: These beads have been equated with Type 103 on the Harris Bead Chart. This type falls within the 1820 to 1850 range.
Beads Type II
Number of specimens: 12; complete 12.
Fig. 16b-c
Description: These are large bluebird blue colored necklace beads which are barrel shaped with 16 pressed facets and flat ends. They are translucent and exhibit a blue-white inner layer, indicating they were made using compound construction.
Dimensions: Diameter, 0.5 cm. to 0.9 cm.; height, 0.4 cm. to 0.8 cm.
Comment: This type can be equated to Type 129 on the R. K. Harris bead charts. Similar beads were uncovered by Wyckoff and Barr (1968: 50) at the Posey site. From 1815 to 1830 these beads were found in the Southern Plains area in small quantities but by the late 1830's they became more numerous.
Beads Type III
Number of specimens: 11; complete 11.
Fig. 16d-e
Description: These large, translucent necklace beads are bluebird blue in color and barrel shaped with 16 pressed facets and flat ends. They differ from Type I in that they lack the inner layer, and are referred to as simple construction.
Dimensions: Diameter, 0.5 cm. to 0.9 cm.; height, 0.5 cm. to 0.7 cm.
Comment: This type can be related to Harris' Type 130 which is believed to have a temporal span from 1815 to 1840. Wyckoff and Barr (1968: 50) reported this bead style for the Posey site.
**Beads Type IV**
Number of specimens: 4; complete 4.
Fig. 16f-g
Description: These are large size, colorless glass necklace beads of compound construction which are translucent and barrel shaped. These specimens have 16 to 20 pressed facets with flat ends.
Dimensions: Diameter, 0.6 to 0.8 cm.; height, 0.5 cm. to 0.6 cm.
Comment: This type has been related to the Harris bead chart and has been equated to Type 132 which has been dated in a time period ranging from 1820 to 1850.
**Beads Type V**
Number of specimens: 1; complete 1.
Fig. 16h
Description: This is a medium size peacock-blue necklace bead which is barrel shaped with flat ends. There are 18 cut facets upon this translucent specimen which is of simple construction.
Dimensions: Diameter, 0.5 cm.; height, 0.45 cm.
Comment: This bead type has been related to Type 133-A on the Harris Bead Chart. This specimen has been placed in the 1820 to 1850 time region.
**Beads Type VI**
Number of specimens: 1; complete 1.
Fig. 16i
Description: This is a semitranslucent, milk-white necklace bead which is oval shaped with flat ends. It is a medium size bead which is of simple construction.
Dimensions: Maximum diameter, 0.7 cm.; height, 0.8 cm.
Comment: This example corresponds to Type 141 on Harris's Bead Chart and dates within the 1820 to 1850 temporal span.
**Beads Type VII**
Number of specimens: 1; complete 1.
Fig. 16j
Description: This is a medium sized, dark Bluebird Blue necklace bead which is spheroid in shape with flat ends. It is translucent and of simple construction.
Dimensions: Diameter, 0.8 cm.; height, 0.7 cm.
Comment: This type has been identified with the Harris Bead Chart as belonging to Type 142 with a temporal span of 1820 to 1850.
**Beads Type VIII**
Number of specimens: 2; complete 2.
Fig. 16k
Description: These are large, turquoise-blue necklace beads which are spheroid in shape. They are opaque and of simple construction.
Dimensions: Diameter, 1.0 cm.; height, 0.9 cm.
Comment: This specimen has been identified as Type 145 on the Harris Bead Chart and date within the 1820 to 1850 time period.
**Beads Type IX**
Number of specimens: 2; complete 2.
Fig. 16l-m
Description: These are large size barrel shaped, black necklace beads which are opaque and of simple construction. One specimen has approximately 19 pressed
facets while the other has 33 facets on its outer surface. Both specimens exhibit flat ends.
Comment: These specimens correspond to Type 170 on Harris's Chart which has been found in contexts dating from 1820 to 1850 for this region of the Plains. This type is also described by Wyckoff and Barr (1968: 52) for the Posey site.
**Beads Type X**
Number of specimens: 2; complete 2.
Fig. 16n
Description: These are large, translucent, Harvard Red necklace beads which have 34 facets and flat ends. They are barrel shaped and of simple construction with a slight frosting on the surface from age.
Dimensions: Diameter, 1.0 cm.; height, 0.9 cm.
Comment: These specimens correspond to Type 172-C on the Harris Bead Chart and date within a temporal span from 1820 to 1850.
**Beads Type XI**
Number of specimens: 1; complete 1.
Fig. 16o
Description: This is a large necklace bead of compound construction with five diamond shaped facets around the equatorial region and two five-pointed stars around the poles. The outer portion of this bead was formed over another smaller bead which is olive-shaped and Harvard Crimson in color.
Dimensions: Diameter, 1.7 cm. and 1.0 cm.; height, 1.1 cm. and 0.8 cm.
Comment: This specimen is analogous to Type 173 on the Harris Bead Chart and dates within the first half of the nineteenth century. The inner bead has been identified as Type 103 on the Bead Chart.
**Beads Type XII**
Number of specimens: 1; complete 1.
Fig. 16p
Description: This is a large, black and opaque necklace bead which is a flat-ended spheroid. It is of compound construction with nine white circles painted upon its exterior, seven of which have copper dots in the center.
Dimensions: Diameter, 0.95 cm.; height, 0.9 cm.
Comment: This type has been compared with Harris's Bead Chart and identified as Type 186 which is also known as the "Eye Bead" which was a common trade item in Africa but was quite rare in North America. This type dates after 1800 for this region.
**Firearms**
**Bullet Molding Debris**
Number of specimens: 9.
Fig. 16y-z
Description: These are pieces of waste lead from musket ball molds. One specimen is hemispherically shaped while two are cylindrically shaped and are droppings. The other examples are twisted masses of lead with no regular shape.
**Butt Plate**
Number of specimens: 1; broken 1.
Fig. 16w'
Description: This plate is broken just above the heel and, therefore, the finial is missing. It is concavo-convex and made from iron, which is highly corroded; no identifying marks are visible. This specimen has a rectangular hole with beveled edges for attachment by means of a nail.
Dimensions: Length (incomplete), 9.0 cm.; width at heel, 2.9 cm.; estimated width at base, 3.6 cm.; width x length of hole, 0.8 cm. x 1.2 cm.; thickness, .3 cm.
Fig. 16. Vandever - Haworth site (Wg-16). beads: a, Type I; b-c, Type II; d-e, Type III; f-g, Type IV; h, Type V; i, Type VI; j, Type VII; k, Type VIII; l-m, Type IX; n, Type X; o, Type XI; p, Type XII; q-v, English gunflints; Note the lateral wear on "v" which may be due to usage as a strike-a-light flint; w-x, Indigenous gunflints; y-z, Bullet molding debris; a, .50 caliber musket ball; b, .44 caliber musket ball; c, .42 caliber musket ball; d, .40 caliber musket ball; e-f, Buckshot; g-h, Dropshot; i, Butt plate finial; j-k, Brass tacks; l, Percussion cap; m, Decorated unglazed pipe Type I; n, Decorated unglazed pipe Type II; o, Kaolin pipes Type III; p, Kaolin pipes Type II; q, Kaolin pipes Type V; r, Kaolin pipes Type VI; s-t, Kaolin pipes Type I; u, Kaolin pipes Type I stems; v, Kaolin pipe Type IV; w, Butt plate; x, Gunsmithing tools-awl; u-z, Gunsmithing tools-three cornered files. |
BRENTHAM CLUB MAGAZINE
No. 5
New Series
Spring
1951
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(Under the personal supervision of E. BLUNDELL, Director)
Licensed for the sale of Pasteurised and Tuberculin Tested Milk
All Milk supplied the produce of Cows kept locally
64 PITSHANGER LANE, EALING, W. 5
Telephone - PERivale 3024
BRENTHAM CLUB LTD.
Chairman: Mr. F. Ahl.
Committee of Management:
Messrs. R. Felton, B. Luxford, R. Heath, F. S. Brown, J. Boyce.
Secretary: Major R. H. C. Higgins.
Telephone: Perivale 2624.
HOUSE COMMITTEE
Chairman: Mr. M. West.
Badminton ... Mr. A. J. Priske
Billiards ... Mr. G. Eggleton
Cards ... Mrs. M. Williams
Chess ... Mr. H. Fleming
Darts ... Mr. J. W. Dwyer
Dramatic ... Mr. F. Froome
Ladies ... Mrs. E. Goodenough
Old Time Dancing Mr. A. Tees
Social ... Mr. C. Roberts
Table Tennis Mr. H. Clark
Secretary: Mr. W. H. Leary.
BRENTHAM CLUB MAGAZINE—Editor: Mr. F. S. Brown.
Business Manager: Mr. T. Field.
EDITORIAL
As Spring, and the longer days approach, my thoughts turn in retrospect. A long wet winter we hope, will soon be but a memory as the outdoor half of the year claims our varied attentions.
It speaks volumes for the enthusiasm of the sub-committees and organisers, that such a variety of almost continuous entertainment has been available during the last few months. So numerous have been the attractions that strict chronological sequence must be sacrificed.
New Year's Eve with its sounds of revelry and rejoicing, and its opportunities for toasting, carried with it an air of goodwill. Elsewhere are reports of evenings with the Cricket Section at their Supper, with the Bowlers and their ladies at their annual dinner, and with the "Players" in "top form," of laughter with the "Pie-Gang," of the informal atmosphere of the ex-Servicemen's evenings, and for some, the pleasure of entertaining again our Stock Exchange friends. Dancing, "old-tyme" and modern, has provided pleasure on many Saturday nights, whilst the "Cabaret-Kittens" have provided their annual feast of charm and colour. Billiards, snooker and dart matches have become almost "the rig of the day" (acknowledgments J), whilst table-tennis and Badminton for the energetic, and chess and cards for those who seek repose, hold their own.
This editorial, focussed as it is on the indoor entertainments value of the clubs might be described as biased. For the reader, particularly if he comes to the magazine for the first time, this might well be disconcerting. The responsibility of remaining neutral on "house" matters, and objective in the presentation of opinion lies in this column. I have yet to meet the secretary or organiser who has not received his full share of kicks and ha'pence. But don't let it be forgotten that there is practically no end to the variety of problems which have to be tackled if these functions have to run smoothly.
Let is be said here, there is nothing new or original in these arrangements, but I feel that a livelier, all-round interest has been shown in the opportunities offered us during the last six months.
Not to speak as we fancy, but as we find—a big "Thank-you" to all Section Secretaries, their committees, and organisers for a good job of entertainment—and so, it is for us that the approach of Spring heralds the return of the outdoor season.
BRENTHAM PLAYERS
It was with sincere sorrow that we learned of the death of Fred Huggett, for many years our Stage Electrician. When he moved from the district, the Players lost a most valuable member and a good friend, and his passing has been an even greater blow. A floral tribute was sent on behalf of you all, and we extend our deep sympathy to Mrs. Huggett in her loss.
Our third production, "Fools Rush In," a comedy by Kenneth Horne, is now well under way, and is being directed by Alan Flatman, who is making his debut as a producer. The original intention to put on Philip King's "On Monday Next" was shelved for the time being owing to production difficulties, but we feel sure that our audience will have lost nothing by the change, for "Fools Rush In" is calculated to cause many a laugh.
We were heartened by the favourable reports which followed our second show, "The Paragon," and certainly the cast deserved all praise, for the time allowed for production was very short and contained the Christmas holiday period. It is evident that our shows will continue to be given on three nights instead of two as last season, for membership continues to grow and bookings are most encouraging.
In conclusion, we should remind you that bookings for "Fools Rush In" will commence on Friday, March 16th, a little earlier than usual owing to the Easter holiday, and from then onwards the box office will be open each night at the Club from 8 p.m. Show nights are Thursday, Friday and Saturday, the 5th, 6th and 7th April.
DARTS SECTION
The Inter-Section Darts League has been progressing very satisfactorily and out of the total of 132 matches 112 have been completed. Up to date only Billiards and Snooker have beaten the Cricket Section, although eleven teams have taken a leg from them. Even if Cricket lose their two remaining fixtures they still retain the League Championship and Shield. This will be the third time running. Congratulations, Stan Morgan, and the rest of the Cricket team. There is still a fight going on for runners-up between the Clubmen, O.T.D. Ladies, O.T.D. Gents, Tennis Gents and Billiards and Snooker. At the other end of the table there are several teams trying to avoid the "Wooden Spoon." The O.T.D. Ladies have had a very successful season and have a very good chance to finish runners-up. Teams they have beaten are, Billiards and Snooker, 2—1; Bowls, 3—0; Clubmen, 2—1; Tennis Gents, 2—0; and O.T.D. Gents 3—0. Tennis Gents a new team to the League this season, have done extremely well, but unfortunately have just lost two of their team: David Clegg, who has been called up for National Service, and his brother, Stuart, who is moving away from the district. The Ladies' teams have really done remarkably well and have shaken all the Men's teams as the following will show: Club Ladies beat Billiards and Snooker, 2—1; Club Ladies "A" beat O.T.D. Gents 2—1; Dramatic Ladies beat Bowls, 2—1; Club Ladies beat Dramatic Gents, 2—1 and Bowls 2—1; Dramatic Ladies beat Dramatic Gents, 3—0; Tennis Ladies beat Dramatic Gents, 2—1 and Bowls, 2—1. Well, Men! it is up to you as this is supposed to be our game, and on looking over the highest scores for the past season we have three Ladies with 140 each: Miss Ann Anson, Mrs. May Webster, and Miss Betty Godfrey; Jean White-Robinson, with 139, and Mrs. R. Bass, Mrs. F. Mansi, Mrs. E. Bounding and Jean Bland with scores over 120. The men have not done quite so well this year with Tony Mansi 132 and the following all with 140: H. Marshall, A. Hulbert, G. Mansi, "Robby," F. Arnold, S. Morgan, J. Howard, A. Rowley, S. Hooper, L. Goodenough, C. Harrington, M. Dyason and J. Moorcroft.
The "Taylor" Cup and "Ahl" Individual Championships are not progressing too well, but, like other years, we shall have them finished on time. Stan Morgan, who has won the Taylor Cup for the past two seasons, was beaten by Bill Dwyer, but the old "South Paw Flapper," Mickey Dyason, is still unbeaten, but there are one or two newcomers to the competition and there will probably be some surprises. Mrs. Anson is still in the Ladies' competition with other stalwarts who are eagerly waiting for some of the rounds to be completed. Ladies, please get a move on!
All members will be notified when Darts Final Night will be held, so keep your eyes open for the poster. Before closing I should like to mention that a Darts Board will be fixed in the lower bar during the summer season.
## League Table up to February 26th.
| Team | Played | Won | Lost | For | Against | Points |
|-----------------------|--------|-----|------|-----|----------|--------|
| Cricket | 20 | 19 | 1 | 47 | 13 | 47 |
| Tennis Gents | 19 | 12 | 7 | 36 | 28 | 36 |
| Clubmen | 21 | 11 | 10 | 36 | 27 | 36 |
| O.T.D. Gents | 18 | 12 | 6 | 33 | 21 | 33 |
| O.T.D. Ladies | 19 | 11 | 8 | 33 | 24 | 33 |
| Billiards & Snooker | 18 | 13 | 5 | 32 | 22 | 32 |
| Bowls | 19 | 6 | 13 | 22 | 35 | 22 |
| Dramatic Gents | 16 | 7 | 9 | 21 | 37 | 21 |
| Club Ladies | 20 | 7 | 13 | 20 | 40 | 20 |
| Dramatic Ladies | 17 | 4 | 14 | 18 | 33 | 18 |
| Tennis Ladies | 18 | 5 | 13 | 18 | 36 | 18 |
| Club Ladies "A" | 18 | 4 | 14 | 18 | 36 | 18 |
J.W.C.D.
## BILLIARDS AND SNOOKER
Well, since the last report there has not been a great deal of improvement in the playing record of either teams in their respective Harrow and District leagues. This is mostly due to the nationalised 'flu, change of personnel, loss of confidence and what have you. The first team are back in their usual position of third from the top and the second are the same number from the bottom in their league.
The first team have at the time of printing played 12 matches, won 5, drawn 3 and lost 4. The position of the league is as follows: (1) L.M.S. Willesden "A," 84 points; (2) L.T. Met. Railway, 73 points; and (3) Brentham 69 points. These points do not include the last game in which the first team won by 9 to 3. It is noticed that Des. Nickels has not kept up his early promise and recently has not played for the Club; perhaps his wanderings on the muddy wings of our football pitch has had something to do with it. It is good to see Bill Dwyer up to his old standard of playing ability and a recent newcomer to the premier team is Cyril Butler who won his two frames in his first match.
The second team have at the time of writing, played 11 matches, won 3 and lost 8. Their position in the League II is as follows: Brentham, 56 points; Smith's (points not available); L.M.S. Willesden, 47 points and last. The team has changed about a great deal, but recently Sam Hammersley and Jack Mitcham have been available which makes up for the loss of L. Burton, who has left the district, and the others whose attendance has not been 100 per cent.
In the individual knockout competition of Harrow and District leagues Ernie Bates is the only player left in from the Club's six entrants and has so far reached the semi-final. Good luck, Ernie. With a mixed team of first and second team players, the Club defeated by 6 frames to 3 a singles and doubles Snooker match against the Stock Exchange team, on February 7th. A very enjoyable evening was had by all involved and the return match has been arranged for 7th March at the "Baynard Castle," in Queen Victoria Street.
As most people who frequent the billiard hall know, the time clocks have been changed, and, so far, no complaints have been lodged about the timing. Most people will agree these "Venners" time switches are giving excellent results and are obviously the best that money can buy.
The handicap competitions, Snooker part "A" and the Billiards have not yet been completed, but there should be some very interesting finals to watch. Fred Hassum beat Bob Moorcroft in the Snooker part "B" by two frames to nil, the number of frames played being agreed upon by the chairman, marker, and the two finalists before the match took place.
G.E.
## BOWLS
At the time of writing these notes the weather—dare we say it—seems to be showing signs of improvement, and the green—again dare we say it—the promise of many a good game to come in the not-too-distant future. The groundsman, who has been putting in some good work by way of forkling and sanding, and has raised that two-yard strip along the river side which has in the past made No. 1 rink a thing to be avoided, expresses himself as confident
that the green will be considerably better this year, and everyone will hope that his confidence turns out to be justified.
Our Annual Dinner and presentation of prizes, which took place on 9th December, was generally voted to be the most successful function yet held by the Club. The guests included Mr. J. Hamilton, O.B.E., Junior Deputy President, Middlesex County B.A., Mr. S. Tyrrell, Senior Vice-President, London and Southern Counties B.A., Mr. G. Adcock, President, Western Wednesday League, and Mr. and Mrs. Ahl. The meal provided was outstandingly good and was enjoyed to the full by the 100 or so present, while excellent entertainment was provided by the Brentham Songsters (Jack Howard and the Clegg Brothers to you!) and Miss Jeanne de la Planque, mezzo-soprano.
The toast of the E.B.A., M.C.B.A., L.S.C.B.A. and kindred Associations was proposed by our genial President, Jack Taylor, who in a characteristically witty speech recalled that the Club first started bowling in 1906 on a discarded tennis court, and was replied to by Mr. Hamilton, who referred to the fact that the Brentham Club was one of those which had defeated the Middlesex Executive in the 1950 season—thus earning one of the coveted Bannerettes—and by Mr. Tyrrell, who in bright and breezy fashion extended to the Club a hearty welcome after its first season in the London and Southern Counties. The Brentham Bowling Club was proposed by Mr. Adcock and replied to by Captain Fred Tilleard, while the toast of the Guests was proposed by Phil Ottoway, who extended a special welcome to the ladies—present for the first time in the history of the Club—and replied to by Mr. Hanson and Miss Pam Tilleard. Prizes were presented by Mrs. J. G. Taylor, wife of the President, as follows: Singles Championship, J. G. Boyce; runner-up, S. W. Ruffey; Singles Two-Woods, T. J. Wilkin; runner-up, H. T. Clark; Singles Handicap, R. H. Turner; runner-up, F. Knight. Pairs, J. W. Dwyer and T. Swindin; runners-up, C. Lawrence and F. H. Tilleard. Triples, J. W. Dwyer, F. Hawkins and C. Hannington.
Club entries for the various County competitions are a record this season and are as follows:
Middlesex Singles (personal entries): L. Goodenough, F. H. Tilleard, A. C. Whippey, F. Knight, J. G. Boyce, S. W. Ruffey, A. C. Tees, S. F. Perry, C. Staples. Middlesex Pairs (personal entries): L. Goodenough and J. E. Bateman, A. C. Whippey and T. J. Wilkin, J. G. Boyce and F. Knight, P. H. Ottoway and S. W. Ruffey, C. Hannington and F. H. Tilleard, J. Howard and A. S. Tees. Middlesex Triples (club nomination): S. W. Ruffey, F. H. Tilleard, F. Knight (skip). Middlesex Rink (club nomination): T. J. Wilkin, A. C. Whippey, C. Hannington, P. H. Ottoway (skip). Middlesex Double Rink (club nomination): To be selected. Middlesex Secretaries Singles: R. H. Bray. London and Southern Counties Singles—Gold Badge (club nomination): J. G. Boyce. London and Southern Counties Rink: To be selected. London and Southern Counties Challenge Shield—4 Rinks (club nomination): To be selected.
We wish them all the very best of luck and hope that they manage to avoid meeting each other in the early rounds. Incidentally, it would greatly assist the writer if all competitors would make a point of letting him know the results of matches played as soon as possible (even if they come an awful cropper!) so as to get our rightful share of publicity in the local paper. If you don’t know who the writer is—ask someone!
In conclusion we extend a very hearty welcome to intending new members, particularly those who have never played before. The game isn’t quite so easy as it may look from the bank, but we have plenty of “old hands” ready and willing to coach the inexperienced.
BACK WOOD.
TABLE TENNIS
With the Table Tennis season now drawing to a close, it is possible to assess the positions of our League teams. In the Premier Division of the West London League, our team has well held its own, and should finish about half-way. In the Acton and District League the position is somewhat less favourable, and our team at the moment is one from the bottom, but a win or two in the last remaining matches might save the possibility of relegation. Our Ladies’ team, who entered the League for the first time, have done very well, and it is pleasing to note the number of new ladies who have joined the section, which speaks well of their chances in the future.
The feature of this season is that our men's team, comprising Geoff. Gamblin, Fred Suttars and Bert Clark, have succeeded in reaching the Final of the "Barneybilt Cup." In the semi-final played on the 3rd March against Chiswick Club, we registered a good 5—4 win, thanks to Bert Clark who was left to win the final game when the score was four games all, and managed to do so. The final is against West Ealing and knowing the capabilities of this club, will be hard pressed to win through.
The Section dance was most successful and a crowd of nearly 120 people spent a pleasant evening dancing to Richard Steeds and his music.
An effort has been made during the season to provide better lighting for the tables, and it is hoped that when funds are available, to have lighting for all the tables.
It is pleasing to see a number of new members, and we hope to see even more, as to run three match teams we must have new blood.
We are sorry to have lost the services of Doug. Dover who has represented the Section on the House Committee, and has acted as our Magazine contributor; we take this opportunity of wishing him all the best in his forthcoming marriage.
GOLF NOTES
Owing to the bad weather there has been practically no play since the last issue and nothing fresh to report about the unfinished competitions. It is important that these competitions should be finished before the start of the next season's competitions and the committee recommend that they should be finished by the 6th May or else be cancelled, otherwise we should have the same trouble over again due to a late start. It was unavoidable last season because of so many new members. We appeal to the competitors concerned to co-operate with us in this matter. Members, please note the date of the Annual General Meeting, Tuesday, 10th April. We want a bumper meeting this year; please keep the date vacant.
W.F.C.
CHESS
Assiduous readers of the London "Evening News" will have noted the distinction achieved by Mr. Harold Allport in the publication recently of a top-grade chess problem devised by him. He is the Section "problem" child, and we feel privileged to share the honour.
There is no other outstanding event to record at the moment. As, however, the winter season will close before the next issue of the Magazine goes to press, we take the opportunity to wish all members good "fun and games" during the summer season, and we look forward to renewed battles over the "boards" at the opening of the next session (first Monday in October), when the Hon. Secretary (Hector Kerswell) will heartily welcome new members.
Guess who. Many of the teaching members of the Section are known also for their prowess at bowls and other outdoor sports, and there is one among them who at chess is a stalwart and can tax any of his opponents.
Meeting night—Mondays at 7.45 p.m. in Small Hall. A. ROOK.
BRENTHAM AND ITS SOCIAL LIFE—PART V
Readers of the Magazine will remember that in the winter number I referred to the obligations imposed on the Club by Ealing Tenants, Ltd., under the old régime that any proposed revisions of the Rules should be submitted to the Annual General Meeting of that company. In particular this applied to the veto on alcoholic drinks.
Accordingly, three of us were deputed to proceed to Bloomsbury Square on the occasion of the current A.G.M. of Ealing Tenants, Ltd., to make our request. We had no idea of the reception we should receive, and having arrived a little early, we found that Earl Grey was taking the chair, and I found myself pushed forward to explain to him the object of our mission. He glanced at his audience, then taking their seats, and seemed to visualise some opposition. He asked that we should say nothing, but to leave it to him.
We sat through the company meeting to the end of "General Business," and nothing having happened, we quite unjustifiably thought that we had been let down; but we had reckoned without the diplomacy of Earl Grey, who, as all his shareholders were engrossed in the usual after-meeting conversation in little groups about the hall, apologised to them for a slight omission, Brentham Club merely wishing to modify one of their Rules for which
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the Club had to make formal application. I don't know that they even heard him, but he said "Agreed," and gave us a nod and wink, and off we went to the nearest phone box to impart the news to the rest of the Committee waiting for it at the Club. By the time we arrived back, many bottles had already been provided and drinks all round in full swing; and we got the cheer that should have been reserved for Earl Grey; and (best part of an hour having elapsed since the news was received at Brentham) what little was left in the bottles!
It may be thought that I have gone to great lengths to describe an apparently trivial incident; but it will be realised that this marked a new era in the constitution of the Club, and it led to an entirely new Agreement with Ealing Tenants, Ltd., with the two clauses quoted in the last instalment deleted, much greater power being reserved to the Club Committee, including the right to appoint its own Chairman, so long as he was a resident on the Estate, that right having hitherto been reserved to Ealing Tenants, Ltd., who appointed one of its directors, the late Mr. John Allport, M.A.
If I may revert to the Club's opening day, I should like to mention that the Duke and Duchess and their party toured the whole of the grounds, and the Estate, and visited 13, Neville Road, the home of the late Jimmy Harris, whose row of war medals and many Orders of the St. John Ambulance Brigade had caught the Duke's eye. A few days after their visit, framed photographs of the Duke and Duchess were received from them.
The modern member of the Club sees no reason for its early title of "Institute," but the activities of those days really justified it. In addition to lectures by some of the best-known people of the day, booked through a well-known London agency, art classes, a choral society conducted by the late Albert Thompson, F.R.C.O., who became Opera Chorus Master for Sir Thomas Beecham, a senior and junior Lending Library, and Woodwork Classes, the latter carried on in the Pitshanger Farm House, and, when, unfortunately, that ancient building was demolished, the classes were continued in the Cricket Pavilion. As I have mentioned, children were particularly provided for. There was even a fully equipped Kindergarten for the younger ones presided over by a qualified mistress.
In addition to the actual originators of Brentham already mentioned, I feel that it is time for me to pay tribute to some of the many members to whom we are all indebted for their practical help and devoted service from the Club's earliest days. I have particularly in mind Mr. John Allport, Mr. F. J. Milner, and Mr. and Mrs. J. E. Ridsdale.
The late Mr. Allport had a difficult task in holding the balance of power between the Club Committee and Ealing Tenants, Ltd., which he carried out admirably. He was a devotee of chess, and introduced the double board to the Club. Mr. Milner's yeoman service and generosity to the Club have extended to the present day, and every Section owes him a debt of gratitude. He was also a member of the Management Committee in the days of long ago when it was known as The Institute Control Committee.
Mr. Ridsdale took over the secretaryship during the 1914-18 war, a very difficult period, when so many of us were elsewhere, and a number of houses on the Estate, even the Cricket Pavilion, were temporary homes for Belgian refugees.
Mrs. Ridsdale has quietly carried on her many good offices for years past, as a member of the old Central Committee, Ladies' Committee, Librarian, etc., and, happily, still able to carry on.
I take the present opportunity of mentioning these names, amongst many others which occur to me, because I do not know whether our Editor considers this somewhat disjointed narrative of any further interest to the modern reader. It was Jack Boyce who urged me to be the chronicler of Brentham's early days, and it may be thought that this is now "as a tale that is told."
J.G.T.
CRICKET SECTION
Members are keenly looking forward to the coming season, and with the thought that we have had a record rainfall during the past months, surely the summer must provide us with the real cricket weather.
Last season's poor results record has (we hope) been forgotten, and renewed enthusiasm and team spirit will reap the rewards of victory. The prospects will be all the more brighter, particularly if all the theories discussed in the bar on "the one that goes that way" or "the one that dips," are put into successful operation.
On Sunday, 17th June, the Club is running a Benefit Match for that stalwart Essex all-rounder, Ray Smith, who will be bringing an Essex County XI to Brentham. The strong, attractive fixture list is much the same, and most of last year's members are expected to be performing.
A feature of the winter programme was the highly successful supper, which the Members supported in strength, and many friends and visitors from opposing clubs were given a fine evening.
We give a welcome again to our supporters to join the ranks of honorary members, and Ernie Rigg, our Treasurer, will be pleased to exchange a fixture card for a subscription.
**OLDE TYME DANCE SECTION**
By the time this Magazine is published, we shall be coming to the end of our winter session. Our last Saturday evening dance being on 14th April.
In spite of the influenza epidemic, and very wet weather throughout the winter, a regular attendance has been kept on Thursday evenings for practice dances, so we could quite well say, it has been a very successful season, and we have all made a number of new friends in the Olde Tyme Dance Section.
We have learnt a number of new dances this winter, due to the efforts of Sandy and Mrs. Tees, who, as soon as another old time dance has been revived, have taught it to us on Thursday evenings, thus bringing "Brentham" up to date.
I should like to, on behalf of the Section, say a big "Thank you" to them both for their good work.
We hope to hold our Annual General Meeting some time in April. Will all who are interested please watch the notice-board for the date, as we should like to see a good attendance there this year.
**TENNIS SECTION**
The summer season will commence on Saturday, 28th April, and we look forward to a little less rain than was experienced during the winter season, which was surely the worst ever.
This year for the first time in the history of the Club it is hoped to run Open as well as Handicap Singles and Doubles. This will mean the addition of three Competitions, the Open Men's Doubles, Open Mixed Doubles, and Open Ladies' Doubles. Our Chairman, Jack Priske, has promised to present a Cup for the Open Men's Doubles and Denis Melhuish one for the Open Mixed Doubles. All that is wanted now is a Cup for the Open Ladies' Doubles—any offers? Entry lists for all these Competitions will be posted on the Club Notice Board early in April.
The following fixtures have so far been arranged up to the end of July:
| Date | Home/Away | Men/Ladies | Opponent |
|--------|-----------|------------|-------------------|
| May | 6 | Home | Men | Hounslow |
| | | Away | Ladies | Hounslow |
| 12 | Home | Men | Wembley & Sudbury (Middx. Cup) |
| 16 | Home | Men | Eastcote |
| | | Away | Ladies | Eastcote |
| 19 | Home | Ladies | Parsons Green (Middx. Cup) |
| 20 | Away | Men | Elmwood |
| 22 | Home | Ladies | Elmwood |
| 26 | Away | Men | West Ealing |
| 30 | Away | Men | Eastcote |
| | | Home | Ladies | Eastcote |
| June | 18 | Home | Men | Parsons Green |
| 26 | Home | Mixed | West Ealing |
| July | 1 | Home | Men | Elmwood |
| 2 | Away | Men | Great Western Rly.|
| 4 | Away | Ladies | Elmwood |
| 9 | Away | Ladies | Great Western Rly.|
| 14 | Away | Mixed | Hounslow |
| 21 | Home | Men | West Ealing |
| | | Away | Ladies | West Ealing |
| 25 | Home | Ladies | Great Western Rly.|
Semi-Final and Final respectively, have also been promoted to the 2nd Division and are in the same half of the Draw as ourselves.
The Ladies meet Parsons Green at home on 19th May in the Middlesex Cup (3rd Division).
Congratulations to Sylvia Mills on her recent engagement to Harry Barr, and every happiness to Joyce McCarthy and Stuart Clegg, who were married on 24th March.
FOOTBALL SECTION
Since the last report on the Football Club, covering the period up to Christmas, the Club have, and are, passing through a lean patch—most particularly the 1st XI.
From an apparent somewhat comfortable position in their League, prior to Christmas, the 1st XI have fallen to the bottom of the table, as is shown below:
| Team | P. | W. | D. | L. | F. | A. | P. |
|-----------------------|----|----|----|----|----|----|----|
| Westminster Bank | 14 | 4 | 2 | 8 | 26 | 37 | 10 |
| Lloyds Bank | 14 | 4 | 2 | 8 | 18 | 29 | 10 |
| Crouch End Vampires | 13 | 4 | 2 | 7 | 19 | 24 | 10 |
| Brensham | 12 | 3 | 2 | 7 | 18 | 27 | 8 |
Year 1951 has so far been ill-fated for the Club, and the 1st XI, apart from making their exit from the A.F.A. Senior Cup—losing 9—2 at Heston, have not won or drawn any of the five League matches played this year. In fact, only two goals have been scored in these five matches. It cannot be denied that the team have yet to inspire themselves to fight their way out of the prolonged poor patch. This is too readily shown by watching the training attendance figures published each week on the notice-board. The Club has had more than its share of setbacks this season. Jack Mitcham’s month away is probably the greatest singular blow to the team, while injuries to John Dale, Ron Fairhead and John Swann have meant too frequent reshuffling of the team. Alan Trueman’s recovery is still far from complete and hopes of his regular return to the 1st XI were soon dashed when he broke down again.
However, the team’s position is far from hopeless but tremendous grit and determination, plus a little luck, must be forthcoming.
The Reserve XI have obviously been unsettled by calls made upon them by the 1st XI, and have lost their last three League games, since January 20th, when they held third place in their League. The Reserves have been very unfortunate this season in never having a regular skipper to lead them on the field. Laurie Gambles took over from Jack Howard, only to have a recurrence of his former tummy trouble, and in addition to this we have sadly missed the services of Frank Turner to whom we all express our deepest sympathy in his recent grievous loss of his baby daughter.
Consequently, the enforced introduction of many 3rd XI players to the Reserves has never been under ideal conditions. David Norman has shown his paces and promises well for the future.
The progress of the 3rd XI is much brighter. They can claim an unbeaten away record up to and including March 3rd. The injury bogey has also taken toll of the 3rd XI and Skipper George Hines will not play again this season. The League position is not known accurately, but the team is holding its own excellently, and may well finish in the top half of the table. Geoffrey Hannington and Brian Shepherd have been amongst our most consistent scorers.
The 4th XI have completed their fixtures, and although they have not always fielded a full eleven they have had some eventful matches. The side has often included many local schoolboys all of whom have shown refreshing keenness. The final record of the matches is: P. 8, W. 2, D. 2, L. 4, F. 29, A. 28.
The Club’s Dance, held in February, proved a winner and the Football Committee wish to thank most particularly all non-section members who supported the function so well.
It is hoped that all Club members will have supported our Draw on the “National,” and who knows—you may have won a prize by now.
A number of evening League matches will be played in April, so members and supporters should watch the notice-board. The final wind-up of the football season is scheduled to take place on Wednesday evening, 25th April.
A six-a-side competition will be run, with all players taking part, and this will be followed by a social evening in the Club House—all members and supporters will be welcomed.
**CRICKET CLUB SUPPER**
This occasion was marked by a splendid gathering of representatives from County and Club fields, including H. M. Garland Wells, ex-Surrey captain; Jim Sims, Ray Smith, of Essex, David Fletcher, of Surrey, and Mr. A. J. Spong, Hounslow President. The fare was ample and most rewarding. As was remarked, "Someone performed a minor miracle." Brilliant speeches were spanned by divertissement from the "In-Swingers Quartet" and the miming Brentham Songsters. As vociferous applause died down, the entertainment was termed—"We've seen far worse turns at the Palladium."
Mr. A. J. Spong said he was an honoured man to toast the Brentham Club, and he had many good friends there. He took the new ball with an ironical survey of pessimism. It seemed that cricket was in a bad way, but English cricket was Club cricket, and if Club cricket disappeared, County cricket would fall.
Jack Fisher, the Club President, informed us that "Brentham" had started 44 years ago. "We are not a venerable club, but we are growing." Brentham had benefited from good skippers and were a happy club, now being "on the map." The last year had not been particularly successful, but clubs should look out in future. He extended an appreciation for those who had served in all voluntary capacities.
H. "Monty" Garland Wells explained his big task in proposing "Cricket." Pre-war England was pre-eminent, but now the position is returning slowly to that level. It was essential to engender enthusiasm in youth, a difficult task because of the apathy of youngsters resenting discipline. "Monty" said that he was filled with disgust at the ignorant, inhibited, mischievous nonsense journalists had dared to write about unrest under Freddy Brown in Australia. We all expected a hiding, but England have done remarkably well. Cricket was the greatest game, played with the greatest implements, by the greatest people. He concluded that he had had great fun in a club of which one should be proud.
Jim Sims replied in his inimitable, humorous vein. He endorsed every word about Freddy Brown. We were suffering from a spell comparable to post-1919, but cricket was quite healthy to-day. He summed up with the words: "If England can win a Test Match in the same spirit as she can lose one, cricket will live for ever."
Frank Ahl proposed "The Guests," and was happy to see so many present. In his survey of guests, he paid tribute to the personalities at table, omitting nobody.
Ray Smith observed that Brentham play the game as it should be played.
Bob Felton thanked Jack Fisher, the President, for his services.
(Abridged) ALAN TRUEMAN.
**BADMINTON**
Since October our teams have not lost a match.
RESULTS TO DATE — Played 19; Won 16; Lost 3.
| Date | Teams | Result |
|------------|------------------------|--------|
| Dec. 4 | Bleakhouse Men (H) | won 5–4|
| | R.A.F.A. Mixed (A) | 5–3 |
| | St. Stephen's Men (H) | 8–1 |
| Jan. 1 | Bleakhouse Mixed (H) | 8–1 |
| | R.A.F.A. Men (A) | 5–4 |
| | Bleakhouse Men (H) | 5–4 |
| | Fairey Aviation Men (A)| 8–1 |
| Feb. 4 | Fairey Aviation Men (H)| 7–2 |
| | St. Peter's Ladies (H) | 8–1 |
| | St. Stephen's Mixed (A)| 7–2 |
| Mar. 5 | Friday Night B.C. Mixed (H) | 9–0 |
Against the R.A.F.A. at Longfield Hall our men's team just managed to win owing to an all-out effort by T. Osang with his partner just about able to stand up, which only shows that stamina counts as well as skill in Badminton.
In the Middlesex County Tournaments T. Osang and A. Rowley reached the semi-final in Class I Handicap doubles and T. Osang also reached the
semi-final in the Singles handicap, but found his Malayan opponent too strong. Several of our players also took part in the Surrey County Tournaments, but found the opposition much stronger owing to the many foreign entrants now over for the All-England Championships.
**THE PARAGON — Presented 25th—27th January**
I can but endorse the press report on the production. The producer and cast were singled out to receive their full dues. The "Players" had some exceptionally good material to work with, and they made the most of it. Space forbids me to discourse in full, but I would pay tribute to an eminently satisfying entertainment. It turned out to be one of the "Players" good things. The cast worked well together and the plot moved smoothly from one issue to another, and the production was full of spirit. All these combined to leave behind an air of approbation.
**THE STROLLER.**
**"MARKET REPORT"**
Wednesday, 7th February, found the "Brokers" in—Fred Eggleton had arrived with his Stock Exchange pals. The evening was a palatable mixture of bonhomie and smooth efficiency. Keen, friendly rivalry in the events was evident all round, and tribute must be paid to George Mansi for his capable organisation. To sum up the results, we beat our guests at Snooker and Darts (our Skipper, losing his personal battle with Fred E., resorted to bulk buying), and we look forward to our visit, on their own ground, on 7th March.
**STOP PRESS—**
Snooker—Stock Exchange Won.
**MARCH 7th RESULTS:—**
Darts—Brentham Won.
(G.M. still buying at gallon rate!)
**BETWEEN OURSELVES**
From British Columbia Norman Tovey sends wishes to Brentham friends, is busy in radio world, has a 40 lb. weight increase, is President of Radio Association, Editor of a magazine, and owns a 90 h.p. Buick.
Jim Baxter, in Ontario, also busy, business apart, is Vice-President of R.A.F. Meteor Club, committee member of Hamilton Cricket Club, one game is 300 miles distant, (folks still mention Des. Parker in connection with his stay at Mount Hope on R.A.F. service.
Congratulations:—Doris Anderson married 10th March. Joan Fowkes, Norman Allsopp, also Stuart Clegg tied the knots on Easter Saturday.
Happy 21st Birthday: Ann Anson and Gordon Eggleton.
Rather dated news: Joy Willett and Bernard Luxford became engaged on New Year's Eve. Doug, Dover becomes engaged on 23rd June; good luck.
Eric Wright and Jack Mitcham met by accident in Rome recently. E.W. was first passenger off plane, J.M. on three weeks' business stay. Bob Dalrymple is not interested in further questioning on his beautiful blonde partner at footer dance.
Talking of blondes, 2nd and 3rd XI footer members fraternized with actress Honor Blackman after West Wickham games, much close harmony including "Trafalgar Square" accompanied by necessary "tonsil varnish."
Clegg family having moved, Stuart married, David in R.A.F., it's farewell to Brentham Bros., of "Pie" fame. I hear David gets himself engaged at Easter.
Get your diaries lined up, new show dated for 28th and 29th April, carry on Tim Coleman.
Off the cuff: Jean Mansi getting married soon, also George, junior, and Ron.
Chris. Ottoway moving to Rugby on business, in August, another wedding here is my guess.
Glad to report continued progress of: Brenda Fowkes, Mrs. Fletcher, Bert Sanson, Ron. Mansi and Maurice West.
Congratulations, Betty and Jack Howard—happy event expected August. We hear Frank Tattersfield is now grandfather, daughter Jean, made this possible.
Regret to record death of "Dick" Maynard and Mr. Wilson, both old Club members, the latter collapsed on his way to Club, "Dick" had been ill for some months.
Our sympathy to Frank Turner in recent sad loss of his younger daughter and his mother who died after a long illness.
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ADVANCED UROLOGY FELLOWSHIP CATALOG
The publishing rights of this book belong to ADN CoE Education Consultancy and Organization Limited Company. Partially or fully copying by any means, photocopying, transcription, printing, or any other reproduction without written permission and proper citation is strictly prohibited.
Copyright © 2023
1. Edition, December, 2023
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WARNING
Medical information is constantly evolving and being updated. Standard safety practices should be observed, and it should be acknowledged that changes in treatments and drug applications may be necessary in light of new research and clinical experiences. Readers are advised to verify the latest product information, dosage, administration methods, and contraindications provided by the drug's manufacturer regarding medications. Determining the best treatment and the correct drugs and dosages for each patient is the responsibility of the attending physician. The publisher and editors are not responsible for any harm or damage to patients or equipment that may arise from the use of this publication.
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| Contents | Page |
|-----------------------------------------------|------|
| Revolutionizing Continuous Medical Education | 4 |
| Our Mission | 5 |
| Our Vision | 6 |
| Advanced Urology Fellowship | 7,8,9|
| How To Apply | 10 |
| General Information | 11 |
Welcome to ADN CoE®, where we believe in creating superior processes to achieve exceptional results. With over 15 years of experience in Continuous Medical Education (CME), we take pride in delivering unparalleled convenience and value to our esteemed partners.
At ADN CoE®, we understand the significance of fostering a strong connection between medical professionals and the latest advancements in their respective fields. Our mission is to facilitate a platform where physicians with exemplary practices and expertise can come together to share knowledge and best practices.
Our journey began with a deep-rooted motivation to address the needs of healthcare professionals like yourself, who exhibit unwavering dedication to your patients and a strong commitment to your craft. We acknowledge that continuous medical education is not just an obligation but an integral part of your growth and success as a healthcare provider.
As experts in the field of CME, we pledge to offer you a seamless and enriching experience, curating specialized events, and learning opportunities that align with your professional interests and goals. By collaborating with ADN CoE®, you gain access to a network of exceptional physicians, cutting-edge resources, and transformative insights that can shape the future of medical practice.
We are excited to embark on this journey with you, fostering a community of like-minded healthcare professionals who aspire to make a meaningful impact on patient care through continuous learning and growth. Together, let us elevate the standards of medical education and reinforce our commitment to enhancing patient outcomes.
Thank you for choosing ADN CoE® as your preferred partner in continuous medical education. We look forward to empowering your journey toward excellence.
We are dedicated to the pursuit of excellence in the dynamic healthcare landscape. We recognize the importance of continuously enhancing value and elevating quality standards. With this in mind, our mission is to foster global collaboration among esteemed medical practitioners and organizations, facilitating the exchange of knowledge. Through this exchange, we aim to uplift the standards of care and enhance the well-being of communities worldwide. Furthermore, we strive to optimize operational performance and deliver superior value to patients.
At ADN CoE, we envision a world where our comprehensive trainings and mentorship programs empower clinicians to provide optimal healthcare for all. As we train the next generation of healthcare professionals, our ultimate vision is to create an environment where their expertise supports the delivery of exceptional patient care. We are committed to providing and advancing high-quality learning opportunities for healthcare professionals who are catalysts for continuous improvements in patient care.
Duration of Program: 3-6-9-12 Months
1) Why Choose Our Advanced Urology Fellowship Program:
We are delighted to offer the Advanced Urology Fellowship Program. Our program provides a comprehensive and advanced training experience in robotic-assisted urological surgery and laparoscopic urological surgery. Here's why our fellowship program stands out:
- **Expert Faculty**: Our program is led by a team of highly skilled and experienced urologists who specialize in robotic and laparoscopic surgery. They are recognized leaders in the field and have extensive experience in performing robotic-assisted and laparoscopy procedures. They are committed to providing exceptional education and mentorship to fellows.
- **Comprehensive Curriculum**: Our fellowship program features a robust curriculum that covers all aspects of robotic surgery and advanced laparoscopy in urology. You will receive comprehensive training in robotic-assisted procedures for various urological conditions, including prostate cancer, kidney cancer, bladder cancer, partial nephrectomy, robotic-assisted cystectomy, robotic kidney transplantation, ThuLEP laser, hyperplasia of prostat and reconstructive urology. You also will receive URS, transurethral resection, percutaneous lithotripsy, advanced laparoscopy, radical cystectomy, radical nephrectomy, laparoscopic nephrectomy, laparoscopic partial nephrectomy. The curriculum is designed to provide a solid foundation and prepare you for a successful career in robotic surgery.
- **Clinical Experience**: We offer comprehensive clinical experience to ensure you gain proficiency in performing robotic-assisted and laparoscopic procedures. You will have the opportunity to engage in a variety of clinical settings, including robotic surgery theaters, outpatient clinics, and multidisciplinary conferences. This exposure will aid in the development of surgical skills, decision-making abilities, and treatment strategies crucial for delivering optimal care to urological patients.
- Robotic Surgery Simulation Training
- Robotic Surgery Demo Hands-on Chicken, etc.
- Patient and Console Training
- Robotic, Laparoscopic and BPH Surgeries
- **State-of-the-Art Facilities**: Our program is affiliated with leading medical centers equipped with state-of-the-art robotic surgical systems and advanced urology technology. You will have access to cutting-edge robotic platforms, advanced imaging systems, specialized urology instruments, and dedicated robotic surgery and advanced laparoscopic theaters. These resources will enhance your learning experience and allow you to master robotic surgical and advanced laparoscopic techniques.
- **Research Opportunities**: We believe in the importance of research and innovation in advancing the field of robotic surgery and laparoscopy in urology. As a fellow, you will have the opportunity to engage in research projects, clinical trials, and scholarly activities under the guidance of our experienced faculty. Our program provides support and resources to facilitate your research endeavors and encourages you to contribute to advancements in robotic surgery.
- **Interdisciplinary Collaboration**: Robotic surgery and laparoscopy in urology often involves collaboration with other healthcare professionals, including radiologists, anesthesiologists, and pathologists. Our fellowship program promotes interdisciplinary collaboration, providing opportunities to work alongside professionals from different disciplines. This interprofessional approach enhances your understanding of comprehensive patient care and fosters effective teamwork.
2) Program Overview:
The Urology Fellowship Program is designed to provide a comprehensive and well-rounded training experience in robotic-assisted and laparoscopic urological surgery. The program covers a wide range of topics within the field, including but not limited to:
- Robotic Prostatectomy for Prostate Cancer
- Robotic Partial Nephrectomy for Kidney Cancer
- Robotic Cystectomy for Bladder Cancer
- Robotic Reconstructive Urology Procedures
- Advanced Techniques in Robotic Urology Surgery
- Robotic Surgical Management of Urologic Complications
- Robotic Kidney Transplantation
- Advanced Laparoscopic Techniques
- ThuLEP, HOLEP, REZUM, HIFU
- URS
- Transurethral Resection
- Percutaneous Lithotripsy
- Radical Cystectomy
- Radical Nephrectomy
- Laparoscopic Nephrectomy
- Laparoscopic Partial Nephrectomy
- ESWT
- PRP
- Percutaneous Nephrolithotomy
- MR Fusion Biopsy
- Micro Ultrason Fusion Biopsy
- Benign Prostatic Hyperplasia
3) Structure of the Fellowship Program:
Our fellowship program follows a structured curriculum that combines clinical rotations, didactic sessions, case conferences, journal clubs, research opportunities, and mentorship. The program is designed to progressively enhance your surgical skills, knowledge, and critical thinking abilities in robotic-assisted urological surgery.
4) Objectives of the Fellowship Program:
The objectives of our Urology Fellowship Program include:
- Mastery of robotic surgical techniques for urological conditions, including prostate cancer, kidney cancer, bladder cancer, and reconstructive urology.
- Proficiency in preoperative planning, patient selection, and surgical decision-making for robotic-assisted procedures.
- Comprehensive understanding of the principles and technical aspects of robotic surgery in urology.
- Development of skills in perioperative management and postoperative care of urological patients undergoing robotic surgery.
- Exposure to research methodologies and the ability to contribute to advancements in robotic surgery in urology.
- Development of skills in laparoscopic surgery.
- Development of skills robotic assisted kidney transplantation.
- ThuLEP Laser.
5) Facilities:
As a fellow in our Advanced Urology Fellowship Program, you will have access to exceptional facilities, including:
- State-of-the-art robotic surgical systems with advanced imaging and instrument capabilities.
- Dedicated robotic surgery theaters equipped with specialized robotic consoles and instrumentation.
- Advanced imaging modalities for preoperative planning and intraoperative guidance.
- Collaborative research centers with resources for conducting robotic surgery-related research projects.
"Additionally, if you prefer, you can select Italy, the USA, or Turkey as your facility of choice."
6) Prerequisite Training/Selection Criteria:
To be eligible for our Advanced Urology Fellowship Program, candidates must meet the following prerequisites and selection criteria:
- Completion of an accredited residency program in urology.
- Board certification or eligibility in urology.
- Demonstrated interest and experience in robotic surgery.
- Strong surgical skills and clinical judgment in urology.
- Positive letters of recommendation from faculty members familiar with the candidate's clinical and surgical abilities.
7) How to Apply:
Interested candidates should submit the following completed documents to the program director:
- **Letter of Interest**: A personal statement outlining your motivations, career aspirations, and reasons for pursuing a Advanced Urology Fellowship at our institution.
- **Letters of Recommendation**: Three or more letters of recommendation from faculty members or professionals familiar with your clinical and procedural abilities.
- **Current CV**: An updated curriculum vitae detailing your education, training, clinical experience, research activities, and publications, if applicable.
- **University Diploma**: A copy of your university diploma as proof of your higher education degree.
- **3x5 Photo (.jpg format)**: A recent photograph of yourself in 3x5 size and jpg format.
- **High School Diploma**: A copy of your high school diploma as proof of your educational background.
- **Financial Statement**: A financial statement indicating your financial capacity for the fellowship period, preferably the latest 6 months of account statements.
- **Exchange Suitability Certificate**: A certificate from your university indicating your suitability for participating in an exchange program, if applicable.
- **Passport Documents**: Copies of your passport pages. Please ensure that your passport is valid for the duration of the fellowship period.
All application documents, including the supplementary materials, should be submitted professionally and adhere to the specified format guidelines.
8) Clinical Experience:
Throughout the fellowship program, fellows will gain extensive clinical experience in robotic-assisted urological surgery. This includes participation in robotic surgery theaters, outpatient clinics, and multidisciplinary conferences. Fellows will develop surgical skills, decision-making abilities, and proficiency in managing urological conditions using robotic techniques.
9) Certification:
Upon successful completion of the Advanced Urology Fellowship Program, fellows will receive a certificate of completion, recognizing their advanced training and competency in robotic-assisted urological surgery.
We look forward to receiving your application and considering you for our prestigious Advanced Urology Fellowship Program. Should you have any further questions, please feel free to reach out to our program director or the fellowship coordinator.
FELLOWSHIP APPLICATION PROCESS
Application Deadline: Applications must be submitted at least 2 months before the fellowship program's start date.
Efficient Review: Our team ensures a prompt review of all received applications, expediting the selection process.
Invitation-Only Interviews: Shortlisted candidates will receive invitations to participate in virtual interviews conducted over Zoom.
Program Commencement: The fellowship program commences on the first day of the designated month.
Flexible Fellowship Durations: We offer fellowship durations ranging from 6 to 9 months, as well as one- and two-year options.
GENERAL INFORMATION
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VAT Number: 0081750793 Sultanbeyli V.D. |
Ionic mechanisms of ST segment elevation in electrocardiogram during acute myocardial infarction
Jun-ichi Okada\textsuperscript{1,2}*, Katsuhiko Fujii\textsuperscript{3,4}, Kazunori Yoneda\textsuperscript{5}, Takashi Iwamura\textsuperscript{5}, Takumi Washio\textsuperscript{1,2}, Issei Komuro\textsuperscript{3}, Toshiaki Hisada\textsuperscript{1} and Seiryo Sugiura\textsuperscript{1}
Abstract
ST elevation on an electrocardiogram is a hallmark of acute transmural ischemia. However, the underlying mechanism remains unclear. We hypothesized that high ischemic sensitivities of epicardial adenosine triphosphate-sensitive potassium (IK\textsubscript{ATP}) and sodium (INa) currents play key roles in the genesis of ST elevation. Using a multi-scale heart simulation under moderately ischemic conditions, transmural heterogeneities of IK\textsubscript{ATP} and INa created a transmural gradient, opposite to that observed in subendocardial heart injury, leading to ST elevation. These heterogeneities also contributed to the genesis of hyper-acute T waves under mildly ischemic conditions. By contrast, under severely ischemic conditions, although action potentials were suppressed transmurally, the potential gradient at the boundary between the ischemic and normal regions caused ST elevation without a contribution from transmural heterogeneity. Thus, transmural heterogeneities of ion channel properties may contribute to the genesis of ST–T changes during mild or moderate transmural ischemia, while ST elevation may be induced without the contribution of heterogeneity under severe ischemic conditions.
Keywords: Myocardial infarction, ST elevation, Simulation, Solid angle
Background
Despite its long history, the electrocardiogram (ECG) remains an indispensable tool for diagnosis of heart diseases such as arrhythmias and myocardial ischemia. In particular, elevation of the ST segment is a hallmark of acute myocardial infarction, and helps to identify patients in a critical condition. Acidosis, anoxia, and elevated extracellular potassium concentration (hyperkalemia) induced by ischemia can cause an elevation in the resting potential, with shortening of the action potential duration and decreased amplitude.
In cases of angina pectoris, in which ischemia usually occurs in the subendocardial region of the ventricular wall, the developed potential gradient generates the current of injury flowing to the normal epicardial area during diastole, resulting in a positive potential of the TQ-segment of the ECG. During systole, depolarization of both the ischemic and normal myocardium cancels the potential gradient between these areas, causing the potential of the ST segment to become zero. However, because of conventions in ECG recording, which sets the TQ-segment at zero, the ST segment is regarded as negative [12, 24]. Accordingly, ST segment elevation during acute myocardial infarction requires the injury current to flow in the opposite direction [12, 13, 24], which can be caused by greater depression of the epicardial action potential. However, despite their favorable anatomical location for coronary perfusion, the severe effects on epicardial cells suggest that they should exhibit properties...
sensitive to ischemia. Indeed, distinct properties of sodium and adenosine triphosphate (ATP)-sensitive potassium channels have been reported in epicardial cells [4, 8], although the contributions of these channels to the genesis of ST elevation are difficult to evaluate in vivo.
Computer simulation is a useful tool for basic and clinical studies of cardiac electrophysiology [16, 33]. In particular, multi-scale simulation models provide a unique opportunity to examine the relationship between microscopic findings and clinical observations. We previously developed a multi-scale model of the human heart and torso, which can reproduce the surface ECG based on the ionic currents of cell models of electrophysiology [19–23, 32]. In the present study, we applied this heart model to examine the ionic mechanism of ST elevation during acute myocardial infarction. In particular, we examined the nature of the injury current, including the possible involvement of transmural heterogeneity of sodium and ATP-sensitive potassium channels. We tested multiple scenarios to find that although heterogeneity in the properties of these channels plays a role during mild ischemia, ST elevation during severe ischemia can occur without its involvement.
**Methods**
**Simulation model of human ventricles and torso**
We used the finite element method models of healthy adult human ventricles and torso that we previously reported and validated [20, 22, 23]. Briefly, the geometries of these models were based on the multidetector computerized tomography data of a healthy volunteer, and were subdivided into 244,187,136 and 40,038,400 voxels for the heart and torso, respectively (Fig. 1a). We applied the cell model of cardiomyocytes with different electrophysiological properties (endocardial,
**Fig. 1** Heart and torso meshes. **a** Left: heart meshes with the conduction system in the right anterior oblique (RAO) and left anterior oblique (LAO) views. Right: torso mesh. **b** Effects of hyperkalemia, acidosis, and adenosine triphosphate (ATP) depletion on sodium ($I_{Na}$), L-type calcium ($I_{Ca,L}$), rapid delayed rectifier potassium ($I_{Kr}$), slow delayed rectifier potassium ($I_{Ks}$), inward rectifier potassium ($I_{K1}$), ATP-sensitive potassium ($I_{K_{ATP}}$), and sodium/potassium ATPase ($I_{Na,K}$) currents, and the reversal potential for potassium currents ($E_K$). Upward arrow: facilitatory effect. Downward arrow: inhibitory effect. **c** Front (left), top (middle), and short axis (right) views of the heart model. The ischemic condition was applied to the pale-colored region perfused by the anterior descending artery.
mid-myocardial [M], and epicardial) \[17\] to the appropriate finite element method nodes of the ventricular wall, with some modifications. As previously reported \[23, 26\], the equations for the activation gate (m) of the sodium channel were replaced by those of ten Tuscher’s model \[29\] to reproduce the physiological conduction velocity. Endocardial, M, and epicardial cells were distributed at 0–25%, 25–70%, and 70–100% of the wall thickness from the endocardial side \[22, 23\].
We mapped previously reported human data on the spatial orientation of the myocyte (fiber orientation) to our model using the rule-based method \[9\]. We also modeled the conduction system using a one-dimensional network consisting of the free-running (insulated) part connecting the atrioventricular node to the sites of earliest activation, and the network spreading from these sites along the endocardial surface. The electrophysiological properties were reproduced using the cell model proposed by Stewart et al. \[28\]. The propagation of excitation was formulated with the bidomain model, and was solved using the parallel multilevel technique, which we previously developed and validated \[31\]. Briefly, in the heart domain
\[ \beta \left( C_m \frac{\partial V_m}{\partial t} + I_{\text{ion}} \right) = I_{\text{stim}} + \frac{\partial}{\partial x_i} \left( G^i_j \frac{\partial \vartheta^i}{\partial x_j} \right), \]
\[ \beta \left( C_m \frac{\partial V_m}{\partial t} + I_{\text{ion}} \right) = I_{\text{stim}} - \frac{\partial}{\partial x_i} \left( C^E_j \frac{\partial \vartheta^E}{\partial x_j} \right), \]
where \( \vartheta^i \) and \( \vartheta^E \) are the intracellular and extracellular potentials, respectively. \( V_m \) is the membrane potential defined as \( V_m = \vartheta^i - \vartheta^E \). \( \beta \) is the surface-to-volume ratio of the tissue (2000 cm\(^{-1}\)), \( C_m \) is the membrane capacitance (=1 \( \mu \)F/cm\(^2\)), \( t \) is time, \( C^E_j \) and \( G^i_j \) are the extracellular and intracellular conductivity tensors, respectively, accounting for the anisotropy of the cardiac tissue, \( I_{\text{stim}} \) is the stimulation current, \( I_{\text{ion}} \) is the sum of the ionic transmembrane currents calculated using the cell model, and the indices \( i \) and \( j \) vary from 1 to 3. In the torso domain, we solved the following Laplace’s equation:
\[ \frac{\partial}{\partial x_i} \left( G^i_j \frac{\partial \vartheta^T}{\partial x_j} \right) = 0, \]
where \( \vartheta^T \) is the potential, while \( G^i_j \) is the isotropic conductivity at each point and differs in each organ. The following conditions were imposed on the boundaries between the domains:
\[ n_i \left( G^i_j \frac{\partial \vartheta^T}{\partial x_j} \right) = 0 \]
on the boundary of the torso domain, and
\[ n_i \left( G^i_j \frac{\partial \vartheta^E}{\partial x_j} \right) = n_i \left( G^i_j \frac{\partial \vartheta^T}{\partial x_j} \right) \quad \text{and} \quad \vartheta^E = \vartheta^T \]
on the boundary of the heart domain. The reference point for the extracellular potential was placed at the bottom right of the torso model. The parameter values used are listed in Table 1.
**Channel models sensitive to ischemic conditions**
Anoxia caused by ischemia induces a variety of metabolic changes including acidosis, ATP depletion, and hyperkalemia. The influences of these changes on ionic currents were modeled as follows (Fig. 1b).
**Hyperkalemia**
The following formulations on the effects of hyperkalemia in the O’Hara Rudy (ORd) model \[17\] were adopted.
**Reversal potentials** Reversal potentials for the rapid delayed rectifier potassium (\( I_{K_r} \)) and inward rectifier potassium (\( I_{K_1} \)) currents:
\[ E_K = \frac{RT}{F} \ln \left( \frac{[K^+]_o}{[K^+]_i} \right) \]
Reversal potential for the slow delayed rectifier potassium (\( I_{K_s} \)):
| Organ | Conductivity (mS/cm) |
|--------------------------------------------|----------------------|
| Heart (intracellular) | |
| Fiber direction | 6.2 |
| Fiber normal direction | 2 |
| Heart (extracellular) | |
| Fiber direction | 4 |
| Fiber normal direction | 2 |
| Blood | 7.8 |
| Atrium, artery, vein | 3 |
| Muscle | 2.56 |
| Lung | 0.83 |
| Esophagus, stomach, bowel | 2 |
| Spleen, liver, kidney | 1.67 |
| Bone | 0.1 |
| Fat | 0.5 |
| Skin, body surface | 40 |
\[ E_{\text{KS}} = \frac{RT}{F} \ln \left( \frac{\left[ \frac{K^+}{K_{\text{Na}}^+} \right]_o + \text{PR}_{\text{Na,K}} \cdot \left[ \frac{Na^+}{Na^+} \right]_o}{\left[ \frac{K^+}{K_{\text{Na}}^+} \right]_i + \text{PR}_{\text{Na,K}} \cdot \left[ \frac{Na^+}{Na^+} \right]_i} \right), \]
\[ \text{PR}_{\text{Na,K}} = 0.01833. \]
Body temperature (T) was assumed to be 310 K.
Conductance of the rapid delayed rectifier potassium current (\( I_{\text{Kr}} \)):
\[ G_{\text{Kr}} = 0.046 \cdot \sqrt{\frac{\left[ K^+ \right]_o}{5.4}} \, [\text{mS}/\mu F]. \]
Conductance of the inward rectifier potassium current (\( I_{\text{Ki}} \)):
\[ G_{\text{Ki}} = 0.1908 \cdot \sqrt{\left[ K^+ \right]_o} \, [\text{mS}/\mu F]. \]
**ATP depletion**
*Sodium/potassium ATPase current (\( I_{\text{NaK}} \))*
The \( I_{\text{NaK}} \) current in the ORd model is dependent on [MgATP], \([H^+]\), \([Na^+]\), and \([K^+]\). Although it was previously reported that intracellular acidosis inhibits \( I_{\text{NaK}} \) [30], \([H^+]\) is not explicitly defined as intracellular in the ORd model. In the present study, we assumed that \([H^+]\) was in a quasi-equilibrium between the intracellular and extracellular spaces. Thus, we used the same values for the intracellular and extracellular spaces.
\[ K_{\text{Nai}} = 9.073 \cdot \exp \left( \frac{-0.1550 \cdot V \cdot F}{3 \cdot R \cdot T} \right), \]
\[ K_{\text{Nao}} = 22.78 \cdot \exp \left( \frac{1.1550 \cdot V \cdot F}{3 \cdot R \cdot T} \right) \]
\[ [P] = [\Sigma P] \bigg/ \left( 1 + \frac{[H^+]}{1.687 \cdot 10^{-7}} + \frac{[Na^+]}{224} + \frac{[K^+]}{292} \right), \]
\[ \alpha_1 = \frac{949.5 \left( \frac{[Na^+]}{K_{\text{Nai}}} \right)^3}{\left( 1 + \frac{[Na^+]}{K_{\text{Nai}}} \right)^3 + \left( 1 + \frac{[K^+]}{0.5} \right)^2 - 1}, \]
\[ \beta_1 = 182.4 \cdot [\text{MgADP}], \]
\[ \alpha_2 = 687.2, \]
\[ \beta_2 = \frac{39.4 \left( \frac{[Na^+]}{K_{\text{Nao}}} \right)^3}{\left( 1 + \frac{[Na^+]}{K_{\text{Nao}}} \right)^3 + \left( 1 + \frac{[K^+]}{0.3582} \right)^2 - 1}, \]
\[ \alpha_3 = \frac{1899 \left( \frac{[K^+]}{K_{\text{No}}} \right)^2}{\left( 1 + \frac{[Na^+]}{K_{\text{Nao}}} \right)^3 + \left( 1 + \frac{[K^+]}{0.3582} \right)^2 - 1}, \]
\[ \beta_3 = \frac{79300 \cdot [P] \cdot [H^+]}{1 + \frac{[\text{MgATP}]}{1.698 \cdot 10^{-7}}}, \]
\[ \alpha_4 = \frac{639 \cdot [\text{MgATP}]}{1 + \frac{[\text{MgATP}]}{1.698 \cdot 10^{-7}}}, \]
\[ \beta_4 = \frac{40 \left( \frac{[K^+]}{0.5} \right)^2}{\left( 1 + \frac{[Na^+]}{K_{\text{Nai}}} \right)^3 + \left( 1 + \frac{[K^+]}{0.5} \right)^2 - 1}, \]
\[ x_1 = \alpha_4 \cdot \alpha_1 \cdot \alpha_2 + \beta_2 \cdot \beta_4 \cdot \beta_3 + \alpha_2 \cdot \beta_4 \cdot \beta_3 + \beta_3 \cdot \alpha_1 \cdot \alpha_2, \]
\[ x_2 = \beta_2 \cdot \beta_1 \cdot \beta_4 + \alpha_1 \cdot \alpha_2 \cdot \alpha_3 + \alpha_3 \cdot \beta_1 \cdot \beta_4 + \alpha_2 \cdot \alpha_3 \cdot \beta_4, \]
\[ x_3 = \alpha_2 \cdot \alpha_3 \cdot \alpha_4 + \beta_3 \cdot \beta_2 \cdot \beta_1 + \beta_2 \cdot \beta_1 \cdot \alpha_4 + \alpha_3 \cdot \alpha_4 \cdot \beta_1, \]
\[ x_4 = \beta_4 \cdot \beta_3 \cdot \beta_2 + \alpha_3 \cdot \alpha_4 \cdot \alpha_1 + \beta_2 \cdot \alpha_4 \cdot \alpha_1 + \beta_3 \cdot \beta_2 \cdot \alpha_1, \]
\[ E_1 = \frac{x_1}{x_1 + x_2 + x_3 + x_4}, \]
\[ E_2 = \frac{x_2}{x_1 + x_2 + x_3 + x_4}, \]
\[ E_3 = \frac{x_3}{x_1 + x_2 + x_3 + x_4}, \]
\[ E_4 = \frac{x_4}{x_1 + x_2 + x_3 + x_4}, \]
\[ I_{\text{NaK}} = 30 \cdot (3 \cdot (E_1 \cdot \alpha_3 - E_2 \cdot \beta_3) + 2 \cdot (E_4 \cdot \beta_1 - E_3 \cdot \alpha_1)). \]
**ATP-sensitive potassium current (\( I_{\text{KATP}} \))**
Because the \( I_{\text{KATP}} \) current is not implemented in the ORd model, we adopted the model by Shaw et al. [27], with modifications based on the experimental study on human ventricular cells [1]:
\[ I_{\text{KATP}} = G_{\text{K(ATP)}} \frac{1}{1 + \left( \frac{[\text{ATP}]}{K_{\text{d,ATP}}} \right)^1} \left( \frac{[K]_o}{5.4} \right)^{0.024} (V_m - E_K), \]
where \( K_{\text{d,ATP}} = 0.02 \) mM. For \( G_{\text{K(ATP)}} \), we adopted the value for the guinea pig ventricular myocyte (0.05 mS/
cm$^2$) [15], because only the single channel conductance was reported by Babenko et al. [1].
**L-type calcium current ($I_{\text{Ca,L}}$)** ATP-dependence of the $I_{\text{Ca,L}}$ was modeled by Shaw et al. for the guinea pig myocyte [27], as follows:
$$P_{\text{Ca,L,ATP}} = \frac{1}{1 + \left( \frac{1.4}{[\text{ATP}]} \right)^{2.6}}.$$
We multiplied $P_{\text{Ca,L,ATP}}$ to ICa,L calculated by the ORd model [17].
**Acidosis**
$I_{\text{Na}}$ Jones et al. [11] examined the pH-dependence of the properties of the human cardiac sodium channel (Na$_{\text{v}}$1.5) heterogeneously expressed in Xenopus oocytes, and proposed the following modifications at pH 6.0 to the ventricular cell model by ten Tusscher et al. [29]:
(i) Steady-state activation was scaled by 0.62.
(ii) Steady-state fast inactivation:
$$h_\infty = \frac{1}{[1 + \exp(A \cdot (V - V_{1/2}))]}.$$
A = 0.178, $V_{1/2} = -77.16$ at pH 7.4.
A = 0.167, $V_{1/2} = -73.23$ at pH 6.0.
(iii) Steady-state slow inactivation:
$$h_\infty = \frac{1}{[1 + \exp(A \cdot (V - V_{1/2}))]}.$$
A = 0.136, $V_{1/2} = -82.66$ at pH 7.4.
A = 0.117, $V_{1/2} = -83.09$ at pH 6.0. $h_\infty = 1.02 \cdot h_\infty$ at pH 6.0.
**Maximal conductance of the late sodium current** Maximum conductance of the late sodium current was scaled transmurally by 1.51 at pH 6.0. We made these modifications to $h_\infty$ and the maximal conductance of the late sodium current of the ORd model.
**Transmural heterogeneity in response to ischemia** We found two reports supporting the susceptibility of epicardial cells to ischemia compared with endocardial cells.
(i) ATP-sensitive potassium current (IK$_{\text{ATP}}$): Furukawa et al. compared the response of the IK$_{\text{ATP}}$ channel to ATP depletion between endocardial and epicardial cells isolated from feline ventricles, and found that the ATP concentration at half-maximal inhibition of the channel was 23.6 $\mu$M for endocardial cells and 97.6 $\mu$M for epicardial cells [8]. To incorporate this transmural heterogeneity, we modified the equation for IK$_{\text{ATP}}$ as follows:
$$\text{IK}_{\text{ATP}} = G_{\text{K(ATP)}} \frac{1}{1 + \left( \frac{[\text{ATP}]}{k_{\text{dK(ATP)}}} \right)^1 \left( \frac{[K]_o}{5.4} \right)^{0.024}} (V_m - E_K),$$
where $k_{\text{dK(ATP)}} = 0.02$ mM for endocardial cells and 0.1 mM for epicardial cells,
(ii) Sodium channel current ($I_{\text{Na}}$): Cordeiro et al. measured the steady-state inactivation of the $I_{\text{Na}}$ current using the whole cell clamp technique in epicardial and endocardial cells isolated from the canine ventricle [4]. In that study, the 8.1-mV greater negative half-activation voltage of epicardial cells compared with endocardial cells was found to contribute to the higher sensitivity of the epicardial cells to changes in ischemia. We shifted the half-activation voltage of epicardial cells to model this heterogeneity.
**Simulation of ischemia**
We modeled a case in which the proximal portion of the left anterior descending artery, just after the bifurcation of the left circumflex artery, was blocked (Fig. 1c). We studied the three types of ischemia in this region:
(i) To examine the mechanisms underlying transmural ischemia, acute subendocardial ischemia was simulated for comparison. In this case, only the endocardial region (0–50% of the wall thickness) was subject to ischemia ([ATP] = 1.0 mM, $[K]_o = 9.0$ mM). Considering the ischemia-resistant nature of the Purkinje network [2], the electrophysiological properties of the Purkinje system were not modified.
(ii) For acute transmural ischemia, the ischemic condition was applied transmurally to the anteroseptal region indicated in Fig. 1c. Because the detailed time course of metabolic changes in the clinical settings was unavailable, we repeated the simulations with multiple combinations of ATP concentrations ([ATP]; range, 10–0.1 mM) and extracellular potassium concentrations ([K]$_o$; range, 5.4–12 mM). Because of the lack of experimental data, the pH was only set at 6.0. Furthermore, in this case the Purkinje system was made intact.
(iii) For transmural ischemia in the chronic phase, we simulated the old myocardial infarction by eliminating the cellular function in the ischemic region. For each of the normal and ischemic conditions, we repeated 1000 cycles of simulations for the three types of cell models at different [ATP], [K$^+$], and pH as the initial condition. The concentrations of the major ions, [ATP], and pH after 1000 cycles of stimulation of epicardial, M, and endocardial cells under normal conditions are summarized in Table 2. Using the final results of the cell simulations as the initial condition, we then performed
Table 2 Cell parameters under normal conditions
| Cell type and parameter | Value |
|-------------------------|---------------|
| Epi cell | |
| [Na]; intracellular sodium ion concentration [mM] | 7.83 |
| [Ca]; intracellular calcium ion concentration [nM] | 8.64D-5 |
| [K]; intracellular potassium ion concentration [mM] | 140 |
| M cell | |
| [Na]; intracellular sodium ion concentration [mM] | 8.88 |
| [Ca]; intracellular calcium ion concentration [mM] | 1.05D-4 |
| [K]; intracellular potassium ion concentration [mM] | 139 |
| Endo cell | |
| [Na]; intracellular sodium ion concentration [mM] | 7.06 |
| [Ca]; intracellular calcium ion concentration [mM] | 8.58D-5 |
| [K]; intracellular potassium ion concentration [mM] | 141 |
| [Na]$_o$; extracellular sodium ion concentration [mM] | 140 |
| [Ca]$_o$; extracellular calcium ion concentration [mM] | 2 |
| [K]$_o$; extracellular potassium ion concentration [mM] | 5.4 |
| [ATP]; ATP concentration [mM] | 9.8 |
| pH | 7.4 |
ATP, adenosine triphosphate
the heart simulation for five beats. In all simulations, the ECG waveforms from the fourth and fifth beats were superimposable, indicating that the system was in a quasi-steady state. In all simulations, the heart was paced at 1 Hz by applying a stimulus to the root of the His–Purkinje system.
Computation
Computation was performed using an HP Blade System c7000 (Intel Xeon E5-2670 [2.6 GHz]), and the computational time was 3 h for a single beat with 254 cores. All program codes were written in-house and validated in our previous studies [19, 20, 22, 23].
Results
ECG under normal conditions and subendocardial ischemia
The electrophysiology of the heart under normal conditions and subendocardial ischemia were compared (Fig. 2). Under normal conditions, the action potential duration differed between the endocardial, M, and epicardial cells because of the differences in potassium (IKr and IKs) and calcium (ICaL) currents. The ATP-sensitive potassium current was completely inhibited transmurally (Fig. 2a). Ventricular activation is shown by the time-lapse images (Fig. 2b, left column; Additional file 1: Video S1). The short axis views at the mid-ventricular level clearly indicate that the membrane depolarization of the myocytes propagates from the endocardial surface to the epicardial side (Fig. 2b, intracellular space), while creating potential distributions opposite in polarity in the extracellular space (Fig. 2b, extracellular space). The extracellular potential distributions in the heart domain were reflected to the body surface potential (Fig. 2b, body surface), from which we could obtain the 12-lead ECG (Fig. 2c).
When the ischemic condition ([K]$_o$=6.5 mM, [ATP]=1.0 mM) was applied to the subendocardial region, the resting membrane potential of the endocardium became less negative compared with that of the normal region (Fig. 2d, action potential (AP)), creating an opposite potential gradient in the extracellular space. This, in turn, produced a positive potential recorded by a precordial electrode during diastole (Fig. 2e, 0 ms). During systole, when the entire wall was excited, the potential gradient was reversed and the precordial electrode recorded a slightly negative voltage (Fig. 2e, 150 ms; Additional file 2: Video S2). However, according to the convention in ECG recording, which sets the TQ-segment at zero, the ST segment is pushed further downwards to the negative side. Accordingly, ST depressions were observed in the precordial leads overlying the ischemic region (Fig. 2f).
ECGs under various severities of transmural ischemia
The V2 lead ECGs under various severities of transmural ischemia are shown in Fig. 3a. Under conditions clustered in the upper right (blue), ECG morphology was largely similar to the normal pattern (black bold rectangle), although the amplitude of the T wave increased at 1 mM [ATP], and then decreased with further reductions in [ATP]. In the green colored region characterized by moderately increased [K]$_o$ and/or severe depletion of [ATP], we observed prominent ST–T elevation resembling a tombstone morphology [5]. The pattern of horizontal ST elevation often described in textbooks appeared under severe hyperkalemia and ATP depletion (light brown). In the dark brown region, we observed ventricular arrhythmias.
To elucidate the mechanisms underlying these ECG changes, we sampled and compared the three conditions marked by blue, green, and red rectangles (Fig. 3a), representing mild, moderate, and severe ischemia, respectively. Various waveforms were observed on the 12-lead ECGs during the three increasing severities of transmural ischemia and in the chronic phase, representing the course of myocardial infarction (Fig. 3b). The cellular-level events underlying these ECG changes are summarized in Fig. 4a. Under the mild ischemic condition, selective activation of the IK$_{ATP}$ and downregulation of INa in the epicardium shortened the action potential duration of this region. As the severity of ischemia was increased (moderate ischemia), a further inhibition of
INa suppressed the action potential in the epicardium. INa also started to decline in the M and endocardial cells, and with the resultant depression in ICaL the amplitude and duration of the action potentials of these cells were reduced. Under the severe ischemic condition, the action potentials were suppressed transmurally. In the chronic phase, the electrophysiological activities of the ischemic region were eliminated, and only the extracellular space was present transmurally.
To further elucidate how these cellular events were translated into ECG changes, we examined the potential distributions in the intracellular and extracellular spaces of the ventricular wall (Fig. 4b). Because we applied the same $[K]_o$ (determinant of resting membrane potentials) transmurally, only the systolic phase was examined. Under mild ischemia, an electrical bilayer, which appeared in the extracellular space during the late systole, caused broad-based, tall T waves (mimicking the so-called hyper-acute T waves) on the electrode overlying the ischemic region (Additional file 3: Video S3). Moderate ischemia selectively suppressed the action potential of the epicardial layer (intracellular space), thus creating an electrical bilayer with a large magnitude and an opposite polarity to that observed during subendocardial ischemia (Fig. 2d) throughout systole (Additional file 4: Video S4). The resulting prominent ST elevation resembled the tombstone morphology reported in clinical and experimental acute ischemia [6]. The further increase in severity (severe ischemia) suppressed the action potentials transmurally (intracellular space), although the bilayers still existed at the boundaries between the ischemic and non-ischemic regions, which generated an ST elevation of a moderate magnitude (Additional file 5: Video S5). Finally, in the case of chronic infarction, the precordial electrode measured the potential created by the posterolateral wall from inside the ventricle, with a resulting inverted ECG waveform (Additional file 6: Video S6).
**Mechanisms of arrhythmia**
Arrhythmias were observed (Fig. 5a) under hyperkalemia with preserved ATP concentration ([ATP]) (light brown; Fig. 3a). Under these conditions, excitation initiated in the normal myocardium propagated slowly in the ischemic region (20–400 ms; Fig. 5b), then back-propagated to the already repolarized region via the Purkinje network (480–600 ms; Fig. 5b, inset). Thus, slow conduction in the ischemic region may play a key role in the development of arrhythmias (see also Additional file 7: Video S7).
**Discussion**
**Mechanisms of ST changes in ischemia**
ST elevation is a hallmark of myocardial infarction caused by transmural ischemia. However, the ionic mechanism is less understood compared with the ST depression observed during subendocardial ischemia. Because ST depression is caused by the ventricular gradient directed towards the epicardium, the reversed gradient has been postulated as the cause of ST elevation [10, 12]. However, considering the favorable anatomy and physiology of epicardial tissue for coronary perfusion [18], such a situation is unlikely to occur. In the present study, using a multi-scale heart simulation, we examined whether such a gradient is possible, and if so, how it contributes to the genesis of ST elevation.
We postulated that the transmural heterogeneity in the properties of sodium and ATP-sensitive potassium channels [4, 8] would cause the transmural gradient, which would be dependent on ischemia severity. We found that the properties of these channels can create a ventricular gradient under moderately ischemic conditions, while under severely ischemic conditions, ST elevation was observed without the transmural gradient. As summarized (Fig. 3), under the ATP-depleted condition, an increase in potassium concentration changed the ECG morphologies from broad-based, tall T waves mimicking the so-called hyper-acute T [14], to a tombstone-like morphology [6], and finally to horizontal ST elevation. Because potassium homeostasis was maintained by the ATP-dependent $I_{\text{KATP}}$ current, hyperkalemia develops after ATP depletion. Therefore, the observed changes in ECG morphologies showed similarities to the clinical course of transmural ischemia.
**Figure 1**
**a** AP and current density
- **AP**
- endo: [mV] 0 to -100
- M: [mV] 0 to -100
- epi: [mV] 0 to -100
- [ms] 0 to 800
- **Current Density**
- $I_{Na}$: [A/F] 0 to 1
- $I_{Kr}$: [A/F] 0 to 1
- $I_{Ks}$: [A/F] 0 to 0.1
- $I_{Ca,L}$: [A/F] 0 to -10
- $IK_{ATP}$: [A/F] 0 to 0.2
**b** Excitation, Intracellular space, Extracellular space, Body surface
- **Excitation**
- RV: [mV] 0 to 40
- LV: [mV] 0 to 40
- **Intracellular space**
- RV: [mV] 0 to 40
- LV: [mV] 0 to 40
- **Extracellular space**
- RV: [mV] 0 to 40
- LV: [mV] 0 to 40
- **Body surface**
- RV: [mV] 0 to 40
- LV: [mV] 0 to 40
**c** ECG
- I: [mV] 0 to 1
- II: [mV] 0 to 1
- III: [mV] 0 to 1
- aVR: [mV] 0 to 1
- aVL: [mV] 0 to 1
- V1: [mV] 0 to 1
- V2: [mV] 0 to 1
- V3: [mV] 0 to 1
- V4: [mV] 0 to 1
- V5: [mV] 0 to 1
- V6: [mV] 0 to 1
**d** AP and current density
- **AP**
- endo: [mV] 0 to -100
- M: [mV] 0 to -100
- epi: [mV] 0 to -100
- [ms] 0 to 800
- **Current Density**
- $I_{Na}$: [A/F] 0 to 1
- $I_{Kr}$: [A/F] 0 to 1
- $I_{Ks}$: [A/F] 0 to 0.1
- $I_{Ca,L}$: [A/F] 0 to -10
- $IK_{ATP}$: [A/F] 0 to 0.2
**e** Intracellular space, Extracellular space, Schematic diagram
- **Intracellular space**
- RV: [mV] 0 to 40
- LV: [mV] 0 to 40
- **Extracellular space**
- RV: [mV] 0 to 40
- LV: [mV] 0 to 40
- **Schematic diagram**
- +: Positive
- -: Negative
**f** ECG
- I: [mV] 0 to 1
- II: [mV] 0 to 1
- III: [mV] 0 to 1
- aVR: [mV] 0 to 1
- aVL: [mV] 0 to 1
- V1: [mV] 0 to 1
- V2: [mV] 0 to 1
- V3: [mV] 0 to 1
- V4: [mV] 0 to 1
- V5: [mV] 0 to 1
- V6: [mV] 0 to 1
Fig. 3 Effects of transmural hyperkalemia and adenosine triphosphate (ATP) depletion on the electrocardiogram (ECG). **a** Simulated V2 lead ECGs under various concentrations of ATP and potassium are shown. ECGs with similar morphologies are grouped with different colors (mild: light blue; moderate: green; severe: light brown; arrhythmia: dark brown). **b** 12-lead ECGs of representative cases are shown. Conditions were selected from (**a**) for normal (black rectangle), mild ischemia (blue rectangle), moderate ischemia (green rectangle), and severe ischemia (red rectangle).
**Figure 1**
**a** Intracellular currents and action potentials (APs) in the endocardium (endo), midmyocardium (M), and epicardium (epi) under different levels of myocardial fibrosis.
**b** Spatial distribution of intracellular and extracellular potentials, and schematic diagrams of APs in the endocardium (black), midmyocardium (red), and epicardium (blue) under different levels of myocardial fibrosis.
Under mild ischemia, we observed broad-based, tall T waves mimicking the so-called hyper-acute T waves, although the amplitudes were not high. We tested several parameters, and found that an increase in the $K_d$ of ATP for the $K_{ATP}$ channel ($K_d_{K_{ATP}}$) in the epicardial cell was able to reproduce the hyper-acute T waves typically reported in the literature [14] (Additional file 8: Fig. S1). In the present study, because there were no reported experimental human data, we used the value reported by Furukawa et al. [8]. However, the actual value may differ in human ventricular tissue. However, the actual value may differ in human ventricular tissue.
**Solid angle theory and electrocardiogram**
Quantitative analysis of ECG requires the computation of potential distribution in the torso domain with a complex structure and a distribution of conductivity. However, a qualitative explanation can be achieved using solid angle theory, by which the potential produced by a uniform electrical double layer is equal to the products of the double-layer density and the solid angle of the double layer surface viewed from the overlying electrode [7]. This theory is widely used for analysis of ECG, and its utility has been confirmed experimentally [10, 25]. Nevertheless, as that study assumed that the gradient in the intracellular space was the source
**Fig. 5** Ventricular arrhythmia during transmural ischemia. **a** V3 lead electrocardiogram (ECG). **b** Time-lapse images of ventricular activation viewed from the top. The numbers indicate the time after onset in ms. Inset: schematic presentation of the reentrant circuit: Excitation transmitted from the His–Purkinje system (red lines) propagates rapidly in the normal myocardium (green arrow), propagates slowly in the ischemic region (light brown; thin blue arrow), and finally back-propagates to the His–Purkinje system. PMJ Purkinje–muscle junction
of the double layer, these authors needed to locate the ischemic region on the epicardial side to explain the genesis of ST elevation [10]. As discussed, the body surface potential is generated by current flowing in the extracellular space, while the gradient in the extracellular space, but not in the intracellular space, can explain the ST elevation in transmural ischemia.
For instance, ST elevation in moderate ischemia is much greater compared with that during severe ischemia because the solid angle of the bilayer is larger. Furthermore, solid angle theory can explain the electrodeposition-dependent changes in the magnitude of ST elevation. The simulated ECG obtained from the model is shown in Fig. 6a, with an area of myocardial infarction extending to the lateral wall (Fig. 6b). The magnitude of the ST elevation peaks in the V3 and V4 leads, and gradually reduces towards the V1 and V6 leads, because the magnitudes are proportional to the solid angle of the boundary (red area, Fig. 6b) viewed from the corresponding electrodes.
There are some limitations of the present study. First, although our multi-scale heart simulator using widely adopted cell models of electrophysiology [17, 28] has successfully reproduced the ECG of healthy and diseased human hearts [19–21], other factors not included in our model may play key roles in the genesis of ECG during ischemia. For instance, intracellular Na$^+$ increases two- to fivefold after 10–20 min of ischemia, via inhibition of the Na$^+$–K$^+$ pump and inward leak of Na$^+$ (e.g., through the Na$^+$/H$^+$ exchanger). Upon reperfusion, increased intracellular Na$^+$ stimulates the Na$^+$–K$^+$ pump, and eventually activates outward K$^+$ currents. The resulting hyperpolarization of the membrane potential and shortening of the action potentials lead to occurrence of arrhythmias. Ischemia also increases the Ca$^{2+}$ concentration in the cytoplasm, sarcoplasmic reticulum, and mitochondria, which is mainly caused by less efficient removal by the Na$^+$/Ca$^{2+}$
**Fig. 6** Magnitude of ST elevation and the lead position. **a** Electrocardiogram of the antero-lateral myocardial infarction. **b** The area of infarction in the right anterior oblique (RAO) and left anterior oblique (LAO) views. The area of infarction was extended to the lateral wall. The red areas indicate the boundary between the ischemic and non-ischemic myocardium. **c** Boundaries between the normal and infarcted area (indicated in red) viewed from the V1, V4, and V6 leads. In each panel, the schematic representation of the solid angle is shown on the right side. Non-ischemic areas are indicated by red stripes. Numbers indicate solid angles for the ischemic boundaries.
exchanger and reduced uptake by the Ca$^{2+}$ pump in the sarcoplasmic reticulum. In turn, this increase in intracellular Ca$^{2+}$ can modulate the activity of many ion currents, including the I$_{Ca,L}$, I$_{Kv}$, I$_{NaK}$, and Na$^+$/Ca$^{2+}$ exchanger currents. Such changes in ionic currents also lead to the occurrence of arrhythmias [3]. Future studies are required to update our model in line with these findings. Our model should be updated in line with future findings. Second, because the purpose of this study was to elucidate the ionic mechanism of ST elevation, the conditions and mechanisms of arrhythmias were not fully examined. Further studies under a wider range of conditions, including the anatomical variations of the infarcted region, will improve our knowledge on the diagnosis of myocardial ischemia. Third, while the effects of ATP and K$^+$ concentrations were simulated in a graded manner, the effect of pH was only studied at one value (pH=6.0) because we were unable to find quantitative data applicable to the ion channel models under multiple pH conditions. Nevertheless, considering the metabolic changes observed during myocardial ischemia, this is a major limitation of our study, and should be addressed in future research. Finally, in addition to the time-dependence of the severity of ischemia, it is important to consider the transmural gradient using more severe ischemia in the endocardial region. Because such a transmural ischemia gradient results in a higher K$^+$ and lower ATP condition in the endocardium, which may negate the effect of the lower sensitivity of the K$_{ATP}$ channel in the endocardium, we tested two cases of graded ischemia. When a severe (red rectangle in Fig. 3a) to moderate (green rectangle in Fig. 3a) gradient of ischemia was applied transmurally, we observed ST elevations that were similar to those under homogeneous severe transmural ischemia (Additional file 9: Fig. S2a). By contrast, a moderate to mild gradient produced ST depressions that were similar to subendocardial ischemia (Additional file 9: Fig. S2b). Although we used a limited range of conditions, the transmural gradient did not significantly alter the ST–T changes during ischemia.
Conclusions
Transmural heterogeneities of the properties of sodium and ATP-sensitive potassium channels may contribute to the genesis of ST–T changes during mild or moderate transmural ischemia, while ST elevation may be induced without the contribution of heterogeneity under severe transmural ischemia. These results provide the comprehensive understanding of the ionic mechanisms of ECG changes during transmural ischemia.
Supplementary information
Supplementary information accompanies this paper at https://doi.org/10.1186/s12576-020-00760-3.
Additional file 1: Video S1. Ventricular activation under normal conditions. Upper left: membrane potential in the ventricles. Upper right body surface potential. Lower left: potential distribution in the intracellular space. Lower right: potential distribution in the extracellular space.
Additional file 2: Video S2. Ventricular activation during subendocardial ischemia. Left: membrane potential in the ventricles. Middle: potential distribution in the intracellular space. Right: potential distribution in the extracellular space.
Additional file 3: Video S3. Ventricular activation during transmural mild ischemia. Left: membrane potential in the ventricles. Middle: potential distribution in the intracellular space. Right: potential distribution in the extracellular space.
Additional file 4: Video S4. Ventricular activation during transmural moderate ischemia. Left: membrane potential in the ventricles. Middle: potential distribution in the intracellular space. Right: potential distribution in the extracellular space.
Additional file 5: Video S5. Ventricular activation during transmural severe ischemia. Left: membrane potential in the ventricles. Middle: potential distribution in the intracellular space. Right: potential distribution in the extracellular space.
Additional file 6: Video S6. Ventricular activation under transmural ischemia in the chronic phase. Left: membrane potential in the ventricles. Middle: potential distribution in the intracellular space. Right: potential distribution in the extracellular space.
Additional file 7: Video S7. Ventricular arrhythmia during transmural ischemia.
Additional file 8: Figure S1. Effect of KdKATP channel expression level on T wave morphology. (a) Action potentials of endocardial, M-, and epicardial cells under control conditions ([K]$_{o}$ = 5.4 mM, adenosine triphosphate [ATP] = 1.0 mM, and pH = 6.0) in the model. (b) The effect of the KdKATP channel in the epicardial cell was 0.1 mM (top) or 0.3 mM (bottom). (c) Electrocardiograms (ECGs) under control condition (black line), mild ischemia with KdKATP = 0.1 mM (blue line), and mild ischemia with KdKATP = 0.3 mM (red line).
Additional file 9: Figure S2. Effect of the transmural gradient of ischemia severity. (a) Epicardial and M- cells. [ATP] = 1.0 mM, [K]$_{o}$ = 9.0 mM, pH = 6.0; Endocardial cell. [ATP] = 0.1 mM, [K]$_{o}$ = 12.0 mM, pH = 6.0. (b) Epicardial and M- cells. [ATP] = 2.0 mM, [K]$_{o}$ = 5.4 mM, pH = 6.0; Endocardial cell. [ATP] = 1.0 mM, [K]$_{o}$ = 9.0 mM, pH = 6.0.
Abbreviations
ECG Electrocardiogram; ATP Adenosine triphosphate; M Mid-myocardial; RAO Right anterior oblique; LAO Left anterior oblique.
Acknowledgements
We thank Edanz Group (https://en-author-services.edanzgroup.com/) for editing a draft of this manuscript.
Authors' contributions
KO wrote the program codes, performed simulations, analyzed the data, and wrote the manuscript. KF designed the study and analyzed the data. TI and KY performed simulations and analyzed the data. TW wrote the program codes and analyzed the data. IK designed the study and approved the manuscript. TH and SS conceived and designed the study, and wrote and approved the manuscript. All authors read and approved the final manuscript.
Funding
This work was supported in part by the Ministry of Education, Culture, Sports, Science, and Technology-Japan (MEXT, Tokyo Japan) as a ‘Priority Issue on Post-K-computer’(Integrated Computational Life Science to Support Personalized
and Preventive Medicine, Project ID: hp150260, hp160209, hp170233 and hp180210.
**Availability of data and materials**
The data that support the findings of this study are available from the corresponding author upon reasonable request.
**Ethics approval and consent to participate**
Not applicable.
**Consent for publication**
Not applicable.
**Competing interests**
Dr. Okada, Washio, Hisada, and Sugura have received grant support from Fujitsu Limited and Medtronic Japan. Dr. Fujii has received grant support from Medtronic Japan.
**Author details**
1 UT-Heart Inc., 3-25-8 Nozawa, Setagaya, Tokyo 154-0003, Japan, 2 Future Center Initiative, The University of Tokyo, 17-4-4 Wakashiba, Kashiwa, Chiba 277-8571, Japan, 3 Department of Cardiovascular Medicine, Graduate School of Medicine, The University of Tokyo, Bunkyo, Tokyo 113-8655, Japan, 4 Department of Clinical Cardiology, Graduate School of Medicine, The University of Tokyo, Bunkyo, Tokyo 113-8655, Japan, 5 Healthcare Solutions Unit, Fujitsu Limited, Minato, Tokyo 108-0075, Japan.
**Received:** 24 April 2020
**Accepted:** 3 June 2020
**Published online:** 13 July 2020
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Where’s the Healing?
Engaging patients’ consciousness, and supporting them in more direct participation with their healing process
PAUL EPSTEIN, ND
“While we all acknowledge the value of a holistic approach as an integral part of naturopathic medicine, not enough recognition is given in our curriculums as to how we can best integrate holism into our role as naturopathic physicians. In order to go beyond the passover “holistic,” this course has been designed to explore the deeper issues of how to address these aspects of mind-body-spirit in yourself and with your clients. Being “holistic” can go beyond finding the right supplement; bottomless extro-herbalistic remedy or point. It is being able to contact the inner essence of a person, whether you call it the spirit, soul or vital force. In contacting this deeper essence, the holistic physician is to tap the person’s true source of healing, and initiate a process of both healing and transformation.”
The above paragraph was taken from a 1984 course entitled Healing, Consciousness and Transformation that I co-designed and co-taught with Nimrod Sheinman, ND (currently director of the Israel Center for Mind-Body Medicine, which I co-founded) and others. While the course returned 23 years later, the questions that it raised are still relevant: “What’s the connection between vis medicatrix naturae and the deeper essence?”; “What is healing and how does it happen?”; “How can we deeply support our patients’ healing from within?”; and “Where’s the healing?”
These questions have been part of my life’s quest for the last 20+some years, both personally and professionally. On the surface, our naturopathic tradition emphasizes the understanding that healing comes from within. Yet, on a deeper level, I have been dissatisfied with empirical research, conferences and journals, where too little space has been devoted to the patient’s inner and deeper world. Intuitively, I have been drawn to search for ways to engage people’s consciousness, and to support them in a more full and direct involvement and participation in their healing process.
Living Questions … Where’s the Healing?
Prior to my naturopathic training, I witnessed first-hand the healing power of nature as a yoga and meditation teacher. Through yoga, I saw people changing diets and lifestyles, dealing with their stresses, learning relaxation, and studying philosophy and new ways of viewing reality. As their consciousness and life changed, their health inevitably improved, as well. Observing this became a primary motivator to become an ND.
As I learned more of a role as a healing coach, one that practiced the treatment from Joseph Califano in the 1976 Surgeon General’s Report, Healthy People: “You, the individual, can do more for your own health and well-being than any doctor, any hospital, any drug, any exotic medical device” (Surgeon General’s Report, 1979).
When I helped develop a lifestyle change program at a naturopathic clinic in Portland, integrating diet, exercise and stress management, I better understood Califano’s quote, and sensed that the less I would act as a prescriber, the more my patients could and would act as self healers.
Healing: Treating the Whole Person
The following case study taught me an important lesson: As a naturopathic resident, I worked with a patient who had high blood pressure and diabetes, and for whom a lifestyle change, diet, supplements, remedies and stress counseling would be appropriate. After six months of visits, treatments and weight loss, his clinical symptoms and tests normalized. We had a very successful outcome, or so I thought.
The patient returned a year later, however, with all of his symptoms and clinical diagnosis were now treated as “normal.” While everything was different about his lifestyle, something very important to his transformation and healing process hadn’t changed. What had been missed?
It reminded me of my mother’s chicken soup: All of the ingredients can be there, but without the right touch of salt at just the right time, it can be flat. I would later come to understand and realize that we didn’t engage this patient’s consciousness. We did not treat the whole person … we missed an underlying cause. To paraphrase Einstein: You can’t solve a problem with the same consciousness that created it.
The question we should have asked that patient, and that I always ask my patients now, is “How did you come to be what you are?” I want to know what happened, why they came to my office, what they think contributed to their illness, disease or pain.
Mind-Body medicine became my main therapeutic approach to healing and answering that question with clients. Clinical guided imagery, mindful inquiry, Buddhist psychology and perspectives, and various psychotherapies became my tools for finding the meaning and message of illness, listening to symptoms and inner wisdom, and engaging the person’s conscious and unconscious awareness into the healing process.
Biography Becomes Biology
Through the years I began asking a second question, one that came from a vision quest experience and American Indian saying: Am I willing to listen with the ears of my heart to the other voices of myself speaking?
This question encourages people to look inside, listen and observe. As Marc Barasch, author of The Healing Path, said: “Our disease may tell us a story, not just of our cells, but of ourselves. By taking the risk of listening, we may be led to the emotions that lie at the core of our authentic being” (Barasch, 1995). Dr. Leslie Goldschlager, colleague and friend, corroborated this when he said, “Illness and symptoms have a message. Understanding and discovering their meaning can be the key that unlocks the door to healing and recovery.”
Listening to symptoms for their meaning and message is the essence of learning how biography becomes biology. One patient’s case illustrates this well: Sara had been trying to lose weight for 20+ years. During those years, she kept losing weight, and gaining it again. Using guided imagery and exploring her body fat, she evoked the image of a down comforter. With it came the awareness of childhood abuse and the down comforter as an ally – protecting and defending her, covering a part of herself that was still frightened and vulnerable. Once she realized her obesity had been serving a purpose and wasn’t the real issue, her weight loss process became very different. We were able to address the painful feelings she had buried; and this time, the results of her weight loss were permanent.
While other naturopathic therapeutics can and do address and provide the missing ingredient in the healing soup, mind-body medicine seems to be particularly effective for people with chronic issues and stress-related, lifestyle and autoimmune processes and diseases, and those carrying burdens of trauma from their biographies. This perspective on healing is also defined by Stephen Levine, a poet, author and teacher of guided meditation healing technique: “If there is a single definition of healing, it is to touch with mercy and awareness those pains from which we have withdrawn in judgment and dismay.”
Awareness is the Healer
To help further my quest for “Where is the healing?,” I explored various counseling and psychotherapy models, including interactive guided imagery, insight meditation, mind-body psychotherapy and internal family systems therapy.
In addition, my personal path had shifted to studies and practice of Buddhism, which helped me learn how to further facilitate deep listening, cultivate unconditional presence and embrace the truth. The following case study provides an excellent example.
An anxious and neurotic young man presented with an array of symptoms, from allergies to asthma to a slew of phobias. However, he refused all treatment options I offered. He wouldn’t change his diet; take the homeopathic remedy I prescribed; or talk about any biographical, spiritual or mind-body issues. As I became more frustrated, I realized that my own defenses at this point kept him from living the questions. I was about to recommend him to another doctor when Buddhist insights came to me: “Be,” don’t “do.” Stop trying so hard. Just be present and accept him unconditionally.
Integrating the teachings of Buddha led me to refocus on healing, not just curing. In curing, we are looking for answers, and
Mind-Body Medicine Needs More Emphasis in Naturopathic Education and Clinical Practice
“75% to 90% of visits to the family physician are for stress-related complaints”
— 1988 study, American Academy of Family Physicians
There’s no question that naturopathic therapeutics can provide solutions to patients’ varied ailments. However, to me, mind-body medicine seems to be particularly effective for people with stress-related disease, which is a major underlying cause for physician visits.
While our profession certainly recognizes the value and importance of the mind-body connection — as stated in naturopathic brochures and naturopathic schools’ curriculum — still more needs to be done for mind-body medicine to become an equal clinical modality with nutrition, botanical medicine, acupuncture, manipulation and homeopathy.
Following are a few observations that may illustrate the lack of integration and emphasis of mind-body medicine within the naturopathic profession:
In the September 2006 issue of NDNR, multiple curriculum cases were presented. In the beginning of each case history, it was stated prominently that biographical and stress factors were important predisposing and contributing primary etiological factors. However, in each case, readers learned how the patient’s symptoms were treated and “managed,” with a focus on functional medicine perspectives — all of which are important, necessary key components to help treat the patient — yet there was no mention of if or how the underlying stresses, emotions, thoughts and beliefs were clinically addressed and integrated in the overall treatment plan.
What happened to treating the underlying cause, treating the person as well as the disease, and treating the whole as well as the part? Where and how were we activating the vis medicatrix naturalis? Where is the healing in this approach?
Also consider the 2007 AANP membership form and application. One section asks applicants to choose their area of interest of practice and, out of a list of 30 or so topics from “A” to “Z,” mind-body medicine is not even listed, nor is any stress-related focus.
Our profession’s principles and philosophy state that we treat the cause and the whole person. When we live in a clinical world with statistics like “75% to 90% of diseases are stress related” and “80% of physician office visits are for stress-related complaints,” how can stress counseling, mind-body counseling, psycho-neuro-immunology, mind-body psychotherapy, integrating the mind-body connection and focusing on healing beyond cure not become a more important component of naturopathic education, clinical training and practice, equal to and integrated with our other modalities?
The Vision
To move toward the ideal scenario would involve each school committing to having a complete mind-body medicine department, with a structured academic curriculum, as well as clinical training and supervision. Teaching should include the latest science, therapies, art, research, clinical application and therapeutic integration, all within the unique perspectives of our naturopathic practice.
Only then can mind-body medicine take its rightful place in our profession — as a modality of its own and as a catalyst for our other therapeutics. In such a way, mind-body medicine can enhance our effectiveness to both heal and cure, and can bring us “back home” to our deep-core naturopathic principles and philosophy.
A mind-body medicine curriculum outline from a presentation at the 1996 AANP convention will be available online at www.drpaulepstein.com, or contact Dr. Epstein directly at 203-228-3823.
our efforts are designed to make something happen. In healing, we live questions (instead of answers), trust the unknown, and allow and welcome the emergence of whatever may come. The patient is not healing by curing; he is healing both.
When I let go of my attachment and “need” to cure this patient, he let go of his resistances. He began to change his diet, talk about his past and take the homeopathic remedy. He began to break open his shell, engage in his healing journey and touch his wounds with mercy and awareness.
**Homeopathy Without the Remedy**
A mindful mind-body healing approach, involving listening to and being with our pain with unconditional presence and radical acceptance, is sometimes like homeopathic medicine and true to its philosophy of “like cures like.” In homeopathy, we subtly intensify a symptom or malady to activate and mobilize the organism’s natural healing responses. With mindful awareness, healing and mind-body medicine, when patients are unconditionally present with their dis-ease, they amplify their awareness of what they are stuck in – which usually arouses a deep-felt desire to move in a new direction. In 12-step recovery programs, this is “hitting bottom” and step one of radical acceptance. Awareness itself purifies and heals.
**Stress and the Mind-Body Connection**
A 1988 study from the American Academy of Family Physicians said that 75% to 90% of visits to the family physician are for stress-related complaints. Sue Keen and Anne Valley-Fox, authors of *Myth of Myths: Journey*, state that “90% of our dis-ease is psychosomatic in origin, the result of unresolved conflicts, unconscious anxieties and unfulfilled potential … the self at war with itself; thus, most physicians are practicing philosophy without a license” (Keen and Valley-Fox, 1989). This understanding is at the core and heart of mind-body medicine and the importance of fully addressing and integrating therapeutically stress and the patient’s biography as key aspects of etiology, healing and curing. This also led me to my third question for patients to ask themselves: “How can I be with my pain and suffering in life in a way that is wise, compassionate, and healing?”
The following case study illustrates use of this question. A 75-year-old woman presented to my office with severe back pain from osteoporosis and arthritis of two years’ duration. She was severely depressed after two years of treatments involving drugs, surgery, painkillers, anti-inflammatory medications and antidepressants, all to no avail. I asked her the three questions that have become a foundation for my practice. She replied that her husband of 55 years had died. He had Parkinson’s disease, Alzheimer’s disease, and had had a stroke. She had decided to “pull the plug.” Though that decision helped end his suffering, it was an excruciatingly difficult one for her to make. She also said she didn’t want to “fall apart,” as all her friends did when they lost their spouse. Unfortunately, the body remembers what the mind tries to forget.
I learned that she didn’t really want to grieve, but had been able to face the pain of her loss or even the sadness, guilt and shame that she carried. However, during the course of her therapy, she chose to listen, engage and face her truth and pain, practice forgiveness of herself (from God, her husband and herself) and participate fully in her healing. While she still had symptoms of arthritis and osteoporosis, she was able to function, and no longer required painkillers or antidepressants. She began writing poetry again and seeing friends. In her book of poetry, which she signed and gave to me, she wrote, “Thank you for saving me. You were the only one who listened to me. Thank you, one who helped me face the truth I was carrying and covering up and burying.”
As J. Krishnamurti, philosopher and author, says: “… It is the truth which liberates, not your efforts to be free.”
From living the question, “Where’s the healing?” through my career as an ND, I have learned that: 1) who we are and how we “be” is often more important than what we know and do; 2) healing really does comes from within and requires the engaged conscious awareness of the person and connection with essential being; 3) there is a mind-body-spirit connection; and 4) in the heart of the pain is the healing, and in the heart of the healing is the pain.
People have always asked me who I am, what I do and how I practice. The answer I give has changed over the years. Now, I say that I guide people to open up and listen inside; I support them to be with their pain and embrace their truth; I encourage them to live questions and see with new eyes; I help them engage in their own journey with their own unique path and I try to bring them home, to their true and authentic self. This article shares my quest, where it has taken me and how I practice living these questions and staying true to naturopathic principles and ideals.
**Resources**
- **Academy for Guided Imagery:** [www.academyforguidedimageray.com](http://www.academyforguidedimageray.com)
- **MBSR Mindfulness-Based Stress Reduction:** [www.umassmed.edu/crm/mbsr](http://www.umassmed.edu/crm/mbsr)
- **Internal Family Systems Therapy:** [www.selfleadership.org](http://www.selfleadership.org)
---
**Paul Epstein, ND**, is a 1984 graduate of NGRM, specializing in mind-body medicine and functional, manual healing. He is featured in the May/June 2006 issue of *Natural Health Magazine*, and is being sponsored for a national workshop tour of the U.S. and Canada. He is also a co-founder of the Israel Center for Integrative Medicine, a private practice in Westport, CT, and travels extensively throughout the world; offers imagery and mindfulness healing seminars. Dr. Epstein offers professional mentoring services to support and guide other health care providers to integrate mind-body medicine in their therapeutic work. Contact him via [www.apexepstein.com](http://www.apexepstein.com).
---
**U.S. Public Health Service Office at the Surgeon General, The Surgeon General’s Report on Health Promotion and Disease Prevention, Rockville, 1979, U.S. Public Health Service, pp. 10-11.**
**American Academy of Family Physicians: Survey 1988.**
**Barash M. *The Healing Path: A Soul Approach to Illness, New York, 1996, Penguin.***
**Keen S and Valley-Fox A. *Your Mythic Journey: Finding Meaning and Purpose Through Writing and Storytelling, New York, 1989, Jeremy P. Tarcher/Penguin Group.*** |
VOLUME 1 No 2 (2010)
COMPARATIVE PHILOSOPHY
An International Journal of Constructive Engagement of Distinct Approaches toward World Philosophy
OPEN ACCESS
www.comparativephilosophy.org
ISSN 2151-6014
Comparative Philosophy is a peer-reviewed international journal of philosophy, with emphasis on the constructive engagement of distinct approaches to philosophical issues, problems, themes from various philosophical traditions/styles/orientations of doing philosophy for the sake of their joint contribution to the common philosophical enterprise, and/or on general theory and methodology of comparative philosophy. [For further information about the emphasis, coverage and orientation of the journal, see the homepage of its website.]
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COMPARATIVE PHILOSOPHY
An International Journal of Constructive Engagement of Distinct Approaches toward World Philosophy
Volume 1 No. 2 (July 2010)
EDITOR’S WORDS
ARTICLES
EL-BIZRI, Nader / The Labyrinth of Philosophy in Islam
PRIEST, Graham / The Logic of the Catuskoti
RECENT WORK
TIWALD, Justin / Confucianism and Virtue Ethics: Still a Fledgling in Chinese and Comparative Philosophy
EDITOR’S WORDS
As the editor of the Journal, I would like to make two notes on the “form” and “content” of the current issue, both of which are related to some distinguishing features of the Journal. As for its “form”, this issue consists only of two research articles together with one essay on recent work. Since the formal establishment of the Journal via its debut issue earlier this year, we have received a substantial amount of submissions. As the journal quality is top concern, and as a strict peer-review procedure has thus been implemented whether a submission is unsolicited or not, only few have been accepted. As a non-profit academic journal not published by a commercial press with paid subscription, the Journal does not have a commitment to quantity; the Editorial team is free to publish as few articles as are judged to meet a high standard of quality. However, on the other hand, this procedure does not just mean the negative harshness to authors who submit their work; rather, the Journal has endeavored to have the review procedure constructive and positive: we have tried our best to provide constructive feedback and useful concrete comments to the authors of all those submissions that passed the pre-review inspection and went into the peer-review procedure, whether or not they were accepted. With consideration that all the relevant work is based on editorial team members’ and referees’ voluntary work without financial compensation due to the non-profit nature of the Journal, this is not easy but we strive to contribute to the healthy development of the profession through this kind of constructive service to our colleagues.
As for its “content”, the two research articles in this issue are respectively concerning philosophy in Islam and early Buddhist/Indian logic; one essay is on recent work on Confucianism and virtue ethics. One prominent feature of the essays appearing in the Journal lies in their philosophical relevance in view of their emphasis on constructive engagement of distinct approaches. Indeed, one *prima facie* reaction to articles whose topics are outside a scholar’s own “focus” tradition (whether it is Western philosophy, Chinese philosophy or some other) is a sort of “it is irrelevant to my research”. Such an attitude might be appropriate if the articles’ basic emphasis is merely on history instead of philosophy, and when the researcher’s primary interest is in historical description instead of doing philosophy. However, one of the shared features of the articles included in this journal lies in its philosophical-relevance emphasis and thus they are intrinsically relevant to the philosophical interest and inquiry of philosophy scholars and students, no matter which specific traditions they study (e.g., Chinese or Indian philosophy) and no matter which style of philosophy they instantiate (e.g., analytic or "Continental" philosophy), given that they work on issues and topics under examination in the journal articles. For a philosopher would
be intrinsically interested in distinct approaches to the issues and topics under her philosophical (instead of merely historical) examination and in their reflective relation to her current working approach, whether or not she takes some other distinct approach also as her (current) working approach, which may be related to her training/specialty background, personal research interest or the need of the current study. In this sense, and to this extent, the Journal via its published articles is to distinguish itself both by its a “global” concern with comparative philosophy and constructive engagement of all philosophical traditions, which is neither limited to the East-West dialogue nor to the analytic-“Continental” engagement nor to the Greek-style *nous* alone (or the Chinese-style *dao* alone), and by its foregoing “local” concern with the published articles’ significance and relevance to *philosophical* studies of any *ad hoc* philosophical tradition, due to its emphasis on philosophical engagement on a series of issues and topics that can be jointly concerned via appropriate philosophical interpretation. Indeed, the two concerns are so closely related and thus jointly addressed in the Journal.
Bo Mou
June 2010
THE LABYRINTH OF PHILOSOPHY IN ISLAM
NADER EL-BIZRI
ABSTRACT: This paper focuses on the methodological issues related to the obstacles and potential horizons of approaching the philosophical traditions in Islam from the standpoint of comparative studies in philosophy, while also presenting selected case-studies that may potentially illustrate some of the possibilities of renewing the impetus of a philosophical thought that is inspired by Islamic intellectual history. This line of inquiry is divided into two parts: the first deals with questions of methodology, and the second focuses on ontology and phenomenology of perception, by way of offering pathways in investigating the history of philosophical and scientific ideas in Islam from the viewpoint of contemporary debates in philosophy. A special emphasis will be placed on: (a) interpreting the ontology of the eleventh century metaphysician Ibn Sīnā (known in Latin as: Avicenna; d. 1037 CE) in terms of rethinking Heidegger’s critique of the history of metaphysics, and (b) analyzing the philosophical implications of the theory of vision of the eleventh century polymath Ibn al-Haytham (known in Latin as Alhazen; d. ca. 1041 CE) in terms of reflecting on Merleau-Ponty’s phenomenology of perception.
Keywords: being, epistemology, Martin Heidegger, Ibn al-Haytham (Alhazen), Ibn Sīnā (Avicenna), Maurice Merleau-Ponty, ontology, optics, perception, phenomenology, philosophy (Islam), science (Islam)
PART I
1. LINGUISTIC POINTERS AND CONCEPTUAL DIRECTIVES
The expression, ‘Islamic philosophy’, as it is rendered in the English language, or in associated European idioms (‘philosophie islamique’), refers in its technical linguistic sense to what is known in the original Arabic language as ‘falsafa’. The term was historically coined in Arabic to adapt to the use of the Greek designation, ‘philosophia’, within classical Islamic intellectual traditions. The English appellation, ‘Islamic philosophy’, would be literally translated back into the Arabic language as, ‘al-falsafa al-islāmiyya’, which points to a relatively modern usage of this expression in the context of referring to Islamic philosophical thinking in general terms. Consequently, ‘al-falsafa al-islāmiyya’ may broadly refer to thought as it is inspired by Islam, and it would thus surpass the limits of the more clearly defined historical determination of the philosophical
legacy in Islam as *falsafa* per se. Accordingly, ‘*al-falsafa al-islāmiyya’ would include, in casual idiomatic usages, Islamic intellectual traditions that are not purely philosophical, but may be associated also with the Muslim schools of *kalām* (dialectical systemic theology) and of ‘*irfān* (traditional monotheistic mysticism and gnosis), or even of *tasawwuf* (Sufism). The term, ‘*falsafa*’, in its classical and more specific technical sense, refers to a family of traditions in philosophy per se which gave expression to adapted assimilations, critical interpretations, and innovative expansions of Greek Peripatetic, Platonist, Neo-Platonist, and Neo-Pythagorean schools of thought within a diverse Muslim cultural *milieu*. The appellation ‘*falsafa*’ would have sufficiently designated a movement in philosophical thinking that is connected with Islam as a religion and civilization without the need to affirm that it was Islamic (*islāmiyya*). The ambivalent use of the designator, ‘*falsafa*’, in relatively modern terms, would moreover encompass what some mystically-oriented Muslim scholars would take to be a way of life that rests on meditative spiritual exercises (*al-riyādāt al-rūhiyya*) which aim at perfecting the self (what in Arabic is designated by the term ‘*al-nafs*’ [literally: ‘the soul’]) and refining its faculties in the hope of attaining wisdom, justice, happiness, and potentially aiming at the disclosure of the ultimate principles of reality which are taken to be *veiled*.\(^1\) In broad terms, *falsafa* generated isomorphic epistemic and ontological systems of thought which combined Greek legacies in philosophy with dynamic reflections on Abrahamic monotheism as a revealed religion while placing a particular emphasis on the multifarious interpretations of the religious teachings of Islam across diverse confessional expressions and denominations.
2. COMPARATIVE INQUIRIES?
It is perhaps insufficient to establish comparative studies in relation to classical texts and authors without taking certain precautionary methodological steps, which can be validated from the viewpoint of historiography, philology, paleography, and the distinction between traditions along the lines of historical and cultural differences, with their epistemic and ontological entailments. To avoid the conventional methodological strictures that are associated with the investigation of classics, perhaps it is more prudent if comparative inquiries are initially undertaken with respect to legacies that have well-documented historical and textual interconnections. In the case of the history of ideas in Islam, the focus would be directed toward the sequence of civilization and the linguistic-conceptual transmission of knowledge from the Greek language into Arabic (at times via the agency of the Syriac language), and then from Arabic into Latin (occasionally via the agency of the Hebrew language). This procedure secures a context for the comparative historical study of texts and their intercultural adaptations within interlinked intellectual traditions. Accordingly, it would not be
\(^1\) In general, mystics in Islam (*al-‘urrāf* or *al-‘ārifūn*) focus on meditations, contemplations, fasting, spiritual exercises (*al-riyādāt al-rūhiyya*), and ritualistic forms of worship and prayer in view of connecting with what they consider to be the order of divinity while also aiming at the disclosure of the principles of reality, which they believe to be *veiled* (*mahjūb*) and can only be *unveiled* (*kashf*) via spirituality (*rūhānīyyāt*), instead of rationalistic deliberation and logical proof.
controversial if comparative inquiries focus on the reception and response to the philosophical legacy of Ibn Sīnā (Avicenna) or Ibn Rushd (Averroes) by St. Thomas Aquinas or the European scholastics. The same can be said about the investigation of the assimilation of the scientific *oeuvre* of al-Hasan ibn al-Haytham (Alhazen) by thirteenth century Franciscan scholars of optics (like Roger Bacon or Witelo). Such inquiries are considered *acceptable* from the standpoint of textual analysis, historiography, philology, paleography, and the history of science and philosophy. However, the conceptual and methodological elements become more complex and ambivalent, or, even doubted by some classicists, historians of ideas, philologists, or mediaevalists, when the analysis is undertaken from the viewpoint of contemporary debates in philosophy. This issue becomes further complicated, and confronted with greater opposition, when *falsafa* is examined from the standpoint of contemporary approaches in epistemology, ontology, or critical theory. This is principally due to the manner in which *falsafa* is studied in mainstream modern academia, namely, by being posited as an historical tradition that is surpassed and disconnected from modern thought. This mode of picturing *falsafa* is dominant in scholarship on Islamic philosophy despite its traces still constituting a living intellectual movement that is practiced, albeit, mimetically or in reproductive terms, within selected religious Islamic seminaries; this is the case particularly in Iran, and, up until the beginnings of the twentieth century, in places like the Azhar academy in Cairo.\(^2\) The investigation of *falsafa*, as an historical legacy, within the curricula of mainstream European-American academia, embodies an archaeological bent on studying philosophy in relation to Islam. This academic penchant regulates the methodology of the guardians of archival documentation. The historian of ideas studies the intellectual history of Islam in the spirit of an antiquarian compiler of knowledge who reports the textual material, and endeavors to document it, in order to primarily serve the establishment of library references. The aims and objectives of such learned exegetes and custodians of archiving, differ from the purposes of philosophers per se, who focus on the evolution of concepts and on the questions of ontology, epistemology, logic, value theory, etc.
The methodologies of historiography, philology, and paleography, in the analysis of texts and the archival tracing of their channels of transmission, aim principally at establishing textual documents. This approach has been historically shaped by the development of classicist and mediaevalist methods of studying Greek and Latin texts, ultimately affecting the investigation of Islamic textual sources, given that most scholars in the academic field of Islamic Studies in Europe and North America were, until recently, closely connected in pedagogic and methodological terms with the broader area of Oriental Studies. Scholarship in Islamic Studies within European and American academia was guided by the narrow trajectories of Orientalism. While it is historically evident that the
\(^2\) The mimetic reproduction of past philosophical traditions in contemporary Muslim religious circles takes into account some of the pressing lived problems of socio-politics, ethics, and the applications of the religious law while being based on traditionalist ontological and epistemological foundations that have not been radically reformed since pre-modern times. One poignant example that presents itself in this regard is embodied in an implicit presupposition of a pre-Keplerian cosmology when reflecting on the questions of metaphysics (*al-ilāhiyyāt*) in relation to Islam.
orientalists facilitated the retrieval of non-European intellectual textual legacies, and also assisted in situating them in their historical and cultural contexts, their studies were nonetheless generally marked by ideological and colonialist perspectives that still require corrective reforms in terms of rewriting many chapters in the history of philosophy and science. After all, the question concerning the distortive implications of Orientalism in scholarship and culture is still controversial and remains fervently debated. We are intellectually indebted to the reflections of Edward Said in this regard who ushered a new critical attitude toward Oriental Studies, and challenged the unquestioned complacencies in representing the Orient through the ideological prisms of Orientalism, which served, until recently, the European colonial material interests (Said, 1978).\(^3\)
Besides these aforementioned obstacles, additional difficulties arise due to the manner by which pre-seventeenth century history of science and philosophy is generally removed from the central debates in contemporary philosophical thinking. After all, philosophers feel less restricted studying figures like Descartes, Leibniz, Newton, Kant or Hegel, than they do when dealing with thinkers from epochs earlier than the seventeenth century or the high Renaissance. Exceptions do emerge, such as with studies in Neo-Thomism, or the analysis of Aristotelian doctrines in relation to contemporary questions in the philosophy of mind, but these remain marginal with regard to the current central topics of philosophizing per se. Furthermore, while considering the contributions of philosophers of the Islamic civilization (\textit{al-falāsifa}) within the mainstream philosophy department curricula (especially in non-Muslim contexts), these are usually concealed within the deep folds of mediaeval European thought. Islamic philosophy is rarely investigated from perspectives that are not strictly confined within mediaevalist studies. The academic value of the philosophers of Islam is usually measured in philosophical scales according to how they facilitate the pedagogic and intellectual understanding of European scholasticism, the mediaeval interpretation of the Greek corpus in general, and the Aristotelian tradition in particular.
3. IMPASSES OR HORIZONS?
Studying the impetus of philosophizing in relation to Islam, as a faith and civilization, from a contemporary standpoint in philosophical thinking remains a desideratum that points to diverse obstacles, which can be summarized as follows: 1. \textit{Historical} (since \textit{falsafa} is principally posited as being mediaeval); 2. \textit{Cultural} (by assuming that \textit{falsafa} is incommensurably \textit{oriental}); 3. \textit{Textual-archival} (that \textit{falsafa} was transmitted in fragments to the European context and its intellectual influence within philosophy gradually decreased and disappeared); and 4. \textit{Islamicate} (in the sense of resisting [prudently, dogmatically, or politically] what some Muslim scholars see as being a contamination of the traditionalist Islamic legacies with unnecessary and alien philosophical constructs that are derived from American/European sources). These methodological strictures, coupled with the
\(^3\) European Orientalism had further prolongations within American discourses on the Orient in serving US foreign policies; these were also dialectically paralleled by \textit{historical materialist} geopolitical approaches to integrating the Muslim communities within the Soviet Union.
historicist angst regarding anachronism in historiography, can be surpassed through the careful steps of opening up the horizons of reflection on common questions in epistemology, ontology, logic, in addition to the assessment of responses to questions within the fields of philosophy of science, religion, and art. By way of illustrating the possibilities of such analytics, and in terms of pointing out some novel pathways for thinking, in spite of the conventional methodological strictures, the second part of this present paper offers two case-studies that investigate the potentials of renewing the philosophical engagement with the history of ideas in Islam. In this sense, I examine the ontology of Ibn Sīnā (Avicenna; d. 1037 CE) from the standpoint of Heidegger’s critique of the history of metaphysics,\(^4\) and I reflect on the epistemic dimensions of the theory of vision of Ibn al-Haytham (Alhazen; d. ca. 1041 CE) from the viewpoint of Merleau-Ponty’s phenomenology of perception.
4. RENEWAL IN PHILOSOPHIZING?
The present course of investigation in this paper aims at finding ways by which the impetus of philosophizing in relation to the history of ideas in Islam can be renewed. So, is it indeed possible to develop a new school of falsafa that is contemporary and retains various forms of epistemic, hermeneutic, and textual interconnections with intellectual history in Islam? In what ways would it also contribute to elucidating contemporary mainstream philosophical debates in relation to science, religion, technology, art, politics, ethics, society and culture?
Just like the early Islamic philosophers and theologians developed their intellectual traditions in response to their encounters with the Greek corpus, and by confronting the theoretical and practical challenges of their own epoch, new forms of falsafa can be shaped in connection with Islam and in direct philosophical engagements with modernity in its variegated forms. For instance, investigating Ibn Sīnā’s ontology, from the standpoint of critically rethinking Heidegger’s critique of the history of metaphysics, would not necessarily or readily result in the development of a novel way of philosophical thinking, as this initially took place in the case of al-Kindī’s reading of the Neo-Platonized version of the Aristotelian corpus that was available to him in the ninth century.\(^5\) Nevertheless, this intellectual exercise might allow for a third pathway in thought to emerge that would revive some aspects of ontology in the history of ideas in
\(^4\) I initiated this specific line of ontological inquiry elsewhere (El-Bizri, 2000). The phenomenological investigation of selected philosophical traditions in Islam is also supported by a book-series that I co-edited with Anna-Teresa Tymieniecka (President, World Phenomenology Institute, Hanover, New Hampshire) and Gholam-Reza Aavani (Director, Iranian Institute of Philosophy, Tehran), which is entitled, *Islamic Philosophy and Occidental Phenomenology in Dialogue* (a series that is published by Springer [formerly, Kluwer Academic Publishers] in Dordrecht and Berlin).
\(^5\) The transmission and translation of manuscripts that were associated with the Aristotelian corpus, within the scholarly circles in Islamic civilization in the ninth century, resulted in the attribution of two texts to Aristotle, which were imbued with Neo-Platonized leitmotifs. The first text was the so-called *Theology of Aristotle* (in Arabic: *al-Thiyūlūjīyyā*), and the second was the *Book of Pure Goodness* (in Arabic: *Kitāb al-khayr al-mahd*; in Latin as: *Liber de Causis*).
Islam in a manner that actively engages with reflections on the question of being in our age and its techno-scientific bearings, while also being situated within the circles of contemporary philosophical deliberation and thinking. Similarly, an inquiry about Ibn al-Haytham’s optics, from the viewpoint of the phenomenology of perception, can potentially open up new possibilities for reflections in epistemology, and approach the history of the exact sciences in Islam beyond the narrow confines of historiography per se.
5. BREAKING THE MOLD?
Current advancements in techno-science, the development of efficient and wide-ranging capacities in telecommunications, and the technical as well as economic facilitation of travel and study abroad (along with the establishment of various branches of European and North-American universities in Asia and the Middle East) entice us to rethink inherited epistemic models of picturing the history of philosophy and science. The potentials of emancipation and the generation of novel schools of philosophy in this present century, by way of being inspired by intercultural intellectual histories, cannot be arrested or compromised in terms of succumbing to the restrictions imposed by the custodians of archives within the circles of classicists, mediaevalists, and orientalists. The dominance of Orientalism and Eurocentric models in understanding and studying Islamic philosophy is no longer sustainable, even if it is still deeply entrenched in the most established and oldest institutions of higher-education in Europe and North-America. Moreover, the construction of knowledge, its dissemination, adaptive reception, and interpretive assimilation through sequences of civilizations, and in cultural-political terms that modulate the sociology of philosophical and scientific knowledge, cannot be all contained by the rules of reportage and documentary archiving. The intellectual heritage of a people cannot simply be posited as relics from the past that can only be studied through the narrow channels of academic expertise in documenting traditions. This is especially the case if such heritage is still a living source of cultural inspiration for multiple communities, and partly shapes, in tacit forms, some of their inherited outlooks on the universe concerning truth, goodness, beauty, justice and governance. This is clearly the case with respect to the history of philosophical and scientific ideas in Islam which reflects on socio-cultural dimensions that classicists, mediaevalists, and scholars of Oriental Studies are unable to fully acknowledge or recognize. This state of affairs reveals the need to be more directly engaged in critically analyzing these past legacies from the viewpoint of the potential connection of their fundamental elements with contemporary concerns in thinking. Greater possibilities are now available for studying the classics through developments in narrative analysis, critical theory, post-modernist discourse, the technicalities of epistemology and logic in the Analytic School in philosophy, along with the unfolding of the horizons of fundamental ontology, hermeneutics, phenomenology, and deconstruction. All offer enriching differential potentials for the renewal of philosophical inquiry, cultural dialogue, and intellectual exchanges across civilizations. Having stated that, it remains indeed essential to rely at times on philology, paleographic textual analysis, the critical editing of manuscripts, the
production of annotated translations, and the establishment of exegetical commentaries, which are based on sound historiography, all in order to render the classical sources accessible. Such noble aims may be sufficient from the viewpoint of establishing the classical material on sound historical and textual grounds. However, from the perspectives that surpass the limits of these conventions, what are the epistemic, cognitive, and cultural entailments of the history of philosophy and science? And how do these inform contemporary debates in philosophy and their relationships with science, religion, art, politics, ethics, and culture? Do historical precedents have any implications with respect to inspiring, informing, or dialectically differing from our contemporary outlooks on the human condition, the cosmos, divinity, truth, goodness, beauty, and justice? Can they elucidate our grasp of the evolution of concepts and the taxonomies of knowledge and its canonization? Finally, what value do they bring to discussions regarding epistemology, ontology, logic, and value theory? These philosophical interrogations are customarily set outside the spheres of historiography, philology, paleography, and the archival documentation in the academic fields of Oriental and Islamic Studies.
6. PREPARATORY STEPS IN COMPARATIVE INQUIRY
In reflecting on the possibilities of renewing the impetus of philosophizing in relation to Islam, and thus in rekindling the potential reanimation of *falsafa* in contemporary terms, a measured prudence ought to be exercised. One’s own voice as interpreter ought to be clearly distinguished from that of the original author of a historical text in order to show with lucidity where deviations and new propositions are presented, which belong to the spheres of critical analytics and hermeneutics, instead of being part of the textually-oriented practice of exegesis and documentation. This state of affairs doubles the interpretive activity to ensure that the classical text is soundly situated in its appropriate context in terms of its documented interconnections with other constellations of texts and pathways of transmission across languages and intellectual traditions. This activity can be intertwined with analyses that lift some of the old propositions from their narrowly determined historical spheres, by way of assessing their potencies in generating renewed and innovative horizons for philosophical thinking. Such matters do not fall squarely within the professional academic domain of the career-oriented study of philosophy and its history, especially in relation to Islam. However, many scholars, academics, and philosophers find themselves personally torn between contemporary philosophy from one side (with its various branches, quarrels, and most prominent Analytic-Continental bifurcation) and the attractiveness of other intellectual traditions that do not belong to modern American-European philosophy. Hence, they find themselves situated in a region between philosophy per se (narrowly labeled as ‘Western’ or ‘Occidental’) and the intellectual heritage of non-European civilizations (Chinese, Indian, Islamic). The biographical and intimately personal becomes intricately interwoven with the conceptual and academic, in such a way that areas of specialization and concentration result in sets of publications and communications that address topics that seem to be incommensurable or incompatible. Philosophers who find
themselves in such circumstances seem to deal with antinomies while mediating multiple intellectual loyalties. The individual scholar would have to modify themes, methodologies, and procedures of disseminating research in view of serving narrowly delimited spheres of study, which separate contemporary philosophy from the historical depositories of wisdom and knowledge in non-European traditions. It therefore becomes an urgent call for thinking about this question by those who find themselves trapped in this gap between traditions. It is this space, as the liminal region of the in-between, that we are driven more pressingly to occupy within this current century. We therefore start with conversations, dialogues, exchanges at the margins, and through comparative studies. Eventually, the intensification of such intellectual activities may result in works of synthesis, isomorphic unification, and the merging of horizons which offer novel possibilities for thought and the renewal of philosophy. In this process, many thinkers will continue to adjust their intellectual persona depending on academic readership and scholarly audience, along the lines of dividing disciplines and oscillations over fissures in their philosophical thought, while proceeding by way of leaps from one intellectual tradition to another.
7. FALSAFA IN THIS CURRENT CENTURY?
It is unclear whether the investigation of philosophy, in the shadows of the field of Islamic Studies, and under the specter of Oriental Studies, connects with contemporary philosophy beyond the domains of comparative analysis. Would falsafa emerge in novel forms in our current century, which render it a relevant school of contemporary thought? The implications of this question can extend further in terms of renewing the Chinese or Indian philosophical tradition in response to contemporary philosophy, modernity, techno-science, and the organization of the models of modern episteme and material culture. Yet, the question concerning falsafa remains at this stage more intimately connected with the standpoint of those inspired by the history of ideas in Islam and those who partake in contemporary debates in philosophy.
This set of philosophical interrogations on methods of inquiry that we have traversed so far is meant to act as a prolegomenon to future reflections on this matter, while building on previous attempts to address this question in the endeavor to rekindle the possibilities it may offer in its potential unfolding. Such aspirations have been situated hitherto at the margins of the academic procedures that separate Islamic Studies from philosophy per se within the university curriculum, due to the pedagogical and methodological directives that are professionally controlled by influential authoritative peers in academia. These concrete aspects of academic life, the cultivation of scholarship, the destinings of individual apprentices on career-paths, and the educational shaping of the formative constitution and aggregation of young academics, all point to the actual practicalities of specializing in Islamic philosophy. To gain proper grounding, it is not sufficient to study in a philosophy department, particularly for those who are not native speakers (or have the linguistic competence of native speakers) of the Arabic language (namely, the lingua franca of classical Islamic civilization), or of the Persian or Turkish language (with emphasis on Ottoman, which is not a lived
and practiced linguistic tradition anymore). Besides the need to acquire a solid, or at least, a good working-knowledge of Arabic and/or Persian (or in some cases, of Ottoman Turkish), the research student at advanced graduate studies must also have a firm grounding in the history of ideas in Islam. This curriculum of language, history, and culture is shaped by Middle Eastern Departments and Faculties of Oriental Studies. Added to this is the historical aspect of falsafa as it is principally studied in mainstream academia. This would thus further require grounding in historiography, philology, paleographic textual analysis, and the assessment of manuscripts, along with a specific bent on conducting research through tedious biographical-bibliographical instruments, which rely heavily on annotations, and on reporting relegated narratives, anecdotes, and chronicles of past historians, travelers, commentators, copyists of codices, compilers of compendia, glossators and scholiasts. Having passed through these academic curricula, the research student, or doctoral candidate, who desires specializing in Islamic philosophy, would have been already cultivated as a scholar of Islamic Studies and not as a philosopher per se. Those who are able to retain their interest in contemporary philosophy would then either do it at the margins of their work in Islamic Studies, or they would be affiliated with philosophy departments that offer courses on Islamic philosophy, without conducting the most advanced forms of closely studying texts in their original language. Consequently, students become commentators on the primary sources through the agency of secondary or tertiary literature, and they acquire the reputation of being non-experts in the field as their work is assessed by the established scholars in the field of Islamic Studies. The gap widens with time and career progression, and the opportunities to oscillate between disciplines become narrower and riskier. Hence, a movement from contemporary philosophy toward Islamic Studies in investigating falsafa (or moving the other way round) all appear again as a series of leaps. The picture becomes furthermore unhandsome when Ancient Greek and, at times, Latin, are posited as additional linguistic requirements in the formation of scholars who endeavor to study falsafa, especially when their prospective inquiries are expected to be conducted in a restricted domain of comparativeness from the viewpoint of mediaevalist research that focuses on the documented transmission of knowledge from Greek into Arabic and Arabic into Latin.
8. THE BARRIERS OF CONTEMPORARY PHILOSOPHY
Besides the obstacles that result from the methods of historiography, philology, and paleography (in the domains of Oriental and Islamic Studies), the divisions within contemporary philosophy enact additional epistemic and conceptual barriers in the face of comparative research. Engagement with the history of philosophy from a contemporary standpoint is principally conducted within the so-called ‘Continental School’ in terms of the manner in which it mediates some of its central investigations regarding its critical reinterpretation of the history of philosophical and scientific ideas. Numerous controversies arise within this contemporary movement in philosophizing. For instance, a focus on Heidegger’s critique of the history of metaphysics, which is undertaken against the horizon of the unfolding of science and the essence of technology, is itself burdened by
quarrels within the field of Heideggerian Studies and its reception by philosophers from other intellectual traditions: disputes arise over the interpretation of technical, Heideggerian terms, or with regard to the determination of the course of the development of Heidegger’s thought, or the translation of Heidegger’s edited German texts into English, French or Italian. Additional polemics emerge in terms of the political shadows that are recast in recurrent patterns over Heidegger’s biography, or by way of the diverse forms of opposition that his thought continues to face from the Husserlian phenomenologists and the Analytic philosophers, along with controversies that arise in terms of reading his works through the writings of J.P. Sartre, J. Beaufret, J. Derrida, and E. Levinas.
These multiple barriers become higher and frequently established when we consider the interpretation of the history of philosophy through Heideggerian perspectives. Classicists, mediaevalists, phenomenologists, and analytic philosophers all raise various differential doubts regarding such undertakings. The entirety of such polemics become hypercritical when an attempt is made in interpreting the ontology of Ibn Sīnā (Avicenna) from the standpoint of Heidegger’s critique of the history of metaphysics despite the fact that Avicennism (*al-Sīnawīyya*)\(^6\) belongs to the history of European thought, at least in its Latinate scholasticism, along with the implicit impact it had on foundational figures in modern philosophy, such as Kant and Hegel. The conceptual circumstances are perhaps less harsh when focusing on the *oeuvre* of Merleau-Ponty. Nonetheless, reading the history of science from a phenomenological viewpoint is not without its epistemic and methodological obstacles. These take more severe expressions when the inquiry focuses on the scientific legacies of brilliant polymaths like Ibn al-Haytham (Alhazen), in spite of his direct influence on the history of science in Europe, and even on architectural and artistic practices within the *perspectivae* traditions from the twelfth century until the period of the high Renaissance (El-Bizri, 2009, 2010; Kemp, 1978, pp. 134-61; 1984, 1989; Lindberg, 1971, pp. 66-83; 1997, pp. 355-68). Albeit, one can still resort to elegant combinations of epistemology and the history of science in terms of conducting this line of analysis based on the deployed methods akin to historians like A. Koyré, and more probingly, by thinkers like G. Bachelard, in view of bridging the gap between historical epistemology and the philosophy of science.
**PART II**
**9. CASE-STUDIES**
How can we account for what is named by the appellation ‘*falsafa*’ in contemplation of the locked and suspended philosophical possibilities that remain concealed within the labyrinthine folds of its arrested intellectual histories? We reflect in this sense on the horizons of the renewal of the impetus of philosophical thinking in relation to the history of ideas in Islam, which surpass the limitations of academic assignments, in view of genuinely desiring the unfolding of original
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\(^6\) Avicennism (*al-Sīnawīyya*) constitutes the legacy of Ibn Sīnā (Avicenna) in philosophy and science.
thought that is re-collective, de-structuring, and re-constructive in its modes of revealing the gravity of critically rethinking the inherited conventional methodologies.
In view of this thought-provoking call for thinking, we may tangentially appeal to foundational, classical traditions that had a deep impact on philosophizing in Islam, and exercised a profound influence on European scholarship in both the mediaeval and Renaissance epoch. For the sake of undertaking pathways that may inspire this endeavor, we will now turn to the scenes of instruction within the legacies of two groundbreaking eleventh century polymaths: Ibn Sīnā (Avicenna) and Ibn al-Haytham (Alhazen). Both luminaries offer pointers and directives that may partly assist us in reformulating some of the essential classical questions in ontology and epistemology, respectively in relation to reflections on the questions of being and perception. This line of inquiry presents us with selected philosophical pathways amongst many, which may potentially facilitate the founding of new modes of rethinking falsafa, as it is inspired by the intellectual history in Islam, and in a manner that is oriented by lived aspirations in the unfurling of original thinking.
10. IBN SĪNĀ’S ONTOLOGY
Turning our gaze toward the ontological question concerning being, we reflect on Ibn Sīnā’s philosophical legacy that offers us a concretized intellectual context to investigate the impetus of metaphysics in the history of ideas in Islam. Ibn Sīnā’s ontology constituted one of the most influential legacies of falsafa in the intellectual history of Islamic civilization. This foundational tradition presents us with fundamental ontological notions that can be effectively assessed through dialectical and critical engagements with Heidegger’s thought. The focus on Ibn Sīnā’s ontology may also assist us in initiating a potentially critical dialogue revolving around Heideggerian notions that interrogated the rudiments of classical metaphysical thinking.
Ibn Sīnā’s thinking not only had an impact on Thomism and Scotism, but was also widely assimilated within European mediaeval and Renaissance scholarship. Any philosophical inquiry about the continuance of classical Greek traditions in philosophy within mediaeval schools cannot be complete and probingly thorough unless it takes into account the transmitted contributions of the principal philosophers of mediaeval Islamic civilization in general, and of Avicennism in particular. It would not be an exaggeration to suggest that inquiries about Heidegger’s critique of the history of metaphysics in reference to mediaeval philosophical doctrines would be incomplete if the principal conceptual bearings of Avicennism are not also critically examined, or if the prolongations of this longstanding tradition in classical ontology are not adequately investigated. Ibn Sīnā’s legacy has its own European history, even if it is still considered by some philosophers, historians or theologians (principally in a non-Muslim milieu) as being the tradition of “the (oriental-Muslim) other” that has been veiled within that history. Ibn Sīnā’s metaphysics belongs to the history of classical ontology that has been interrogated by Heidegger, even though Avicennism was not explicitly examined in detail within the Heideggerian legacy.
I do not imply in this context that Heidegger was not aware of the assimilation of Ibn Sīnā’s tradition within the European Latin scholarly circles. However, he might not have fully acknowledged the extent of the influence that has been exercised by Avicennism in that intellectual historical-cultural milieu. It might have been the case that Heidegger implicitly assumed that the entailments of Ibn Sīnā’s metaphysics unquestionably belong to classical ontology, or he did not believe that Avicennism was integral to what he grasped as being the history of (Western) metaphysics.
The effort in reflecting on the fundamental notions of Ibn Sīnā’s ontology, from the standpoint of critically thinking about the entailments of Heidegger’s critique of the history of metaphysics, constitutes an ontological inquiry that is akin, in many aspects, to Heideggerian investigations that have been conducted on classical ontology, including studies on mediaeval European scholars of the caliber of St. Thomas Aquinas, Duns Scotus, Francisco Suárez, or Meister Eckhart. Such ontological inquiry would be principally focused on Ibn Sīnā’s account of being (al-wujūd) in terms of contingency (al-imkān) and necessity (al-wujūb), and in relation to the question concerning the distinction and connection between essence (quiddity; al-māhiyya) and existence (al-wujūd). Additional ontological aspects of Ibn Sīnā’s philosophy relate to his epistemology and his conception of the soul (al-nafs) and its cognitive faculties (El-Bizri, 2003), along with reflections on the logical, etymological and linguistic properties of his metaphysical thinking; this includes the consideration of the innovative conceptual elements in his metaphysics that surpassed many of the notions that were associated with the Aristotelian and Platonist traditions (El-Bizri, 2001, 2006a, 2008a). Taking this into account, the conceptual elements that may be derived from Heideggerian perspectives on scholasticism may well assist us dialectically in investigating the extent of the applicability of Heidegger’s critique of metaphysics across a variety of classical ontological traditions (including Avicennism), while furthermore opening up pathways to rethinking some of the principal notions of Ibn Sīnā’s ontology in terms of relevant contemporary topics of philosophical debate. However, one must proceed in this context with caution given that our grasp of both thinkers (Ibn Sīnā, and Heidegger) is still faced with epistemic and doctrinal difficulties, in addition to variegated querelles d’écoles that surround their legacies.
From a Heideggerian viewpoint, philosophy is in essence an inquiry into being (Die Philosophie ist das Fragen nach dem Sein), and a reflection about the withdrawal of the meaning, truth and place of being (Sein) from thought. Thinking finds its possibilities in displacing the histories of thought, and the epochs that were grounded on them, in the great comings and goings of the foundational seasons in philosophy. The history of metaphysics and classical ontology is said to be a history of the oblivion of the ontological difference between being and beings and its abandonment in thought, which is closely connected to the unfolding of the essence of technology that is not strictly technological, but is essentially a mode of en-framing (Ge-Stell) beings in their being, and positing them as standing-reserve (Bestand). This forgetfulness of being is a mark of the self-persecuting character of the beingness of Dasein, namely, as that being who inquires about its being-in-the-world, and lets being reveal itself (Dasein conceived herein as: être-là, or êtrele-là; Beaufret, 1985; El-Bizri, 2006b, 2006c). The history of philosophy is seen from this perspective as a grand drama of decline despite the heights of our technological age, which in its powerful rationalities, stands at what some picture as being the limits of the closure of metaphysics, its last frontiers, as the end of philosophy!
Heidegger reflected on the question of *being* (*Seinsfrage*) in his investigation of the basic problems of phenomenology in the summer lecture course of 1927 in Marburg (not published until 1975), which complemented the thesis of his major opus, *Sein und Zeit* (published in 1927, yet completed in 1926). Heidegger partly mediated the development of his own fundamental ontology by way of analyzing some of the principal theses of scholasticism regarding the constitution of the *being* of a being in relation to the classical controversy over the distinction and connection between *essentia* and *existentia*. It is well documented in his meditations on this question (in *Die Grundprobleme der Phänomenologie*) that the initial conceptual foundations of this ontological tradition were laid down by Avicenna [Ibn Sīnā] (Heidegger, 1975, p. 113).
The focus on Ibn Sīnā’s ontology can well be mediated by the manner he addresses the question of *being* (*mas’alat al-wujūd*) and the reflection on the internal dialectics that modulate his conception of the ontological bearings of the modalities of necessity and contingency with regard to the relationships between essence and existence, and the determination of the ontological difference between beings and the *being* of beings. This is the case even though the distinction between essence and existence is hinted at with ambivalence in the Aristotelian tradition in terms of thinking about what is intended from the saying, ‘tode ti’ (the ‘thisness’ of a present extant thing, or what in Scotism is designated in Latin as, ‘haecceitas’, namely, ‘singularity in identity’), in contrast with the vague and hard to apprehend expression, ‘to ti ēn einai’ (‘what it was for something to be the thing it is’). And yet, what is aimed at by these utterances, along with the Aristotelian categories, all refer back to the sustaining and leading fundamental meaning of ‘*ousia*’ (‘substance’), which is always said alongside the various meanings of ‘*being*’ (*Metaphysics*, Books *Theta* and *Zeta*; Aristotle, 1924). Consequently, the ontological question concerning the meaning of *being* becomes a metaphysical interrogation about the notion of substance.
Heidegger suggests furthermore that Ibn Sīnā’s distinction between essence and existence underlies the Kantian thesis about *being* (*Kritik der reinen Vernunft: Critique of Pure Reason*; Kant, 1929, A598-B626):
*Being* is obviously not a real predicate; that is, it is not a concept of something which could be added to the concept of a thing; it is merely the positing of a thing, or of certain determinations as existing in-themselves. Logically, it is the copula of a judgment.
This thesis is noted in the context of speculating about the impossibility of having an ontological proof in terms of reflecting on the transcendental dialectical inferences of pure reason. Based on this, *realitas* meant *essentia* and it constituted an ontological problem besides the metaphysical reflections on the meaning of *essentia/substantia*. So, how does ‘reality’ and ‘existence’ belong to a being, let alone their ontological interconnection defined? Moreover, how can the
distinction between essence and existence be interpreted in terms of the ontological difference between beings and *being*? According to Heidegger, the distinction between *essentia* and *existentia* does not correspond with the ontological difference between beings and *being*. Rather, it belongs to one side or the other of this binary bifurcation, namely, by positing primordial essence as an opposite counterpart of primordial existence.
The problem of the *distinctio* and *compositio* between the *essentia* of a being and its *existentia* lies at the roots of the Kantian thesis about *being* (Heidegger, 1975, pp. 109-110). This can be articulated in terms of the following scholastic disjunctive binaries: *ens infinitum* vs. *ens finitum*; *ens increatum* vs. *ens creatum*; *ens necessarium* vs. *ens contingens*; *ens per essentiam* vs. *ens per participationem*; *actus purus* vs. *ens potenziale*; *ens a se* vs. *ens ab alio*; etc. The *ens perfectissimum* is: *ens a se*, *ens infinitum*, *ens increatum*, *ens necessarium*, *ens per essentiam*, *actus purus*. These notions offer Latin renditions of what Ibn Sīnā noted with regard to wājib al-wujūd bi-dhātihi and wājib al-wujūd bi-ghayrihi, namely, by respectively differentiating (in ontological terms): *Necessary-Being-due-to-Its-Self* from *necessary-being-due-to-something-other-than-itself* qua contingent-*being-in-itself* (Ibn Sīnā, 1874, pp. 262-3; 1960, p. 65; 1975, pp. 36-9, 43-7, 350-5; 1985, pp. 255, 261-5, 272-5, 283-5; El-Bizri, 2006a, 2008a). *Necessary-Being-due-to-Its-Self* is without quiddity and definition or description, and Its essence is *being*. The Necessary Existent due to Its-Self as Necessary Being *qua* Necessary Existence/Existing is Pure *Being*. All that can be uttered about Necessary Being is ‘*il y a*’ (Levinas, 1979, pp. 24-30), ‘*es gibt sein*’, ‘there is’, ‘*hunālīka*’...‘*huwa*’...
There is a manifold of dialectical dynamics that surround the meditations on wājib al-wujūd per se: The *Necessary-Existent* is a determinate onto-theological being or existent that moves from pure *being* to determinateness in *being*. To evoke a Hegelian parlance we would say that pure *being* is sublated into determinate *being*, moving from *being*-itself to *being*-within-itself as *being*-for-itself and *being*-for-other. This describes the double movement of emanating otherness from sameness and then re-attracting otherness to sameness. Despite investigating *being qua being*, an onto-theological turn is already attested with Aristotle’s conception of metaphysics as theology, albeit, a new foundational phase in metaphysical thinking arises with the way Ibn Sīnā systemically conferred autonomy to ontology from the determinants of theology in reflecting on the question of *being*.
Ibn Sīnā’s reflections on the relationship between essence and existence, based on the context of his account of the question of *being*, in terms of the modalities of necessity and contingency, found its highest consummation in Hegel’s essentialism in the logical unfolding of *Begriff* (*Wissenschaft der Logik*; Hegel,
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7 In the Islamic context, and in the historical reinterpretations of Ibn Sīnā’s metaphysics, Suhrawardī (fl. 12th cent.) argued in favor of the primacy of essence over existence, while Mullā Sadrā (fl. 17th cent.) affirmed the primacy of existence over essence.
8 The distinction between essence and existence, founded ontologically by Ibn Sīnā, becomes: a *distinctio realis* in Thomism; a *distinctio formalis* or *modalis* in Scotism; and a *distinctio rationis* with Suárez.
9 We reflect here on the onto-theological implications of Levinas’ critical response to Heidegger in terms of thinking about the hypostasis of *l’exister sans existant* (existing without existent).
and prior to the associated Kantian thesis that *being is not a real predicate*, as Heidegger proclaimed (Heidegger, 1975). The matter to be thought is how *being* is the indeterminate immediate universal that is the most abstract and simple self-evidence in *presencing*. This echoes the Kantian proposition that perception is the sole character of actuality, as Kant held in the context of assessing the postulates of empirical thought in his *Kritik der reinen Vernunft* (*Critique of Pure Reason*; Kant, 1929, A225-B273). Perception corresponds in this context to the disclosure of extant beings in perceptual acts. Hence, extant actual existents are perceived beings which are uncovered and disclosed in apperception through the inner-worldly phenomenal fields of perception.
11. TRANSITION
An insight into the line of thinking that may have also converged seeing with knowing can be detected in comparative terms by contemplating the meaning that is aimed at in the first proposition that opens Aristotle’s *Metaphysics*, namely, “pantes anthrōpoi tou eidenai oregontai phuser” (*Metaphysics*; Aristotle, 1924, A, 980a 21). This line is customarily translated as, “All humans by nature desire to know”. However, here is an alternative polemical reading proposed by Heidegger: “Im Sein des Menschen liegt wesenhaft die Sorge des Sehens” (“The care for seeing is essential to the being of the human being”; Heidegger, 1953, section 36). Herein, *eidenai* (to know, to see) is understood as being linked to *eidos* (outward appearance, look) insofar that the latter is construed as being the visible form of something. Knowing is transmuted into an act of seeing, whereby *horan* (sight) brings about knowledge of things more efficiently than all the other senses, and is hence irreducible to, the order of mere sense perception. The correspondence between knowledge and vision is perhaps attested in the manner in which Plato reinforced the cognitive character of *theòria* over that of *epistēmē*, whereby vision shows rather than tells. In addition, and as noted by Aristotle, *horan* highlights the differences between things (*Metaphysics*; Aristotle, 1924, A, 980a 25). Hence, it may be seen as being akin to the etymological root of the word, ‘*theòria*’, whereby the Greek terms ‘*thea*’ (‘spectacle’) and ‘*horao*’ (‘to see’, ‘to look’) are brought together to determine the expression, ‘*theòria*’, which names a concept that refers to the act of seeing a spectacle, or looking at a view (McNeill, 1999, p. 174); the care for seeing intersects with the desire to know. Both find their roots in curiosity and in the modern advent of *Die Zeit des Weltbildes* (The time of the world-picture, or the apprehension of the world as a picture), wherein *theòria* becomes a representational mode of seeing with the human subject turning into the grounding Archimedean vantage point (McNeill, 1999, p. 221). This mode of addressing the question of *being* pulls thought toward reflections on the ontological determinants of perception.
12. IBN AL-HAYTHAM’S PHENOMENOLOGY OF PERCEPTION
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10 In Hegelian essentialism, being is simply the becoming of essence, while the becoming of being is a transition from being to essence.
Although numerous studies have been conducted on the *Optics* (in Arabic: *Kitāb al-manāẓir*; in Latin: *De Aspectibus* or *Perspectivae*) of al-Hasan Ibn al-Haytham (Alhazen, d. ca. 1041 CE; Ibn al-Haytham, 1972, 1983, 1989, 2001, 2002), and on its reception, assimilation and maturation within the *perspectivae* traditions in the history of science and art (Kemp, 1978, pp. 134-61; 1984, 1989; Lindberg, 1971, pp. 66-83; 1997, pp. 355-68), ambiguities still do hitherto surround the epistemological and ontological entailments of his theory of visual perception (El-Bizri, 2005). Ibn al-Haytham’s thinking speaks to us in an effective manner that is relevant in its attuned bearings to the thrust of phenomenological theories of perception, and their connection with the fundamental questions of ontology and epistemology.
Ibn al-Haytham offered an experiential analysis of how the manifestation of a thing in its plenitude through its visible aspects, which are detected in a continuum of manifold appearances, occurs by way of contemplation and bodily spatial-temporal displacement. Vision manifests the fullness of the volumetric massing of a thing as a constituted unified structure through the partial givenness of its apparent aspects in successions of continuous perceptions. This state of affair is illustrated by way of multiple perspectives, such that a thing is never seen in its entirety instantaneously and immediately, since the appearance of some of its sides entail that its remaining aspects are unseen. Hence, a partial disclosure of an opaque object in vision is always associated with the concealment of some of its surfaces. In visual perception, a visible object that is given through direct vision and immediate intuition reveals some of its surfaces or sides while its remaining aspects are veiled. A distinction is posited here between authentic *qua* proper appearances, namely, those which relate to a concrete act of seeing where the sides of the visible object are perceived in immediate intuition and direct vision, and inauthentic *qua* imagined appearances, namely, those which designate the imaginary surplus that accompanies the authentic appearances in the constitutive perception of the object of vision in its imagined totality. So, the full silhouette of a thing is constituted by its spatial-temporal bodily displacement\(^{11}\) and the essential unity between its authentic and inauthentic appearances. Hence, perspective is essentially a phenomenon of the mystery of spatial depth, which demarcates my situation in the world as being distinct from other perceivers, yet, it is also through spatial depth and temporal horizons that my relations with other perceivers and things are opened up.
The object of vision appears as a constant presence despite its optical variations in natural perspective and immediate intuition. Seeing does partly let things self-show themselves as they are, for what appears in the spectacle is led back to an order of familiarity, and, as Ibn al-Haytham showed, seeing is a mode of recognition, discernment, and comparative measure (*al-ma’rifa wa-al-tamyīz wa-al-qiyās*)\(^{12}\) that allows what appears to self-show itself as it is given in its own
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\(^{11}\) This refers to the movement of the perceiver around the object of vision and/or the movement of the object of vision itself in such a way that its sides are revealed in succession to the observer.
\(^{12}\) Ibn al-Haytham offered a physiological-neurological-psychological analysis of visual perception that went beyond the geometrical-physical explication in optics of the introduction of light rays into the eyes. Based on Ibn al-Haytham’s experimental explanations (which rested on mathematics, physics, anatomy, and a series of experiential tests), only light *qua* light and color
apparition in presencing. However, the semblance of constancy in presence is not guaranteed after the lapping of a considerable period of time, given that things are subject to becoming and change (*al-taghayyur*).
Space-time, depth and place, as well as the corporeal engagement of the observer within the spectacle, all ground perception and its veridical potentials. It is through movement that the partial self-givenness of the formal reality of what is seen is affirmed in its wholeness. Perceptual acts are affirmed and corrected by other complementary verifying perceptions, whereby judgments resulting from certain errors in vision get rectified by way of additional verified data that rest on the acuity and sensitivity of vision itself, rather than doing away with the epistemic possibilities that this powerful perceptual capacity offers to cognition.\(^{13}\) Investigating the veridical conditions of vision in the science of optics was pivotal in Ibn al-Haytham’s endeavor to mathematize the notions of physics (El-Bizri, 2007a, 2008c), and to establish the foundations of scientific experimentation (*al-i’tibār*) and controlled testing, as they were grounded on the accurate registering of repeated observational data and geometrical modeling in determining the procedures of verification, demonstration, and proof. The precision of Ibn al-Haytham’s experiments was remarkable to the level that most of his tests, with their corresponding scientific instruments and designed experimental installations, were accurately reconstructed and reenacted about three centuries later by Kamāl al-Dīn al-Fārisī, as described in the latter’s *Tanjīh al-manāzir* (*The Recension of [Ibn al-Haytham’s] Optics*), and resulted in the reconfirmation of most of Ibn al-Haytham’s observations and data (al-Fārisī, 1928).
Following phenomenological directives, we note that something lets itself be brought to light or brightness in its appearing, and self-shows itself from itself, in that very condition of being lit and visible to a presencing observer. This event describes the unfurling of what may be referred to in Greek as, “*apophainesthai ta phainomena*”, namely, “what shows itself from itself, just as it shows itself from itself”. It is ultimately a translation of the maxim that animates phenomenology: “*zu den Sachen selbst*” (“to the things themselves”). And phenomenology is conceived here as being a fundamental ontology (*Fundamentalontologie*) that elucidates the question of *being* (*Seinsfrage*) by way of a hermeneutic and eidetic reflection on what is pointed out by the appellations, ‘*phainō*’, (bringing beings to light or brightness), ‘*phainesthai*’ (showing itself from itself), and ‘*phainomenon*’ (what self-shows itself from itself). In other words, a phenomenon becomes
\(^{13}\) It is perhaps the case that the stationary gaze of Descartes on objects of vision might have led him to distrust the veridical conditions of sense perception as delineated in his *Meditationes de Prima Philosophiae* [*Meditation on First Philosophy*] (Descartes, 1993). It is worth stating herein that Ibn al-Haytham’s account of the normal conditions of sight involve the following parameters: 1- The viewed object must be bright; 2- the distance between the object and the eye should be optimal (not too close and not too far); 3- the object should be in a plane with the eye; 4- the body of the object should have a proper volume; 5- if the body is transparent it should still allow for the trapping of some light rays; 6- a completely transparent body that does not trap any light rays is virtually invisible; 7- the distance between the viewer and the object of vision should comprise a transparent space; 8- the viewer should have sufficient time to view the object of vision; 9- the eye should be healthy; 10- the eye should be able to concentrate on the object vision (Ibn al-Haytham, 1983 and 1989, sections I.2 [1-26], I.8 [1-11]; El-Bizri, 2005).
indicative of itself, and already presupposes a perceiver, whereby appearance does not conceal the essence of a thing as much as it reveals it in presencing, if not even by letting essence become self-shown as an apparition (Heidegger, 1953, section 7; Sartre, 1943, pp. 11-6).
The thrust of Ibn al-Haytham’s theory of visual perception implicitly points to the possibilities of grasping optics, not merely as a scientific discipline that inquires about the conditions of sight and light in terms of an epistemology of photosensitive surfaces, but more as an eidetic inquiry about the constitution of forms in their essential ordering of geometric structures that is grounded on experiential and experimental verifications.
Vision is a mode of de-distancing that brings things that are not at hand nearer from their remoteness, and renders beings accessible even from afar. Linear perspective (*perspectivae artificialis*), and its pictorial order, does demarcate a distance between the eye of the observer and the objects of vision. Nonetheless, it de-distances beings in sight by assimilating the spectacle in the form of a picture. However, the distances or intervals that are cleared by vision, and accordingly brought into nearness in de-distancing, are not objective or measurable as such. Rather, they are existentially estimated in the very circumspect act of seeing as a spatial mode of encountering beings in de-distancing. In this context, Ibn al-Haytham affirmed experimentally the visibility of spatial depth (*Kitāb al-manāzir*, II.3 [67-126]; Ibn al-Haytham, 1983, 1989) in contrast with the eighteenth century immaterialist thesis of Berkeley.\(^{14}\) After all, Berkeley believed that the distance from the eye to a given object of vision, as spatial depth, cannot be immediately perceived, but only suggested by mental cues offered to vision. Berkeley argued that sight does not show or in any way inform us that the visual object, which we immediately perceive, exists at a distance, given that objects produce two-dimensional projections on the retina. As a consequence, there cannot be an immediate vision of space or three-dimensionality. Furthermore, spatial depth cannot be perceived, but is simply experienced, and so is the case with the estimation of the size of objects at a remote distance. Relying on the convergence of the eyes in judging the cues of the apparent size of a visible object, Berkeley, following the classical mathematicians (mainly Euclidean and Ptolemaic) who were critically interrogated by Ibn al-Haytham on this question, evokes the angle of vision as the principal estimative determinant.
The philosophical thrust of the affirmation of the visibility of depth by Ibn al-Haytham is best elucidated in Merleau-Ponty’s phenomenological analysis of the perception of space (Merleau-Ponty, 1945, pp. 294-309; El-Bizri, 2004). Based on our experiential situation in the world, we are not granted the simultaneous immediacy of seeing depth from our perspective, as well as seeing it in profile from the position of a viewer who looks at it laterally. However, this does not readily reduce the primacy of depth (*profondeur*) into simply being a dimension like breadth (*largeur*), given that *depth* is the most existential of all the dimensions, since it intrinsically belongs to our personal perspective that offers a
\(^{14}\) Refer to Berkeley’s views in: sections 2-28, 41-51 of *An Essay towards a New Theory of Vision* (1709); sections 43-44 of *A Treatise Concerning the Principles of Human Knowledge* (1710); the first dialogue in *Three Dialogues between Hylas and Philonous* (1713), along with remarks in *The Theory of Vision Vindicated and Explained* (1733); (Berkeley, 1948-1957; 1965).
self-openness to the world and onto an inter-subjective worldly otherness. Being the ground of our perspective on things, depth furnishes us with a space of openness to communicate with others by way of merging the horizons of our fields of vision and sensory perception, along with the associated exchange of signifiers that rest on this lived inter-subjective experience of our being-in-the-world (*In-der-Welt-sein; être-dans-le-monde*). *Depth* is ultimately the dimension by which things appear as enveloping one another rather than being juxtaposed. Unlike mathematical representations, depth highlights the manner in which reality impinges on and confronts us with a sense of mystery in its eventful presentations that call for thinking about the place of *being*, truth and meaning.
Based on this introductory inquiry, and upon other complementary studies that were highlighted in the accompanying annotations, it is hoped that novel pathways for rethinking Islamic intellectual history, from the standpoint of contemporary philosophical debates, can indeed be undertaken in view of renewing the impetus of philosophizing in relation to Islam.
**ACKNOWLEDGEMENTS**
I thank Bo Mou, the Editor of *Comparative Philosophy*, and the three anonymous referees for their helpful comments which assisted me in refining this paper.
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THE LOGIC OF THE CATUSKOTI
GRAHAM PRIEST
ABSTRACT: In early Buddhist logic, it was standard to assume that for any state of affairs there were four possibilities: that it held, that it did not, both, or neither. This is the catuskoti (or tetralemma). Classical logicians have had a hard time making sense of this, but it makes perfectly good sense in the semantics of various paraconsistent logics, such as First Degree Entailment. Matters are more complicated for later Buddhist thinkers, such as Nagarjuna, who appear to suggest that none of these options, or more than one, may hold. The point of this paper is to examine the matter, including the formal logical machinery that may be appropriate.
Keywords: catuskoti, tetralemma, Buddhist logic, unanswerable questions, Nagarjuna, Mulamadhyamakakarika, truth predicate, paraconsistency, First Degree Entailment, many-valued logic, relational semantics
1 INTRODUCTION: ENTER THE CATUSKOTI
The catuskoti\(^1\) is a venerable principle in Buddhist logic. How it was deployed seems to have varied somewhat over the thousand-plus years of Indian Buddhism. However, it was clearly a contentious principle in the context of Indian logic. It is equally contentious to modern commentators, though the contention here is largely in how to understand it\(^2\)—including how to interpret it in terms of modern logic. As one modern commentator puts it (Tillemans 1999, 189):
Within Buddhist thought, the structure of argumentation that seems most resistant to our attempts at a formalization is undoubtedly the catuskoti or tetralemma.
---
\(^1\)Actually, catuskoti, but I ignore the diacriticals in writing Sanskrit words, except in the bibliography.
\(^2\)For a review, see Ruegg 1977, 39 ff.
For a start, the *catuskoti*, whatever it is, is something which sails very close to the wind of violating both the Principles of Excluded Middle and of Non-Contradiction. Commentators who know only so-called “classical” logic, in particular, are therefore thrown into a tizzy.
The point of this article is to make sense of the *catuskoti* from the enlightened position of paraconsistent logic. I shall not attempt to discuss all the historical thinkers who appealed to the *catuskoti*. I shall be concerned mainly with how it functioned in the thought of Nagarjuna and his Madhyamaka successors. Here, its use is, perhaps, both the most sophisticated and the most puzzling.\(^1\)
2 A FIRST APPROACH
2.1 BACK TO THE BEGINNING
But let us start at the beginning. In the West, the *catuskoti* is often called by its Greek equivalent, the *tetralemma*, meaning ‘four-corners’. The four corners are four options that one might take on some question: given any question, there are four possibilities, *yes, no, both*, and *neither*.
Who first formulated this thought seems to be lost in the mists of time, but it seems to be fairly orthodox in the intellectual circles of Gotama, the historical Buddha (c. 6c BCE). Thus, canonical Buddhist texts often set up issues in terms of these four possibilities. For example, in the *Mijjhima-Nikaya*, when the Buddha is asked about one of the profound metaphysical issues, the text reads as follows:\(^2\)
‘How is it, Gotama? Does Gotama believe that the saint exists after death, and that this view alone is true, and every other false?’
‘Nay, Vacca. I do not hold that the saint exists after death, and that this view alone is true, and every other false.’
‘How is it, Gotama? Does Gotama believe that the saint does not exist after death, and that this view alone is true, and every other false?’
‘Nay, Vacca. I do not hold that the saint does not exist after death, and that this view alone is true, and every other false.’
‘How is it, Gotama? Does Gotama believe that the saint both exists and does not exist after death, and that this view alone is true, and every other false?’
‘Nay, Vacca. I do not hold that the saint both exists and does not exist after death, and that this view alone is true, and every other false.’
‘How is it, Gotama? Does Gotama believe that the saint neither exists nor does not exist after death, and that this view alone is true, and every other false?’
‘Nay, Vacca. I do not hold that the saint neither exists nor does not exist after death, and that this view alone is true, and every other false.’
\(^1\) As Tillemans 1999, 189, notes.
\(^2\) Radhakrishnan and Moore 1957, 289 f. The word ‘saint’ is a rather poor translation. It refers to someone who has attained enlightenment, a Buddha (Tathagata).
It seems clear from the dialogue that the Buddha’s interlocutor thinks of himself as offering an exclusive and exhaustive disjunction from which to choose. True, the Buddha never endorses any of the positions offered—on this and other similar “unanswerable” questions. But a rationale commonly offered for this is that these matters are of no soteriological importance; they are just a waste of time.\footnote{See Ruegg 1977, 1-2.} Thus, in the \textit{Cula-Malunkyovada Sutta}, we read (Thanissaro 1998):
It’s just as if a man were wounded with an arrow thickly smeared with poison. His friends and companions, kinsmen and relatives would provide him with a surgeon, and the man would say, ‘I won’t have this arrow removed until I know whether the man who wounded me was a noble warrior, a priest, a merchant, or a worker.’ He would say, ‘I won’t have this arrow removed until I know the given name and clan name of the man who wounded me… until I know whether he was tall, medium, or short… until I know whether he was dark, ruddy-brown, or golden-colored… until I know his home village, town, or city….’ The man would die and those things would still remain unknown to him.
In the same way, if anyone were to say, ‘I won’t live the holy life under the Blessed One as long as he does not declare to me that ‘The cosmos is eternal,’… or that ‘After death a Tathagata neither exists nor does not exist,’ the man would die and those things would still remain undeclared by the Tathagata….
So, Malunkyaputta, remember what is undeclared by me as undeclared, and what is declared by me as declared. And what is undeclared by me? ‘The cosmos is eternal,’ is undeclared by me. ‘The cosmos is not eternal,’ is undeclared by me. … ‘After death a Tathagata exists’… ‘After death a Tathagata does not exist’… ‘After death a Tathagata both exists and does not exist’… ‘After death a Tathagata neither exists nor does not exist,’ is undeclared by me.
And why are they undeclared by me? Because they are not connected with the goal, are not fundamental to the holy life. They do not lead to disenchantment, dispassion, cessation, calming, direct knowledge, self-awakening, unbinding. That’s why they are undeclared by me.
However, in some of the sutras there is a hint of something else going on, in that the Buddha seems to explicitly reject all the options—perhaps on the ground that they have a common false presupposition. Thus, in the \textit{Mijjhima-Nikaya}, the Buddha says that none of the four kotis ‘fits the case’ in such issues. When questioned how this is possible, he says (Radhakrishnan and Moore 1957, 290):
But Vacca, if the fire in front of you were to become extinct, would you be aware that the fire in front of you had become extinct?
Gotama, if the fire in front of me were to become extinct, I would be aware that the fire in front of me had become extinct.
But, Vacca, if someone were to ask you, ‘In which direction has the fire gone,—east, or west, or north, or south?’ what would you say O Vacca?
The question would not fit the case, Gotama. For the fire which depended on fuel of grass and wood, when all that fuel has gone, and it can get no other, being thus without nutriment, is said to be extinct.
Here lie the seeds of future complications. We will come to them in due course. For the moment, I just note that it appears to be the case that the orthodox view at the time was that the four options are mutually exclusive and exhaustive choices.\footnote{See Ruegg 1977, 1.}
The choice is stated more tersely and explicitly by later thinkers. For example, Aryadeva, Nagarjuna’s disciple writes (Tillemans 1999,189):
Being, non-being, [both] being and non-being, neither being [nor] non-being: such is the method that the wise should always use with regard to identity and all other [theses].
And in the \textit{Mulamadhyamakakarika} (hereafter, MMK) Nagarjuna frequently addresses an issue by considering these four cases. Thus, in ch. XXV, he considers nirvana. First, he considers the possibility that it exists (vv. 4-6); then that it does not exist (vv. 7-8); then that it both exists and does not exist (vv. 11-14); and finally, that it neither exists nor does not (vv. 14-15). We will come back to this passage later as well.
For the moment, all we need to note is that in the beginning the \textit{catuskoti} functioned as something like a Principle of the Excluded Fifth. Aristotle held a principle of the Excluded Third: any statement must be either true or false; there is no third possibility; moreover, the two are exclusive. In a similar but more generous way, the \textit{catuskoti} gives us an exhaustive and mutually exclusive set of four possibilities.
\subsection{THE CATUSKOTI: SOME DEAD ENDS}
So much for the basic idea, which is clear enough. The question is how to transcribe it into the rigor of modern logic. The simple-minded thought is that for any claim, $A$, there are four possible cases:
(a) $A$
(b) $\neg A$
(c) $A \land \neg A$
(d) $\neg(A \lor \neg A)$
(c) will wave red flags to anyone wedded to the Principle of Non-Contradiction—but the texts seem pretty explicit that you might have to give this away. There are worse problems. Notably, assuming De Morgan’s laws, (d) is equivalent to (c), and so the two kotis collapse. Possibly, one might reject the Principle of Double Negation, so that (d) would give us only $\neg A \land \neg \neg A$. But there are worse problems. The four cases are supposed to be exclusive; yet case (c) entails both cases (a) and (b). So the corners again collapse.
The obvious thought here is that we must understand (a) as saying that $A$ is true and not false. Similarly, one must understand (b) as saying that $A$ is false and not true. Corners (a) and (b) then become: $A \land \neg\neg A$ and $\neg A \land \neg A$ (i.e., $\neg A$). Even leaving aside problems about double negation, case (c) still entails case (b). We are no better off.
Unsurprisingly, then, modern commentators have tried to find other ways of expressing the *catuṣkoṭi*. Robinson (1956, 102 f.) suggests understanding the four corners as:
(a) $\forall x A$
(b) $\forall x \neg A$
(c) $\exists x A \land \exists x \neg A$
(d) $\neg \exists x A \land \neg \exists x \neg A$
The artifice of using a quantifier is manifest. Claims such as ‘The Buddha exists after death’ and ‘The cosmos is infinite’ have no free variable. How, then, is a quantifier supposed to help? And why choose that particular combination of universal and particular quantifiers? Even supposing that one could smuggle a free variable into these claim somehow, case (d) entails case (b) (and absent a misbehaviour of double negation, it entails (a) as well).
Tillemans (1999, 200) enumerates the four corners, slightly more plausibly, as:
(a) $\exists x A$
(b) $\exists x \neg A$
(c) $\exists x (A \land \neg A)$
(d) $\exists x (\neg A \land \neg \neg A)$
But we still have the problem of an apparently spurious quantifier. And unless double negation fails, corners (c) and (d) collapse into each other. Even if not, case (c) entails cases (a) and (b). Moreover, Tillemans’ stated aim is to retain classical logic,\footnote{See Tillemans 1999, 200.} in which case, case (c) (and case (d)) are empty. This hardly seems to do justice to matters.
Some commentators have suggested using a non-classical logic. Thus, Staal (1975, 47) suggests using intuitionist logic, so the corners become:
(a) $A$
(b) $\neg A$
(c) \( A \land \neg A \)
(d) \( \neg A \land \neg \neg A \)
Moving to intuitionist logic at least motivates the failure of double negation. But case (c) still entails cases (a) and (b), and case (d) entails case (b). To add insult to injury, cases (c) and (d) are empty.\(^1\)
Westerhoff (2010, ch. 4) suggests using two kinds of negation. Let us use \( \times \) for a second kind of negation. The four corners are then formulated as:
(a) \( A \)
(b) \( \neg A \)
(c) \( A \land \neg A \)
(d) \( \times (A \lor \neg A) \)
We still have case (c) entailing cases (a) and (b). We can perhaps avoid this by formulating them as \( A \land \times \neg A \) and \( \neg A \land \times A \). So we have:
(a) \( A \land \times \neg A \)
(b) \( \neg A \land \times A \)
(c) \( A \land \neg A \)
(d) \( \times (A \lor \neg A) \)
What consequences this formulation has depends very much on how one thinks of \( \times \) as working, and how, in particular, it interacts with \( \neg \). Westerhoff points to the standard distinction in Indian logic between paryudasa negation and prasaja negation, the former being, essentially, predicate negation; the latter, essentially, sentential negation. As he points out, the distinction will not be immediately applicable here, since both \( \neg \) and \( \times \) are obviously sentential.
\(^1\)This is not quite fair to Staal. His suggestion arises in connection with the possibility of rejecting all four kotis. We then have:
(a) \( \neg A \)
(b) \( \neg \neg A \)
(c) \( \neg (A \land \neg A) \)
(d) \( \neg (\neg A \land \neg \neg A) \)
Cases (c) and (d) at least now have truth on their side, but vacuously: they subsume every other case.
point, he takes it, is that *paryudasa* negation preserves various presuppositions of the sentence negated. Thus, it may be held, ‘the King of France is bald’ and ‘the King of France is not bald’, both presuppose that there is a King of France, and so may both fail to be true. Call this an *internal* negation. Whereas, ‘it is not the case that the King of France is bald’ holds simply if ‘the King of France is bald’ *fails* to hold; and one reason why it may fail to do so is that a presupposition fails. Call this an *external* negation. The thought, then, is that $\neg$ is an internal negation and $\times$ is an external negation.
On this account, $\neg A$ would seem to entail $\times A$: ‘The king of France is not bald’ entails ‘It is not the case that the King of France is bald’. If this is so, case (c) of the four kotis cannot hold: $A$ cannot both hold and fail to hold. But even setting this aside, the move seems somewhat *ad hoc*, since there is no textual evidence that negation is functioning in two different ways in the *catuskoti*. And if it is, there would seem to be lots more cases to consider, since every negation in our original *catuskoti* is potentially ambiguous. Every way of disambiguating is going to be a separate case. (Though some of these may be logically interconnected.) Why choose just the ones Westerhoff lights on?
### 3 A FORMULATION OF THE *CATUSKOTI*
#### 3.1 A SYNTACTIC FORMULATION
Doubtless there is more to be said about all these matters. However, with the help of some other non-classical logics, we will now see how one can do justice to the logic of the *catuskoti*.
A very natural way of expressing the thought that claims are true, false, both, or neither, is with a truth predicate. So let us use $T$ and $F$ for the predicates ‘is true’ and ‘is false’. Angle brackets will act as a name-forming operator. Thus, $\langle A \rangle$ is the name of $A$. In fact, it begs no question to define $F \langle A \rangle$ as $T \langle \neg A \rangle$; so we will do this. Given the context, it makes sense to assume that $T \langle A \rangle$ and $F \langle A \rangle$ are independent of each other—this is exactly how truth behaves in logics with truth value gaps and gluts; thus, from the fact that the one holds or fails follows nothing about whether the other does. We may then define four predicates as follows:
- $T \langle A \rangle$ is $T \langle A \rangle \land \neg F \langle A \rangle$
---
1 Westerhoff suggests interpreting the external negation as an illocutory negation (p. 78); that is, as the speech act of denial. (See Priest 2006b, ch. 6.) This, indeed, has a certain appeal. A problem with the approach, however, is that it makes no sense to put illocutory acts in propositional contexts. Thus, the first two of the four kotis (at least as I reformulated them) make no sense. Worse: once the possibility of denying all four kotis is on the table, the rejection of the fourth koti would have to be expressed as $\times \times (A \lor \neg A)$. This makes no sense, since $\times$ does not iterate.
• $F \langle A \rangle$ is $\neg T \langle A \rangle \land F \langle A \rangle$
• $B \langle A \rangle$ is $T \langle A \rangle \land F \langle A \rangle$
• $N \langle A \rangle$ is $\neg T \langle A \rangle \land \neg F \langle A \rangle$
I will call these four status predicates. The catuṣkoṭi can be formulated simply as the schema:
C1: $T \langle A \rangle \lor F \langle A \rangle \lor B \langle A \rangle \lor N \langle A \rangle$
plus claims to the effect that the disjuncts are pairwise exclusive, that is:
C2: $\neg (S_1 \langle A \rangle \land S_2 \langle A \rangle)$
where $S_1$ and $S_2$ are any distinct status predicates.
Given that there is no logical relationship between $T$ and $F$, there is no threat that any of the cases are vacuous, or that they collapse into each other. Thus, for example, as we have observed $\neg (A \lor \neg A)$ plausibly collapses into $A \land \neg A$; but $\neg (T \langle A \rangle \lor F \langle A \rangle)$, though it entails $\neg T \langle A \rangle \land \neg F \langle A \rangle$ does not collapse into $T \langle A \rangle \land F \langle A \rangle$. To see this, just consider the following picture. I number the quadrants for reference:
\[
\begin{array}{c|c}
1 & 2 \\
- & + \\
- & - \\
- & - \\
4 & 3 \\
\end{array}
\]
The truths are in the left-hand side; the falsehoods are in the bottom half. To say $T \langle A \rangle$ is to say that $A$ is in quadrant 1; to say that $F \langle A \rangle$ is to say that $A$ is in quadrant 3. Thus, to say that $\neg (T \langle A \rangle \lor F \langle A \rangle)$ is to say that $A$ is in quadrants 2 or 4. By contrast, to say that $T \langle A \rangle \land F \langle A \rangle$ is to say that $A$ is in quadrants 1 and 3, which is impossible.
There is, however, presumably more to be said about truth. The most obvious thing is the $T$-schema: $T \langle A \rangle \leftrightarrow A$, for some appropriate biconditional (and its mate the $F$-schema: $F \langle A \rangle \leftrightarrow \neg A$, which is just a special case, given our definition of $F$). I do not know of any Indian textual sources that endorse this, but it seems so natural and obvious that it is plausible that it was taken for granted. In Western philosophy it has been problematised by paradoxes such as the Liar. But, again as far as I know, there is no awareness of these in early Indian philosophy. A little
care must be taken with the biconditional in question. One may be tempted to reason as follows:
\[
\begin{align*}
T \langle A \rangle &\leftrightarrow A & T\text{-schema} \\
\neg A &\leftrightarrow \neg T \langle A \rangle & \text{Contraposition} \\
T \langle \neg A \rangle &\leftrightarrow \neg A & T\text{-schema} \\
T \langle \neg A \rangle &\leftrightarrow \neg T \langle A \rangle & \text{Transitivity}
\end{align*}
\]
(And similarly, \(F \langle \neg A \rangle \leftrightarrow \neg F \langle A \rangle\).) If this reasoning is successful, we suffer collapse of the kotis. \(T \langle A \rangle\), that is, \(T \langle A \rangle \land \neg F \langle A \rangle\), collapses into \(T \langle A \rangle \land T \langle \neg \neg A \rangle\), that is, \(T \langle A \rangle\) (assuming double negation); and \(F \langle A \rangle\), that is, \(F \langle A \rangle \land \neg T \langle A \rangle\), collapses into \(T \langle \neg A \rangle \land T \langle \neg A \rangle\), that is, \(F \langle A \rangle\). So \(\neg (T \langle A \rangle \lor F \langle A \rangle)\) is equivalent to \(\neg T \langle A \rangle \land \neg F \langle A \rangle\), that is, \(\neg T \langle A \rangle \land \neg F \langle A \rangle\), that is, \(F \langle A \rangle \land T \langle A \rangle\), which is equivalent to \(T \langle A \rangle \land F \langle A \rangle\).
Fortunately, then, we do not have to take the appropriate biconditional to be contraposible.\(^1\) And neither should we if we take the four corners seriously. To say that \(T \langle \neg A \rangle\) is to say that \(A\) is in quadrants 3 or 4 of our diagram; whilst to say that \(\neg T \langle A \rangle\) is to say that \(A\) is quadrants 2 or 3. Quite different things.
The \(T\)-schema certainly does have ramifications, however. For if quadrant 4 of our diagram is not vacuous, there are some \(A\)s such that \(T \langle A \rangle \land F \langle A \rangle\), and so that \(A \land \neg A\). We have, then, the possibility of dialetheism. As we have already noted, however, the recognition of the possibility of this is quite explicit in canonical statements of the catuskoti.
### 3.2 FIRST DEGREE ENTAILMENT
What, however, of the semantics of the language used to formulate the catuskoti, and the notion of validity which goes with it?\(^2\) Given the final observation of the previous section, the logic must be paraconsistent, but nothing much else seems forced on us.
Still, there is an answer that will jump out at anyone with a passing acquaintance with the foundations of relevant logic. First Degree Entailment (FDE) is a system of logic that can be set up in many ways, but one of these is as a four-valued logic whose values are \(t\) (true only), \(f\) (false only), \(b\) (both), and \(n\) (neither). The
---
\(^1\)See Priest 1987, chs 4 and 5.
\(^2\)Let me be precise about the language in question. Its formulas are defined by a joint recursion. Any propositional parameter is an atomic formula; if \(A\) is any formula, \(T \langle A \rangle\) is an atomic formula; if \(A\) and \(B\) are formulas, so are \(\neg A\), \(A \lor B\), and \(A \land B\). Given this syntax, the specifications of the extension of \(T\) and of truth in an interpretation may proceed by a similar joint recursion.
values are standardly depicted by the following Hasse diagram:
\[
\begin{array}{c}
t \\
\uparrow \\
b \\
\downarrow \\
f \\
\end{array}
\quad
\begin{array}{c}
n \\
\downarrow \\
f \\
\end{array}
\]
Negation maps $t$ to $f$, vice versa, $n$ to itself, and $b$ to itself. Conjunction is greatest lower bound, and disjunction is least upper bound. The set of designated values, $D$, is $\{t, b\}$.\footnote{See Priest 2008, ch. 8.} The four corners of truth and the Hasse diagram seem like a marriage made for each other in a Buddhist heaven.\footnote{As observed in Garfield and Priest 2009.} So let us take FDE to provide the semantics and logic of the language.
FDE can be characterised by the following rule system. (A double line indicates a two-way rule, and overlining indicates discharging an assumption.)\footnote{See Priest 2002, 4.6.}
\[
\frac{A, B}{A \land B} \quad \frac{A \land B}{A \ (B)}
\]
\[
\frac{\overline{A}}{A \ (B)} \quad \frac{A \lor B}{A \lor B} \quad \frac{C}{C}
\]
\[
\frac{\neg(A \land B)}{\neg A \lor \neg B} \quad \frac{\neg(A \lor B)}{\neg A \lor \neg B} \quad \frac{\neg\neg A}{A}
\]
FDE does not come furnished with the predicates $\mathbf{T}$ and $\mathbf{F}$, so we need to say how these are to be taken to work in the context of the semantics. We are taking $\mathbf{F}\langle A \rangle$ to be defined as $\mathbf{T}\langle \neg A \rangle$. So we need only concern ourselves with $\mathbf{T}\langle A \rangle$. A thought that suggests itself is to take the value of $\mathbf{T}\langle A \rangle$ to be the same as that of $A$. But that will not do, since it will validate the contraposed $T$-schema. Another plausible suggestion is to let $\mathbf{T}\langle A \rangle$ be $t$ if $A$ is $t$ or $b$, and $f$ if $A$ is $n$ of $f$. That would do the trick (for the moment). However, for reasons that will become clearer later, I will weaken the condition slightly. Let us require that:
- If the value of $A$ is in $D$, so is that of $\mathbf{T}\langle A \rangle$
• If the value of $A$ is not in $D$, the value of $\mathbf{T}\langle A \rangle$ is $f$
These conditions generate the values illustrated in the following table for $T$, $F$, $B$, and $N$, as may easily be checked:
| $A$ | $T\langle A \rangle$ | $B\langle A \rangle$ | $F\langle A \rangle$ | $N\langle A \rangle$ |
|-----|----------------------|----------------------|----------------------|----------------------|
| $t$ | $t$ or $b$ | $f$ | $f$ | $f$ or $b$ |
| $b$ | $b$ or $f$ | $t$ or $b$ | $b$ or $f$ | $f$ or $b$ |
| $f$ | $f$ | $f$ | $t$ or $b$ | $f$ or $b$ |
| $n$ | $f$ | $f$ | $f$ | $t$ |
As can be seen, if $A$ takes some value, the statement to the effect that it takes that value is designated. (Look at the diagonal, top left to bottom right.)
These truth conditions validate the formal statements of the catuṣkoṭi. Thus, consider **C1**: $T\langle A \rangle \lor F\langle A \rangle \lor B\langle A \rangle \lor N\langle A \rangle$. Whatever value a sentence takes, the limb of the disjunction stating that it takes that value will be designated, as, then, will be the disjunction. For **C2**: any statement of the form $S_1\langle A \rangle \land S_2\langle A \rangle$ will contain a sub-conjunction of the form $\mathbf{T}\langle A \rangle \land \neg\mathbf{T}\langle A \rangle$ or $\mathbf{F}\langle A \rangle \land \neg\mathbf{F}\langle A \rangle$. (Given the definition of $\mathbf{F}$, the second is just a special case of the first, so just consider this.) Then $\neg(S_1\langle A \rangle \land S_2\langle A \rangle)$ will be equivalent to a disjunction which has a part of the form $\mathbf{T}\langle A \rangle \lor \neg\mathbf{T}\langle A \rangle$. If $A$ is designated, so is the first disjunct; if it is not, the second one is. Hence, the whole disjunction is designated.
As for the $T$-schema, FDE contains no real conditional connective. To keep things simple, we can take the biconditional in the Schema to be bi-entailment. That is, $A \leftrightarrow B$ is: $A \models B$ and $B \models A$.\footnote{FDE can be extended to contain an appropriate conditional operator, as can all the logics we will meet in this paper. I ignore this topic, since it is irrelevant for the matter at hand.} The truth conditions for $\mathbf{T}$ clearly now deliver the validity of the Schema, though not its contraposed form, since we may have $\mathbf{T}\langle A \rangle$ being $t$ while $A$ is $b$. In this case, $\neg A$ will be $b$ when $\neg\mathbf{T}\langle A \rangle$ is $f$, so $\neg A \not\models \neg\mathbf{T}\langle A \rangle$.
The rule system for FDE can be made sound and complete with respect to $\mathbf{T}$ by adding the following rules:
$$\frac{A}{\mathbf{T}\langle A \rangle} \quad \frac{\mathbf{T}\langle A \rangle \lor \neg\mathbf{T}\langle A \rangle}{.}$$
Call these the $T$ rules. And call the rule system obtained by adding these to FDE, $FDES$ (‘S’ or status.) FDES is sound and complete with respect to the semantics. The proof of this may be found in the technical appendix to this essay.
4 REJECTING ALL THE KOTIS
4.1 BUT THINGS ARE MORE COMPLICATED
So far, so good. Things get more complicated when we look at the way that the *catuṣkoṭi* is deployed in later developments in Buddhist philosophy—especially in the way it appears to be deployed in the writings of Nagarjuna and his Madhyamaka successors.
We have taken the four corners of truth to be exhaustive and mutually exclusive. The trouble is that we find Nagarjuna appearing to say that sometimes none of the four corners may hold. For example, he says, MMK XXII: 11, 12:
‘Empty’ should not be asserted.
‘Non-empty; should not be asserted.
Neither both nor neither should be asserted.
These are used only nominally.
How can the tetralemma of permanent and impermanent, etc.
Be true of the peaceful?
How can the tetralemma of finite, infinite, etc.
Be true of the peaceful?
and at MMK XXV: 17, we have:
Having passed into nirvana, the Victorious Conqueror
Is neither said to be existent
Nor said to be nonexistent.
Neither both nor neither are said.
(We have already noted that there are hints of this sort of thought in some early Buddhist statements.) Rejecting all four kotis is sometimes called the ‘fourfold negation’. And just to confuse matters, the word ‘*catuṣkoṭi*’ is sometimes taken to refer to this.\(^3\)
To make things even more confusing, Nagarjuna sometimes seems to say that *more* than one of the kotis can hold, even all of them. So MMK XVIII: 8 tells us that:
---
\(^1\) Translations of the MMK are taken from Garfield 1995.
\(^2\) See also, MMK XXVII: 13-14.
\(^3\) The Buddhist tradition was not alone in sometimes appearing to reject all of the kotis. See Raju 1953.
Everything is real and is not real.
Both real and not real,
Neither real nor not real.
This is Lord Buddha’s teaching.
How are we to understand these things?—and what does it do to the logic of our picture? The matter is far from straightforward, and cannot be divorced from interpreting Nagarjuna. But he is a cryptic writer, and in the various commentarial traditions that grew up around the MMK in India, Tibet, China, and Japan, one can find various different interpretations. When Western philosophers got their hands on Nagarjuna, matters become even more complex.\footnote{See Hayes 1994, 325 ff.} But let me do what I can to paint a plausible picture.
Let us set aside for the moment the possibility of endorsing more than one koti—we will come to this in due course—and start with rejecting all of them. The thought that all four kotis may fail for some statement suggests that something else is to be said about it. But nothing in Nagarjuna interpretation is straightforward, and even this has been denied. It is possible to interpret Nagarjuna as a mystic who simply thinks that ultimate reality is ineffable, and hence that any statement about the ultimate is to be rejected. The fourfold negation is just to be understood as an illocutory rejection of each possibility. The text, indeed, does lend some support to this view. Thus, MMK XXVII: 30 says:
I prostrate to Gautama
Who through compassion
Taught the true doctrine
Which leads to the relinquishing of all view.
However, one should be careful about the word that is being translated as ‘view’ here. Two Sanskrit words standardly get translated in this way, \textit{drsti} and \textit{darsana}. The latter simply means ‘teaching’; the former means something like a doctrine about the objects of ultimate reality. The word in the passage I have just quoted is \textit{drsti}: Nagarjuna thinks that everything is empty of self-being (\textit{svabhava}). There are no objects with ultimate reality in this sense. Hence, any theory of such objects is mistaken, and so should be given up. But Nagarjuna does not think that all teachings are to be given up. Indeed, the MMK and the writings of most of Nagarjuna’s Madhyamaka successors, contain many positive teachings: that everything, including emptiness, is empty, is one such. Thus, MMK XXIV: 18 tells us, famously:
Whatever is dependently co-arisen
That is explained to be emptiness.
That, being a dependent designation,
Is itself the middle way.
You do not have to understand exactly what this means to see that a positive view about emptiness is being advocated here. It is not a mere rejection.
Let us assume, then, that something positive can be said about claims for which all the kotis are rejected. They have some other status, namely, (e): none of the above. The obvious thing is then to add a new predicate to our language, $E$, to express this, and add it to our status predicates. The extended catuskoti then becomes:
**E1:** $T \langle A \rangle \lor F \langle A \rangle \lor B \langle A \rangle \lor N \langle A \rangle \lor E \langle A \rangle$
together with all statements of the form
**E2:** $\neg(S_1 \langle A \rangle \land S_2 \langle A \rangle)$
for our new set of status predicates.
### 4.2 A 5-VALUED LOGIC
What to say about the semantics of the extended language, and the corresponding notion of validity is less obvious. Perhaps the most obvious thought is to add a new value, $e$, to our existing four ($t$, $f$, $b$, and $n$), expressing the new status.\(^1\) Since it is the status of claims such that neither they nor their negations should be accepted, it should obviously not be designated. Thus, we still have that $D = \{t, b\}$. How are the connectives to behave with respect to $e$? Both $e$ and $n$ are the values of things that are neither true nor false, but they had better behave differently if the two are to represent distinct alternatives. The simplest suggestion is to take $e$ to be such that whenever any input has the value $e$, so does the output: $e$-in/$e$-out.\(^2\)
The logic that results by modifying FDE in this way is obviously a sub-logic of it. It is a proper sub-logic. It is not difficult to check that all the rules of FDE are designation-preserving except the rule for disjunction-introduction, which is not, as an obvious counter-model shows. However, replace this with the rules:
\[
\frac{\varphi(A) \quad C}{A \lor C} \quad \frac{\varphi(A) \quad C}{\neg A \lor C} \quad \frac{\varphi(A) \quad \psi(B) \quad C}{(A \land B) \lor C}
\]
---
\(^1\)As in Garfield and Priest 2009. Happily, $e$, there, gets interpreted as emptiness.
\(^2\)We will see that this behaviour of $e$ falls out of a different semantics for the language in section 10.
where $\varphi(A)$ and $\psi(B)$ are any sentences containing $A$ and $B$, not within the scope of angle brackets.\footnote{Instead of $\varphi(A)$ (etc.), one could have, instead, any sentence that contained all the propositional parameters in $A$.} Call these the $\varphi$ Rules, and call this system FDE$_\varphi$. FDE$_\varphi$ is sound and complete with respect to the semantics. Details may be found in the appendix to the paper.
As for the formal conditions of the catuskoti, we may augment the truth conditions for status predicates with the following for $E$:
- If the value of $A$ is $e$, then the value of $E \langle A \rangle$ is $t$.
- If the value of $A$ is not $e$, the value of $E \langle A \rangle$ is $f$ of $b$.
There is one extra wrinkle. $N \langle A \rangle$, as defined before, was $\neg T \langle A \rangle \land \neg T \langle \neg A \rangle$. The trouble is that this condition is also satisfied when $A$ has the value $e$. Hence, $N \langle A \rangle$ needs to be redefined as $\neg T \langle A \rangle \land \neg T \langle \neg A \rangle \land \neg E \langle A \rangle$. As may be checked, the truth table for the status predicates now becomes:
| $A$ | $T \langle A \rangle$ | $B \langle A \rangle$ | $F \langle A \rangle$ | $N \langle A \rangle$ | $E \langle A \rangle$ |
|-----|----------------------|----------------------|----------------------|----------------------|----------------------|
| $t$ | $t$ or $b$ | $f$ | $f$ | $f$ or $b$ | $f$ or $b$ |
| $b$ | $b$ or $f$ | $t$ or $b$ | $b$ or $f$ | $f$ or $b$ | $f$ or $b$ |
| $f$ | $f$ | $f$ | $t$ or $b$ | $f$ or $b$ | $f$ or $b$ |
| $n$ | $f$ | $f$ | $f$ | $t$ or $b$ | $f$ or $b$ |
| $e$ | $f$ | $f$ | $f$ | $f$ | $t$ |
It is easy to see that $T \langle A \rangle \lor F \langle A \rangle \lor B \langle A \rangle \lor N \langle A \rangle$, may fail to be designated (and its negation designated), as one would expect, but that **E1** is designated. Moreover, so is every instance of **E2**. The arguments for the old cases are much the same as before (though we need to bear in mind that the $N$ has been redefined). The four new cases are:
- $\neg (T \langle A \rangle \land E \langle A \rangle)$
- $\neg (F \langle A \rangle \land E \langle A \rangle)$
- $\neg (B \langle A \rangle \land E \langle A \rangle)$
- $\neg (N \langle A \rangle \land E \langle A \rangle)$
For the first: when this is cashed out and expanded, it becomes $\neg T \langle A \rangle \lor T \langle \neg A \rangle \lor \neg E \langle A \rangle$. If the value of $A$ is not $e$, the last disjunct is designated. If it is $e$, the first is. Similar arguments show that the second and third are valid too. The last, when expanded, comes to $T \langle A \rangle \lor F \langle A \rangle \lor E \langle A \rangle \lor \neg E \langle A \rangle$, which is designated because of the last pair of disjuncts.
To extend the proof theory to $E$, add the new rules:
\[
\frac{\varphi(A)}{\neg E \langle A \rangle} \quad \frac{\neg E \langle A \rangle}{A \lor B} \quad \frac{B}{E \langle A \rangle \lor \neg E \langle A \rangle}.
\]
Call these the $E$ rules. And call FDE$_\varphi$ augmented by the $T$ rules and the $E$ rules FDE$_\varphi$S. FDE$_\varphi$S is sound and complete with respect to the semantics. Details of the proof can be found in the appendix to this paper.
So much, for the moment, for formal matters. It is time to return to philosophical issues.
### 4.3 AS YOU WERE
The previous section notwithstanding, I think that it is wrong to take Nagarjuna to reject instances of our original *catuṣkoṭi*. For a start, authoritative exegetes of Madhyamaka, such as Candrakīrti and Tsong kha pa are quite explicit to the effect that there is no fifth possibility.\(^1\) Moreover, there are important reasons why this should be so. The central concern of the MMK is to establish that everything is empty of self-existence (*svabhava*), and the ramifications of this fact. The main part of the work consists of a series of chapters which aim to establish, of all the things which one might plausibly take to have *svabhava* (causes, the self, suffering, etc.), that they do not do so. The method of argument is not always exactly the same, but there is a general pattern. Cases of the *catuṣkoṭi* are enumerated, and each one is then rejected. We have, thus, some kind of *reductio* argument. This much is generally agreed by most commentators.
Now, let us come back to the argument concerning nirvana that we met briefly in section 2 (MMK XXV). Verse 3 tells us that nirvana is empty:
(3) Unrelinquished, unattained,
Unannihilated, not permanent,
Unarisen, unceased:
This is how nirvana is described.
There then follow the arguments for this, based on the four kotis. (Each of the cases has a number of different reasons. I quote only one for each.)
(5) If nirvana were existent,
Nirvana would be compounded
A non-compounded existent
Does not exist anywhere.
\(^1\)See Candrakīrti 2003, IIa-b, and Tsong kha pa 2006, 50-54.
(8) If nirvana were not existent,
How could nirvana be nondependent?
Whatever is nondependent
Is not nonexistent.
(13) How could nirvana
Be both existent and non-existent?
Nirvana is noncompounded.
Both existents and nonexistents are compounded.
(16) If nirvana is
Neither existent nor nonexistent,
Then by whom is it expounded
‘Neither existent nor non-existent’?
We then get the four-cornered negation:
(17) Having passed into nirvana, the Victorious Conqueror
Is neither said to be existent
Nor said to be non-existent.
Neither both nor neither are said.
Now, how, exactly, is this argument supposed to work? If it’s a reductio, it’s a reductio of something. Presumably, the claim that nirvana has svabhava. This assumption must be appealed to somewhere in the cases for the reductio to work. And typically it is. Thus in (13) above we have the claim that nirvana is non-compounded. Why is this? It follows from the fact that nirvana has svabhava: entities with svabhava entities are not compounded. Since the four cases are impossible on the assumption that nirvana has svabhava, we are entitled to conclude at the end of the argument that it is not. Looked at in this way, it is clear that if the four cases of the catuṣkoṭi do not exhaust all the relevant possibilities, the argument does not work. There is a fifth case to be considered, and maybe that’s the relevant one. Of course, Nagarjuna was capable of producing bad arguments, like all great philosophers. But to repeat such as screamer as this, time and time again, just doesn’t seem very plausible.
Much more plausible, it would seem, is this. When we get a statement of the fourfold negation, it is not a categorical assertion. Rather, it is a consequence of the assumption that something has svabhava. Since these are the only four cases, we apply a perfectly standard reductio, and conclude that the thing in question does not have svabhava.
While we are on the subject of *reductio*, and since we are taking advantage of a paraconsistent logic—indeed, the possibility of dialetheism—let me add an extra word about this. Some commentators have argued that Nagarjuna subscribed to the Principle of Non-Contradiction. Thus, for example, Robinson endorses this view. In support of it, he quotes MMK VII: 30 and VIII: 7.\(^1\) These passages occur in the midst of rejecting one of the kotis of the *catuṣkoṭi* for the subject being discussed (conditioned objects, and agents/actions, respectively), and read, respectively:
Moreover, for an existent thing
Cessation is not tenable.
A single thing being an entity and
A nonentity is not tenable.
An existent and nonexistent agent
Does not perform an existent and nonexistent action.
Existence and non-existence cannot pertain to the same thing.
For how could they exist together?
Now, these quotations hardly prove the point, for a couple of reasons. The first is that each is an *instance* of the Principle of Non-Contradiction. Notoriously, one cannot prove a universal generalisation from a couple of examples. It is quite possible that Nagarjuna simply thought that one of the other kotis was applicable in these particular cases. Secondly, if I am right about how to analyse the structure of the *reductio* arguments in the relevant chapters of the MMK, the rejection of the contradictions here is subject to an assumption: that conditioned objects (VII) and agents/actions (VIII) have *svabhava*. This tells us nothing about the (true) situation when they are not.
However, there is a more substantial worry.\(^2\) How can a *reductio* argument possibly be taken to be valid if some contradictions are true? How can a conclusion be used to rule out the assumption of an argument if that conclusion might be true? Several points are pertinent here. The first is that *reductio* is *reductio ad absurdum*, not *reductio ad contradictionem*. The argument is taken to rule out its assumption because the conclusion is taken to be unacceptable. The unacceptability does not have to be a contradiction.\(^3\) Thus, look at the first of the horns of the *reductio* about nirvana, quoted above (MMK XXV: 8). The unacceptable conclusion is simply that something is uncompounded. The unacceptability of this is grounded, presumably, on other considerations. Conversely, not all contradictions are absurd. That I am a frog and not a frog, clearly is, since it entails
\(^1\)Robinson 1956, 295, though I use Garfield’s translation.
\(^2\)Articulated, for example, by Siderits 2008.
\(^3\)See, further, Ganeri 2001, 155-158.
that I am a frog—which should certainly be rejected. But that the liar sentence is both true and not true is not clearly absurd. Contemporary dialetheists about the semantic paradoxes hold it to be true. Many simple claims, such as that I am a frog, are much more absurd than this.\footnote{See Priest 1998.}
The second point concerns the following question. We have been talking about acceptability—but acceptability to whom? The MMK is a highly polemical work. Though he never cites them, Nagarjuna clearly has certain opponents in his sights. These were, presumably, denizens of the other schools of Indian thought, both Buddhist and non-Buddhist, who were active in this turbulent intellectual period. Now, in a dialectical context of that kind, for an argument to work, it is not necessary that Nagarjuna himself takes the conclusion in question, be it a contradiction or something else, to be unacceptable: he may or he may not. The argument will work if the opponent takes it to be so. (This is exactly how the arguments of a Pyrrhonian skeptic are supposed to get their bite.) And certainly, a number of the schools around at the time, such as the Nyaya, would have subscribed firmly to the Principle of Non-Contradiction. Hence, nothing about Nagarjuna’s own view about the possibility of something satisfying the third koti of the \textit{catuskoti} can be inferred from his use of \textit{reductio} arguments.
Doubtless there is more to be said about these matters. But it is time to return from the digression.
5 ACCEPTING MORE THAN ONE KOTI
5.1 APPLYING THE \textit{CATUSKOTI} TO ITSELF
Let us now set aside $e$, $E$, and their machinations, and revert to the familiar four values of the \textit{catuskoti} for the time being. We still have to consider the even more vexed issue flagged earlier: Nagarjuna sometimes appears to say that more than one of the kotis may obtain. What is one to make of this? The assertion seems to fly in the face of the exclusiveness of the kotis.
First, when contradictions occur in Buddhist writings there is always the option of interpreting them in such a way as to render them consistent. In particular, there is a standard distinction in later Buddhism between conventional and ultimate truth, and one can use this to disambiguate apparently contradictory statements. Thus, for example, in the Diamond Sutra we read things such as:\footnote{\textit{Vajracchedika} 13b. Translation from Harrison 2006.}
\begin{quote}
The very same perfection of insight, Subhuti, which the Realized One has preached is indeed perfectionless.
\end{quote}
One plausible way to interpret this is as saying that ‘insight is a perfection’ is conventionally true, but ultimately false. However, this is a strategy that does
not work on all occasions.\footnote{See Deguchi, Garfield, and Priest 2008.} Following Tsong kha pa, one might, nonetheless, try to employ it with the example from the MMK cited in 4.1,\footnote{As suggested in Garfield 1995, 250, and Garfield and Priest 2003, 13-14.} to obtain:
\begin{quote}
Everything is real [conventionally] and is not real [ultimately]. \\
Both real [conventionally] and not real [ultimately], \\
Neither real [ultimately] nor not real [conventionally]. \\
This is Lord Buddha’s teaching.
\end{quote}
But, though one may certainly interpret the text this way, there is nothing in the text, either in the use of the Sanskrit or the context in which the remark appears, that \textit{forces} this interpretation; and it certainly is not clearly the optimal strategy. As Tillemans says (1999, 197):
\begin{quote}
Indisputably, Tsong kha pa’s interpretation offers advantages in terms of its logical clarity, but as an exegesis of Madhyamaka, his approach may seem somewhat inelegant, since it obliges us to add words almost everywhere in \textit{Madhyamaka} texts. Remarkably, Tsong kha pa himself accomplishes this project down to its most minute details in his commentary on the \textit{Madhyamakakarikas}—perhaps at the price of sacrificing the simplicity of Nagarjuna’s language. Hence, is there a more elegant interpretation of the tetralemma… ?\footnote{Tillemans’ sentiments are endorsed by Westerhoff 2010, 90. Westerhoff opts for invoking the doctrine of \textit{upaya} (skillful means). Each of the four kotis is appropriately taught to someone on the Buddhist path at different stages of their development, though only the last is (perhaps) ultimately true. I can only say that the verse of the MMK in question would seem to be a most misleading way of saying that!}
\end{quote}
Let us see if we can find one. Suppose that we take the endorsement of more than one \textit{koti} at face value. How may we understand it?
One possibility, which has an undeniable self-referential charm is this. At issue is the question of whether the four kotis are mutually exclusive. Apply the \textit{catuṣkoti} to this claim itself. There are four possibilities: They are, they are not, they both are and are not, or they neither are or are not. The correct option in this case is the third: they are and are not. We can endorse the claim that they are exclusive, and that they are not.
Indeed, exactly this outcome is delivered by the semantics of section 5! As we observed there, these semantics verify every statement of the form \textbf{C2}. But now, consider any statement to the effect that $A$ satisfies more than one of the kotis—to illustrate with the extreme case, all of them. This is equivalent to a conjunction of the form $\mathbf{T}\langle A\rangle \land \neg\mathbf{T}\langle A\rangle \land \mathbf{F}\langle A\rangle \land \neg\mathbf{F}\langle A\rangle$. Let $A$ have the value $b$. Then $\mathbf{T}\langle A\rangle$ and $\mathbf{F}\langle A\rangle$ are both designated. Let them take the value $b$. Then $\neg\mathbf{T}\langle A\rangle$ and $\neg\mathbf{F}\langle A\rangle$ both take the value $b$ as well. Hence the whole conjunction takes the value $b$, and so is true—and false as well. Just what we need. I note, moreover,
that, under the same conditions, the sentence \( \neg (T\langle A\rangle \lor F\langle A\rangle \lor B\langle A\rangle \lor N\langle A\rangle) \) is also true (and false). Hence, we have another way of accommodating the claim that none of the kotis may hold—even though one of them does.
These moves work only because it is possible for \( T\langle A\rangle \) to take the value \( b \) when \( A \) takes the value \( b \) (something I was careful to make possible). But this is not special pleading: there are independent reasons to suppose that this can happen—when, for example, \( A \) is a paradoxical sentence of the form \( \neg T\langle A\rangle \).\(^1\)
### 5.2 RELATIONAL SEMANTICS
It might be thought that this is not taking the non-exclusive nature of the kotis seriously. At the semantic level, there are, after all, four values, \( t, f, b, \) and \( n; \) and every statement takes exactly one of these. Can we build the thought that these values are not exclusive into the picture?
We can. In classical logic, evaluations of formulas are functions which map sentences to one of the values 1 and 0. In one semantics for FDE, evaluations are thought of, not as functions, but as relations, which relate sentences to some number of these values. This gives the four possibilities represented by the four values of our many-valued logic.\(^2\)
We may do exactly the same with the values \( t, b, n, \) and \( f \) themselves. So if \( P \) is the set of propositional parameters, and \( V = \{t, b, n, f\} \), an evaluation is a relation, \( \rho \), between \( P \) and \( V \). In the case at hand, we want to insist that every formula has at least one of these values, that is, the values are exhaustive:
**Exh:** for all \( p \in P \), there is some \( v \in V \), such that \( p \rho v \).
If we denote the many-valued truth functions corresponding to the connectives \( \neg, \lor, \) and \( \land \) in FDE, by \( f_\neg, f_\lor, \) and \( f_\land \), then the most obvious extension of \( \rho \) to all formulas is given by the clauses:
- \( \neg A \rho v \) iff for some \( x \) such that \( A \rho x, \) \( v = f_\neg(x) \)
- \( A \lor B \rho v \) iff for some \( x, y, \) such that \( A \rho x \) and \( B \rho y, \) \( v = f_\lor(x, y) \)
- \( A \land B \rho v \) iff for some \( x, y, \) such that \( A \rho x \) and \( B \rho y, \) \( v = f_\land(x, y) \)
One can show, by a simple induction, that for every \( A \) there is some \( v \in V \) such that \( A \rho v \). I leave the details as an exercise.
Where, as before, \( D = \{t, b\} \), we may simply define validity as follows: \( \Sigma \models A \) iff for all \( \rho \):
---
\(^1\)See Priest 2006, 5.4.
\(^2\)See Priest 2008, 8.2.
• if for every $B \in \Sigma$, there is a $v \in D$ such that $B\rho v$, then there is a $v \in D$ such that $A\rho v$
That is, an inference is valid if it preserves the property of relating to some designated value. $A$ is a logical truth iff is a consequence of the empty set. That is, for every $\rho$, there is some $v \in D$ such that $A\rho v$.
Perhaps surprisingly, validity on this definition coincides with validity in FDE.\footnote{Perhaps not. See Priest 1984.} This is proved by showing that the rules of FDE are sound and complete with respect to the semantics, as done in the technical appendix to the paper.
As for the truth predicate, a simple generalisation of its truth conditions to the present context is:
- $Apt$ or $Apb$ iff $\mathbf{T}\langle A \rangle \rho t$ or $\mathbf{T}\langle A \rangle \rho b$
- $Apf$ or $Apn$ iff $\mathbf{T}\langle A \rangle \rho f$
(So any sentence of the form $\mathbf{T}\langle A \rangle$ relates to at least one value as well.) The table in 3.2 can now be interpreted as showing a value that $S\langle A \rangle$ relates to, given what $A$ relates to, where $S$ is any status predicate.
It is easy to see that these conditions validate the $T$-schema—but not its contraposed form. As for the formal \textit{catuskoti} conditions, the semantics still validate C1. Every sentence, $A$, relates to at least some value. Whatever value that is, the limb of the disjunction stating that it takes that value will be designated, as, then, will be the disjunction.
Perhaps more surprisingly, every statement of C2 is also valid. Each of these is the negation of a conjunction, and two of the conjuncts will be of the form $\mathbf{T}\langle A \rangle \land \neg\mathbf{T}\langle A \rangle$ or $\mathbf{F}\langle A \rangle \land \neg\mathbf{F}\langle A \rangle$. Suppose it is the first. (Given the definition of $\mathbf{F}$, the second is just a special case of the first.) Then the sentence will be equivalent to a disjunction which has a part of the form $\mathbf{T}\langle A \rangle \lor \neg\mathbf{T}\langle A \rangle$. $A$ relates to at least one value. If this is designated, the first disjunct relates to a designated value; if it is not, the second one does. Hence, the disjunction relates to a designated value.
Notwithstanding this, a sentence stating that $A$ has more than one koti can also be true. Thus, suppose that on some evaluation $A$ relates to $t$, $b$, and $n$. Consider $T\langle A \rangle \land B\langle A \rangle \land N\langle A \rangle$. Each conjunct relates to a designated value. Hence the conjunction relates to designated values. The argument clearly generalises to any set of the four values. And as in the many-valued case, $\neg(T\langle A \rangle \lor F\langle A \rangle \lor B\langle A \rangle \lor N\langle A \rangle)$ may be true. (Let $\mathbf{T}\langle A \rangle$ and $\mathbf{T}\langle A \rangle$ both relate to $b$.)
FDES is, in fact, sound and complete with respect to these semantics. This is shown in the technical appendix to the paper.
5.3 NONE OF THE KOTIS, AGAIN
Finally, let us return to the possibility that none of the kotis may hold. In 4.2, we handled this possibility by adding a fifth value, $e$. The relational semantics suggests a different way of proceeding. We simply drop the exhaustivity condition, $\text{Exh}$, so allowing the possibility that an evaluation may relate a parameter to none of the four values. The logic this gives is exactly FDE$_\varphi$. A proof of this fact can be found in the technical appendix to the paper. (In fact, if we require that every formula relates to \textit{at most} one value, then it is easy to see that we simply have a reformulation of the 5-valued semantics, since taking the value $e$ in the many-valued semantics behaves in exactly the same way as not relating to any value does in the relational semantics.)
Of course, the conditions C1 and C2 will now fail to be valid, since their validity depended essentially on Exh. If $A$ relates to nothing, then where $S$ is any status predicate, $S\langle A \rangle$ may also relate to nothing—as, therefore, may any truth functional combination of such sentences. We may restore their extended versions by introducing the new predicate, $E$, and making the truth conditions of T and E as follows (and redefining $N$, as we did in 4.2). For T:
- $Apt$ or $A\rho b$ iff $T\langle A \rangle pt$ or $T\langle A \rangle \rho b$
- $(A\rho f$ or $A\rho n$ or for no $v$, $A\rho v)$ iff $T\langle A \rangle \rho f$
For E:
- $(A\rho t$ or $A\rho f$ or $A\rho b$ or $A\rho n)$ iff $E\langle A \rangle \rho f$ of $E\langle A \rangle \rho b$
- for no $v$, $A\rho v$ iff $E\langle A \rangle \rho t$
Unlike the case of the relational semantics, these conditions force the semantics to be anti-monotonic, in that \textit{increasing} the relations for atomic formulas may well require \textit{decreasing} the relations of other formulas. For suppose that $p$ relates to nothing. Then $E\langle A \rangle \rho t$. If we now add a relation for $p$, so that $ppt$, we cannot simply let $E\langle A \rangle \rho f$ or $E\langle A \rangle \rho b$ as well; $E\langle A \rangle \rho t$ has to be taken back.
Notwithstanding, the conditions now verify the extended catuskoti conditions, E1 and E2. For E1, $T\langle A \rangle \lor F\langle A \rangle \lor B\langle A \rangle \lor N\langle A \rangle \lor E\langle A \rangle$. If $\rho$ relates $A$ to nothing, then $E\langle A \rangle$ relates to a designated value, and each other value relates to something. Hence the disjunction relates to a designated value. The other cases are similar. For E2, one can show that $\neg(S_1(A) \land S_2(A))$ is valid, where $S_1$ and $S_2$ are any distinct status predicates, as in the many-valued case. As in the many-valued case, one can also show that $\neg(T\langle A \rangle \lor F\langle A \rangle \lor B\langle A \rangle \lor N\langle A \rangle)$ and $T\langle A \rangle \land F\langle A \rangle \land B\langle A \rangle \land N\langle A \rangle$ may be designated. (Let $A$ relate to nothing, or all four values, respectively.)
The system FDE$_\varphi$S is, in fact, sound and complete with respect to these semantics. A proof of this can be found in the technical appendix of the paper.
5.4 SOME FINAL COMMENTS ON TRUTH
Let me end with a few final philosophical comments. As observed in 5.1, in later Buddhism there are two notions of truth in play: conventional and ultimate. In our discussions of Nagarjuna, how does our predicate \( \mathbf{T} \) relate to these? The answer is not a simple one. Let us write \( \mathbf{T}_c \) for conventional truth, and \( \mathbf{T}_u \) for ultimate truth (with similar subscripts for their associated family of status predicates). One common view is that the only kind of truth that language can express is conventional truth; ultimate truth—that is the truth about ultimate reality—is ineffable. In this case, \( \mathbf{T} \) is conventional truth, \( \mathbf{T}_c \), and \( \mathbf{T}_u \) is just out of the picture. Another possibility is a bit more subtle. We can have a predicate \( \mathbf{T}_u \) as well, but it can be used to say nothing true or false. So nothing of the form \( T_u \langle A \rangle \), \( F_u \langle A \rangle \), or \( B_u \langle A \rangle \) can hold; only things of the form \( N_u \langle A \rangle \)—or perhaps more appropriately, \( E_u \langle A \rangle \). The first three (or four) kotis of the catuṣkoṭi are then empty in the case of \( \mathbf{T}_u \). There is a more radical position however. Madhyamikas often say that there are no ultimate truths, but then go on to enunciate some of them!—that there are no ultimate truths being a most important one such.\(^1\) This suggests that we may indeed have things of the form \( T_u \langle A \rangle \land N_u \langle A \rangle \), or \( B_u \langle A \rangle \land E_u \langle A \rangle \). As we have seen, our constructions accommodate this possibility.
There is also another way to proceed in the matter. On standard accounts, some things, such as that the Buddha exists, \( B \), are conventionally true and ultimately false (or vice versa). If both notions of truth satisfy the \( T \)-schema, we then end up with \( B \) and \( \neg B \); and this is a contradiction of the kind that Buddhists do not seem prepared to tolerate. There are many ways one try to handle the matter.\(^2\) One can, for example, modify the \( T \)-schemas with appropriate qualifiers:
\[
\mathbf{T}_u \langle A \rangle \text{ iff ultimately, } A
\]
\[
\mathbf{T}_c \langle A \rangle \text{ iff conventionally, } A
\]
so that the contradiction is defused. The plain \( A \) itself is simply ambiguous, the sense of its utterance being determined by the context. Alternatively, one can employ a sentential modifier, a philosophical term of art, REALLY. Any sentence of the form REALLY(\( A \)) is taken to express an ultimate truth. A sentence not containing the term is taken to express a conventional truth. If one takes this line, then one needs only one, univocal, notion of truth, since the conventional/ultimate distinction is expressed by the use of the REALLY operator, and the contradiction disappears, since it takes the form REALLY(\( A \)) but \( \neg A \), or \( A \) but REALLY(\( \neg A \)).\(^3\)
\(^1\)See Garfield and Priest, 2003.
\(^2\)They are discussed in Priest, Siderits, and Tillemans (2011).
\(^3\)The strategy does not, note, avoid the apparent contradiction concerning the claim that there are no ultimate truths, since we still have that for no \( A \), REALLY(\( A \)), and where this is itself \( C \), REALLY(\( C \)).
Which, if any, of these strategies is most appropriate, depends on doctrinal matters that are beyond the scope of this essay. The discussion, at least, serves to illustrate how doctrinal issues may feed into the deployment of the technical machinery developed here. We have already, of course, seen an example of the converse: if the four values of the *catuskoti* are not exhaustive, this will undercut Nagarjuna’s deployment of it in the *Mulamadhyamakakarika*, and so have doctrinal implications. Again, it is not appropriate to take up this issue here. It is enough that the paper has provided technical tools which interact with doctrinal issues in important ways.
6 CONCLUSION
The *catuskoti* and its ramifications are a central part of logic in both the original and the later Madhyamaka Buddhist traditions.\(^1\) How to understand it has, as we have seen, been a deeply puzzling matter for most Western commentators, trained, as they are, only in traditional (Aristotelian) or classical (Frege-Russell) logic. We have seen how the tools of non-classical logic, and particularly of some paraconsistent logics, can be used to explicate the ideas involved in a precise and rigorous fashion.
Justice to the ideas can be done simply with FDES: four kotis; the conditions C1 and C2; and even statements to the effect that none, or more than one, of the kotis holds may be true. We saw that FDES has both a many-valued and a relational semantics. If one wants to take the failure of the four kotis more seriously, then FDE\(_\varphi\)S will do the job: five “kotis”; the conditions E1 and E2; and statements to the effect that none, or more than one, of the kotis holds may be true. We also saw that FDE\(_\varphi\)S has both a many-valued and a relational semantics.
So much from a modern perspective. I suspect, however, that had one asked the Buddha whether any of the formulations is correct, incorrect, both, or neither, he would probably have declined to answer.
7 TECHNICAL APPENDIX (PROOFS OF THEOREMS)
In this appendix, I establish the technical results mentioned in sections 3.2, 4.2, 5.2, and 5.3, and in particular, the soundness and completeness of the various rule systems we have met.
\(^1\)Though, it is worth noting that it plays no role in the Dignaga and Dharmakirti school of Buddhist logic. Like the Nyaya, this school of logic endorsed both the Principles of Non-Contradiction and Excluded Middle. See Scherbatsky 1993, pt. 4, ch. 2.
7.1 FDE AND FDES: MANY-VALUED SEMANTICS
Let us start with FDE, and its many-valued semantics. The soundness of the rules is established by checking that every rule is designation-preserving. This is straightforward. Completeness is established by the canonical model construction. Suppose that $\Sigma \not\models S$. First we extend $\Sigma$ to a prime, deductively closed set, $\Delta$, such that $\Delta \not\models S$. The canonical evaluation, $\nu$, is then defined as follows:
- $\nu(A) = t$ iff $A \in \Delta$ and $\neg A \notin \Delta$
- $\nu(A) = f$ iff $A \notin \Delta$ and $\neg A \in \Delta$
- $\nu(A) = b$ iff $A \in \Delta$ and $\neg A \in \Delta$
- $\nu(A) = n$ iff $A \notin \Delta$ and $\neg A \notin \Delta$
One can check on a case-by-case basis that these conditions make the truth values behave appropriately. The result then follows.\footnote{For the details, see Priest 2002, 4.3 and 4.6.}
To extend the results to FDES, we check that the $T$ rules are designation-preserving, and hence that the system is sound. For completeness, in the canonical model we read off the values of $\mathbf{T}\langle A \rangle$ from the above regime, and establish that the definition delivers the semantic conditions for $\mathbf{T}$ as follows.
- If $\nu(A) \in D$, then $A \in \Delta$. By the $T$ rules, $\mathbf{T}\langle A \rangle \in \Delta$, and so $\nu(\mathbf{T}\langle A \rangle) \in D$.
- If $\nu(A) \notin D$ then $A \notin \Delta$ and so $\mathbf{T}\langle A \rangle \notin \Delta$. By the $T$ rules and primeness, $\neg \mathbf{T}\langle A \rangle \in \Delta$. Hence $\nu(\mathbf{T}\langle A \rangle) = f$.
7.2 FDE$_\varphi$ AND FDE$_\varphi$S: MANY-VALUED SEMANTICS
We turn now to FDE$_\varphi$ and the many-valued semantics. Soundness is established by checking that all the rules are designation-preserving. This is easy if one remembers that if any premise of the form $\varphi(A)$ is designated, $A$ cannot take the value $e$.
The canonical model in this case is constructed as in 7.1, except that we modify the condition for $n$, and add an extra condition for $e$ as follows:\footnote{The construction of the canonical model in Priest 2002, 4.3 and 4.6, uses disjunction-introduction. However, if one is just constructing a prime deductively closed set containing the premises, and keeping the conclusion out (which is all we need in this case), disjunction-introduction is not required.}
- $\nu(A) = n$ iff $A \notin \Delta$ and $\neg A \notin \Delta$ and for some $C$, $A \lor C \in \Delta$
- $\nu(A) = e$ iff $A \notin \Delta$ and $\neg A \notin \Delta$ and for no $C$, $A \lor C \in \Delta$
One can then check that these deliver the correct truth conditions. This is done on a case-by-case basis. It suffices to check $\neg$ and $\land$, since $A \lor B$ has the same truth table as $\neg(\neg A \land \neg B)$ and so may be taken as defined. There are a number of cases to check. Here I give only a few of the less obvious ones.
One preliminary observation. The following inference is valid in the logic:
\[
\frac{(A \land B) \lor C}{A \lor C}
\]
If one writes down the proof of this in FDE, one will see that it uses disjunction-introduction twice, once where the introduced disjunct is $A$, and once where it is $C$. Since we have a premise of the form $\varphi(A)$ and $\varphi(C)$ this derivation can also be made in the new system.
Now, for negation:
- $\nu(A) = e$. Then $A, \neg A \notin \Delta$, and for no $A$, $A \lor C \in \Delta$. We need to show that $\nu(\neg A) = e$, i.e., $\neg A, \neg\neg A \notin \Delta$, and for no $C$, $\neg A \lor C \in \Delta$. The first is immediate by double negation and deductive closure. For the second, suppose that $\neg A \lor C \in \Delta$, then $C \in \Delta$ by primeness, so $A \lor C \in \Delta$ by the $\varphi$ Rules, which is impossible.
And for conjunction:
- $\nu(A) = n$ and $\nu(B) = n$. Then $A, \neg A, B, \neg B \notin \Delta$ and for some $C, D$, $A \lor C \in \Delta$, $B \lor D \in \Delta$. We need to show that $\nu(A \land B) = n$, i.e., $A \land B \notin \Delta$, $\neg(A \land B) \notin \Delta$, and for some $C$, $(A \land B) \lor C \in \Delta$. The first of these follows by deductive closure. For the second, suppose that $\neg(A \land B) \in \Delta$, then $\neg A \lor \neg B \in \Delta$, which is impossible by primeness. For the third, since $A \lor C \in \Delta$, $C \in \Delta$, by primeness. Since we have a $\varphi(A)$ and a $\psi(B)$, it follows that $(A \land B) \lor C \in \Delta$ by deductive closure and the $\varphi$ Rules.
- $\nu(A) = e$ and $\nu(B) = f$. Then $A, \neg A, B \notin \Delta$, $\neg B \in \Delta$ and for no $C$, $A \lor C \in \Delta$. We need to show that $\nu(A \land B) = e$, i.e., $A \land B \notin \Delta$, $\neg(A \land B) \notin \Delta$, and for no $C$, $(A \land B) \lor C \in \Delta$. The first of these follows by deductive closure. For the second, suppose that $\neg(A \land B) \in \Delta$; then $\neg A \lor \neg B \in \Delta$. Let this be $\varphi(A)$. Then $A \lor (\neg A \lor \neg B) \in \Delta$, which is impossible. For the third, suppose that $(A \land B) \lor C \in \Delta$. Then $A \lor C \in \Delta$, by deductive closure and our observation above, which is impossible.
To extend the results to FDE$_\varphi$S, we have to check that the $T$ rules and $E$ rules are designation-preserving. This is straightforward. For completeness, in the canonical model, we read off the values of $T\langle A \rangle$ and $E\langle A \rangle$ according to the new regime, and check that the semantic conditions on them are satisfied. For $T$ the argument is the same as the 4-valued case. For $E$, we have:
• (Contrapositive) Because of the $E$ rules, one of $E\langle A \rangle$ and $\neg E\langle A \rangle$ is in $D$. Hence, if $\nu(E\langle A \rangle) \neq t$, $\neg E\langle A \rangle \in \Delta$. Since $(E\langle A \rangle \lor \neg E\langle A \rangle) \in \Delta$, $A \lor (E\langle A \rangle \lor \neg E\langle A \rangle) \in \Delta$ (by the $\varphi$ rules); so $\nu(A) \neq e$.
• If $\nu(A) \neq e$ then for some $\varphi$, $\varphi(A) \in \Delta$. Hence $\neg E\langle A \rangle \in \Delta$ (by the $\varphi$ rules); so $E\langle A \rangle$ has the value $f$ or $b$.
### 7.3 FDE AND FDES: RELATIONAL SEMANTICS
Next we turn to the relational semantics with the Exhaustivity condition, **Exh**. FDE is sound and complete with respect to these. To show soundness, we establish that all the rules preserve the property of relating to some designated value. This is straightforward. To prove completeness, we use the canonical model construction. A prime deductively closed theory is constructed in the usual way. We then read off an evaluation as follows:
- $A\rho t$ iff $A \in \Delta$ and $\neg A \notin \Delta$
- $A\rho f$ iff $A \notin \Delta$ and $\neg A \in \Delta$
- $A\rho b$ iff $A \in \Delta$ and $\neg A \in \Delta$
- $A\rho n$ iff $A \notin \Delta$ and $\neg A \notin \Delta$
Notice that exactly one of these possibilities holds (and so, in particular, that **Exh** holds). Using this fact, it is straightforward to show that $\rho$ satisfies the appropriate truth conditions.
To extend the result to FDES, we show that the $T$ rules are sound with respect to the semantics. This is straightforward. In the canonical model, the evaluation for $T\langle A \rangle$ is read off of the above regime. We show that it satisfies the semantic conditions of $T$ as follows:
- If $A$ relates to $t$ or $b$ then $A \in \Delta$. Hence $T\langle A \rangle \in \Delta$, so $T\langle A \rangle$ relates to $t$ or $b$.
- Conversely, if $T\langle A \rangle$ relates to $t$ or $b$ then $T\langle A \rangle \in \Delta$. Hence, $A \in \Delta$, and so $A$ relates to $t$ or $b$.
- If $A$ relates to $f$ or $n$, then $A \notin \Delta$. Consequently, $T\langle A \rangle \notin \Delta$, and so $\neg T\langle A \rangle \in \Delta$. Hence, $T\langle A \rangle$ relates to $f$.
- Conversely, if $T\langle A \rangle$ relates to $f$, then $T\langle A \rangle \notin \Delta$, so $A \notin \Delta$. So $A$ relates to $f$ or $n$.
7.4 FDE\(\varphi\) AND FDE\(\varphi\)S: RELATIONAL SEMANTICS
Finally, we turn to the relational semantics of 5.3 without \textbf{Exh}. FDE\(\varphi\) is sound and complete with respect to these semantics. Soundness is established by checking that the rules are designation-preserving. This is straightforward, bearing in mind that if any sub-formula of a formula relates to nothing, so does the whole formula; and hence that if some formula relates to a designated value, every sub-formula must relate to something. Completeness is shown by the canonical model construction. Given the prime deductively closed set, we define the canonical evaluation as follows:
- \(Apt\) iff \(A \in \Delta\) and \(\neg A \notin \Delta\)
- \(Apf\) iff \(A \notin \Delta\) and \(\neg A \in \Delta\)
- \(Apb\) iff \(A \in \Delta\) and \(\neg A \in \Delta\)
- \(Apn\) iff \(A \notin \Delta\) and \(\neg A \notin \Delta\) and for some \(C\), \(A \lor C \in \Delta\)
Consequently, \(A\) relates to nothing if:
- \(A \notin \Delta\) and \(\neg A \notin \Delta\) and for no \(C\), \(A \lor C \in \Delta\)
Again, note that exactly one of these five possibilities must hold. Using this fact, it is easy to check that this definition respects the relational truth conditions, exactly as in 7.2.
In extending the results to FDE\(\varphi\)S, we establish soundness by checking that the \(T\) rules and \(E\) rules are designation-preserving. For completeness, in the canonical model, we read off the values of \(T\langle A \rangle\) and \(E\langle A \rangle\) according to the new regime, and check that the semantic conditions on them are satisfied. The argument for \(T\) is much as in 7.3. For \(E\), we have:
- If \(A\) relates to \(t\), \(b\), \(f\), or \(n\), then for some \(\varphi\), \(\varphi(A) \in \Delta\). Hence \(\neg E\langle A \rangle \in \Delta\) (by the \(\varphi\) rules); so \(E\langle A \rangle\) relates to \(f\) or \(b\).
- Conversely, if \(E\langle A \rangle\) relates to \(f\) or \(b\), then \(\neg E\langle A \rangle \in \Delta\). Hence, \(A \lor (E\langle A \rangle \lor \neg E\langle A \rangle) \in \Delta\) (by the \(\varphi\) rules), so \(A\) relates to \(t\), \(b\), \(f\), or \(n\).
- (Contrapositive). If \(A\) relates to something then, for some \(\varphi\), \(\varphi(A) \in \Delta\). Hence \(\neg E\langle A \rangle \in \Delta\) (by the \(\varphi\) rules); so \(E\langle A \rangle\) does not relate to \(t\).
- Conversely (contrapositive), if \(E\langle A \rangle\) does not relate to \(t\), then \(E\langle A \rangle \notin \Delta\). Hence \(\neg E\langle A \rangle \in \Delta\), and \(A \lor (E\langle A \rangle \lor \neg E\langle A \rangle) \in \Delta\). Thus, \(A\) relates to something.
ACKNOWLEDGEMENTS
Versions of this paper were given at the University of St Andrews and at the conference *Modern Formalisms for Pre-Modern Indian Logic and Epistemology*, University of Hamburg, June 2010. Many thanks go to the audiences there for their comments, and especially to Josh Dever and Stephen Read. Thanks for written comments also go to Jay Garfield, Bo Mou, Richard Tieszen, and some anonymous referees.
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RECENT WORK
CONFUCIANISM AND VIRTUE ETHICS:
STILL A FLEDGLING IN CHINESE AND COMPARATIVE PHILOSOPHY
JUSTIN TIWALD
The past couple of decades have witnessed a remarkable burst of philosophical energy and talent devoted to virtue ethical approaches to Confucianism, including several books, articles, and even high-profile workshops and conferences that make connections between Confucianism and either virtue ethics as such or moral philosophers widely regarded as virtue ethicists (Angle 2009, Chong 2007, Ivanhoe 2002, Sim 2007, Van Norden 2007, Yearley 1990, Yu 2007). Those who do not work in the combination of Chinese philosophy and ethics may wonder what all of the fuss is about. Others may be more familiar with the issues but have doubts about the fruitfulness of this line of inquiry. All of us, however, are in the enviable position of setting the stage for what looks likely to be a much larger, future generation of philosophers working across Western and non-Western traditions. It is therefore worth asking whether a constructive engagement between Confucianism and virtue ethics is worth turning into a significant, multi-generational research agenda.
Most answers to this question will fall somewhere between two poles. At one end is the view that the line of inquiry has run its course, if ever there were a course to run in the first place; at the opposite end is the view that we’re only just getting started. And then there is a wide range of more moderate views falling between these two positions. Normally I would be among the moderates, but on this issue I am an extremist. Far from having exhausted the potential of virtue ethical approaches to Confucianism, I think we are standing on a philosophical gold mine that we’ve only just begun to tap. In what follows I would like to explain briefly why I take this to be the case.
1. Virtue Ethics in the Present Day
I will start with a brief description of virtue ethics as understood in contemporary
moral philosophy. To be sure, several scholars have already found that this literature can be used to enrich their understanding of Confucianism, and this is reason enough to undertake comparative analysis. But in my view we can make a stronger case than this. If there are areas of contemporary philosophy to which Chinese thought could give more than it takes, virtue ethics must be among the most promising, so it is worth saying a bit more about the state of the subfield of virtue ethics at present.
If a philosopher calls herself a virtue ethicist today, it is likely because she believes her moral theory competes (favorably) with rule-deontology and consequentialism. Virtue ethics in this sense has to do with the way that ethical norms are derived or explained. It presupposes that virtue (or perhaps approximate notions like flourishing) is more basic than rules of action and the maximization of good states of affairs. Whereas a consequentialist might say that keeping a promise to a friend is right because it gives rise to the greatest possible amount of happiness or well-being, a virtue ethicist might say it is right because it is honest or trustworthy, or simply because it is what a person of admirable character would do. With only a few exceptions, most contemporary ethicists take the explanatory primacy of virtue to be definitive of virtue ethics. Philosophers who work extensively on virtue but do not think it more basic than the right or the good often reject the label ‘virtue ethicist’ for this very reason, no matter how prominent a role they think virtue analysis should play in ethics (Hurka 2000).
As a theoretical rival to consequentialism and rule-deontology, virtue ethics is still in its earliest stages. The sort of fine-tuning that has been going on for decades in the contemporary literature on consequentialism and rule-deontology (e.g., on the difference between act and rule consequentialism, or how best to cut the distinction between acts and omissions) does not dominate the contemporary literature on virtue ethics. Much of the work is still at the ground level, so to speak. Three dimensions of this work stand out as needing considerably more enrichment. First, the current literature tends to prioritize a relatively narrow range of virtues. Probably the largest group of virtue ethicists tends to draw from updated lists of Aristotelian virtues, which—relative to the Chinese tradition—are particularly concerned with self-control, reason, and respect for persons. The other major approach draws on the sentimentalist tradition and treats care or empathy as the most important or basic of virtues (Slote 2001). Second, there is little consensus in the current literature about the nature of virtue. Michael Slote has argued that traits are virtuous if they are “fundamentally admirable” (2001). Others, influenced by the ancient Greek tradition, think that character traits are virtues only if they contribute directly to the trait-holder’s flourishing, understood as the development and exercise of morally significant natural dispositions and capacities (Hursthouse 1999). Finally, only a handful of contemporary virtue ethicists have begun to articulate truly systematic accounts of how right action and other moral notions can be derived from virtue (Hursthouse 1999, Slote 2001, Swanton 2003). Others declare themselves virtue ethicists but have yet to spell out in detail the relation between virtue and other moral
notions, and show how their accounts might answer some of the strongest objections to them. Indeed, some scholars (including this author) think virtue ethics remains something of a catch-all category, where a theory qualifies as a species of virtue ethics so long as it holds that assessments of character have at least *some* independent explanatory power, which is not derived entirely from right action or the maximization of good states.\(^1\) To this extent ‘virtue ethics’ has become something of a convenient label for any character-oriented position that stands outside purer forms of consequentialism and rule-deontology.
For each of the dimensions in which contemporary virtue ethics needs ground level work, the Confucian thinkers can expand considerably the range of concepts and arguments that virtue ethicists entertain. Consider the first dimension, which has to do with the prioritization of virtues. Bryan Van Norden has noted how different principles of organization lead Confucians to emphasize benevolence, wisdom, the kind of moral integrity that is motivated by a sense of shame, and the complex array of stylistic sensibilities that constitute ritual propriety (2007: 350-54). Western virtue ethicists have much to say about sensitivities to role-dependent responsibilities (as parent to child, friend to friend, supervisor to subordinate, etc.), but lack much of the subtlety of Confucian analyses. To my knowledge, none have made much of the parallels between deference to one’s older brother (*ti 恃*) and deference to one’s elders more generally. Famously, and perhaps most perplexingly for Western virtue ethicists, the Confucian thinkers put tremendous emphasis on the developmental role of filial piety, from which the sensibilities and dispositions of so many other virtues are cultivated (Ivanhoe 2007). *Neo*-Confucianism holds out the prospect of developing virtue ethical theories that have yet to be imagined in the recent Western literature, particularly those that consist in developing some sense of unity or oneness with others, most famously expressed in the neo-Confucian refrain, “forming one body with Heaven, Earth, and the myriad things” (*tian di wan wu wei yi ti 天地萬物一體*). In his recent work, Philip J. Ivanhoe has begun to develop the several ways in which this feeling of connectedness can be distinguished from mere empathy and other forms of fellow feeling (Ivanhoe *ms*). Stephen Angle has explored at length the importance of appreciating how one fits into a coherent or harmonious whole (2009). On nearly all of the virtues which the tradition touches, the Confucians show their characteristic attention to the potential trade-offs between love and a sense of obligation, natural spontaneity and reverence, and unselfconsciousness and self-control.
Turning to the second respect in which present day virtue ethics stands to be enriched, Confucian thinkers also help to expand dramatically considerations about how virtues should be distinguished from other dispositions or states of character.
\(^1\) For example, the virtue ethicist Philippa Foot thinks the wrongness of some horrific acts, on a par with atrocities of Hitler and Pol Pot, are largely or entirely a matter of their intrinsic properties, independently of their relationship to character (2001: 99-115). David Copp and David Sobel suggest that this picture of moral explanation will work only if her theory of virtue is “married with an independent free standing theory of right and wrong” (2004: 544).
Earlier we saw that Aristotelian virtue ethicists tend to say a virtue must have some close relationship to the possessor’s flourishing. Van Norden argues that Confucius and Meng Zi also see virtues as having a necessary relationship to flourishing, although he observes that they distinguish *between* virtues differently, seeing the distinctions “almost exclusively in terms of spheres of experience” rather than (partially or entirely) in terms of specific psychological faculties (2007: 350-51). Rosalind Hursthouse believes that virtues have some sort of non-accidental relationship to the moral agent’s well-being, such that she is generally better off when she has the virtues and worse off when she doesn’t (1999: 167). This too is an issue about which classical Confucians like Meng Zi have considered views (*Meng-Zi* 2A6). And once again, the neo-Confucians are especially useful in expanding the range of possibilities into territory only barely imagined in the Western literature. They are distinctive in stressing that the most important virtues must either model or contribute to the world’s life-producing processes (*sheng sheng* 生生), which arises out of a textured conception of life-production that they develop in opposition to the Buddhists.\(^2\) Finally, Dai Zhen insists that human virtues are necessarily outgrowths of the natural, interpersonal dispositions that regulate the five basic Confucian relationships (*wu lun* 五倫), which are characterized by the ability to both give and receive in a reciprocal manner.\(^3\)
So much for the first and second dimensions in which Confucianism could enrich contemporary virtue ethics. Let us now turn to the third, which contemporary moral philosophers often take to be a definitive feature of virtue ethics: the logical or explanatory primacy of virtue over right action and the maximization of goods. Several authors of recent works on Confucianism and virtue ethics have argued that the Confucians do indeed regard virtue as logically primary. Ivanhoe has long argued that the classical Confucians prefer to explain right action in terms of the expression and cultivation of “distinctively human excellences” rather than moral maxims or principles (2002: 1-11). Angle maintains that the neo-Confucians regard stable dispositions of moral perception as more basic than moral rules (2009: 51-59). Van Norden holds that notions of flourishing and good character have a more central role in the ethics of Confucius and Meng Zi, although he rejects the view that these or any other characteristically virtue ethical notions have absolute explanatory primacy (2007, 2009: 306-07).
It would not be a healthy field if there were not detractors. In a recent talk, Lee Minghuei has insisted that Confucian ethics falls decisively on the side of deontology. His argument in brief is that teleology and deontology exhaust the range of possible moral theories, and that deontology is distinguished from teleology by the fact that it ultimately grounds ethical claims in moral as opposed to non-moral goods, an
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\(^2\) See Zhu 1986: v. 1, p. 108, section 10.
\(^3\) See Dai 1996: chapters 32-33, pp. 309-13. The “Five Relationships” are father and son, husband and wife, elder brother and younger brother, ruler and ruled, and friend and friend. Confucians traditionally see these as playing the most important role in maintaining social harmony and cultivating moral virtue.
assumption that the Confucians share (2010). Henry Rosemont and Roger Ames maintain that the conceptual apparatus of Confucianism is fundamentally incompatible with an array of Western moral theories, virtue ethics among them. On the Confucian view, they suggest, human beings are constituted entirely by their roles, which they find incompatible with the position that virtues are necessarily drawn from universally shared features of human nature that are “developed by rationality.”\(^4\) Manyul Im and Dan Robins have defended consequentialist readings of specific Confucian philosophers. Im observes that Meng Zi often rebuts the Mohists by arguing that they will better succeed at obtaining their desired good or benefits (利\(lì\)) by aiming at them indirectly, suggesting that Meng Zi rejects subjective consequentialism (consequentialism as a decision procedure for individual agents) in favor of objective consequentialism (consequentialism as an objective criterion of rightness) (2010). Robins argues that Xun Zi prefers (his own version of) the Way because it is “uniquely capable of promoting order in human societies” (2007: section 7).
These criticisms are important and should be taken into account, but I do not think they close the book on virtue ethical approaches to Confucianism (not that all of these critics mean to suggest such). For one thing, they focus on just one of the dimensions in which contemporary work on virtue ethics stands in need of more ground level contributions: namely, ways in which virtue can be construed as having explanatory primacy over other ethical notions. So long as Confucianism still offers abundant resources to the other dimensions of virtue ethics it can still make tremendous contributions. For this purpose, the Confucian tradition simply needs to meet the standard of offering a wide array of competing, nuanced accounts of the nature of virtue and the psychological structure of various individual virtues, a standard that Confucianism well exceeds. Furthermore, some of the criticisms—such as Rosemont and Ames’s—seem primarily concerned with Aristotelian ways of explaining ethical norms. Aristotelian theories are just one among several viable species of virtue ethics, most of which have yet to be filled out. As noted earlier, in fact, I think that virtue ethics is typically treated as a catch-all category, used to describe any theory that emphasizes characterological norms and does not conform neatly to theories that treat either right action or the good as the sole or primary basic moral notions. Construed so broadly, there must surely be many species of virtue ethics under the sun, and it would be shocking if Confucianism did not have something to offer.
Furthermore, more conceptual and interpretive work needs to be done before we can truly test the hypothesis that any one thinker has views about explanatory primacy that are consistent with any one of the three major moral theories. It might help to see a more rigorous attempt to distinguish Confucian justification from explanation: just because a philosopher justifies a practice or virtue in terms of its consequences, it does not follow that she believes we can provide a proper explanation or account by appealing to its consequences. (To be sure, this poses a challenge to defenders of consequentialist and virtue ethical readings alike.) A more
\(^4\) 2009: 45. Here Rosemont and Ames appear to focus on Aristotelian variants of virtue ethics.
pressing issue is whether Confucians, when they appeal to consequences to justify (or explain) the rightness of an act, assume that the value of those consequences is agent-neutral. If a theory holds that the value of a particular person’s health fundamentally depends on the point of view from which it is being considered, then most (but not all) consequentialists say this theory collapses into non-consequentialism (Pettit 1997, Portmore 2003). Settling the matter of agent-neutrality would require a close look at so-called “hard cases” like Meng Zi’s hypothetical about King Shun and his father (*Meng-Zi* 7A35). If Meng Zi thinks—as he appears to think—that a sage-king like Shun should give up the empire for the sake of his father’s safety, even at the risk of depriving the people of their peace and prosperity, it would take some philosophical acrobatics to show that this view is consistent with consequentialism as it is usually understood today.
2. **Virtue Ethics in as a Way of “Doing Ethics”**
So far we have been taking virtue ethics on the terms of present day moral theorists, according to which the explanatory primacy of virtue (or closely related notions) is its definitive feature. But there are other ways of giving virtue primacy over right action and the maximization of goods, some of which might have been embraced more readily by the great Confucian philosophers. One form of primacy that strikes me as particularly promising concerns not how ethical values are derived, but rather how ethics is done. On this construal, a thinker is a virtue ethicist if she believes that in engaging in higher-order moral reflection, the first or primary task should be to understand things like the nature, psychological structure and ways of cultivating good character, rather than the principles of right action or their relationship to various goods. A person can be a virtue ethicist in this sense without being a virtue ethicist in the sense invoked by present day virtue ethicists. One might think that a virtuous state of character is whatever state that maximizes social harmony, but think that those who properly engage in higher order ethical reflection (call this “ethics proper”) should be more concerned with the relevant states of character than with the good to which they conduce. On this account, an essential feature of virtue ethics is the conviction that ethics, when done rightly, attends to character first.
There are a variety of possible reasons to hold this view. Maybe we think that reflection about character has a more intimate relationship to making oneself a good person, which should be the first order of business in ethics proper. Perhaps we believe that in the vast majority of everyday cases the right course of action is relatively uncontroversial, whereas there is considerably more room for debate about the feelings, attitudes, and responses that one should have when faced with the demands of the world. Some might hold that we cannot fully settle questions about good states or right action without cultivating the virtues necessary for good judgment in the first place. Or maybe we just find higher order reflection on virtue to have more intrinsic ethical value than higher order reflection on moral rules or the like.
This offers a way of characterizing virtue ethics that most present day scholars of Chinese thought will happily ascribe to the Confucian thinkers. If we were to
compare the Confucians to their Western counterparts on this conception of ethics, it would touch upon some weighty meta-philosophical issues that seem to have fallen out of favor in the past few centuries.
To take just one example, the Stoics insist that philosophy should be regarded as something like the practice of medicine, but applied to diseases of the soul rather than diseases of the body. For them, the aim of higher order moral reflection (and philosophy more generally) is to uproot what many describe as flaws of character, such as wrongheaded desires and predispositions to affirm—reflexively or unthinkingly—false beliefs that inflict suffering on the self (such as the belief that death is harmful to the dead). This way of understanding ethics proper, which Martha Nussbaum calls the “medical conception of ethical inquiry,” runs through the Hellenistic tradition (Nussbaum 1994: 13-47).
If we were to look for ways in which Confucians can enrich this conception of ethical inquiry, it would be hard to decide where to begin. Cicero insists that philosophy should be a way of doctoring ourselves (Nussbaum 1994: 14). It would be well worthwhile to ask what Xun Zi might say about the idea that higher order moral reflection should provide us with that sort of autonomy so readily. Wang Yangming adopts (from the Buddhists) a medical conception of his own to describe the learning of sages and worthies (Ivanhoe 2009: 122-23, 131-32). The neo-Confucians—especially Lu Xiangshan—share with some of the Hellenists the view that a person should find ethical arguments and ideas engaging and easy to grasp in order to have the right transformative effect on her (Ivanhoe 2009: 39, 96, Nussbaum 1994: 15-16). But compared to the Hellenists, the neo-Confucians have considerably more to say about the preferred relationship between newly acquired knowledge and the beliefs and dispositions of judgment that a person already has, which is a central concern in the debate about the “extension of knowledge” (zhi zhi 致知).\(^5\) The Confucians also have a remarkable array of considered views about the ways in which ethical inquiry depends on ethical practice, and it would be a shame to neglect the rich conceptual resources that Chinese philosophy offers in thinking about how to internalize (and eventually act spontaneously on) the fruits of our ethical inquiries.
Constructive work on Confucianism and virtue ethics has only just gotten off the ground. As we have seen, debates about the viability of this work have focused largely on the explanatory role of virtue and flourishing. I hope I have shown that this is only one dimension of virtue ethics to which Confucianism could make a substantial contribution, and that contemporary virtue ethics—still a fledgling itself—stands in need of the very philosophical resources that are at the heart of Confucian and neo-Confucian thought.\(^6\)
\(^5\) For example, see Zhu and Lü 1992: volume 3, and Chan 1967: 88-122.
\(^6\) I am indebted to Kim-chong Chong, Philip J. Ivanhoe, Bo Mou, and William H. Shaw for helpful comments on an earlier draft of this essay.
REFERENCES
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Zhu, Xi 朱熹, and Lü Zuqian 呂祖謙 (1992), *Jin-Si-Lu* 《近思錄》[Reflections on Things at Hand]. See Chan (1992). |
CHAPTER TWENTY-SIX: DISTINCTIONS AMONG SINS; SING OF THOUGHT
A. Not all sins are equally serious
Some have thought that all sins are equally serious. If moral evil is understood as unreasonableness, one might suppose that its unreasonableness is in its inconsistency with the first moral principle. One cannot be more or less inconsistent with a principle. Hence, it might seem that one cannot do more or less moral evil. Similarly, if sin is understood as an offense against the infinite goodness of God, one can suppose that the offense committed in every sin is infinite.
However, common sense and divine revelation agree in excluding the position that all sins are equally serious. In his trial before Pilate, Jesus states that the one who handed Him over to Pilate had a greater sin than Pilate (Mt 27.24). Pilate has some authority in the matter although he is abusing it (cf. Jn 19.11). Warning against offensiveness in fraternal correction, Jesus says: "You hypocrite! Remove the plank from your own eye first; then you will see clearly to take the speck from your brother's eye" (Mt 7.5). The lesser sin is the one that sins, and the sin of the hypocrite is far greater than the small fault he or she is seeking to correct in another.
St. Basil makes the important point that even among sins which are serious, not all are equally grave. A combination of circumstances can make a sin more or less serious. Basil says: "It is not true that the man brought to judgment for the only once committed this sin was trained from the beginning in wicked practices; for he was brought into life by licentious parents and was reared with bad habits, in drunkenness, revelry, and with other vices. If he had been elsewise, he would have inviolately adhered to better things—education, teachers, hearing the divine discourses, salutary readings, advice of parents, stories which shape character to seriousness and self-control, an orderly way of life—had fallen into the sin; but the other, however it may have been trained, called to account in his life, that he would not be regarded as deserving of a more severe penalty than the first" (PEP 957).
This analysis also develops a saying of our Lord: "'When much has been given a man, much will be required of him.' More will be asked of a man to whom more has been entrusted" (Lk 12.48). This point is one which seems always to be borne in mind by those who exercise special gravity to assure in the Lord's work.
In general, sins differ in seriousness either by differences in the seriousness of what one does or by differences in the seriousness of what one does or by differences in the nature of the morally acceptable alternative to a sinful choice. The more serious the matter, the more clear the judgment of conscience which forbids an act, and the easier a right choice of an appealing good alternative would be, the worse the sin.
Moral evil does consist in unreasonableness, but unreasonableness is not simply in the violation of a unitary principle. The first principle of morality is violated by violating various goods in various degrees and also by violating diverse modes of responsibility. Hence the unreasonableness of any moral action is subject to degrees similarly; morally evil action is sinful not by violating divine goodness in itself—which is inviolable—but by violating it in its participations. Hence, although all sin offends God, not all sin is equally offensive to Him.
B. How sins differ in seriousness?
Theologically, the distinction between moral and venial sin is most important. I will treat this distinction in sections C and D, below. Before doing so, I now explain how sins differ in seriousness according to differences in the seriousness of what one does, setting aside, for the present, differences arising from degrees of awareness or the appeal of the good alternative. (Awareness will be considered in chapter twenty-eight; the appeal of the good alternative in later treatment.)
In chapter twenty-two, sections B and C, I explained how the various modes of responsibility have normative force in various ways. The three different ways, Titus brings about the death of another person, and in each case, ethical norms are measured constant. The sin which violates the seventh mode of responsibility is more serious than that which violates the fifth, and the sin which violates the fifth mode is more serious than that which violates the first. The reason for the difference is not in the damage done, yet it is in what Titus does, for what he does is not simply to bring about three deaths, but to determine himself wrongly in three diverse ways with respect to the goods of human life.
In general, other things being equal, violations of the seventh mode of responsibility are more serious than violations of the sixth, since the former more completely determines oneself incompatibly with the goods to which one ought to be committed. Violations of either of these modes are more serious than are violations of the second through the sixth modes, in which there is some compatibility with the goods to which one ought to be committed. Violations of the first mode of responsibility are least serious. If violations against the second through the sixth modes are compared among themselves—always assuming other things equal—I think (although I do not care to try to show) that violations of the fifth mode are more serious than the others, that violations of the sixth mode, next of the fourth and third, and finally of the second.
It is important to keep in mind that the same act can violate several modes of responsibility. For example, if it does not, the seriousness is increased. For example, many violations of the seventh and eighth modes of responsibility also involve a violation of the fifth mode. Most abortion and euthanasia of defective persons violates both sanctity of life and fairness; such acts are more seriously wrong than would be the mercy-killing of a person who is suffering greatly, for such a killing would not be unfair although it would violate the sanctity of life.
The seriousness of what is done also differs according to the good which is violated. In the light of faith and within the perspective of the life of faith, acts
which directly violate the religious relationship are more serious than those which of themselves violate only the relationship among human persons or groups, and the latter are more serious than those which of themselves violate only the harmony within oneself. Moreover, the tradition seems to indicate that violations of truth are more serious in themselves than violations of life, although the comparison is hard to apply since acts in which diverse goods are violated are not similar in all other respects. Clearly, the basic human good of excellence in performance has thus been widely recognized by the Christian conscience as an evil whose violation by itself can make an act seriously wrong.
In comparing the seriousness of what is done according to differences in the good which is violated, one must bear in mind that the same act can and often does violate several goods at once. For example, a Christian who commits adultery using a contraceptive to prevent pregnancy violates the religious good of the sacrament, fairness to the injured spouse or spouses, the true good of sexual communion, and human life in its generality.
The seriousness of what is done also differs according to the extent to which the relevant good is violated. For example, those who seek revenge act in a more seriously wrong way if they intend to do more harm than they can, or if they intend that a person be more seriously than comparable injuries to an extrinsic good of the person—for example, it is worse to scratch an enemy's face than to scratch the finish on his or her car. Such differences generally can be distinguished easily enough by asking which injury would more seriously affect oneself. The extent of violation of the relevant good also can be measured by the number of persons adversely affected. For example, the killing of a whole family for revenge is worse than the killing of a single member of the family.
The seriousness of what is done also differs according to the extent to which the wrong is carried through to completion. Other things equal, it is worse to desire and carry out a wrong than only to consent to the desire. Similarly, other things equal, the length of time over which a given wrong is done worsens its seriousness.
Considering seriousness from a religious Christian perspective, what one does is more seriously wrong if it is more clearly inconsistent with the teaching of the Gospel; likewise, what one does is more seriously wrong if it more greatly impedes the life and activities of the Church.
The preceding distinctions—which are not necessarily exhaustive—do not form a single system. Differences in seriousness can be measured in many incomparable ways. One might imagine that if all of these could be applied simultaneously, one could discern a greater or lesser seriousness produced by each evil. However, such a hierarchy to the least serious matter. However, we are in no position to construct such a hierarchy, nor is there any real need to attempt it. God, who reads hearts, can make whatever distinctions are required.
One might suppose that in admitting comparisons between sins according to the seriousness of what is done, I admit consequentialism. This supposition would be false. Consequentialism consists in an effort to commensurate the incommeasurable—to determine more precisely what ought to be chosen by comparing the outcomes of actions without the use of any moral standard whatsoever. The comparisons made in the present section involve no such effort. Moral standards are used in making the comparisons; moreover, the conclusions reached about comparative evils are not determined by the comparisons in a way which would eliminate the possibility of choice.
C. Theological foundation of the distinction between mortal and venial sins
It is worth noticing at the outset that the difference between mortal and venial sins is proper to theology. Ethical theory can make most of the distinctions discussed in the preceding section, and these distinctions account for the universal human sense that there are very important moral evils and comparatively insignificant ones. However, ethical theory by itself probably would lead to the hypothesis that there are moral evils of various degrees, practically constituting a continuum. The distinction between mortal and venial sins makes a sharp cut.
In each of the two categories, there remain many degrees of seriousness. But the worst wrongs which differ neither in their significance nor in their actual moral sin. That this is so, according to faith, is the point of the present section. The formal statement of the distinction will be given in section D. The fuller explanation of this distinction will be given in full chapter twenty-one.
In the Old Testament, an expiatory offering was required for sins of human frailty and inadvertence (cf. Lv 4.1-5,7). However, other sins, which have the character of crimes against the covenant community and its God, cannot be expiated; they are punished by death or by the cutting off of the sinner from the community (cf. Lv 20.1-2, 26.18-20, and so on). The words "venial" and "mortal" are not used, but the distinction obviously is implicit in the difference between faults which can be expiated ("venial") and crimes ("punishable") and crimes which cannot. Someone cut off from a community is dead so far as this community is concerned. To make a nomadic people, exclusion from the community obviously even was tantamount to a death penalty.
The New Testament maintains this distinction. In teaching His disciples to pray, Jesus directs them to seek forgiveness for daily trespasses (cf. Mt 6.12; Lk 11.4). By contrast, He warns that His determination counts with the condemnation of hell (cf. Mt 23.33). Certain sins exclude one from the kingdom forever (cf. Mt 25.45-46); some sins are unforgivable in a way that others are not (cf. Mt 12.31-32; Mk 3.28-30). Similarly, in the Christian tradition, there are sins which are not forgiven (cf. Jas 2.10; 1 Jn 3.8). By contrast, there is slavery to sin which leads to death (cf. Rom 6.16); certain particular sins call for excommunication (cf. 1 Cor 5.13). These more grave sins exclude one from the kingdom (cf. 1 Cor 6.9-12; Gal 5.15-21; Phil 3.9; 1 Jn 2.24).
In the First Epistle of John, there is a concise statement which at first sight seems to mark perfectly the distinction between mortal and venial sin:
Anyone who sees his brother sinning, if the sin is not deadly, should petition God, and thus life will be given to the sinner. This is only for those whose sin is not deadly. There is such a thing as a deadly sin; I do not say that one should pray about that. True, all wrongdoing is sin, but not all sin is deadly (1 Jn 5:16-17).
The lack of examples and explanation makes it impossible to know exactly what the author has in mind. Many commentators suppose that he has in view the especially pernicious type of sin—which has been called "sin against the Holy Spirit"—which I will discuss in chapter twenty-three (cf. 1 Cor 12:30; Mt 12:31; Mk 3:29). Perhaps this conclusion is drawn because petition for pardon is limited to cases of nonmortal sin.
However, it seems to me that the distinction in view could be precisely our distinction between venial and mortal sin. By praying Christ can obtain pardon for the former, but not for the latter, but since another's deadly sin is not sufficient to obtain its remission. On this interpretation, only this type of intercessory prayer, not any and all prayer, is excluded in the case of deadly sin. One might (and should) pray that the mortal sinner be moved to do penance, that the impact of mortal sin on others be mitigated, etc., so forth.
Another passage which in a long tradition has been taken to mark the distinction between venial and mortal sin is in St. Paul. Paul says that we build differently on the foundation which is Christ Jesus or gold, silver, and precious stones, or with wood, hay, or straw. Judgments will test the quality of each of these; one's building burns (because of its poor material) can be saved, but an fleeing through a fire. But others utterly destroy God's temple, for they separate themselves from Christ; at judgment, their works will be found unprofitable (2 Cor 3:10-17). (1)
Among the Fathers of the Church, the distinction between venial and mortal sins is clearly marked. St. Jerome, for example, says:
There are sins, sins and there are mortal sins. . . . one thing is to owe ten thousand talents, another to owe but a farthing. We shall not be tormented for committing an idle word no less than for adultery. But to be made to blush and to be tortured are not the same thing; nor the same thing to grow red in the face and to be in agony for a long time (PFL 1382).
Augustine points out that it is a mistake to make light of lesser sins; they can lead to grave sin. Hence, lesser sins should be confessed and overcome with works of mercy (cf. PFL 1846). The lesser sins, for which everyone needs pardon, are distinguished from crimes, every crime is a sin, but not every sin is a crime (cf. PFL 1928). St. Cæsar of Arles, writing before the 4th-5th centuries, clearly lists mortal and venial sins, basing himself on the lists in St. Paul and on the sense of the faithful. Those dominated by mortal sin must do penance, give alms, and amend their lives. The lesser sins can be committed without it, and die with them through purgatorial fire; Caesar identifies with the fire that according to St. Paul will burn away the wood, hay, and straw of those who nevertheless build on Christ (cf. PFL 2233).
Against the Pelagians the Church interprets Scripture and firmly teaches that even the smallest Christian sins (cf. DS 2225/23/24-25). The Council of Trent teaches that not all sins take away grace; there are venial sins (cf. DS 1537/50k). Without a special divine privilege, such as that given, every man a justified person cannot altogether avoid venial sin (cf. DS 1573/833). St. Pius V condemns the view that no sin of its nature is venial, that inherently every sin deserves hell (cf. DS 1590/10).
The Council of Trent also teaches that a person can lose the grace of justification not only by a sin directly against faith by which faith itself is lost, but by a variety of sins which exclude the faithful from the kingdom. Sin other than infidelity at times may be grave and enormous. Trent teaches that (cf. 1 Q 6.6-10) it is beyond this point (cf. DS 1544/808; 1577/837). Trent further teaches that Catholics must confess all of their mortal sins which they can remember after a careful examination of conscience. These sins can include sins of thought without and external act. Mortal sins have the necessary and crucial threefold submission to the Church, the penitent or the confessor, with enough precision for judgment. Venial sins also may, but need not, be confessed (cf. DS 1679-1680/899).
Already in the time of St. Thomas, centuries before Trent, there was substantial agreement among the Church's teachers not only on the points concerning which Trent insists but also on the sorts of acts which constitute mortal sins. In the centuries since Trent, moral theologians whose works were authorized for use in the formation of confessors have provided detailed and precise guidance concerning the kinds of acts which are grave matter. As I explained in chapter fifteen, section J, this common body of Catholic moral teaching seems to meet the conditions for teaching infallibly proposed by the ordination magisterium. Therefore, it is not only a matter of faith that there is a definite line to be drawn between mortal and venial sins; the faithful Catholic in many cases is in a position to say whether a certain kind of act falls on one side or the line or on the other.
D. What is a mortal sin?
From the preceding it is clear that a mortal sin is a sin which deprives one of divine life. Those who commit and remain in mortal sin are excluded from the kingdom of God; they are separated from Christ; they evict the Holy Spirit from their hearts; they incapacitate themselves for active participation in the life of the Church, particularly for the reception of Holy Communion, which expresses and nourishes the unity of, released and united in Christ. For ethical and outward members of political society, mortal sinners deserve no part in the common life of the Church; the grace of repentance and the sacrament of reconciliation are given by divine mercy and the Church's pastoral solicitude, not dispensed as if the sinner were entitled to them.
Mortal sin is a serious matter, to be sure, but precise understanding of these conditions is not easy. Therefore, the following must be regarded as a mere outline, which will be more fully developed in later sections and chapters.
For a mortal sin there must be grave matter, sufficient reflection, and full consent.
For grave matter, it is enough that the person who is willing to sin believe that the matter is a grave one. One who is willing to violate conscience in a matter considered grave is guilty of the degree of moral evil willingly accepted. Similarly, one who is prepared to act with some suspicion that the matter might be that of grave sin, and who does not take reasonable care to eliminate doubt, is guilty of the grave moral evil suspected.
The common theological teaching is that certain kinds of acts are of themselves light matter—for example, idle talk, tales of different persuasions, and so on. Other kinds of acts are of themselves grave matter—for example, killing the innocent, bribery, the like, and so on. However, of the latter ones in the nature of the case admits of no division or smallness in the harm which is done—for example, in killing the innocent the victim must be quite obviously dead in order for the adversary to suffer. There cannot be only slight or violated ethics in the nature of the case against a division or smallness in the evil which is done—for example, in stealing one can take only a newspaper without paying for it or can take someone's entire livelihood; in lying one can make a harmless joke or one can deceive someone about a matter of great importance. Kinds of acts which admit of smallness in the evil done (parity of matter) are prima facie grave, but only when the matter is essential since to the identification of the matter as light.
The question of the principles of the distinction between grave and light matter is a difficult one and debated today. I will discuss this question at length in chapter twenty-seven, where I will examine and criticize various current views and state my own conclusion on this point.
My conclusion is that Catholics should consider to be grave matter what the Church teaches to be such, since Catholics ought to conform their consciences to the Church's teaching, as I explained in chapter fourteen, section 0. When the precise teaching of the Church is not clear, the point will be borne in mind.
First, when the Church clearly teaches that a certain kind of act always is wrong, then any non-specific kind of act which includes all the characteristics of that general sort of act also is always wrong. For example, since the Church teaches clearly that any positive act intended to impede procreation from following its natural intercourse alone is gravely wrong, then any specific act impeding procreation by means drugs in order to limit the size of the family to a reasonable number also is always gravely wrong. Similarly, since the Church teaches clearly that any act intended to kill the innocent always is wrong, then the specific act of intending to kill a victim of innocent persons by a retaliatory strike in the name of justice also is always gravely wrong.
Second, when the Church's teaching is not clear—for example, when there is disagreement among the classical theologians—that something is grave matter, then no one has his or her conscience bound to tell anyone else that the matter is grave. For example, although I think that stealing materials from a library is mortally sinful, I would not be justified in propagating this opinion in a library bulletin. A priest who is convinced that his parishioners ought not to vote for candidates who favor euthanasia ought not to tell his congregation that such a vote would be a grave sin. Although failure to do works of mercy can be morally sinful, the obligation in my particular instance is not easy to determine; therefore, someone urging contributions to a special collection to alleviate starvation should not say that failure to contribute is grave matter.
For sufficient reflection, there must be awareness not only of what one is doing (without such awareness there is no human act at all) but also that what one is doing is serious matter. In other words, reflection is sufficient only when there is a violation of one's conscience, does what one knows to be grave matter. As I stated already, willingness to act with a doubtful conscience without making a reasonable effort to eliminate the doubt constitutes grave matter; such a state of mind also constitutes sufficient reflection.
At the relevant time, one must be actually aware of the wrongness of the act; it is not sufficient that one could and should be aware, for in such a case one is primarily responsible for the failure to form conscience, not gravely responsible for each evil that is committed through this failure.
The relevant time is the time of decision, not the time in which the decision is carried out. For example, a person who decides upon a career in the rackets, knowing this to be a vicious style of life, remains responsible for the choices and actions overarched by this choice, even though he or she later comes to admit later the morality of daily acts of murder, bribery, and so on. Similarly, an alcoholic who realizes that he or she has a grave obligation to seek help and who foresees future neglect of family duties if help is not sought at once remains responsible for the neglect overarched by the decision to continue neglecting, even though he or she later ceases to think or care about unfulfilled family responsibilities.
One's judgment of conscience must be that the act will be or might well be gravely wrong. It is not enough that one realize that there is something questionable about what one is doing, or that one does not have a sufficiently clear conscience that in which the wrongness of the act consists. For example, a public official might realize that there is something seriously questionable about accepting a certain contribution without knowing exactly what the money was used for.
One need not think explicitly that the act is an offense against God or that it will rupture one's relationship with Him. However, a well-instructed Catholic is hardly likely to realize that any act would be seriously wrong without some awareness of this, motivated by the importance of sin; therefore, the real lack of awareness of it in such a person is a likely sign that the seriously wrong character of the act was not clear for sufficient reflection.
Abnormal states of consciousness in which one does not attend clearly to what one is about to do render reflection insufficient. For example, a person who is half asleep, partially sedated by alcohol or another depressant, caught unawares in a situation of great pressure, or distracted might not be in a position to reflect sufficiently for full responsibility. In such cases, signs of insufficient reflection will be that
the individual in no way planned the act in that situation, that it is out of character, and that it is at once firmly rejected as soon as it is considered with full attention.
I will say more about the implications of ignorance and error for moral responsibility in chapter twenty-eight.
Full consent is an actual choice. I described choice in chapter eight, sections G and H. Every person has perfected sufficiently to realize that an act would be gravely evil and is aware that one should not do the act, one has not sinned mortally until one makes a definite choice. The choice itself need not bear upon a wrongful performance. It is enough that one foresee and assess consequences one is gravely obliged to avoid, that one chooses to omit doing what one is morally obliged to do, even though one's certain choice while foreseeing that as a consequence one probably will omit doing something else is gravely obliged to do.
One can make an actual choice without expressing it in words or carrying it out in any act of action. Moreover, one can make a choice in the course of deliberation which leaves open a range of possibilities to be settled by one or more additional choices.
For example, a person can decide upon revenge, and then proceed to choose the precise modality of revenge, similarly, a person can decide upon in some case of illicit gratification, and then continue to deliberate about the details in the projected "good time." In such cases, the actual choice required for mortal sin is committed as soon as a proposal including grave matter, however generally understood, is accepted with sufficient deliberation.
It also is important to notice that judgments of conscience not only can bear upon other acts, but also can bear upon very processes and acts of deliberation and choice themselves. An individual has made an actual choice which is morally sinful.
As we will explain in section F, once a morally sinful choice is made and not repented, subsequent voluntary acts and omissions in grave matter sufficiently known as such can continue and unfold the initial sin, even without further, distinct actual choices in every further instance of grave matter.
Emotion can interfere with the ability to make free choices. I will discuss the implications of emotion for moral responsibility in chapter twenty-nine.
E. Sins of ignorance, of weakness, and of set purpose
St. Gregory the Great formulated a distinction between sins in terms of causal factors in the mind of the sinner:
For our belief that sin can be committed in three ways. It is done either in ignorance, in weakness, or of set purpose. And certainly the sin committed in weakness is more grave than that done in ignorance; but that done of set purpose is much more grave than that done in weakness (PG 73:120).
To have made this remark, St. Gregory must have considered the ignorance virtually blameless and such as to eliminate sufficient reflection, and the weakness to be an unwanted emotion against which the sinner struggled unsuccessfully. "Set purpose" in some later authors, such as St. Thomas Aquinas, becomes "freely malice."
The distinction is not a logical trichotomy, except to the extent that it marks out the areas of knowledge and emotion for special consideration, to which I will devote chapters twenty-eight through twenty-nine. However, from a pastoral point of view, the threefold classification has considerable importance.
In some cases, the moral inadequacies of a Christian's life depend very greatly upon lack of adequate instruction. Ignorance not only extends to the kinds of acts which are sins and the recognition of possible choices as pertaining to these kinds, but also to the recognition of the sinfulness involved in them, and how to overcome it. To the extent that good catechesis can make a difference for the better in someone's life, his or her sinful defects can be attributed to ignorance.
In many cases, the moral inadequacies of a Christian's life depend very greatly upon lack of self-control. When temptations and emotions are uncontrolled, a person wishes to do what is right, but emotions come into play against good resolutions, and the person gives in to temptation. In these cases, the traditional ascetical practices are needed to establish emotional control. The sinner must pray, practice self-denial, avoid avoidable occasions of sin, follow a healthful regime to promote emotional balance, and put emotional energy to work constructively.
Ignorance and weakness are the common sources of sin in the lives of persons who are making a serious effort to live in the Christian way. These factors are not always so great as to eliminate sufficient reflection and full consent in grave matter; mortal sins of ignorance and/or weakness remain a possibility. But sinners with these difficulties are in a much less dangerous position than those who sin of set purpose.
A sin of set purpose is a sin of conscious malice. In such cases, obviously, one who already has committed serious sin, decided not to repent, and has occasion to commit further sin (particularly along the same lines) can choose to do so without any particular kind of reflection or emotion. The sinner, almost always, has failed through ignorance and/or weakness can sin through set purpose by coming to the point of repentance, when the mind is clear and passions calm, and deciding to persist in sin. Finally, a person without prior serious sin can deliberate and without any special emotional pressure choose to do what he realizes will be gravely evil for the sake of attaining a particular objective. For example, a person can deliberately and after long and calm consideration take a false oath to avoid a great loss, knowing the act to be a serious sin.
F. According to which modes of voluntariness is mortal sin possible?
In chapter nine, sections G through N, I distinguished diverse modes of voluntariness. The doing of a positive act by free choice is the central mode of voluntariness,
but there are numerous others. In which of these is mortal sin possible? In the following examples, I always assume sufficient reflection prior to the relevant choice.
Obviously, mortal sin is possible in the voluntariness with which one adopts a proposal, whether that proposal is adopted for its own sake or as a means to an ulterior end. For example, mortal sin is present in the adoption of the proposal to kill a person for revenge or to kill a person one otherwise would have to support in order to avoid this burden.
Mortal sin also is possible in the voluntariness with which one accepts foreseen consequences which one ought not to accept. For example, one who produces some one's ruin will peril the life and health of those who use it could be a mortal sin, although one neither intends this peril as an end nor chooses it as a means. (Whether the sin is mortal or not—indeed, whether there is any sin at all—will depend upon whether and how grave the injurious consequences are.)
One voluntarily in cause, discussed in chapter nine, section K, can involve mortal sin. One who needlessly enters the occasion of mortal sin commits mortal sin; one who gives easily avoidable scandal which one foresees will likely lead to mortal sin commits mortal sin. For example, one who, although not personally involved in pornography, allows a moral sin in this way, since the choice to do so either is simply responsive to no moral requirement and is likely to lead to mortal sins (at least of thought) in oneself or in others.
Mortal willing is the acceptance without an additional choice of significant aspects of one's actions which come to attention only in the performance of them. Because there is no mortal sin without sufficient reflection and full consent, it seems to me that there will be mortal sin in executing a voluntary act on one's own performance of it or act already mortally sinful. For example, if a person intentionally sins by deliberately getting into a quarrel with another, and knowingly but without a further choice carries the quarrel to the point that the matter is grave (beginning to inflict serious harm), then the voluntary act involved in such willing does not make the initial sin to which there has been full consent into a mortal one. However, executing willing in the carrying out of a mortally sinful choice can specify the sin, making it worse than it otherwise would be. For example, when Ma Pie bent on mortally sinful revenge, is glad to carry it out. When she learns it involves her son, then her sin becomes murder, although her original choice was not sufficiently to commit murder, and in the press of action she makes no new choice. A person who makes a mortally sinful choice to embark upon a certain way of life may be responsible for the grave consequences which arise in the course of that program, even if living that life from those moments of these acts will be done without further thought about their sinful character or a distinct choice to do each wrong act.
Omissions in which there is a choice can be mortal sins. For example, if one chooses to kill a baby by withholding food and fluids, then one is as guilty of homicide as one would be if one chose to kill it by drowning it in the bath. (One who chooses to kill by the purposeful omission also might be guilty of an additional sin of cruelty, to the extent that the suffering of the child is foreseen and accepted as a consequence of providing the legal conditions for one's own or another's wrongdoing [incidence].) Also, omissions incidental as foreseen consequences can involve mortal sin. For example, people who foresee that they are likely to miss Mass altogether if they do not get up for an early Mass commit a mortal sin if they stay up very late partying, knowing that they never will be able to get up for early Mass.
It seems to me that omissions which in no way depend upon a mortally sinful choice cannot be mortal sins, since mortal sin requires the full consent which is present only in choice. Thus, the parents who know that they should do something about their child's health and who fail to make up their minds to do (or not to do) anything are morally guilty of neglect but the sin is not mortal, unless it is an outcome of some earlier, unreported, mortally sinful choice. The person who is being tempted by lawful desire can be a mortal sinner if he resists the temptation, but he will not be mortal sin if there is not a choice—for example, an earlier mortally sinful choice which has led to the present temptation and failure of resistance, or a current choice to continue to entertain a temptation on whom one should set aside. [2]
The purely involuntary modes of voluntariness discussed in chapter nine, section N, can involve venial sin but not mortal sin. One whose spontaneous willing is disorderly because of past mortal sins of commission or omission, one who does wrong with no present awareness that it is past or present sin, one led to present obnoxiousness or disorderliness who is ready to sin seriously but has not chosen to do so was guilty of mortal sin in the past or might be guilty of it in the future, but is not guilty of it now by these derivative modes of voluntariness. (Of course, one who has not repented a past mortal sin remains guilty of it now.)
In sum, the inadvertent faults and unknown sins which arise in voluntariness apart from choice cannot be mortal sins. Mortal sin is present only when either there is a choice to do or to omit doing something one is gravely obliged not to do or not to omit, or there is a choice to do or to omit doing something one foreseen consequence, action, or omission which one is gravely obliged to avoid.
However, one who chooses to commit a mortal sin and who (by executive willing) does something apparently more serious than the original choice is guilty of what one or knowing and willingly doing in carrying out the original mortally sinful choice. Similarly, one who makes a mortally sinful choice which leads to subsequent, grave evil acts and/or omissions can be guilty of these grave sins even if sufficient reflection and/or an actual choice are not given in each and every instance of sin which makes up a sinful life.
80 G. Personal responsibility for social sins
Social bodies as such can act, as I explained in chapter eight, section N, and the modes of responsibility which govern individual action also govern social acts, as I explained in chapter twenty-three, section A. It follows that communities can commit sins.
For example, a nation can carry on an unjust war; a club can sponsor impure entertainments; a Christian family can fail to respect the religious practices of Jewish neighbors; a married couple can practice contraception. Social sins can be mortal sins of either commission or omission.
The question is: To what extent do members of groups participate personally in the sins which the group carries out? Should they belong? Should they not be guilty of mortal sin by one's involvement in a group which acts in a seriously wrong way? The answer to this question has two parts. First, one must consider the responsibility of a group-member for his or her own involvement. Second, one must consider the responsibility of a group member for the actions of other members of the group. In what follows, I always assume sufficient reflection prior to the relevant choice.
Societies do not engage in any positive act except by the personal acts of some of their members. Those who participate in what is wrong are personally responsible. A social act remains wrong both for those persons wrongdoing and for the social wrongdoing they further. For example, the leaders of a nation which carries on an unjust war are guilty both of abusing their office and of the injustices which make up the unjust war.
A society cannot carry on an unjust war unless some of its members could and ought to have acted in a manner which would have constituted a social sin. Those who choose to omit acts required to fulfill social responsibilities or who choose to act in ways which will make it impossible for their society to fulfill its moral responsibilities can also be guilty of wrongdoing for their own omissions and for the social wrongs to which they lead. For example, if a student in a boarding school is becoming deranged, other students can have a collective responsibility to acquaint the rector with the problem. If the situation becomes serious (and requires medical attention), the rector (the relevant actor) can refuse to care and should act and who fail to do so are collectively responsible not only for their personal failing but also for the irresponsibility of the student body to which they belong.
Frequently a society engages in an action which some of its members consider to be seriously wrong, but which they do nothing unless some of its members could and ought to have done something which would have constituted a social sin. Those who choose to omit acts required to fulfill social responsibilities or who choose to act in ways which will make it impossible for their society to fulfill its moral responsibilities can also be guilty of wrongdoing for their own omissions and for the social wrongs to which they lead. For example, if a student in a boarding school is becoming deranged, other students can have a collective responsibility to acquaint the rector with the problem. If the situation becomes serious (and requires medical attention), the rector (the relevant actor) can refuse to care and should act and who fail to do so are collectively responsible not only for their personal failing but also for the irresponsibility of the student body to which they belong.
In cases which require positive acts of members of groups to rectify the policies and actions of the group as such, the responsibility of individuals is prima facie. A conscientious person can know that possible wrongs done by societies to which he or she belongs are actions attempts to rectify events which would exhaust all of one's time and talents. The norms for resolving conflicts of duties, discussed in chapter twenty-three, section J, come into play in such cases.
When one whole like an already organized group might commitments, then one who fulfills these commitments generally is free of responsibility for taking a rather nonactivist stance toward social wrongs. For example, a cloistered nun or the mother of a large family probably is not morally responsible to do any political action which might be necessary to change the character of public policies toward developing nations. However, a person whose life is not organized by personal vocational commitments and who spends much time and energy in self-gratifying amusements could have a grave responsibility to become politically active in the cause of justice.
If one is not required to call an end to a group, that a member not contribute to the immoral act of a group, the responsibility to omit still is prima facie, since the relevant act can be done for some other good purpose. For example, a citizen furthers all the public acts of society by paying taxes and could obtain all of them by continuing to pay taxes. However, most societies do not do good acts, and others may be justified (and usually are morally obliged) to pay taxes to further these good purposes and to avoid imposing unfair burdens on those less able to evade taxes. One who believes that a war is unjust and who is summoned to register for service has a prima facie obligation to refuse, so long however, one could be justified in registering to avoid the legal penalties for failure to register.
It remains, however, that no member of a group is justified in doing things he or she can refuse to do without thereby contributing to the evil of the group and of themselves doing nothing else. For example, a person who thinks a certain war is immoral has grave obligation not to take an active part in acts of war. The fact that refusal could incur legal penalties such as imprisonment or death will not justify taking part in acts of justice to be wrong.
As I pointed out at the beginning of this section, members of groups not only have responsibility for their own actions as members, but also some responsibility for the actions of other members of the group. This responsibility is twofold. First, one sins gravely in doing or permitting anything in an official capacity is thereby responsible for the grave evil done by the group as such and by the share of other members in this grave evil (always assuming sufficient reflection and the relevant choices). Second, there are the responsibilities involved in considering what others, discussed in chapter nine, section 3. When one considers that in consequence of what one does, others will be enabled and/or facilitated in doing evil, then one has a prima facie obligation to avoid the evil this consequence.
Still, one need not generally required to do the act and accept the consequence of enabling or facilitating others' immoral acts. For example, one can be required to teach the truth about the moral character of certain forms of warfare, although one foresees that such truth will facilitate the willingness of unjust aggressors willing to use such means against one's own country. Again, a stationary engineer who must be living to support his family could have an obligation to fire the boilers which supply heat to an abortion clinic, thus to facilitate the killing of the innocent.
H. How are mortal sins distinguished in species?
The question of the distinction of sins in species is the question: What sin was committed? The question of the distinction in number is the question: How many times was it committed? These questions are discussed below, but they would be very complicated and will not be undertaken here. However, these questions have a certain practical importance, since Catholics are obliged, as the Council of Trent definitively teaches, to confess mortal sins not only in general—"I have sinned mortally"—but in species and number (Cf. 1 MC 36/79/80; 37/9/11). Therefore, I will treat these questions from this practical point of view.
The first point to notice is that the obligation to be specific and precise in confession is an affirmative one, since it is limited to persons who are able to fulfill it. Thus, a penitent is held only to confess his or her conscience with due care and to confess truthfully according to his or her personal ability. In exceptional circumstances, where a penitent cannot confess with precision because of a handicap, a language barrier, unavoidable lack of privacy, or similar impediment (for example, in a disaster situation), the usual requirement for specific confession does not hold; sacramental confession can be completed without it, although a person absolved under exceptional circumstances must make good the confession of sins if an opportunity presents itself for a subsequent confession.
Sins differ in species not by the difference in external behavior but by the difference in the intelligible aspects of the human act which are defective and so render the act evil. It follows that details of a sin which involve proper names, places, and times do not alter its species.
Generally, penitents will have been instructed to consider certain kinds of acts mortally sinful by being taught a set of specific moral norms. For example, a penitent will have learned that adultery is a mortal sin, and will come to think of these terms "What is more important about them is that precise words are violated and the modes of responsibility by which they are violated. However, penitents do not think in these categories and cannot be expected to do so.
Penitents might need help in reaching a reasonably adequate specification of their confession. A priest's guidance in this area helps not only to fulfill the requirement for internal confession, but also to provide a reasonable basis for instructing and counseling the penitent. For example, sins of adultery differ specifically when both parties to the adultery are involved and not only on the basis of the appropriate advice given, even though it might be somewhat different. Similarly, sins of theft differ in species according to the likely injury which will accrue to the person whose property is stolen; the confessor's guidance about the duty of restitution also requires more information than the generic indication that there was damage.
In some cases, penitents avoid specific sins due to embarrassment, evasiveness, inadequate instruction, or a combination of these. For example, an adolescent might confess a sin of impurity by saying he or she had "done something disgraceful" without a clearly detailed description; the physical act and its intrinsically concrete circumstances might be elided by a question: Exactly what did you do? More to the point would be the question: Did you think it was seriously wrong? And if the answer is affirmative: What was it about what you did that you thought to be seriously wrong? If such specification is given, the penitent will learn that additional factors (so-called "circumstances") might alter the moral evil of the sin, the penitent's awareness of such factors can be explored by asking: Can you think of any other reason why you should not have done what you did?
Why a penitent should not have done what you did?
In most cases, help of this sort supplied with appropriate patience and gentleness can be very valuable. Perhaps the penitent has an erroneously strict conscience which needs to be corrected; such correction will not be given if the confession is limited to stand at a level of vague possibilities. Generally, no useful guidance can be given about specific instances of sins without an adequately specific confession. In any case, while the sincere contrition of the penitent and genuine purpose of amendment are far more important than the details of sins, the Church's clear and definitive teaching about the requirement for specific confession must not be ignored.
I. How are mortal sins distinguished in number?
From a theoretical point of view, moral acts are individuated by actuations of the will—by choices and by acts of willing implementing a prior choice. Thus, the act of machine-gunning fifty persons is one homicide if it carries out a single choice; the complex act of kidnapping might involve dozens of individual morally evil acts if it requires dozens of discrete choices and acts of executive willing.
In practice, penitents generally count sins by counting external performances, whose individuation is by standards used by common sense. Such estimation ordinarily can be taken as adequate to fulfill the requirement of internal confession. Moreover, in most cases, the penitent can be satisfied with which particular sin was committed; an estimate of the instances per unit of time over a certain period is sufficient—for example, "about three times a year" for the last ten years.
If the penitent is not yet ready to make judgments concerning the number of sins, the point which should be borne in mind is that quantity or extent is what is at stake here. Thus, a person involved in a prolonged adulterous relationship should confess the duration of the relationship as well as the approximate frequency of the illicit acts; a person involved in drug traffic should estimate the volume of business and the number of persons likely harmed; a person who neglected to help support aged parents should indicate the duration of the neglect and the portion of support which was omitted.
In the case of purely internal sins, penitents are likely to count the episodes or discrete instances of sin, particularly when the number of sins is determined by the number of immoral choices and subsequent implementing will actuations. Generally, many such sins are committed in the course of any complex act, but if the complex proceeds to an external performance, the penitent ordinarily does not distinguish the numerous sins...
involved. Nor need such distinctions be pressed; an honest estimate of the extent of sin according to common criteria is sufficient.
J. How important are sins of thought for Christian morality?
The Ten Commandments forbid not only evil deeds but also evil desires (cf. Ex 20.17; Dt 5.21). St. Paul continues to list the commandment forbidding coveting when he states that love fulfills the entire law (cf. Rom 13.9). Although not outwardly harmful, evil desire, or the love of love, of one's neighbor, is forbidden. The commandments on the Mount, on the Mount, Jesus emphasizes especially that sins of murder and adultery already are committed when one nurses anger and lustful thoughts (cf. Mt 5.22, 28).
One might suggest that evil thoughts are to be avoided because they are the beginning of evil action; if the latter is avoided, the former must be avoided in its bud. This insight is sound as far as it goes. But there is a more profound reason for emphasizing the morality of thoughts, namely, that morality essentially pertains to thought. Evil is much more in the heart than it is in any outward performance. Thus Jesus emphasizes that the distinction between good and evil cannot be drawn by legal categories of clean and unclean objects; rather, evil emerges from the heart (cf. Mt 7.20-23; Mt 15.18-20).
In commenting on the Sermon on the Mount, St. Augustine clearly describes the psychology of sin which begins in the heart:
For there are three stages in the commission of sin: suggestion, pleasure, consent. Suggestion comes about either through memory or sense perception as when we see, hear, smell, taste, or touch something. If we analyze what these senses perceive, pleasure, the pleasure, the if God's will must be checked. For example, when we see food at a time when we are fasting, an appetite rises in the palate; that comes about only through pleasure; but on this occasion we do not fall in with the pleasure; we resist it under the sway of reason. Were we to yield consent to it, we would commit sin, since it is a sin in the heart known to God, though actually it may remain unknown to man. [4]
Augustine goes on to explain that if a habit has not been formed, the pleasure is less intense and more easily resisted. But once carried through and put the consent in the heart into action, desire at first seems satisfied, but a habit is formed, and pleasure becomes more intense and harder to resist. [5] Thus, from Augustine's point of view, the sinful act and the immoral thought are alike of producing sins of thought than sins of thought must be avoided for the sake of preventing sinful acts.
In its definitive teaching concerning the Sacrament of Penance, the Council of Trent explicitly teaches that even completely hidden sins, which violate only the last two of the Ten Commandments, can be forgiven and must be confessed; indeed, the Council teaches that those sins "sometimes wound the soul more grievously and are more dangerous than those sins which are committed openly" (DS 1680/599).
The greatest moral significance of evil acts is not in the harm which is done outwardly in fact—although this is not without its significance—but in the motivation which is involved in the spiritual domain. This motivation is less obvious to experience but is just as real as sins of thought which issue in no wrongful deed as it is in gross, outward acts of immorality. The voluntary choice motivates the sinner, and this motivation of the sinner is the cause and of itself justifies punishment, the relationship of the sinner with other human persons and with God. For example, as soon as a man commits adultery in his heart, his relationship with his wife is damaged, and so is his relationship to Christ in his life. The sacrament of penance helps the participant to recognize if he or she attempts to avoid such deeds while from committing sins of thought, he or she will inevitably take a wholly false, legalistic attitude toward morality. If one's heart is not pure, an attempt to avoid impure behavior will be a Pharisaic pretense. The man who conforms to moral standards can only be a victim of a normative motive, such as fear of punishment or shame; the moral standards certainly tend to be arbitrary and irrational impositions. Inward love of goods, the attitude of consistent openness to integral fulfillment in Christ, will be lacking. Only this attitude can sweeten the spirit, lighten the burden of Christian life. Because the law of Christ is the law of the Spirit, true morality, true heart is absolutely spiritual.
False and inaccurate teaching concerning sins of thought can lead to morbid self-consciousness, inappropriate anxiety and feelings of guilt, and an invasion of the private area from doing good to doing evil. However, I suggest to confess sins of thought is to undermine the inwardness of Christian morality, to encourage Pharisaism, and ultimately to pave the way for a total abandonment of Christian moral standards in the interest of "honesty"—that is, the manipulation of peoples' hearts and their outward behavior. The only solution is timely, careful, and honest teaching about sins of thought. In this area there is much work to be done, because even prior to Vatican II instruction about sins of thought often was vague and confused, and in recent years it often has been omitted or has been erroneously lax.
K. At what point does mortal sin begin in sins of thought?
In the mere occurrence and experience of emotional reactions as such there is no personal sin. For example, a person who is in some way injured feels angry; the feeling of anger which spontaneously arises as such involves no sin. A person who works in the profit of others feels deep hatred for the monopolist; this feeling as such involves no sin. Similarly, a person feels an attractive attraction of the opposite sex and feels sexual desire; the feeling of desire as such involves no sin.
Spontaneous emotional reactions are a determined aspect of sentient nature; one cannot prevent them, and one should have no more here the character of free acts than of reflexes, such as being startled by a noise. Nor does essential character of such spontaneous emotional reactions altered by their duration, intensity, and recurrence.
Psychological health and honesty also require that a person admit to himself or
herself the experience of such emotional actuations and know precisely who or what
arouses them.
The psychologically normal play of emotion is not beyond criticism from the moral
point of view to the extent that it not only lacks but even resists reasonable integra-
tion into the pattern of a good life. To the extent that this disorderliness is part of
the psychologically normal play of urges, it is not a mortal sin which is present in
any one sense but is a consequence of original sin (cf. DG 1519/702). To the ex-
tent that this disorderliness is consequent upon inappropriate experience and habituation
in childhood and one's own personal sins, it has the character of a privation of moral
integration with the possibility and reality of sins which are not mortal sins because
it is sufficient reflection and actual, personal choice against conscience in a grave matter,
or has been such a choice which has not yet been repeated.
Possible courses of action variously proposed for possible choices—spontaneously
and constantly come to mind. In the coming to mind of such of various proposals, no
matter when they are, there can be no sin. Furthermore, without any will actuation, by
the spontaneous work of the mind itself, one naturally begins to consider the good and
bad aspects of any proposal which comes to mind. This spontaneous beginning of deliber-
ation does not amount to sin, for if one begins deliberating about a proposal which one
morally ought not to adopt, one is in a condition of temptation.
Temptation as such is not sin; one can be drawn spontaneously into this condition
and be unwilling to make a choice between doing what is right and doing what seems to
deserve it without committing sin. The fact of this temptation is that our Lord Himself
"was tempted in every way that we are, yet never sinned" (Heb 4:15). One can be tempted
to the slightest evil will, since temptations arise because of the natural and good
functioning of practical reason itself and because of the natural susceptibility to even
intangible desires (or spiritual goodness) which always are present in the possibili-
ties which reason must exclude as inconsistent with integral human goodness.
One might suppose that there necessarily is something wrong if one thinks of a pos-
sibility, provided it morally would be wrong. But this tends to begin deliberating about
adopting or not adopting it. However, while this sequence can involve sin, it need not
presuppose or involve any sin whatsoever, since practical reason naturally and necessar-
ily considers the case before for or against an prohibition which comes to mind.
In many cases, an initial deliberation about a possibility may first come to mind
and which initially is thought to be morally wrong to adopt leads to—and is absolutely
necessary to achieve—insight into the morally right thing to do. For incipient deliber-
ation can lead to conscientious reflection which will make clear that, in reality,
adopting the alternative which first came to mind was not so. For instance, the
possibility of not keeping a promise, which initially seems wrong, can be found to be
obligatory. Again, incipient deliberation often leads to the replacement of the possi-
bility of a wrong course of action by a different possibility which is upright. For example,
an unmarried young couple may begin to deliberate about fornicating can replace the
unacceptable possibility with the upright plan to get married.
Deliberation can occur, desires and wishes can come to mind, and one can experi-
ence satisfaction and/or unhappiness about actions which seem to be right or wrong without any
choice at all without the formation of a mortal sin. If one ought not to have such
thoughts, desires, wishes, and experiences of satisfaction, but has them due to some
prior sin, they are sinful, but in themselves only venially so, unless they are conse-
quent upon some other, more serious, moral sin. If one has formed a bad habit, one's atten-
tion to other matters to suppress deliberation, desires, wishes, and experiences of
satisfaction, one sins if one fails to do so, but only venially until there is a wrong
choice.
For one who is not already in mortal sin which is developing into a sequence of
further, specific sins, moral sin of thought begins only when one is aware of a grave
moral obligation not to do something (for example, not to continue a deliberation) or to
do something (for example, to focus one's attention upon some other, innocent matter of
interest) and one chooses to do what one ought not to do or not to do what one ought to
do.(6)
To make a choice is a conscious act; one cannot make a choice without knowing one
is making a choice. However, one can make a choice and forget an instant later having
made it. Whenever one is uncertain whether one has made a choice at a point before, one
can be confident one has not made the choice.(7)
It is possible to make a choice and to forget having made it after some time—for
instance, after several days. Hence people who are constantly striving to avoid at
least mortal sins and who regularly examine their consciences need not feel anxiety or
guilt, nor need they carry on minute introspection about possible sins of thought, if
they are not clearly aware when they next examine their consciences after an episode of
temptation of having committed sin in a venial manner.
One must bear in mind that in many cases temptations and sins of thought occur
after one has freely chosen to adopt and carry out a mortally sinful proposal. For exam-
ple, a person who chooses without any good reason to go swimming in a dangerous place
while swimming, a person who has decided to take revenge on someone might experience various
subsequent temptations and sins of thought. Even if these do not proceed from additional,
distinct choices, they can share in the character of mortal sin to the extent that they
unfold in subsequent actuations of the will the mortally sinful choice consequent upon
which they occur.
L. What are the most common kinds of sins of thought?
The primary case of a sin of thought is a sinful choice. Even if the choice is to
say or do something, the sin already is present in the choice itself. Hence, if one is
prevented from carrying out the deed or change one's mind before doing so, one has com-
mitted a sin of thought. A sinful choice or carrying out an evil than one carried
out, since there are fewer moral and/or nonmoral evil consequences.
Sometimes a sinful choice is made subject to a contingent condition: I will do x
if I have the chance, if it does not seem too risky, and so on. Under any such condition, the sin is committed whether the condition is fulfilled and the choice carried out or not.
The wish to do something or to have done something evil in itself evil; hence, the deliberate desire to commit a mortal sin which one cannot control, the wish to be able to commit an evil act which one cannot control, is a grave matter. One who experiences such wishes ought to choose to set them aside. If one reflects sufficiently and chooses not to set aside such wishes, one's persistence in them is a mortal sin.
However, if one experiences desires contrary to the law of love and sets them aside, such experiences are innocent evil will. Moreover, to know as a matter of fact that one would like to commit certain sins or that one feels sadness about having foregone the pleasure of certain sins is not to desire deliberately to commit sin. Ordinarily, a person who experiences desires to commit sin, then I would do it," does not will to commit sin, but rather is unwilling to do so.
To consider with satisfaction and approval the doing of something evil, whether by oneself or by someone else, is itself evil; hence, to deliberate in consideration with satisfaction and approval of an act which is possible only of a mortal sin, is also grave matter. One who is aware of having satisfaction or of approving of sin ought to choose not to do so and to set aside such a consideration, one's continuing satisfaction or approval is a mortal sin.
However, one can enjoy knowing evil without taking satisfaction in the evil; one also can take satisfaction in the skill with which evil is done without approving the evil. For example, one can enjoy studying the assassination of a husband and be delighted with the skill of the robber without taking satisfaction in or approving the sin. One also can be glad about and approve of the residual good aspects of an evil act without approving of the evil. For instance, one can be pleased by the courage of a woman who murders her husband and with the skill with which she happens about the murderer's efforts of this sort in similar men, without taking satisfaction in homicide. One also can legitimately consider with satisfaction and approval an act good at the time to which it is referred in consideration, although it would be wrong to do at the time considered. For example, an engaged woman can blamelessly look forward to approval to engaging in sexual intercourse in marriage with a woman on blasphemously look forward with satisfaction upon the love-making in which she engaged with her husband.
It does not follow that people can rightly choose to take emotion, satisfaction in thinking about doing things contrary to morality for which they would be right, when these things may not now be wrong without sin, and when there is no real necessity to think about them. One usually should judge that to engage in such thinking is gravely wrong, because it will lead to tendencies to do something wrong; to choose to engage in it despite such a judgment is a mortal sin.
Similarly, if one considers acts which one would oneself be tempted to choose, the satisfaction in the knowledge or in good aspects of the subject matter can be distinguished readily enough from satisfaction in or approval of the evil as such. Thus, most people cannot read stories of illicit sexual activities without adopting a frame of mind which without adopting a frame of mind which is wrong.
However, if one considers immoral acts which one would oneself be tempted to choose, if ever they occur to one's imagination, without adopting a frame of mind the hedonistic good aspects of the subject matter cannot easily be distinguished from satisfaction in or approval of the evil as such. One who thinks that a state of mind could be wrong yet chooses to enter or persist in it is willing to do what is wrong. Thus, most people cannot read stories of illicit sexual activities without adopting a frame of mind which is wrong. In general, one must seek other subject matters for entertainment and amusement.
Notes to chapter twenty-six
1. See St. Thomas Aquinas, Summa theologica, 1-2, qu. 89, art. 2; St. Augustine, Expositions on the Psalms, 81 (80), 375-20. The phrase "in which the whole man" and straw are omitted in the Latin text, but are traditional with the first investigator (cf. JBC 51:23).
2. St. Thomas Aquinas, op. cit., qu. 71, art. 5, teaches that there can be sinful omissions without any positive act essentially involved, even a merely interior act, but he also teaches that there must be some act or omission in occasioning the sin. This position to me means that the omission which involves without an essentially related choice cannot be a mortal sin if the choice which is its cause or occasion is not a mortal sin. This view could be challenged; the matter deserves further research. However, it seems to me that the consensus of the approved authorities in modern times which requires full consent for mortal sin cannot be reconciled with a position that there can be mortal sin in modes of voluntariness which involve no choice if this voluntariness is not somehow conditioned upon a mortally sinful choice. One might propose a counterexample. Suppose a person has been given authority to fire a subordinate but has failed to act, and at the same exhibit the wrongdoing of a subordinate, but the authority failed to act, not by choice, but simply by continuing to deliberate until the time for action passed in the vain and unreasonable hope of finding another way of accomplishing the unpleasant task. Would not such a person be guilty of grave sin, even though he or she never made a choice in grave matters in violation of clear conscience? (Perhaps many serious, deliberate venial sins paved the way to the present dereliction of duty.) It seems to me that in such an instance one of three things will be the case: 1) perhaps the omission which is not inherently prohibited (for example, by pressure on exhaustion or fear); 2) perhaps the gravity and urgency of the matter is not fully grasped, or 3) perhaps the authority's disposition is conditioned by previous immoral and unrepented acts, such as irresponsible commitment to others into situations in which they cannot refuse, or by a previous sin, such as a condition incurred by grave sin; and if insofar as it is, the inability to choose, the lack of clear judgment, or the distraction of other matters will not excuse from grave responsibility for the present omission. However, if there is no prior, mortally sinful
choice persisting in a present state of guilt, I do not see how a present omission without choice can initiate mortal sin. One might wonder, as an incidental question, how someone who is uprightly disposed to a good and committed to fulfilling the duties of a responsible office could possibly have sufficient reflection about a grave duty requiring possible action right now, yet fail to make that choice whatever in the matter, not even by choice to forgo the action? But where it is clear that one has been invited to proceed at once to the required act. Personally, I doubt this possibility, unless some non-voluntary factor (such as depression) which inhibits choice is assumed; if such a factor is assumed, then the full capacity of choice required for grave moral responsibility also will be lacking.
3. Throughout the remainder of this chapter, I summarize relevant aspects of the common teaching of the classical theologians. If some of these points are not evident upon reflection or discussion from other sources, then the explanation is more what weight the corresponding theological opinion had in these matters to the extent that it was authorized by the bishops for the formation of confessors, with the expectation that it would be used in the exercise of the power of the keys.
4. St. Augustine, The Lord's Sermon on the Mount, trans. John J. Jepson, S.S. (New York: American Bookman Press, 1940), p. 43.
5. Ibid., p. 44.
6. St. Thomas Aquinas, op. cit., qu. 78, art. 8, expressly holds with respect to consent to fornication (delictum fornicationis) that the mortal sin is in a choice: "When one thinks about fornication and delights in the activity, this occurs because his affections are bent to the act of fornication itself. When one consents to this type of delight it is equivalent to consent to afford room for fornication. Nobody delights in a thing unless it suits his desires. If he deliberately chooses (ex voluntatone elegit) or fix his desire on something that is gravely sinful, it is a mortal sin."
7. Of course, unsophisticated persons and unreflective ones often have no clear understanding of what choices are, and cannot recognize their own choices or reflex awareness when and where they occur. Hence, the Church is entitled not to provide such persons with false reassurance. It would mislead such persons to tell them: Unless you know you have made a choice, you have not sinned. They can sin by making immoral choices without having reflex awareness that these sinful acts are centered in entities called "choices." |
FREDERICK COUNTY PLANNING COMMISSION
October 11, 2017
TITLE: Westview South MXD – Residential Section Revision Phase 1.3C
FILE NUMBER: S-905/SP-98-36 (AP 17503, APFO 17504, FRO 17505)
REQUEST: Combined Preliminary Subdivision Plan/Site Plan
The Applicant is requesting Combined Preliminary/Site Development Plan approval to revise the 4.93 +/- acre Phase 1.3C portion of the overall approved Westview South MXD Residential project to: remove 128 MF units (4, 32-unit buildings) and replace those units with 24 townhomes and 46 '2 over 2' units) and revise the open space layout. The revision will result in a total of 542 dwelling units comprised of 242 multi-family units (three 32-unit MF buildings and 146 '2 over 2 units), 184 townhomes, and 116 single family detached dwellings.
PROJECT INFORMATION:
ADDRESS or LOCATION: Northeast quadrant of New Design Road and Executive Way
TAX MAP/PARCEL: Tax Map 86, Parcels 269 & 3
COMP. PLAN: Office/Research Industrial (ORI)
ZONING: Mixed Use Development (MXD)
PLANNING REGION: Frederick
WATER/SEWER: W-3, S-3
APPLICANT/REPRESENTATIVES:
APPLICANT: MB Westview South, LLC
OWNER: WVS Parcel 400, LLC/Matan Properties, LLC
ENGINEER: Harris Smariga Associates, Inc.
STAFF: Tim Goodfellow, Principal Planner
RECOMMENDATION: Conditional Approval
ATTACHMENTS:
EXHIBIT 1 – Plan Rendering (Overall Westview South Residential Plan w/ proposed Phase 1.3C highlighted)
EXHIBIT 2 – Plan Rendering (Westview South Residential Plan w/ proposed Phase 1.3C enlarged)
EXHIBIT 3 – Plan Rendering (Westview South Residential Plan w/ current approved Phase 1.3 area)
EXHIBIT 4 – Developers Rights and Responsibilities Agreement
EXHIBIT 5 – 2nd Amended and Restated LOU
This application proposes a revision to a portion of the previously approved Westview South Combined Preliminary/Site Plans (AP#15579). The proposed revision would impact a portion of the project currently described as Phase “1.3C” in the graphic and table below. The remaining portions of the project, labeled Phase 1.1, 1.2, 1.3A, 1.3B and Phase II in the accompanying graphic, are not proposed for change at this time and are not a part of this review. Phases 1.1, 1.2, 1.3A and 1.3B are currently under construction. The proposed change in the total number and type of dwellings in the Westview South residential project is shown in the table below.
This application proposes to replace the 128 Multi-family dwelling units (four 32-unit buildings) approved in the 2016 Westview South combined Preliminary/Site Plan with 24 townhome lots and 46 ‘2 over 2’ units, within a 4.93-acre portion of the project (now referenced as Phase 1.3C). The changes proposed in Phase 1.3C reduce the Multi-family units in the entire project from 224 to 96, a reduction of 128 units. The Westview South Residential project’s total dwelling unit count is reduced by 58 units with the revisions proposed in Phase 1.3C. All units now proposed in Phase 1.3C are rear-loaded with vehicular access provided by alleys. Townhomes in Phase 1.3C are designed with 2-car garages and 2-over-two units have 1-car garages.
Replacing the Multi-family units with townhomes and 2 over 2 units has resulted in a redesign of the previously approved 27,000 square-foot community green in the 2016 Westview South Preliminary/Site Plan. The current proposed Phase 1.3C community green/open space is an approximately 41,000 square-foot community area that is larger, more attractive and accessible for residents in the community. Benches, sidewalks, shade trees, and pole-lights are amenities included in the community green within Phase 1.3C. The 24 townhome units front on linear open space, which is part of the redesigned community green in this section.
The Project is subject to the requirements of the Phase I rezoning, the Frederick County Code, specifically Chapter 1-16 (Subdivision Rules and Regulations) for the Preliminary Subdivision Plan review, Section 1-
19-10.500 Planned Development Districts – MXD provisions, and Sections 1-19-3.300 through 1-19-3.300.4 for the Site Development Plan review. The Site Plan portion of the Project is being reviewed as “Townhouse” and “Multifamily dwellings” (for the 2 over 2 condominium units) under the use heading of Residential per §1-19-5.310 Use Table in the Zoning Ordinance.
**BACKGROUND**
**Development History**
The Westview South Residential project is a portion of the overall Westview South MXD. The overall Westview South project was the subject of several previous rezonings. The Site was zoned Agricultural (A) from 1959 to 1986, at which time it was rezoned to Office/Research/Industrial (ORI). The Site is currently zoned MXD, which was applied in 1994. In 2001, a portion of the overall MXD was amended for the removal of a residential land use component from the approved land use mixture.
The overall Westview South MXD began construction after the 2001 rezoning and several portions of the Project have been completed. The completed portions include a commercial area to the east along MD 85, portions of an employment area to the west along New Design Road, and major road connections. In addition, the Site includes portions of the Ballenger Creek Trail. The project is subject to a Development Rights and Responsibilities Agreement dated June 13, 2013.
In 2013, another rezoning was approved that resulted in the reintroduction of a residential land use component, not to exceed 615 dwellings. A condition of the 2013 rezoning required public dedication of a 22.49 +/- acre public use site for park purposes prior to recordation of the Project’s first residential lot. This public use site is planned to provide a portion of the Ballenger Creek Trail. This site was conveyed to the County on February 17, 2015 per the deed recorded in the Frederick County land records in Book 10423 on page 0083.
The current Preliminary/Site Plan (AP#15579) for Westview South was approved on January 16, 2016, which addressed an area described as ‘Part 2’ of the project, consisting of 421 residential units. The overall number of units in Westview South was established at 600 as part of the 2016 Preliminary/Site Plan approval.
A separate site development plan for a community center, pool, and park space was approved by the Planning Commission on June 10, 2015 (AP#15160).
**Existing Site Characteristics**
The project site is surrounded by MXD zoning to the north, south, east and west. The properties to the south are designated for employment uses with properties to the east beyond Ballenger Creek developed with a mixture of commercial uses. The project is bound on the west side by New Design road.
Ballenger Creek crosses the northern portion of the Westview South Residential project area, flowing from northwest to southeast into the Monocacy River to the east. Areas of the Site along Ballenger Creek are within the Federal Emergency Management Agency (FEMA) 100 year floodplain. However, the floodplain is located within the area of the project that was dedicated to the County for park purposes, and therefore
no residential development is proposed within the floodplain. There are no steep slopes within the residential portion of the Project.
The Site has frontage and access along New Design Road and Executive Way. The Site is served by Tuscarora Elementary School, Crestwood Middle School, and Tuscarora High School.
The following graphic outlines the entire Westview South Residential MXD project area, followed by a graphic of Phase 1.3C on pages 6 and 7.
Westview South Residential – Revised Preliminary/Site Plan – Phase 1.3C
October 11, 2017
Page 6 of 20
Westview South Residential Phase 1.3C
SP98-36, S-905, AP/#17503
October 11, 2017
Zoning
- A - Agricultural
- PUD - Planned Unit Development
- LI - Limited Industrial
- MUXD - Mixed Use Development
While efforts have been made to ensure the accuracy of this map, Patrick County is not responsible for any errors or omissions. The map is for reference only and should not be used for surveying or engineering purposes.
Aerial Photography: 2014
Scale: 1" = 100'
Prepared by: Patrick County
Cartography by: Geographic Offices
1:2,500 0 100 200 Feet
Westview South Residential – Revised Preliminary/Site Plan – Phase 1.3C
October 11, 2017
Page 7 of 20
ANALYSIS
Summary of Development Standards Findings and Conclusions
The changes proposed in this application are limited to a revised mix of dwellings, and several changes to the site’s design and physical layout resulting from the new units’ parking and access needs. Lighting, landscaping, bulk restrictions, lot size requirements, pedestrian and vehicular circulation, and the broad development strategy for the Site are equivalent to that which has been reviewed and approved in the current Preliminary/Site Plan.
As indicated below, and as has been previously approved, the Project meets the requirements of Chapter 1-16 and Chapter 1-19 of the Frederick County Code, the Phase I rezoning conditions and the DRRA. The land use pattern of the comprehensive plan and the district regulations of the zoning ordinance form the basic theme of the design pattern of the proposed subdivision. The subdivision design takes advantage of the uniqueness of the Site reflected by the surrounding natural, built, and planned landscape. Existing and anticipated surrounding land uses have been adequately considered in the design of the development and negative impacts have been minimized. Water and sewer service is or will be provided to the Site and the Site has the appropriate water and sewer classification. Access to the Site is adequate and sight distance is sufficient at the proposed access points.
Setbacks and building heights exactly match those approved in the 2016 Westview South Preliminary/Site Plan. The Adequate Public Facilities Ordinance Letter of Understanding (APFO LOU) outlining required public facility improvements was executed in September of 2005 with an amendment in June of 2013 in conjunction with the Westview South MXD rezoning (Case # R-00-02A). A second amendment was executed in May/June of 2014, which was required due to changes in the Project’s residential use mix and the resulting increasing in pupil yield. The current application does not exceed the thresholds established by the previous LOU, and therefore does not require an amended LOU.
Detailed Analysis of Findings and Conclusions
COMBINED ANALYSIS OF SUBDIVISION AND SITE DEVELOPMENT PLAN REVIEW
Preliminary Subdivision Plan approval is determined based upon the requirements found in Chapter 1-16 of the Frederick County Code. Site Development Plan approval shall be granted if the criteria found in §1-19-3.300.4 Site Plan Review Approval Criteria of the Frederick County Zoning Ordinance are met.
SITE DEVELOPMENT
• Land Requirements §1-16-217(A) & (B)
The land use pattern of the comprehensive development plan and the district regulations of the zoning ordinance shall form the basic theme of the design pattern of the proposed subdivision.
The Site is designated Office/Research Industrial on the County Comprehensive Plan with Mixed Use Development zoning. The Mixed Use Development zoning signifies the advocacy of a mixture of employment, residential, commercial, and/or civic uses for land that is within Community Growth Areas. The Project is within the Ballenger Creek Community Growth Area, and is part of the overall Westview South MXD, which includes a combination of commercial, employment, and residential uses.
The PUD and MXD zoning districts require development that results in an integrated mixture of commercial, employment, residential, recreational, civic and/or cultural land uses. Projects in this
district should employ planning and design that is broad and integrative, and should result in efficient use of land, innovative design involving flexibility not permitted within the Euclidean zoning districts, and promote building and site design that reduces dependence on vehicular movement.
As was approved in the 2016 Plan, this revision proposes an interconnected system of streets with on-street parking, sidewalks, and a well-designed and prominently-situated community open space. While the revisions proposed in Phase 1.3C include townhomes and two-over-two units, the overall project contains a wide variety of housing types such as single-family houses, multi-family dwellings, townhouses, and two-over-two units.
The current proposal carries forward the planned interconnected street network previously approved. The interconnected street system promotes transportation efficiency by creating a flexible web of possible travel routes, and potentially distributing transportation load across the network. The design of the proposed revisions in Phase 1.3C includes an enhanced pedestrian network that provides connectivity between the different areas of the overall development. As such, the proposed design supports the intended land use pattern of the comprehensive development plan and the district regulations of the zoning ordinance.
*The subdivision design shall take advantage of the uniqueness of the site reflected by the topography, soils, the wooded areas, water bodies and the relationship to adjoining subdivisions and land uses, both proposed and existing.*
The overall Westview South Residential project integrates Ballenger Creek and an associated planned County trail network into the design. The Site is relatively flat and does not contain flooding or wet soils, wooded areas, or wetlands. Surrounding retail uses provide support services. The proposed changes to Phase 1.3C maintain these elements.
- **Block Shape §1-16-218**
*The maximum block dimension shall be 1,800 feet.*
No block dimension is greater than 1,000 feet. The removal of the multi-family units, the addition of different housing styles, and the location and enhancement of open space create variety in the arrangement and size of blocks in the proposed development of Phase 1.3C. Pedestrian circulation is supported by neighborhood design and placement of sidewalks and paths.
- **Lot Size and Shape §1-16-219**
*The size, width, depth, shape, orientation and yards of lots shall not be less than specified in the zoning ordinance for the district within which the lots are located and shall be appropriate for the type of development, the use contemplated, and future utilities.*
Setbacks and height within the Planned Development Districts (PUD & MXD) shall be established by the Planning Commission at Phase II as provided in §1-19-10.500.7(F)(2) of the Zoning Ordinance.
The project setbacks and building heights are not proposed for modification as part of the current plan and will adhere to the previously approved dimensions, shown below:
| | Single Family Attached (townhouses) | Multifamily (two-over-two) |
|--------------------------|-------------------------------------|----------------------------|
| Front Yard: | 0' | 0' |
| Rear Yard: | 3' | 3' |
| Rear Yard Accessory | 3' | 3' |
| Side Yard: | 5' | 0' |
| Side Yard Accessory: | 0' | 0' |
| Height: | 50' | 65' |
The Phase 1.3C revisions have been reviewed by the Division of Utilities and Solid Waste Management and other agencies with the above proposed setbacks, and have received conditional approval. The proposed setbacks correspond to typical dimensions in urban settings, and are appropriate for this Project in that it is designed with an urban density range and style of layout. The requested setbacks are also intended to provide flexibility to the Applicant for building placement on residential lots.
- **Site Development §1-19-3.300.4 (A)**
*Existing and anticipated surrounding land uses have been adequately considered in the design of the development and negative impacts have been minimized through such means as building placement or scale, landscaping, or screening, and an evaluation of lighting. Anticipated surrounding uses shall be determined based upon existing zoning and land use designations.*
The Project is located in close proximity to schools, commercial uses, and employment. The Ballenger Creek Trail will provide a recreational amenity for future residents, and the Ballenger Creek Park is near the Site. The layout of the buildings in the Project has been designed to provide appropriate frontage to the surrounding features. The building frontages of the two-over-two units are oriented toward the existing surrounding streets, and the townhomes toward the community open space.
Section 1-19-6.400 of the Zoning Ordinance requires landscaping, screening and buffering on a development site as part of the site plan review process. In 2016, the Planning Commission approved a landscaping modification to the Westview South Preliminary/Site Plan to allow planting of street trees within a planting strip of reduced width and a spacing that is intermittently greater than the required 35-ft. spacing.
The Project generally meets the code requirements by providing landscaping within the open space. Street trees are provided, however additional landscaping is needed on the entire west side of Macdonough Place. Staff is recommending the placement of shrubbery in this location, instead of deciduous trees, due to the location of a storm drain and a public water line in this area.
A photometric plan has been provided that indicates no lighting levels in excess of 0.5 foot candles at the property boundary. Proposed light fixtures meet the height requirement of 14’ for pedestrian oriented lighting as measured from the ground surface to the midpoint of the source of illumination. The proposed fixture must be shielded to direct lighting downward and limit illumination of the
nighttime sky. The Zoning Ordinance requires that lighting be designed and installed to be fully shielded, and directed downward. Note 7 on the Cover Sheet also indicates that architecturally mounted wall lights will be provided. This note must be revised if the Applicant does not install building mounted lights. Sheet 5 of the plan set must be amended to indicate full shielding and downward direction of the pole lights.
TRANSPORTATION AND PARKING
- **Street, Common Driveway and Sidewalk Construction §1-16-109**
The project shall provide for the complete construction of street improvements, including drainage facilities as provided in §1-16-234 through §1-16-241 of the Subdivision Regulations and in accordance with the Frederick County Design Manual.
There is no change to the general specifications and strategy for the provision of sidewalks in Phase 1.3C of the plan relative to the previous approval, with the exception of a 10-ft. reinforced sidewalk in front of townhome lots 802 through 815. This larger sidewalk is required to provide emergency vehicle access to these townhomes that front on the community open space. Removable bollards are located where this 10-ft sidewalk meets Macdonough Place and Constitution Street.
The expanded community open space contains 5-ft. sidewalks that are linked to the site’s perimeter and internal sidewalks, with marked street crossings at appropriate locations. The sidewalk network provides internal pedestrian mobility and facilitates movement to and from adjacent land uses. Sidewalks are provided that link the entire Westview South Residential project to the commercial uses to the east. The pedestrian network connects the larger project to the Ballenger Creek Trail.
- **Right of Way and Paved Surface Widths §1-16-235**
Whenever a proposed subdivision includes or abuts streets designated on the Highway Plan section of the Comprehensive Plan, the Planning Commission shall require, by dedication to public use, adequate right-of-way for the coordination of roads within the subdivision with other existing, planned or platted roads.
The County Comprehensive Plan classifies New Design Road and MD 85 as Major Arterials. Executive Way is identified as a local road. Right of way for these roads has been provided according to County standards and improvements to these roads have been or will be completed in the near future. Roads within the subdivision provide the standard right of way and paved surface widths required by the County. No changes to these roadways are proposed as part of the Phase 1.3C modifications.
- **Other Street Requirements §1-16-236K**
The revisions proposed in Phase 1.3C do not propose cul-de-sacs. McHenry Place and Suffrage lane are private alleys that truncate with “T-type” turn arounds at the edges of the community green space. These T-type turn arounds are considered dead end streets. Within MXD projects, the length of a dead end street may vary depending on several factors such as lot size, unit types and proposed land use. Dead end streets are reviewed and approved by the Planning Commission on a case by case basis. Staff worked with the Applicant to achieve a re-design of the project that provided for a larger, concentrated, useable open space area. In addition, the private alley T-turn arounds enhance the efficiencies of the rear-loaded unit design of this portion.
of the development. The proposed design enhances community resources within the project. The Phase 1.3C revisions to Westview South meet the relevant requirements of this section.
- **Transportation and Parking §1-19-3.300.4 (B)**
*The transportation system and parking areas are adequate to serve the proposed use in addition to existing uses by providing safe and efficient circulation, and design consideration that maximizes connections with surrounding land uses and accommodates public transit facilities.*
The Westview South Residential project has one limited access point with New Design Road and multiple access points with Executive Way. The entire project’s proposed road network links existing and planned road networks, promotes safe and efficient circulation and allows shared access and circulation between properties.
Parking standards for the project are provided within Zoning Ordinance §1-19-6.220 and §1-19-3.300.4(B). The 2016 Westview South Preliminary/Site Plan received a parking modification to allow on-street parking spaces to address the deficit in on-lot parking spaces in the entire project.
Within Phase 1.3C currently under review, the total required parking is 175 spaces: 60 for the townhome lots, and 115 for the two-over-two units, for a total of 175 parking spaces. The Project proposes a supply of parking spaces in the revised 1.3C plan area in the following quantities:
| Unit Type | # of Dwellings | Parking Spaces Required (Phase 1.3C) | On-lot Parking Spaces Provided¹ (Phase 1.3C) |
|----------------------------|----------------|-------------------------------------|---------------------------------------------|
| Single Family Attached Townhouse | 24 | 60 | 72 |
| Two over Two | 46 | 115 | 69 |
| Total | | 175 | 141 |
On-Street Parking²
1) Based on the policy that only ½ of a garage parking space is counted toward provided parking.
2) Combination of off-lot public on-street, off-lot private on-street, and off-lot private parking bays within the entire Westview South Residential project.
Although an on-lot parking deficit is shown within Phase 1.3C for the two-over-two units, on-street parking is shown on all streets bordering Phase 1.3C. With the provision of 477 on-street parking spaces within the Westview South project, and the prior parking modification granted for the overall project, the proposed total supply of parking exceeds the target number of parking spaces.
Bicycle parking, per §1-19-6.220(H), must be provided in Multi-family developments in the ratio of 1 rack for each 10 units. The two-over-two units are considered multi-family for purposes of determining bicycle parking needs. Forty-six (46) two-over-two units are proposed in Phase 1.3C, resulting in the requirement of 5 bike racks. Seven (7) bike racks are shown in the community green/open space.
PUBLIC FACILITIES AND UTILITIES
- **Public Facilities - Road Adequacy §1-16-12**
The overall project has one limited access point (no left out movement permitted) to New Design Road (an 80’ paved width major arterial adjacent to the project site). There also are three access points (two full-movement and one right-in only) along Executive Way, which is a designated local road that functions as a collector. Access and proposed sight distance at entry points along Executive Way and New Design Road are adequate. Access to the project is not changing as part of the modifications to Phase 1.3C.
The subdivision would be served by the Westview/United Fire Company Service Area. The fire company is located on and would utilize New Design Road to serve the project.
- **Parks §1-16-111**
At the time of Phase I rezoning for the Westview South MXD, open space/green area requirements were set at 63 acres. Condition 3 of the Phase I rezoning approval (Ord.# 13-10-638) requires dedication by the developer of a 22.49 +/- acre public use site for park purposes prior to recordation of the Project’s first residential lot. This public use site is planned to provide a portion of the Ballenger Creek Trail. This site was conveyed to the County on February 17, 2015 per the deed recorded in the Frederick County land records in Book 10423 on page 0083.
The Applicant provided a recreation area containing a community center and pool, as shown on the initial 2014 Westview South Preliminary/Site Plan. A separate site development plan for this community center/pool was approved on June 10, 2015 (AP#15160).
The proposed revised Combined Preliminary/Site Development Plan for Phase 1.3C identifies a larger community green/open space, centrally located between Constitution Street and MacDonough Place, south of Delegate Place. The new open space is approximately 41,000 square feet and contains benches, sidewalks, shade trees, and pole lights. This additional recreation area increases the amount of amenity relative to the approved amenities plan and enhances the open space network provided in the original plan. In accordance with the Phase I approvals, cover sheet Note 9 provides that the project is exceeding the parks requirement by providing considerably more than the required 9.03 acres of park space.
- **Public Utilities §1-19-3.300.4 (C)**
*Where the proposed development will be served by publicly owned community water and sewer, the facilities shall be adequate to serve the proposed development.*
The Project is to be served by public water and sewer service and carries a current Water and Sewerage Plan classification of W-3, S-3. The Site will be served by the New Design Water System and the Ballenger-McKinney Waste Water Treatment Plant. The proposed revisions in Phase 1.3C have been reviewed and approved by the Division of Utilities and Solid Waste Management.
A second amended and restated Adequate Public Facilities Ordinance Letter of Understanding (LOU) was approved in May of 2014 as part of the prior application.
NATURAL FEATURES
- **Land Requirements §1-16-217(B)**
The subdivision design shall take advantage of the uniqueness of the site reflected by the topography, soils, the wooded areas, water bodies and the relationship to adjoining subdivisions and land uses, both proposed and existing.
A major feature of the overall Westview South Residential project that contributes to its uniqueness is the Ballenger Creek corridor and the associated trail network being developed along the length of the creek. The overall project takes advantage of this adjacent feature by providing a planned connection to the open space corridor and trail along Ballenger Creek. This proposed revision does not affect trail access. The Site does not contain wet or flooding soils or wooded areas.
- **Floodplain Developments §1-16-220**
There is no development proposed in the mapped FEMA 100-year floodplain on the Project Site.
- **Natural features §1-19-3.300.4 (D)**
Natural features of the site have been evaluated and to the greatest extent practical maintained in a natural state and incorporated into the design of the development. Evaluation factors include topography, vegetation, sensitive resources, and natural hazards.
The Project Site has low topographical gradients and has undergone mass grading in preparation for development. The Site has no existing forest cover and other existing natural resources, such as Ballenger Creek, have been indentified, preserved, or integrated into the recreational amenities of the development in a fashion that maintains a natural state.
COMMON AREAS
- **Common Areas §1-19-3.300.4 (E)**
If the plan of development includes common areas and/or facilities, the Planning Commission as a condition of approval may review the ownership, use and maintenance of such lands or property to ensure the preservation of such areas, property, and facilities for their intended purposes.
The Phase 1.3C revisions enhance a previously approved, centrally located community green /open space area. Additionally, a community center, swimming pool, and adjacent park space was approved in the Westview South Residential project in 2014. With the exception of the Ballenger Creek Trail corridor, proposed open space and common areas will be owned and maintained by the community homeowners association.
**Other Applicable Regulations**
- **Moderately Priced Dwelling Units – Chapter 1-6A**
Per Section 1-19-8.620.2, all residential developments consisting of 25 units or more on public water and sewer are required to provide no less than 12.5% of the total units as MPDU's. Accounting for the current revision of the plan, an overall total of 542 dwellings is proposed. Therefore, 68 MPDU's are required. However, the Applicant has elected to utilize the Payment-in-Lieu of building option as allowed in accordance with §1-6A-5.1 of the Frederick County Code.
The Applicant shall amend the current MPDU Agreement through the Frederick County Department of Housing. Note 6 on the plan must be revised to include the recording reference for the amended MPDU Agreement.
• **Stormwater Management – Chapter 1-15.2**
A stormwater management concept plan for the entire project was approved on February 25, 2014. Changes proposed in this revision will be addressed as the plan proceeds through Improvement Plan review.
• **APFO – Chapter 1-20**
A Second Amended and Restated APFO Letter of Understanding, (AP #13146) was approved and effective May 21, 2014 and effective through February 12, 2019. This approval was for 12,500 sq ft of employment use and 531 dwelling units. The conditions of the approved LOU have been satisfied. This proposed plan is exempt from further APFO consideration based upon the following analysis:
**Schools**
An analysis of student yield was completed based on the change in dwelling unit mix proposed in the current project. Using the 2012 student yield rates in effect at the time the APFO application was submitted, the proposed project combined with the remaining residential portion of Westview South, is projected to generate 116 elementary school students, 40 middle school students and 58 high school students, equal to or less than the three school categories in the previous APFO approval. The previous approval, generated 116, 40 and 59 students respectively. Therefore, the overall decrease in total units from 600 to 542 together with the new mix of units results in no increase in student yield and therefore this application is exempt from APFO re-testing.
**Water/Sewer**
The property has a current Water and Sewerage Plan classification of W-3/Dev, S-3/Dev and will be served by public water and sewer facilities. The Division of Utilities and Solid Waste Management reviewed and approved the proposed plan, finding that further testing for water/sewer is not required.
**Roads**
Trip allocation for the entire Westview South Project was determined by the APFO findings of the Planning Commission in February 2003 and as memorialized in the original LOU from September of 2005, with total trip caps as follows: 2048 am and 2186 pm peak hour trips. The trip generation based on the proposed change in residential dwelling unit number (600 to 542) and mix results in a decrease of 3 am and 7 pm peak hour residential trips, relative to the prior approval. Therefore because there is no increase in trip intensity with the changes proposed in this application, it is exempt from any further APFO testing. The conditions of the approved LOU have been satisfied.
• **Forest Resource – Chapter 1-21:**
The FRO plan for this Project was approved in 2008 (AP7278) and the required FRO easements were recorded. The change in the dwelling unit mix does not impact the previously approved FRO.
• **Historic Preservation – Chapter 1-23:**
No historically significant structures or other resources are present on this Site.
### Summary of Agency Approval Status
| Other Agency or Ordinance Requirements | Comment |
|---------------------------------------|-----------------------|
| Development Review Engineering (DRE) | Conditionally Approved|
| Development Review Planning | Hold |
| State Highway Administration (SHA) | Approved |
| Division of Utilities and Solid Waste Management (DUSWM) | Conditionally Approved |
| Health Department | Approved |
| Office of Life Safety | Approved |
| Development Review Traffic Engineering| Conditionally Approved|
| Historic Preservation | Approved |
| Forest Resource (FRO) | Approved |
### RECOMMENDATION
Staff has no objection to conditional approval of the revised Westview South Residential Combined Preliminary Subdivision/Site Development Plan, Phase 1.3C.
If the Planning Commission conditionally approves the Combined Preliminary Subdivision/Site Development Plan, the Site Development Plan is valid for a period of three (3) years from the date of Planning Commission approval and the Preliminary Plan is valid for a period of five (5) years. However, both are limited by the term of the APFO approval. Therefore, both the Site Development Plan and the Preliminary Plan are valid until February 12, 2019.
Based upon the findings and conclusions as presented in the staff report the application meets or will meet all applicable zoning, APFO, and FRO requirements once the following conditions are met:
1. The Applicant shall address all agency comments as the plan proceeds through to completion.
2. Planning Commission approval of the proposed dead-end streets (McHenry Place and Suffrage Lane).
3. Planning Commission approval of the proposed lot sizes, setbacks and height.
4. Planning Commission approval of the parking modification to all the use a combination of on-street and on-lot parking spaces to meet the target parking requirements.
5. Prior to signature approval the Applicant shall update Sheet 3 Landscape Plan to include installation of 3-5 ft. tall shrubs in-lieu of street trees along the entire west side of Macdonough Place within the limits of Phase 1.3C.
6. Prior to signature approval the Applicant shall provide specifications for the proposed wall-mounted lights or remove the wall mounted lighting reference from Note No. 7, and update the photometric plan (page 5) to ensure compliance with the requirements of the zoning ordinance.
7. The Applicant shall amend the existing MPDU Payment in Lieu Agreement administered by the Frederick County Department of Housing and Community Development to update the total number of dwelling units to 542 and the resulting required MPDUs to 68 based upon the Westview South Revised Phase 1.3C Combined Preliminary/Site Plan. The agreement shall be amended and recorded with the recording reference added to Cover Sheet General Note 6 of the plan prior to issuance of the first building permit in Phase 1.3C.
**PLANNING COMMISSION ACTION**
**MOTION TO APPROVE**
I move that the Planning Commission **APPROVE** the Westview South Residential Combined Preliminary Subdivision/Site Development Plan, Phase 1.3C (AP#17503, S-905, SP-98-36), for remove 128 multi-family units and replace them with 24 townhomes and 46 2 over 2 units. The approval is made **with conditions and modifications** as listed and is based on the findings and conclusions of the staff report, the testimony, exhibits, and documentary evidence produced at the public meeting.
Exhibit 1 – Site Plan – Westview South Residential Plan with Phase 1.3 outlined
Westview South Residential – Revised Preliminary/Site Plan – Phase 1.3C
October 11, 2017
Page 18 of 20
Exhibit 2 – Site Plan – Westview South Residential Plan with Phase 1.3 enlarged
Westview South Residential – Revised Preliminary/Site Plan – Phase 1.3C
October 11, 2017
Page 19 of 20
Exhibit 3 – Westview South Residential – Current approved Plan with Phase 1.3 outlined
Currently approved Phase 1.3C area
Westview South Residential – Revised Preliminary/Site Plan – Phase 1.3C
October 11, 2017
Page 20 of 20
DEVELOPMENT RIGHTS AND RESPONSIBILITIES AGREEMENT
THIS DEVELOPMENT RIGHTS AND RESPONSIBILITIES AGREEMENT ("Agreement"), made as of the 13th day of June, 2013, by and between WVS PARCEL 102, LLC; WVS PARCEL 200, LLC; WVS PARCEL 204, LLC; WVS PARCEL 300, LLC; WVS PARCEL 400, LLC; WBP PARTNERS II, LLC; and ITB2, LLC, all Maryland limited liability companies\(^1\) (collectively, the "Developer"); and THE BOARD OF COUNTY COMMISSIONERS OF FREDERICK COUNTY, MARYLAND, a body politic and corporate of the State of Maryland (the "BOCC").
RECITALS
1. Maryland law, Land Use Article §7-301 through §7-306 (formerly Article 66B, § 13.01) of the Maryland Annotated Code, grants the BOCC the authority to establish procedures and requirements for the consideration and execution of Development Rights and Responsibilities Agreements.
2. The BOCC has adopted Ordinance No. 07-33-473, effective as of November 16, 2007, creating Chapter 1-25 of the Frederick County Code authorizing Development Rights and Responsibilities Agreements ("County Ordinance").
3. This document is intended to constitute a Development Rights and Responsibilities Agreement as provided for in Land Use Article §-7-301 through §7-306 of the Maryland Annotated Code, and the County Ordinance, and includes a determination of adequacy under the Adequate Public Facilities Ordinance as permitted by Section 1-20-20(C) of the County Code.
4. Developer owns certain real property in Frederick County, Maryland, described in EXHIBIT A attached hereto and made part hereof (the "Property").
5. The names of all parties having an equitable or legal interest in the Property, including lienholders, are set forth in EXHIBIT B. Attached hereto and made a part hereof as EXHIBIT C is certification by counsel to the Developer that the Developer has a legal interest in the Property.
6. On November 8, 2012, Developer petitioned the BOCC to enter into this Agreement.
---
\(^1\) Applicant ownership interests are as follows: (i) WVS Parcel 102, LLC (fee simple owner of Lot 102); (ii) WVS Parcel 200, LLC (fee simple owner of Lot 200); (iii) WVS Parcel 204, LLC (fee simple owner of Lot 204); (iv) WVS Parcel 300, LLC (fee simple owner of Parcel 300); (v) WVS Parcel 400, LLC (fee simple owner of Parcel 400 and Parcel G); and WBP Partners II, LLC and ITB2, LLC (fee simple owners of Lot 26, Wedgewood Business Park).
7. During a public meeting held on December 13, 2012, the BOCC reviewed this petition and determined to accept this petition and initiate the process of considering a Development Rights and Responsibilities Agreement.
8. This Agreement was referred to the Frederick County Planning Commission for determination of whether this Agreement is consistent with the Countywide Comprehensive Plan for Frederick County ("Comprehensive Plan"). This determination was made by the Planning Commission at a public meeting held on April 24, 2013.
9. On May 21, 2013, the BOCC held a duly advertised public hearing on this Agreement. The public had an opportunity to comment at this public hearing.
10. The Developer is pursuing the Development Approvals necessary to develop the Property in accordance with the Rezoning Ordinance approved by the BOCC concurrent with the review and approval of this DRRA. This DRRA is expressly intended to contractually bind the Developer and the County as to the development of the Property in accordance with the terms hereof. This DRRA is intended to protect, preserve and facilitate the full development of the Project pursuant to the Development Approvals, the APFO LOU, and this DRRA, including, but not limited to, residential and non-residential uses and densities as set forth herein and in the Rezoning Ordinance.
NOW, THEREFORE, in consideration of the foregoing recitals, which are not merely prefatory but are hereby incorporated into and made a part of this Agreement, and the mutual covenants and agreements set forth below, and other good and valuable consideration, the receipt and sufficiency of which the parties hereby acknowledge, the BOCC and the Developer hereby agree as follows:
ARTICLE I
DEFINITIONS
1.1 Definitions. The following words, when used in this Agreement, shall have the following meanings:
A. "Agreement" means this Development Rights and Responsibilities Agreement.
B. "APFO LOU" means the Adequate Public Facilities Ordinance Letter of Understanding that is pending approval by the BOCC concurrent with Phase I approval and approval of this DRRA, attached hereto as EXHIBIT D.
C. “BOCC” means the Board of County Commissioners of Frederick County, Maryland, a body corporate and politic, also sometimes referred to as “County Commissioners.”
D. “County Code” means the Code of Frederick County, Maryland in effect on the Effective Date of this Agreement.
E. “County Ordinance” means County Ordinance No. 07-33-473 creating Chapter 1-25 of the Frederick County Code and authorizing Development Rights and Responsibilities Agreements.
F. “Developer” means WVS Parcel 102, LLC; WVS Parcel 200, LLC; WVS Parcel 204, LLC; WVS Parcel 300, LLC; WVS Parcel 400, LLC; WBP Partners II, LLC; and ITB2, LLC, all Maryland limited liability companies, and their respective successors and assigns in ownership of the Property.
G. “Development Approvals” means final governmental approval of Subdivision Plat(s), Adequate Public Facilities Ordinance (“APFO”) requirements, MXD Phase I and II for Westview South (including all Preliminary Plans and Site Plans as applicable), and all conditions of said approvals that have been satisfied, or acceptable accommodations and/or guarantees have been put in place to satisfy such conditions, and all applicable appeal periods have expired without the filing of any appeal, or, if an appeal(s) was filed, the appeal has been defeated beyond the possibility or existence of further appeal of any kind.
H. “Effective Date of this Agreement” means the date the last party executes this Agreement.
I. “Existing LOU” means the approved Adequate Public Facilities Ordinance Letter of Understanding, signed by the Frederick County Planning Commission on September 14, 2005, valid through February 12, 2019.
J. “Improvements” or “improvements” means those improvements referenced herein or in the APFO LOU to be constructed, but only to the extent not previously constructed, in connection with roads, sewer, water, stormwater, parks and other facilities necessary to service the Property.
K. “Westview South” means the approved Mixed Use Development to be constructed on the Property, sometimes also referred to as the “Project.”
L. “Phase” means any portion or section of the Project which has received Development Approval.
M. "Planning Commission" means the Planning Commission for Frederick County Maryland.
N. "Project" means the remaining portions of Westview South owned by Developer, to be constructed on the Property.
O. "Property" means all of the real property described in EXHIBIT A attached hereto.
P. "Rezoning Ordinance" means Ordinance No. 13-10-63 approving the revised Phase I MXD Plan for the Property.
Q. "Subdivision Plat" means final plat(s) of subdivision for the Project, or any Phase or portion thereof, prepared in accordance with the County Code and approved by the Planning Commission.
ARTICLE II
ZONING, DEVELOPMENT LIMITATIONS, PLAN APPROVALS AND PLAN CONSISTENCY
2.1 Zoning and Plan Designations. The Property is zoned Mixed Use Development ("MXD"). The Property is located within the Community Growth Limit of the Ballenger Creek Community Growth Area as shown on the 2010 Frederick County Comprehensive Plan as amended on September 13, 2012; designated Office/Research/Industrial and Limited Industrial on the 2010 Frederick County Comprehensive Plan as amended on September 13, 2012; and located within the Water and Sewer Service Areas on the current Frederick County Water and Sewerage Plan.
2.2 Development Limitations.
A. Permissible Uses and Density. The permissible uses on the Property are those permitted in the County Code. The Project shall be developed as an MXD pursuant to and in accordance with the provisions of Section 1-19-10.500 of the County Code. The Project will contain a mix of employment uses, commercial/retail uses and housing types. A maximum of six hundred and fifteen (615) residential dwelling units are permitted in the Project pursuant to the Rezoning Ordinance. The density and/or intensity of the non-residential portions of the Project shall be governed by the applicable provisions of the Frederick County Zoning Ordinance.
B. Development Requirements. The Property shall be developed in accordance with, and subject to, the conditions and requirements of the Development
Approvals that are required pursuant to County Code, which Development Approvals shall be based upon the terms and conditions of this Agreement. Setbacks, building size and other development standards shall be as approved by the Planning Commission in accordance with the Development Approvals and applicable sections of the County Code. The maximum height for residential units in the Project shall be 50 feet for single family structures and 120 feet for multifamily structures. The maximum height for non-residential structures in the Project shall be 120 feet. The final height of all structures shall be determined by the Planning Commission at the time of preliminary plan or site plan review process. No individual building in the Project shall exceed 500,000 square feet of gross floor area. The parties acknowledge and agree that the County Code contemplates flexibility for MXD projects, in order to facilitate excellence of design and responsiveness to market conditions.
C. Revision of Use Mix. Subject to compliance with the Rezoning Ordinance and applicable provisions of the land development and APFO provisions of the County Code, Developer shall have the ability to revise the mix of residential unit types in the Project (subject to the cap of 615 residential dwelling units established in the Rezoning Ordinance) and to revise the mix of square footage allocated to commercial and employment uses in the Project without the need to obtain further revisions to the MXD Phase I Plan. Developer shall be permitted to stage the timing of development of the various uses in the Project in response to market demand.
D. Historic Structures. There are no historic structures on the Property.
2.3 Other Development Approvals and Permits. The Project has obtained certain Development Approvals, including, but not limited to, those noted in EXHIBIT F, attached hereto and made a part hereof.
The Project shall be required to comply with all other applicable requirements of the County Code for land development, including, but not limited to, site improvement plans (for water, sanitary sewer, and storm drainage and sediment, and erosion control improvements), water and sewer amendments, Subdivision Plats, building permits, and occupancy permits. The Project shall also be required to obtain all applicable State or federal approvals and permits.
2.4 Consistency with Comprehensive Plan. On April 24, 2013, the Planning Commission made the necessary determination as to whether this Agreement is consistent with the Frederick County Comprehensive Plan. By execution of this Agreement, the BOCC has determined that this Agreement is consistent with the Frederick County Comprehensive Plan and with the development regulations of Frederick County, Maryland.
2.5 **Public Health, Safety and Welfare.** The BOCC has determined that the conditions, terms, restrictions or other requirements of this Agreement are necessary to ensure that the public health, safety and welfare of the citizens of Frederick County are protected.
**ARTICLE III**
**ROAD IMPROVEMENTS, SEWER IMPROVEMENTS, WATER IMPROVEMENTS, SCHOOL IMPROVEMENTS, AND OTHER COMMUNITY FACILITIES**
3.1 **Road Improvements.**
A. **Road Improvements.** Road Improvements have been satisfied, pursuant to the Existing LOU, and further evidenced by the APFO LOU, a copy of which is attached hereto as **EXHIBIT D.**
B. **Building Excise Tax.** Currently, the building excise tax provided for in Section 1-8-73 of the County Code is established at zero dollars ($0.00). In recognition of the overall package of road improvements constructed or to be constructed by the Developer and/or Developer's predecessor, including substantial funding contributions for regional road improvements beyond the requirements of the APFO, the excise tax shall be zero dollars ($0) for the term of this Agreement.
3.2 **Sewer Improvements.** Public sewer shall be extended to the Property as provided for in the APFO LOU. The Project will pay tap fees in accordance with the current fee schedule in effect at the time of application and the County shall issue such tap approvals in the normal course as a ministerial function. The Developer may request sewer capacity fee credits pertaining to the provision of public sewer to the Property if the applicable requirements of the Frederick County, Maryland Water and Sewer Rules and Regulations are satisfied.
3.3 **Water Improvements.** Public water shall be extended to the Property as provided for in the APFO LOU. The Project will pay tap fees in accordance with the current fee schedule in effect at the time of application and the County shall issue such tap approvals in the normal course as a ministerial function. The Developer may request water capacity fee credits pertaining to the provision of public water to the Property, if the applicable requirements of the Frederick County, Maryland Water and Sewer Rules and Regulations are satisfied.
3.4 **Schools and Community Facilities.**
A. **School Construction Fee.** The School Construction Fee was established by Ordinance 11-18-584, enacted on July 20, 2011 and codified as Section 1-20-62 of the APFO, with a sunset provision of five (5) years from the effective date. Notwithstanding a sunset of the School Construction Fee Ordinance, the parties intend: (i) that the Developer
shall be bound to pay the School Construction Fee as a condition of APFO approval for the Project, (ii) that this provision shall survive the sunset of the Ordinance, which shall be deemed to run with the full term of this Agreement and any duly approved extensions thereof and (iii) that payment of the School Construction Fee shall satisfy the Developer's school adequacy obligations under the APFO (unless the density or intensity of the Project is increased) and any school adequacy obligations that may be enacted in the future. The School Construction Fee shall be paid as provided in Section 1-20-62 of the APFO and in accordance with the fee schedule in effect at the time of plat recordation or the issuance of building permit, as applicable. If after the five year sunset the Frederick County Code no longer provides for the calculation of the School Construction Fee, then the school construction fee for purposes of this Agreement shall thereafter be based on the previous year's fee schedule, adjusted annually per the State of Maryland School Construction Cost Index, for the duration of this Agreement.
B. **School Impact Fees.** Applicable School Impact Fees shall be paid at the time of the issuance of building permits in accordance with the fee schedule in effect at the time of the issuance of building permits.
C. **Payment for School Site.** In lieu of dedicating a school site at the Project, Developer shall pay Eight Hundred Thousand Dollars ($800,000.00) toward the acquisition, planning and/or construction of an elementary school site in the vicinity of the Project within 30 days after final approval by the Frederick County Planning Commission and Frederick County staff signature of Phase II of the Project. For purposes of this provision, "final approval" shall be deemed to be the approval referenced above and the expiration of any applicable appeal period with no appeals being filed. In the event of a timely appeal of the Project's Phase II approval, "final approval" shall be deemed to have occurred upon the successful defense of any such appeal with no further appeal rights of the Project's Phase II approval. This payment shall not be used as an offset against or credit toward impact fees or School Construction Fees paid in connection with the Project.
D. **Public Use Site.** Prior to recordation of the Project's first residential lot, Developer shall convey, if desired by the County, a 22.49 +/- acre public use site generally located as shown on the Concept Plan of the MXD Phase I Plan (the "Park Site") for future discretionary use by the County. In the event the County requires access to Park Site prior to fee simple conveyance, the Developer will provide easements as reasonably necessary. The Developer shall not be responsible for any Park Site improvements.
**ARTICLE IV**
[INTENTIONALLY OMITTED]
**ARTICLE V**
MODERATELY PRICED DWELLING UNITS
5.1 In accordance with the provisions of Section 1-6A-5.1(G) of the County Code regarding moderately priced dwelling units ("MPDUs"), Developer hereby elects to utilize, and the BOCC agrees to permit Developer to utilize, the Payment in Lieu of Building MPDUs as provided in Section 1-6A-5.1 aforesaid, as in existence as of the date hereof, in lieu of the prior MPDU requirements for a residential developer. A draft Moderately Priced Dwelling Unit Payment In Lieu Agreement is attached hereto and made part hereof as EXHIBIT E.
ARTICLE VI
DEVELOPMENT REVIEW
6.1 Timely Development Review. The BOCC agrees to use reasonable efforts to ensure that all remaining Development Approvals, including but not limited to, preliminary plan approval, site development plan approval, final subdivision and final improvement plan review are performed in a succinct, timely manner, without undue delay, consistent with the County's development review process.
6.2 Timely Submission of Documents. The Developer agrees to submit complete and succinct plans and documents for the remaining Development Approvals as required per County codes, ordinances, policies or procedures, in a timely manner.
ARTICLE VII
SURVIVAL AND TRANSFER OF OBLIGATION
7.1 Nature, Survival, and Transfer of Obligations. The Developer agrees that this Agreement shall run with the land and be binding upon and inure to the benefit of the Developer and its successors and assigns (except owners of an individual lot, unit or parcel improved pursuant to a validly issued building permit or dwelling purchased solely for use as a private residence and except owners of finished non-residential buildings constructed pursuant to validly issued building permits), and upon any and all successor owners of record of all or any portion of the Property (except owners of an individual lot or unit improved pursuant to a validly issued building permit or dwelling purchased solely for use as a private residence and except owners of finished non-residential buildings constructed pursuant to validly issued building permits). To assure that all such successors, assigns, and successor owners have notice of this Agreement and the obligations created by it, the Developer agrees that it shall:
A. Have this Agreement recorded among the Land Records of Frederick County within twenty (20) days after the Effective Date of this Agreement; and
B. Use commercially reasonable efforts to incorporate, by reference, this Agreement into any and all real estate sales contracts entered into after the Effective Date of this Agreement for the sale of all or any portion of the Property.
7.2 Binding Upon Successors and Assigns of The BOCC. The BOCC agrees that all obligations assumed by the BOCC under this Agreement shall be binding on the BOCC, its agencies, governmental units, the Planning Commission and its and their respective successors and assigns, including, but not limited to, the future County Council and County Executive, when Frederick County transitions to a charter form government.
ARTICLE VIII
BREACH AND REMEDIES
8.1 Breach by Developer.
A. Breach-General. If the Developer shall fail or refuse to perform its obligations as required hereunder, then the BOCC shall provide written notice to the Developer indicating the nature of the default. Developer shall have thirty (30) days following the receipt of such written notice to cure the default described in such notice; provided, however, if the Developer shall proceed with due diligence to cure said default after said notice, then such thirty (30) day period shall be extended to such a period of time as may reasonably be required to cure such default while proceeding with due diligence. If the Developer has not cured the default within the said cure period, the BOCC may seek and obtain equitable relief to enforce the terms and conditions of this Agreement either through a decree for specific performance or an injunction. Should the remedies of specific performance or injunction not be available to the BOCC because of actions of Developer, then the BOCC shall be entitled to bring a legal action for damages.
B. Developer hereby waives trial by jury in connection with any proceedings brought to enforce the terms of this Agreement.
8.2 Breach by BOCC.
A. Breach-General. If the BOCC shall fail or refuse to perform its obligations as required hereunder, then the Developer shall provide written notice to the BOCC indicating the nature of the default. The BOCC shall have thirty (30) days following the receipt of such written notice to cure the default described in such notice; provided, however, if the BOCC shall proceed with due diligence to cure said default after said notice, then such thirty (30) day period shall be extended to such a period of time as may reasonably be required to cure such default while proceeding with due diligence. If the BOCC has not cured the default within the cure period, the Developer may seek and obtain equitable relief to enforce the terms and conditions of this
Agreement either through a decree for specific performance or an injunction. Should the remedies of specific performance or injunction not be available to the Developer because of actions of the BOCC, then the Developer shall be entitled to bring a legal action for damages.
B. The BOCC does hereby waive trial by jury in connection with any proceedings brought to enforce the terms of this Agreement.
ARTICLE IX
EFFECT OF DEVELOPMENT REGULATIONS
9.1 Effect of Agreement.
A. Except as otherwise specifically provided herein, the laws, rules, regulations and policies governing the use, density or intensity of the Property, including, but not limited to, those governing development, subdivision, growth management, impact fee laws, water, sewer, stormwater management, environmental protection, land planning and design and adequate public facilities (hereafter collectively the "Development Laws"), shall be the laws, rules, regulations and policies, if any, in force on the Effective Date of the Agreement, and the Developer shall comply with all such federal, state and local Development Laws.
B. If the BOCC determines that compliance with Development Laws enacted or adopted after the Effective Date of this Agreement is essential to ensure the health, safety or welfare of residents of all or part of Frederick County, the BOCC may impose the change in laws, rules, regulations and policies and the effect thereof upon the Property.
9.2 Approvals Required. Developer shall obtain all approvals necessary under any provision of local, state or federal law before proceeding with development of the Project. Notwithstanding anything to the contrary contained herein, this Agreement does not control or affect laws, regulations or approvals which are not within the control of the County. This Agreement does not address any approvals required by state or federal law and Developer shall be responsible for obtaining any approvals required by state or federal law.
9.3 Fees. Except as provided in Sections 3.1.B and 3.4.A above, Developer shall pay all fees (specifically including, but not limited to, impact fees, school mitigation fees and water and sewer connection fees) required by Frederick County at the rate in effect at the time the fee is due. In the event that any such fees, including the school construction fee referenced in Section 3.4.A above, are eliminated by a change in the law and replaced with a procedure or requirement that would impose some other burden on the Developer, the Developer may elect to pay the fee in effect prior to the change in the law. Impact fees shall be paid at the time of issuance of building permits. Developer does not waive the right to claim credits for impact fees, excise taxes, surplus capacity reimbursements, water and sewer connection fees, school impact fees and
any similar fees or tax credits which may be available in accordance with County policies and regulations. Nothing in this Agreement shall be construed as a waiver or reduction of any such fees.
9.4 Developer’s Reliance. The BOCC acknowledges that the Developer would not make the long term financial commitments necessary to build out the Project in accordance with the approved MXD Phase I Plan or to provide the proffered infrastructure improvements, without Frederick County’s commitment to allow the Project to be governed by and subject to the development laws in effect as of the Effective Date of this Agreement, to the maximum extent permitted by law.
9.5 Moratorium. In the event that a “moratorium” (as hereinafter defined) is declared or imposed, then any lot recordation and the Developer’s rights to construct residential units and commercial structures on the lots or on the Property pursuant to any Development Approval for any section of the Project shall be extended for one (1) additional day for each day during which such moratorium exists, and the Project shall not be subject to any additional regulation, legislation, limitation, phasing, contributions, penalties or delay in construction, or issuance of zoning certificates/building permits as a result of the moratorium. Further, in the event that a moratorium is declared or imposed, then any deadline concerning the Developer’s obligation to construct, install, fund or post financial guarantees for the infrastructure improvements required pursuant to any Development Approval for the Project shall be extended for one (1) additional day for each day during which such moratorium exists, and the Project shall not be subjected to any additional regulation, legislation, limitation, phasing, contributions, penalties or delay in construction, or issuance of zoning certificates/building permits as a result of the moratorium. The term “moratorium” shall mean the implementation or declaration by the United States Government, State of Maryland, Frederick County, and/or any agency, department, division and/or branch thereof for purposes of a limitation, prohibition, restriction and/or phasing upon the review, recording, development and construction upon lots in the Project as intended by Developer, or a de facto moratorium imposed by any applicable governmental authority which has the effect of denying the Developer the ability to record lots or obtain permits for the Project pursuant to any Development Approval. Nothing in this Agreement shall be interpreted as exempting Developer from compliance with laws, regulations, and policies of the County or the State, including, without limitation, those of the Maryland Department of the Environment or the Frederick County Division of Utilities and Solid Waste Management concerning the allocation of water and sewer and related matters.
ARTICLE X
MISCELLANEOUS
10.1 Time of Essence. Time is of the essence in the performance of all terms and provisions of this Agreement.
10.2 **Term.** This Agreement shall constitute covenants running with the land and shall run with and bind the Property so long as the Project is under development. This Agreement shall terminate and be void twenty-five (25) years after the Effective Date of this Agreement unless extended by an amendment complying with all procedures required in this Agreement, the County Ordinance and the State Law. The parties acknowledge and agree that the Term of this Agreement is justified by the: (1) substantial economic investment made by the Developer for the development of the Project; (2) substantial economic investment made by the Developer in public facilities which serve to advance public purposes; (3) public purposes to be advanced by development of the Project in accordance with the Development Laws; (4) uncertainty of future market demands and political pressures; and (5) expectations of the parties.
10.3 **Notices.** All notices and other communications in connection with this Agreement shall be in writing and shall be deemed delivered to the addressee thereof (1) when delivered in person on a business day at the address set forth below; or (2) on the third business day after being deposited in any main or branch United States post office for delivery by properly addressed, postage prepaid, certified or registered mail, return receipt requested, at the address set forth below; (3) upon transmission, if sent by electronic mail, to the e-mail addresses set forth below; or (4) on the day following deposit with Federal Express or other national overnight courier.
Notices and communications to the Developer shall be addressed and delivered to the following address:
c/o Matan Development, LLLP
4600 Wedgewood Blvd, Suite A
Frederick, MD 21703
Attn: Karl A. Morris, Director of Development
Phone: 301-694-9200
Email: email@example.com
with a copy to:
Law Offices of Rand D. Weinberg, LLC
15 North Court Street
Frederick, Maryland 21701
Attn: Rand D. Weinberg, Esquire
Telephone: (301) 698-2350
E-mail: firstname.lastname@example.org
Philip D. Topper, Jr., LLC
110 North Court Street
Frederick, Maryland 21701
Attn: Philip D. Topper, Jr., Esquire
Telephone: (301) 696-9780
E-mail: email@example.com
Notices and communications to the BOCC shall be addressed and delivered to the following address:
The Board of County Commissioners for
Frederick County
12 East Church Street
Frederick, Maryland 21701
Attn: Lori L. Depies, County Manager
Telephone: (301) 600-1100
E-mail: firstname.lastname@example.org
With a copy to:
John S. Mathias, Esquire
County Attorney
12 East Church Street
Frederick, Maryland 21701
Telephone: (301) 600-1030
E-mail: email@example.com
Gary Hessong, Director
Director of the Dept. of Permits and Inspections
30 North Market Street
Frederick, Maryland 21701
Telephone: (301) 600-2028
E-mail:
firstname.lastname@example.org
Eric Soter, Director
Community Development Division
30 North Market Street
Frederick, Maryland 21701
Telephone: (301) 600-1153
E-mail: email@example.com
By notice complying with the requirements of this Section, each party shall have the right to change the address or addressee or both for all future notices and communications to such party, but no notice of a change of address shall be effective until actually received.
10.4 Amendments.
A. The parties to this Agreement may amend this Agreement by mutual consent after the BOCC holds a public hearing and complies with all applicable laws concerning amendment of a Development Rights and Responsibilities Agreement. All amendments to this Agreement shall be in writing and shall be executed by the BOCC and the Developer.
B. This Agreement may be amended in accordance with the applicable provisions of Chapter 1-25 of the Frederick County Code to incorporate subsequent Development Approvals and requirements for Phases of the Project.
10.5 *Termination or Suspension.* The parties to this Agreement may terminate or suspend this Agreement by mutual consent after the BOCC holds a public hearing and complies with all applicable laws concerning termination or suspension of a Development Rights and Responsibilities Agreement as set forth in the County Ordinance. If the BOCC determines that a suspension or termination is essential to ensure the public health, safety or welfare, as determined in accordance with Section 9.1.B above, the BOCC may suspend or terminate this Agreement following a public hearing. Any such unilateral termination of this Agreement by the BOCC shall not in any way affect the validity of any Development Approvals which have been obtained for the Project at the time of termination, including, but not limited to, APFO Approvals.
10.6 *Authority to Execute.* The BOCC hereby acknowledges and agrees that all required notices, meetings, and hearings have been properly given and held by the County with respect to the approval of this Agreement, and the Developer agrees not to challenge this Agreement or any of the obligations created by this Agreement on the grounds of any procedural infirmity or any denial of any procedural right. The BOCC hereby warrants and represents to the Developer that the person(s) executing this Agreement on its behalf have been properly authorized to do so. The Developer hereby warrants and represents to the BOCC (1) that it is the fee simple, record owner of the Property, (2) that it has the right, power and authority to enter into this Agreement and to agree to the terms, provisions, and conditions set forth herein and to bind the Property as set forth herein, and (3) that all legal actions needed to authorize the execution, delivery and performance of this Agreement have been taken.
10.7 *Governing Law.* This Agreement shall be governed by and construed in accordance with the laws of the State of Maryland.
10.8 *Consent to Jurisdiction and Venue.* The parties irrevocably consent to the jurisdiction and venue of the Circuit Court for Frederick County, Maryland or any federal court sitting in the District of Maryland for any proceedings brought with respect to this Agreement.
10.9 *Remedies Cumulative.* Each right, power and remedy of a party provided for in this Agreement, or any other agreement between the parties, now or hereafter existing, shall be cumulative and concurrent and in addition to every other right, power or remedy provided for in this Agreement or any other agreement between the parties, now or hereafter existing.
10.10 *Severability.* In case any one or more of the provisions contained in this Agreement shall for any reason be held invalid, illegal or unenforceable in any respect, such invalidity, illegality, or unenforceability shall not affect any other provision of the Agreement, and this Agreement shall be construed as if such invalid, illegal, or unenforceable provision had never been contained in this Agreement.
10.11 **Recordation.** As set forth in Section 7.1.A, the Developer shall have this Agreement recorded among the Land Records of Frederick County, Maryland within twenty (20) days after the Effective Date of this Agreement. In the event the Agreement is terminated following an appeal as provided for in Section 10.12 below, the parties agree to execute and record a document in the aforesaid Land Records to terminate this Agreement.
10.12 **Appeals.** Appeals by any person aggrieved by this Agreement shall be in accordance with applicable state law.
10.13 **No Obligation to Approve.** This Agreement shall not be interpreted or construed to impose any legal obligation on the BOCC or any of its boards, agencies, commissions or employees to approve any development, use, density or intensity other than as provided specifically in this Agreement. This Agreement shall not be interpreted or construed to impose any legal obligation on the BOCC to accept any other development requests.
10.14 **No Third Party Beneficiary Status.** The parties specifically agree that this Agreement is not intended to create in the public or any member thereof, third party beneficiary status in connection with the performance of the obligations under this Agreement without the written consent of the BOCC and notwithstanding the BOCC’s concurrence in or approval of the award of any contract or subcontract or the solicitation in fulfilling the obligations of this Agreement.
10.15 **Appropriation Contingency.** The BOCC’s financial obligations, if any, under this Agreement are contingent upon sufficient appropriations and authorization being made by the BOCC for the performance of this Agreement. The BOCC’s decision as to whether sufficient appropriations are available shall be accepted by the other parties to this Agreement and shall be final.
10.16 **Counterparts.** This Agreement may be executed in any number of counterparts, each of which shall be deemed to be an original and all of which together shall be deemed to be one and the same instrument.
[SIGNATURES ON FOLLOWING PAGES]
WVS PARCEL 102, LLC,
a Maryland limited liability company
By: Westview South Holdings, LLC, a Maryland limited liability company, Manager
By: Wedgewood Investment Management, LLC, a Maryland limited liability company, Manager
By:
Mark C. Matan
Manager
Date: 6/12/13
STATE OF MARYLAND, COUNTY OF FREDERICK, TO WIT:
I HEREBY CERTIFY that on this 12 day of June, 2013, before me, the undersigned Notary Public of said State, personally appeared Mark C. Matan, who acknowledged himself to be the Manager of Wedgewood Investment Management, LLC, a Maryland limited liability company, Manager of Westview South Holdings, LLC, a Maryland limited liability company, Manager of WVS Parcel 102, LLC, a Maryland limited liability company, known to me (or satisfactorily proven) to be the person whose name is subscribed to the within instrument, and acknowledged that he executed the same for the purposes therein contained as the duly authorized Manager of Wedgewood Investment Management, LLC, the Manager of Westview South Holdings, LLC, the Manager of WVS Parcel 102, LLC.
WITNESS my hand and Notarial Seal.
My Commission Expires: 11-22-15
In General: The following Second Amended and Restated Adequate Public Facilities Letter of Understanding (“Letter”) between the Frederick County Planning Commission (“Planning Commission”) and WVS Parcel 102, LLC, WVS Parcel 200, LLC, WVS Parcel 204, LLC, WVS Parcel 300, LLC, WVS Parcel 400, LLC, WBP Partners II, LLC and ITB2, LLC (collectively, the “Applicant”), together with its/their successors or assigns, sets forth the conditions and terms which the Planning Commission deems to be the minimum necessary improvements dealing with school, water, sewer, and road improvements that must be in place for the property identified below to be developed, as proposed under the approved amendment to the Westview South MXD Phase I (the “Project”), in compliance with the Frederick County Adequate Public Facilities Ordinance (“APFO”).
The Applicant, its successors or assigns, hereby agrees and understands that unless the required contributions are provided in accordance with this Letter, APFO requirements will not be satisfied and development will not be permitted to proceed.
This Letter concerns itself with the Applicant’s parcels of land totaling 117.83 +/- acres, zoned Mixed Use Development (MXD), and located on the north and south sides of Executive Way. This APFO approval will be effective for development of (a) the additional 122,500 square feet of employment use approved under, and set forth in, the 2013 LOU (defined below); and (b) 531 dwelling units, including approximately 125 single family detached units, 188 single family attached units (townhomes), 62 two-over-two units and 156 multi-family units (apartments/condos), or any variation of dwelling unit mix such that the intensity of total peak hour vehicle trips or the school student generation is not increased above that analyzed in the “Westview South Land Bays 2, 3, and 4” memorandum prepared on behalf of the Applicant by Wells and Associates, LLC, dated February 22, 2013 (as amended by the Table 2 Update by Wells and Associates, LLC, dated January 16, 2014) or the student projections described below. This Letter does not affect the Project’s allowed maximum density of 615 residential dwelling units, as designated pursuant to the Project’s Phase I Plan (Ordinance No. 13-10-638, dated June 13, 2013) and Development Rights and Responsibilities Agreement (dated June 13, 2013).
The current APFO approval for the Westview South MXD is valid through February 12, 2019, as evidenced by the existing APFO Letter of Understanding, signed by the Frederick County Board of County Commissioners (“BOCC”) on June 13, 2013 (the “2013 LOU”). The Applicant and the Planning Commission enter into this Letter as part of the Project’s Phase II approvals, pursuant to Chapter 1-20, Section 1-20-20 of the Frederick County Code, and this Letter replaces the 2013 LOU.
Schools: The Project is projected to generate 100 elementary school students, 44 middle school students and 60 high school students. Based on these numbers and considering enrollment projections from pipeline development, the school adequacy test fails at the elementary level for Tuscarora ES. The Applicant has chosen the option to mitigate the inadequacy of the public elementary school capacity by paying the School Construction Fee for the elementary school
level in accordance with the criteria set forth in Section 1-20-62 of the APFO (and in accordance with the DRRA). The Applicant shall pay the School Construction Fee, based upon the fee schedule in effect at the time of residential subdivision plat recordation and payment, as set forth in Section 1-20-62(E) of the APFO, per unit type for the elementary school level.
**Water and Sewer:** While the public sewer and water facilities are currently adequate to serve the Project, the Applicant acknowledges that capacity is not guaranteed until purchased. APFO approval for sewer and water does not guarantee that plats will be recorded and building permits will be issued. Plat recordation and building permit issuance is subject to compliance with the Annotated Code of Maryland, Environment Article Section 9-512, et seq. and all applicable County regulations, including but not limited to Sec. 1-16-106 of the Frederick County Subdivision Regulations.
**Road Improvements:** All identified road improvements in the APFO Letter of Understanding signed by the Planning Commission on September 14, 2005 have been satisfied to date except for a signal installation on New Design Road and Executive Way (Phase 1, #8) and a turning movement restriction at Pegasus Ct. and MD 85 (Phase 3, # 1). Restated below, and still in force and effect under this Letter, are the replacement requirements set forth in the 2013 LOU, with updated amounts in Paragraph 1 below reflecting current costs as of the date of this Letter:
1. Install a traffic signal when warranted, justified and deemed necessary by the County. The current estimated cost of the signal is $175,000. The Applicant shall be entitled to meet its obligations by placing with the County a letter of credit or cash payment in the amount of $218,750 (125% of the estimated cost of the signal including the contingency). The Applicant shall be entitled to continue with the Project after acceptance of the surety, and shall install the signal at such time as approved by the County. The Applicant is responsible for conducting a traffic signal warrant analysis prior to the issuance of the last building permit, when deemed necessary by the County. Should the signal still not be warranted and justified by the time of issuance of the last building permit, then the County shall thereafter be responsible for its implementation using the surety funds provided by the Applicant, with unused surety, if any, returned in full to the Applicant upon completion of the signal work.
2. The County will establish an escrow account for the creation of a channelized island (a "pork chop") at Pegasus Court and Maryland Route 85, and the Applicant shall make a total fee-in-lieu payment of $50,000 to said escrow account.
The payments/surety for Road Improvements stated above shall be made prior to recordation of the Project’s first residential lot.
**Period of Validity:** The effective date of this LOU for the commencement of all APFO approvals referenced herein shall be May 21, 2014, and this LOU shall remain valid through February 12, 2019.
**Disclaimer:** This Letter pertains to APFO approval only, and shall not be construed to provide
any express or implied rights to continue the development process. The Project remains subject to all applicable rules and regulations, including but not limited to those related to zoning, water and sewer, and subdivision. The BOCC's jurisdiction and authority is limited by State and County law, and approvals may be required from other local or state governmental agencies before the proposed development can proceed.
APPLICANT:
WVS PARCEL 102, LLC,
a Maryland limited liability company
By: Westview South Holdings, LLC, a Maryland limited liability company, Manager
By: Wedgewood Investment Management, LLC, a Maryland limited liability company, Manager
By: ____________________________
Mark C. Matan
Manager
Date: 5/12/14
WVS PARCEL 200, LLC,
a Maryland limited liability company
By: Westview South Holdings, LLC, a Maryland limited liability company, Manager
By: Wedgewood Investment Management, LLC, a Maryland limited liability company, Manager
By: ____________________________
Mark C. Matan
Manager
Date: 5/12/14
WVS PARCEL 204, LLC,
a Maryland limited liability company
By: Westview South Holdings, LLC, a Maryland limited liability company, Manager
By: Wedgewood Investment Management, LLC, a Maryland limited liability company, Manager
By: ____________________________
Mark C. Matan
Manager
Date: 5/12/14
WVS PARCEL 300, LLC,
a Maryland limited liability company
By: Westview South Holdings, LLC, a Maryland limited liability company, Manager
By: Wedgewood Investment Management, LLC, a Maryland limited liability company, Manager
By: Mark C. Matan
Manager
Date: 5/12/14
WVS PARCEL 400, LLC,
a Maryland limited liability company
By: Westview South Holdings, LLC, a Maryland limited liability company, Manager
By: Wedgewood Investment Management, LLC, a Maryland limited liability company, Manager
By: Mark C. Matan
Manager
Date: 5/12/14
WBP PARTNERS II, LLC,
a Maryland limited liability company
By: Wedgewood Investment Group 2008, LLC, a Maryland limited liability company, Manager
By: Wedgewood Investment Management, LLC, a Maryland limited liability company, Manager
By: Mark C. Matan
Manager
Date: 5/12/14
ITB2, LLC,
a Maryland limited liability company
By: Wedgewood Investment Group 2008, LLC,
a Maryland limited liability company, Manager
By: Wedgewood Investment Management, LLC,
a Maryland limited liability company,
Manager
By: ____________________________
Mark C. Matan
Manager
Date: 5/12/14
FREDERICK COUNTY PLANNING COMMISSION:
By: ____________________________ Date: 5/22/14
ATTEST:
By: ____________________________ Date: 6/2/14
Gary Hessong, Director, Permits & Inspections |
TREATING STEREOTYPY IN ADOLESCENTS DIAGNOSED WITH AUTISM BY REFINING THE TACTIC OF “USING STEREOTYPY AS REINFORCEMENT”
Jacqueline N. Potter
NEW ENGLAND CENTER FOR CHILDREN AND WESTERN NEW ENGLAND UNIVERSITY
Gregory P. Hanley
WESTERN NEW ENGLAND UNIVERSITY
Matotopa Augustine
NEW ENGLAND CENTER FOR CHILDREN AND WESTERN NEW ENGLAND UNIVERSITY
AND
Casey J. Clay and Meredith C. Phelps
NEW ENGLAND CENTER FOR CHILDREN
Use of automatically reinforced stereotypy as reinforcement has been shown to be successful for increasing socially desirable behaviors in persons with intellectual disabilities (Charlop, Kurtz, & Casey, 1990; Hanley, Iwata, Thompson, & Lindberg, 2000; Hung, 1978). A component analysis of this treatment was conducted with 3 adolescents who had been diagnosed with autism, and then extended by (a) progressively increasing the quantitative and qualitative aspects of the response requirement to earn access to stereotypy, (b) arranging objective measures of client preference for contingent access to stereotypy compared to other relevant treatments for their automatically reinforced stereotypy, and (c) assessing the social validity of this treatment with other relevant stakeholders. Implications for addressing stereotypy and increasing the leisure skills of adolescents with autism are discussed.
Key words: autism, automatic reinforcement, differential reinforcement, engagement, leisure skills, play, social validity, stereotypy
Persons who have been diagnosed with an autism spectrum disorder (ASD) often engage in repetitive acts that appear to serve no useful function (Goldman et al., 2008). These repetitive acts are collectively referred to as stereotypy due to the formal similarity and the periodicity with which they are emitted. Reducing the level of stereotypy can be difficult (Singer, 2009), especially when the responses are maintained by automatic reinforcers (i.e., reinforcers that are a direct result of the behavior; Vollmer, 1994).
Although punishment is sometimes necessary during intervention for socially mediated problem behavior (Fisher et al., 1993; Hagopian, Fisher, Sullivan, Acquistio, & LeBlanc, 1998), there has been a noticeable trend towards the use of reinforcement-based interventions since the advent of functional analysis (Pelios, Morren,
Applications of interventions based on differential reinforcement (DR) are particularly common; with these treatments, the reinforcer used is that which was found to maintain the problem behavior (E. G. Carr & Durand, 1985; Tiger, Hanley, & Bruzek, 2008). A similar trend is not evident in the literature on the treatment of automatically reinforced problem behavior in general or for stereotypy in particular. Several practical and conceptual barriers have prohibited the adoption of function-based DR procedures in the treatment of automatically reinforced stereotypy.
Barriers that most likely hinder the adoption of function-based treatments for automatically reinforced problem behavior include the difficulty in disrupting the response–reinforcer relation and the difficulty in controlling the delivery of or access to the automatic reinforcer for more socially acceptable behavior. Despite these barriers, efficacious outcomes of function-based interventions have been reported (e.g., Hanley, Iwata, Thompson, & Lindberg, 2000; Lindberg, Iwata, & Kahng, 1999). Functionally equivalent alternative responding may be generated by using a participant’s own automatically reinforced stereotypy to strengthen a more desirable response alternative (Charlop, Kurtz, & Casey, 1990; Hanley et al., 2000; Hung, 1978; Wolery, Kirk, & Gast, 1985). For instance, Hung (1978) increased appropriate speech in two children with an ASD by providing tokens for appropriate speech that could be traded in for 2 min of access to their own motor stereotypy. Charlop et al. (1990) found that providing access to children’s own problem behavior was a more effective reinforcer than providing edible items when attempting to increase correct responding on academic tasks.
Because blocking or restricting access to stereotypy and its direct reinforcers is a necessary prerequisite to using stereotypy as reinforcement, Hanley et al. (2000) conducted a component analysis of the procedure to determine the effects of blocking independent of the reinforcement contingency for three individuals who engaged in high levels of stereotypy. These authors first provided access to leisure activities, added prompting to contact the leisure activities, then restricted access to stereotypy via response blocking. They added DR of activity interaction with brief access to the participants’ own stereotypy only when treatment goals were not achieved with other components. Two of the three participants did not require the DR component to achieve low levels of stereotypy and high levels of item interaction, suggesting that restricted access to stereotypy was the key component of this treatment (these results are similar to those of Koegel, Firestone, Kramme, & Dunlap, 1974). However, the DR component was necessary for similar results to be realized with the third participant.
The Hanley et al. (2000) study requires replication for several reasons. First, the treatment shows promise because it appears to be the only function-based treatment for automatically reinforced stereotypy in which the maintaining reinforcer is also provided. Second, additional replications are necessary to determine the general probability with which each of the four components of this intervention is necessary. Prior research has demonstrated the effects of each of the four components on stereotypy (e.g., free access to activities, Roscoe, Iwata, & Goh, 1998; prompting leisure activity, Lindberg et al., 1999; blocking stereotypy, Thompson, Iwata, Conners, & Roscoe, 1999; and DR, Charlop et al., 1990), but no studies have evaluated the combinations of those interventions or the importance of individual components in a treatment package. Third, the long-term effects of this intervention have not yet been evaluated; therefore, it is important to evaluate its longer term impact. Hanley et al. did show that stereotypy neither increased in baseline contexts following intervention (indicative of a rebound effect of treating stereotypy) nor decreased during baseline (indicative of desirable generalization). Nevertheless, both possible outcomes need further examination. Fourth, it is important to
evaluate a longer term application of the contingency while the reinforcement requirement is increased to determine if more complex leisure skills will develop.
The main purpose of this study was to replicate the component analysis conducted by Hanley et al. (2000) to determine if all components (e.g., activities, prompting, blocking, and DR) of the treatment package are necessary to increase functional leisure skills in adolescents with autism. The present study extends Hanley et al. by (a) generating more complex use of leisure items by progressively increasing the quantitative and qualitative aspects of the response requirement to earn access to stereotypy, (b) using procedures described by Hanley (2010) to assess participants’ preferences for the treatment package compared to other treatment components that have been used for reducing automatically reinforced stereotypy, and (c) assessing the social validity of the treatment goals, procedures, and effects with other relevant stakeholders.
GENERAL METHOD
Participants, Settings, and Preassessments
Three boys who had been diagnosed with ASD participated. Caregiver report and informal observations suggested that none of them exhibited any independent leisure skills and that each engaged in disruptive levels of motor stereotypy throughout the day across a variety of activities and settings despite the availability of preferred leisure items. Jon was 14 years old, Patrick was 16 years old, and Edward was 14 years old at the start of the study. Previously unsuccessful treatments included response restriction and redirection (Ahearn, Clark, MacDonald, & Chung, 2007), response blocking alone, free access to stimuli (e.g., toys, music), and loss of stimuli (i.e., time-out) contingent on an occurrence of motor stereotypy. Because their stereotypy occurred almost continuously and therefore interfered with learning academic concepts and daily life skills and precluded meaningful social relationships, finding a treatment that would decrease stereotypy and increase some adaptive behavior was a priority.
All sessions occurred in the participants’ school classroom or vocational room. The work area was approximately 2 m by 2 m and was equipped with a table and chair. Activity materials included in the study were unavailable to the participants outside the session. All sessions were videotaped. Treatment component analysis sessions lasted 10 min for Jon, and all other sessions across all participants and assessments lasted 5 min. Terminal-link duration during the treatment preference assessment was 2 min. Sessions were conducted one to eight times per day, 3 to 5 days per week with each participant.
Informal interviews with staff and informal direct observations suggested that the participants’ stereotypy produced its own reinforcement. A functional analysis was conducted based on the procedures described by Iwata, Dorsey, Slifer, Bauman, and Richman (1982/1994). The results showed high rates of stereotypy during the alone conditions for all participants, suggesting that stereotypy was maintained by automatic reinforcement and was not sensitive to social events as reinforcers. We also conducted a competing items assessments (Derby et al., 1995; Piazza, Fisher, Hanley, Hilker, & Derby, 1996) to determine if effective leisure items could be identified (i.e., those that would provide a type of automatic reinforcement that would compete effectively with that which the participants derived from engaging in stereotypy). Both engagement with the items and stereotypy occurred at consistently high levels across assessed items for all participants. We selected three or four items for subsequent analyses based on their potential to develop into more complex and developmentally appropriate leisure skills.
Response Measurement and Reliability
We used a handheld computer to measure motor stereotypy, simple engagement (SE), generic functional engagement (GFE), specific functional engagement (SFE), and selections
made by the participant during preference assessments. We used duration recording for SE and report these data as a percentage. We used frequency recording for stereotypy, all forms of functional engagement, prompts, and number of access periods earned, and report these data as responses or events per minute. We measured stereotypy throughout each session, but collected and reported separately on stereotypy that occurred during the session when the participant was at the table and that which occurred during periods of access. We measured selections made during preference assessments and report these data as a number per session.
All participants’ stereotypic topographies included hand flapping or waving, finger tapping or flicking, and body rocking. Jon and Patrick also engaged in ear holding or twisting, spit play, jumping, body or object pressing, mouthing, and spinning objects in a nonfunctional manner. Patrick also positioned or contorted his hands in front of his face. We measured these behaviors across all analyses. We also defined and scored each behavior individually; a behavior ended and a new instance was scored if the behavior ceased for a minimum of 1 s or there was a minimum of a 1-in. separation from the participant’s body for behaviors such as mouthing, ear holding, and so on.
After the introduction of the blocking procedure, we scored and reported all blocked stereotypy attempts as stereotypy. We defined *blocking* as an interruption of a stereotyped act or a 1-s hands-down procedure contingent on the participant’s attempt to engage in stereotypy. An interruption consisted of the therapist moving her hands to disengage the participant’s stereotypy (e.g., for mouthing or ear twisting) or placing her hands on the participant’s shoulders to interrupt stereotypy (e.g., for body rocking or jumping). *Hands down* was defined as the therapist physically guiding the participant’s hands to lie flat on the table or immobilizing the participant’s hands for approximately 1 s (e.g., for hand flapping or finger tapping). It was possible that stereotypy could occur with one hand while the other was blocked, in that many topographies of stereotypy occurred quickly. For this reason, we did not deduct blocking time from overall session time.
*Simple engagement* was defined as touching any of the materials present during the session. If the participant engaged in stereotypy with or while holding a toy, both stereotypy and SE were recorded. *Generic functional engagement* was defined as manipulation of an activity as intended or designed (with one or both hands; defined distinctly for each set of materials). *Specific functional engagement* was defined as emission of a particular response germane to each activity, which was determined prior to the analysis. During the analysis of procedures for generating more complex leisure engagement, *prompted SFE* was defined as emission of a particular response immediately after or with any form of therapist assistance. Prompted SFE included the therapist providing hand-over-hand assistance, light guidance, a point cue, verbal instruction, or any combination of the aforementioned prompts. (See Supporting Information online on *Wiley Online Library* for definitions of engagement manipulations for each activity included in the study.)
*Prompts* were defined as (a) the therapist manually guiding the participant to contact one of the available activities or (b) a model, point cue, or verbal prompt (e.g., “that one!”). We defined *access* as being removed at least 30 cm from the table for 30 s of no prompting and no blocking of stereotypy. All topographies of stereotypy were allowed to occur during an access period. The therapist physically pulled or turned the participant’s chair away from the table to make the access period clearly different from the rest of the session.
A second observer independently collected data using a handheld computer. We calculated interobserver agreement by dividing each session into 10-s bins and comparing the two observers’ scores for each bin, dividing the number of agreements by the total number of agreements.
plus disagreements, and then converting the result to a percentage. A second observer collected interobserver agreement data for stereotypy, all forms of functional engagement, prompts, the number of access periods earned per session, stereotypy during access, selections, item positioning during all preference assessments, and selection of the videos that were included in the social validity assessment with relevant stakeholders. Interobserver agreement data were collected for a minimum of 20% of sessions in each condition across all analyses for all participants; mean agreement was always above 80%.
Overview
After functional analyses and competing items assessments, a treatment component analysis was conducted to determine intervention components necessary to increase functional play behavior and to decrease stereotypy. The subsequent analysis of procedures for generating more complex play focused on increasing the amount and complexity of specific forms of functional engagement. We then conducted an assessment to determine the clients’ preference for various treatments commonly used to treat stereotypy, and ended with a social validity assessment with other relevant stakeholders to assess the social acceptability of the treatment goals, implemented procedures, and the effects of treatment.
Treatment Component Analysis
Procedure
The treatment component analysis systematically added treatment components and used a multielement design in which sessions with the treatment package were rapidly alternated with sessions in which there were no programmed contingencies. Patrick experienced activities-only sessions followed by sessions in which all intervention components were present. The activities-only condition was rapidly alternated with the treatment package sessions to determine the effects of the additional components beyond access to the activities themselves.
Activities only. This condition served as the primary baseline. All activities identified via the competing items assessment (i.e., stamps and a stamp pad, Interstars, linking rings, and stringing beads for Jon; stringing beads, Megabloks, and a shape sorter for Patrick and Edward) were present on the table and available to the participant each session. The therapist stood approximately 1 m away from the participant but provided no programmed consequences for any behavior.
Activities plus prompting. The therapist prompted (via manual guidance, a model, point cue, or verbal cue) the participant to engage in GFE every 30 s. If the participant was already engaging in GFE, the therapist waited until the next 30-s interval.
Activities plus prompting plus blocking. Procedures were identical to those in the previous condition, except the therapist stood behind the participant and interrupted stereotypy or delivered a 1-s hands down, as described above in the response measurement section, contingent on attempts to engage in stereotypy.
Activities plus prompting plus blocking plus DR of GFE. In addition to activities, prompting, and blocking as described above, the therapist introduced differential reinforcement of alternative behavior (DRA) and differential reinforcement of other behavior (DRO). The therapist provided 30-s periods of access to stereotypy contingent on the completion of a GFE response requirement in the absence of stereotypy. The initial fixed-ratio (FR) schedule of reinforcement was 1 and was increased to an FR 2 by the end of the assessment for Jon and Edward and to an FR 10 for Patrick.
Results and Discussion
Jon. Stereotypy persisted to the exclusion of GFE during the activities-only baseline (Figure 1). The addition of prompts did not produce a sufficient increase in GFE or decrease in stereotypy; therefore, blocking was
Figure 1. The top panel depicts stereotypy, the second panel depicts simple engagement, the third panel depicts independent and prompted generic functional engagement, and the bottom panel depicts prompts across activities-only and treatment sessions of the treatment component analysis for Jon. The bracket denotes the increasing fixed-ratio (FR) requirement.
added as a treatment component. GFE initially occurred on an increasing trend with blocking but then decreased. Stereotypy was on a slight increasing trend throughout the blocking condition (i.e., no reduction in stereotypy was observed).
The persistent high level of stereotypy observed after blocking was introduced could
have been an effect of extinction (i.e., an extinction burst) and potentially would have decreased over time. It also is possible that therapists did not block all instances of stereotypy, resulting in an intermittent schedule of automatic reinforcement and, thus, an increase in stereotypy. As a final consideration, the persistent level of stereotypy could have been due to a particularly strong motivation to obtain reinforcement. As shown in the previous conditions, the reinforcement derived from engaging in the leisure materials did not effectively compete with the reinforcement derived from engaging in stereotypy. When we introduced blocking, Jon had no opportunity to earn or obtain the stereotypy as reinforcement, which may have strengthened the establishing operation for that particular event.
This last explanation appears to be the most plausible because stereotypy immediately decreased and remained low after the therapist introduced the DR component for GFE. In addition, GFE steadily increased when we added DR and thinned the schedule of reinforcement to FR 2. Prompts also decreased as GFE increased. This result shows that improvements in GFE were not an exclusive function of prompting and also that the DR contingency played a major role in increasing GFE and decreasing stereotypy. Jon earned an average of 10 30-s access periods per session (range, 1 to 15), and stereotypy during access averaged 7 responses per minute (range, 0 to 14). The number of access periods earned per session gradually increased across the condition. Jon appropriately engaged with the materials in the absence of stereotypy for about half of the total session duration, and the other half of the session was spent engaging in high rates of stereotypy during the access periods. It could be hypothesized that the opportunity to engage in stereotypy during the access periods abolished, to some extent, the automatic reinforcers gained via stereotypy.
Increases in GFE and decreases in stereotypy occurred only when all treatment components were present. The reintroduction of the activities-only sessions verified that the DR contingencies accounted for the changes in responding because stereotypy returned to baseline levels and GFE typically remained at near zero when no programmed consequences were in place. The activities-only sessions conducted during the blocking and DR phases also showed that neither a rebound effect (i.e., subsequent increase in stereotypy after successful treatment) nor desirable generalization (low levels of stereotypy and high levels of GFE observed without therapist involvement) was observed, both of which are consistent with results of Hanley et al. (2000).
Patrick. During the activities-only condition, Patrick engaged in moderate levels of GFE, but also engaged in moderate and variable levels of stereotypy (see Figure 2). The treatment package was associated with an initial decrease in GFE, which quickly recovered and continued on a steady overall increasing trend throughout the condition. Patrick eventually emitted 10 GFE responses to earn a single 30-s access period. He earned an average of 5 access periods per session (range, 3 to 7), and stereotypy during access averaged 10 responses per minute (range, 3 to 18). Similar to the pattern observed with Jon, these data highlight that Patrick independently engaged with the leisure materials without stereotypy for about half of the session and engaged in high rates of stereotypy during the earned access periods for the other half of the session. Alternation of the activities-only sessions with the treatment condition further showed that the treatment was necessary to maintain low levels of stereotypy while increasing GFE.
Edward. During the activities-only condition, stereotypy occurred between 0.2 and 3.0 responses per minute and GFE occurred only during the first two sessions (Figure 3). With the introduction of prompting, the level of stereotypy did not change significantly, but GFE did increase slightly. When blocking was introduced, stereotypy increased and GFE decreased. The increasing trend in stereotypy was similar to that
observed for Jon. Once again, it appeared that restricting access to stereotypy through response blocking increased Edward’s motivation to obtain the reinforcement produced by engaging in stereotypy. With the addition of the DR component, stereotypy immediately decreased to near zero and remained low throughout the condition. (Edward also engaged in stereotypy during the majority of access periods earned, although the video footage was lost for the treatment component analysis sessions. Evidence of his rates of stereotypy during access will be available in the subsequent analysis.) GFE increased to a level much higher than in previous conditions. The FR requirement to earn an access period was increased from FR 1 to FR 2 by the end of the condition. The reintroduction of activities-only sessions further confirmed that the DR component was necessary to achieve low levels of stereotypy and increases in GFE.
The results of the treatment analyses with all three participants support the findings of prior studies. First, numerous studies have demonstrated that the mere presence of toys is usually not an effective treatment for automatically reinforced behavior and that additional treatment components are necessary to decrease problem behavior and increase more desirable responses (e.g., J. E. Carr, Dozier, Patel, Adams, & Martin, 2002; Koegel et al., 1974; Lindberg et al., 1999; Tarbox, Wallace, & Tarbox, 2002). Provision of free access to activities was not an effective treatment for any of the participants.
If the presence of leisure materials does not result in decreases in problem behavior and increases in functional engagement, prior research has suggested that the addition of prompts to engage with the toys may facilitate behavior change (e.g., Britton, Carr, Landaburu, & Romick, 2002; Lindberg et al., 1999). However, the addition of prompts was insufficient for desirable behavior changes for any participants, a finding similar to that of Hanley et al. (2000).
Response blocking decreased problem behavior and increased alternative behavior for two of the three participants in Hanley et al. (2000). J. E. Carr et al. (2002) also observed that noncontingent reinforcement and response blocking alone were both ineffective in decreasing automatically reinforced object mouthing, but when combined, acceptable levels were quickly achieved (see also Tarbox et al., 2002). The addition of response blocking in the present analysis did not, however, decrease stereotypy. In
Figure 3. The top panel depicts stereotypy, the second panel depicts simple engagement, the third panel depicts independent and prompted generic functional engagement, and the bottom panel depicts prompts across activities-only and treatment sessions of the treatment component analysis for Edward. The bracket denotes the increasing fixed-ratio (FR) requirement.
fact, this component actually resulted in increases for two participants. Although inconsistent with the results of J. E. Carr et al. and Tarbox et al., other studies also have demonstrated unsatisfactory effects of response blocking (e.g., Hanley et al.; see DeLeon et al., 2011, for further discussion). It is important to note, however, that although response blocking was not effective on its own, it was a necessary component of the current treatment package because access to the
automatic reinforcer had to be restricted via blocking before it could function as a reinforcer for engagement.
Lang et al. (2010) provided additional support for restricting access to stereotypy and providing it at certain points during treatment. During their treatment sessions, play was prompted and instances of stereotypy were redirected to play. Prior to some sessions, participants were allowed to engage in stereotypy for a brief period. Results showed less stereotypy during treatment sessions that followed the period of brief access to stereotypy. The authors hypothesized that access to stereotypy before sessions had an abolishing effect and thus resulted in lower levels of stereotypy during the subsequent treatment sessions. Perhaps in the present analysis, restriction of access to stereotypy during the full treatment sessions (through response blocking) created a sufficient state of deprivation, increasing the value of the automatic reinforcer and the stereotypy that produced it (e.g., Lang et al.). It is plausible that intermittent access to automatic reinforcers during the full treatment reduced the value of the automatic reinforcers during the teaching portion of the sessions and would help explain why stereotypy abated and response blocking was more effective under these conditions.
The present results highlight the importance of manipulating antecedent and consequent events for both the stereotypy and the alternative behavior. The antecedent manipulation for stereotypy was the presence of activities, and the consequent manipulation was response blocking. The antecedent manipulation for the alternative behavior (play) was prompting by the therapist, and the consequent manipulation was DR using access to stereotypy as the reinforcer. Decreases in problem behavior and increases in alternative behavior were observed only when all event manipulations were present. The efficacy of this treatment package also illustrates that it is possible and often necessary to implement a function-based and reinforcement-based treatment for automatically reinforced problem behavior.
Generating More Complex Leisure Skills
Procedure
Before this analysis, Jon and Edward had experienced analyses of different contingency arrangements and reinforcement schedule thinning. The procedures that resulted in slightly better outcomes with Jon included a DRA plus DRO schedule of reinforcement, access periods without materials, and response marking (i.e., a “thumbs up” paired with a monotone “good” or “yes” for each instance of SFE). For Edward, DRA only, access periods with materials available, and no response marking resulted in optimal effects. We then incorporated these most effective contingency arrangements into the shaping procedure for more complex SFE. We conducted baseline sessions with activity materials present to determine whether SFE would eventually occur in the absence of the treatment, but we did not incorporate any programmed prompting or consequences. The treatment for Jon included materials from the Interstars activity, prompting of SFE, blocking of stereotypy, response marking for each SFE response until he earned access, and a DRA plus DRO schedule of reinforcement. In the DR component, Jon had to meet the SFE response requirement with no occurrence of stereotypy. The treatment for Edward included access to Megabloks, prompting SFE, blocking stereotypy, no response marking, and a DRA that involved access periods with materials present. Sessions were conducted in blocks of four, with three treatment sessions followed by a baseline session.
Jon. Jon’s terminal goal included building two cubes with the Interstars activity. Materials included eight i-bars and four t-bars, and the terminal goal required 10 responses. The SFE requirement began with Jon connecting one i-bar vertically on any corner of a t-bar to earn access. The GFE responses no longer resulted in access
and were ignored. Both prompted and independent responses could fulfill the response requirement for the schedule.
Prompt fading occurred in each session dependent on the levels of SFE and stereotypy. The fading procedure was similar to a most-to-least model in which the most intrusive prompts (e.g., hand-over-hand guidance) were provided initially and were faded to less intrusive prompts (e.g., point cue). If Jon initiated a response, the therapist allowed 3 to 5 s for independent responding to occur. The criteria to increase the response requirement consisted of four nonconsecutive sessions with stereotypy lower than 1.6 responses per minute, SFE above 3.0 responses per minute, and a maximum of one prompt per session. The planned steps in thinning the schedule were an increase by one response through FR 5 (i.e., one cube constructed), and then an FR 10 (i.e., two cubes constructed) was arranged.
Edward. The SFE targeted with Edward included building two Megabloks houses comprised of six responses each for a total of 12 responses. The FR requirement began at an FR 1 with a planned increase by one response through FR 6 (i.e., one house constructed), then an FR 12 (i.e., two houses) was arranged. We implemented most-to-least prompting and faded in the session as described for Jon. The criteria to increase the FR requirement by one response included four nonconsecutive sessions with stereotypy below 1.0 responses per minute, SFE above 1.3 responses per minute, and a maximum of one prompt per session.
Results and Discussion
Jon. Stereotypy occurred more often than SFE during the first four sessions (Figure 4), but it quickly decreased while independent SFE increased and remained high throughout the analysis. Prompted SFE remained low throughout the analysis, and any increases typically coincided with increases in stereotypy. Jon earned a total of 402 access periods across 97 treatment sessions, averaging four access periods per session (range, 0 to 9) while stereotypy averaged 6 responses per minute (range, 0 to 15) and the terminal response requirement of FR 12 was met. The baseline sessions showed much higher and variable levels of stereotypy and zero instances of SFE throughout the analysis. These baseline sessions further validate that the treatment package was necessary to decrease Jon's stereotypy and increase more complex and specific forms of functional engagement.
Edward. The introduction of treatment was associated with an increasing trend in SFE (Figure 5); responding then decreased and stabilized as the schedule was thinned. Stereotypy remained low and steady throughout the analysis, occurring in a little more than half of the treatment sessions. Edward earned a total of 267 access periods across 64 treatment sessions, with an average of four access periods per session (range, 0 to 8). The rate of stereotypy during access periods averaged 3 responses per minute (range, 0 to 10). Edward met the terminal response goal of building two Megabloks houses. During baseline sessions, stereotypy occurred between 0.2 and 5.6 responses per minute, with the majority of sessions around 3 responses per minute. Unlike Jon, Edward engaged in SFE during some of the baseline sessions, suggestive of generalization of leisure skills.
For these two participants, any automatic reinforcement produced by engaging in the activity was not more valuable than that produced by engagement in stereotypy. The lack of consistent SFE during ongoing baseline sessions (i.e., activities available but no programmed contingencies) suggests that the treatment package was necessary to decrease stereotypy and increase functional engagement, but the reinforcers for the more complex alternative behavior did not effectively substitute for or compete with those provided via stereotypy. Although the activities were not age appropriate for either participant, the leisure repertoires were more complex by the end of the analyses.
Figure 4. Stereotypy, independent SFE, and prompted SFE during treatment (top) and baseline sessions (bottom) for Jon. The gray bars, plotted on the secondary $y$ axis (top), depict the increasing response requirement for SFE (specific functional engagement).
**Social Validity Assessment**
**Procedure**
Social validation of the treatment procedures was assessed via a treatment preference assessment with the three participants using a concurrent-chains procedure (Hanley, 2010). It also was assessed with other stakeholders by arranging for them to watch brief videos of baseline and treatment and then respond to a questionnaire.
During the treatment preference assessment, a long table was divided into three equal sections and marked with blue tape (with the exception of Patrick; see description below). We placed a chair in the middle of each section with a colored card on the back of each chair to represent the initial link. We selected three colors for each participant based on the results of a paired-stimulus color preference assessment (Luczynski & Hanley, 2009). The colors selected for inclusion were neither highest nor least preferred. The therapist presented the color cards, said “touch the color card of the table you’d like to sit at,” and allowed the participant to select one of the colored cards, sit down at the table, and experience the associated terminal link.
*No differential consequences.* Before assigning each color a differential consequence in the form of different treatments, we conducted sessions in which all selections resulted in delivery of the same small edible item. We did this to determine if a color bias was evident.
*Differential consequences.* After undifferentiated responding occurred, we randomly assigned each color to a treatment. The first treatment
Figure 5. Stereotypy, independent SFE, and prompted SFE during treatment (top) and baseline sessions (bottom) for Edward. The gray bars, plotted on the secondary $y$ axis (top), depict the increasing response requirement for SFE (specific functional engagement).
included enriching the environment with activities. The second included physically blocking instances of stereotypy with no activities present. The third included activities, prompting functional engagement every 30 s if the participant was not already engaged, blocking stereotypy, and providing 30-s access to the participant’s own stereotypy for appropriately engaging with the activities (i.e., the full treatment). We included these three treatments because they are commonly used for treating motor stereotypy and because the participants had previous experience with each of them.
We conducted six trials per session and randomly assigned and rotated the position of the colored cards across sessions but not trials. The colored cards on the backs of the chairs also had photos representing the treatment that would be experienced during the terminal link. We conducted Patrick’s sessions in three similarly sized research rooms at his school. We placed the colored cards with photos on the frame of each doorway. When Patrick made a selection (i.e., touched the picture), he entered the room, sat at the table, and experienced the terminal-link treatment associated with that color.
Before each session, the therapist briefly described the experience for each terminal link while she pointed to the corresponding chair. We used both concurrent-chains and reversal designs to evaluate the control of initial-link responding by the contexts arranged in the terminal links.
A second social validity assessment was conducted with stakeholders relevant to Jon and Edward. We invited two teachers who worked with the participants on a daily basis, clinical case supervisors, and executive clinical supervisors to participate. After gaining written consent, we invited the stakeholders to watch a 2- to 3-min video that showed a clip during baseline in which no contingencies were present and a clip during treatment with DR. We randomly selected the video clips using Microsoft Excel. After viewing the video, the assessor filled
out a survey that included questions with a 7-point scale about the acceptability of the treatment followed by an open-ended question.
Results and Discussion
We observed undifferentiated responding for all participants when no differential consequences occurred (Figure 6), indicating no strong color biases. When differential consequences were provided (i.e., different treatments) for selections, Jon selected the activities-only treatment during 45% of opportunities and the treatment with DR on 47% of opportunities, showing that he preferred these treatments similarly over the blocking-only treatment. Patrick and Edward showed preference for the treatment with DR (selected 58% and 75%, respectively) over both the activities-only and the blocking-only treatments. Selections were undifferentiated during the reversal to no differential consequences, providing additional evidence that selections in the previous condition (i.e., differential consequences) were influenced by the treatments.
All participants responded away from the blocking-only treatment, and two of the three preferred the treatment with DR. They preferred a context with a requirement to behave in a certain manner to earn access to their stereotypy over a context in which stereotypy was freely available. Although it is not possible to specify the amount of reinforcement obtained by each participant, it seems reasonable to infer that more automatic reinforcers were available during the activities-only sessions because stereotypy was higher during the activities-only sessions compared to stereotypy during access periods of the treatment sessions. Therefore, amount of reinforcement earned probably did not drive the observed selections.
An alternative explanation for the observed preferences is that the intermittent response blocking during treatment created a state of deprivation for the automatic reinforcers associated with stereotypy. Therefore, the initial link associated with the treatment may have developed properties of a conditioned establishing operation (McGill, 1999). In this explanation, it could be assumed that the automatic reinforcement derived from engaging in stereotypy would be more reinforcing in the preferred treatment than when stereotypy was available for free. Another explanation relates to the difference between the two treatments with regard to the presence or absence of a programmed contingency. The present results may provide more evidence of preference for contingent over noncontingent reinforcement. Numerous studies have shown that individuals prefer contingent reinforcement over noncontingent reinforcement when the reinforcement is tangible or socially mediated (Hanley, 2010; Luczynski & Hanley, 2009; Singh & Query, 1971). The present results are unique in that the apparent preference for contingency involved both mediated and automatic reinforcement.
Another important finding was that no one preferred the blocking-only treatment. Blocking only was the least effective arrangement for reducing stereotypy, so perhaps the participants preferred the context in which treatment was most effective and avoided the least effective treatment. Regardless of the controlling variables, these results highlight the importance of including a reinforcement component (e.g., DR) when considering the use of a likely punishment component such as blocking.
Results of the social validity assessment with stakeholders showed that the stakeholders agreed that the treatment goals, procedures, and amount of behavior change were acceptable, appropriate, and important for both participants (see Table 1).
GENERAL DISCUSSION
The current results demonstrated that the stereotypy of three participants could be used as a reinforcer for a more desirable alternative behavior. We replicated results of Hanley et al. (2000) in that a combination of activities, prompting engagement, restriction of the
Figure 6. Cumulative number of selections for treatment conditions when differential consequences and no differential consequences were provided for selections for Jon, Patrick, and Edward.
Table 1
Questions and Results of the Social Validity Questionnaire
| Questions | Responses |
|--------------------------------------------------------------------------|-----------|
| | Jon | Edward |
| | \(M\) (range) | |
| 1. Do you think that the treatment that involved prompting engagement or play behavior, blocking stereotypy, and differentially reinforcing engagement with 30-s access to the participant’s own stereotypy was acceptable? | 7 | 6.6 (6–7) |
| 2. Do you think that the amount of behavior change (i.e., the effects of treatment) was acceptable or sufficient? | 6.6 (6–7) | 6.8 (6–7) |
| 3. Do you feel that the overall goals of this treatment were acceptable, appropriate, and important for the individual? | 6.6 (5–7) | 7 |
| 4. Would you recommend this treatment package to other therapists or providers who are attempting to decrease motor stereotypy and increase age-appropriate play skills? | 6.8 (6–7) | 6.8 (6–7) |
automatic reinforcer during teaching periods, and contingent access to that reinforcer was an effective treatment for automatically reinforced stereotypy. In addition, we extended the results with two participants by demonstrating that the amount and complexity of an alternative behavior could be shaped in the context of this treatment. Two participants also preferred the treatment package over commonly used components of the treatment, and stakeholders found the goals, procedures, and results highly acceptable despite the procedural complexity. In essence, we demonstrated the effectiveness of and preference for a function- and reinforcement-based treatment in decreasing stereotypy and increasing the independent leisure skills of three adolescents with an ASD.
Three important logistical considerations for this treatment include the necessity of careful planning before implementation, the laborious nature of the procedures, and the extensive time period necessary to observe changes in behavior. Hundreds of treatment sessions were required to develop the level of complexity of leisure skills observed at the end of the evaluation, and these skills were still not at a level or with items that are ultimately suitable for adolescents. These considerations highlight that an extensive amount of work and time is required to change a repertoire of automatically reinforced stereotypy. They also highlight the importance of targeting the development of automatically and socially reinforced leisure skills early, when an individual is young, so that age- and developmentally appropriate play are less disparate at the start of treatment and intractable levels of stereotypy can be prevented.
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*Received April 23, 2012*
*Final acceptance November 4, 2012*
*Action Editor, Linda LeBlanc*
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The Microbial Ecology of the Paediatric Oral Microbiome in Healthy and Sleep Disorder Breathers
by
Jessica Alice Pillay Carlson-Jones
Bachelor of Biotechnology (Hons)
Thesis
Submitted to Flinders University for the degree of
Doctor of Philosophy
College of Science and Engineering
August 2019
# Table of Contents
Summary .................................................................................................................. viii
Declaration ........................................................................................................... x
Acknowledgements ............................................................................................... xi
## CHAPTER 1
General introduction ................................................................................................. 1
- The human microbiome ....................................................................................... 2
- The oral microbiome ............................................................................................ 2
- Microbial dispersal across anatomic sites ............................................................. 5
- Paediatric sleep disorder breathing ....................................................................... 5
- Sleep and the microbiome .................................................................................... 6
- Microbial links to paediatric sleep disorders ....................................................... 7
- Thesis aims and objectives ................................................................................... 9
- References .......................................................................................................... 12
## CHAPTER 2
Enumerating Virus-Like Particles and Bacterial Populations in the Sinuses of Chronic Rhinosinusitis Patients Using Flow Cytometry ......................................................... 24
- Abstract .............................................................................................................. 25
- Introduction ....................................................................................................... 26
- Materials and Methods ....................................................................................... 27
- Ethics statement ................................................................................................. 27
Sample collection .................................................................................................................. 27
Sample preparation ............................................................................................................. 28
Flow cytometric analysis ...................................................................................................... 29
Data analysis .......................................................................................................................... 30
Results ................................................................................................................................... 31
Flow cytometric analysis .................................................................................................... 31
Bacterial sample preparation method optimisation ......................................................... 32
VLP sample preparation method optimisation ................................................................. 33
Bacterial rank abundance ................................................................................................. 33
VLP rank abundance ......................................................................................................... 36
Lack of correlation with patient symptoms ....................................................................... 39
Discussion .............................................................................................................................. 39
Acknowledgments ................................................................................................................ 44
References ............................................................................................................................. 44
Supporting Information ........................................................................................................ 51
CHAPTER 3
Flow cytometric enumeration of bacterial and virus-like particle populations in the human oral cavity pre and post sleep .................................................................................. 54
Abstract .............................................................................................................................. 55
Poster presentation ............................................................................................................. 56
CHAPTER 4
The microbial abundance dynamics of the human oral cavity before and after sleep
Abstract .................................................................................................................................58
Introduction .......................................................................................................................59
Materials and methods .....................................................................................................61
Ethics statement ..............................................................................................................61
Sample collection ............................................................................................................61
Sample preparation .........................................................................................................62
Flow cytometric analysis .................................................................................................63
Data analysis ...................................................................................................................65
Results .............................................................................................................................65
Flow cytometric analysis .................................................................................................65
Oral cavity bacterial abundance heterogeneity before sleep ........................................68
Oral cavity bacterial abundance heterogeneity after sleep ............................................70
Oral cavity VLP abundance heterogeneity before sleep ...............................................71
Oral cavity VLP abundance homogeneity after sleep ..................................................73
Bacterial and VLP increases during sleep .....................................................................73
Bacterial and VLP network analysis ..............................................................................77
Discussion .......................................................................................................................81
Acknowledgements .........................................................................................................86
References ......................................................................................................................86
Supporting information ..................................................................................................95
CHAPTER 5
The microbial abundance dynamics in the oral cavity of paediatric sleep disorder breathers before and after sleep ................................................................. 103
Abstract ........................................................................................................... 104
Introduction .................................................................................................... 105
Materials and Methods .................................................................................. 106
Ethics statement ............................................................................................. 106
Sample collection .......................................................................................... 106
Swab sample preparation .............................................................................. 107
Flow cytometry ............................................................................................... 108
Data analysis .................................................................................................. 108
Results ............................................................................................................ 109
SDB bacterial abundance heterogeneity before sleep .................................... 109
SDB bacterial abundance heterogeneity after sleep ....................................... 113
SDB VLP abundance heterogeneity before sleep .......................................... 114
SDB VLP abundance homogeneity after sleep ............................................. 117
Significant increase in bacterial and VLP counts during sleep ....................... 117
Significant differences in microbial concentrations between health states .... 121
Discussion ...................................................................................................... 122
Acknowledgements ....................................................................................... 127
References ..................................................................................................... 128
Supplementary information ........................................................................... 135
CHAPTER 6
The spatial distribution of the bacterial communities within the healthy paediatric oral cavity before and after sleep ................................................................. 145
Abstract ........................................................................................................... 146
Introduction .................................................................................................... 147
Materials and Methods .................................................................................. 148
Ethics statement ............................................................................................. 148
Sample collection .......................................................................................... 148
Swab sample preparation .............................................................................. 150
Bacteria 16S PCR amplification ................................................................... 150
Bioinformatics ............................................................................................... 151
Sequence analysis .......................................................................................... 151
Results ........................................................................................................... 152
Overall sequence statistics ........................................................................... 152
Relative abundance of oral bacteria differs among microhabitat .................. 152
Bacterial populations shift in relative abundance during sleep ..................... 161
Differences in oral community composition based on collection time and microhabitat ................................................................. 164
Bacterial communities vary among participants ........................................... 168
Discussion ..................................................................................................... 170
Acknowledgements ....................................................................................... 175
References ..................................................................................................... 175
CHAPTER 7
The spatial distribution of the oral microbiome in paediatric sleep disorder breathers
Abstract ................................................................................................................................. 185
Introduction ....................................................................................................................... 186
Materials and Methods ..................................................................................................... 187
Ethics statement .............................................................................................................. 187
Sample collection ............................................................................................................ 187
Swab preparation ............................................................................................................. 188
Bacterial 16S PCR amplification .................................................................................... 189
Bioinformatic analysis ..................................................................................................... 189
Sequence analysis ........................................................................................................... 190
Results ............................................................................................................................... 191
Overall sequence statistics .............................................................................................. 191
Oral microhabitats vary in bacterial composition in SDB .............................................. 191
Bacterial community composition among microhabitats when split by time ............... 197
Bacterial communities differ in composition among participants and between genders in SDB .......................................................................................................................... 198
Bacterial communities in paediatric SDB significantly differ to healthy participants ..201
Discussion .......................................................................................................................... 204
Acknowledgements .......................................................................................................... 209
References ......................................................................................................................... 209
CHAPTER 8
General discussion ................................................................. 219
Thesis overview ........................................................................... 220
Synthesis of research.................................................................... 221
Flow cytometric enumeration of bacteria and VLP in maxillary sinus flush samples 221
The healthy paediatric oral cavity is a numerically dynamic heterogeneous environment .......................................................... 222
Viral community abundances differ between healthy and SDB .............. 223
Microbial communities shift anaerobically during sleep in healthy paediatric participants ............................................................... 224
Bacterial communities in SDB significantly differ to healthy individuals ......... 225
Significance .................................................................................. 227
Future directions ........................................................................... 228
Conclusions .................................................................................. 229
References ................................................................................... 230
Appendices .................................................................................. 239
Publications .................................................................................. 239
Poster presentations ..................................................................... 240
Response to reviewers (chapter 4) .................................................. 256
The human body is colonised by an array of microorganisms that are involved in maintaining overall health and wellbeing. Disruption to these beneficial microbial communities is linked to the progression of numerous disease states. Regarded as the gateway to the body, the oral cavity has become a site for numerous taxonomic studies investigating microbial links between health and disease. Within the oral cavity are different microhabitats that support the colonisation of different bacterial communities. However, little is known about the absolute microbial abundance dynamics within and between these microhabitats, and whether they are different in disease states. Used as a tool for monitoring microbial dynamics in environmental studies, flow cytometry enables the rapid enumeration of bacteria and viruses within a community. In chapters 2, 3 and 4 of this thesis we demonstrate that flow cytometry can be used on medical samples to count bacteria and viruses within niches of the human body. We establish that the upper respiratory tract, specifically the sinuses and oral cavity, are colonised by ‘high’ numbers of microbes and that these counts are not homogeneous in their distribution spatially and among individuals. In addition, chapters 3 and 4 also establish that the microbial communities in the healthy paediatric oral cavity significantly increase in absolute abundance during sleep by counts of up to 100 million. In sleep disorder breathers (SDB), this microbial dynamic is predicted to be different as variations in sleeping patterns are suspected to change oral environmental conditions. Chapter 5 presents the first study to identify, using flow cytometry, a significant difference in the absolute microbial abundances, specifically in viruses, between microhabitats in the healthy and sleep disorder breathers’ oral cavities. Chapter 6 characterises the relative taxonomic distribution of the microhabitats of the healthy paediatric oral cavity and shows for the first time that these bacterial communities significantly shift during sleep, specifically in anaerobic genera of bacteria. Finally, chapter 7 shows that paediatric sleep disorder breathers have significantly different oral taxonomic
profiles than healthy paediatric participants, specifically at the tip of the tongue after sleep. Overall, this thesis highlights the potential value in high frequency time series of healthy and SDB oral microbiomes. Here we show that the paediatric oral microbial communities significantly shift in abundance over time, suggesting of a highly dynamic community. Therefore, there is the need for careful interpretation when identifying shifts in oral microbial composition between health states. This thesis suggests the need for future microbial related research in paediatric SDB with a particular focus on the oral microbiome to determine if there is a causal relation between the microbial communities present and the health condition.
DECLARATION
I certify that this thesis: does not incorporate without acknowledgment any material previously submitted for a degree or diploma in any university; and to the best of my knowledge and belief, does not contain any material previously published or written by another person except where due reference is made in the text.
Signed …………Jessica Carlson-Jones………….
Date …………16th of September 2018………….
ACKNOWLEDGEMENTS
Firstly, I would like to express my sincere gratitude to my primary supervisor, Professor Jim Mitchell, for his guidance and support throughout the course of this PhD. Thank you as well for providing me with the opportunity to travel around the world to attend workshops and to present at conferences.
To my supervisors at the Women’s and Children’s Hospital, Professor Declan Kennedy and Dr. James Martin, thank you for allowing me the opportunity to join your research team. Your insight, expertise and words of encouragement were greatly appreciated.
Thanks must also go to Associate Professor Peter Speck (Flinders University), Dr. Renee Smith (Flinders Medical Centre) and Professor Geraint Rogers (SAHMRI) for their advice throughout the course of this PhD. I would also like to acknowledge the financial contribution made by the Australian Government through the Research Training Program (RTP) Scholarship.
Thank you also to Professor Peter-John Wormald (Queen Elizabeth Hospital) for allowing me access into theatre to witness the incredible sinus procedures he conducted to collect the sinus flush samples.
I am also hugely appreciative to Dr. Anna Kontos of the Robinson Research Institute. Without your curiosity into the paediatric microbiome this project would never have existed. Thank you for your support throughout, but most importantly, thank you for the time and effort you put in to collecting the oral swab samples.
To Jody Fisher, thank you so much for your help with the statistical and network analysis components of this thesis. Your knowledge and expertise have been invaluable. Thank you as well for the friendship and support you gave me throughout and for having my back when things got tough.
To Dr. James Paterson and Dr. Kelly Newton, thank you for your training and expert advice in flow cytometry. I also really appreciated your words of encouragement throughout.
To my fellow lab mates Dr. Lisa Dann, Dr. Eloise Prime and Jacqueline Rochow, thank you for all the adventures we have shared together. Your support and friendship throughout have been invaluable.
To Annie Taylor, Michelle Clanahan and Sylvia Sapula, thank you for your words of advice, encouragement and support throughout my candidature.
I would also like to say a special thank you to my amazing Nanna who despite ill health during my candidature, still managed to provide unconditional support to me. Thank you also for providing the motivation I needed to finish.
A special mention also goes my late Poppa, Dr. Pillay, who sadly passed away just over a year out from my completion. Thank you for teaching me the value of an education. I know how proud you were when I started my PhD, I only wish you were around to see me finish.
Finally, to my incredible parents. Words cannot begin to describe how grateful I am for all the support you have given me, not only during this PhD, but throughout my life. Thank you for believing in me.
CHAPTER 1:
GENERAL INTRODUCTION
The human microbiome
The human body is host to an array of microorganisms including viruses, bacteria, archaea, protozoa and fungi. Collectively referred to as the microbiota, these microbes colonize our bodies shortly after birth [1], and over time develop into a diverse community of microorganisms [2]. Starting in 2008, the Human Microbiome Project (HMP) set out to understand how these microbial communities impacted human health and disease [3, 4]. Since then, aided by the rapid progression of high-throughput sequencing technologies [5], extensive amounts of research have been conducted showing how these microbial communities are involved in maintaining our overall health and well-being [4, 6]. This includes but is not limited to the development and regulation of our immune system, nutrient absorption, energy metabolism, mucosal barrier function, detoxification and the prevention of colonisation by pathogenic microorganisms [7-9]. Therefore, perturbations to these microbial communities can have a considerable impact on human health [6]. Another major outcome from these microbiome studies was the knowledge that different regions on the human body were colonised by different microbial communities, and that these communities were highly varied among individuals [10]. One region seen to be particularly complex and diverse was the oral cavity [4, 11].
The oral microbiome
The oral cavity contains various microhabitats that differ in microbial community structure [12, 13]. This includes the soft shedding mucosal surfaces of the tongue, palate, buccal mucosa and gingivae, along with the non-shedding surfaces of the teeth. The microhabitat variations are thought to be a result of numerous factors including salivary flow, oral anatomy, oral hygiene, moisture levels, abrasion (i.e. form
the tongue), surface structure (i.e. papillae), host immune response and oxygen, nutrient, temperature and pH gradients [4, 11-20]. As a result, the oral cavity is an extremely dynamic environment [13], where the microbiota have evolved to adapt to such changes to form a balanced equilibrium of resident microbiota [7, 21]. However, disturbances to this balance can result in numerous oral and systemic diseases.
Oral dysbiosis is where the diversity and taxonomy within an environment is disrupted [6]. Many oral pathogens have been identified within the oral microbiome, but they are found at a controlled level [7, 22]. When there is a disturbance to the natural balance of oral microbiota, an opportunity arises for these pathogenic bacteria to grow and dominate [23]. This has been observed in many oral related infections including dental caries [24] and periodontitis [25]. These oral infections have also been linked to other systemic diseases including preterm birth [26, 27], pneumonia [28], cardiovascular disease [29-32], diabetes [33] and stroke [34]. This shows that understanding the oral microbiome is an important area of research as the flow on effect from dysbiosis in this environment may have further implications in other systems in the body.
Saliva is one host derived mechanism that helps control the levels of bacteria in the oral cavity [35]. Recently shown to shape the spatial gradient of bacterial diversity in the oral cavity [17], saliva is also an important antimicrobial defence system [35]. Important enzymes and proteins in the saliva directly and indirectly regulate the oral microbiome [35]. An example of this is the production of the chemical hypothiocyanite, a reaction catalysed by the enzyme lactoperoxidase found in saliva [7]. Hypothiocyanite has an antimicrobial effect by inhibiting bacterial glycolysis [36].
Unlike bacteria, studies into the human oral virome are less extensive [37-40]. Most viruses in the oral cavity have been identified as bacteriophages [37], viruses that infect bacteria. Unlike eukaryotic viruses, bacteriophage have the capability to eliminate specific bacteria or act as reservoirs for genetic exchange via their lytic and lysogenic lifecycles [37, 41]. Therefore, studies have suggested that these viruses have the potential to shape the oral bacterial communities. One study found that the majority of bacteriophage in the oral cavity displayed homologs for integrase, an enzyme which enables genetic material to be integrated into their bacterial hosts DNA [37]. This implies that lysogeny is favoured, suggesting that bacteriophage in the oral cavity could act as a reservoir for genetic exchange among bacteria, including genes for antibiotic resistance [37, 42]. What role these bacteriophages play in oral health and disease remains largely unknown. However, some studies are beginning to show that the bacteriophage communities in periodontal disease vary to what is observed in healthy controls [39, 40, 43].
It is well established that the oral cavity undergoes changes at each postnatal developmental stage [44]. This is partly due to the eruption and replacement of teeth within the earlier years of life [13, 44]. Other physiological changes, such as hormonal fluctuations during puberty and pregnancy, also influence oral bacteria [45]. Therefore, care needs to be taken when comparing between health states as differences in oral microbiomes could reflect physiological variations due to age.
Microbial dispersal across anatomic sites
Although spatially situated apart, different anatomic sites in the human body are connected and are thought to act as possible sources of microbial inoculation for other body sites [46]. For example, the sinuses and oral cavity drain into the pharynx which is connected to the trachea and lungs, as well as the oesophagus, stomach and gut. [46]. Studies have shown certain sinus bacterial strains have been isolated in the lower respiratory tract of newly transplanted lungs [47]. However, latter work has also suggested that the oral cavity acts as a significant microbial source to the lungs, stomach and oesophagus as microbial communities among these anatomic regions possessed a greater level of similarity to each [48, 49]. This suggests that dysbiosis in one area of the human body could potentially have an undesirable effect on another region. This has already been observed with links between periodontitis and cardiovascular disease [29-31]. Therefore, it is important to monitor the microbial dynamics of various anatomical locations within the body of different health states, as the source microbial dysbiosis may originate from another anatomical location.
Paediatric sleep disorder breathing
Sleep disorder breathing (SDB) defines a broad spectrum of breathing disturbances during sleep. Ranging from mild snoring to obstructive sleep apnoea syndrome (OSA), SDB affects approximately 10% of the paediatric population [50]. One of the characteristics of this condition is the complete or partial blockage of the airways during sleep which leads to arousals events and disruptions of the normal sleeping pattern [51]. This obstruction is often caused by hypertrophy of the tonsillar and adenoid tissue [52]. There is also a peak prevalence in paediatric SDB between the ages of 2 and 8 as this is the age range where the tonsils and adenoids are at their
largest in relation to the airways [53, 54]. Children who are overweight or obese are also at a greater risk of developing SDB [55, 56]. However, the conventional form of treatment, an adenotonsillectomy [57, 58], is not as effective in this group as the narrowing of the airways is due to fat deposits in the pharyngeal wall [59, 60].
Due to the airway obstruction during sleep, children with SDB often display symptoms of snoring, restlessness, nocturnal sweating, noisy breathing, sleep terrors, mouth breathing and apnoea during the night [61, 62]. These disturbances can cause fatigue, inattention, hyperactivity and aggressiveness during the day [61, 62]. If left untreated, paediatric sleep apnoea can have harmful outcomes on the children’s growth, cardiovascular, neurocognitive and behavioural wellbeing [57, 63].
**Sleep and the microbiome**
Interest into the microbiomes of SDB began when mice and human gut microbiota studies showed evidence of conforming to a circadian rhythm, a cycle of 24-hours in which various physiological processes in our body fluctuate up and down [64, 65]. Furthermore, sequencing of faecal samples from mice and humans exposed to diurnal fluctuations showed that circadian misalignment perturbs gut microbiota [64]. In 2016, research showed for the first time that short partial sleep deprivation and chronic sleep fragmentation in mice and healthy young men resulted in a shift of their gut microbiota [66, 67]. The study by Poroyket et al. reported an increase in the relative abundance of *Lachnospiraceae* and *Ruminococcaceae*, and a decrease in *Lactobacillaceae* families in the gut of sleep fragmented mice models [67]. Interestingly, these effects were reversed after 2 weeks of unfragmented normal sleep [67]. This study also reported that germ free mice, when transplanted with the faecal microbiota of sleep fragmented mice, displayed similar metabolic shifts to the sleep
fragmented cohort [67]. These studies suggested that restoring the gut microbiota in sleep fragmented cases, such as sleep apnoea, could be a future form of treatment.
A study by Moreno-Indias et al. was the first to specifically investigate how intermittent hypoxia, a trademark of obstructive sleep apnoea, impacted the microbial diversity of the gut [68]. Here, the faecal microbiomes of mice exposed to patterns of intermittent hypoxia for 6 weeks were compared to normoxic controls [68]. Results showed that, hypoxic mice had an increase in the relative abundance of Firmicutes, and a decrease in Bacteroidetes and Protobacteria phyla [68]. This suggested that microbial equilibrium in the gut of OSA is perturbed, opening a new field of research in sleep apnoea. Since then, numerous studies have continued investigating the link between OSA and its symptoms (i.e. hypertension) with the gut microbiome [69-71]. However, no studies have investigated these gut microbial shifts in the paediatric population. As the human microbiome is known to change with age [44], it important to examine possible gut perturbances in all age groups, from the very young to the elderly.
**Microbial links to paediatric sleep disorders**
Recently a study has suggested that respiratory viruses may be involved in the inflammation of tonsillar tissue leading to the development of sleep apnoea [57]. It has been hypothesized that respiratory viral infections, in particular respiratory syncytial virus (RSV), can cause an increase of lymphoid tissue resulting in inflammation of the airways in young susceptible children [57, 72]. Infants who were infected with the RSV had a significantly higher obstructive sleep apnoea index (a scale which ranks the severity of the sleep apnoea) than children who were not infected with the virus. This suggests a role of early life respiratory viral infection in the
pathogenesis of sleep apnoea. However, more research is needed to show a strong connection between the microbiome and the pathogenesis of sleep apnoea.
Thesis aims and objectives
Overall, this thesis aims to understand the spatial distribution of the paediatric oral microbiota within various microhabitats of the oral cavity, and to see if these communities change in paediatric SDB. To do this, we looked at the microbial communities in the oral cavity of children with and without SDB before and after sleep to determine if there are any differences in the absolute or taxonomic community structure. With no studies investigating the dynamic of the paediatric SDB oral microbiome, this thesis will be an important piece in understanding whether further investigations into the oral microbiome will hold the key to the possibility of uncovering a pathogenic cause to sleep related conditions.
Specifically, the aims were:
- To develop a flow cytometry protocol that can be used on medical samples to successfully enumerate bacterial and viral populations. In addition, establish that viruses are prominent in the maxillary sinuses of Chronic Rhinosinusitis patients.
- To assess the spatial distribution and dynamics of the absolute bacterial and viral populations within the healthy paediatric oral cavity before and after sleep.
- To investigate the spatial distribution and dynamics of the absolute bacterial and viral populations within the SDB paediatric oral cavity before and after sleep, and to determine if they are as abundant and dynamic as healthy participants.
- To determine the taxonomic community distributions of bacteria within microhabitats of the healthy paediatric oral cavity and assess if these communities change during sleep.
To determine the taxonomic community distributions of bacteria within microhabitats of the SDB paediatric oral cavity and assess if these communities change during sleep. In addition, determine if these bacterial communities are the same as healthy participants.
This thesis has been written in manuscript form to suit the submission criteria for scientific journals. Therefore, there is some redundancy in the introduction and methods sections of the chapters. The results from chapters 2, 3 and 4 have been published in or submitted to peer reviewed journals. Chapter 2 investigated the bacterial and viral concentrations within the maxillary sinuses of chronic rhinosinusitis patients using flow cytometry and was published in the journal PLOS ONE [73]. Chapter 3 presents the abundance dynamics of the healthy paediatric oral microbiome before and after sleep. The abstract of chapter 3 (the poster version of chapter 4) has been published in the peer reviewed Journal of Sleep Research [15]. Chapter 4 assesses the heterogeneity in the absolute bacterial and viral loads within the microhabitats of the healthy paediatric oral cavity and assesses by how much they fluctuate during sleep. Chapter 4 had been submitted for publication in the journal PLOS ONE (30th January 2018). Chapter 5 investigates the spatial distribution and heterogeneity of the absolute bacterial and viral populations within microhabitats of the SDB oral cavity and assesses if these microbial loads are displayed to the same extent as healthy participants. Chapter 6 investigates the bacterial taxonomic distribution within the microhabitats of the healthy paediatric oral cavity and how these communities change during sleep. Chapter 7 compares the taxonomic distribution of bacterial communities in the SDB oral cavity to the healthy oral cavity to determine if the oral microbiome in SDB is different. A summary of the results and the future implications they have on the field of SDB has been discussed in chapter 8. Future directions to come out of this thesis are also included in this chapter. This thesis provides the first insight into the absolute abundance dynamics of the healthy and SDB oral cavity during sleep. It provides a new option for monitoring microbial dynamics in microbial related health conditions.
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CHAPTER 2:
ENUMERATING VIRUS-LIKE PARTICLES AND BACTERIAL POPULATIONS IN THE SINUSES OF CHRONIC RHINOSINUSITIS PATIENTS USING FLOW CYTOMETRY
This chapter has been accepted and published in the journal PLOS ONE.
Citation: Carlson-Jones JAP, Paterson JS, Newton K, Smith RJ, Dann LM, Speck P, et al. (2016) Enumerating Virus-Like Particles and Bacterial Populations in the Sinuses of Chronic Rhinosinusitis Patients Using Flow Cytometry. PLoS ONE 11(5): e0155003. https://doi.org/10.1371/journal.pone.0155003
Contribution to publication: Conceived and designed the experiments, performed the experiments, analysed the data, contributed reagents/materials/analysis tools and wrote the publication.
Research Design: 80%
Data collection and analysis: 100%
Writing and editing: 80%
There is increasing evidence to suggest that the sinus microbiome plays a role in the pathogenesis of chronic rhinosinusitis (CRS). However, the concentration of these microorganisms within the sinuses is still unknown. We show that flow cytometry can be used to enumerate bacteria and virus-like particles (VLPs) in sinus flush samples of CRS patients. This was achieved through trialling 5 sample preparation techniques for flow cytometry. We found high concentrations of bacteria and VLPs in these samples. Untreated samples produced the highest average bacterial and VLP counts with $3.3 \pm 0.74 \times 10^7$ bacteria ml$^{-1}$ and $2.4 \pm 1.23 \times 10^9$ VLP ml$^{-1}$ of sinus flush ($n = 9$). These counts were significantly higher than most of the treated samples ($p < 0.05$). Results showed $10^3$ and $10^4$ times inter-patient variation for bacteria and VLP concentrations. This wide variation suggests that diagnosis and treatment need to be personalised and that utilising flow cytometry is useful and efficient for this. This study is the first to enumerate bacterial and VLP populations in the maxillary sinus of CRS patients. The relevance of enumeration is that with increasing antimicrobial resistance, antibiotics are becoming less effective at treating bacterial infections of the sinuses, so alternative therapies are needed. Phage therapy has been proposed as one such alternative, but for dosing, the abundance of bacteria is required. Knowledge of whether phages are normally present in the sinuses will assist in gauging the safety of applying phage therapy to sinuses. Our finding, that large numbers of VLP are frequently present in sinuses, indicates that phage therapy may represent a minimally disruptive intervention towards the nasal microbiome. We propose that flow cytometry can be used as a tool to assess microbial biomass dynamics in sinuses and other anatomical locations where infection can cause disease.
Chronic rhinosinusitis (CRS) is a common disease amongst the human population, and there is increasing evidence to show that microorganisms are involved in the inflammation of the sinus mucosal layer leading to exacerbation of the disease [1-3]. It is well established that the healthy sinus is not sterile, but is colonised by a diverse community of microorganisms [1, 2, 4, 5]. These microorganisms exist in the sinuses within exopolysaccharide biofilms, the presence of which leads to difficulties in treating the disease [6-12]. As antibiotics are a common treatment option for CRS patients, there is concern surrounding the growing antimicrobial resistance [13, 14]. Bacteria within these biofilms are able to secrete a polysaccharide matrix that acts as a protective barrier against host defences and antimicrobial agents [15]. This protective barrier makes it difficult when it comes to treating CRS with antibiotics. An alternative treatment is phage therapy which utilises specific bacteriophages (phage) that infect and kill pathogenic bacteria [16]. Trials of bacteriophage cocktails consisting of multiple types of phage, on sheep models of sinusitis have proven to be effective in eliminating *Staphylococcus aureus* in biofilms and its free floating form [17]. Through the use of these phage cocktails, the development of phage resistant bacteria is reduced [18]. Knowledge of population abundance of bacteria and phage in the sinuses is important for the development of appropriate phage concentrations for use in this therapy [19].
Flow cytometry has been used as a method for enumerating heterotrophic bacteria and virus-like particles (VLPs) in environmental samples for decades [20-22]. This non-culture based technology is a quick, inexpensive way to rapidly enumerate a large number of cells and particles to provide data without the enrichment bias.
culturing introduces [20]. This technique yields highly reproducible counts and enumeration of VLPs at a concentration that would be too low for transmission electron microscopy (TEM) [20]. Here, we investigate methods to enumerate bacteria and VLPs within sinus flush fluid samples and present the first data, produced using flow cytometry, describing bacterial and VLP abundance within the maxillary sinuses of CRS patients. We, therefore, aim to measure the variation in abundance of bacteria and VLPs in the sinuses of CRS patients to determine if they are present at the same level among patients.
Materials and Methods
Ethics statement
Maxillary sinus flush fluid samples were obtained from nine patients diagnosed with CRS in accordance to criteria defined by the Chronic Rhinosinusitis Task Force [23]. This study was approved by The Queen Elizabeth Hospital Human Research Ethics Committee, reference number: HREC/13/TQEHLMH/49. All nine patients involved in the study gave written consent prior to their sinus surgery. All sinus flush fluid samples were collected by the senior author (P.J.W) during the patient’s endoscopic sinus surgery. Due to the highly invasive nature of the operating procedure, healthy controls were not ethically justifiable, nor are they relevant to the question of how much abundance variation is there among infected patients.
Sample collection
Immediately after opening the maxillary sinus, approximately 5 ml of sterile saline was used to flush the sinus and re-collected in sterile specimen containers. Volume of flush fluid collected ranged from approximately 2 to 4 ml. Once samples
were collected, they were transported on ice ready for immediate fixation with glutaraldehyde (0.5% final concentration) on ice in the dark, then snap freezing in liquid nitrogen and storage at -80°C until analysis [21].
**Sample preparation**
Five sample preparation techniques for flow cytometry were investigated. Fixed sinus flush fluid samples were thawed before each treatment was applied.
**Sputasol.** Sputasol was made using 0.02 µm filtered MilliQ water according to the manufacturer’s instructions (Oxoid). Equal volumes of Sputasol and fixed sinus sample were mixed together then incubated at 37°C for 15 minutes.
**Methanol.** Methanol, 0.2 µm filtered, was added to fixed sinus samples to a final concentration of 20% [24]. Samples were incubated at 37°C for 15 minutes then sonicated for 30 seconds in a SoniClean™ sonicating bath (Model 160TD, 60 W, 50/60Hz).
**Potassium citrate.** Potassium citrate tribasic solution (1M, Sigma) was added to the fixed sample to a 1% final concentration [24]. The sample was then vortexed for 30 seconds [24].
**Sodium pyrophosphate.** Sodium pyrophosphate solution was added to 100 µl of fixed sample to a final concentration of 10 mM [24]. Samples were vortexed for 1 minute and incubated at room temperature for 15 minutes [24]. Samples were then sonicated for 30 seconds in a SoniClean™ sonicating bath (Model 160TD, 60 W, 50/60Hz).
Untreated. Fixed samples were diluted in 0.2µm filtered TE buffer (10 mM Tris, 1 mM EDTA, pH 7.4) without pre-treatment [21].
Flow cytometric analysis
Bacterial and VLP populations present in sinus flush fluid were identified and enumerated using a BD ACCURI C6 flow cytometer (Becton Dickinson). Samples using each extraction technique were run in triplicate for each patient. Samples were diluted (1:100) in 0.2 µm filtered TE buffer, stained with the DNA-binding dye SYBR-I Green (1:20,000 final dilution; Molecular Probes) then incubated at 80°C in the dark for 10 minutes [21]. For each preparation method control samples were generated prior to each flow cytometry session. These samples were prepared in the same manner as patient samples in 0.9% sterile saline, the same concentration used to flush patient sinuses. These samples were used to eliminate background artefacts introduced during sample preparation.
Samples were analysed using an Accuri C6 flow cytometer (Accuri C6) and BD ACCURI CFlow software. All samples were run for 2 minutes at machine fluidics setting of fast, with the threshold set to FL-1 (green fluorescence). As a control, 1 µm diameter fluorescent beads (Molecular Probes) were used. Beads were added to each sample to a final concentration of $10^5$ beads ml$^{-1}$ [25]. The beads allow for flow cytometric parameters to be normalised according to bead fluorescence and concentration, and to give an indication of viral and bacterial cell size [25]. Phosphate-buffered saline (PBS) was used as sheath fluid for flow cytometry analysis. For each sample, green fluorescence, side angle light scatter and forward angle light scatter were recorded.
Data analysis
Flow cytometry data was analysed using FlowJo software (Tree Star, Inc.). VLP and bacterial populations were categorised based on variations in side scatter, a representation of cell size, and SYBR Green fluorescence, an indication of nucleic acid content [20, 21, 26]. For some patients, only one bacterial population was observed, whereas others showed multiple. Therefore, one overall bacterial population was created to remain consistent across all patient samples.
Rank abundance plots were generated for bacterial and VLP concentrations using all method triplicates and their averages to distinguish between any patient groupings formed on abundance. Comparisons between bacterial and VLP abundances for each treatment method were made using the statistical analysis program SPSS version 22 (IBM Corp. Released 2013. IBM SPSS Statistics for Windows, Version 22.0. Armonk, NY: IBM Corp.) using the Wilcoxon signed-rank test. Statistical significance between treatments was considered when $p < 0.05$.
Results
Flow cytometric analysis
Cytograms showed discrete bacterial and VLP populations present within the sinus fluid of CRS patients (Fig 1). Some patients exhibited one distinct bacterial population, whereas others patients exhibited up to four (Fig 1). Variations in bacterial and VLP abundance were observed between patients regardless of the treatment method used on the samples. Mean bacterial and VLP abundances for each treatment method are shown in Table 1.
Fig 1. Bacterial and VLP identification using side-scatter and green fluorescence. Representative cytogram shows the VLP and bacterial populations in a patient’s untreated sinus wash.
Table 1. Mean concentration of bacteria and VLP per ml of sinus flush fluid for each treatment method tested. Error represents standard error of the mean.
| Treatment | Bacteria ml\(^{-1}\) (±SEM) | VLP ml\(^{-1}\) (±SEM) |
|-----------------|------------------------------|-------------------------|
| Untreated | \(3.3 \times 10^7\) (7.4 \times 10^6) | \(2.4 \times 10^9\) (1.2 \times 10^9) |
| Sodium pyrophosphate | \(2.9 \times 10^7\) (6.7 \times 10^6) | \(2.0 \times 10^9\) (9.9 \times 10^8) |
| Sputasol | \(2.2 \times 10^7\) (6.6 \times 10^6) | \(1.8 \times 10^9\) (9.4 \times 10^8) |
| Methanol | \(2.0 \times 10^7\) (4.3 \times 10^6) | \(2.2 \times 10^9\) (9.9 \times 10^8) |
| Potassium citrate | \(1.9 \times 10^7\) (4.6 \times 10^6) | \(2.1 \times 10^9\) (1.1 \times 10^9) |
**Bacterial sample preparation method optimisation**
For patient samples, the mean bacterial abundance for untreated samples was the highest of all treatments, with \(3.3 \pm 0.74 \times 10^7\) cells ml\(^{-1}\) (\(n = 27\); Table 1). The lowest mean abundance was for potassium citrate treated samples with \(1.9 \pm 0.46 \times 10^7\) cells ml\(^{-1}\) (\(n = 27\); Table 1). In testing the differences between treatments, the untreated and sodium pyrophosphate samples yielded significantly higher bacterial abundance than potassium citrate (\(p < 0.001\) and \(p < 0.001\)), methanol (\(p = 0.002\) and \(p < 0.001\)) and Sputasol (\(p = 0.003\) and \(p < 0.001\)). There was no significant difference in bacterial abundance between sodium pyrophosphate treated and untreated samples (\(p = 0.39\)).
VLP sample preparation method optimisation
VLP mean abundance for the untreated method was the highest for all patient samples with $2.4 \pm 1.2 \times 10^9$ cells ml$^{-1}$ (n = 27; Table 1). Sputasol treated patient samples yielded the lowest VLP abundances with $1.8 \pm 0.91 \times 10^9$ cells ml$^{-1}$ (n = 27; Table 1). Untreated samples yielded significantly higher VLP abundances than potassium citrate ($p = 0.031$), methanol ($p = 0.010$), and Sputasol ($p = 0.019$) treated samples. There was no significant difference between VLP abundance for untreated samples and sodium pyrophosphate treated samples ($p = 0.08$). Sodium pyrophosphate also did not yield significantly higher VLP abundances than potassium citrate ($p = 0.44$) and methanol ($p = 0.53$) treated samples. There was, however, a significant difference between VLP abundances for sodium pyrophosphate and Sputasol ($p = 0.008$).
Bacterial rank abundance
Rank abundance was used to identify possible groupings among the patient’s bacterial abundance. Breaks in the plot suggest 3 groupings of patients with bacterial abundances classified as high, greater than $10^7$ cells ml$^{-1}$, medium, between $10^5$ to $10^6$ cells ml$^{-1}$, and low, less than $10^5$ cells ml$^{-1}$ (Fig 2). The high bacterial group consisted of triplicates from 5 patients. The medium bacterial group contained triplicates from 3 patients and the low bacterial abundance group consisted of 1 patient. There was approximately one order of magnitude difference between each of the 3 groups (Fig 2). The overall average bacterial rank abundance using all treatment triplicates fit a logarithmic trend; however this was achieved by a series of step down power laws for each bacterial group (Fig 3).
Fig 2. Rank abundance for each patient’s bacterial abundance for each sample treatment method, with triplicates shown. Three clear groups of patients with high, medium and low bacterial abundances are apparent. Differences in treatments used on the samples can be seen not to influence steps of bacterial abundance for patients.
Fig 3. Average bacterial rank abundance using all treatment triplicates. Data points follow a logarithmic trend achieved by steps of power laws for each observed group. High medium and low bacterial concentration groups fit the power law equations $y = 2E+08x^{-0.84}$ ($R^2 = 0.84$), $y = 5E+10x^{-3.57}$ ($R^2 = 0.98$) and $y = 6E+09x^{-3.49}$ ($R^2 = 1$) respectively.
VLP rank abundance
A rank abundance plot for VLP abundance was generated using the method triplicates of untreated, sodium pyrophosphate, potassium citrate, Sputasol and methanol samples (Fig 4). VLP abundances show an even distribution across 5 orders of magnitude. Three patients had values above $10^8$ VLP ml$^{-1}$. These are classified as high VLP, with the proviso that they are separated from each other by an order of magnitude (Fig 4). Three patients make up the medium concentration group between $10^7$ and $10^8$ VLP ml$^{-1}$. However, in this group the loss of VLPs in the methanol and sodium pyrophosphate treatments makes the group appear fused with the lowest group. The lowest group was classified as concentrations below $10^7$ VLP ml$^{-1}$. In this group the methanol treatment showed considerable loss of VLPs and in one patient a complete absence of VLPs (Fig 4). The overall average VLP rank abundance using all treatment triplicates fit a steep power law (Fig 5).
Fig 4. Rank abundance for each patient’s VLP abundance for each sample preparation method, with triplicates shown. Highest abundances are rare while lower abundances are common. Differences in treatments used on the patient samples can be seen not to influence the high range of VLP origination levels.
Fig 5. Average VLP rank abundance using all treatment triplicates. Data points follow a power law.
Lack of correlation with patient symptoms
Prior to sinus surgery, each patient completed a questionnaire regarding basic clinical information and provided a severity score from 0, being no problem, to 5, being a problem as bad as it can be, for CRS symptoms for the past two weeks. Based on the rank abundance plots (Figs 2 and 3), possible trends in the patient groups were investigated. There were no trends observed within the rank abundance patient groups for bacteria or VLPs.
Discussion
This is the first study to use flow cytometry to enumerate bacteria and VLPs within the maxillary sinus of CRS patients. We present a number of snapshot enumerations, using flow cytometry, of the microbial composition of sinuses of CRS patients. We tested a number of sample preparation techniques for bacterial and VLP enumeration that are used for environmental samples, in particular, techniques used for disruption of coral mucus, for microscopy [24, 27]. Our results showed that the sinus, at least in patients requiring sinus surgery, is an active microbiological environment. We speculate that most VLPs detected are likely to be bacteriophages as they are the most commonly found in association with their hosts, bacteria, which we find to be present in abundance in sinuses. The proposal that phages can be used to treat bacterial infections of the sinus [17] can now be viewed in the light of this data showing that phages appear to be present in sinuses in large numbers (Table 1).
Although the primary focus of this study was to enumerate the bacteria and VLPs in the sinus fluid, there was concern surrounding the presence of small fragments of mucus or biofilms within the samples prepared for flow cytometry. The
mucus may have caused the bacteria and VLPs to clump together resulting in an overestimation on particle size, shape and DNA content. This is a similar concern in regards to analyzing bacteria and VLPs in coral mucus using microscopy [24, 27]. As bacterial and VLP flow cytometry on human samples is a new approach, various flow cytometry methods were investigated.
Common chemicals used in environmental sample preparation include potassium citrate, sodium pyrophosphate and methanol. Sodium pyrophosphate and potassium citrate are commonly used in environmental microbiology for desorbing viral particles from soil and marine sediment [28, 29]. Potassium citrate increases the electrostatic repulsion between viruses and bacteria, and the mucus to which they are attached to by raising pH [24]. Sodium pyrophosphate weakens the hydrophilic links in mucus allowing for viruses and bacteria to be separated [30]. Dithiothreitol (DTT) has been used on sinus samples to improve the yield of fungal cultures and in studies involving quantification of inflammatory cells in nasal secretions [31-33]. Sputasol contains DTT and has been used to liquefy mucus in nasal lavage [34]. It does this by breaking disulfide bonds within mucin, causing liquefaction, releasing trapped viruses and bacteria [35, 36]. Methanol has the ability to break up exopolymeric substances in mucus which entrap bacteria and viruses [37].
Our results show that the untreated and sodium pyrophosphate treatment methods yielded significantly higher bacterial abundances than all other methods tested ($p < 0.05$). For VLP enumeration, no treatment (as in the untreated samples) was the optimal method. Although there was no significant difference between untreated and sodium pyrophosphate treated samples ($p < 0.05$), sodium pyrophosphate did not yield significantly higher VLP abundances than methanol and
potassium citrate (p < 0.05). This result contrasts to previous microscopy studies which found potassium citrate better for viral enumeration in coral mucus [24]. Unlike sample preparation for coral mucus for microscopy, flow cytometry includes an incubation period after addition of SYBR Green. During this step viral capsids may partially and temporarily denature, facilitating a greater uptake of SYBR Green [20]. This may result in brighter VLP fluorescence resulting in higher counts for all samples. It is also possible that the extra processing steps involved with each treatment resulted in the loss of bacteria and VLPs. All samples were diluted for flow cytometry in TE buffer which contained 1 mM of EDTA. EDTA has been used to extract bacteria and viruses from photosynthetic microbial mats as it destroys cation links within exopolymeric substances, releasing bound bacteria and viruses [38]. It also permeabilises outer membranes, facilitating greater uptake of SYBR Green [39]. Additional treatment to each sample could have an adverse effect, causing damage to viral capsid proteins or to bacterial cell walls. Our data suggests that the least possible number of processing steps and addition of chemicals is the optimal method for analyzing sinus flush samples.
Previous studies have shown that the human sinus is colonized with an array of microbes [1, 2, 6-12, 40]. Flow cytometry enables categorization and enumeration of these microbes based on size and DNA content [21, 26]. Some patient’s cytograms revealed numerous bacterial sub-populations (Fig. 1). These populations displayed increased green fluorescence, an indication of DNA content, and size. These different sub-populations may be reflecting different bacterial replication stages or are indicative of different bacterial species with different sized genomes. In the Sputasol treated patient samples, an unusual population was observed between the bacterial and VLP regions. This population appears to be an artifact of the Sputasol as it was also
observed in the control samples (S1 Fig). Thus, there may be a component within Sputasol which autofluoresces or binds to SYBR Green.
Large variations were observed between patients bacterial and VLP concentrations, which is not uncommon with human microbial flora studies [41-45]. These findings suggest that the maxillary sinus is either extremely dynamic or highly individualised. These differences in the patient microbial concentrations could indicate the need for personalised dosages when treating CRS with antibiotics or with phage. The rank abundance plot for patient bacterial abundance revealed 3 groupings of high, medium and low abundance (Fig 2). As the treatments used on the samples were not seen to account for the differences in bacterial and VLP levels (Figs 2 and 4), an average of all treatment values was used to clearly demonstrate the obvious trends in bacterial concentration groups (Fig 3) and high episodic nature of the VLPs (Fig 5).
For the bacterial rank abundance, the three orders of magnitude range among the 9 patients may reflect temporal variation or that the bacterial abundances are defined by processes or a variable that was not measured. The skew of the distribution towards the lower concentrations in the VLP rank abundance is consistent with the highly episodic nature of viral infections, particularly in bacteriophage where large burst sizes can quickly reduce the concentrations of particular bacterial species, leaving high bacteriophage concentrations at least temporarily [46]. From this, one might posit that time series sampling would show an eventual decline in VLP concentration. While bacteriophage dynamics is one likely explanation for the observed distribution, at this point we cannot discount that some patients have chronically high VLP concentrations. To investigate this and its clinical significance would require flow cytometric and nucleic acid sequence analysis of time series
samples from the identified patients. Due to the invasive nature of sampling used in this study, healthy controls and a time series using the same sampling method may not be a feasible option. Therefore, there is the need to develop a proxy for an alternative less invasive sampling strategy, such as nasal swabbing. While this is beyond the scope of this paper, it is a potentially valuable future direction.
Knowledge of the abundance of microorganisms in CRS will further our understanding of the disease as the presence of certain bacterial species does not always imply infection. The aim of this research was to produce a snapshot enumeration of the sinus microbes of 9 patients known to suffer from CRS, and to determine if they had similar abundances of bacteria and VLPs. Within the group of 9 patients sampled, there was 3 orders of magnitude difference in abundance for bacterial populations and almost 4 orders of magnitude difference for VLPs. This suggests that not all CRS patients are infected at the same level of bacteria and VLPs. Knowledge of the differences in bacterial abundances may facilitate the development of personalised treatment options.
This work indicates the potential for future studies in other microbial disease related health conditions. We propose that flow cytometry has potential as a tool to monitor microbial dynamics in patients and in future may assist in determining appropriate dosages required when treating microbial related health conditions.
Acknowledgments
We would like to thank all the staff at the Flow Cytometry Unit in the Flinders Medical Centre for their technical support throughout the duration of this study. We would also like to extend our gratitude to the tissue registrars in Professor Wormald’s research group for conducting the patient surveys and their assistance in sample collection.
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Supporting Information
S1 Fig. Representative cytogram showing the Sputasol artefact population observed between the VLP and bacterial populations.
### S1 Table. Patients total bacterial abundances for each optimisation method. Replicates (Rep) for each method are shown.
| | Untreated | Sodium pyrophosphate | Potassium citrate | Methanol | Sputasol |
|------------------|-----------|----------------------|-------------------|----------|----------|
| **Patient 1** | | | | | |
| Rep 1 | 1.82E+06 | 6.94E+05 | 3.54E+05 | 2.10E+06 | 1.32E+06 |
| Rep 2 | 1.60E+06 | 8.73E+05 | 4.75E+05 | 2.92E+06 | 1.22E+06 |
| Rep 3 | 1.62E+06 | 7.93E+05 | 4.39E+05 | 2.76E+06 | 1.24E+06 |
| **Patient 2** | | | | | |
| Rep 1 | 8.63E+05 | 1.45E+06 | 5.20E+05 | 1.44E+06 | 6.18E+05 |
| Rep 2 | 7.33E+05 | 1.94E+06 | 5.83E+05 | 1.41E+06 | 4.89E+05 |
| Rep 3 | 6.99E+05 | 1.75E+06 | 7.98E+05 | 1.52E+06 | 4.17E+05 |
| **Patient 3** | | | | | |
| Rep 1 | 8.52E+07 | 1.02E+08 | 4.21E+07 | 4.29E+07 | 3.80E+07 |
| Rep 2 | 1.17E+08 | 1.11E+08 | 5.18E+07 | 3.77E+07 | 3.61E+07 |
| Rep 3 | 9.83E+07 | 1.12E+08 | 5.42E+07 | 5.15E+07 | 3.38E+07 |
| **Patient 4** | | | | | |
| Rep 1 | 6.91E+04 | 4.00E+04 | 9.37E+04 | 6.99E+04 | 1.05E+05 |
| Rep 2 | 4.92E+04 | 4.23E+04 | 8.53E+04 | 7.10E+04 | 9.43E+04 |
| Rep 3 | 7.96E+04 | 4.23E+04 | 7.17E+04 | 9.00E+04 | |
| **Patient 5** | | | | | |
| Rep 1 | 1.69E+06 | 1.59E+06 | 1.22E+06 | 6.32E+05 | 7.22E+05 |
| Rep 2 | 1.67E+06 | 2.73E+06 | 1.86E+06 | 7.08E+05 | 6.03E+05 |
| Rep 3 | 9.17E+05 | 2.96E+06 | 1.45E+06 | 6.42E+05 | 7.75E+05 |
| **Patient 6** | | | | | |
| Rep 1 | 8.84E+07 | 2.36E+07 | 2.84E+07 | 1.55E+07 | 1.13E+07 |
| Rep 2 | 6.54E+07 | 2.68E+07 | 2.82E+07 | 3.30E+07 | 1.21E+07 |
| Rep 3 | 5.56E+07 | 4.40E+07 | 3.72E+07 | 5.47E+07 | 1.01E+07 |
| **Patient 7** | | | | | |
| Rep 1 | 1.38E+07 | 3.03E+07 | 1.91E+07 | 5.06E+07 | 6.38E+07 |
| Rep 2 | 9.32E+06 | 3.35E+07 | 6.71E+06 | 6.38E+07 | 1.10E+07 |
| Rep 3 | 1.33E+07 | 2.17E+07 | 8.86E+06 | 6.96E+07 | 1.26E+07 |
| **Patient 8** | | | | | |
| Rep 1 | 6.04E+07 | 6.09E+07 | 6.75E+07 | 3.25E+07 | 2.23E+07 |
| Rep 2 | 8.00E+07 | 5.39E+07 | 6.65E+07 | 2.23E+07 | 1.19E+08 |
| Rep 3 | 8.42E+07 | 6.24E+07 | 6.52E+07 | 2.61E+07 | 1.13E+08 |
| **Patient 9** | | | | | |
| Rep 1 | 3.59E+07 | 2.44E+07 | 9.96E+06 | 1.04E+07 | 1.25E+07 |
| Rep 2 | 2.65E+07 | 2.68E+07 | 5.07E+06 | 1.24E+07 | 2.76E+07 |
| Rep 3 | 5.31E+07 | 2.68E+07 | 6.70E+06 | 2.76E+07 | 2.35E+07 |
S2 Table. Patients total VLP abundances for each optimisation method. Replicates (Rep) for each method are shown.
| | Untreated | Sodium pyrophosphate | Potassium citrate | Methanol | Sputasol |
|------------------|-----------|----------------------|-------------------|----------|----------|
| | Rep 1 | Rep 2 | Rep 3 | Rep 1 | Rep 2 | Rep 3 | Rep 1 | Rep 2 | Rep 3 | Rep 1 | Rep 2 | Rep 3 |
| Patient 1 | 1.00E+08 | 8.12E+07 | 6.86E+07 | 2.06E+07 | 2.39E+07 | 1.58E+07 | 4.51E+07 | 3.08E+07 | 4.68E+07 | 4.29E+07 | 6.35E+07 | 5.63E+07 |
| Patient 2 | 6.66E+06 | 7.76E+06 | 8.42E+06 | 8.23E+06 | 6.15E+06 | 9.61E+06 | 1.03E+07 | 1.04E+07 | 1.04E+07 | 3.70E+06 | 3.46E+06 | 6.48E+06 |
| Patient 3 | 3.75E+07 | 4.77E+07 | 4.09E+07 | 5.78E+07 | 6.60E+07 | 6.35E+07 | 3.09E+07 | 4.32E+07 | 3.99E+07 | 1.07E+06 | 4.60E+05 | 9.75E+06 |
| Patient 4 | 3.49E+06 | 3.85E+06 | 3.14E+06 | 2.46E+06 | 1.45E+06 | 2.94E+06 | 3.51E+06 | 3.36E+06 | 2.71E+06 | 0 | 0 | 0 |
| Patient 5 | 0 | 9.79E+05 | 1.27E+06 | 5.27E+06 | 9.45E+06 | 1.28E+07 | 5.60E+06 | 9.70E+06 | 8.24E+06 | 7.04E+06 | 1.48E+06 | 7.72E+06 |
| Patient 6 | 2.55E+10 | 1.78E+10 | 1.55E+10 | 1.43E+10 | 1.80E+10 | 1.63E+10 | 1.72E+10 | 1.57E+10 | 2.12E+10 | 1.57E+10 | 1.71E+10 | 1.55E+10 |
| Patient 7 | 1.26E+09 | 1.09E+09 | 1.36E+09 | 1.38E+09 | 1.95E+09 | 1.94E+09 | 7.27E+08 | 9.87E+08 | 1.42E+09 | 3.20E+09 | 4.03E+09 | 1.18E+09 |
| Patient 8 | 1.88E+08 | 2.28E+08 | 2.16E+08 | 1.52E+08 | 1.72E+08 | 2.02E+08 | 1.87E+08 | 2.05E+08 | 1.89E+08 | 1.87E+08 | 1.79E+08 | 1.93E+08 |
| Patient 9 | 5.22E+07 | 4.61E+07 | 5.67E+07 | 5.04E+07 | 4.86E+07 | 4.06E+07 | 4.86E+07 | 3.77E+07 | 5.41E+07 | 7.40E+07 | 4.92E+07 | 3.98E+07 |
Chapter 3:
FLOW CYTOMETRIC ENUMERATION OF BACTERIAL AND VIRUS-LIKE PARTICLE POPULATIONS IN THE HUMAN ORAL CAVITY PRE AND POST SLEEP
This poster was presented at the Sleep Down Under conference and the abstract published in the Journal of Sleep Research.
Citation: Carlson-Jones, J., Kontos, A., Paterson, J., Smith, R., Dann, L., Speck, P., Lushington, K., Martin, J., Kennedy, D. and Mitchell, J., 2016. October. FLOW CYTOMETRIC ENUMERATION OF BACTERIAL AND VIRUS-LIKE PARTICLE POPULATIONS IN THE HUMAN ORAL CAVITY PRE AND POST SLEEP. In JOURNAL OF SLEEP RESEARCH (Vol. 25, pp. 86-86). 111 RIVER ST, HOBOKEN 07030-5774, NJ USA: WILEY-BLACKWELL.
Contribution to publication: Conceived and designed the experiments, performed the experiments, analysed the data, contributed reagents/materials/analysis tools and wrote the poster/abstract.
Research Design: 80%
Data collection and analysis: 100%
Writing and editing: 90%
Within the oral cavity are various ecological niches which provide unique surfaces for the colonisation of distinct microbial communities. Such surfaces include the tongue, throat, palate, gingivae and teeth. Although there is increasing genomic sequence data to show how these niches differ, the overall concentrations of bacteria and viruses at these locations still remains unclear. Here, we examined the spatial distribution of the paediatric oral microbiota of 10 healthy volunteers using flow cytometry as a tool to enumerate populations of bacteria and virus-like particles (VLPs). The highest concentrations of bacteria were found at the back of the tongue with an average of $2.90 \pm 0.76 \times 10^7$ bacteria mL$^{-1}$ before sleep and $1.35 \pm 0.20 \times 10^8$ bacteria mL$^{-1}$ after sleep. The temporomandibular joint had the highest percentage increase in VLPs with $5.68 \pm 1.86 \times 10^6$ VLPs mL$^{-1}$ before sleep and $5.96 \pm 2.30 \times 10^7$ VLP mL$^{-1}$ after sleep. These increases in bacterial and VLP concentrations were found to be significantly different from one another ($p < 0.05$), as were all other sampled locations. These detectable differences in bacterial and VLP concentrations in the oral cavity further demonstrates that the oral cavity is a heterogeneous environment with unique niches that change over time. Through understanding the changes in microbial abundances within these niches, we can further our understanding of the healthy paediatric oral microbiome, and determine in the future, how shifts in these abundances relate to various health conditions.
Flow cytometric enumeration of bacterial and virus-like particle populations in the human oral cavity pre and post sleep
Jessica Carlson-Jones¹, Anna Kontos², James S Paterson¹, Renee J Smith¹, Lisa M Dann¹, Peter Speck¹, James Martin¹, Declan Kennedy³, James G Mitchell¹
¹Flinders University, Australia, ²The University of Adelaide, Australia, ³Department of Respiratory and Sleep Medicine, Australia
Introduction¹-¹⁰
- Various microhabitats within the oral cavity
- Tongue, palate, teeth, gingiva
- Different oral surfaces = different microbial communities
- Changes in oral environment over time
- Oxygen levels, pH, dryness, nutrients (food)
- Flow cytometry as a tool for enumeration
- Rapid enumeration of cells
- Allows for counts of virus-like particles (VLPs) at low concentrations
- Reduces enrichment biases
Objectives
To examine the spatial distribution of bacteria and VLPs within the healthy paediatric oral cavity
To determine changes in bacterial and VLP concentrations in the oral cavity after sleep
Methodology⁷-¹⁰
Sample collection:
- Oral swabs collected at Women’s and Children’s Hospital, Adelaide
- Roof of mouth
- Back of throat
- Back of tongue
- Tip of tongue
- Top of molars
- Gingiva
Swabs taken before and after sleep
Enumeration:
- FACSCanto II flow cytometer
Results
Figure 1: Cytograms from swab samples taken at the back of the throat a) before and b) after sleep from one healthy volunteer. An increase in both bacteria and VLP abundance can be seen after sleep.
Figure 2: Average abundances of a) bacteria ml⁻¹ and b) VLP ml⁻¹ at various locations within the oral cavity. Error bars represent the standard error of the mean.
Figure 3: Heat maps showing the average increase in a) bacteria ml⁻¹ and b) VLP ml⁻¹ after sleep at sampled locations.
- Significant increase in both bacteria and VLP for all locations after sleep (p < 0.05)
Conclusions
Flow cytometry can be used as a tool to enumerate bacteria and VLPs from oral swab samples
The back of the tongue and gingiva have the highest abundances of bacteria and VLPs
The palate and tip of tongue have the lowest abundances of bacteria and VLPs
There is an average increase in the abundance of bacteria and VLP by 1000% during sleep
Bacterial abundances in the oral cavity can increase by a count of up to 100 million during sleep
References
1. DeSantis et al. (2010) Journal of bacteriology 102(19): 1852-17
2. Human Microbiome Project (2012) Nature. 486(7402): 207-14.
3. Xu et al. (2014) Environmental Microbiology. n/a-n/a
4. Azevedo et al. (2014) Clin Microbiol Infect. 20(1): 1-6.
5. Humphrey et al. (2001) The Journal of prosthetic dentistry. 85(2): 102-8
6. Schreier et al. (1997) Journal of dental research. 76(1): 109-14
7. Maple O et al. (1989) Appl Environ Microbiol. 65(1): 45-52
8. Brussow et al. (2004) Applied and environmental microbiology. 70(3): 1508-14
9. Kutter et al. (1989) Cytometry. 10(1): 70-4
10. Carlson-Jones et al. (2016) PloS one. 11(5): e0155003
Email: firstname.lastname@example.org
Ethics: REC2495/3/15(HREC/12WCHN/52/3SA/12WCHN/53)
Chapter 4
THE MICROBIAL ABUNDANCE DYNAMICS OF THE HUMAN ORAL CAVITY BEFORE AND AFTER SLEEP
Contribution to publication: Conceived and designed the experiments, performed the experiments, analysed the data, contributed reagents/materials/analysis tools and wrote the publication.
Research Design: 80%
Data collection and analysis: 100%
Writing and editing: 80%
Microhabitats in the oral cavity provide a variety of surfaces for colonisation of microbial communities. These include the teeth, gingivae, tongue, palate and temporomandibular joint. Recent focus has been on oral microbial taxonomy, characterising oral microhabitats. However, the bacterial and viral abundances are unknown. In this study, bacterial and virus-like particle (VLP) abundances in 10 healthy children were enumerated using flow cytometry before and after sleep. Bacterial counts in the oral cavity ranged from $7.2 \pm 2.8 \times 10^5$ bacteria at the palate before sleep to $1.3 \pm 0.2 \times 10^8$ bacteria at the back of the tongue after sleep, a range difference of 187 times. VLPs changed by a difference of 48 times with counts ranging from $1.9 \pm 1.0 \times 10^6$ VLP at the palate before sleep to $9.2 \pm 5.0 \times 10^7$ VLP at the back of the tongue after sleep. A significant increase in bacterial and VLP abundances was observed for all locations after sleep ($p < 0.05$). Here, we show that the oral cavity is a dynamic numerically heterogeneous microbial environment where bacteria and VLPs can increase by a count of 100 million and 70 million cells and particles respectively during sleep. Quantification of the paediatric oral microbiome complements taxonomic diversity information to show how biomass varies and shifts in space and time.
Introduction
The human body has many ecological habitats, each with their own unique environment. Within each of these habitats are complex ecosystems of coexisting microbial communities [1]. These microbial communities are collectively referred to as the human microbiome. One area that has been extensively investigated is the oral cavity [1-3]. The oral cavity contains multiple microhabitats [1, 4, 5]. These include the tongue, palate, cheek, lip, gingivae and teeth with each area differing in their surface structure, thereby providing unique microbial habitats for the colonisation of distinct microbial communities [3, 5]. Recent taxonomic studies have begun to focus on defining the oral microbiome by these various microhabitats [5, 6]. This enables a well characterised analysis of possible disease sites in the oral cavity and allows for a more focused analysis of the oral microbiome in health and disease [7, 8]. However, the absolute bacterial and viral abundance dynamics of these microhabitats are still relatively unknown.
One tool used for monitoring microbial dynamics and population abundances is flow cytometry. Used for decades in monitoring microbial dynamics in environmental samples [9-11] and more recently in medical samples [12], flow cytometry provides an inexpensive way to rapidly enumerate cells and particles within a sample. As the majority of bacteria are non-culturable, flow cytometry provides a rapid, culture-free enumeration alternative that eliminates enrichment biases culturing introduces [9]. This highly reproducible technique also produces counts of virus-like particles (VLPs) at concentrations that would be too low for epifluorescence and transmission electron microscopy [9]. Flow cytometric absolute abundances adds a new dimension to microbial community analysis compared to relative abundances. It allows for
comparison across studies to determine not just the presence or absence of a potential pathogen, but assessment of whether critical concentrations are required for pathogenesis and what those concentrations are [13]. We seek to ultimately answer where the balance lies between bacterial community composition and bacterial community absolute abundance in causing and reacting to pathologies. The first step is to be able to measure absolute abundance, which frequently applied sequencing techniques are unable to do [13, 14].
During sleep, the microbial dynamics of the oral cavity changes due to shifts in environmental conditions, such as saliva flow, pH and oxygen distribution [6, 15-17]. In this study we investigate the changes in absolute microbial abundance in the healthy oral cavity of children during sleep. Samples were collected from 6 microhabitats in the oral cavity before and after sleep in 10 healthy children. Using flow cytometry as a method of enumeration, the absolute bacterial and VLP abundance distributions of the oral cavity were accessed. Therefore, the objective of this study was to measure the microhabitat microbial dynamics in the paediatric oral cavity and what impact sleep has on those dynamics.
Materials and methods
Ethics statement
Participants in this study were a subgroup of healthy, control children from a larger study investigating the effects of sleep disordered breathing on development, which was approved by the Human Research Ethics Committees of the Women’s and Children’s Hospital and the University of Adelaide, South Australia. The study has been conducted in accordance with the 1964 Declaration of Helsinki and its later amendments. Parents of participants provided written consent and children written assent for involvement in the study. Parents also completed a child’s health and behaviour questionnaire prior to sample collection.
Sample collection
Samples were collected from 10 children (male n = 7, female n = 3) undergoing an overnight polysomnography sleep test at the Women’s and Children’s Hospital, Adelaide, Australia. Participants involved in the study were asked to refrain from oral hygiene practices, such as brushing teeth or antimicrobial rinses, for the duration of the study. Ages ranged from 6.08 to 16.58 years (mean 10.3 ± 1.2 years). The average BMI for all participants was 20.1 ± 1.8.
Sterile rayon swabs (Copan, Brescia, Italy; product code: 155C) were used to collect samples from participants. These swabs were individually packaged in their own sterile polypropylene tube. Each swab was approximately 5 mm in diameter and had a 13.3 cm plastic shaft to allow for precise sampling. Swab samples were always collected from the left temporomandibular joint, the middle of the back of the tongue, the occlusal site of the last two distal molars on the bottom jaw on the right side, the
gingival margin of the last proximal molar on the right lower jaw, the middle of the palate and the middle of the tip of the tongue. These samples will be referred to in this article as temporomandibular joint, back of tongue, molars, gingivae, palate and tip of tongue respectively. These samples were taken just before lights out between 8.30-9.00 pm, referred to as before sleep, and immediately on waking the following day between 6.00-6.30 am, referred to as after sleep. Each swab was rotated clockwise 6 times at each location for sample collection. All participants’ samples were collected by the same researcher at the same locations before and after sleep using the same sampling technique described. Once the swab samples were collected they were immediately placed back into the polypropylene tube and stored at -80°C until flow cytometric analysis.
**Sample preparation**
Swab samples were thawed at room temperature immediately prior to sample preparation. Once thawed, swab tips were cut off into 1 ml of sterile (0.2 µm filtered and UV treated) TE buffer (10 mM Tris, 1 mM EDTA, pH 7.4, Sigma). Samples were then vortexed for 3 minutes to elute the bacteria and viruses from the swab tip.
Eluted swab samples were diluted (1:100) in 0.2 µm filtered TE buffer for optimal visualisation of bacterial and VLP populations. Diluted samples were then stained with SYBR-I Green (1:20,000 final dilution; Molecular Probes) and incubated for 10 minutes in the dark at 80°C [10]. Control samples of sterile rayon swabs eluted in sterile TE buffer were prepared in the same manner as the participant swab samples. These samples were used to eliminate any background artefacts introduced during sample preparation or from the rayon swabs themselves. Triplicates of each swab sample were prepared for analysis (S1-S4 Tables).
Fluorescent beads (1 µm, Molecular Probes) were added to each sample at a concentration of $10^5$ beads ml$^{-1}$ [18]. Using the bead fluorescence and concentration as a control, flow cytometric parameters were normalised [18].
**Flow cytometric analysis**
Bacterial and VLP populations from the oral swab samples were identified and enumerated using a FACSCanto II flow cytometer (Becton Dickinson) fitted with a blue (488 nm, 20 mW) laser. Green fluorescence, side angle light scatter and forward angle light scatter were recorded for all samples. Phosphate-buffered saline was used as sheath fluid for the duration of the study.
Bacterial and VLP populations were analysed and enumerated using FlowJo software (Tree Star, Inc). SYBR Green fluorescence and side scatter were used to differentiate between bacterial and VLP populations [9, 10, 19]. For consistency among participants, one bacterial population and one VLP population were compared and analysed (Fig 1).
Fig 1. Flow cytometric identification of bacterial and VLP populations.
Representative cytograms from one participant showing the bacterial and VLP populations at (A) the tip of the tongue before sleep (B) the tip of the tongue after sleep (C) the back of the tongue before sleep and (D) the back of the tongue after sleep. Bacterial and VLP abundances increased after sleep. Differences in bacterial and VLP abundances can also be seen between both sample locations.
Data analysis
Mann-Whitney U and Wilcoxon sign rank tests were run on the average participant bacterial and VLP concentrations using the program MATLAB (MathWorks, Natick, Massachusetts, United States). The p values calculated were corrected using the multiple comparisons hypothesis for false discovery [20]. Statistical significance was considered when $p < 0.05$. Cytoscape (version 3.5.1, http://www.cytoscape.org/) was used to create and visualise $p < 0.05$ filtered Pearson correlation coefficient networks for bacteria and VLPs both before and after sleep [21].
Results
Flow cytometric analysis
Bacterial and VLP populations were present in all sampled locations before and after sleep (an example is shown in Fig 1). For most participants, there was an increase in bacterial and VLP populations after sleep through visualisation of the cytograms (Fig 1). This observation was confirmed through calculations of the average counts of both bacteria and VLP populations before and after sleep (Tables 1 and 2; S5-S8 Tables).
Table 1. Average bacterial abundances within the paediatric oral cavity. Error represents the standard error of the mean (SEM).
Wilcoxon sign rank tests p values were corrected for false discovery rates. Percentage increases were calculated by taking an average of each participant’s percentage increase/decrease in bacteria for each location.
| Sample location | Bacteria before sleep (± SEM) | Bacteria after sleep (± SEM) | Average increase in bacteria (± SEM) | Percentage increase (± SEM) | p value |
|-----------------------|-------------------------------|------------------------------|-------------------------------------|-----------------------------|---------|
| Temporomandibular joint | $3.3 \times 10^6$ (1.2 x $10^6$) | $2.1 \times 10^7$ (7.0 x $10^6$) | $1.8 \times 10^7$ (6.3 x $10^6$) | 2098% (1464%) | 0.0025 |
| Back of tongue | $2.9 \times 10^7$ (7.6 x $10^6$) | $1.3 \times 10^8$ (2.0 x $10^7$) | $1.1 \times 10^8$ (2.2 x $10^7$) | 764% (290%) | 0.0032 |
| Gingivae | $1.7 \times 10^7$ (7.7 x $10^6$) | $4.1 \times 10^7$ (7.6 x $10^6$) | $2.3 \times 10^7$ (8.6 x $10^6$) | 784% (445%) | 0.0056 |
| Palate | $7.2 \times 10^5$ (2.8 x $10^5$) | $4.3 \times 10^6$ (1.5 x $10^6$) | $3.6 \times 10^6$ (1.4 x $10^6$) | 1436% (803%) | 0.0013 |
| Molars | $4.8 \times 10^6$ (1.6 x $10^6$) | $1.9 \times 10^7$ (5.4 x $10^6$) | $1.4 \times 10^7$ (5.6 x $10^6$) | 714% (340%) | 0.0012 |
| Tip of tongue | $2.6 \times 10^6$ (1.7 x $10^6$) | $1.3 \times 10^7$ (2.8 x $10^6$) | $1.0 \times 10^7$ (3.1 x $10^6$) | 2391% (1226%) | 0.0016 |
Table 2. Average VLP abundances within the paediatric oral cavity. Error represents the standard error of the mean (SEM). Wilcoxon sign rank tests p values were corrected for false discovery rates. Percentage increases were calculated by taking an average of each participant’s percentage increase/decrease in VLPs for each location.
| Sample location | VLP before sleep (± SEM) | VLP after sleep (± SEM) | Average increase in VLP (± SEM) | Percentage increase (± SEM) | p value |
|-----------------------|--------------------------|-------------------------|---------------------------------|-----------------------------|---------|
| Temporomandibular joint | $5.7 \times 10^6$ | $5.7 \times 10^7$ | $5.1 \times 10^7$ | 3638% (3125%) | 0.00025 |
| Back of tongue | $2.2 \times 10^7$ | $9.2 \times 10^7$ | $7.0 \times 10^7$ | 416% (240%) | 0.00018 |
| Gingivae | $2.4 \times 10^7$ | $9.2 \times 10^7$ | $6.8 \times 10^7$ | 1614% (963%) | 0.00021 |
| Palate | $1.9 \times 10^6$ | $1.4 \times 10^7$ | $1.2 \times 10^7$ | 700% (323%) | 0.000025|
| Molars | $9.0 \times 10^6$ | $5.7 \times 10^7$ | $4.8 \times 10^7$ | 662% (180%) | 0.00016 |
| Tip of tongue | $3.6 \times 10^6$ | $1.7 \times 10^7$ | $1.4 \times 10^7$ | 2083% (1911%) | 0.00020 |
Oral cavity bacterial abundance heterogeneity before sleep
The Mann-Whitney U test was used to compare average bacterial abundances between samples before sleep to identify regions of heterogeneity in the oral cavity (Fig 2). No significant difference in bacterial abundances were detected between the back of the tongue ($2.9 \pm 0.8 \times 10^7$ bacteria) and gingivae ($1.7 \pm 0.8 \times 10^7$ bacteria) before sleep ($p > 0.05$) (Table 1; Fig 2). These two areas had the highest average bacterial counts, with participant averages ranging from $5.3 \times 10^5$ (gingivae) to $8.7 \times 10^7$ (back of tongue) bacteria (S5 Table). Both the back of the tongue and gingivae were found to have bacterial abundances significantly higher than the temporomandibular joint ($p = 0.0018$ and $p = 0.016$), palate ($p = 0.0015$ and $p = 0.0012$), molars ($p = 0.0021$ and $p = 0.031$) and tip of the tongue ($p = 0.0012$ and $p = 0.0062$) respectively (Table 1; Fig 2). The palate was the area in the mouth with the lowest bacterial abundances before sleep with participant’s averages ranging from $8.4 \times 10^4$ to $2.2 \times 10^6$ bacterial with an overall group average of $7.2 \pm 2.8 \times 10^5$ bacteria (Table 1; S5 Table). Although not significantly different to the tip of the tongue ($p > 0.05$), the palate was found to be significantly lower in bacterial abundance than the molars ($p = 0.0059$) and the temporomandibular joint ($p = 0.0068$) (Table 1; Fig 2). All other locations when compared to one another were not significantly different ($p > 0.05$) (Fig 2). Overall, there was approximately a $2.8 \times 10^7$ abundance difference between the locations with the highest and lowest bacterial counts before sleep.
Fig 2. Mann-Whitney U tests for bacterial heterogeneity in the oral cavity before and after sleep. Significant differences between locations are shown in green (p < 0.05). Non-significant differences are shown in red (p > 0.05). Mann-Whitney U test comparisons have been corrected for false discovery rates.
Oral cavity bacterial abundance heterogeneity after sleep
The back of the tongue was the location with the highest bacterial abundances after sleep with participant’s averages ranging from $4.0 \times 10^7$ to $2.1 \times 10^8$ bacteria with an overall group average of $1.3 \pm 0.2 \times 10^8$ bacteria (Table 1; S6 Table). The back of the tongue also had significantly higher abundances after sleep when compared to all other locations (temporomandibular joint $2.1 \pm 0.7 \times 10^7$, $p = 0.00088$; gingivae $4.1 \pm 0.8 \times 10^7$, $p = 0.0028$; palate $4.3 \pm 1.5 \times 10^6$, $p = 0.0018$; molars $1.9 \pm 0.5 \times 10^7$, $p = 0.00061$ and tip of tongue $1.3 \pm 0.3 \times 10^7$, $p = 0.00091$) (Table 1; Fig 2). The gingivae had significantly higher bacterial abundances after sleep than the molars ($p = 0.016$), the tip of the tongue ($p = 0.0051$) and the palate ($p = 0.00061$) (Table 1; Fig 2). The palate was the location with significantly lower counts of bacteria after sleep with participant averages ranging from $3.6 \times 10^5$ to $1.4 \times 10^7$ and an overall group average of $4.3 \pm 1.5 \times 10^6$ bacteria (Table 1; S6 Table). The palate was again significantly lower in abundance than the temporomandibular joint ($p = 0.019$), molars ($p = 0.0072$) and the tip of the tongue ($p = 0.014$) (Table 1; Fig 2). All other paired comparisons between locations were not significantly different ($p > 0.05$) (Fig 2). Overall, there was approximately a $1.3 \times 10^8$ range in bacteria after sleep.
Oral cavity VLP abundance heterogeneity before sleep
Less heterogeneity was observed between VLP abundances in the oral cavity before sleep than bacteria before sleep. The back of the tongue ($2.2 \pm 0.6 \times 10^7$ VLP) was found to be significantly higher in VLPs than the temporomandibular joint ($5.7 \pm 1.9 \times 10^6$ VLP; $p = 0.037$), tip of the tongue ($3.6 \pm 1.2 \times 10^6$ VLP; $p = 0.016$) and the palate ($1.9 \pm 1.0 \times 10^6$ VLP; $p = 0.0087$; Table 2; Fig 3). The gingivae ($2.4 \pm 1.0 \times 10^7$ VLP) were also significantly higher in VLP abundance than the tip of the tongue ($p = 0.019$) and the palate ($p = 0.013$; Table 2; Fig 3). All other paired comparisons between oral sites did not show a significant difference ($p > 0.05$; Fig 3). Overall there was a range of $2.2 \times 10^7$ VLPs before sleep.
Fig 3. Mann-Whitney U tests for VLP heterogeneity in the oral cavity before and after sleep. Significant differences between locations are shown in green ($p < 0.05$). Non-significant differences are shown in red ($p > 0.05$). Mann-Whitney U test comparisons have been corrected for false discovery rates.
Oral cavity VLP abundance homogeneity after sleep
Homogeneity was observed among the average abundances of VLPs at each sampled location in the oral cavity after sleep ($p > 0.05$) (Table 2; Fig 3). The average VLP abundances after sleep ranged from $1.4 \pm 1.0 \times 10^7$ at the palate to $9.2 \pm 5.0 \times 10^7$ at the back of the tongue (Table 2). Therefore, the average VLP abundance for all locations after sleep was $5.5 \pm 1.2 \times 10^7$.
Bacterial and VLP increases during sleep
Corrected Wilcoxon sign rank test p values revealed that all sampled locations in the oral cavity significantly increased in bacterial and VLP abundances after sleep ($p < 0.05$; Tables 1 and 2; Fig 4). The back of the tongue was the location with the largest increase in bacteria with an overall average count increase of $1.1 \pm 0.2 \times 10^8$ bacteria ($p = 0.0032$; Table 1; Fig 4). This was followed by the gingivae ($p = 0.0056$), temporomandibular joint ($p = 0.0025$), molars ($p = 0.0012$) and tip of tongue ($p = 0.0016$) with average count increases of $2.3 \pm 0.9 \times 10^7$, $1.8 \pm 0.6 \times 10^7$, $1.4 \pm 0.6 \times 10^7$ and $1.0 \pm 0.3 \times 10^7$ bacteria respectively (Table 1; Fig 4). The palate was the location with the lowest average increase in bacteria with $3.6 \pm 1.4 \times 10^6$ bacteria ($p = 0.0013$; Table 1; Fig 4).
Fig 4. Heat maps showing the average increase in bacteria and VLP after sleep at sampled locations. All sampled oral locations significantly increased in bacteria and VLP during sleep ($p < 0.05$). The back of the tongue was the location that increased the most in both bacteria and VLPs during sleep with counts of $1.1 \pm 0.2 \times 10^8$ and $7.0 \pm 4.7 \times 10^7$ respectively. The palate increased the least in both bacteria and VLP with counts of $3.6 \pm 1.4 \times 10^6$ and $1.2 \pm 1.0 \times 10^7$ respectively.
For VLP, the back of the tongue was also the location with the largest increase with an average count of $7.0 \pm 4.7 \times 10^7$ VLP ($p = 0.00018$; Table 2; Fig 4). This was again followed by the gingivae ($p = 0.00021$), temporomandibular joint ($p = 0.00025$), molars ($p = 0.00016$) and tip of tongue ($p = 0.00020$) with increases of $6.8 \pm 2.8 \times 10^7$, $5.1 \pm 2.2 \times 10^7$, $4.8 \pm 3.1 \times 10^7$ and $1.4 \pm 0.8 \times 10^7$ VLP respectively (Table 2; Fig 4). The palate was also the location with the lowest average increase in VLP with $1.2 \pm 1.0 \times 10^7$ VLP ($p < 0.0001$; Table 2; Fig 4).
The largest percentage increases in bacteria were reported at the tip of the tongue and the temporomandibular joint with 2400% and 2100% increases respectively (Fig 5; Table 1). The gingivae, back of tongue and molars had the lowest percentage increases with 780%, 760% and 710% respectively (Fig 5; Table 1). A similar trend could be observed with the percentage increases for VLPs with the temporomandibular join and tip of tongue having the highest increases with 3600% and 2100% (Fig 5; Table 2). The back of the tongue had the lowest VLP percentage increase with 420% (Fig 5; Table 2).
Fig 5. Heat maps showing the average percentage increase in bacteria and VLP after sleep at sampled locations. The molars, back of the tongue and gingivae were the locations with the lowest bacterial percentage increase during sleep (714%, 764% and 784% respectively). Likewise, the back of the tongue also had the lowest VLP percentage increase (416%). The tip of the tongue was the area with the highest bacterial percentage increase (2391%) and the temporomandibular joint the highest VLP percentage increase (3638%).
Bacterial and VLP network analysis
Pearson correlation coefficient bacterial abundance interaction network analysis before sleep revealed 9 connections between the 6 sampled locations, the strongest being between the gingivae and the temporomandibular joint (0.91) (Fig 6A). The palate was the only node connected to all other sample sites before sleep (Fig 6A). After sleep, the bacterial network breaks down with the gingivae no longer part of the abundance network (Fig 6B). The 5 connections seen in the network are no longer as strongly correlated compared to before sleep (Fig 6B). However, the correlation between the temporomandibular joint and the palate remains as strong as before. A new correlation is also formed between the molars and the temporomandibular joint (0.53) (Fig 6B). The palate is again the location with the greatest number of connections, this time with only 3. The strongest correlation in bacterial abundance after sleep was between the palate and the temporomandibular joint (0.73) (Fig 6B).
Fig 6. Pearson correlation coefficient bacterial abundance networks (p < 0.05 filtered). Networks show the Pearson correlations between bacterial abundances for all samples locations (A) before sleep and (B) after sleep. The wider and warmer the colour of the edge, the stronger the Pearson correlation coefficient. The colour and size of the nodes corresponds to the abundance of bacteria. B-GING = bacteria at the gingivae, B-TMJ = bacteria at the temporomandibular joint, B-PALATE = bacteria at the palate, B-MOLARS = bacteria at the molars, B-TTONGUE = bacteria at the tip of the tongue and B-BTONGUE = bacteria at the back of the tongue.
Eleven connections were observed in the Pearson correlation coefficient VLP abundance network before sleep, 5 of which were from all locations connecting with the back of the tongue (Fig 7A). The strongest correlation was between the molars and the tip of the tongue (0.84). Like with bacteria, the VLP network after sleep also broke down with fewer connections observed (Fig 7B). However, most of the correlations after sleep that are present remained strong. The correlations the back of the tongue has with the molars, palate and temporomandibular joint increased in strength after sleep (Fig 7B). The palate formed new strong correlations between the molars and the temporomandibular joint (Fig 7B). Of the 8 connections after sleep, the correlation between VLP abundances at the palate and the back of the tongue was the strongest (0.99). The gingivae and the temporomandibular joint were the areas with the weakest connection in the network (0.47; Fig 7B). All locations after sleep were correlated to the temporomandibular joint.
Fig 7. Pearson correlation coefficient VLP abundance networks (p < 0.05 filtered). Networks show the Pearson correlations between VLP abundances for all samples locations (A) before sleep and (B) after sleep. The wider and warmer the colour of the edge, the stronger the Pearson correlation coefficient. The colour and size of the nodes corresponds to the abundance of VLPs. V-GING = VLP at the gingivae, V-TMJ = VLP at the temporomandibular joint, V-PALATE = VLP at the palate, V-MOLARS = VLP at the molars, V-TTONGUE = VLP at the tip of the tongue and V-BTONGUE = VLP at the back of the tongue.
Discussion
Here we present the paediatric bacterial and VLP numerical diversity within the oral cavity. Our data shows that the various microhabitats within the oral cavity of healthy children differ in absolute microbial abundances; and increase by counts of up to $10^8$ overnight during sleep (Fig 1; Tables 1 and 2). This result suggests that the oral cavity is a dynamic and numerically heterogeneous environment. Here we see that there are large ranges in healthy individual’s oral cavities (S5-S8 Tables). These large ranges could indicate that high microbial abundances may not be indicative of oral related illnesses. This suggests, like taxonomy, microbial abundances are distinct to individuals even at the paediatric age group, where there has been less time for community and abundance divergence.
Regarded as a niche within the human body, the oral cavity contains numerous microhabitats [1, 4, 5]. Most of these microhabitats are lined with mucosal epithelia (i.e. tongue, palate, gingivae and temporomandibular joint) that shed into the saliva bringing with it the microbial rich biofilm [5, 22, 23]. One area sampled in this study expected to be a high shedding environment is the palate. We speculate that the increased friction caused by the rough surface of the tongue on the palate results in a higher rate of mucosal shedding compared to other locations in the oral cavity. Therefore, there is less time between mucosal shedding events for a complex and abundant microbial community on this surface. This makes it a good model for the early development of mouth microbial communities. This is consistent with our finding of lower bacterial and VLP counts at this location compared to other microhabitats (Table 1; Fig 2).
Low abundances of bacteria were also observed at the tip of the tongue (Table 1). These low abundances support previous culture-based studies where lower bacterial colony forming units (CFU) were produced from samples collected from the dorsal anterior of the tongue [24]. As with the palate, the lower abundance values here are expected to be a result of mucosal shedding due to friction at the tip of the tongue through speech and swallowing. It is also the area in the oral cavity most exposed to the external environment. As a result, it is likely a constantly changing environment, for example, changes in moisture content due to breathing through the mouth.
Interestingly, the tongue was also the location in the oral cavity with the highest microbial abundances. Higher bacterial abundances were reported at the back of the tongue before and after sleep (Table 1; Fig 2). This result also supports previous bacterial culture based topographic tongue studies where the highest CFU counts were in the area posterior to the circumvallate papillae [24]. It is likely that the papillae structures at the back of the tongue contribute to these high abundances by providing an environment with a large surface area that encourages microbial growth. The crevasses and fissures formed by these structures trap small food particles and provide refuge for microbes from saliva flow and clearance [24].
Post-nasal drip from the sinuses down the back of the throat to the back of the tongue may also be a contributing factor to the high microbial abundances at the back of the tongue. It is well established that the sinuses are colonised by bacteria and viruses and that these microbes can be found at ‘high’ concentrations [12, 25, 26]. Previous studies have shown certain strains of sinus bacteria are also found in the lower respiratory tract of newly transplanted lungs [27], suggesting the upper respiratory tract, including the sinuses, act as a microbial inoculant source. Therefore,
it is likely that post-nasal drip facilitates the addition and inoculation of bacteria and viruses from the sinuses to the oral cavity [28]. It is also likely that the mucus from the sinuses provides nutrients in the form of metabolites and proteins for the existing bacterial communities found at the back of the tongue [29].
High abundances of bacteria and VLPs were also found along the gingivae before and after sleep. Collected where the teeth and gums meet, it is possible that these samples consisted of plaque from the teeth as well as gum mucosa. Understanding the microbiology in this area is of significant interest to dental professionals as it is the site of for such oral diseases as dental caries and periodontal disease [30-32]. Plaque build-up on the teeth during the day and at night occurs through the attachment of specific genera of bacteria to the surface of the tooth to form a complex organised multi-genera consortium of microorganisms known as a biofilm [33-35]. This biofilm growth can extend below the gum into the periodontal pocket where it is protected from salivary clearance and daily oral hygiene practices. The periodontal pocket would also provide refuge for trapped food particles, which can be used as nutrients to support microbial growth. However, although some plaque fragments may have been removed, an analysis of the total plaque community in this study is unlikely as plaque is not as easily removed by a swab. Therefore, the microbial abundances presented in this study are ones loosely associated with surfaces that can easily be removed by a swab.
Although bacterial heterogeneity was observed among locations before and after sleep, it was only observed in VLP abundances before sleep (Fig 3). Why VLPs were homogeneous after sleep is beyond the scope of this study. However, it warrants
further investigations into what, if any, factor is controlling viral dispersal in the oral cavity during sleep.
During sleep, all sampled locations in the oral cavity significantly increased in bacteria and VLPs (p < 0.05; Figs 4 and 5). These increases may well be explained by differences in saliva secretion rates during the day and at night. Recently it has been shown that salivary flow creates gradients that influence the spatial organisation of the oral microbial communities [46]. It is known that saliva production and flow rate is elevated during the day compared to night during sleep [15, 16, 47, 48]. When food is consumed, predominantly during the day, an increase in saliva production is triggered to start the digestion process [8, 49]. Likewise, increased jaw movement as a result of speech also stimulates an increase in saliva production to lubricate the oral cavity [47]. When deglutition occurs to clear excess saliva or food, epithelial cells lining areas such as the palate, tongue, temporomandibular joint and gum line shed into the saliva taking with it the microbial rich mucosal layer [5, 22, 23]. Similarly, for the non-shedding epithelial surfaces such as the teeth, it is likely small plaque biofilm fragments break off and shed into the saliva. Therefore, during sleep when there is reduced saliva production and deglutition it would be expected that less microbial shedding would occur allowing more time for bacterial and VLP microbial community development.
Saliva also contains mucin molecules that play a role in controlling the microbial communities in the oral cavity due to their antibacterial properties [15, 50-52]. These mucins promote aggregation and removal of oral bacteria [15, 50-52]. Therefore, it could be postulated that when there is a reduction in saliva secretion during sleep, antimicrobial mucins will be at a lower concentration and will therefore result in an
increase in the oral bacteria. Here we show that during sleep oral bacteria significantly increase by up to $10^8$ bacteria. Therefore, it is reasonable to suggest that saliva is involved in regulating oral microbial abundance.
Along with its antimicrobial properties, saliva is also involved in the dilution of sugars and buffering acids derived from both microbes and dietary intake [15, 53]. With reduced ‘flushing’ of saliva through the oral cavity during sleep, it could be postulated that each microbial habitat in the oral cavity becomes more distinct and individualised based on its environment (i.e. pH or nutrient concentrations). This is supported by the breakdown of the bacterial network during sleep (Fig 6). This shows that there are fewer interactions between locations with each area acting more independently. However, although there is also a breakdown in the number of connections between locations for VLP during sleep, the strength of most of the correlations increases (Fig 7). This suggests that unlike bacteria, the VLP in the oral cavity are less likely to be impacted by the individualised conditions of each oral environment. This is again supported by the homogenisation of VLP abundances after sleep (Fig 3).
For this study, the participants involved did not engage in oral hygiene practices before sleep. The reasoning for this was to control for any biases introduced through individuality in the cleaning process. Therefore, it is expected that the abundance profiles generated in this study are on the higher end of the spectrum as plaque and nutrients in the form of trapped food particles that would have typically been removed remained. This too could provide another possible explanation for the significant increases in microbial concentrations.
In conclusion, our results demonstrate that flow cytometry can successfully be used as a tool to enumerate bacteria and VLPs from oral swab samples. Here we show that the oral cavity is a numerically dynamic heterogeneous environment. This further highlights and supports the importance of defining the oral cavity by its various microhabitats rather than as a whole. In addition, the microbial abundances within the oral cavity change over time and counts increase by up to 100 million bacteria and 70 million VLPs during sleep. This demonstrates that the oral cavity is an active bacterial and viral environment during sleep and that changes in oral environmental conditions can have a large impact on the absolute microbial abundances. As the oral microbiome taxonomically changes with each developmental stage of life [5, 54], future studies into the absolute microbial counts at different age groups will assist in identifying if these microbial abundance dynamics are specific to age. Knowledge of the differences in the microbial abundance dynamics of the oral cavity may aid in the diagnosis and the development of personalised treatment options for oral related diseases.
Acknowledgements
We would like to thank the staff at the Flinders Medical Centre Flow Cytometry Unit for their technical support throughout the study.
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S2 Table. Bacterial abundances in the oral cavity after sleep for each participant. Eluted swab samples were prepared and run three times on the flow cytometer as method replicates (R). Participant’s average bacterial abundances after sleep were calculated using these three values (S6 Table).
| | R1 | R2 | R3 |
|--------------------------|-------------|-------------|-------------|
| **Participant** | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 |
| **Temporomandibular joint** | | | | | | | | | | |
| | 8.1E+07 | 3.9E+06 | 2.5E+06 | 4.1E+07 | 7.1E+06 | 3.3E+07 | 6.8E+06 | 2.9E+06 | 1.2E+07 | 2.0E+07 |
| | 5.0E+07 | 3.3E+06 | 3.4E+06 | 5.1E+07 | 8.6E+06 | 3.9E+07 | 1.3E+07 | 2.9E+06 | 8.6E+06 | 3.3E+07 |
| | 7.4E+07 | 2.8E+06 | 2.9E+06 | 4.4E+07 | 8.4E+06 | 3.6E+07 | 9.4E+06 | 1.7E+06 | 1.2E+07 | 2.7E+07 |
| **Back of tongue** | | | | | | | | | | |
| | 1.4E+08 | 8.0E+07 | 1.9E+08 | 1.5E+08 | 8.9E+07 | 1.2E+08 | 4.0E+07 | 7.5E+07 | 2.3E+08 | 2.3E+08 |
| | 1.2E+08 | 1.6E+08 | 1.6E+08 | 2.4E+08 | 7.5E+07 | 7.6E+07 | 4.6E+07 | 5.7E+07 | 2.1E+08 | 2.3E+08 |
| | 1.6E+08 | 1.9E+08 | 1.7E+08 | 2.4E+08 | 4.8E+07 | 1.0E+08 | 3.4E+07 | 5.7E+07 | 1.7E+08 | 1.7E+08 |
| **Gingivae** | | | | | | | | | | |
| | 6.3E+07 | 5.5E+07 | 8.3E+06 | 1.8E+07 | 2.7E+07 | 2.3E+07 | 2.2E+07 | 7.9E+07 | 3.2E+07 | 7.5E+07 |
| | 6.5E+07 | 6.5E+07 | 2.4E+07 | 1.7E+07 | 3.4E+07 | 2.6E+07 | 1.8E+07 | 7.4E+07 | 4.5E+07 | 7.0E+07 |
| | 7.5E+07 | 3.1E+07 | 1.9E+07 | 1.7E+07 | 1.8E+07 | 2.3E+07 | 2.0E+07 | 5.1E+07 | 3.6E+07 | 9.3E+07 |
| **Palate** | | | | | | | | | | |
| | 9.6E+06 | 1.2E+06 | 2.2E+06 | 3.0E+06 | 2.4E+06 | 1.2E+07 | 4.9E+05 | 4.1E+05 | 4.3E+06 | 2.2E+06 |
| | 1.5E+07 | 2.2E+06 | 1.5E+06 | 4.8E+06 | 2.3E+06 | 1.5E+07 | 7.1E+05 | 3.3E+05 | 5.5E+06 | 1.8E+06 |
| | 9.9E+06 | 2.5E+06 | 1.6E+06 | 3.0E+06 | 3.3E+06 | 1.4E+07 | 6.2E+05 | 3.4E+05 | 4.6E+06 | 1.5E+06 |
| **Molars** | | | | | | | | | | |
| | 5.5E+07 | 1.1E+07 | 1.3E+07 | 1.3E+07 | 4.7E+07 | 2.6E+06 | 4.2E+06 | 3.3E+06 | 2.4E+07 | 1.6E+07 |
| | 4.9E+07 | 1.7E+07 | 1.7E+07 | 1.4E+07 | 4.2E+07 | 2.9E+06 | 3.4E+06 | 2.5E+06 | 2.4E+07 | 2.1E+07 |
| | 6.8E+07 | 1.6E+07 | 1.4E+07 | 2.0E+07 | 2.3E+07 | 2.6E+06 | 2.8E+06 | 2.0E+06 | 2.7E+07 | 1.5E+07 |
| **Tip of tongue** | | | | | | | | | | |
| | 9.2E+06 | 1.4E+07 | 5.4E+06 | 2.0E+07 | 1.0E+07 | 2.5E+07 | 1.1E+06 | 3.9E+06 | 2.7E+07 | 2.3E+07 |
| | 7.0E+06 | 1.4E+07 | 5.2E+06 | 1.6E+07 | 1.1E+07 | 2.6E+07 | 1.5E+06 | 4.5E+06 | 2.6E+07 | 1.6E+07 |
| | 6.5E+06 | 1.5E+07 | 4.6E+06 | 1.7E+07 | 6.6E+06 | 2.7E+07 | 9.3E+05 | 3.5E+06 | 2.4E+07 | 1.7E+07 |
S3 Table. VLP abundances in the oral cavity before sleep for each participant. Eluted swab samples were prepared and run three times on the flow cytometer as method replicates (R). Participant’s average VLP abundances before sleep were calculated using these three values (S7 Table).
| | Temporomandibular joint | Back of tongue | Gingivae | Palate | Molars | Tip of tongue |
|----------------------|-------------------------|----------------|----------|--------|--------|--------------|
| **Participant** | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 |
| **R1** | 1.4E+07 | 8.2E+06 | 2.1E+06 | 6.0E+06| 3.2E+06| 2.5E+05 | 1.9E+06 | 1.2E+06 | 1.3E+06 | 1.5E+07 |
| **R2** | 1.4E+07 | 1.0E+07 | 2.7E+06 | 6.7E+06| 4.1E+06| 4.7E+05 | 1.5E+06 | 1.6E+06 | 1.2E+06 | 2.7E+07 |
| **R3** | 1.4E+07 | 8.9E+06 | 2.0E+06 | 5.3E+06| 3.1E+06| 4.1E+05 | 2.1E+06 | 1.3E+06 | 1.1E+06 | 9.2E+06 |
| **R1** | 5.2E+07 | 3.3E+07 | 8.7E+06 | 7.6E+07| 9.9E+06| 3.9E+06 | 2.2E+06 | 1.0E+07 | 2.1E+07 | 2.5E+07 |
| **R2** | 4.4E+07 | 3.6E+07 | 7.5E+06 | 5.8E+07| 8.8E+06| 3.8E+06 | 1.1E+06 | 1.2E+07 | 2.0E+07 | 2.7E+07 |
| **R3** | 4.9E+07 | 2.6E+07 | 1.2E+07 | 4.9E+07| 1.0E+07| 4.2E+06 | 1.5E+06 | 6.3E+06 | 1.2E+07 | 2.9E+07 |
| **R1** | 8.9E+07 | 4.3E+07 | 1.6E+07 | 1.3E+07| 1.1E+07| 1.5E+06 | 1.7E+07 | 2.5E+07 | 4.9E+06 | 3.3E+06 |
| **R2** | 9.6E+07 | 4.9E+07 | 1.4E+07 | 1.4E+07| 1.4E+07| 1.3E+06 | 1.2E+07 | 2.4E+07 | 5.8E+06 | 2.8E+06 |
| **R3** | 1.2E+08 | 5.6E+07 | 2.2E+07 | 1.2E+07| 8.4E+06| 1.3E+06 | 1.7E+07 | 1.2E+07 | 4.8E+06 | 4.6E+06 |
| **R1** | 3.2E+06 | 1.6E+06 | 2.3E+05 | 9.1E+06| 2.3E+05| 1.4E+06 | 8.7E+04 | 4.9E+05 | 1.4E+06 | 8.4E+05 |
| **R2** | 2.4E+06 | 1.6E+06 | 8.0E+04 | 1.3E+07| 6.1E+05| 1.5E+06 | 9.0E+04 | 2.4E+05 | 8.9E+05 | 6.8E+05 |
| **R3** | 3.0E+06 | 2.1E+06 | 1.8E+05 | 1.1E+07| 2.2E+05| 1.2E+06 | 1.1E+05 | 1.9E+05 | 5.6E+05 | 4.6E+05 |
| **R1** | 1.9E+07 | 1.9E+07 | 1.2E+06 | 1.3E+07| 3.4E+06| 1.1E+06 | 9.2E+04 | 7.3E+06 | 7.8E+06 | 1.3E+07 |
| **R2** | 1.7E+07 | 2.3E+07 | 1.6E+06 | 9.1E+06| 3.1E+06| 1.2E+06 | 1.3E+05 | 7.9E+06 | 8.1E+06 | 2.1E+07 |
| **R3** | 2.4E+07 | 2.4E+07 | 1.1E+06 | 1.5E+07| 2.0E+06| 8.1E+05 | 8.6E+04 | 3.9E+06 | 7.7E+06 | 1.4E+07 |
| **R1** | 3.6E+06 | 1.0E+07 | 4.1E+05 | 9.1E+06| 2.7E+05| 5.5E+05 | 3.4E+05 | 2.2E+06 | 8.5E+05 | 6.4E+06 |
| **R2** | 4.0E+06 | 1.2E+07 | 6.3E+05 | 7.6E+06| 8.1E+05| 3.9E+05 | 1.5E+05 | 2.0E+06 | 8.5E+05 | 8.7E+06 |
| **R3** | 4.1E+06 | 1.2E+07 | 8.3E+05 | 7.9E+06| 5.2E+05| 4.0E+05 | 2.0E+05 | 4.7E+06 | 6.9E+05 | 4.6E+06 |
S4 Table. VLP abundances in the oral cavity after sleep for each participant. Eluted swab samples were prepared and run three times on the flow cytometer as method replicates (R). Participant’s average VLP abundances after sleep were calculated using these three values (S8 Table).
| Participant | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 |
|-------------|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|
| **Temporomandibular joint** | | | | | | | | | | |
| R1 | 1.9E+08 | 2.4E+06 | 9.5E+05 | 7.4E+07 | 1.7E+06 | 1.1E+08 | 4.0E+06 | 8.2E+06 | 7.9E+06 | 1.3E+08 |
| R2 | 2.5E+08 | 7.6E+06 | 1.0E+06 | 1.4E+08 | 3.4E+06 | 1.1E+08 | 2.4E+06 | 7.9E+06 | 1.3E+07 | 1.0E+08 |
| R3 | 1.8E+08 | 6.4E+06 | 8.4E+05 | 1.0E+08 | 4.0E+06 | 1.4E+08 | 2.9E+06 | 3.1E+06 | 1.1E+07 | 9.6E+07 |
| **Back of tongue** | | | | | | | | | | |
| R1 | 3.9E+08 | 3.1E+07 | 1.7E+07 | 8.3E+07 | 8.9E+06 | 8.2E+07 | 1.0E+07 | 1.2E+07 | 1.2E+07 | 5.6E+07 |
| R2 | 4.6E+08 | 6.2E+07 | 1.4E+07 | 1.5E+08 | 6.6E+06 | 1.0E+08 | 8.4E+06 | 1.2E+07 | 1.2E+07 | 6.1E+07 |
| R3 | 7.3E+08 | 6.2E+07 | 2.1E+07 | 1.5E+08 | 6.6E+06 | 1.1E+08 | 8.0E+06 | 7.9E+06 | 1.1E+07 | 6.9E+07 |
| **Gingivae** | | | | | | | | | | |
| R1 | 1.7E+08 | 2.1E+08 | 4.0E+06 | 4.3E+07 | 7.0E+06 | 8.8E+07 | 3.9E+06 | 1.2E+08 | 3.0E+07 | 3.2E+08 |
| R2 | 1.1E+08 | 2.7E+08 | 5.3E+06 | 9.2E+07 | 1.6E+07 | 1.1E+08 | 5.6E+06 | 1.1E+08 | 3.5E+07 | 2.3E+08 |
| R3 | 1.6E+08 | 6.0E+07 | 6.8E+06 | 2.6E+07 | 4.8E+06 | 8.0E+07 | 7.6E+06 | 8.0E+07 | 3.0E+07 | 3.1E+08 |
| **Palate** | | | | | | | | | | |
| R1 | 8.7E+07 | 2.9E+06 | 4.2E+05 | 1.1E+07 | 3.3E+06 | 1.3E+07 | 2.6E+05 | 9.8E+05 | 1.7E+06 | 6.7E+06 |
| R2 | 1.6E+08 | 2.8E+06 | 5.5E+05 | 1.6E+07 | 3.6E+06 | 1.4E+07 | 4.9E+05 | 1.4E+06 | 2.3E+06 | 5.2E+06 |
| R3 | 6.3E+07 | 1.5E+06 | 6.1E+05 | 1.1E+07 | 4.2E+06 | 1.3E+07 | 4.9E+05 | 9.0E+05 | 2.1E+06 | 5.3E+06 |
| **Molars** | | | | | | | | | | |
| R1 | 2.6E+08 | 1.7E+07 | 1.2E+07 | 1.8E+07 | 3.3E+07 | 1.0E+07 | 1.1E+06 | 4.1E+06 | 6.9E+07 | 7.0E+07 |
| R2 | 2.4E+08 | 1.6E+07 | 1.0E+07 | 2.6E+07 | 2.4E+07 | 1.0E+07 | 1.3E+06 | 4.8E+06 | 4.4E+07 | 5.8E+07 |
| R3 | 5.4E+08 | 2.1E+07 | 1.6E+07 | 2.6E+07 | 3.0E+07 | 9.7E+06 | 2.1E+06 | 4.3E+06 | 6.9E+07 | 5.8E+07 |
| **Tip of tongue** | | | | | | | | | | |
| R1 | 3.6E+07 | 4.9E+06 | 7.2E+05 | 3.6E+07 | 1.2E+06 | 8.2E+07 | 4.9E+05 | 7.1E+06 | 3.4E+06 | 2.3E+07 |
| R2 | 1.8E+07 | 5.3E+06 | 5.6E+05 | 2.6E+07 | 1.7E+06 | 9.3E+07 | 3.7E+05 | 1.0E+07 | 3.0E+06 | 2.0E+07 |
| R3 | 1.7E+07 | 4.0E+06 | 9.9E+05 | 1.4E+07 | 1.3E+06 | 8.4E+07 | 1.8E+05 | 7.6E+06 | 2.9E+06 | 1.6E+07 |
S5 Table. Participant’s average bacterial counts for each sample site in the oral cavity before sleep.
| Participant | Temporomandibular joint | Back of tongue | Gingivae | Palate | Molars | Tip of tongue |
|-------------|-------------------------|---------------|----------|--------|--------|--------------|
| 1 | 1.28E+07 | 2.38E+07 | 8.52E+07 | 2.05E+06 | 1.51E+06 | 2.45E+06 |
| 2 | 4.19E+06 | 8.66E+07 | 1.62E+07 | 2.22E+06 | 1.59E+07 | 1.74E+07 |
| 3 | 4.28E+06 | 2.91E+07 | 1.79E+07 | 1.80E+05 | 7.61E+06 | 5.05E+05 |
| 4 | 3.67E+06 | 4.60E+07 | 3.32E+06 | 1.63E+06 | 3.29E+06 | 1.57E+06 |
| 5 | 2.91E+06 | 8.05E+06 | 9.52E+06 | 1.44E+05 | 4.45E+06 | 2.29E+05 |
| 6 | 2.36E+05 | 2.61E+07 | 5.25E+05 | 1.61E+05 | 5.06E+05 | 1.99E+05 |
| 7 | 4.99E+05 | 3.82E+07 | 1.46E+07 | 8.65E+04 | 5.46E+05 | 4.50E+05 |
| 8 | 6.39E+05 | 1.62E+07 | 1.12E+07 | 8.41E+04 | 3.08E+05 | 2.64E+05 |
| 9 | 1.08E+06 | 8.85E+06 | 1.23E+07 | 4.29E+05 | 1.07E+07 | 1.03E+06 |
| 10 | 2.25E+06 | 7.53E+06 | 4.16E+06 | 2.27E+05 | 3.48E+06 | 1.64E+06 |
S6 Table. Participant’s average bacterial counts for each sample site in the oral cavity after sleep.
| Participant | Temporomandibular joint | Back of tongue | Gingivae | Palate | Molars | Tip of tongue |
|-------------|-------------------------|---------------|----------|--------|--------|--------------|
| 1 | 6.83E+07 | 1.40E+08 | 6.78E+07 | 1.17E+07 | 5.73E+07 | 7.59E+06 |
| 2 | 3.36E+06 | 1.42E+08 | 5.00E+07 | 1.99E+06 | 1.44E+07 | 1.42E+07 |
| 3 | 2.94E+06 | 1.75E+08 | 1.69E+07 | 1.73E+06 | 1.48E+07 | 5.07E+06 |
| 4 | 4.50E+07 | 2.07E+08 | 1.75E+07 | 3.60E+06 | 1.58E+07 | 1.74E+07 |
| 5 | 8.05E+06 | 7.06E+07 | 2.60E+07 | 2.66E+06 | 3.72E+07 | 9.30E+06 |
| 6 | 3.61E+07 | 9.99E+07 | 2.41E+07 | 1.39E+07 | 2.69E+06 | 2.59E+07 |
| 7 | 9.73E+06 | 3.99E+07 | 1.99E+07 | 6.06E+05 | 3.47E+06 | 1.18E+06 |
| 8 | 2.49E+06 | 6.31E+07 | 6.81E+07 | 3.60E+05 | 2.62E+06 | 3.94E+06 |
| 9 | 1.09E+07 | 2.03E+08 | 3.78E+07 | 4.82E+06 | 2.51E+07 | 2.53E+07 |
| 10 | 2.68E+07 | 2.10E+08 | 7.97E+07 | 1.83E+06 | 1.74E+07 | 1.86E+07 |
S7 Table. Participant’s average VLP counts for each sample site in the oral cavity before sleep.
| Participant | Temporomandibular joint | Back of tongue | Gingivae | Palate | Molars | Tip of tongue |
|-------------|-------------------------|---------------|-----------|----------|----------|--------------|
| 1 | 1.41E+07 | 4.83E+07 | 1.00E+08 | 2.89E+06 | 2.04E+07 | 3.90E+06 |
| 2 | 9.14E+06 | 3.15E+07 | 4.93E+07 | 1.77E+06 | 2.23E+07 | 1.13E+07 |
| 3 | 2.23E+06 | 9.23E+06 | 1.73E+07 | 1.63E+05 | 1.33E+06 | 6.24E+05 |
| 4 | 5.97E+06 | 6.12E+07 | 1.27E+07 | 1.08E+07 | 1.24E+07 | 8.18E+06 |
| 5 | 3.49E+06 | 9.70E+06 | 1.11E+07 | 3.55E+05 | 2.82E+06 | 5.29E+05 |
| 6 | 3.76E+05 | 3.96E+06 | 1.37E+06 | 1.37E+06 | 1.02E+06 | 4.45E+05 |
| 7 | 1.82E+06 | 1.62E+06 | 1.52E+07 | 9.42E+04 | 1.04E+05 | 2.28E+05 |
| 8 | 1.40E+06 | 9.63E+06 | 2.01E+07 | 3.04E+05 | 6.39E+06 | 2.97E+06 |
| 9 | 1.19E+06 | 1.80E+07 | 5.19E+06 | 9.54E+05 | 7.86E+06 | 7.98E+05 |
| 10 | 1.71E+07 | 2.69E+07 | 3.56E+06 | 6.57E+05 | 1.59E+07 | 6.55E+06 |
S8 Table. Participant’s average VLP counts for each sample site in the oral cavity after sleep.
| Participant | Temporomandibular joint | Back of tongue | Gingivae | Palate | Molars | Tip of tongue |
|-------------|-------------------------|---------------|----------|--------|--------|--------------|
| 1 | 2.07E+08 | 5.28E+08 | 1.49E+08 | 1.02E+08 | 3.44E+08 | 2.36E+07 |
| 2 | 5.44E+06 | 5.16E+07 | 1.82E+08 | 2.42E+06 | 1.80E+07 | 4.73E+06 |
| 3 | 9.47E+05 | 1.74E+07 | 5.38E+06 | 5.30E+05 | 1.28E+07 | 7.53E+05 |
| 4 | 1.05E+08 | 1.26E+08 | 5.39E+07 | 1.29E+07 | 2.34E+07 | 2.52E+07 |
| 5 | 3.01E+06 | 7.38E+06 | 9.25E+06 | 3.71E+06 | 2.92E+07 | 1.40E+06 |
| 6 | 1.20E+08 | 9.83E+07 | 9.39E+07 | 1.33E+07 | 1.00E+07 | 8.62E+07 |
| 7 | 3.11E+06 | 8.84E+06 | 5.71E+06 | 4.12E+05 | 1.52E+06 | 3.48E+05 |
| 8 | 6.38E+06 | 1.05E+07 | 1.04E+08 | 1.08E+06 | 4.39E+06 | 8.20E+06 |
| 9 | 1.07E+07 | 1.16E+07 | 3.19E+07 | 2.03E+06 | 6.07E+07 | 3.09E+06 |
| 10 | 1.08E+08 | 6.20E+07 | 2.87E+08 | 5.70E+06 | 6.16E+07 | 1.96E+07 |
Chapter 5
THE MICROBIAL ABUNDANCE DYNAMICS IN THE ORAL CAVITY OF PAEDIATRIC SLEEP DISORDER BREATHERS BEFORE AND AFTER SLEEP
In this study we measured the absolute microbial abundance variation in the oral cavity of paediatric sleep disorder breathers (SDB). Using flow cytometry, bacterial and virus-like particle (VLP) populations at 6 locations in the oral cavity of SDB were enumerated and analysed for regions of heterogeneity. Oral swab samples were collected from 20 paediatric SDB participants at the temporomandibular joint, back of the tongue, tip of the tongue, palate, gingivae and molars prior to and preceding their polysomnography sleep analysis. We report that, like the healthy paediatric oral microbiome, the paediatric SDB oral cavity is numerically heterogeneous in microbial communities, and that these communities significantly increase in abundance during sleep by counts of up to 70 million. We also report significant VLP count differences of up to 23 million between the healthy and SDB paediatric oral microbiome. Here we show that oral biomass varies between healthy and SDB oral cavities. Therefore, we highlight the importance of controlling for time and location in comparative human microbiome studies as this biomass changes based on space and time.
Introduction
During sleep, the pharyngeal muscles in the upper airway are in a complex balance [1]. If this balance is disrupted, airway collapsibility may result, increasing upper airway resistance and reducing airflow [1]. Defined as a continuum respiratory disorder ranging from mild snoring to severe obstructive sleep apnoea syndrome (OSA), sleep disorder breathing (SDB) affects 10% of the paediatric population [2]. One major factor to the disorder is the impairment of normal ventilation and sleep pattern due to upper airway obstruction in the form of adenotonsillar hypertrophy [3]. If left untreated, paediatric SDB can lead to numerous behavioural, neurocognitive, cardiovascular and growth issues [4].
The oral cavity is part of the upper airway and has been a site of interest for numerous microbiome studies as it is thought to be the gateway to the respiratory and digestive systems [5]. It has been well established that the oral cavity is colonised by an array of microbes [5-7] and that these microbes are niche specific based on the various microhabitats present [8]. These microhabitats differ not only in surface structure but also in environmental conditions including oxygen, pH and temperature [7, 9, 10]. These microhabitats in the healthy paediatric oral cavity are numerically heterogeneous and increase in abundance during sleep [11, 12].
With increasing evidence suggesting sleep perturbations alter the gut microbiota [13-15]; it is reasonable to suggest that perturbations in sleeping patterns could also have a similar effect on the oral microbiome. Using flow cytometry we investigated the oral microbial abundance profiles of SDB before and after sleep. Flow cytometry can enumerate bacteria and virus-like particles (VLPs) based on particle size and DNA content. For this study, VLPs refer to small particles with a low DNA
concentration, the characteristics of viruses. We, therefore, aim to investigate the abundance variation in bacteria and VLPs in paediatric SDB to determine if they are different to previously reported healthy paediatric populations.
**Materials and Methods**
**Ethics statement**
This study was approved by The Human Research Ethics Committees of the Women’s and Children’s Hospital and University of Adelaide, South Australia. Participants involved were a subgroup of SDB children from a larger study investigating the effects of SDB on development. The study was conducted in accordance with the 1964 Declaration of Helsinki and its later amendments. Parents of participants provided written consent and children written assent for involvement in the study. Child’s health and behaviour questionnaire were completed by the parents of the participants prior to sample collection.
**Sample collection**
Samples were collected from 20 paediatric SDB (female n = 8, male n = 12) undergoing a polysomnography sleep test. Participant ages ranged from 4.75 to 18.92 years with a group average of 12.26 ± 1.00 years. BMI’s were between 12.50 and 38.30 with an overall group average of 22.83 ± 1.55. Participants were asked to refrain from oral hygiene practices for the duration of the study.
Oral microhabitats were sampled using individually packaged sterile rayon swabs (Copan, Brescia, Italy; product code: 155C) as previously described [12]. Each swab, stored in its own individual polypropylene tube, had a diameter of approximately 5 mm and a plastic shaft length of 13.3 cm. Swabs were collected from each participant
at the left temporomandibular joint, the middle of the back of the tongue, the occlusal site of the last two distal molars on the bottom jaw on the right side, the gingival margin of the last proximal molar on the right lower jaw, the middle of the palate and the middle of the tip of the tongue. These samples will be referred to in this article as the temporomandibular joint, back of tongue, molars, gingivae, palate and tip of tongue respectively. Swabs were collected from participants between 8.30-9.00 pm just prior to lights out (before sleep) and between 6.00-6.30 am the following morning upon awakening (after sleep). Samples were collected from participants by the same researcher before and after sleep at the same location by rotating the swab clockwise 6 times. Once collected, swabs were placed back into their polypropylene tubes and stored at -80°C until analysis.
**Swab sample preparation**
Swab samples were prepared according to methods previously described [12]. Briefly, thawed swab tips were cut off and vortexed for 3 minutes in 1 ml of sterile (0.2 μm filtered and UV treated) TE buffer (10 mM Tris, 1 mM EDTA, pH 7.4, Sigma). Swab elute was diluted 1:100 in 0.2 μm filtered and UV treated TE buffer, then stained with SYBR-I Green (1:20,00 final dilution; Molecular Probes) [16]. Samples were then incubated in the dark at 80°C for 10 minutes [16]. Sterile rayon swabs were used as a control and were prepared in the same manner as the participant samples. These samples were used to eliminate any background artefacts introduced from the swab or the sample preparation. Each swab sample was prepared in triplicate for analysis (S1-S4 Tables). Flow cytometric parameters were normalised based on the fluorescence and concentration of 1 μm fluorescent beads (Molecular Probes) [17]. These beads were added to each sample at a concentration of $10^5$ beads ml$^{-1}$ [17].
Flow cytometry
A FACSCanto II flow cytometer (Becton Dickinson) fitted with red (633 nm, 17 mW), Violet (405 nm, 30 mW) and blue (488 nm, 20 mW) lasers was used to identify and enumerate bacterial and VLP populations from the swab samples. For each sample, green florescence, forward angle light scatter and side angle light scatter were recorded. Phosphate-buffered saline was used as sheath fluid in the flow cytometer.
FlowJo software (Tree Star, Inc) was used to enumerate and analyse bacterial and VLP populations. Bacterial and VLP populations in the samples were differentiated using SYBR Green fluorescence and side scatter [16, 18, 19].
Data analysis
Statistical analysis of the abundance data was analysed using the program MATLAB (MathWorks, Natick, Massachusetts, United States). Paired comparisons of bacterial and VLP abundances among locations before and after sleep were analysed using the Mann-Whitney U test. The Wilcoxon sign rank test was used to compare bacterial and VLP abundances before and after sleep in SDB. The Mann-Whitney U test was also used to compare SDB bacterial and VLP abundances to microbial counts previously published on the healthy paediatric oral cavity [12]. P values were corrected for false positives using the multiple comparisons hypothesis for false discovery [20]. Statistical significance was considered when p < 0.05.
Results
SDB bacterial abundance heterogeneity before sleep
The average bacterial abundances for each microhabitat in the SDB oral cavity before sleep are presented in Table 1. The palate was the area in the oral cavity with the lowest abundances of bacteria before sleep with participant averages ranging from $3.80 \times 10^4$ to $6.79 \times 10^6$ bacteria (Table 1; S5 Table). The group average of $9.55 \pm 3.88 \times 10^5$ bacteria for this location was significantly lower in abundance than tip of the tongue ($1.96 \pm 0.54 \times 10^6$ bacteria; $p = 0.006$), molars ($3.19 \pm 0.86 \times 10^6$ bacteria; $p = 0.001$), temporomandibular joint ($4.50 \pm 0.95 \times 10^6$ bacteria; $p < 0.0001$), back of the tongue ($1.90 \pm 0.36 \times 10^7$ bacteria; $p < 0.0001$) and gingivae ($2.56 \pm 0.70 \times 10^7$ bacteria; $p < 0.0001$). No significant difference was observed between the average bacterial abundances at the gingivae ($2.56 \pm 0.70 \times 10^7$ bacteria) and the back of the tongue ($1.90 \pm 0.36 \times 10^7$ bacteria) before sleep (Fig 1; Table 1; $p > 0.05$). Participants bacterial counts at these two locations ranged from $2.83 \times 10^5$ (back of the tongue) to $1.05 \times 10^8$ (gingivae) with a combined average of $2.23 \pm 0.39 \times 10^7$ bacteria for both locations (Table 1; S5 Table). The gingivae ($2.56 \pm 0.70 \times 10^7$ bacteria) were significantly higher in bacterial abundance before sleep than the temporomandibular joint ($4.50 \pm 0.95 \times 10^6$ bacteria; $p = 0.0039$), palate ($9.55 \pm 3.88 \times 10^5$ bacteria; $p < 0.0001$), molars ($3.19 \pm 0.86 \times 10^6$ bacteria; $p = 0.00031$) and tip of tongue ($1.96 \pm 0.54 \times 10^6$ bacteria; $p < 0.0001$; Fig 1; Table 1). A significantly higher bacterial abundance at the back of tongue was also reported compared to the temporomandibular joint ($4.50 \pm 0.95 \times 10^6$ bacteria; $p = 0.0012$), palate ($9.55 \pm 3.88 \times 10^5$ bacteria; $p < 0.0001$), molars ($3.19 \pm 0.86 \times 10^6$ bacteria; $p = 0.00026$) and tip of tongue ($1.96 \pm 0.54 \times 10^6$ bacteria; $p < 0.0001$; Fig 1; Table 1). Finally, the
temporomandibular joint ($4.50 \pm 0.95 \times 10^6$ bacteria) was reported to be significantly higher in bacterial abundance than the tip of the tongue ($1.96 \pm 0.54 \times 10^6$ bacteria; $p = 0.013$; Fig 1; Table 1). All other locations, when paired with each other, did not show a significant difference in bacterial abundances (Fig 1; $p > 0.05$). Overall there was a $2.47 \times 10^7$ range difference between the highest and lowest bacterial counts before sleep in the oral cavity, a difference of approximately 27 times (Table 1).
Table 1. Average bacterial abundances within the paediatric SDB oral cavity.
Error represents the standard error of the mean. Wilcoxon sign rank tests p values were corrected for false discovery rates. Percentage increases were calculated by taking an average of each patient’s percentage increase/decrease in bacteria for each location.
| Sample location | Bacteria before sleep (± SEM) | Bacteria after sleep (± SEM) | Average increase in bacteria (± SEM) | Percentage increase (± SEM) | p value |
|-----------------|-------------------------------|------------------------------|-------------------------------------|-----------------------------|--------|
| Temporomandibular joint | $4.50 \times 10^6$ (9.46 x $10^5$) | $2.65 \times 10^7$ (6.88 x $10^6$) | $2.21 \times 10^7$ (7.08 x $10^6$) | 2097 (1112%) | < 0.0001 |
| Back of tongue | $1.90 \times 10^7$ (3.64 x $10^6$) | $8.94 \times 10^7$ (1.49 x $10^7$) | $7.04 \times 10^7$ (1.33 x $10^7$) | 1005 (425%) | < 0.0001 |
| Gingivae | $2.56 \times 10^7$ (6.96 x $10^6$) | $5.80 \times 10^7$ (1.65 x $10^7$) | $3.24 \times 10^7$ (1.26 x $10^7$) | 485 (175%) | < 0.0001 |
| Palate | $9.55 \times 10^5$ (3.88 x $10^5$) | $3.88 \times 10^6$ (9.15 x $10^5$) | $2.93 \times 10^6$ (9.81 x $10^5$) | 2080 (560%) | < 0.0001 |
| Molars | $3.19 \times 10^6$ (8.61 x $10^5$) | $1.59 \times 10^7$ (4.98 x $10^6$) | $1.27 \times 10^7$ (4.75 x $10^6$) | 1312 (395%) | < 0.0001 |
| Tip of tongue | $1.96 \times 10^6$ (5.38 x $10^5$) | $1.50 \times 10^7$ (4.79 x $10^6$) | $1.30 \times 10^7$ (4.41 x $10^6$) | 1297 (321%) | < 0.0001 |
Figure 1. Mann-Whitney U tests for bacterial heterogeneity in the oral cavity before and after sleep in SDB. Significant differences between locations are shown in green ($p < 0.05$). Non-significant differences are shown in red ($p > 0.05$). Mann-Whitney U test comparisons have been corrected for false discovery rates.
SDB bacterial abundance heterogeneity after sleep
Bacterial counts of $3.88 \pm 0.92 \times 10^6$ at the palate were significantly lower than the temporomandibular joint ($2.65 \pm 0.69 \times 10^7$ bacteria; $p = 0.00023$), back of tongue ($8.94 \pm 1.49 \times 10^7$ bacteria; $p < 0.0001$), gingivae ($5.80 \pm 1.65 \times 10^7$ bacteria; $p < 0.0001$), molars ($1.59 \pm 0.50 \times 10^7$ bacteria; $p = 0.00096$) and tip of tongue ($1.50 \pm 0.48 \times 10^7$ bacteria; $p = 0.0068$) in SDB after sleep (Fig 1; Table 1). The back of the tongue ($8.94 \pm 1.49 \times 10^7$ bacteria) was the location with the highest abundance of bacteria after sleep and was significantly higher than the temporomandibular joint ($2.65 \pm 0.69 \times 10^7$ bacteria; $p = 0.00092$), gingivae ($5.80 \pm 1.65 \times 10^7$ bacteria; $p = 0.046$), palate ($3.88 \pm 0.92 \times 10^6$ bacteria; $p < 0.0001$), molars ($1.59 \pm 0.50 \times 10^7$ bacteria; $p < 0.0001$) and tip of tongue ($1.50 \pm 0.48 \times 10^7$ bacteria; $p < 0.0001$; Fig 1; Table 1). The gingivae ($5.80 \pm 1.65 \times 10^7$ bacteria) were the location with the second highest abundance of bacteria in the oral cavity after sleep and were also significantly higher in bacterial counts than the temporomandibular joint ($2.65 \pm 0.69 \times 10^7$ bacteria; $p = 0.047$), palate ($3.88 \pm 0.92 \times 10^6$ bacteria; $p < 0.0001$), molars ($1.59 \pm 0.50 \times 10^7$ bacteria; $p = 0.0039$) and tip of tongue ($1.50 \pm 0.48 \times 10^7$ bacteria; $p = 0.0015$; Fig 1; Table 1). Finally, the temporomandibular joint ($2.65 \pm 0.69 \times 10^7$ bacteria) was also reported to be significantly higher in bacterial counts than the tip of the tongue ($1.50 \pm 0.48 \times 10^7$ bacteria; $p = 0.049$) after sleep (Fig 1; Table 1). No significant difference was observed between bacterial counts at the molars and the temporomandibular joint or tip of the tongue after sleep (Fig 1; $p > 0.05$). Overall there was a bacterial range difference of 23 times between the palate and the back of the tongue after sleep (Table 1).
SDB VLP abundance heterogeneity before sleep
VLP counts of $1.38 \pm 0.64 \times 10^6$ at the palate were significantly lower than the temporomandibular joint ($6.36 \pm 2.17 \times 10^6$ VLP; $p = 0.0036$), back of tongue ($1.05 \pm 0.23 \times 10^7$ VLP; $p = 0.00013$), gingivae ($3.05 \pm 1.00 \times 10^7$ VLP; $p = 0.00012$), molars ($4.69 \pm 1.43 \times 10^6$ VLP; $p = 0.0027$) and tip of tongue ($3.87 \pm 1.48 \times 10^6$ VLP; $p = 0.014$) before sleep (Fig 2; Table 2). No significant difference was observed between VLP abundances at the back of the tongue ($1.05 \pm 0.23 \times 10^7$ VLP) and gingivae ($3.05 \pm 1.00 \times 10^7$ VLP) before sleep ($p > 0.05$; Fig 2). However, VLPs at both locations were significantly higher than the molars ($p = 0.035$ and $0.021$ respectively) and tip of the tongue ($p = 0.014$ and $0.012$ respectively) before sleep (Fig 2; Table 2). All other paired comparisons among locations did not show a significant difference in VLP abundance before sleep ($p > 0.05$; Fig 2). A 22 times VLP difference was observed between the location with the highest (gingivae) and lowest (palate) VLP abundances in the oral cavity before sleep (Table 2).
Figure 2. Mann-Whitney U tests for VLP heterogeneity in the oral cavity before and after sleep in SDB. Significant differences between locations are shown in green ($p < 0.05$). Non-significant differences are shown in red ($p > 0.05$). Mann-Whitney U test comparisons have been corrected for false discovery rates.
Table 2. Average VLP abundances within the SDB paediatric oral cavity. Error represents the standard error of the mean. Wilcoxon sign rank tests p values were corrected for false discovery rates. Percentage increases were calculated by taking an average of each patient's percentage increase/decrease in VLPs for each location.
| Sample location | VLP before sleep (± SEM) | VLP after sleep (± SEM) | Average increase in VLP (± SEM) | Percentage increase (± SEM) | p value |
|-----------------|--------------------------|-------------------------|-------------------------------|-----------------------------|--------|
| Temporomandibular joint | $6.36 \times 10^6$ (2.17 x $10^6$) | $3.43 \times 10^7$ (1.22 x $10^7$) | $2.08 \times 10^7$ (1.07 x $10^7$) | 3698 (2195%) | 0.0001 |
| Back of tongue | $1.05 \times 10^7$ (2.29 x $10^6$) | $7.20 \times 10^7$ (2.60 x $10^7$) | $6.16 \times 10^7$ (2.51 x $10^7$) | 1038 (377%) | < 0.0001 |
| Gingivae | $3.05 \times 10^7$ (1.00 x $10^7$) | $7.72 \times 10^7$ (3.13 x $10^7$) | $4.67 \times 10^7$ (2.48 x $10^7$) | 1035 (587%) | 0.0003 |
| Palate | $1.38 \times 10^6$ (6.35 x $10^5$) | $1.35 \times 10^7$ (6.72 x $10^6$) | $1.21 \times 10^7$ (6.27 x $10^6$) | 5443 (2195%) | < 0.0001 |
| Molars | $4.69 \times 10^6$ (1.43 x $10^6$) | $3.55 \times 10^7$ (1.62 x $10^7$) | $3.08 \times 10^7$ (1.50 x $10^7$) | 2160 (1183%) | < 0.0001 |
| Tip of tongue | $3.87 \times 10^6$ (1.48 x $10^6$) | $7.38 \times 10^7$ (5.55 x $10^7$) | $6.99 \times 10^7$ (5.42 x $10^7$) | 969 (366%) | < 0.0001 |
SDB VLP abundance homogeneity after sleep
Participant VLP averages ranged from $1.21 \pm 0.63 \times 10^7$ at the palate to $7.72 \pm 3.13 \times 10^7$ at the gingivae after sleep (S8 Table), a difference of approximately 6 times. Both the gingivae ($7.72 \pm 3.13 \times 10^7$ VLP) and the back of tongue ($7.20 \pm 2.60 \times 10^7$ VLP) were reported to have significantly higher VLP counts than the palate ($7.72 \pm 3.13 \times 10^7$ VLP) after sleep ($p = 0.018$ and $p = 0.015$ respectively; Fig 2; Table 2). All other locations when compared with each other did not show significant differences in VLP abundance after sleep ($p > 0.05$; Fig 2).
Significant increase in bacterial and VLP counts during sleep
All sampled locations in SDB increased in average bacterial abundance during sleep (Fig 3). These increases were all significant ($p < 0.05$; Table 1). The area with the greatest average increase in bacteria after sleep was the back of the tongue with a 5 times count increase of $7.04 \pm 1.33 \times 10^7$ bacteria ($p < 0.0001$; Table 1). The palate was the location with the smallest increase in bacteria with a 4 times increase of $2.93 \pm 0.98 \times 10^6$ bacteria during sleep ($p < 0.0001$; Table 1). The temporomandibular joint, gingivae, molars and tip of tongue increased by 6, 2, 5 and 8 times respectively ($p < 0.0001$; Table 1). Percentage increases ranged from approximately 490% at the gingivae to 2100% at the temporomandibular joint and palate (Table 1).
Figure 3. Bacterial loads in the paediatric SDB oral cavity before and after sleep.
A significant increase in bacterial abundances was observed for all microhabitats after sleep ($p < 0.05$). The back of tongue and gingivae were the locations with the highest bacterial counts both before and after sleep. The lowest bacterial counts were recorded at the palate.
Similarly, with VLPs, all sample locations in SDB showed a significant increase in VLP abundance after sleep ($p < 0.05$; Fig 4; Table 2). The tip and the back of the tongue were the areas with the greatest increases in VLPs after sleep with $6.99 \pm 5.42 \times 10^7$ and $6.16 \pm 2.51 \times 10^7$ VLP count increases respectively ($p < 0.0001$; Table 2). However, the tip of the tongue was the location with the lowest percentage increase in VLP with 970% (Table 2). The location with the lowest increase in VLPs was the palate with a count increase of $1.21 \pm 6.3 \times 10^7$ VLP ($p < 0.0001$; Table 2). However, the palate was the location with the highest percentage increase in VLP with 5400% (Table 2). The temporomandibular joint, gingivae and molars increased in VLPs during sleep by approximately 5 ($p = 0.00011$), 3 ($p = 0.00026$) and 8 ($p < 0.0001$) times respectively (Table 2).
Figure 4. VLP loads in the paediatric SDB oral cavity before and after sleep. A significant increase in VLP abundances was observed for all microhabitats after sleep ($p < 0.05$). The gingivae and palate were the locations with the highest and lowest VLP counts before and after sleep respectively.
Significant differences in microbial concentrations between health states
Mann-Whitney U comparisons were made between healthy and SDB bacterial and VLP abundances before and after sleep using previously published data [11, 12]. The average bacterial abundance at the back of the tongue in SDB \((1.90 \pm 0.36 \times 10^7\) bacteria) was significantly lower \((p = 0.047)\) than healthy individuals \((2.90 \pm 0.76 \times 10^7\) bacteria) before sleep, with SDB having approximately \(1.01 \times 10^7\) less bacteria than healthy participants at that location (S9 Table) [11, 12]. All other paired location comparisons before sleep between healthy and SDB did not show any significant differences in bacterial concentration \((p > 0.05; S9\) Table\). After sleep, bacterial abundances at the back of the tongue in SDB \((8.94 \pm 1.49 \times 10^7\) bacteria) were also significantly lower than healthy participants \((1.35 \pm 1.49 \times 10^7\) bacteria) by approximately \(4.56 \times 10^7\) bacteria \((p = 0.019; S9\) Table\). No other paired location comparisons between healthy and SDB bacterial counts after sleep showed a significant difference \((p > 0.05; S9\) Table\).
Significant differences in VLP concentrations were identified for all locations before sleep between healthy and SDB participants \((p < 0.05; S10\) Table\). Before sleep, SDB were \(6.78 \times 10^5\) VLP higher at the temporomandibular joint \((p = 0.013)\), \(6.89 \times 10^6\) VLP higher at the gingivae \((p = 0.0089)\) and \(3.23 \times 10^5\) VLP higher at the tip of the tongue \((p = 0.018)\) than healthy participants (S10 Table) [12]. However, SDBs were significantly lower in VLP abundances than healthy individuals at the back of the tongue \((p = 0.0041)\), palate \((p = 0.0052)\) and molars \((p = 0.0052)\) with \(1.15 \times 10^7\), \(5.57 \times 10^5\) and \(4.36 \times 10^6\) less VLP respectively (S10 Table). After sleep, SDB had significantly lower VLP abundances than healthy individuals at the temporomandibular joint \((p = 0.045)\), back of the tongue \((p = 0.045)\), gingivae \((p = 0.025)\) and molars \((p = 0.022)\) with count differences of \(2.26 \times 10^7\), \(2.02 \times 10^7\), \(1.49 \times 10^7\) and \(2.11 \times 10^7\) VLP.
respectively between health states (S10 Table) [12]. No significant difference was observed between VLP concentrations in healthy and SDBs at the palate and the tip of the tongue \((p > 0.05; \text{S10 Table})\).
Mann-Whitney U comparisons were also used to identify any significant differences in the average increases in bacteria and VLPs between healthy and SDB for each location. Average increases in bacterial concentrations at all locations in SDBs were not significantly different to the average bacterial increases at the corresponding location in healthy individuals \((p > 0.05)\). The same could be said for the average VLP increases for each location between healthy and SDBs \((p > 0.05)\).
**Discussion**
In this study, we present the absolute microbial abundances of oral microhabitats in SDB before and after sleep. Our results suggest that like the healthy paediatric oral microbiome [11, 12], the paediatric SDB oral cavity is numerically heterogeneous in bacteria and VLP among microhabitats. Our data also supports our previous finding of a significant increase in bacterial and VLP populations at each microhabitat during sleep \((p < 0.05; \text{Figs 3 and 4; Tables 1 and 2})\) [11, 12]. Furthermore, we show the absolute VLP abundances in SDB significantly differ to healthy controls \((p < 0.05)\). However, based on this study alone we cannot corroborate if these differences are a cause or result of SDB.
Previous taxonomic and absolute abundance profiles of the microbial communities in the healthy oral cavity have identified regions of heterogeneity among microhabitats [8, 11, 12]. These microbial patterns of spatial variation are thought to be influenced by factors such as oral anatomy, oral hygiene, moisture levels,
temperature gradients, pH gradients, salivary flow, abrasion (i.e. form the tongue), surface structure (i.e. soft shedding mucosa and non-shedding tooth surfaces) and host immune response [5, 7-11, 21-24]. Absolute abundance counts of the healthy paediatric oral cavity showed that bacterial heterogeneity was observed among locations before and after sleep, but only in VLP before sleep [11, 12]. Our data on SDB is consistent with this finding, but also shows heterogeneity in VLP after sleep (Figs 1 and 2). However, more regions of heterogeneity were observed in SDB than healthy participants. Most significant and non-significant bacterial microhabitat abundance comparisons in SDB were seen to closely resemble what was identified in healthy controls (Figs 1 and 2) [11, 12]. In addition, bacterial abundances before sleep at the tip of the tongue in SDB were approximately 3 million counts lower than the temporomandibular joint and 1 million counts higher than the palate \((p < 0.05; \text{Fig 1}; \text{Table 1})\). After sleep the temporomandibular joint was 12 million counts higher than the tip of the tongue, but 31 million counts lower than the gingivae \((p < 0.05; \text{Fig 1}; \text{Table 1})\). These regions of bacterial heterogeneity in SDB were not reported in healthy participants [11, 12].
In addition to the regions of VLP heterogeneity reported in healthy participants [12], SDB VLP counts at the palate were approximately 2, 3 and 5 million counts lower than the tip of tongue, molars and temporomandibular joint respectively, making it the location with significantly lower VLP in the SDB oral cavity before sleep \((p < 0.05; \text{Fig 2}; \text{Table 2})\). Other regions of VLP heterogeneity identified in SDB that were not identified in healthy controls were the 6 and 26 million lower counts of VLP at the molars compared to the back of tongue and gingivae respectively \((p < 0.05; \text{Fig 2}; \text{Table 2})\). However, the 16 million count difference reported between the back of the tongue and temporomandibular joint before sleep in healthy participants was not seen
to be significant in SDB (p < 0.05; Fig 2) [12]. All microhabitat VLP counts in the healthy paediatric oral cavity have been reported to be homogeneous after sleep [12]. Most sampled locations in SDB were also homogeneous in abundance to each other after sleep. However, unlike in healthy participants, VLP abundances at the back of the tongue and gingivae were 59 and 64 million counts higher than the palate after sleep respectively (p < 0.05; Fig 2; Table 2). As more regions of heterogeneity were observed in SDB this could suggest that the microhabitats in SDB are more distinct compared to healthy controls. This could be a result of greater differences in the anatomical and environmental factors mentioned above between microhabitats in SDB compared to healthy [5, 7-11, 21-24]. However, as these factors were not examined in this study, further research is required to understand if and how these conditions vary within the oral microhabitats of SDB.
We speculate that the majority of VLPs presented in this study are bacteriophages due to their close association with their bacterial hosts and high abundance in the environment [25-27]. Bacteriophages are an established component of the oral microbiome and are thought to be involved in shaping the bacterial communities residing there through their lytic and lysogenic lifecycles [25, 28, 29]. However, it is speculated that most of the oral bacteriophages are lysogenic, which enhances the transfer of genetic material within the environment [30-32]. It is through the transfer of genetic material that bacteria acquire new gene functions [31], such as antibiotic resistance [33]. Therefore, it is important to monitor bacteriophage abundances in various health states as they have the potential to alter the microbial community’s resistance to antibiotic treatments.
Individuals experiencing sleep related breathing disorders, such as OSA, are frequent mouth breathers throughout the day and during sleep [36, 37]. As a result, dry mouth has been reported with some studies proposing it as a significant symptom of OSA [37]. Upper airway resistance due to enlarged tonsils and adenoids are thought to be major contributors to why SDB breathe though their mouth [38]. As a result, the tip of the tongue in SDBs is expected to be the location most exposed to and influenced by the external environment. This means the microbial community residing there are constantly adapting to the changes in environmental conditions, making the tip of the tongue a competitive environment for the bacterial hosts. This competitive environment potentially makes it a location prone to invading pathogens. Therefore, viral lysis at this location could act as a line of defence against invading pathogens introduced from the external environment [39].
Snoring is another characteristic of SDB, where the soft palate, epiglottis, pharyngeal walls and tongue oscillate [40]. We speculate that snoring introduces friction at the back of the tongue that is not normally displayed to the same extent in healthy individuals. We speculate that the increased friction at the back of the tongue in SDB results in the shedding or dislodgment of mucosal fragments, bringing with it the bacterial communities residing there. As a result, the bacterial communities are less likely to develop to as high of abundance as healthy non-snorers. This may be reflected in the 46 million lower bacterial count at the back of the tongue after sleep in SDB than healthy controls (p = 0.020) [11, 12]. Bacterial counts were also 10 million counts lower in SDB at the back of the tongue before sleep compared to healthy controls (p = 0.047). Again, this may be a result of a dryer oral cavity due to mouth breathing throughout the day [36].
It has been reported that recurrent vibrations of the upper airways [41, 42] and exposure to respiratory viruses [43] results in localised inflammation and mucosal swelling [44-46]. Specifically, early life exposure to respiratory syncytial virus has been shown to increase upper airway lymphoid tissue and result in a higher obstructive apnoea-hypopnea index [43], highlighting a potential role for viruses in the pathophysiology of sleep apnoea. Here we show that VLP abundances in SDB were significantly different to healthy controls before and after sleep (p < 0.05). Half of the locations had significantly higher VLP counts than the healthy controls with differences of up to 7 million. The other half had significantly lower VLP, by counts of up to 12 million. After sleep, healthy controls were 23, 20, 15 and 21 million counts higher in VLP abundance at the temporomandibular joint, back of tongue, gingivae and molars respectively compared to SDB (p < 0.05). These differences in VLPs could again be due to variations in environmental conditions between health states, such as the already mentioned factors of salivary flow, oral dryness, anatomical differences or immune responses [5, 7-11, 21-24]. However, they could also indicate a difference in bacterial community structure between health states. Although no significant difference was observed in the bacterial abundances between healthy and SDB for most microhabitats, differences in the bacterial taxonomy could still be present. The differences in VLP abundance between healthy and SDB may reflect different viral communities present with different host ranges. Therefore, bacterial 16S analysis is required to identify these possible taxonomic differences as flow cytometry without specific bacterial probes cannot identify taxonomy.
In conclusion, we observed that oral microhabitats in paediatric SDB significantly differ in microbial abundance to healthy paediatric participants. The main differences were observed between VLPs, suggesting a possible difference in the
bacterial taxonomy as opposed to abundance. With increasing studies showing the importance of the oral microbiome in many metabolic pathways, it is imperative to understand what effect perturbations to these communities have on our health. This is none so more important than in the paediatric age group where growth and development is still taking place. Further studies in characterising the bacterial taxonomy of microhabitats in paediatric SDB before and after sleep will provide further insight into what, if any, differences are present in the oral microbiome, and the potential impact these changes have on overall health. However, care should be taken when interoperating results, as we have shown biomass in the oral cavity varies through space and time.
Acknowledgements
This study was supported by Flinders University, Adelaide University and grants from the Australian Research Council, Channel 7 Research Foundation and the Australian Office of Learning and Teaching. We would like to thank the staff at the Flinders Medical Centre Flow Cytometry Unit for their technical support throughout the study.
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## Supplementary information
### S1 Table. SDB bacterial abundances in the oral cavity before sleep for each participant. Eluted swab samples were prepared and run three times on the flow cytometer as a method replicate (R).
| Participant | Temporomandibular joint | Back of tongue | Gingivae | Palate | Molars | Tip of tongue |
|-------------|-------------------------|----------------|----------|--------|--------|--------------|
| | R1 | R2 | R3 | R1 | R2 | R3 | R1 | R2 | R3 | R1 | R2 | R3 | R1 | R2 | R3 |
| 1 | 9.3E+06 | 8.9E+06 | 1.0E+07 | 2.7E+07| 2.5E+07| 2.8E+07| 9.0E+07 | 6.4E+07 | 5.9E+07| 3.4E+06 | 3.8E+06 | 2.7E+06 | 6.9E+06 | 5.1E+06 | 5.1E+06 | 3.6E+06 | 3.7E+06 | 3.0E+06 |
| 2 | 8.2E+06 | 1.0E+07 | 8.7E+06 | 4.0E+07| 2.8E+07| 3.4E+07| 5.9E+07 | 6.3E+07 | 6.8E+07| 7.0E+06 | 6.7E+06 | 6.7E+06 | 6.2E+06 | 6.7E+06 | 7.9E+06 | 1.1E+07 | 9.8E+06 | 9.5E+06 |
| 3 | 2.0E+07 | 1.5E+07 | 1.7E+07 | 5.4E+07| 5.9E+07| 5.6E+07| 1.2E+08 | 9.1E+07 | 1.1E+08| 1.0E+06 | 9.9E+05 | 9.9E+05 | 8.4E+06 | 6.3E+06 | 5.9E+06 | 3.9E+06 | 4.1E+06 | 4.2E+06 |
| 4 | 3.6E+06 | 4.5E+06 | 5.4E+06 | 1.3E+07| 1.1E+07| 1.1E+07| 7.2E+07 | 7.4E+07 | 1.0E+08| 4.9E+05 | 3.0E+05 | 7.1E+05 | 7.4E+05 | 1.2E+06 | 2.0E+06 | 1.3E+06 | 1.7E+06 |
| 5 | 8.2E+06 | 1.0E+07 | 7.0E+06 | 3.3E+07| 3.0E+07| 2.4E+07| 5.1E+07 | 4.7E+07 | 3.2E+07| 4.4E+05 | 2.1E+05 | 3.7E+05 | 1.1E+07 | 7.5E+06 | 1.8E+06 | 2.0E+06 | 2.4E+06 |
| 6 | 3.2E+06 | 4.4E+06 | 2.8E+06 | 1.4E+07| 1.6E+07| 1.8E+07| 1.5E+06 | 2.4E+06 | 2.3E+06| 1.2E+05 | 2.9E+05 | 2.1E+05 | 3.1E+06 | 2.5E+06 | 3.5E+06 | 6.1E+06 | 6.1E+06 | 5.2E+06 |
| 7 | 6.9E+06 | 7.8E+06 | 7.9E+06 | 5.2E+07| 5.3E+07| 6.3E+07| 1.7E+07 | 1.4E+07 | 2.0E+07| 1.0E-06 | 9.1E+05 | 1.1E+06 | 8.1E+05 | 1.6E+06 | 1.1E+06 | 4.8E+05 | 6.4E+05 | 7.2E+05 |
| 8 | 6.7E+06 | 6.2E+06 | 6.7E+06 | 8.2E+06| 8.3E+06| 8.4E+06| 1.6E+07 | 1.5E+07 | 1.1E+07| 2.9E+05 | 2.8E+05 | 2.7E+05 | 5.4E+05 | 4.3E+05 | 6.5E+05 | 3.8E+05 | 6.6E+05 | 7.8E+05 |
| 9 | 2.2E+06 | 2.3E+06 | 2.2E+06 | 2.6E+07| 3.2E+07| 2.8E+07| 2.6E+06 | 2.8E+06 | 3.7E+06| 3.1E+05 | 3.1E+05 | 3.6E+05 | 3.0E+05 | 2.3E+05 | 1.5E+06 | 1.6E+06 | 1.6E+06 |
| 10 | 1.9E+06 | 1.9E+06 | 1.8E+06 | 7.5E+06| 8.0E+06| 7.4E+06| 5.2E+06 | 4.8E+06 | 4.1E+06| 1.5E+05 | 1.2E+05 | 4.4E+04 | 1.6E+06 | 1.2E+06 | 1.4E+06 | 8.1E+05 | 8.5E+05 | 5.9E+05 |
| 11 | 2.0E+06 | 4.1E+06 | 2.6E+06 | 7.1E+06| 8.4E+06| 6.8E+06| 3.3E+06 | 4.2E+06 | 3.2E+06| 1.6E+04 | 3.6E+04 | 6.2E+04 | 4.0E+05 | 5.2E+05 | 6.3E+05 | 1.9E+06 | 2.4E+06 | 3.0E+06 |
| 12 | 1.9E+06 | 1.3E+06 | 1.7E+06 | 4.5E+06| 4.7E+06| 3.5E+06| 2.5E+07 | 2.2E+07 | 1.9E+07| 8.3E+04 | 6.8E+04 | 7.2E+04 | 7.5E+06 | 9.8E+06 | 7.7E+06 | 4.8E+05 | 4.3E+05 | 3.7E+05 |
| 13 | 1.0E+06 | 1.4E+06 | 1.1E+06 | 1.1E+07| 9.4E+06| 1.1E+07| 3.7E+06 | 4.4E+06 | 4.6E+06| 9.8E+04 | 1.1E+05 | 9.5E+04 | 1.1E+06 | 1.4E+06 | 1.6E+06 | 4.7E+04 | 7.8E+04 | 4.0E+04 |
| 14 | 5.3E+05 | 7.0E+05 | 6.1E+05 | 2.2E+07| 1.9E+07| 1.6E+07| 2.0E+06 | 2.7E+06 | 1.8E+06| 1.2E+05 | 1.2E+05 | 1.5E+05 | 1.4E+06 | 1.3E+06 | 1.2E+06 | 2.8E+05 | 3.6E+05 | 1.3E+05 |
| 15 | 3.6E+05 | 3.0E+05 | 5.0E+05 | 1.6E+06| 1.1E+06| 9.1E+05| 1.2E+06 | 4.8E+05 | 7.9E+05| 8.9E+04 | 1.4E+05 | 6.5E+04 | 4.2E+05 | 2.0E+05 | 3.0E+05 | 9.7E+05 | 1.3E+06 | 7.4E+05 |
| 16 | 4.7E+05 | 3.9E+05 | 4.4E+05 | 1.7E+05| 3.1E+05| 2.3E+05| 3.8E+06 | 7.1E+06 | 8.2E+06| 2.8E+04 | 4.5E+04 | 6.1E+04 | 4.3E+05 | 3.6E+05 | 4.1E+05 | 1.2E+05 | 8.6E+04 | 1.5E+05 |
| 17 | 3.3E+06 | 4.5E+06 | 3.2E+06 | 2.4E+07| 1.9E+07| 1.9E+07| 1.0E+07 | 1.0E+07 | 8.6E+06| 4.3E+06 | 3.9E+06 | 3.8E+06 | 1.2E+07 | 1.7E+07 | 1.1E+07 | 2.6E+06 | 1.4E+06 | 2.1E+06 |
| 18 | 6.2E+05 | 8.5E+05 | 7.8E+05 | 7.8E+05| 6.6E+05| 6.1E+05| 3.9E+06 | 4.5E+06 | 3.7E+06| 1.9E+05 | 2.0E+05 | 1.5E+05 | 1.3E+05 | 1.2E+05 | 1.1E+05 | 1.2E+06 | 1.3E+06 | 9.0E+05 |
| 19 | 5.5E+06 | 3.5E+06 | 8.6E+06 | 1.4E+07| 1.5E+07| 1.6E+07| 2.2E+07 | 2.2E+07 | 2.0E+07| 3.1E+05 | 2.8E+05 | 2.2E+05 | 1.0E+06 | 9.4E+05 | 1.0E+06 | 6.6E+05 | 6.6E+05 | 4.6E+05 |
| 20 | 2.9E+06 | 1.6E+06 | 2.2E+06 | 2.9E+07| 2.4E+07| 2.4E+07| 2.8E+07 | 3.5E+07 | 3.0E+07| 4.4E+05 | 3.3E+05 | 3.5E+05 | 6.2E+05 | 8.3E+05 | 9.8E+05 | 5.7E+05 | 4.8E+05 | 6.4E+05 |
S2 Table. SDB bacterial abundances in the oral cavity after sleep for each participant. Eluted swab samples were prepared and run three times on the flow cytometer as a method replicate (R).
| Participant | Temporomandibular joint | Back of tongue | Gingivae | Palate | Molars | Tip of tongue |
|-------------|-------------------------|----------------|----------|--------|--------|--------------|
| | R1 | R2 | R3 | R1 | R2 | R3 | R1 | R2 | R3 | R1 | R2 | R3 | R1 | R2 | R3 |
| 1 | 4.5E+07 | 2.4E+07 | 3.7E+07 | 6.5E+07| 1.0E+08| 8.8E+07| 6.4E+07 | 5.6E+07| 4.0E+07| 6.3E+05| 4.2E+05| 3.5E+05| 1.1E+07| 2.2E+07| 1.5E+07| 9.3E+06| 1.4E+07| 1.1E+07|
| 2 | 5.9E+07 | 5.8E+07 | 6.9E+07 | 1.7E+08| 1.4E+08| 1.4E+08| 1.1E+08 | 1.3E+08| 9.1E+06| 7.7E+06| 8.4E+07| 1.1E+08| 9.5E+07| 4.2E+07| 6.3E+07| 1.7E+08|
| 3 | 3.3E+06 | 7.9E+06 | 5.9E+06 | 1.9E+08| 2.4E+08| 2.8E+08| 2.8E+08 | 4.0E+08| 3.1E+08| 6.1E+06| 8.0E+06| 5.3E+06| 9.4E+06| 6.6E+06| 3.3E+07| 2.2E+07|
| 4 | 2.2E+06 | 2.4E+06 | 1.7E+06 | 2.3E+07| 8.3E+06| 2.4E+07| 5.4E+07 | 3.1E+07| 5.0E+07| 5.6E+05| 4.0E+05| 3.5E+05| 2.0E+06| 1.6E+06| 1.3E+06| 1.0E+06| 1.2E+06| 1.3E+06|
| 5 | 1.7E+07 | 2.0E+07 | 1.4E+07 | 1.4E+08| 1.6E+08| 1.2E+08| 1.2E+08 | 1.5E+08| 1.4E+07| 1.7E+07| 1.4E+07| 5.5E+07| 6.6E+07| 5.0E+07| 2.3E+07| 3.6E+07| 3.0E+07|
| 6 | 1.9E+07 | 1.4E+07 | 1.9E+07 | 1.3E+08| 1.7E+08| 2.4E+07| 2.3E+07 | 1.5E+07| 7.3E+05| 9.8E+05| 9.7E+05| 3.6E+06| 2.8E+06| 3.4E+06| 4.8E+06| 2.9E+06|
| 7 | 2.6E+06 | 2.1E+06 | 3.1E+06 | 1.1E+08| 8.7E+07| 9.9E+07| 2.3E+07 | 2.1E+07| 3.1E+07| 6.3E+05| 6.8E+05| 7.1E+05| 5.9E+06| 6.9E+06| 4.6E+06| 3.3E+06| 3.5E+06| 2.4E+06|
| 8 | 4.2E+07 | 5.1E+07 | 4.3E+07 | 6.3E+07| 6.2E+07| 5.5E+07| 4.5E+07 | 3.7E+07| 5.8E+07| 4.1E+05| 4.2E+05| 3.8E+05| 1.7E+06| 2.6E+06| 2.5E+06| 2.8E+06| 2.8E+06|
| 9 | 3.7E+06 | 4.2E+06 | 4.4E+06 | 3.1E+07| 3.5E+07| 3.0E+07| 1.5E+06 | 2.7E+06| 1.5E+06| 3.1E+06| 3.4E+06| 2.6E+06| 2.2E+07| 1.7E+07| 1.4E+07| 1.4E+06| 2.1E+06| 2.0E+06|
| 10 | 6.3E+07 | 3.6E+07 | 5.8E+07 | 6.4E+07| 7.9E+07| 7.3E+07| 3.0E+06 | 2.1E-06| 3.4E+06| 4.5E+06| 3.4E+06| 5.0E+06| 2.9E+06| 3.8E+06| 4.2E-06| 9.5E+05| 8.7E+05| 9.6E+05|
| 11 | 1.4E+07 | 8.9E+06 | 8.3E+06 | 5.2E+07| 5.2E+07| 6.4E+07| 8.4E+06 | 1.0E+07| 8.9E+06| 1.0E+06| 1.8E+06| 1.0E+06| 1.1E+07| 6.7E+06| 1.3E+07| 2.8E+06| 3.3E+06| 3.2E+06|
| 12 | 1.3E+07 | 1.3E+07 | 8.4E+06 | 2.6E+07| 2.8E+07| 2.5E+07| 5.6E+06 | 5.4E+06| 4.2E+06| 1.1E+06| 1.2E+06| 9.7E+05| 8.9E+06| 6.8E+06| 8.1E+06| 8.9E+06| 9.8E+06| 8.4E+06|
| 13 | 3.1E+07 | 2.6E+07 | 3.5E+07 | 1.2E+08| 1.4E+08| 1.2E+08| 4.6E+07 | 4.9E+07| 4.5E+07| 3.1E+06| 2.7E+06| 2.3E+06| 6.9E+06| 5.6E+06| 5.9E+06| 2.3E+06| 3.1E+06| 2.5E+06|
| 14 | 1.4E+08 | 1.3E+08 | 1.2E+08 | 1.9E+08| 1.6E+08| 8.7E+07| 4.2E+07 | 7.2E+07| 4.6E+07| 5.8E+06| 1.1E+07| 9.9E+06| 2.8E+07| 3.0E+07| 1.9E+07| 8.3E+06| 6.1E+06| 5.7E+06|
| 15 | 4.1E+07 | 3.2E+07 | 4.3E+07 | 1.2E+08| 1.0E+08| 1.2E+08| 1.4E+07 | 2.1E+07| 3.3E+07| 1.0E+07| 7.5E+06| 7.1E+06| 8.0E+06| 1.3E+07| 6.1E+06| 1.5E+07| 2.4E+07| 1.9E+07|
| 16 | 6.2E+06 | 7.7E+06 | 8.3E+06 | 4.8E+06| 4.3E+06| 2.7E+06| 7.7E+06 | 1.4E+07| 7.0E+06| 1.5E+06| 1.2E+06| 1.8E+06| 9.2E+06| 1.6E+07| 1.8E+07| 4.4E+06| 6.1E+06| 3.8E+06|
| 17 | 3.4E+07 | 6.6E+07 | 2.9E+07 | 9.2E+07| 3.7E+08| 1.4E+08| 7.5E+07 | 1.1E+08| 1.4E+08| 7.3E+05| 7.3E+05| 6.4E+05| 2.2E+06| 3.0E+06| 8.1E+06| 1.4E+07| 3.9E+07| 2.5E+07|
| 18 | 2.3E+06 | 2.3E+06 | 2.2E+06 | 1.6E+07| 7.8E+06| 1.1E+07| 3.8E+07 | 3.5E+07| 9.7E+06| 9.3E+06| 7.6E+06| 3.2E+06| 3.3E+06| 5.6E+06| 3.6E+07| 3.8E+07|
| 19 | 4.2E+06 | 4.1E+06 | 4.1E+06 | 2.2E+07| 1.8E+07| 2.1E+07| 6.7E+07 | 6.4E+07| 4.7E+07| 2.9E+06| 4.4E+06| 3.3E+06| 1.6E+07| 1.3E+07| 1.4E+07| 1.9E+06| 2.0E+06| 2.0E+06|
| 20 | 9.4E+06 | 1.0E+07 | 7.6E+06 | 3.9E+07| 4.0E+07| 3.6E+07| 3.3E+07| 5.2E+07| 2.8E+07| 7.1E+05| 6.1E+05| 5.9E+05| 1.4E+07| 1.3E+07| 9.1E+06| 1.5E+07| 1.6E+07| 1.5E+07|
### S3 Table. SDB VLP abundances in the oral cavity before sleep for each participant. Eluted swab samples were prepared and run three times on the flow cytometer as a method replicate (R).
| Participant | Temporomandibular joint | Back of tongue | Gingivae | Palate | Molars | Tip of tongue |
|-------------|-------------------------|----------------|----------|--------|--------|--------------|
| | R1 | R2 | R3 | R1 | R2 | R3 | R1 | R2 | R3 | R1 | R2 | R3 | R1 | R2 | R3 |
| 1 | 7.1E+06 | 6.0E+06 | 9.3E+06 | 1.2E+07 | 1.1E+07 | 1.3E+07 | 1.1E+08 | 9.9E+07 | 9.0E+07 | 1.4E+06 | 1.6E+06 | 1.4E+06 | 1.3E+07 | 1.4E+07 | 1.3E+07 | 2.9E+06 | 2.7E+06 | 3.5E+06 |
| 2 | 3.7E+07 | 4.7E+07 | 3.9E+07 | 4.4E+07 | 2.7E+07 | 3.9E+07 | 1.3E+08 | 1.5E+08 | 7.9E+07 | 1.2E+07 | 1.1E+07 | 1.3E+07 | 2.5E+07 | 2.4E+07 | 2.3E+07 | 3.1E+07 | 2.5E+07 | 2.8E+07 |
| 3 | 1.0E+07 | 9.3E+06 | 1.0E+07 | 1.3E+07 | 1.4E+07 | 1.7E+07 | 1.5E+08 | 1.1E+08 | 1.4E+08 | 4.8E+05 | 5.0E+05 | 5.1E+05 | 4.8E+06 | 4.1E+06 | 4.5E+06 | 1.1E+06 | 9.3E+05 | 9.5E+05 |
| 4 | 4.8E+06 | 3.1E+06 | 5.6E+06 | 2.5E+06 | 2.6E+06 | 3.9E+06 | 1.3E+07 | 1.2E+07 | 1.6E+07 | 8.6E+05 | 7.6E+05 | 6.2E+05 | 9.0E+05 | 1.2E+06 | 1.0E+06 | 6.3E+05 | 1.1E+06 |
| 5 | 2.0E+07 | 1.7E+07 | 2.1E+07 | 2.1E+07 | 1.6E+07 | 1.5E+07 | 1.0E+07 | 1.3E+07 | 4.9E+05 | 4.5E+05 | 4.8E+05 | 1.5E+07 | 1.9E+07 | 1.4E+07 | 1.1E+07 | 1.4E+07 | 1.7E+07 |
| 6 | 4.6E+05 | 6.7E+05 | 5.2E+05 | 2.1E+06 | 2.4E+06 | 3.1E+06 | 1.1E+06 | 1.6E+06 | 1.4E+06 | 7.0E+04 | 4.4E+04 | 3.4E+04 | 1.7E+06 | 1.5E+06 | 3.4E+06 | 4.5E+06 | 3.8E+06 |
| 7 | 1.6E+06 | 7.6E+05 | 1.3E+06 | 1.8E+07 | 1.5E+07 | 2.4E+07 | 5.3E+06 | 4.7E+06 | 5.5E+06 | 4.2E+05 | 3.1E+05 | 5.1E+05 | 1.4E+06 | 8.6E+05 | 5.9E+05 | 1.1E+06 | 4.4E+05 | 1.5E+06 |
| 8 | 3.8E+06 | 5.8E+06 | 3.2E+06 | 3.2E+06 | 3.0E+06 | 2.3E+06 | 6.0E+06 | 4.6E+06 | 6.1E+06 | 1.1E+05 | 7.9E+04 | 1.2E+05 | 6.6E+05 | 1.0E+06 | 1.2E+06 | 5.4E+05 | 8.3E+05 | 7.3E+05 |
| 9 | 9.8E+06 | 8.5E+06 | 3.8E+06 | 4.6E+06 | 4.9E+06 | 5.0E+06 | 2.7E+06 | 4.2E+06 | 2.2E+06 | 3.0E+06 | 2.2E+06 | 3.3E+06 | 3.0E+05 | 2.5E+05 | 2.5E+05 | 8.1E+06 | 7.9E+06 | 1.0E+07 |
| 10 | 1.2E+06 | 9.6E+05 | 1.4E+06 | 2.5E+06 | 3.3E+06 | 2.8E+06 | 1.6E+06 | 8.7E+05 | 9.4E+05 | 9.9E+04 | 4.9E+04 | 6.7E+04 | 4.7E+05 | 4.1E+05 | 1.1E+06 | 3.4E+05 | 2.4E+05 | 3.1E+05 |
| 11 | 1.4E+07 | 1.9E+07 | 1.9E+07 | 2.2E+06 | 2.3E+06 | 4.2E+06 | 6.1E+06 | 4.5E+06 | 7.1E+06 | 7.0E+03 | 2.9E+04 | 1.6E+05 | 1.0E+06 | 1.3E+06 | 7.7E+05 | 4.0E+06 | 2.7E+06 | 4.9E+06 |
| 12 | 5.4E+06 | 4.3E+06 | 6.4E+06 | 4.0E+06 | 3.2E+06 | 3.4E+06 | 5.9E+07 | 3.5E+07 | 4.8E+07 | 1.7E+05 | 2.0E+05 | 1.2E+05 | 4.5E+06 | 5.0E+06 | 4.8E+06 | 1.1E+06 | 1.5E+06 | 1.1E+06 |
| 13 | 7.4E+05 | 1.3E+06 | 1.6E+06 | 1.5E+07 | 1.4E+07 | 2.3E+07 | 1.8E+06 | 2.7E+06 | 2.5E+06 | 3.0E+05 | 8.8E+04 | 5.6E+04 | 2.4E+06 | 4.1E+06 | 6.2E+06 | 1.1E+05 | 4.1E+05 |
| 14 | 3.3E+05 | 3.1E+05 | 6.7E+04 | 2.9E+06 | 2.2E+06 | 2.2E+06 | 2.3E+06 | 1.9E+06 | 2.1E+06 | 1.8E+04 | 9.9E+03 | 1.0E+04 | 3.8E+06 | 8.0E+06 | 2.5E+06 | 4.8E+04 | 5.2E+04 | 3.8E+04 |
| 15 | 5.1E+05 | 2.3E+05 | 1.9E+05 | 2.2E+06 | 8.1E+05 | 1.7E+06 | 1.1E+06 | 1.3E+06 | 3.6E+06 | 4.1E+04 | 5.8E+04 | 5.5E+04 | 2.6E+05 | 2.5E+05 | 1.8E+05 | 3.2E+06 | 1.6E+06 | 1.4E+06 |
| 16 | 1.7E+05 | 1.6E+05 | 9.4E+04 | 3.1E+05 | 3.9E+05 | 2.3E+05 | 3.1E+05 | 5.0E+05 | 5.3E+05 | 3.4E+04 | 6.5E+04 | 3.7E+04 | 1.7E+05 | 3.3E+05 | 1.8E+05 | 2.2E+05 | 1.8E+05 | 2.5E+05 |
| 17 | 2.2E+06 | 2.8E+06 | 2.2E+06 | 2.6E+07 | 1.6E+07 | 2.3E+07 | 5.3E+06 | 7.9E+06 | 5.5E+06 | 5.6E+06 | 6.1E+06 | 5.6E+06 | 5.6E+06 | 1.0E+07 | 1.4E+07 | 1.8E+06 | 2.0E+06 | 1.8E+06 |
| 18 | 6.7E+05 | 1.3E+06 | 1.5E+06 | 6.0E+05 | 4.8E+05 | 7.2E+05 | 6.1E+05 | 6.7E+05 | 1.1E+06 | 2.2E+05 | 2.8E+05 | 1.7E+05 | 1.9E+05 | 3.0E+05 | 4.2E+05 | 2.1E+06 | 8.9E+05 | 4.4E+05 |
| 19 | 1.5E+06 | 1.7E+06 | 2.8E+06 | 1.9E+07 | 2.7E+07 | 2.9E+07 | 5.2E+07 | 3.7E+07 | 6.5E+07 | 1.5E+06 | 1.8E+06 | 1.1E+06 | 4.2E+06 | 2.4E+06 | 2.9E+06 | 1.1E+06 | 8.7E+05 | 1.4E+06 |
| 20 | 1.9E+06 | 8.1E+05 | 1.9E+06 | 1.6E+07 | 1.7E+07 | 1.5E+07 | 1.1E+08 | 1.1E+08 | 8.4E+07 | 1.8E+06 | 6.6E+05 | 8.2E+05 | 1.5E+06 | 1.6E+06 | 1.5E+06 | 3.3E+06 | 3.2E+06 | 4.3E+06 |
### S4 Table. SDB VLP abundances in the oral cavity after sleep for each participant. Eluted swab samples were prepared and run three times on the flow cytometer as a method replicate (R).
| Participant | Temporomandibular joint | Back of tongue | Gingivae | Palate | Molars | Tip of tongue |
|-------------|--------------------------|----------------|----------|--------|--------|--------------|
| | R1 | R2 | R3 | R1 | R2 | R3 | R1 | R2 | R3 | R1 | R2 | R3 | R1 | R2 | R3 |
| 1 | 2.8E+07 | 3.0E+07 | 3.5E+07 | 7.3E+06 | 8.3E+06 | 9.7E+06 | 5.8E+07 | 4.7E+07 | 6.8E+07 | 7.8E+04 | 8.6E+05 | 1.2E+05 | 9.5E+06 | 1.1E+07 | 9.2E+06 | 2.5E+06 | 3.2E+06 | 2.5E+06 |
| 2 | 2.0E+08 | 2.5E+08 | 2.4E+08 | 2.0E+08 | 1.3E+08 | 1.4E+08 | 4.6E+08 | 4.2E+08 | 3.3E+08 | 1.7E+08 | 1.1E+08 | 8.6E+07 | 2.9E+08 | 2.3E+08 | 5.2E+08 | 7.1E+08 | 2.1E+09 |
| 3 | 3.1E+06 | 1.1E+07 | 7.6E+06 | 9.8E+07 | 1.3E+08 | 2.4E+08 | 6.2E+08 | 5.3E+08 | 4.3E+08 | 6.5E+06 | 9.9E+06 | 8.5E+06 | 7.4E+06 | 8.0E+06 | 6.9E+06 | 7.1E+06 | 7.0E+06 | 6.0E+06 |
| 4 | 4.2E+05 | 4.3E+05 | 8.1E+05 | 5.6E+06 | 4.8E+06 | 1.1E+07 | 1.1E+07 | 6.3E+06 | 1.2E+07 | 6.1E+05 | 6.0E+05 | 4.6E+05 | 8.5E+05 | 8.1E+05 | 2.4E+05 | 1.2E+06 | 8.8E+05 | 6.7E+05 |
| 5 | 4.8E+07 | 6.6E+07 | 1.2E+08 | 4.6E+08 | 4.3E+08 | 4.6E+08 | 5.7E+07 | 5.3E+07 | 5.9E+07 | 6.0E+07 | 6.7E+07 | 7.8E+07 | 1.7E+08 | 1.9E+08 | 2.8E+08 | 2.5E+08 | 1.8E+08 | 2.2E+08 |
| 6 | 2.5E+06 | 2.1E+06 | 2.7E+06 | 1.2E+08 | 2.8E+08 | 8.5E+07 | 2.3E+07 | 2.4E+07 | 1.8E+07 | 2.8E+06 | 1.9E+06 | 3.6E+06 | 4.1E+06 | 4.4E+06 | 7.3E+06 | 9.2E+06 | 6.2E+06 |
| 7 | 2.4E+05 | 1.5E+05 | 1.8E+05 | 7.6E+06 | 5.5E+06 | 8.4E+06 | 3.9E+06 | 3.9E+06 | 5.2E+06 | 4.1E+05 | 6.5E+05 | 1.4E+06 | 3.6E+06 | 1.5E+06 | 2.7E+06 | 6.1E+05 | 5.7E+05 | 1.4E+06 |
| 8 | 4.3E+06 | 5.9E+06 | 3.9E+06 | 1.8E+06 | 1.6E+06 | 1.7E+06 | 2.2E+07 | 1.3E+07 | 3.0E+07 | 9.5E+04 | 7.1E+04 | 9.1E+04 | 3.0E+05 | 6.7E+05 | 3.9E+05 | 2.1E+05 | 2.0E+05 | 3.5E+05 |
| 9 | 4.7E+06 | 2.7E+06 | 3.4E+06 | 1.6E+07 | 1.3E+07 | 1.2E+07 | 2.0E+06 | 6.4E+06 | 3.8E+06 | 7.0E+06 | 5.5E+06 | 9.5E+06 | 7.1E+07 | 6.4E+07 | 5.1E+07 | 4.0E+06 | 4.2E+06 | 5.0E+06 |
| 10 | 2.7E+07 | 2.7E+07 | 2.6E+07 | 1.6E+07 | 1.2E+07 | 1.4E+07 | 1.2E+06 | 8.9E+05 | 7.0E+05 | 4.9E+06 | 6.2E+06 | 5.3E+06 | 4.3E+06 | 5.9E+06 | 5.3E+06 | 7.0E+05 | 1.1E+06 | 8.5E+05 |
| 11 | 4.6E+06 | 4.0E+06 | 6.4E+06 | 7.2E+06 | 4.6E+06 | 5.2E+06 | 4.7E+06 | 6.8E+06 | 7.1E+06 | 2.8E+06 | 2.4E+06 | 2.7E+06 | 6.1E+06 | 1.2E+07 | 1.0E+07 | 2.8E+06 | 1.7E+06 | 3.6E+06 |
| 12 | 5.3E+06 | 4.3E+06 | 4.2E+06 | 4.1E+06 | 5.1E+06 | 4.7E+06 | 2.8E+06 | 2.8E+06 | 2.6E+06 | 2.9E+05 | 4.3E+05 | 4.5E+05 | 4.3E+06 | 4.5E+06 | 3.4E+06 | 6.6E+05 | 6.9E+05 | 1.3E+06 |
| 13 | 4.7E+07 | 5.4E+07 | 7.9E+07 | 3.7E+07 | 4.7E+07 | 5.4E+07 | 1.2E+07 | 1.3E+07 | 1.7E+07 | 4.5E+06 | 4.4E+06 | 4.0E+06 | 1.4E+07 | 1.3E+07 | 1.2E+07 | 3.7E+06 | 3.8E+06 | 3.5E+06 |
| 14 | 9.4E+07 | 8.3E+07 | 1.1E+08 | 3.9E+07 | 3.7E+07 | 3.0E+07 | 5.1E+07 | 5.4E+07 | 5.4E+07 | 4.1E+06 | 4.6E+06 | 5.4E+06 | 3.0E+07 | 3.0E+07 | 2.4E+07 | 3.4E+06 | 2.9E+06 | 2.7E+06 |
| 15 | 8.9E+07 | 5.9E+07 | 4.9E+07 | 5.9E+07 | 4.9E+07 | 7.7E+07 | 1.6E+07 | 1.5E+07 | 3.3E+07 | 1.3E+07 | 1.2E+07 | 1.5E+07 | 1.2E+07 | 2.2E+07 | 2.0E+07 | 4.4E+07 | 5.4E+07 | 5.7E+07 |
| 16 | 1.7E+06 | 2.4E+06 | 2.4E+06 | 2.1E+06 | 1.7E+06 | 1.7E+06 | 2.0E+06 | 2.9E+06 | 1.6E+06 | 4.5E+05 | 4.8E+05 | 5.9E+05 | 2.8E+06 | 4.2E+06 | 5.2E+06 | 1.2E+06 | 4.3E+06 | 2.6E+06 |
| 17 | 4.6E+07 | 8.2E+07 | 2.1E+07 | 1.3E+08 | 5.9E+08 | 1.1E+08 | 1.1E+08 | 8.8E+07 | 2.5E+08 | 2.3E+06 | 1.1E+06 | 1.4E+06 | 5.3E+06 | 6.8E+06 | 1.1E+07 | 3.2E+07 | 4.4E+07 | 2.7E+07 |
| 18 | 2.8E+06 | 3.0E+06 | 3.3E+06 | 2.7E+07 | 1.3E+07 | 2.4E+07 | 9.0E+07 | 1.1E+08 | 8.1E+07 | 1.3E+07 | 1.9E+07 | 2.1E+07 | 1.3E+07 | 1.2E+07 | 1.3E+07 | 1.1E+07 | 1.3E+07 |
| 19 | 8.7E+05 | 6.9E+05 | 1.0E+06 | 6.8E+06 | 4.1E+06 | 5.9E+06 | 6.4E+06 | 6.3E+06 | 3.9E+06 | 4.8E+06 | 5.6E+06 | 5.1E+06 | 1.0E+07 | 1.1E+07 | 9.0E+06 | 3.3E+06 | 2.2E+06 | 2.2E+06 |
| 20 | 1.8E+07 | 1.7E+07 | 1.3E+07 | 1.1E+07 | 1.1E+07 | 1.0E+07 | 7.0E+07 | 1.1E+08 | 9.1E+07 | 1.8E+06 | 1.9E+06 | 1.2E+06 | 3.6E+07 | 2.3E+07 | 2.2E+07 | 1.1E+07 | 1.3E+07 | 1.1E+07 |
S5 Table. Mean bacterial abundances for each sample site in the oral cavity before sleep for each SDB participant.
| Participant | Temporomandibular joint | Back of tongue | Gingivae | Palate | Molars | Tip of tongue |
|-------------|-------------------------|---------------|----------|--------|--------|--------------|
| 1 | 9.42E+06 | 2.66E+07 | 7.10E+07 | 3.28E+06 | 5.70E+06 | 3.41E+06 |
| 2 | 9.04E+06 | 3.41E+07 | 6.35E+07 | 6.79E+06 | 6.93E+06 | 1.01E+07 |
| 3 | 1.72E+07 | 5.67E+07 | 1.05E+08 | 9.93E+05 | 6.86E+06 | 4.06E+06 |
| 4 | 4.49E+06 | 1.16E+07 | 8.29E+07 | 4.98E+05 | 8.23E+05 | 1.66E+06 |
| 5 | 8.44E+06 | 2.89E+07 | 4.35E+07 | 3.41E+05 | 9.54E+06 | 2.04E+06 |
| 6 | 3.46E+06 | 1.60E+07 | 2.06E+06 | 2.07E+05 | 3.03E+06 | 5.80E+06 |
| 7 | 7.51E+06 | 5.58E+07 | 1.69E+07 | 1.00E+06 | 1.17E+06 | 6.15E+05 |
| 8 | 6.53E+06 | 8.28E+06 | 1.41E+07 | 2.79E+05 | 5.40E+05 | 6.09E+05 |
| 9 | 2.24E+06 | 2.88E+07 | 3.04E+06 | 3.26E+05 | 2.50E+05 | 1.59E+06 |
| 10 | 1.89E+06 | 7.64E+06 | 4.71E+06 | 1.02E+05 | 1.42E+06 | 7.52E+05 |
| 11 | 2.87E+06 | 7.42E+06 | 3.59E+06 | 3.80E+04 | 5.16E+05 | 2.46E+06 |
| 12 | 1.65E+06 | 4.23E+06 | 2.20E+07 | 7.42E+04 | 8.34E+06 | 4.27E+05 |
| 13 | 1.20E+06 | 1.08E+07 | 4.24E+06 | 1.01E+05 | 1.38E+06 | 5.51E+04 |
| 14 | 6.15E+05 | 1.88E+07 | 2.16E+06 | 1.27E+05 | 1.32E+06 | 2.55E+05 |
| 15 | 3.85E+05 | 1.20E+06 | 8.19E+05 | 9.78E+04 | 3.05E+05 | 1.01E+06 |
| 16 | 4.32E+05 | 2.38E+05 | 6.39E+06 | 4.47E+04 | 4.00E+05 | 1.17E+05 |
| 17 | 3.68E+06 | 2.08E+07 | 9.80E+06 | 3.98E+06 | 1.33E+07 | 2.03E+06 |
| 18 | 7.50E+05 | 6.82E+05 | 4.03E+06 | 1.82E+05 | 1.20E+05 | 1.14E+06 |
| 19 | 5.91E+06 | 1.50E+07 | 2.14E+07 | 2.71E+05 | 1.01E+06 | 5.93E+05 |
| 20 | 2.23E+06 | 2.57E+07 | 3.08E+07 | 3.71E+05 | 8.11E+05 | 5.64E+05 |
S6 Table. Mean bacterial abundances for each sample site in the oral cavity after sleep for each SDB participant.
| Participant | Temporomandibular joint | Back of tongue | Gingivae | Palate | Molars | Tip of tongue |
|-------------|-------------------------|---------------|----------|--------|--------|--------------|
| 1 | 3.54E+07 | 8.44E+07 | 5.33E+07 | 4.70E+05 | 1.62E+07 | 1.14E+07 |
| 2 | 6.22E+07 | 1.50E+08 | 1.16E+08 | 8.10E+06 | 9.47E+07 | 9.30E+07 |
| 3 | 5.69E+06 | 2.36E+08 | 3.30E+08 | 6.96E+06 | 7.11E+06 | 2.57E+07 |
| 4 | 2.11E+06 | 1.83E+07 | 4.49E+07 | 4.34E+05 | 1.65E+06 | 1.16E+06 |
| 5 | 1.70E+07 | 1.52E+08 | 1.29E+08 | 1.51E+07 | 5.70E+07 | 2.97E+07 |
| 6 | 1.74E+07 | 1.40E+08 | 2.07E+07 | 8.92E+05 | 3.26E+06 | 3.69E+06 |
| 7 | 2.58E+06 | 9.89E+07 | 2.53E+07 | 6.73E+05 | 5.79E+06 | 3.43E+06 |
| 8 | 4.53E+07 | 5.99E+07 | 4.71E+07 | 4.02E+05 | 2.31E+06 | 2.72E+06 |
| 9 | 4.12E+06 | 3.21E+07 | 1.90E+06 | 3.04E+06 | 1.78E+07 | 1.85E+06 |
| 10 | 5.25E+07 | 7.21E+07 | 2.83E+06 | 4.31E+06 | 3.61E+06 | 9.27E+05 |
| 11 | 1.03E+07 | 5.61E+07 | 9.27E+06 | 1.29E+06 | 9.97E+06 | 3.12E+06 |
| 12 | 1.15E+07 | 2.61E+07 | 5.09E+06 | 1.07E+06 | 7.90E+06 | 9.04E+06 |
| 13 | 3.05E+07 | 1.29E+08 | 4.67E+07 | 2.72E+06 | 6.12E+06 | 2.62E+06 |
| 14 | 1.30E+08 | 1.45E+08 | 5.31E+07 | 8.77E+06 | 2.56E+07 | 6.70E+06 |
| 15 | 3.87E+07 | 1.13E+08 | 2.26E+07 | 8.23E+06 | 8.94E+06 | 1.96E+07 |
| 16 | 7.44E+06 | 3.93E+06 | 9.45E+06 | 1.48E+06 | 1.45E+07 | 4.76E+06 |
| 17 | 4.30E+07 | 2.00E+08 | 1.10E+08 | 7.03E+05 | 4.45E+06 | 2.61E+07 |
| 18 | 3.54E+07 | 8.44E+07 | 5.33E+07 | 4.70E+05 | 1.62E+07 | 1.14E+07 |
| 19 | 6.22E+07 | 1.50E+08 | 1.16E+08 | 8.10E+06 | 9.47E+07 | 9.30E+07 |
| 20 | 5.69E+06 | 2.36E+08 | 3.30E+08 | 6.96E+06 | 7.11E+06 | 2.57E+07 |
S7 Table. Mean VLP abundances for each sample site in the oral cavity before sleep for each SDB participant.
| Participant | Temporomandibular joint | Back of tongue | Gingivae | Palate | Molars | Tip of tongue |
|-------------|-------------------------|---------------|----------|--------|--------|--------------|
| 1 | 7.44E+06 | 1.21E+07 | 9.82E+07 | 1.48E+06 | 1.34E+07 | 3.03E+06 |
| 2 | 4.09E+07 | 3.66E+07 | 1.18E+08 | 1.19E+07 | 2.40E+07 | 2.80E+07 |
| 3 | 9.96E+06 | 1.46E+07 | 1.33E+08 | 4.98E+05 | 4.48E+06 | 9.89E+05 |
| 4 | 4.47E+06 | 3.01E+06 | 1.39E+07 | 7.45E+05 | 1.07E+06 | 9.33E+05 |
| 5 | 1.80E+07 | 1.97E+07 | 1.27E+07 | 4.73E+05 | 1.62E+07 | 1.42E+07 |
| 6 | 5.50E+05 | 2.54E+06 | 1.38E+06 | 4.94E+04 | 1.64E+06 | 3.88E+06 |
| 7 | 1.23E+06 | 1.91E+07 | 5.19E+06 | 4.14E+05 | 9.58E+05 | 1.00E+06 |
| 8 | 4.25E+06 | 2.84E+06 | 5.58E+06 | 1.02E+05 | 9.59E+05 | 7.02E+05 |
| 9 | 7.35E+06 | 4.84E+06 | 3.06E+06 | 2.84E+06 | 2.67E+05 | 8.66E+06 |
| 10 | 1.16E+06 | 2.87E+06 | 1.12E+06 | 7.18E+04 | 6.70E+05 | 2.98E+05 |
| 11 | 1.75E+07 | 2.91E+06 | 5.90E+06 | 6.42E+04 | 1.04E+06 | 3.86E+06 |
| 12 | 5.35E+06 | 3.53E+06 | 4.73E+07 | 1.61E+05 | 4.78E+06 | 1.26E+06 |
| 13 | 1.22E+06 | 1.73E+07 | 2.32E+06 | 1.48E+05 | 4.20E+06 | 6.94E+05 |
| 14 | 2.37E+05 | 2.42E+06 | 2.12E+06 | 1.26E+04 | 4.74E+06 | 4.61E+04 |
| 15 | 7.44E+06 | 1.21E+07 | 9.82E+07 | 1.48E+06 | 1.34E+07 | 3.03E+06 |
| 16 | 4.09E+07 | 3.66E+07 | 1.18E+08 | 1.19E+07 | 2.40E+07 | 2.80E+07 |
| 17 | 9.96E+06 | 1.46E+07 | 1.33E+08 | 4.98E+05 | 4.48E+06 | 9.89E+05 |
| 18 | 4.47E+06 | 3.01E+06 | 1.39E+07 | 7.45E+05 | 1.07E+06 | 9.33E+05 |
| 19 | 1.80E+07 | 1.97E+07 | 1.27E+07 | 4.73E+05 | 1.62E+07 | 1.42E+07 |
| 20 | 5.50E+05 | 2.54E+06 | 1.38E+06 | 4.94E+04 | 1.64E+06 | 3.88E+06 |
S8 Table. Mean VLP abundances for each sample site in the oral cavity after sleep for each SDB participant.
| Participant | Temporomandibular joint | Back of tongue | Gingivae | Palate | Molars | Tip of tongue |
|-------------|-------------------------|---------------|----------|--------|--------|--------------|
| 1 | 3.08E+07 | 8.44E+06 | 5.77E+07 | 3.54E+05 | 9.94E+06 | 2.71E+06 |
| 2 | 2.28E+08 | 1.55E+08 | 4.04E+08 | 1.24E+08 | 2.68E+08 | 1.11E+09 |
| 3 | 7.31E+06 | 1.54E+08 | 5.28E+08 | 8.27E+06 | 7.46E+06 | 6.71E+06 |
| 4 | 5.53E+05 | 7.04E+06 | 9.71E+06 | 5.61E+05 | 6.35E+05 | 9.12E+05 |
| 5 | 7.90E+07 | 4.49E+08 | 5.62E+07 | 6.82E+07 | 2.15E+08 | 2.18E+08 |
| 6 | 2.42E+06 | 1.63E+08 | 2.17E+07 | 2.77E+06 | 4.00E+06 | 7.58E+06 |
| 7 | 1.92E+05 | 7.17E+06 | 4.35E+06 | 8.25E+05 | 2.61E+06 | 8.72E+05 |
| 8 | 4.72E+06 | 1.71E+06 | 2.16E+07 | 8.60E+04 | 4.51E+05 | 2.52E+05 |
| 9 | 3.57E+06 | 1.37E+07 | 4.06E+06 | 7.30E+06 | 6.23E+07 | 4.39E+06 |
| 10 | 2.69E+07 | 1.39E+07 | 9.34E+05 | 5.45E+06 | 5.17E+06 | 8.67E+05 |
| 11 | 5.00E+06 | 5.66E+06 | 6.14E+06 | 2.63E+06 | 9.48E+06 | 2.67E+06 |
| 12 | 4.61E+06 | 4.61E+06 | 2.76E+06 | 3.91E+05 | 4.06E+06 | 8.82E+05 |
| 13 | 6.01E+07 | 4.62E+07 | 1.49E+07 | 4.31E+06 | 1.28E+07 | 3.66E+06 |
| 14 | 9.58E+07 | 3.54E+07 | 5.31E+07 | 4.69E+06 | 2.79E+07 | 3.00E+06 |
| 15 | 6.57E+07 | 6.16E+07 | 2.14E+07 | 1.32E+07 | 1.80E+07 | 5.15E+07 |
| 16 | 2.16E+06 | 1.82E+06 | 2.17E+06 | 5.07E+05 | 4.08E+06 | 2.71E+06 |
| 17 | 4.97E+07 | 2.76E+08 | 1.48E+08 | 1.64E+06 | 7.81E+06 | 3.43E+07 |
| 18 | 3.03E+06 | 2.12E+07 | 9.29E+07 | 1.76E+07 | 1.27E+07 | 1.18E+07 |
| 19 | 8.68E+05 | 5.57E+06 | 5.52E+06 | 5.16E+06 | 1.01E+07 | 2.57E+06 |
| 20 | 1.56E+07 | 1.07E+07 | 8.91E+07 | 1.65E+06 | 2.71E+07 | 1.18E+07 |
S9 Table. The average oral bacterial abundances in healthy [12] and SDB before and after sleep (Healthy n = 10, SDB n = 20). Significant differences were calculated using Mann-Whitney tests that were corrected for false discovery rates. Significantly higher bacterial counts were identified in healthy participants at the back of the tongue both before and after sleep compared to SDB.
| Sample location | Healthy (±SEM) | SDB (±SEM) | P value |
|-----------------------|-------------------------|---------------------|---------|
| **Before sleep** | | | |
| Temporomandibular joint | $3.26 \times 10^6$ | $4.50 \times 10^6$ | > 0.05 |
| | ($\pm 1.17 \times 10^6$)| ($\pm 9.46 \times 10^5$) | |
| Back of tongue | $2.90 \times 10^7$ | $1.90 \times 10^7$ | 0.047 |
| | ($\pm 7.60 \times 10^6$)| ($\pm 3.64 \times 10^6$) | |
| Gingivae | $1.75 \times 10^7$ | $2.56 \times 10^7$ | > 0.05 |
| | ($\pm 7.74 \times 10^6$)| ($\pm 6.96 \times 10^6$) | |
| Palate | $7.21 \times 10^5$ | $9.55 \times 10^5$ | > 0.05 |
| | ($\pm 2.77 \times 10^5$)| ($\pm 3.88 \times 10^5$) | |
| Molars | $4.83 \times 10^6$ | $3.19 \times 10^6$ | > 0.05 |
| | ($\pm 1.62 \times 10^6$)| ($\pm 8.61 \times 10^5$) | |
| Tip of tongue | $2.57 \times 10^6$ | $1.96 \times 10^6$ | > 0.05 |
| | ($\pm 1.66 \times 10^6$)| ($\pm 5.38 \times 10^5$) | |
| **After sleep** | | | |
| Temporomandibular joint | $2.14 \times 10^7$ | $2.65 \times 10^7$ | > 0.05 |
| | ($\pm 7.03 \times 10^6$)| ($\pm 6.88 \times 10^6$) | |
| Back of tongue | $1.35 \times 10^6$ | $8.94 \times 10^7$ | 0.019 |
| | ($\pm 2.02 \times 10^7$)| ($\pm 1.49 \times 10^7$) | |
| Gingivae | $4.08 \times 10^7$ | $5.80 \times 10^7$ | > 0.05 |
| | ($\pm 7.56 \times 10^6$)| ($\pm 1.65 \times 10^7$) | |
| Palate | $4.32 \times 10^6$ | $3.88 \times 10^6$ | > 0.05 |
| | ($\pm 1.48 \times 10^6$)| ($\pm 9.15 \times 10^5$) | |
| Molars | $1.91 \times 10^7$ | $1.59 \times 10^7$ | > 0.05 |
| | ($\pm 5.44 \times 10^6$)| ($\pm 4.98 \times 10^6$) | |
| Tip of tongue | $1.29 \times 10^7$ | $1.50 \times 10^7$ | > 0.05 |
| | ($\pm 2.78 \times 10^6$)| ($\pm 4.79 \times 10^6$) | |
S10 Table. The average oral VLP abundances in healthy [12] and SDB before and after sleep (Healthy n = 10, SDB n = 20). Significant differences were calculated using Mann-Whitney tests that were corrected for false discovery rates. Error represents the standard error of the mean (±SEM).
| Sample location | Healthy (±SEM) | SDB (±SEM) | P value |
|-----------------------|-------------------------|---------------------|---------|
| **Before sleep** | | | |
| Temporomandibular joint | $5.68 \times 10^6$ | $6.36 \times 10^6$ | 0.013 |
| | ($\pm 1.86 \times 10^6$) | ($\pm 2.17 \times 10^6$) | |
| Back of tongue | $2.20 \times 10^7$ | $1.05 \times 10^7$ | 0.0041 |
| | ($\pm 6.30 \times 10^6$) | ($\pm 2.29 \times 10^6$) | |
| Gingivae | $2.36 \times 10^7$ | $3.05 \times 10^7$ | 0.0089 |
| | ($\pm 9.54 \times 10^6$) | ($\pm 1.00 \times 10^7$) | |
| Palate | $1.94 \times 10^6$ | $1.38 \times 10^6$ | 0.0052 |
| | ($\pm 1.03 \times 10^6$) | ($\pm 6.35 \times 10^5$) | |
| Molars | $9.05 \times 10^6$ | $4.69 \times 10^6$ | 0.0052 |
| | ($\pm 2.61 \times 10^6$) | ($\pm 1.43 \times 10^6$) | |
| Tip of tongue | $3.55 \times 10^6$ | $3.87 \times 10^6$ | 0.018 |
| | ($\pm 1.23 \times 10^6$) | ($\pm 1.48 \times 10^6$) | |
| **After sleep** | | | |
| Temporomandibular joint | $5.69 \times 10^7$ | $3.43 \times 10^7$ | 0.045 |
| | ($\pm 2.30 \times 10^7$) | ($\pm 1.22 \times 10^7$) | |
| Back of tongue | $9.22 \times 10^7$ | $7.20 \times 10^7$ | 0.045 |
| | ($\pm 5.02 \times 10^7$) | ($\pm 2.60 \times 10^7$) | |
| Gingivae | $9.21 \times 10^7$ | $7.72 \times 10^7$ | 0.025 |
| | ($\pm 2.91 \times 10^7$) | ($\pm 3.13 \times 10^7$) | |
| Palate | $1.44 \times 10^7$ | $1.35 \times 10^7$ | > 0.05 |
| | ($\pm 9.88 \times 10^6$) | ($\pm 6.72 \times 10^6$) | |
| Molars | $5.66 \times 10^7$ | $3.55 \times 10^7$ | 0.022 |
| | ($\pm 3.26 \times 10^7$) | ($\pm 1.62 \times 10^7$) | |
| Tip of tongue | $1.73 \times 10^7$ | $7.38 \times 10^7$ | > 0.05 |
| | ($\pm 8.24 \times 10^6$) | ($\pm 5.55 \times 10^7$) | |
Chapter 6
THE SPATIAL DISTRIBUTION OF THE BACTERIAL COMMUNITIES WITHIN THE HEALTHY PAEDIATRIC ORAL CAVITY BEFORE AND AFTER SLEEP
Regarded as the gateway to the body, the oral cavity is comprised of various microhabitats that provide unique surfaces for the colonisation of distinct microbial communities. It is recognised that these microhabitats are heterogeneous in their absolute bacterial distribution and increase significantly during sleep. However, there are no taxonomic studies that investigate if and how these bacterial communities change in the paediatric oral cavity during sleep. Here, we present the paediatric oral taxonomic microbial dynamics of 6 individuals before and after sleep using 16S ribosomal RNA gene sequencing. Differences among microhabitats were driven by differences in the relative abundance of ‘core’ taxa characteristic to the healthy oral microbiome. Furthermore, an increase in the relative abundance of anaerobic bacteria, specifically *Veillonella* and *Prevotella*, during sleep was observed. This suggests that in addition to controlling for sample location, care must also be taken when interpreting differences in taxonomic profiles in the oral cavity as differences may reflect inconsistencies in the collection time of the sample.
Introduction
The oral cavity is estimated to harbour over 600 species of bacteria [1, 2]. These bacteria play an important role in maintaining oral health [3]. However, dysbiosis of these communities have also been linked to oral and systemic diseases such as dental carries, periodontitis and cardiovascular disease [4-8]. With different oral surfaces having distinct microbial communities, the oral microbiome is now being defined by its various microhabitats rather than as a whole [9]. These communities are further influenced by changes in environmental factors including diet, smoking, hosts immunity and oral hygiene [8, 10, 11]. One factor that has not been investigated is the impact of sleep on these microbial communities. During sleep, the environmental conditions of the oral cavity change due to a reduction in saliva flow, oxygen exposure and pH [12-15]. The microbial communities of healthy oral cavities are dynamic, with bacterial and viral concentrations significantly increasing during sleep [16]. However, taxonomic shifts in these communities remain unclear.
Here, we present an evaluation of the bacterial taxonomic shifts in the oral cavity of 6 healthy children during sleep using 16S ribosomal RNA sequencing. The overall aims for this study were to (i) characterise the microhabitats of the paediatric oral cavity before and after sleep, (ii) to use this data to determine if there is a change in the oral microbiome during sleep and (iii) to identify if there are significant differences in the resulting bacterial communities between genders and participants. Overall, we hypothesised that during sleep, the bacterial communities in the paediatric oral cavity would significantly change. Ultimately, by understanding the ‘normal’ microbial shifts during sleep, further studies into what impact sleeping disturbances have on our oral microbiome can be investigated.
Materials and Methods
Ethics statement
The healthy participants involved in this study were a control subgroup from a larger study investigating effects of sleep disorder breathing on development. This study was approved by The Human Research Ethics Committees of the Women’s and Children’s Hospital and University of Adelaide, South Australia; and was conducted in accordance with the 1964 Declaration of Helsinki and its later amendments. Written consent was provided by the parents of the participants and written assent by the participants. A child’s health and behaviour questionnaire was completed by the parents prior to sample collection.
Sample collection
Oral swab samples were collected from 6 healthy children undergoing an overnight polysomnography sleep test at the Women’s and Children’s Hospital. The Children’s ages ranged from 7.75 to 16.58 years with the overall average of 10.40 ± 3.99 years. Of the 6 participants sampled 2 were female and 4 were male. The average BMI for the group samples was 18.63 ± 3.92 with a range between 14.2 to 19.7.
Individually polypropylene packaged sterile rayon swabs (Copan, Brescia, Italy; product code: 155C; length 13.3 cm, diameter 5 mm) were used to collect the oral samples using methods previously described [16, 17]. Briefly samples were collected from the middle of the palate, the gingival margin of the last proximal molar on the right lower jaw, the occlusal site of the last two distal molars on the bottom jaw on the right side, the left temporomandibular joint, the middle of the back of the tongue and the middle of the tip of the tongue for all participants (Fig. 1). For the duration of this
manuscript these locations will be referred to as the palate, gingivae, molars, temporomandibular joint, back of tongue and tip of tongue respectively (Fig. 1). Each participant had these locations sampled twice, once just before lights out between 8.30-9.00 pm, referred to as before sleep, and immediately on waking the following day between 6.00-6.30 am, referred to as after sleep. Therefore, each participant was sampled 12 times (6 before sleep and 6 after sleep). Swabs were collected from each location by rotating the swab tip clockwise 6 times. All samples in this study were collected by the same researcher at the same locations before and after sleep using the same methods described. Once collected, swab sampled were placed back into their polypropylene tube and frozen at -80°C until analysis.
Figure 1. Microhabitat sample locations in the paediatric oral cavity. Separate swabs were rotated clockwise 6 times at each location to collect oral samples.
Swab sample preparation
Flow cytometry was performed on swab samples prior to 16S analysis [16]. Briefly, preparation of the swab samples for flow cytometry involved thawing the swabs at room temperature then cutting the tips off into 1 ml of sterile (0.2 µm filtered and UV treated) TE buffer (10 mM Tris, 1 mM EDTA, pH 7.4, Sigma). The swab tip and TE buffer were vortexed for 3 minutes to elute the bacteria and viruses from the swab tip. A small volume from each sample was taken at this stage for flow cytometric analysis [16]. The remainder of each sample was snap frozen in liquid nitrogen and stored at -80°C until 16S analysis.
Bacteria 16S PCR amplification
Eluted oral swab samples were thawed at room temperature and briefly vortexed to ensure uniform microbial distribution. Direct PCR amplification [18] was used to amplify the V3-V4 region of the 16S gene using the forward primer 341F and the reverse primer 805R. Illumina overhang adaptors sequences were added to both the 341F forward and 805R reverse primer sequences. PCR amplification of the samples was performed in 25 µl reactions using KAPA Taq HiFi Hotstart (Kapa Biosystems, Boston, MA, USA). For each 25µl PCR reaction, 10 µl of eluted swab sample was used. Negative control samples were prepared with sterile (0.2 µm filtered and UV treated) water and were run with each PCR reaction. PCR reactions were performed as followed: initial denaturing step at 95°C for 3 minutes followed by 30 cycles of 95°C for 30 seconds, 55°C for 30 seconds and 72°C for 30 seconds. A final extension step was performed at 72°C for 5 minutes. PCR products were run on agarose gel (2.5%) to verify amplification success and negative controls. DNA sequences were
then generated on an Illumina MiSeq run (Genomics Facility, Flinders Medical Centre, Adelaide, Australia).
**Bioinformatics**
A total of 7,660,611 pair-end reads successfully assembled and quality filtered at a Phred score of 30 using the bioinformatics program Paired-End reAd mergeR (PEAR) v0.9.4 [19]. Samples were then processed as previously described [20] using both Quantitative Insights Into Microbial Ecology (QIIME) v.1.8.0 [21] and UPARSE [22]. In brief, sequences were quality filtered to a minimum quality score of 30, a minimum 200 bp in length, no more than 6 ambiguous bases and no primer mismatches using QIIME. VSEARCH [23] was used to dereplicate sequences and singletons were removed using USEARCH [24]. Chimeras were removed, and remaining sequences clustered into operational taxonomic units (OTUs) at 97% using the `cluster_otus` command in USEARCH. Greengenes database (13_08) was used to assign taxonomy using the default program UCLUST [24] in QIIME. Sequences were rarefied to 4920 to remove biases due to differing sequencing depths.
**Sequence analysis**
Bray-Curtis similarity matrices were calculated from square root transformed relative abundance data using the multivariate statistics program PRIMER (version 7, Primer-E, Plymouth) [25, 26]. The non-parametric distribution free Analysis of Similarity (ANOSIM) test was used to test the null hypothesis of no differences among *a priori* group to determine patterns of bacterial community variation [25]. Permutational Multivariate Analysis of Variance (PERMANOVA+, version 1.0.3) was used to determine differences in overall bacterial composition between locations, time, gender and participants using 9999 unrestricted permutations of the raw data [26]. The
distance-based test for homogeneity (PERMDISP) was used to test the multivariate dispersions within a group [27]. When statistical significance was observed through PERMANOVA and ANOSIM analysis ($p < 0.05$), a similarity percentage analysis (SIMPER) was used to identify what genera of bacteria were driving the dissimilarity among groups (90% cut off) [27]. Bootstrap averaged metric Multidimensional Scaling (MDS) analysis was run on samples to establish the spread and separation of samples bases on the results from ANOSIM [25]. A bootstrap region of 95% was used and 500 bootstraps per group were run. The average of these 500 bootstraps were used to determine the average centroid and where 95% of the averages lied within the multivariate space.
**Results**
**Overall sequence statistics**
Sixty-five of 72 samples were successfully sequenced. The back of the tongue was the area with the least number of successful samples, with 4 of the 6 samples amplifying before sleep and only 1 of the 6 samples after sleep. The healthy participants used in this study were a subset group from a larger study with sleep-disorder breathers where 7,660,611 reads were successfully joined after paired-end assembly. After 97% OTU clustering 3,143,387 sequences were clustered into 536 OTUs. Each sample contained an average of $47,627 \pm 38,475$ SD sequences, with a minimum of 1,491 and a maximum of 253,489 sequences.
**Relative abundance of oral bacteria differs among microhabitat**
ANOSIM and PERMANOVA tests revealed healthy oral bacterial populations separated into groups based on microhabitat (ANOSIM $R = 0.157$, $p = 0.002$;
PERMANOVA pseudo-F = 2.58, p < 0.0001). Pairwise comparisons in ANOSIM revealed that out of the 15 paired comparisons between microhabitats, 11 were seen to be significant (Table 1; R < 0.5, p < 0.04). The tip of the tongue was observed to be significantly different to all other oral microhabitats (Table 1; R < 0.5, p < 0.04). The temporomandibular joint, gingivae and molars were similar in bacterial composition (Table 1; R < 0.034, p ≥ 0.232), as were the palate and back of tongue (Table 1; R = 0.1, p = 0.181). The low R values for the significantly different comparisons indicate that although these locations do not have the same bacterial community composition, there is strong overlap in bacterial communities present.
Table 1. ANOSIM pairwise tests between microhabitats in the paediatric oral cavity. A significant difference in the patterns of bacterial community composition between microhabitats is denoted by an asterisk (*). No significant difference was observed in bacterial community structure among the temporomandibular joint, gingivae and molars; or the back of the tongue and palate. The tip of the tongue was significantly different to all microhabitats.
| Pairwise tests | R statistic | P value |
|--------------------------------------|-------------|---------|
| Temporomandibular joint, Back of tongue | 0.32 | 0.019* |
| Temporomandibular joint, Gingivae | 0.01 | 0.351 |
| Temporomandibular joint, Palate | 0.14 | 0.036* |
| Temporomandibular joint, Molars | 0.034 | 0.232 |
| Temporomandibular joint, Tip of tongue | 0.27 | 0.0002* |
| Back of tongue, Gingivae | 0.36 | 0.010* |
| Back of tongue, Palate | 0.10 | 0.181 |
| Back of tongue, Molars | 0.27 | 0.040* |
| Back of tongue, Tip of tongue | 0.46 | 0.004* |
| Gingivae, Palate | 0.23 | 0.005* |
| Gingivae, Molars | -0.035 | 0.698 |
| Gingivae, Tip of tongue | 0.30 | 0.0001* |
| Palate, Molars | 0.12 | 0.038* |
| Palate, Tip of tongue | 0.14 | 0.030* |
| Molars, Tip of tongue | 0.22 | 0.001* |
PERMDISP analysis based on microhabitat revealed an overall significant difference in the dispersion of data ($F= 4.00, p = 0.011$). Pairwise PERMDISP tests showed that there was a significant difference in the dispersion of data between the tip of the tongue and the temporomandibular joint ($t = 3.99, p = 0.001$), gingivae ($t = 4.45, p = 0.0005$), palate ($t = 2.97, p = 0.012$) and molars ($t = 3.98, p = 0.0012$) (Figure 1). The microhabitat with the greatest level of variability in data was the molars with a Bray-Curtis distance-to-centroid of $22.82 \pm 1.45$. The tip of the tongue was the least dispersed with $16.29 \pm 0.76$. Separation of each microhabitat was observed using metric MDS of the Bray-Curtis dissimilarity (Fig. 2). However, there was some overlap among locations (Fig. 2). The greatest spread of the 95% bootstrap region was at the back of the tongue (Fig. 2).
Figure 2. Metric Multidimensional Scaling (MDS) plot based on the Bray-Curtis dissimilarity for all samples at the temporomandibular joint (green triangle), back of the tongue (inverted dark blue triangles), gingivae (light blue squares), palate (red diamonds) and tip of the tongue (grey crosses) in the paediatric oral cavity. Centroid values are for each microhabitat are surrounded by a smooth bootstrap region where 95% of the 500 bootstrap averages lie.
SIMPER analysis on each microhabitat revealed an average Bray-Curtis similarity of 67.65 for the temporomandibular joint, 70.28 for the back of the tongue, 67.26 for the gingivae, 69.70 for the palate, 66.31 for the molars and 76.19 for the tip of the tongue. *Streptococcus* and *Haemophilus* were the top two relatively abundant genera contributing to a combined total of 35.99%, 34.37%, 25.94%, 30.75% and 29.22% of the total within group similarity at the temporomandibular joint, gingivae, palate, molars and tip of the tongue respectively. *Streptococcus* and *Veillonella* were the top relatively abundant taxa at the back of the tongue contributing to 27.30% of the within group similarity at that location. Pairwise SIMPER analysis on the significantly different microhabitats, as identified by ANOSOM, revealed that the dissimilarities among locations were driven predominantly by differences in the relative abundance of *Veillonella*, *Streptococcus*, *Prevotella*, *Haemophilus* and *Rothia* genera.
Table 2. The relative abundance of the top bacterial genera driving the dissimilarity among microhabitats. Values are the average percentage contribution for each genus to the total bacterial community identified at each microhabitat. Error represents the standard error of the mean.
| Microhabitat | Streptococcus | Haemophilus | Veillonella | Prevotella | Rothia |
|-----------------------|---------------|-------------|-------------|------------|--------|
| Palate | 32.36% (± 1.91%) | 8.95% (± 1.61%) | 10.32% (± 2.09%) | 9.40% (± 2.41%) | 2.44% (± 0.59%) |
| Gingivae | 39.08% (± 3.24%) | 12.41% (± 2.08%) | 10.20% (± 2.87%) | 5.41% (± 1.88%) | 0.32% (± 0.19%) |
| Molars | 40.08% (± 4.98%) | 9.62% (± 1.68%) | 5.01% (± 0.80%) | 5.98% (± 2.40%) | 1.26% (± 0.31%) |
| Temporomandibular joint | 46.50% (± 4.96%) | 8.90% (± 1.50%) | 8.15% (± 2.75%) | 8.53% (± 2.95%) | 0.34% (± 0.090%) |
| Back of tongue | 25.14% (± 6.03%) | 5.85% (± 1.82%) | 23.83% (± 5.23%) | 9.57% (± 2.97%) | 1.79% (± 0.32%) |
| Tip of tongue | 33.00% (± 1.68%) | 15.73% (± 2.51%) | 11.83% (± 1.90%) | 5.29% (± 1.36%) | 4.67% (± 1.02%) |
Figure 3. The top 5 bacterial genera driving the dissimilarity between microhabitats in the oral cavity, additional bacterial identified at each location are grouped into other. The back of the tongue and palate were characterised by a higher relative abundance of *Veillonella* and *Prevotella*. The Tip of the tongue was characterised by a higher abundance of *Veillonella*, *Rothia* and *Haemophilus*. The Temporomandibular joint, Gingivae and Molars were characterised by a higher relative abundance of *Streptococcus*. The percentage contribution for each of the 5 genera to the total bacterial communities identified at each microhabitat can be found in Table 2.
A higher relative abundance of *Veillonella*, *Rothia* and *Haemophilus* at the tip of the tongue were seen to be the main taxa driving the dissimilarity among other microhabitats. Specifically, pairwise SIMPER comparisons with the temporomandibular joint revealed a higher abundance of *Veillonella*, *Rothia* and *Haemophilus* at the tip of the tongue. These taxa contributed to 19.97% of the Bray-Curtis dissimilarity between locations (31.24). Comparisons between the gingivae and the tip of the tongue showed a Bray-Curtis dissimilarity measure of 31.74. Of that, 13.37% of the dissimilarity was driven by a higher relative abundance of *Rothia* and *Veillonella*. A higher relative abundance of *Haemophilus* and *Veillonella* at the tip of the tongue contributed to 11.54% of the 31.57 Bray-Curtis dissimilarity measure with the molars. Finally, the higher abundance of *Haemophilus* at the tip of the tongue compared to the back of the tongue and palate contributed to 7.30% and 6.26% of the 30.45 and 28.52 Bray-Curtis dissimilarity between these microhabitats respectively.
A higher abundance of *Veillonella* and *Prevotella* taxa, and a lower relative abundance of *Streptococcus* at the back of the tongue, were the main discriminating genera identified by pairwise SIMPER analysis between the temporomandibular joint (37.74), gingivae (38.37) and molars (37.85). These taxa contributed to 26.38, 23 and 23.36% of the dissimilarity at each microhabitat respectively. *Veillonella* was also higher in relative abundance at the palate compared to the temporomandibular joint, gingivae and molars. These differences contributed to 6.43, 6.15 and 5.20% of the dissimilarity observed respectively. Pairwise SIMPER comparisons between the back and tip of the tongue identified that a higher abundance of *Vellionella* at the back of the tongue, and a higher abundance of *Haemophilus* at the tip of the tongue, were the top taxa contributing to 14.47% of the 30.45 Bray-Curtis dissimilarity. The temporomandibular joint was higher in relative abundance of *Streptococcus* than the
palate (33.40) and tip of the tongue (31.24) and contributed to 5.43 and 5.99% of the dissimilarity at each location respectively. However, the palate was higher in relative abundance of *Prevotella* than the temporomandibular joint and contributed a further 10.55% of the dissimilarity between these microhabitats.
**Bacterial populations shift in relative abundance during sleep**
The overall analysis of all samples split by time of collection (i.e. before and after sleep) showed a significant difference in bacterial community composition (ANOSIM R = 0.151, p < 0.0001; PERMANOVA pseudo-F = 5.093, p = 0.0002). Data distributions before and after sleep were also homogeneous in their dispersion (PERMDISP F = 2.51, p = 0.14). A metric MDS showed clear separation of samples collected before and after sleep based on the Bray-Curtis dissimilarity measures (Fig. 4). Both groups had a similar spread in the distribution of data (Fig. 4).
Figure 4. Metric Multidimensional Scaling (MDS) plot based on the Bray-Curtis dissimilarity for all samples before (green triangle) and after (inverted dark blue triangle) sleep in the paediatric oral cavity. Centroid values are for each microhabitat are surrounded by a smooth bootstrap region where 95% of the 500 bootstrap averages lie.
SIMPER analysis revealed that there was a Bray-Curtis similarity of 67.12 among all samples collected before sleep and 70.34 among all samples collected after sleep. *Streptococcus* and *Haemophilus* were the genera of bacteria dominating the before sleep samples and contributed to 31.90% of the Bray-Curtis similarity. After sleep, *Streptococcus* and *Veillonella* were the most relatively abundant taxa contributing to 29.21% of the Bray-Curtis similarity. SIMPER pairwise comparisons showed that there was an average Bray-Curtis dissimilarity of 33.40 between taxa before and after sleep. The increase in relative abundance of *Veillonella* from 9.23% before sleep to 11.34% after sleep and *Prevotella* 3.84% before sleep to 10.74% after sleep were the top two discriminating genera driving the dissimilarity between time points. Combined, both taxa contributed to 16.64% of the Bray-Curtis dissimilarity.
Based on this dissimilarity in bacterial composition with time, samples collected at each microhabitat before sleep were then compared among each other and samples collected after sleep compared to one another (i.e. bacterial populations at the molars before sleep compared to bacterial populations at the palate before sleep). Through grouping the samples based on time of sampling and microhabitat, comparisons into the specific bacterial shifts at each microhabitat during sleep could be made.
Differences in oral community composition based on collection time and microhabitat
Significantly different bacterial community compositions were revealed overall when data was grouped by sample time and microhabitat (ANOSIM $R = 0.238$, $p < 0.0001$; PERMANOVA pseudo-$F = 2.27$, $p < 0.0001$). However, by splitting the sample in this way, the sample size for each group is reduced. Therefore, there is a lower number of possible permutations that can be run for each pairwise test. These permutations ranged from 5 to 462. As there was only one sample for the back of the tongue after sleep, any pairwise comparisons with that data point were disregarded as there was not enough replicates to form a sensible significance test.
Before sleep, ANOSIM pairwise tests revealed a significant difference in bacterial community structure between the back of the tongue and the tip of the tongue ($R = 0.71$, $p = 0.005$), temporomandibular joint ($R = 0.65$, $p = 0.005$), gingivae ($R = 0.45$, $p = 0.014$), palate ($R = 0.43$, $p = 0.029$) and molars ($R = 0.50$, $p = 0.01$). The bacterial communities at the tip of the tongue were also seen to differ from the gingivae ($R = 0.27$, $p = 0.009$), molars ($R = 0.20$, $p = 0.03$) and temporomandibular joint ($R = 0.36$, $p = 0.006$). After sleep, bacterial community composition at the tip of the tongue was significantly different to the palate ($R = 0.33$, $p = 0.009$), molars ($R = 0.19$, $p = 0.026$), temporomandibular joint ($R = 0.24$, $p = 0.035$) and the gingivae ($R = 0.52$, $p = 0.002$). The palate was also different in bacterial composition compared to the gingivae ($R = 0.47$, $p = 0.015$) and the temporomandibular joint ($R = 0.27$, $p = 0.043$). When comparing bacterial community composition at each microhabitat before sleep to its corresponding microhabitat after sleep, only the palate ($R = 0.32$, $p = 0.028$) and tip of tongue ($R = 0.41$, $p = 0.013$) showed a significant difference.
Overall, distributions based on the time of microhabitat sampling were seen to be homogeneous in their dispersions (PERMDISP $F = 4.11$, $p = 0.054$). However, pairwise PERMDISP comparisons revealed heterogeneity in the dispersion of multivariate data between the tip of the tongue and the temporomandibular joint ($t = 3.86$ and $3.02$, $p = 0.0039$ and $0.010$), gingivae ($t = 4.36$ and $2.65$, $p = 0.0021$ and $0.035$) and molars ($t = 4.56$ and $3.24$, $p = 0.0036$ and $0.0066$) before and after sleep respectively. The tip of the tongue had the least dispersal before $(14.28 \pm 0.91)$ and after $(13.85 \pm 0.88)$ sleep. The molars had the largest dispersal of data before $(22.93 \pm 1.67)$ and after $(20.94 \pm 2.01)$ sleep.
Before sleep, pairwise SIMPER analysis between the tip and the back of the tongue revealed that higher relative abundance of *Veillonella* and *Prevotella* at the back of the tongue and a higher relative abundance of *Haemophilus* and *Streptococcus* at the tip of the tongue, were the top relatively abundant taxa contributing to the dissimilarity. These differences in relative abundance were responsible for $29.23\%$ of the $34.23$ Bray-Curtis dissimilarity reported between locations. SIMPER also revealed that the higher relative abundance of *Veillonella* and *Prevotella* at the back of the tongue contributed to $17.93$, $16.92$, $15.50$ and $18.03\%$ of the Bray-Curtis dissimilarity between pairwise comparisons with the temporomandibular joint $(42.86)$, gingivae $(40.64)$, palate $(36.08)$ and molars $(42.00)$ respectively. Pairwise comparisons also showed that a high relative abundance of *Haemophilus* at the tip of the tongue contributed to $7.69$ and $6.06\%$ of the dissimilarity at the temporomandibular joint $(31.32)$ and molars $(31.81)$ respectively. A lower abundance of *Streptococcus* at the back of the tongue compared to the temporomandibular joint $(42.86)$, gingivae $(40.64)$, molars $(42.00)$ and palate $(36.08)$ also contributed to $8.89$, $4.77$, $6.29$ and $5.29\%$ of the dissimilarity between pairwise
comparisons at those locations respectively. A higher relative abundance of *Rothia* at the tip of the tongue was also responsible for contributing 7.50 and 7.76% of the dissimilarity between the temporomandibular joint (31.32) and gingivae (30.88) respectively. Other main differences observed between pairwise SIMPER comparisons of the genera that responsible for diving dissimilarity were: the high relative abundances of *Streptococcus* at the temporomandibular joint contributing 7.63% of the dissimilarity between the tip of the tongue (31.32), the high relative abundance of *Haemophilus* at the gingivae contributing to 4.81% of the dissimilarity between the back of the tongue (40.64), the high relative abundance of *Veillonella* at the tip of the tongue contributing 6.32% of the dissimilarity between the gingivae (30.88) and the high relative abundance of *Neisseria* at the tip of the tongue contributing to 5.80% of the dissimilarity between the molars (31.18).
After sleep, pairwise SIMPER analysis showed that a higher relative abundance of *Veillonella* at the tip of the tongue contributed to 9.03, 6.36 and 7.15% of the dissimilarity at the temporomandibular joint (27.86), gingivae (30.32) and molars (29.46) respectively. *Veillonella* was also higher in relative abundance at the palate compared to the gingivae (34.53) and temporomandibular joint (31.78) and was responsible for 5.44 and 7.00% of the dissimilarity at these locations respectively. *Prevotella* was also higher in relative abundance at the palate when pairwise comparisons were made to the tip of the tongue (26.78), gingivae (34.52) and temporomandibular joint (37.78). This difference in abundance contributed to 9.28, 11.59 and 11.65% of the dissimilarity at each location respectively. Other differences that were main dissimilarity drivers between locations after sleep were the higher relative abundance of *Rothia* at the tip of the tongue contributing to 6.15% of the dissimilarity between the gingivae (30.32), and the higher relative abundance of
CW040 at the gingivae contributing to 5.60% of the dissimilarity between the palate (34.52).
Before sleep, the average Bray-Curtis similarity measure for the palate was 70.74. The top two most abundant genera for this group were *Streptococcus* and *Haemophilus* contributing to 29.61% of the similarity within the group. After sleep the palate had a Bray-Curtis similarity measure of 70.34 with *Streptococcus* and *Veillonella* the top two genera with the highest relative abundance within the group. Both genera contributed to 23.27% of the total similarity within the group. When the palate was compared before and after sleep, the average dissimilarity measure between groups was 32.39. An increase in the relative abundance of *Prevotella* and *Veillonella* during sleep were the top genera driving the dissimilarity between these two groups. These genera were responsible for 16.93% of the dissimilarity.
With an average Bray-Curtis similarity of 77.92, the tip of the tongue before sleep was also populated with a higher relative abundance of *Streptococcus* and *Haemophilus*. Both genera contributed to a cumulative total of 31.73% to the similarity within this group. After sleep, the tip of the tongue had an average Bray-Curtis similarity of 78.64. *Streptococcus* and *Veillonella* were now the two genera with the highest relative abundance within the group contributing to a combined total of 28.52% of the dissimilarity. The average dissimilarity between the before and after sleep groups at the tip of the tongue was 25.55, with *Haemophilus* and *Veillonella* the main genera driving the dissimilarity between groups. *Haemophilus* was higher in relative abundance before sleep and *Veillonella* after sleep. These genera contributed to a total of 15.25% of the observed dissimilarity.
Bacterial communities vary among participants
Participants were seen to have significantly different bacterial community composition to each other (ANOSIM $R = 0.428$, $p < 0.0001$; PERMANOVA pseudo-$F = 5.71$, $p < 0.0001$). Overall, bacterial dispersion among participants was homogeneous (PERMDISP $F = 1.21$, $p = 0.41$), with the slight exception of a significant difference in dispersion between participants 2 and 4 (PERMDISP $t = 2.77$, $p = 0.017$). Each participant’s average Bray-Curtis similarity measure was between 69.35 and 75.54 (SIMPER). *Streptococcus* was the most abundant within all participants and contributed the most to the similarity with anywhere between 15.56-23.32% (SIMPER). No significant difference was observed in bacterial composition between genders (ANOSIM $R = 0.088$, $p = 0.052$). A metric MDS of participant’s samples showed that oral samples from the same participant grouped together with minimal overlap (Fig. 5). A slight overlap in samples between participants 2 and 6 was observed (Fig. 5). Participants 2 and 5 had the greatest spread of samples (Fig. 5).
Figure 5. Metric Multidimensional Scaling (MDS) plot based on the Bray-Curtis dissimilarity for all oral samples collected from each of the 6 participants involved in this study. Centroid values are for each microhabitat are surrounded by a smooth bootstrap region where 95% of the 500 bootstrap averages lie.
Discussion
The purpose of this study was to understand the taxonomic shifts in the bacterial communities within microhabitats of the healthy paediatric oral cavity during sleep. This was achieved through 16S ribosomal RNA sequencing of 6 oral microhabitats (Fig. 1) before and after sleep in 6 healthy paediatric participants. We identified significant differences in the relative abundance of ‘core’ taxa among oral microhabitats, and a shift in these taxa during sleep, specifically in the anaerobic bacteria *Veillonella* and *Prevotella*. Here we present, to the best of our knowledge, the first study to address taxonomic bacterial microhabitat variation in the paediatric oral cavity during sleep. The influence of sleep on the oral microbiome adds complexity in understanding the healthy microbiome and suggests that the bacterial communities within the microhabitats could be influenced by a circadian cycle.
Previously it has been reported that the adult oral cavity contains distinct niches with significantly different microbial communities [28, 29]. Most of the dissimilarities identified were due to differences in the relative abundance of a ‘core’ set of taxa among oral locations [28-30]. This study supports this finding as bacterial dissimilarities in the paediatric oral microbiome were driven by differences in the relative abundance of the top abundant taxa. This has previously been suggested to be a result of the continuous dispersal of microorganisms through saliva [9, 31]. Microorganisms from the surfaces of the microhabitats within the oral cavity shed into the saliva. Saliva then facilitates the transport of these microbial communities to other surfaces within the oral cavity [32]. Based on the conditions of the new microhabitat, such as the pH, bacterial binding receptors and oxygen concentrations, depends on what bacteria from the saliva will colonise [9, 33].
Bacterial community analysis on overall microhabitats revealed each microhabitat assembled into one of three groups. These groups consisted of: the temporomandibular joint, gingivae and molars; back of tongue and palate; and the tip of the tongue. The microhabitats within each of these groups did not display an overall significant difference in the bacterial communities present (ANOSIM $p > 0.05$; Table 1). Spatially, the temporomandibular joint, gingivae and molars are near one other (Figure 1). Interestingly, this group consists of both soft shedding mucosal surfaces (temporomandibular joint and gingivae) and non-shedding tooth surfaces (molars), factors used to explain differences among these microhabitats in the past [28, 33]. We have previously reported that the absolute bacterial abundance at the molars and the temporomandibular joint are similar [16]. However, the bacterial counts at these two microhabitats were generally lower than the gingivae [16]. This demonstrates that significant differences in the absolute microbial abundances among microhabitats in the oral cavity do not reflect a difference in bacterial taxonomic structure. In this study, these three microhabitats were generally higher in relative abundance of *Streptococcus* compared to the palate, tip of the tongue and back of the tongue.
*Streptococcus* was identified as the most abundant genus in the paediatric oral cavity (Fig. 3). This supports previous oral microbiome studies in adults and children [1, 28, 30, 34, 35]. It is likely the samples collected at the molars and gingival margin contained small fragments of plaque. Recent studies have shown that the plaque biofilm consists of a highly spatially and taxonomically organised consortium of microorganisms [36]. *Streptococcus* initially attaches to the surface of the tooth and acts as a substrate for the attachment of other bacterial species [36, 37]. However, due to its facultative aerobic nature, *Streptococcus* also colonise towards the surface of the plaques ‘corn-cob’ structure and is involved in driving many biochemical
gradients in the biofilm [36]. Due to its high abundance at other microhabitats in the oral cavity, *Streptococcus* is also believed to be a wide-ranging coloniser of multiple surfaces [36]. The *Veillonella* genera of bacteria, also abundant in the paediatric oral cavity, depend on the organic acids produced by *Streptococcus* from the breakdown of carbohydrates in the oral cavity [38].
The back of the tongue and the palate were similar in bacterial composition and were higher in the relative abundance of the anaerobic bacteria *Prevotella* and *Veillonella*. Although different in their surface structure, these two microhabitats are often in contact with one another, possibly explaining the similarities observed. Dissimilarity among oral microhabitats and the tip of the tongue was also driven by a higher relative abundance of *Veillonella*, suggesting that a higher abundance of this genus of bacteria is characteristic of the tongue. This supports previous topographic tongue microbiome studies that show a skew towards these anaerobic bacteria [33, 39, 40]. The high relative abundance of this taxa at this anatomical location is likely due to the papillae on the surface of the tongue. These structures create small anaerobic pockets where nutrients are trapped, and bacteria are protected from salivary clearance [41]. *Prevotella* and *Veillonella* are commonly identified in the healthy oral microbiome [29, 30]. However, these hydrogen-sulfide producing bacteria found within the tongue biofilm are also responsible for oral malodour when increased in abundance [39, 42].
A higher relative abundance of *Haemophilus* and *Rothia* at the tip of the tongue were driving the dissimilarity among all other oral microhabitats, including the back of the tongue. These genera of bacteria are aerobic or facultative anaerobic, which suggests a decreasing oxygen gradient from the tip to the back of the tongue. As the
tip of the tongue is most exposed to the external environment, and is directly exposed to the air we breathe, it is logically consistent that this location is higher in aerobic species of bacteria compared to other locations.
During sleep, the dynamics of the oral cavity change. Healthy individuals breathe predominantly through their nose during sleep [43], creating an anaerobic environment within the mouth. Salivary flow and intraoral pH have also been reported to decrease during sleep [12, 15, 44]. Saliva plays an important role in the buffering of the intraoral pH by neutralising acids, some of which are produced by bacteria including *Streptococcus* [12, 45]. Therefore, during sleep when there is reduced salivary flow, the intraoral pH declines creating a slightly acidic environment [15]. During sleep, *Veillonella* and *Prevotella* increased in relative abundance and were the top taxa driving the dissimilarity between oral samples collected before and after sleep (Fig. 4). Both these bacteria are acid-tolerant and benefit from these acidic conditions [46, 47]. As previously mentioned *Veillonella* is dependent on the production of organic acids and utilises them as a carbon source [38]. However, *Prevotella* can act as an acid neutraliser through the fermentation of amino acids [46, 48]. This then facilitates the growth of periodontopathic bacteria that require a pH neutral environment [48].
Participants in this study had significantly different oral bacterial community structures to one another as evident by the grouping of oral samples according to participant (Fig. 5). Individualisation in human microbiomes occurs for the oral cavity, skin and gut [35, 49-52]. Differences in environments, diets and immune systems are thought to be involved in creating the dissimilarity among individuals [8, 10, 11]. The indication that individuals’ oral samples group together regardless of the sample location suggest of the potential need for personalised oral care in disease states.
Previous studies have suggested the differences in the microbial profiles of saliva between health and disease is not dependent on the time of sampling [53-55]. This is supported by reports of no diurnal variation in the microbiota of stimulated saliva samples from healthy adult individuals over 20 hours [56]. Other studies have reported temporal stability in saliva from 5 days to 7 years [53, 57]. Here we show that over approximately 9 hours of sleep, microhabitats within the oral cavity significantly differ in bacterial community composition. Therefore, unlike saliva, careful regulation in the time of sampling for oral microhabitats needs to be considered when investigating oral microbial related diseases.
Limitations of this study include the heterogeneity in the spread of the data as identified by the PERMDISP results. The tip of the tongue was significantly less dispersed than most other microhabitats in the oral cavity (PERMDISP p > 0.05; Fig. 2). This could suggest that the significant pairwise ANOSIM comparisons between the tip of the tongue and these locations are likely a result of differences in dispersion rather than location. Larger sampling size could help explain whether these differences in relative abundance of taxa with the tip of the tongue are a result of difference in the dispersal of data. Another limitation of this study was that no oral hygiene was implemented before sleep. Therefore, the increase in the anaerobic genera *Veillonella* and *Prevotella* may reflect the increase in sugars and carbohydrates in the oral cavity. Further work should investigate what effect oral hygiene has on the microbial community in the paediatric oral cavity before and after sleep.
Here we show that microhabitat variation in the paediatric oral cavity is driven by differences in the relative abundance of ‘core’ taxa characteristic to the healthy oral microbiome. Our work suggests that the microhabitats in the oral cavity follow a
circadian cycle, and that the anaerobic bacteria, *Veillonella* and *Prevotella*, increase during sleep. Therefore, care must be taken when collecting microhabitat samples for taxonomic comparisons between health states, as differences in community structure could be due to discrepancies in sample collection time.
**Acknowledgements**
This study was supported by Flinders University, Adelaide University and grants from the Australian Research Council, Channel 7 Research Foundation and the Australian Office of Learning and Teaching.
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Chapter 7
THE SPATIAL DISTRIBUTION OF THE ORAL MICROBIOME IN PAEDIATRIC SLEEP DISORDER BREATHERS
Sleep disorder breathing (SDB) describes a spectrum of breathing disorders where there is the complete or partial blockage of the airways during sleep. If left untreated in children, it can lead to serious health issues. Recently it has been shown that the absolute microbial abundance dynamics of the paediatric SDB oral cavity significantly differs to healthy participants. However, taxonomic shifts are yet to be investigated. Here we report for the first time, using 16S ribosomal RNA gene sequencing, a significant difference in the bacterial community composition among microhabitats within the paediatric SDB oral cavity. However, unlike the healthy oral cavity, these bacterial communities remain constant during sleep. We also show that the paediatric SDB oral cavity is significantly different in bacterial community composition to the healthy oral cavity, specifically after sleep at the tip of the tongue where there is a shift from the anaerobic bacteria *Veillonella*, to the aerobic bacteria *Haemophilus* in SDB. This suggests that mouth breathing during sleep in SDB influences the oral microbial communities. Therefore, future studies should be conducted into the causal relations between the oral microbiome and SDB, and what impact these microbial shifts have of overall health and wellbeing.
Introduction
Sleep disorder breathing (SDB) affects approximately 10% of the paediatric population and describes a range of breathing disorders from snoring to obstructive sleep apnoea [1]. In children with SDB, the obstruction of the upper airways is usually due to hypertrophy of the tonsils and adenoids [2]. This results in the partial or complete blockage of air flow during sleep, leading to the disruption of the normal sleeping pattern [3]. Within the paediatric population, these disturbances to the normal sleeping pattern can lead to inattentiveness, fatigue, aggressiveness and hyperactivity [4, 5]. This can ultimately result in growth impairment, behavioural problems and neurocognitive and cardiovascular issues for the child [6, 7].
Currently, human microbial studies are focusing on characterising the shifts within the healthy microbiome, particularly at the spatial and temporal scales, to explain the progression of various disease states [8-14]. The oral cavity is one niche where this has been applied [8, 9]. Within the oral cavity are microhabitats that vary in surface structure [8, 9]. These microhabitats have been shown to harbour different microbial communities that vary taxonomically and numerically [8, 9, 15-17]. Previously, we have demonstrated that the microbial abundance dynamics within the paediatric SDB oral cavity significantly differ to the healthy paediatric oral cavity, particularly with the viral communities [18]. However, the taxonomic variations among microhabitats in the SDB oral cavity before and after sleep are still unknown.
Recently it has been shown that sleep fragmentation, a common symptom of obstructive sleep apnoea, perturbs the gut microbiota [19, 20]. As the oral cavity is the gateway to the digestive system, understanding what, if any, affect irregular breathing has on the microbiome of the upper respiratory tract could assist in interpreting or
tracking the progression of microbial shifts further down the digestive system. Here, we compared the bacterial taxonomic community composition of the paediatric oral cavity between healthy and SDB using 16S rRNA sequencing. We examined the microbial spatial distribution of the SDB oral cavity at 6 locations before and after sleep. Here we report on a significant difference in the microbial community structure of the oral cavity between healthy and SDB.
**Materials and Methods**
**Ethics statement**
This study was approved by the Human Research Ethics Committees of the Women’s and Children’s Hospital and the University of Adelaide, South Australia. The study has been conducted in accordance with the 1964 declaration of Helsinki and its later amendments. Written consent was provided by all parents and children written assent for their involvement in the study. A child’s health and behaviour questionnaire was also completed by the parents prior to sample collection.
**Sample collection**
Oral swabs were collected from 12 participants undergoing a polysomnography sleep test at the Women’s and Children’s Hospital as part of a larger study investigating the effects of sleep disorder breathing on the development of children. Of the 12 participants, 6 were healthy controls (female = 2, male = 4) and 6 were participants that had been diagnosed with SDB (female = 2, male = 4). Healthy participants ages ranged from 7.75 to 16.58 years with an overall average of 10.40 ± 3.99 years. SDB ages ranged from 6.33 to 15.92 years with an overall average of
10.01 ± 1.49 years. BMI’s for the healthy group range between 14.2 to 19.7 (average = 18.63 ± 3.92). SDB had BMI’s from 12.83 to 26.6 (average = 19.07 ± 2.10).
Oral swab samples were collected by methods previously described [15, 16, 18]. Briefly, sterile individually packaged rayon swabs (Copan, Brescia, Italy; product code: 155C; length: 13.3 cm, diameter: 5 mm) were used to collect samples from the middle of the tip of the tongue, middle of the palate, middle of the back of the tongue, the gingival margin of the last proximal molar on the right lower jaw, the left temporomandibular joint and the occlusal site of the last two distal molars on the bottom jaw. These samples will be referred to as the tip of the tongue, palate, back of tongue, gingivae, temporomandibular joint and molars respectively for the duration of this manuscript. Swabs were collected by rotating the swab tip clockwise 6 times at the sample location. Swabs were collected from each sample location just before lights out between 8.30-9.00 pm and again the following morning at the same locations between 6.00-6.30 am. These samples will be referred to as before and after sleep respectively. In total there were 144 swab samples collected form the 12 participants. All oral swabs were collected by the same researcher using the methods described above. All swab samples were then frozen at -80°C in their polyproline tubes until analysis.
**Swab preparation**
The oral swabs used in this study were part of another study investigating the absolute bacterial and Virus-like particle (VLP) abundances within the oral cavity of healthy and SDB using flow cytometry [16, 18]. In brief, swab tips were cut off into 1 ml of sterile (0.2 µm filtered and UV treated) TE buffer (10 mM Tris, 1 mM EDTA pH 7.4, sigma) and vortexed for 3 minutes to elute the bacteria and VLP from the swab.
The swab tip was then removed from the sample and a small volume of the buffer was collected for flow cytometric analysis [16, 18]. The remaining sample was snap frozen in liquid nitrogen and stored at -80°C ready for 16S analysis. During the preparation of the samples, negative control samples were prepared in the same manner using sterile rayon swabs (Copan, Brescia, Italy; product code: 155C; length: 13.3 cm, diameter: 5 mm).
**Bacterial 16S PCR amplification**
Eluted oral swab samples and negative control samples were thawed at room temperature and vortexed briefly to ensure uniform microbial distribution within the samples. Direct PCR [21] was performed on the samples using primers 341F and 806R (with Illumina overhang adaptors attached) that targeted the V4-V5 region of the 16S gene. KAPA Taq HiFi Hotstart polymerase (Kapa Biosystems, Boston, MA, USA) was used for the PCR amplification of the samples. A total reaction volume of 25 µl was used. Ten microliters of sample were used in each reaction. The PCR reaction was then preformed as followed: initial denaturing step at 95°C for 3 minutes followed by 30 cycles of 95°C for 30 seconds, 55°C for 30 seconds and 72°C for 30 seconds. A final extension step of 72°C for 5 minutes was performed, followed by storage at 4°C. An agarose gel (2.5%) was run on the PCR products to ensure the successful amplification of oral samples and clear negative controls. DNA Sequences were generated using an Illumina Miseq run (Genomics Facility, Flinders Medical Centre, Adelaide Australia).
**Bioinformatic analysis**
Paired-End reAd mergeR (PEAR) v0.9.4 was used to successfully assemble and quality filter 7,660,611 reads at a Phred score of 30 [22]. As per previously
described methods [23], sequences were processed using Quantitative Insights Into Microbial Ecology (QIIME) v.1.8.0 [24] and UPARSE [25]. Briefly, sequences were quality filtered: to a minimum quality score of 30, to a minimum 200bp in length, no more than 6 ambiguous bases and no primer mismatches using QIIME. Sequences were dereplicated using VSEARCH [26] and singletons removed in USEARCH [27]. The removal of chimeras and the clustering into operational taxonomic units (OTUs) at 97% similarity was achieved using the cluster_otus command in USEARCH. Taxonomy was assigned using the Greengenes database (13_08) using UCLUST [27] in QIIME. To remove biases due to differing sequencing depths, sequences were rarefied to 4920.
**Sequence analysis**
The multivariate statistics program PRIMER (version 7, Primer-E, Plymouth) was used to calculate Bray-Curtis similarity matrices were calculated from square root transformed relative abundance data [28, 29]. Permutational Multivariate Analysis of Variance (PERMANOVA+, version 1.0.3) was used to determine differences in overall bacterial composition between locations, time, gender, participants and health status using 9999 unrestricted permutations of the raw data [29]. Patterns of bacterial community variation were analysed using the Analysis of Similarity (ANOSIM) to test the null hypothesis of no differences among *a priori* group using 9999 permutations [28]. To test for multivariate dispersions within a group, the distance-based test for homogeneity (PERMDISP) was performed using 9999 permutations [30]. A similarity percentage analysis (SIMPER) was used to determine the top genera of bacteria driving the dissimilarity between samples (90% cut off) when statistical significance was observed from the PERMANOVA and ANOSIM results (p < 0.05) [30]. The spread and separation of samples were then visualised using a metric Multidimensional
Scaling (MDS) plot [28]. Five hundred bootstraps were run to determine the average centroid and where 95% of the averages lied within the multivariate space.
Results
Overall sequence statistics
One hundred and twenty-two samples were successfully sequenced. After paired-end assembly, 7,660,611 reads were successfully joined. After 97% OTU clustering 5,577,556 sequences were clustered into 536 OTUs. Each sample contained an average of 44,980 (\( \pm 31,384 \) SD) sequences, with a minimum of 598 and a maximum of 253,489 sequences.
Oral microhabitats vary in bacterial composition in SDB
Overall, bacterial communities in the paediatric SDB oral cavity separated by microhabitat (ANOSIM \( R = 0.23, p < 0.0001 \); PERMANOVA pseudo-\( F = 3.45, p < 0.0001 \)). Ten of the 15 microhabitat pairwise ANOSIM comparisons were significantly different (Table 1; \( R \geq 0.13, p < 0.05 \)). The back of the tongue was the only microhabitat observed to be significantly different in bacterial composition to all other locations in the SDB oral cavity (Table 1; \( p < 0.05 \)). The palate and tip of tongue were observed to be similar in bacterial composition (Table 1; \( R = 0.11, p = 0.066 \)). However, both were significantly different to the back of tongue, gingivae and molars (Table 1; \( p < 0.05 \)). In addition, the palate was also significantly different in bacterial composition compared to the temporomandibular joint (Table 1; \( R = 0.23, p = 0.008 \)). There were no significant differences between bacterial communities at the gingivae, temporomandibular joint and molars (Table 1; \( p > 0.05 \)).
Table 1. Pairwise ANOSIM comparisons between the microhabitats in the paediatric SDB oral cavity. A significant difference in the patterns of bacterial community composition between microhabitats is denoted by an asterisk (*). Average Bray-Curtis dissimilarity percentages were calculated using SIMPER analysis.
| Pairwise tests | R statistic | P value | Average Bray-Curtis dissimilarity |
|--------------------------------------|-------------|-----------|----------------------------------|
| Temporomandibular joint, Back of tongue | 0.56 | 0.006* | 42.85% |
| Temporomandibular joint, Gingivae | -0.045 | 0.67 | - |
| Temporomandibular joint, Palate | 0.23 | 0.008* | 31.88% |
| Temporomandibular joint, Molars | 0.019 | 0.31 | - |
| Temporomandibular joint, Tip of tongue | 0.11 | 0.089 | - |
| Back of tongue, Gingivae | 0.55 | 0.003* | 46.41% |
| Back of tongue, Palate | 0.65 | 0.005* | 34.96% |
| Back of tongue, Molars | 0.75 | 0.0005* | 45.00% |
| Back of tongue, Tip of tongue | 0.70 | 0.001* | 41.15% |
| Gingivae, Palate | 0.39 | < 0.0001* | 35.99% |
| Gingivae, Molars | 0.055 | 0.17 | - |
| Gingivae, Tip of tongue | 0.24 | 0.006* | 36.44% |
| Palate, Molars | 0.18 | 0.013* | 30.78% |
| Palate, Tip of tongue | 0.11 | 0.066 | - |
| Molars, Tip of tongue | 0.13 | 0.045* | 31.61% |
Distance-based tests for homogeneity of multivariate dispersions among microhabitats revealed an overall even distribution of data points (PERMDISP $F = 4.81$, $p = 0.0042$). However, pairwise PERMDISP comparisons showed significant differences between the dispersal of data between the back of the tongue with the temporomandibular joint ($t = 3.59$, $p = 0.0026$), palate ($t = 2.80$, $p = 0.027$), molars ($t = 3.92$, $p = 0.0023$), gingivae ($t = 3.97$, $p = 0.0033$) and tip of tongue ($t = 2.49$, $p = 0.041$). A significant difference in the dispersal of data was also observed between the palate and the gingivae ($t = 3.07$, $p = 0.0059$). The range in Bray-Curtis distance-to-centroid measures for microhabitats using PERMDISP were between $11.71 \pm 0.93$ at the back of the tongue to $24.93 \pm 2.03$ at the gingivae. A metric MDS plot using the Bray-Curtis bootstrap averages showed an overlap in the data between the temporomandibular joint, molars and gingivae (Fig. 1). An overlap in the 95% bootstrap region was also observed between the tip of the tongue and the palate (Fig. 1). No microhabitats were observed to overlap with the back of the tongue (Fig. 1).
Figure 1. Metric Multidimensional Scaling (MDS) plot based on the Bray-Curtis dissimilarity for all samples at the temporomandibular joint (green triangle), palate (inverted dark blue triangles), molars (light blue squares), tip of tongue (red diamonds), back of tongue (pink circles) and gingivae (grey crosses) in the SDB paediatric oral cavity. Centroid values are for each microhabitat are surrounded by a smooth bootstrap region where 95% of the 500 bootstrap averages lie.
SIMPER analysis on each oral microhabitat in SDB revealed average Bray-Curtis similarities of 66.75, 73.53, 69.23, 71.70, 80.48 and 63.28% for the temporomandibular joint, palate, molars, tip of tongue, back of tongue and gingivae respectively. *Streptococcus* was the most abundant genera at temporomandibular joint, palate, molars, tip of tongue and gingivae contributing to 22.62, 17.01, 21.08, 18.67 and 23.99% of the total within group similarity at each location respectively. At the back of the tongue, *Veillonella* was the top taxa among samples contributing to 18.12% of the within group similarity at this location. Pairwise SIMPER analysis revealed that the dissimilarity between the back of the tongue and the other microhabitats was driven by a higher relative abundance of *Veillonella* and a lower relative abundance of *Streptococcus*. This contributed to 17.31, 18.48, 19.30, 17.49 and 16.56% of the overall average dissimilarity between the back of the tongue and the temporomandibular joint, molars, palate, tip of tongue and gingivae respectively (Table 1; Fig. 2). In addition, the dissimilarity at temporomandibular joint, molars and gingivae were further driven by a higher relative abundance of *Prevotella* and *Actinomyces* at the back of the tongue contributing an additional 14.45, 12.99 and 14.66% to the overall dissimilarity at each location respectively (Fig. 2). At the tip of the tongue, the average dissimilarity with the molars and gingivae was driven by a higher relative abundance of *Rothia* and *Haemophilus* contributing to 13.19 and 14.75% of the overall dissimilarity respectively (Table 1; Fig. 2). *Neisseria* was also higher in relative abundance at the tip of the tongue and further contributed 5.84% to the dissimilarity at the gingivae (Fig. 2). Between the tip and back of tongue, 25.52% of the dissimilarity was driven by a higher relative abundance of *Rothia*, *Haemophilus* and *Neisseria* at the tip of the tongue and a higher relative abundance of *Prevotella* at the back of the tongue (Fig. 2).
The temporomandibular joint was higher in relative abundance of *Haemophilus* and *Gemellaceae* compared to the back of the tongue and contributed to 10.25% of the average dissimilarity between microhabitats (Table 1; Fig. 2). The dissimilarity between the palate and the temporomandibular joint was driven by a higher relative abundance of *Rothia* and *Actinobacillus* at the palate and a higher relative abundance of *Veillonella* at the temporomandibular joint. Together, these taxa were responsible for 19.50% of the dissimilarity between the palate and temporomandibular joint (Table 1; Figure 2). *Rothia* was higher at the palate in comparison to the gingivae and drove 6.81% of the dissimilarity (Table 1; Fig. 2). *Actinobacillus* was higher in relative
abundance at the molars compared to the palate and the tip of the tongue and contributed to 7.04 and 6.86% of the dissimilarity between microhabitats respectively (Table 1; Fig. 2). At the gingivae, a higher relative abundance of *Veillonella* and *Actinobacillus* drove 12.43% of the dissimilarity with the palate (Table 1; Fig. 2).
**Bacterial community composition among microhabitats when split by time**
Pairwise ANOSIM comparisons between locations only before sleep revealed a significant difference in the relative abundance of bacterial communities at the back of the tongue compared with the temporomandibular joint ($R = 0.51$, $p = 0.024$), gingivae ($R = 0.61$, $p = 0.016$), palate ($R = 0.93$, $p = 0.005$), molars ($R = 0.88$, $p = 0.005$) and tip of the tongue ($R = 0.83$, $p = 0.008$). These differences were predominantly driven by a higher relative abundance of *Veillonella* and *Prevotella* at the back of the tongue (SIMPER). The higher relative abundance of these bacterial genera combined with the observed lower abundance of *Streptococcus* and *Haemophilus* at the back of the tongue drove 32.61, 28.93, 31.77, 32.82 and 32.90% of the Bray-Curtis dissimilarity between the temporomandibular joint (Avg Diss = 43.58), gingivae (Avg Diss = 46.00), palate (Avg Diss = 39.24), molars (Avg Diss = 48.15) and tip of tongue (Avg Diss = 43.58) respectively (SIMPER). Pairwise ANOSIM comparisons also revealed a significant difference in bacterial community composition between the palate and gingivae ($R = 0.33$, $p = 0.013$). The average dissimilarity between these two locations was 35.96 and was predominantly driven by higher relative abundances of *Rothia* and *Actinobacillus* at the palate and *Veillonella* at the gingivae (SIMPER). Combined, these differences contributed to 22.22% of the overall dissimilarity between these two locations (SIMPER). After sleep, the only significant differences observed were between the palate and the temporomandibular joint (ANOSIM $R = 0.36$, $p = 0.033$) and the palate and gingivae (ANOSIM $R = 0.45$, $p =$
SIMPER analysis revealed that a higher relative abundance of *Prevotella* at the palate was the top contributing taxa driving 11.70 and 10.85% of the 29.64 and 35.64 Bray-Curtis dissimilarity at the temporomandibular joint and gingivae respectively.
When grouped by time of sampling (i.e. before and after sleep), bacterial communities in the paediatric SDB oral cavity did not significantly shift in overall bacterial composition during sleep (ANOSIM R = 0.033, p = 0.10; PERMANOVA Pseudo-F = 1.75, p = 0.10). No significant difference was also observed between pairwise comparisons at each microhabitat before and after sleep (ANOSIM p > 0.05).
**Bacterial communities differ in composition among participants and between genders in SDB**
Bacterial community structure among participants was observed to be significantly different (ANOSIM R = 0.52, p < 0.0001; PERMANOVA Pseudo-F = 7.33, p < 0.0001). This was further supported through the visualisation of the MDS plots where all samples collected from a participant grouped together (Fig. 3). Participant 4 had the greatest spread of data with an average Bray-Curtis distance-to-centroid measure of 19.40 ± 2.61 and was observed to slightly overlap with participant 15 on the metric MDS plot of Bray-Curtis bootstrap averages (Fig. 3). However, there was no significant difference in the dispersal of participant 4’s data with any other participant (PERMDISP p > 0.05). No other overlaps were observed between participants (Fig. 3). Samples collected from each participant had overall average Bray-Curtis similarities ranging between 71 and 76%. *Streptococcus* was the dominant
taxa identified within each participant and contributed to between 14% and 24% of the overall Bray-Curtis similarities (SIMPER).
**Figure 3.** Metric Multidimensional Scaling (MDS) plot based on the Bray-Curtis dissimilarity of each SDB participant ($n = 6$). Centroid values are for each participant are surrounded by a smooth bootstrap region where 95% of the 500 bootstrap averages lie.
Significant differences in the bacterial composition between genders was revealed within the SDB cohort (ANOSIM $R = 0.172$, $p = 0.002$; PERMANOVA Pseudo-$F = 7.86$, $p < 0.0001$). No overlap was observed between the spread of the 95% Bray-Curtis bootstrap regions between genders (Fig. 4). The multivariate dispersions between genders were heterogeneous (PERMDISP $F = 4.23$, $p = 0.059$) with males ($23.26 \pm 1.02$) having a greater level of dispersion than females ($20.01 \pm$
1.04) as determined by the average Bray-Curtis distance-to-centroid measure. The significant difference in bacterial composition between genders was predominantly driven by a higher relative abundance of *Actinobacillus* and *Haemophilus* in males and a higher relative abundance of *Veillonella* in females (SIMPER). These three taxa were responsible for driving 20.14% of the overall Bray-Curtis dissimilarity of 35.10% between locations (SIMPER).
Figure 4. Metric Multidimensional Scaling (MDS) plot based on the Bray-Curtis dissimilarity for gender form the SDB cohort. Centroid values are for each gender and are surrounded by a smooth bootstrap region where 95% of the 500 bootstrap averages lie.
Bacterial communities in paediatric SDB significantly differ to healthy participants
Comparisons between the overall bacterial communities in healthy and SDB participants revealed a significant shift between health states (ANOSIM R = 0.075, p = 0.0002; PERMANOVA Pseudo-F = 3.80, p = 0.0023). The metric MDS plot of Bray-Curtis bootstrap averages showed clear separation between healthy and SDB participants (Fig. 5). SDB had a slightly greater dispersal of data with an average Bray-Curtis distance-to-centroid measure of $23.57 \pm 0.87$ compared to $22.80 \pm 0.66$ for healthy participants (Fig. 5). However, the distribution of the multivariate data between
health states was not significant (PERMDISP $F = 0.51$, $p = 0.50$). An average similarity of 67.57% was reported for all healthy samples ($n = 65$) and 66.48% for all SDB samples ($n = 57$). *Streptococcus* was the top taxa contributing to 21.05 and 20.09% of the overall similarity within all healthy and SDB samples respectively. SIMPER comparison between healthy and SDB showed that there was a 33.94% average dissimilarity between health states and 6.67% of this was driven by a higher relative abundance of *Veillonella* in SDB (relative abundance: healthy = 10%; SDB = 13%). However, pairwise ANOSIM analysis based on health, microhabitat and time revealed only the tip of the tongue after sleep was the microhabitat where bacterial communities were reported to be significantly different between health states ($R = 0.28$, $p = 0.026$). Pairwise PERMDISP results revealed that the multivariate dispersal of data between these two locations was homogeneous ($t = 1.54$, $p = 0.25$). The average similarity for all tip of the tongue samples collected after sleep in healthy and SDB participants were 78.64 ($n = 6$) and 71.17 ($n = 5$) respectively. SIMPER comparisons revealed an average dissimilarity of 26.46 between these two sample groups. Of this dissimilarity, 14.42% was driven by a higher relative abundance of *Veillonella* (relative abundance: healthy = 16%; SDB = 10%) at the tip of the tongue in healthy participants and a higher relative abundance of *Haemophilus* at the tip of the tongue in SDB (relative abundance: healthy = 11%; SDB = 14%).
Figure 5. Metric Multidimensional Scaling (MDS) plot based on the Bray-Curtis dissimilarity between healthy (green triangles) and SDB (inverted dark blue triangles). Centroid values are for each health state are surrounded by a smooth bootstrap region where 95% of the 500 bootstrap averages lie.
Discussion
Here we present the first study to report on the microhabitat variation within the oral cavity of SDB. In addition, we report that these bacterial communities significantly differ to what is observed within the healthy paediatric oral cavity. This suggests that disruptions to the normal sleeping pattern of children may have an impact on the oral microbial communities present. Therefore, understanding what affect these shifts have on overall health and wellbeing may provide further insight into a potential link between the oral microbiome and SDB.
The microbial communities within the oral microhabitats of SDB are expected to be influenced by a number of factors including salivary flow, oral anatomy, oral hygiene, moisture levels, abrasion (i.e. form the tongue), surface structure, host immune response and oxygen, nutrient, temperature and pH gradients [8, 15, 31-39]. Here we show that like the healthy oral cavity [17], the overall bacterial community composition among microhabitats within the SDB oral cavity are different (Fig. 1; p < 0.05). Specifically, the back of the tongue compared with all other sampled microhabitats (Table 1; p < 0.05). A higher relative abundance of the anaerobic bacteria *Veillonella*, *Prevotella* and *Actinomyces* at this microhabitat were driving the dissimilarity among other sampled locations (Fig. 2). A similar trend was observed within the healthy oral cavity with *Prevotella* and *Veillonella* also the top taxa driving the dissimilarity between microhabitats [17]. The high relative abundance of these anaerobic bacteria is thought to be due to the papillae structures on the surface of the tongue [40]. Between these protrusions are anaerobic crevasses that trap nutrients and protect bacterial communities from salivary clearance [40]. However, as the tip of the tongue is the location in the oral cavity most exposed to the external environment,
and is directly exposure to the air we breathe, a higher relative abundance of aerobic bacteria is reported here compared to the back of the tongue (Fig. 2). This was also observed in the healthy oral cavity and was suggested to demonstrate a decreasing oxygen gradient from the tip to the back of the tongue [17].
Bacterial communities at palate in SDB were similar in composition to the tip of the tongue (Table 1; p > 0.05). As the surface of the tongue is in direct contact with the palate, it is understandable that these two locations share a similarity in bacterial communities. However, in healthy individuals the bacterial communities at the palate closely resemble the anaerobic ones found at the back of the tongue, rather than the aerobic ones at the tip [17]. We believe that this difference between health states is due to the common symptom of mouth breathing in SDB [4, 5, 41, 42]. However, due to the increased oxygen exposure to both surfaces, the palate is more likely to reflect and support the growth of the aerobic bacterial communities found at the tip of the tongue rather than the anaerobic bacterial communities at the back of the tongue.
In healthy individuals, the normal route of breathing at rest during the day and during sleep is through the nose [43, 44]. In the case of SDB, upper airway resistance, usually due to hypertrophy of the tonsils and adenoids, results in a shift to mouth breathing [41, 42]. We believe that this shift in the normal route of breathing is a major contributor to most of the bacterial dissimilarities observed between health states. For example, in healthy participants during sleep, overall bacterial communities in the oral cavity significantly shift towards a more anaerobic system, where the bacterial genera *Prevotella* and *Veillonella* increase in relative abundance [17]. Here we report that SDB oral bacterial communities do not significantly shift in composition during sleep (p > 0.05). Previously it has been reported that absolute bacterial concentrations in
the SDB oral cavity significantly increase by counts of up to 70 million [18]. Here, we show that these absolute abundance increases are not indicative of a significant shift in bacterial taxonomy ($p > 0.05$). One possible explanation for this bacterial continuity in SDB could lie in the microbial community’s continuous exposure to oxygen due to mouth breathing during the day and at night. Therefore, there is no considerable shift in oxygen concentration within the oral cavity during the day compared to during sleep. However, further tests would be required to confirm this.
Microhabitat pairwise comparisons revealed a significant difference in the relative abundance of bacterial communities at the tip of the tongue after sleep between healthy and SDB. In healthy participants, the anaerobic genera of bacteria *Veillonella* were higher in relative abundance at the tip of the tongue after sleep [17]. Whereas, the aerobic bacteria *Haemophilus* was higher in relative abundance at the tip of the tongue after sleep in SDB. This could again reflect the high incidence of mouth breathing in SDB compared to healthy participants [4, 5, 41, 42]. These results could suggest that direct exposure to oxygen is a major contributing factor in shaping the paediatric oral bacterial communities. However, during sleep, oxygen concentrations in the oral cavity are not the only environmental factors to change. Studies have shown within the healthy oral cavity, temperature, pH and salivary flow rates also change [33, 35] influencing the oral microbial communities present [36, 45]. How these factors change within the SDB oral cavity are unknown. Therefore, further investigations into whether these environmental factors also change during sleep in SDB should be conducted to determine if they play a role in maintaining the bacterial continuity during sleep.
Sleep deprivation in healthy humans alters the gut microbiota [19]. This suggests that sleep disturbances influence the human microbiota. Here we show for the first time a significant difference in the oral bacterial communities between SDB and healthy individuals (Fig. 5). Overall, a higher relative abundance of *Veillonella* in the oral cavity of SDB was seen to be the top contributing taxa driving the dissimilarity between healthy individuals. This genus of bacteria is one of the top abundant ‘core’ taxa found within the healthy oral microbiome [46]. Within the healthy and SDB oral cavity, this genus of bacteria is commonly found at a higher abundance within the anaerobic microhabitats of the back of the tongue and subgingival plaque [17]. However, an increased relative abundance has been linked to dental caries and periodontal disease [47, 48]. Periodontal disease has also been linked to obstructive sleep apnoea [49] and to atherosclerosis [50], a cardiovascular disease that is also associated with obstructive sleep apnoea [51, 52]. However, further studies into why *Veillonella* is increased overall within the SDB oral cavity and its implications to overall health is required as it is beyond the scope of this study.
Here we show that even during disease, oral microhabitats within individuals display a level of interpersonal similarity (Fig. 3). This is not uncommon in human microbiome studies [17, 53-57] and is thought to reflect differences in environments, diets and immune responses among individuals [58-60]. This individuality supports the idea of personalised treatment options for oral related diseases. Differences between genders were also identified within the SDB cohort of this study with males seen to have a higher relative abundance of *Actinobacillus* and *Haemophilus* within their oral cavity. (Fig. 4). This dissimilarity was not observed within healthy paediatric oral studies [17]. As SDB has a higher prevalence and severity in males [1, 61], further
research into whether these bacterial differences reflect hormonal variances between genders [62], or an underlining microbial link to SDB should be investigated.
Limitations of this study include the small sample size of participants within the healthy (n = 6) and SDB (n = 6) groups. In addition, not all the sampled microhabitats from each participant successfully sequenced, particularly at the back of the tongue. As a result, the numbers of possible permutations run in the ANOSIM pairwise comparisons between the back of the tongue and the other microhabitats were much lower and did not meet the specified 9999 permutations. Significant differences in the distribution of the multivariate data between genders and the back of the tongue with the other microhabitats, as identified through PERMDISP, could mean that the significant differences observed reflected differences in the spread of the data rather than the bacterial communities. A repeat of this experiment with a larger sample size will give a higher confidence of significant differences among microhabitats.
Microbial communities in the healthy paediatric oral cavity display signs of a circadian rhythm where bacterial and viral communities shift during sleep [17]. Here we show that within the SDB oral cavity, this rhythm is disrupted, and bacterial communities remain constant during sleep. In addition, we report of a significant difference in the overall bacterial communities between the paediatric SDB and healthy oral cavities. Our results suggest that these shifts in bacterial communities maybe a result of mouth breathing during sleep in SDB. This suggests that bacterial communities in the paediatric oral cavity are predominantly shaped by the direct exposure to oxygen.
Acknowledgements
This study was supported by Flinders University, Adelaide University and grants from the Australian Research Council, Channel 7 Research Foundation and the Australian Office of Learning and Teaching.
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Chapter 8
GENERAL DISCUSSION
An increasing number of studies are beginning to show that sleep disorder breathing (SDB) in mice and adults is linked to a shift in the gut microbiome [1-6]. As it is well accepted that the human microbiome is linked to maintaining and promoting health [7, 8], understanding what affects these microbial community shifts have on our overall health is rapidly gaining momentum. However, little research has been conducted looking at the oral microbiome in SDB, in particular at the paediatric age group. As the oral cavity is linked to the digestive and respiratory systems [9], it is important to investigate any microbial shifts at this location as it may have further implications down the digestive and respiratory tracts [10]. Most oral microbiome studies in health and disease have focused on adults [7, 11, 12]. As the human oral microbiome shifts with age [12, 13], it is important to establish a healthy baseline at the paediatric age group so appropriate comparisons can be performed. Therefore, this thesis aimed to understand the spatial distribution of the healthy paediatric oral microbiome, and to establish if these communities differ in paediatric SDB. To do this we first established that flow cytometry could be used on medical samples to enumerate bacterial and viral populations (chapter 2). Following this, investigations using flow cytometry and 16S ribosomal RNA analyses were conducted to determine the numeric (chapters 3 and 4) and taxonomic (chapter 6) distribution of the healthy paediatric oral cavity before and after sleep to ultimately understand if these microbial community dynamics differ in SDB (chapters 5 and 7). This final chapter will summarise and address the main findings from this thesis in regards to the overall objectives presented in the introduction.
Flow cytometric enumeration of bacteria and VLP in maxillary sinus flush samples
Chapter 2 investigated using flow cytometry as a method of enumerating bacterial and viral particles within the maxillary sinuses of chronic rhinosinusitis patients. Previously used in environmental studies to monitor microbial abundance dynamics [14-16], flow cytometry provides a rapid method for enumerating absolute bacterial and VLP abundances within a sample. However, this method of microbial enumeration is not commonly applied to medical samples. Here we present the first study to enumerate bacterial and viral populations within the maxillary sinuses of humans. Results from this chapter demonstrate that flow cytometry can successfully be applied to medical samples and hence can be used to assess microbial dynamics within other niches of the human body.
We also identified that in CRS patients, bacterial and VLP concentrations ranged between $10^4$ to $10^8$ bacterial ml$^{-1}$ and $10^5$ to $10^{10}$ VLP ml$^{-1}$. This shows that microbial abundances among patients with disease are not found at a similar level, implying that infection levels of bacteria and VLP are dependent on an individual. This highlights the potential for personalised treatment options when treating microbial related infections. One treatment method currently being investigated in this field is the use of phage therapy [17]. Knowledge that viruses are prominent within the sinuses of CRS patients may help in determining the appropriate dosage requirements for this treatment option [18]. Understanding the microbial abundances in the sinuses may also assist in interpreting the microbial dynamics within the oral cavity. Post-nasal drip down the back of the throat to the back of the tongue may also influence the
microbial abundance dynamics of the oral cavity as it could facilitate the transfer and inoculation of microbial communities from the sinuses to the oral cavity.
**The healthy paediatric oral cavity is a numerically dynamic heterogeneous environment**
Chapters 3 and 4 investigated the spatial distribution and dynamic of bacterial and viral populations in the healthy paediatric oral cavity. This was achieved through utilising the successful flow cytometric methods applied in chapter 2. Previously it has been shown that microhabitats in the oral cavity significantly different in taxonomic composition [7, 11, 12]. However, absolute abundance variation of bacteria and viruses among these microhabitats was unknown. Here we demonstrate for the first time that the oral bacterial and viral communities within microhabitats are numerally heterogeneous. This further supports and complements previous oral microbiome studies that suggest the oral microbiome be defined by its various microhabitats [7, 11, 12]. Bacterial abundances in the oral cavity ranged from $7.2 \pm 2.8 \times 10^5$ at the palate before sleep to $1.3 \pm 0.2 \times 10^8$ at the back of the tongue after sleep. Viruses ranged between $1.9 \pm 1.0 \times 10^6$ VLP at the palate before sleep to $9.2 \pm 5.0 \times 10^7$ VLP at the back of the tongue after sleep. However, viral abundances were observed to display homogeneity among microhabitats after sleep. This could be suggesting of a factor controlling viral dispersal during sleep.
This chapter also demonstrates that the oral cavity is a dynamic environment during sleep where bacteria and viruses significantly increase in abundance ($p < 0.05$). Bacteria were reported to increase by counts of 100 million and viruses by 70 million. As conditions in the oral environment change during sleep [19-22], this chapter suggests that these changes can have a large impact on the resulting microbial community abundance. As microbial communities also shift with age [12, 13], it was
important to establish a healthy paediatric ‘baseline’ of absolute bacterial and viral counts, so comparisons could be made with paediatric SDB in chapter 5.
**Viral community abundances differ between healthy and SDB**
In chapter 5, utilising the same techniques from chapters 2-4, we present the first study to enumerate microhabitat variation the bacterial and viral communities in the paediatric SDB oral cavity. Here we see that like the healthy paediatric oral cavity (chapters 3 and 4); the paediatric SDB oral cavity is also numerically heterogeneous in bacteria and viruses. Bacterial counts ranged between $9.55 \pm 3.88 \times 10^5$ at the palate before sleep to $8.94 \pm 1.49 \times 10^7$ at the back of the tongue after sleep. Viruses were reported to range between $1.38 \pm 0.64 \times 10^6$ at the palate before sleep to $7.72 \pm 3.13 \times 10^7$ at the gingivae after sleep. All microhabitat communities were also seen to be dynamic with significant increases in both bacteria and viruses during sleep. However, unlike healthy participants, SDB had more regions of heterogeneity in microbial communities, specifically in viruses after sleep. These differences may reflect variances in environmental conditions due to differences in sleeping patterns between healthy and SDB. These include but are not limited to snoring and mouth breathing [23-25].
Bacterial counts at the back of the tongue in SDB were significantly lower than healthy participants by a count of approximately 46 million after sleep. We suspect this is a result of increased friction at the back of the tongue in SDB due to snoring. This increased friction at the back of the tongue causes the dislodgment and shedding of mucosal fragments, ultimately resulting in the loss of the microbial communities residing there [12, 26, 27]. Therefore, microbial communities at this location in SDB are unable to develop to the same abundance as healthy participants. Viral
communities in SDB were also significantly different to counts in healthy participants. These differences could be a result of the differing environmental conditions between health states, or it could reflect a difference in the bacterial taxonomic structure.
**Microbial communities shift anaerobically during sleep in healthy paediatric participants**
Chapter 6 used 16S ribosomal RNA sequencing to investigate the taxonomic composition of the bacterial communities at the 6 oral microhabitats in healthy participants. Overall PERMANOVA and ANOSIM results on microhabitats indicated a significant difference in bacterial community structure (PERMANOVA $p < 0.05$, ANOSIM $p < 0.05$). This supports previous taxonomic studies on adult oral cavities [7, 11, 12]. However, pairwise ANOSIM comparisons revealed similarities among certain microhabitats (ANOSIM $p > 0.05$). The temporomandibular joint, gingivae and molars were similar in overall microbial composition (ANOSIM $p > 0.05$) and were higher in relative abundance of *Streptococcus* (SIMPER) than the palate, tip of tongue and back of tongue. The back of the tongue and the palate were also similar in microbial composition (ANOSIM $p > 0.05$) with a higher relative abundance of the anaerobic bacteria *Prevotella* and *Veillonella* driving the dissimilarity among microhabitats (SIMPER). We suspect that the direct contact between both locations facilitates the transfer of microbial communities resulting in the similarities observed. At the tip of the tongue the aerobic bacteria *Haemophilus* and *Rothia* were identified as the top genera driving the dissimilarity among all locations tested. This is suggestive of a decreasing oxygen gradient from the tip to the back of the tongue.
This chapter also reports for the first time a significant shift in oral bacterial communities during sleep within the healthy paediatric cohort (PERMANOVA $p < 0.05$,
ANOSIM $p < 0.05$). A higher relative abundance of the anaerobic bacteria *Veillonella* and *Prevotella* were observed to be the main genera driving the dissimilarity between time points. This suggests that the oral cavity shifts to a predominantly anaerobic system during sleep. This is likely a result of nasal breathing during the night [28] where air is not directly in contact with microhabitats in the oral cavity.
**Bacterial communities in SDB significantly differ to healthy individuals**
In chapter 7, 16S ribosomal RNA sequencing was also used to determine microhabitat variation within the SDB oral cavity before and after sleep. Here we show that like the healthy oral cavity (chapter 6), SDB oral microhabitats significantly differ in microbial community composition (PERMANOVA $p < 0.05$, ANOSIM $p < 0.05$). However, these oral bacterial communities do not significantly shift in composition during sleep ($p > 0.05$). This is thought to be a result of mouth breathing during the day and at night, a common symptom of SDB [29-32]. Therefore, oxygen concentrations in the oral cavity are not likely to change considerably during the day compared to at night, thus not resulting in a shift in oral microbial communities between time points. Therefore, the significant increase in absolute bacterial abundances in SDB during sleep (chapter 5) are not reflective of a significant difference in taxonomy.
Mouth breathing is also thought to be why there is a significant shift in bacterial communities between healthy and SDB oral bacterial communities (PERMANOVA $p < 0.05$, ANOSIM $p < 0.05$; Fig 1). Specifically, at the tip of the tongue after sleep where there is a shift from the anaerobic bacteria *Veillonella* in health participants to the aerobic bacteria *Haemophilus* in SDB (SIMPER). Unlike SDB, healthy participants breath through their nose during sleep [33, 34] creating an anaerobic environment in the oral cavity (chapter 6). However, the overall total relative abundance of *Veillonella*
in SDB was higher than healthy participants and was the main genera responsible for driving the dissimilarity between health states (SIMPER). This genus of bacteria is also found at a higher relative abundance in periodontal disease [35, 36], an oral disease which has been linked to obstructive sleep apnoea [37]. Determining that there is a significant shift in the oral bacterial communities between healthy and SDB means future studies can be conducted to ultimately understand why these shifts occur, what impact these shifts have on overall health and whether they are a cause or result of the sleep disorder.
**Figure 1.** Metric Multidimensional Scaling (MDS) plot based on the Bray-Curtis dissimilarity between healthy (green triangles) and SDB (inverted dark blue triangles). Centroid values are for each health state are surrounded by a smooth bootstrap region where 95% of the 500 bootstrap averages lie.
Significance
One of the main messages from this thesis is that flow cytometry can successfully be applied within the medical field to enumerate absolute microbial abundance dynamics from clinical samples using a DNA stain. We have established for the first time the absolute numerical range of bacterial and viral communities among microhabitats in the human oral cavity. In addition, we have also determined by how much these community dynamics change during sleep. As mentioned within chapters 2-5, flow cytometry has been used for decades to monitor microbial dynamics within environments such as marine and freshwater and ground water systems [14-16]. As the majority of bacteria isolated from the body is yet to be successfully cultured [11, 38-40], flow cytometry provides an inexpensive and rapid alternative to enumerate microbial communities without the biases culturing introduces [14, 41, 42].
As highlighted during the review process for chapter 4 (Appendix), investigations into the microbial dynamics of the oral cavity are relatively out dated. One study mentioned in the review process as a current method of measuring bacterial dynamics over time was a study published in 1989 that used photography to calculate plaque extension over time [43]. In brief, after plaque disclosure, tooth surfaces were photographed at 11 time points over a period of 96 hours to determine the rate of plaque growth. The bacterial dynamics at this location were determined based on the percentage of total plaque coverage on the surface of the teeth over the 96 hours. No absolute bacterial counts were performed in this study. Another study used fluorescent *in situ* hybridisation (FISH) using specific bacterial probes to count bacteria in plaque scrapings [44]. The specificity of the bacterial probes does not make it a good representation of the total bacterial community within this environment. To our
knowledge, there have been no studies investigating the viral abundance dynamics within the oral cavity. Therefore, there was a need for the development of a method that could be applied in the medical field to enumerate both bacterial and viral communities. Here we present in chapters 2-5 of this thesis the first bacterial and viral abundance dynamics of the oral cavity using flow cytometry.
Previous studies on the salivary microbiome have shown that bacterial communities remain stable over time [45-49]. However, results in this thesis have demonstrated that this is not the case for microhabitats within the oral cavity. Significant count increase in bacterial and viral communities were observed over a 9-9½ hour period. Taxonomically, these microbial communities significantly shifted favouring anaerobic bacterial genera. Therefore, results from this thesis demonstrate the need for careful regulation of sample collection time when comparing oral related diseases to healthy controls.
**Future directions**
With the successful application of flow cytometry to monitoring microbial dynamics in the sinuses and oral cavity (chapters 2-5), we propose that this technique be applied to other locations within the human body. Like the oral cavity, most other human microbiome studies focus on the taxonomic distribution and relative abundances of bacterial and viral communities within an environment [7, 50-52]. However; the absolute microbial dynamics of these environments are unknown. Flow cytometry could also be used to monitor temporal dynamics within the body, specifically in microbial related diseases or infections.
In some cases like chronic rhinosinusitis, specific bacterial species are thought to be involved in the pathogenesis of the disease [53, 54]. Therefore we propose that FISH in conjunction with flow cytometry [55-57] could be used to in microbial related diseases where there is a known pathogen of interest. This will enable the differentiation and enumeration of these specific bacterial species from the overall bacterial populations identified when using a general DNA stain like SYBR-Green. Knowledge of total bacterial communities in microbial related infections/diseases may assist in the future in determining appropriate dosages for antibiotics or even concentrations of bacteriophage in phage therapy.
Here we provide the first insight into the numeric and taxonomic differences between the microhabitats of the healthy and SDB paediatric oral cavity. Whether these differences are a cause or a result of SDB is beyond the scope of this thesis. However, the main finding of a significant difference in viral abundance and taxonomic communities between health states (chapters 5 and 7) warrants further investigations into what is causing these dissimilarities. Future metagenomics analysis into the genetic profiles of the oral bacterial and viral communities in SDB may provide a better insight into the metabolic functions of these microbial communities [10].
**Conclusions**
This thesis provides an overview of the bacterial and viral abundance dynamics within the paediatric oral cavity of healthy and SDB. Here we present, to the best of our knowledge, the first studies into the absolute microbial abundance dynamics of the healthy and SDB paediatric oral cavity during sleep. Results demonstrate that the oral cavity is a numerically heterogeneous environment where counts of bacterial and viruses can increase by 100 million. Absolute viral counts significantly differ between
health states suggesting the potential involvement or impact of SDB on viral communities within the oral cavity. Furthermore, a taxonomic and numeric shift in bacterial and viral communities during sleep show that time of sample collection is important when designing and collecting samples for oral microbiome studies. Further bacterial and viral metagenomics analyses will assist in determining what role SDB has on the distribution of microbial communities within the oral cavity, and what if any, impact these shifts have on overall health and wellbeing.
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APPENDICES
The following publications and poster presentations have been produced from the chapters within this thesis.
Publications
Carlson-Jones JA, Paterson JS, Newton K, Smith RJ, Dann LM, Speck P, Mitchell JG, Wormald PJ. Enumerating Virus-Like Particles and Bacterial Populations in the Sinuses of Chronic Rhinosinusitis Patients Using Flow Cytometry. Plos One. 2016;11(5):e0155003. doi: 10.1371/journal.pone.0155003. PubMed PMID: 27171169; PubMed Central PMCID: PMC4865123
Carlson-Jones J, Kontos A, Paterson J, Smith R, Dann L, Speck P, Lushington K, Martin J, Kennedy D, Mitchell J. Flow Cytometric Enumeration of Bacterial and Virus-Like Particle Populations in the Human Oral Cavity Pre and Post Sleep. J Sleep Res. 2016;25:86-. PubMed PMID: WOS:000393032700215.
Poster presentations
Carlson-Jones J, Dann LM, Newton K, Paterson JS, Smith RJ, Speck P, Mitchell JG, Wormald PJ. Enumeration of virus-like particles in the sinus washes of chronic rhinosinusitis patients. Poster presented at: Australian Society for Microbiology, 2014 July 6-9, Melbourne, Australia.
Carlson-Jones J, Dann LM, Newton K, Paterson JS, Smith RJ, Speck P, Mitchell JG, Wormald PJ. Enumeration of virus-like particles in the sinus washes of chronic rhinosinusitis patients. Poster presented at: 15th International Symposium on Microbial Ecology, 2014 August 24-29, Seoul, Korea.
Carlson-Jones, J, Kontos A, Paterson J, Smith R, Dann LM, Speck P, Lushington K, Martin J, Kennedy D, Mitchell J. Flow Cytometric Enumeration of Bacterial and Virus-Like Particle Populations in the Human Oral Cavity Pre and Post Sleep. Poster presented: 16th International Symposium on Microbial Ecology, 2016 August 21-25, Montréal, Canada.
Carlson-Jones, J, Kontos A, Paterson J, Smith R, Dann LM, Speck P, Lushington K, Martin J, Kennedy D, Mitchell J. Flow Cytometric Enumeration of Bacterial and Virus-Like Particle Populations in the Human Oral Cavity Pre and Post Sleep. Poster presented: Sleep Down Under, 2016 October 20-22, Adelaide, Australia.
There is increasing evidence to suggest that the sinus microbiome plays a role in the pathogenesis of chronic rhinosinusitis (CRS). However, the concentration of these microorganisms within the sinuses is still unknown. We show that flow cytometry can be used to enumerate bacteria and virus-like particles (VLPs) in sinus flush samples of CRS patients. This was achieved through trialling 5 sample preparation techniques for flow cytometry. We found high concentrations of bacteria and VLPs in these samples. Untreated samples produced the highest average bacterial and VLP counts with $3.3 \pm 0.74 \times 10^7$ bacteria ml$^{-1}$ and $2.4 \pm 1.23 \times 10^9$ VLP ml$^{-1}$ of sinus flush ($n = 9$). These counts were significantly higher than most of the treated samples ($p < 0.05$). Results showed $10^3$ and $10^4$ times inter-patient variation for bacteria and VLP concentrations. This wide variation suggests that diagnosis and treatment need to be personalised and that utilising flow cytometry is useful and efficient for this. This study is the first to enumerate bacterial and VLP populations in the maxillary sinus of CRS patients. The relevance of enumeration is that with increasing antimicrobial resistance, antibiotics are becoming less effective at treating bacterial infections of the sinuses, so alternative therapies are needed. Phage therapy has been proposed as one such alternative, but for dosing, the abundance of bacteria is required. Knowledge of whether phages are normally present in the sinuses will assist in gauging the safety of applying phage therapy to sinuses. Our finding, that large numbers of VLP are frequently present in sinuses, indicates that phage therapy may represent a minimally disruptive intervention towards the nasal microbiome. We propose that flow cytometry can be used as a tool to assess microbial biomass dynamics in sinuses and other anatomical locations where infection can cause disease.
Introduction
Chronic rhinosinusitis (CRS) is a common disease amongst the human population, and there is increasing evidence to show that microorganisms are involved in the inflammation of the sinus mucosal layer leading to exacerbation of the disease [1–3]. It is well established that the healthy sinus is not sterile, but is colonised by a diverse community of microorganisms [1, 2, 4, 5]. These microorganisms exist in the sinuses within exopolysaccharide biofilms, the presence of which leads to difficulties in treating the disease [6–12]. As antibiotics are a common treatment option for CRS patients, there is concern surrounding the growing antimicrobial resistance [13, 14]. Bacteria within these biofilms are able to secrete a polysaccharide matrix that acts as a protective barrier against host defences and antimicrobial agents [15]. This protective barrier makes it difficult when it comes to treating CRS with antibiotics. An alternative treatment is phage therapy which utilises specific bacteriophages (phage) that infect and kill pathogenic bacteria [16]. Trials of bacteriophage cocktails consisting of multiple types of phage, on sheep models of sinusitis have proven to be effective in eliminating *S. aureus* in biofilms and its free floating form [17]. Through the use of these phage cocktails, the development of phage resistant bacteria is reduced [18]. Knowledge of population abundance of bacteria and phage in the sinuses is important for the development of appropriate phage concentrations for use in this therapy [19].
Flow cytometry has been used as a method for enumerating heterotrophic bacteria and virus-like particles (VLPs) in environmental samples for decades [20–22]. This non-culture based technology is a quick, inexpensive way to rapidly enumerate a large number of cells and particles to provide data without the enrichment bias culturing introduces [20]. This technique yields highly reproducible counts and enumeration of VLPs at a concentration that would be too low for transmission electron microscopy (TEM) [20]. Here, we investigate methods to enumerate bacteria and VLPs within sinus flush fluid samples and present the first data, produced using flow cytometry, describing bacterial and VLP abundance within the maxillary sinuses of CRS patients. We, therefore, aim to measure the variation in abundance of bacteria and VLPs in the sinuses of CRS patients to determine if they are present at the same level among patients.
Materials and Methods
Ethics Statement
Maxillary sinus flush fluid samples were obtained from nine patients diagnosed with CRS in accordance to criteria defined by the Chronic Rhinosinusitis Task Force [23]. This study was approved by The Queen Elizabeth Hospital Human Research Ethics Committee, reference number: HREC/13/TQEHLMH/49. All nine patients involved in the study gave written consent prior to their sinus surgery. All sinus flush fluid samples were collected by the senior author (P.J.W) during the patient’s endoscopic sinus surgery. Due to the highly invasive nature of the operating procedure, healthy controls were not ethically justifiable, nor are they relevant to the question of how much abundance variation is there among infected patients.
Sample collection. Immediately after opening the maxillary sinus, approximately 5 ml of sterile saline was used to flush the sinus and re-collected in sterile specimen containers. Volume of flush fluid collected ranged from approximately 2 to 4 ml. Once samples were collected, they were transported on ice ready for immediate fixation with glutaraldehyde (0.5% final concentration) on ice in the dark, then snap freezing in liquid nitrogen and storage at -80°C until analysis [21].
Sample Preparation
Five sample preparation techniques for flow cytometry were investigated. Fixed sinus flush fluid samples were thawed before each treatment was applied.
**Sputasol.** Sputasol was made using 0.02 μm filtered MilliQ water according to the manufacturer’s instructions (Oxoid). Equal volumes of Sputasol and fixed sinus sample were mixed together then incubated at 37°C for 15 minutes.
**Methanol.** Methanol, 0.2 μm filtered, was added to fixed sinus samples to a final concentration of 20% [24]. Samples were incubated at 37°C for 15 minutes then sonicated for 30 seconds in a SoniClean™ sonicating bath (Model 160TD, 60 W, 50/60Hz).
**Potassium citrate.** Potassium citrate tribasic solution (1M, Sigma) was added to the fixed sample to a 1% final concentration [24]. The sample was then vortexed for 30 seconds [24].
**Sodium pyrophosphate.** Sodium pyrophosphate solution was added to 100 μl of fixed sample to a final concentration of 10 mM [24]. Samples were vortexed for 1 minute and incubated at room temperature for 15 minutes [24]. Samples were then sonicated for 30 seconds in a SoniClean™ sonicating bath (Model 160TD, 60 W, 50/60Hz).
**Untreated.** Fixed samples were diluted in 0.2μm filtered TE buffer (10 mM Tris, 1 mM EDTA, pH 7.4) without pre-treatment [21].
Flow Cytometric Analysis
Bacterial and VLP populations present in sinus flush fluid were identified and enumerated using a BD ACCURI C6 flow cytometer (Becton Dickinson). Samples using each extraction technique were run in triplicate for each patient. Samples were diluted (1:100) in 0.2 μm filtered TE buffer, stained with the DNA-binding dye SYBR-I Green (1:20,000 final dilution; Molecular Probes) then incubated at 80°C in the dark for 10 minutes [21]. For each preparation method control samples were generated prior to each flow cytometry session. These samples were prepared in the same manner as patient samples in 0.9% sterile saline, the same concentration used to flush patient sinuses. These samples were used to eliminate background artefacts introduced during sample preparation.
Samples were analysed using an Accuri C6 flow cytometer (Accuri C6) and BD ACCURI CFlow software. All samples were run for 2 minutes at machine fluidics setting of fast, with the threshold set to FL-1 (green fluorescence). As a control, 1 μm diameter fluorescent beads (Molecular Probes) were used. Beads were added to each sample to a final concentration of $10^5$ beads ml$^{-1}$ [25]. The beads allow for flow cytometric parameters to be normalised according to bead fluorescence and concentration, and to give an indication of viral and bacterial cell size [25]. Phosphate-buffered saline (PBS) was used as sheath fluid for flow cytometry analysis. For each sample, green fluorescence, side angle light scatter and forward angle light scatter were recorded.
Data Analysis
Flow cytometry data was analysed using FlowJo software (Tree Star, Inc.). VLP and bacterial populations were categorised based on variations in side scatter, a representation of cell size, and SYBR Green fluorescence, an indication of nucleic acid content [20, 21, 26]. For some patients, only one bacterial population was observed, whereas others showed multiple. Therefore, one overall bacterial population was created to remain consistent across all patient samples.
Rank abundance plots were generated for bacterial and VLP concentrations using all method triplicates and their averages to distinguish between any patient groupings formed on
abundance. Comparisons between bacterial and VLP abundances for each treatment method were made using the statistical analysis program SPSS version 22 (IBM Corp. Released 2013. IBM SPSS Statistics for Windows, Version 22.0. Armonk, NY: IBM Corp.) using the Wilcoxon signed-rank test. Statistical significance between treatments was considered when $p < 0.05$.
**Results**
**Flow Cytometric Analysis**
Cytograms showed discrete bacterial and VLP populations present within the sinus fluid of CRS patients (Fig 1). Some patients exhibited one distinct bacterial population, whereas others patients exhibited up to four (Fig 1). Variations in bacterial and VLP abundance were observed between patients regardless of the treatment method used on the samples. Mean bacterial and VLP abundances for each treatment method are shown in Table 1.
**Table 1. Mean concentration of bacteria and VLP per ml of sinus flush fluid for each treatment method tested. Error represents standard error of the mean.**
| Treatment | Bacteria ml$^{-1}$ ($\pm$SE) | VLP ml$^{-1}$ ($\pm$SE) |
|-------------------------|------------------------------|--------------------------|
| Untreated | $3.3 \times 10^7$ $(7.4 \times 10^6)$ | $2.4 \times 10^9$ $(1.2 \times 10^8)$ |
| Sodium pyrophosphate | $2.9 \times 10^7$ $(6.7 \times 10^6)$ | $2.0 \times 10^9$ $(9.9 \times 10^8)$ |
| Sputasol | $2.2 \times 10^7$ $(6.5 \times 10^6)$ | $1.8 \times 10^9$ $(9.1 \times 10^8)$ |
| Methanol | $2.0 \times 10^7$ $(4.3 \times 10^6)$ | $2.2 \times 10^9$ $(9.9 \times 10^8)$ |
| Potassium citrate | $1.9 \times 10^7$ $(4.6 \times 10^6)$ | $2.2 \times 10^9$ $(1.1 \times 10^9)$ |
doi:10.1371/journal.pone.0155003.t001
Bacterial Sample Preparation Method Optimisation
For patient samples, the mean bacterial abundance for untreated samples was the highest of all treatments, with $3.3 \pm 0.74 \times 10^7$ cells ml$^{-1}$ ($n = 27$; Table 1; S1 Table). The lowest mean abundance was for potassium citrate treated samples with $1.9 \pm 0.46 \times 10^7$ cells ml$^{-1}$ ($n = 27$; Table 1; S1 Table). In testing the differences between treatments, the untreated and sodium pyrophosphate samples yielded significantly higher bacterial abundance than potassium citrate ($p < 0.001$ and $p < 0.001$), methanol ($p = 0.002$ and $p < 0.001$) and Sputasol ($p = 0.003$ and $p < 0.001$). There was no significant difference in bacterial abundance between sodium pyrophosphate treated and untreated samples ($p = 0.39$).
VLP Sample Preparation Method Optimisation
VLP mean abundance for the untreated method was the highest for all patient samples with $2.4 \pm 1.2 \times 10^9$ cells ml$^{-1}$ ($n = 27$; Table 1; S2 Table). Sputasol treated patient samples yielded the lowest VLP abundances with $1.8 \pm 0.91 \times 10^9$ cells ml$^{-1}$ ($n = 27$; Table 1; S2 Table). Untreated samples yielded significantly higher VLP abundances than potassium citrate ($p = 0.031$), methanol ($p = 0.010$), and Sputasol ($p = 0.019$) treated samples. There was no significant difference between VLP abundance for untreated samples and sodium pyrophosphate treated samples ($p = 0.08$). Sodium pyrophosphate also did not yield significantly higher VLP abundances than potassium citrate ($p = 0.44$) and methanol ($p = 0.53$) treated samples. There was, however, a significant difference between VLP abundances for sodium pyrophosphate and Sputasol ($p = 0.008$).
Bacterial Rank Abundance
Rank abundance was used to identify possible groupings among the patient’s bacterial abundance. Breaks in the plot suggest 3 groupings of patients with bacterial abundances classified as high, greater than $10^7$ cells ml$^{-1}$, medium, between $10^5$ to $10^6$ cells ml$^{-1}$, and low, less than $10^5$ cells ml$^{-1}$ (Fig 2). The high bacterial group consisted of triplicates from 5 patients. The medium bacterial group contained triplicates from 3 patients and the low bacterial abundance group consisted of 1 patient. There was approximately one order of magnitude difference between each of the 3 groups (Fig 2). The overall average bacterial rank abundance using all treatment triplicates fit a logarithmic trend; however this was achieved by a series of step down power laws for each bacterial group (Fig 3).
VLP Rank Abundance
A rank abundance plot for VLP abundance was generated using the method triplicates of untreated, sodium pyrophosphate, potassium citrate, Sputasol and methanol samples (Fig 4). VLP abundances show an even distribution across 5 orders of magnitude. Three patients had values above $10^8$ VLP ml$^{-1}$. These are classified as high VLP, with the proviso that they are separated from each other by an order of magnitude (Fig 4). Three patients make up the medium concentration group between $10^7$ and $10^8$ VLP ml$^{-1}$. However, in this group the loss of VLPs in the methanol and sodium pyrophosphate treatments makes the group appear fused with the lowest group. The lowest group was classified as concentrations below $10^7$ VLP ml$^{-1}$. In this group the methanol treatment showed considerable loss of VLPs and in one patient a complete absence of VLPs (Fig 4). The overall average VLP rank abundance using all treatment triplicates fit a steep power law (Fig 5).
Lack of Correlation with Patient Symptoms
Prior to sinus surgery, each patient completed a questionnaire regarding basic clinical information and provided a severity score from 0, being no problem, to 5, being a problem as bad as it can be, for CRS symptoms for the past two weeks. Based on the rank abundance plots (Figs 2 and 3), possible trends in the patient groups were investigated. There were no trends observed within the rank abundance patient groups for bacteria or VLPs.
Discussion
This is the first study to use flow cytometry to enumerate bacteria and VLPs within the maxillary sinus of CRS patients. We present a number of snapshot enumerations, using flow cytometry, of the microbial composition of sinuses of CRS patients. We tested a number of sample preparation techniques for bacterial and VLP enumeration that are used for environmental samples, in particular, techniques used for disruption of coral mucus, for microscopy [24, 27]. Our results showed that the sinus, at least in patients requiring sinus surgery, is an active microbiological environment. We speculate that most VLPs detected are likely to be bacteriophages.
as they are the most commonly found in association with their hosts, bacteria, which we find to be present in abundance in sinuses. The proposal that phages can be used to treat bacterial infections of the sinus [17] can now be viewed in the light of this data showing that phages appear to be present in sinuses in large numbers (Table 1).
Although the primary focus of this study was to enumerate the bacteria and VLPs in the sinus fluid, there was concern surrounding the presence of small fragments of mucus or biofilms within the samples prepared for flow cytometry. The mucus may have caused the bacteria and VLPs to clump together resulting in an overestimation on particle size, shape and DNA content. This is a similar concern in regards to analyzing bacteria and VLPs in coral mucus using microscopy [24, 27]. As bacterial and VLP flow cytometry on human samples is a new approach, various flow cytometry methods were investigated.
Common chemicals used in environmental sample preparation include potassium citrate, sodium pyrophosphate and methanol. Sodium pyrophosphate and potassium citrate are commonly used in environmental microbiology for desorbing viral particles from soil and marine sediment [28, 29]. Potassium citrate increases the electrostatic repulsion between viruses and
Fig 4. Rank abundance for each patient’s VLP abundance for each sample preparation method, with triplicates shown. Highest abundances are rare while lower abundances are common. Differences in treatments used on the patient samples can be seen not to influence the high range of VLP origination levels.
doi:10.1371/journal.pone.0155003.g004
bacteria, and the mucus to which they are attached to by raising pH [24]. Sodium pyrophosphate weakens the hydrophilic links in mucus allowing for viruses and bacteria to be separated [30]. Dithiothreitol (DTT) has been used on sinus samples to improve the yield of fungal cultures and in studies involving quantification of inflammatory cells in nasal secretions [31–33]. Sputasol contains DTT and has been used to liquefy mucus in nasal lavage [34]. It does this by breaking disulfide bonds within mucin, causing liquefaction, releasing trapped viruses and bacteria [35, 36]. Methanol has the ability to break up exopolymeric substances in mucus which entrap bacteria and viruses [37].
Our results show that the untreated and sodium pyrophosphate treatment methods yielded significantly higher bacterial abundances than all other methods tested (p < 0.05). For VLP enumeration, no treatment (as in the untreated samples) was the optimal method. Although there was no significant difference between untreated and sodium pyrophosphate treated samples (p < 0.05), sodium pyrophosphate did not yield significantly higher VLP abundances than methanol and potassium citrate (p < 0.05). This result contrasts to previous microscopy studies which found potassium citrate better for viral enumeration in coral mucus [24]. Unlike
sample preparation for coral mucus for microscopy, flow cytometry includes an incubation period after addition of SYBR Green. During this step viral capsids may partially and temporarily denature, facilitating a greater uptake of SYBR Green [20]. This may result in brighter VLP fluorescence resulting in higher counts for all samples. It is also possible that the extra processing steps involved with each treatment resulted in the loss of bacteria and VLPs. All samples were diluted for flow cytometry in TE buffer which contained 1 mM of EDTA. EDTA has been used to extract bacteria and viruses from photosynthetic microbial mats as it destroys cation links within exopolymeric substances, releasing bound bacteria and viruses [38]. It also permeabilises outer membranes, facilitating greater uptake of SYBR Green [39]. Additional treatment to each sample could have an adverse effect, causing damage to viral capsid proteins or to bacterial cell walls. Our data suggests that the least possible number of processing steps and addition of chemicals is the optimal method for analyzing sinus flush samples.
Previous studies have shown that the human sinus is colonized with an array of microbes [1, 2, 6–12, 40]. Flow cytometry enables categorization and enumeration of these microbes based on size and DNA content [21, 26]. Some patient’s cytograms revealed numerous bacterial sub-populations (Fig 1). These populations displayed increased green fluorescence, an indication of DNA content, and size. These different sub-populations may be reflecting different
bacterial replication stages or are indicative of different bacterial species with different sized genomes. In the Sputasol treated patient samples, an unusual population was observed between the bacterial and VLP regions. This population appears to be an artifact of the Sputasol as it was also observed in the control samples (S1 Fig). Thus, there may be a component within Sputasol which autofluoresces or binds to SYBR Green.
Large variations were observed between patients bacterial and VLP concentrations, which is not uncommon with human microbial flora studies [41–45]. These findings suggest that the maxillary sinus is either extremely dynamic or highly individualised. These differences in the patient microbial concentrations could indicate the need for personalised dosages when treating CRS with antibiotics or with phage. The rank abundance plot for patient bacterial abundance revealed 3 groupings of high, medium and low abundance (Fig 2). As the treatments used on the samples were not seen to account for the differences in bacterial and VLP levels (Figs 2 and 4), an average of all treatment values was used to clearly demonstrate the obvious trends in bacterial concentration groups (Fig 3) and high episodic nature of the VLPs (Fig 5).
For the bacterial rank abundance, the three orders of magnitude range among the 9 patients may reflect temporal variation or that the bacterial abundances are defined by processes or a variable that was not measured. The skew of the distribution towards the lower concentrations in the VLP rank abundance is consistent with the highly episodic nature of viral infections, particularly in bacteriophage where large burst sizes can quickly reduce the concentrations of particular bacterial species, leaving high bacteriophage concentrations at least temporarily [46]. From this, one might posit that time series sampling would show an eventual decline in VLP concentration. While bacteriophage dynamics is one likely explanation for the observed distribution, at this point we cannot discount that some patients have chronically high VLP concentrations. To investigate this and its clinical significance would require flow cytometric and nucleic acid sequence analysis of time series samples from the identified patients. Due to the invasive nature of sampling used in this study, healthy controls and a time series using the same sampling method may not be a feasible option. Therefore there is the need to develop a proxy for an alternative less invasive sampling strategy, such as nasal swabbing. While this is beyond the scope of this paper, it is a potentially valuable future direction.
Knowledge of the abundance of microorganisms in CRS will further our understanding of the disease as the presence of certain bacterial species does not always imply infection. The aim of his research was to produce a snapshot enumeration of the sinus microbes of 9 patients known to suffer from CRS, and to determine if they had similar abundances of bacteria and VLPs. Within the group of 9 patients sampled, there was 3 orders of magnitude difference in abundance for bacterial populations and almost 4 orders of magnitude difference for VLPs. This suggests that not all CRS patients are infected at the same level of bacteria and VLPs. Knowledge of the differences in bacterial abundances may facilitate the development of personalised treatment options.
This work indicates the potential for future studies in other microbial disease related health conditions. We propose that flow cytometry has potential as a tool to monitor microbial dynamics in patients and in future may assist in determining appropriate dosages required when treating microbial related health conditions.
Supporting Information
S1 Fig. Representative cytogram showing the Sputasol artefact population observed between the VLP and bacterial populations.
(TIF)
S1 Table. Patients total bacterial abundances for each optimisation method. Replicates (Rep) for each method are shown.
(PDF)
S2 Table. Patients total VLP abundances for each optimisation method. Replicates (Rep) for each method are shown.
(PDF)
Acknowledgments
We would like to thank all the staff at the Flow Cytometry Unit in the Flinders Medical Centre for their technical support throughout the duration of this study. We would also like to extend our gratitude to the tissue registrars in Professor Wormald’s research group for conducting the patient surveys and their assistance in sample collection.
Author Contributions
Conceived and designed the experiments: JAPCJ JSP KN RJS LMD PS JGM PJW. Performed the experiments: JAPCJ. Analyzed the data: JAPCJ JSP KN RJS LMD PS JGM. Contributed reagents/materials/analysis tools: JAPCJ JSP KN PJW. Wrote the paper: JAPCJ PS JGM PJW.
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Flow cytometric enumeration of bacterial and virus-like particle populations in the human oral cavity pre and post sleep
Jessica Carlson-Jones¹, Anna Kontos¹, James S Paterson¹, Renee J Smith¹, Lisa M Dann¹, Peter Speck¹, James Martin², Declan Kennedy³, James G Mitchell¹
¹Flinders University, Australia, ²The University of Adelaide, Australia, ³Department of Respiratory and Sleep Medicine, Australia
Introduction
- Various microhabitats within the oral cavity
- Tongue, palate, teeth, gingiva
- Different oral surfaces = different microbial communities
- Changes in oral environment over time
- Oxygen levels, pH, dryness, nutrients (food)
- Flow cytometry as a tool for enumeration
- Rapid enumeration of cells
- Allows for counts of virus-like particles (VLPs) at low concentrations
- Reduces enrichment biases
Objectives
To examine the spatial distribution of bacteria and VLPs within the healthy paediatric oral cavity
To determine changes in bacterial and VLP concentrations in the oral cavity after sleep
Methodology
Sample collection:
- Oral swabs collected at Women’s and Children’s Hospital, Adelaide
- Roof of mouth
- Back of throat
- Back of tongue
- Tip of tongue
- Top of molars
- Gingiva
Swabs taken before and after sleep
Enumeration:
- FACSCanto II flow cytometer
Results
Figure 1: Cytograms from swab samples taken at the back of the throat a) before and b) after sleep from one healthy volunteer. An increase in both bacteria and VLP abundance can be seen after sleep.
Figure 2: Average abundances of a) bacteria ml⁻¹ and b) VLP ml⁻¹ at various locations within the oral cavity. Error bars represent the standard error of the mean.
Figure 3: Heat maps showing the average increase in a) bacteria ml⁻¹ and b) VLP ml⁻¹ after sleep at sampled locations.
- Significant increase in both bacteria and VLP for all locations after sleep (p < 0.05)
Conclusions
Flow cytometry can be used as a tool to enumerate bacteria and VLPs from oral swab samples
The back of the tongue and gingiva have the highest abundances of bacteria and VLPs
The palate and tip of tongue have the lowest abundances of bacteria and VLPs
There is an average increase in the abundance of bacteria and VLP by 100% during sleep
Bacterial abundances in the oral cavity can increase by a count of up to 100 million during sleep
References
1. Dzidzik et al. (2010). Journal of bacteriology. 192(10): 2602-17
2. Human Microbiome Project (2012) Nature. 486(7402): 207-14.
3. Kao et al. (2011) PLoS One. 6(10): e26600.
4. Aas et al. (2005) J Clin Microbiol. 43(11): 5721-32.
5. Humphrey et al. (2010) Journal of periodontal research. 45(2): 162-9
6. Schleper et al. (1995) Journal of applied research. 30(1): 99-14.
7. Marie D et al. (1989) Appl Environ Microbiol. 55(1): 45-52
8. Elwoodson et al. (2004) Applied and environmental microbiology. 70(5): 2705-11.
9. Hugenholtz et al. (1989) Cytometry. 10(1): 70-4.
10. Carlson-Jones et al. (2016) PloS one. 11(5): e0155003
Email: email@example.com
Ethics: REC2495/3/16/HREC/12WCHN52/SSA/12WCHS3)
Enumeration of virus-like particles in the sinus washes of chronic rhinosinusitis patients
Jessica Carlson-Jones¹, Lisa M Dann¹, Kelly Newton¹, James Paterson¹, Renee Smith¹, Peter Speck¹, James G Mitchell¹ and Peter-John Wormald²
¹School of Biological Sciences, Flinders University, GPO Box 2100; Adelaide SA 5001 ²Otolaryngology Head & Neck Surgery, Adelaide University, Adelaide, SA, Australia
Introduction
Chronic rhinosinusitis (CRS)
- Inflammation of paranasal sinuses for more than 12 weeks¹
- Affects 12.5% of US population¹
- $2.4 billion healthcare expenditure annually²
Bacterial infections thought to have a role in CRS³
- *Staphylococcus aureus*
Not much known on viral populations in the sinuses
Current CRS treatments have limitations⁴⁻⁵
- Antibiotics: Bacterial resistance
- Steroids: Health concerns from prolonged use
- Surgery: Invasive
Potential for phage therapy
- Utilises specific bacteriophage that target, infect and kill pathogenic bacteria⁶
- Success of the therapy may depend on the knowledge of abundance levels of bacterial and viral populations in CRS patients⁷
Flow cytometry
- Used in environmental studies to enumerate bacterial and viral populations⁸⁻⁵
- Never used in CRS studies to enumerate bacterial and viral populations
Presence of mucus in sinus washout samples may cause bacteria and viruses to clump together
- Trial different methods to desorb bacteria and viruses from mucus¹⁰
Objective
Determine the presence and abundance of virus-like particles (VLP) in the maxillary sinus of patients with CRS.
Methodology
Experimental¹¹, 8⁻¹²
Patient selection:
- Full ethics approval (HERC/13/TQEHLMH/49)
- Consented patients underwent endoscopic sinus surgery for CRS (n = 9) (PJW)
- Patients gave written consent prior to surgery
Sample collection:
- Maxillary sinus flushed with sterile saline
- Sample fixed in 25% glutaraldehyde
- Snap frozen in liquid nitrogen
Sample treatment to desorb viruses and bacteria from mucus.
- 1% potassium citrate
- Millonig
- Sodium pyrophosphate
- Sputasol
- Untreated
Data analysis⁸⁻¹¹
Flow Cytometry
- BD Accuri™ C6 flow cytometer
- FlowJo analysis software (© Tree Star)
- Viral and bacterial population definition
- Enumeration
Data processing¹³⁻¹⁴
PRIMER 6
- CLUSTER analysis
- Euclidean distance – bacteria
- Bray Curtis – VLP
- CAP analysis
- SIMPER analysis
Results
Virus-like particles present
Figure 1: Cytograms from three patients using the untreated method showing low, medium and high VLP levels.
VLP range
\[ 2.3 \times 10^6 \pm 7.3 \times 10^5 \rightarrow 2.0 \times 10^{10} \pm 5.2 \times 10^9 \text{ VLP/ml} \]
Bacterial range
\[ 4.3 \times 10^4 \pm 6.6 \times 10^3 \rightarrow 1.0 \times 10^6 \pm 5.4 \times 10^6 \text{ bacteria/ml} \]
No method significantly better for VLP enumeration (DNS)
Untreated samples had significantly higher bacterial counts (DNS)
Findings
VLP are present in the maxillary sinus of CRS patients.
The sample treatment methods used did not affect VLP abundances.
The untreated method was most effective for bacterial enumeration.
This is the first study to enumerate VLP and bacterial populations in the maxillary sinus of CRS patients using flow cytometry.
References
1. Bernenger et al. (2003) Otolaryngol Head Neck Surg. 129: 12.
2. Lencina et al. (2012) Appl Environ Microbiol. 78: 6377-9
3. Clarke & Gregory (2013) Prim Protocols v6: User Manual Tutorial PRIMER-E
4. Clarke (2003) Australian Journal of Ecology. 18: 117-143
5. Hsu et al. (1998) Am J Rhinol. 12:243-8.
6. Wood & Douglas (2010) Postgrad Med J. 86: 559-64
7. Asghar et al. (2012) J Med Virol. 84: 1510-1516
8. Payen et al. (2000) Clin Pharmacol Ther. 68: 225-30
9. Marie et al. (1999) Appl Environ Microbiol. 65: 4296-302
10. Busse et al. (2004) J Allergy Clin Immunol. 114: 1506-13
11. Marie et al. (1997) Appl Environ Microbiol. 63: 186-93
12. Gasol & Del Giorgio (2000) Scientia Marina. 64: 197-224
13. Marie et al. (1997) Appl Environ Microbiol. 63: 186-93
Email: firstname.lastname@example.org
Response to reviewers (chapter 4)
The response to reviewers has been removed due to confidentially. |
Visioning Workshop Summary Report
September 14, 2017
Prepared by
DYETT & BHATIA
Urban and Regional Planners
# Table of Contents
1 Visioning Overview ........................................................................................................... 1
2 Activity #1: Headlines ....................................................................................................... 3
3 Activity #2: Key Questions ................................................................................................. 7
4 Next Steps .......................................................................................................................... 11
Appendix A: Individual Headlines ....................................................................................... 13
Appendix B: Flipchart Notes ............................................................................................... 61
Appendix C: Key Questions Data .......................................................................................... 75
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I Workshop Overview
In June 2017, the City of San Bruno initiated a planning process to develop a Specific Plan for the 103-acre Bayhill district, bounded by Interstate 380, Interstate 280, El Camino Real, and San Bruno Avenue. The Bayhill Specific Plan will outline a cohesive, long-term, vision for this key district, which is home to the largest employment cluster in the city. As one of the first steps in the plan-preparation process, the planning team is reaching out to the community, property owners, agencies, and other stakeholders to develop a community-driven vision for the area.
On August 30, 2017, a visioning workshop open to the community was held. The objective of the meeting was to introduce the community to the planning process, and encourage participants to engage in a dialogue about the future of Bayhill. The workshop was designed to help the City and the planning team understand community visions, priorities, and concerns. Together with other outreach, ideas gathered at the workshop will help establish the initial vision and guiding principles, which will set the stage for development of alternatives, and, ultimately, the Specific Plan. This was one of the first of a series of events for the Specific Plan open to the community, with additional outreach planned at each subsequent stage in the process.
The workshop was structured to gain feedback from each individual participant, as well as encourage participants to deliberate with one another to formulate group visions. A total of 46 community members attended, seated at six tables of seven or eight participants each. The workshop began with a presentation about the project, addressing the role of specific plans in general; the purpose and objectives of the Bayhill Specific Plan; the project schedule; and a brief overview of the workshop’s two interactive exercises. Each table was provided a large-scale basemap of the Planning Area in the context of the surrounding neighborhood, and images to help participants orient themselves, and for reference during the activities and discussions. The results of the workshop’s two activities are summarized on the following pages.
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2 Activity #1: Headlines
In the first activity, workshop attendees were asked to design a “Special Edition: San Bruno” magazine cover from the year 2040, showcasing changes in San Bruno in general or Bayhill in particular. Participants had the opportunity to write and/or illustrate their vision on the magazine cover. After working on individual headlines, the six small groups were asked to discuss their headlines and work to prepare one or more group headlines.
A few major themes emerged from the magazine cover activity and group discussion that followed. All the tables’ group headlines emphasized the importance of the integration of Bayhill into the greater San Bruno community. Tech identity, walkability, open/green spaces were emphasized. Participants supported continued growth, vibrancy, retention of neighborhood commercial uses, and new community spaces and/or other amenities such as a library.
Multi-modal transportation connectivity was also emphasized in the group discussions. Specific suggestions included shuttle service, bus service, bike facilities, and connections to Caltrain. On a similar note, walkability featured prominently in the discussion notes, with a range of suggestions to reduce car usage and increase walkability and bikeability. Every table had headlines that mentioned walkability/pedestrian-focus.
Individual headlines also highlighted the importance of Bayhill creating positive impact on the greater San Bruno community beyond Bayhill. Four out of six tables had headlines that were related to community benefits. Participants imagined benefits such as job creation, ecological harmony, farmer’s market, community centers, and downtown stimulus. Three out of six tables had headlines that saw Bayhill as a model for Silicon Valley cities that are managing the expansion of tech companies.
Below are the group headlines; individual headlines are included in an Appendix at the end of this report.
**Group 1:**
- A Model
- Upscale Office Center with Diversity of Businesses – Office, Shops, and Restaurants
- Abundant Open Space/Green/Arts/Dog-friendly
- City Within a City: Integrated with Surrounding Community
- YouTube’s Bayhill Integrated Campus Brings a Softer Edge to the San Bruno Community
**Group 2:**
- Bayhill: A Campus for the Community and for Businesses
- Bayhill Opens Up to the Community, Adding a Library and Park for City Residents
**Group 3:**
- A Town Reborn with a Walkable, Ecological Soul: Do’s and Don’ts for Metropolitan Living with a Small Town Feel
Group 4:
- Bayhill Park: High Tech/Low Stress
Group 5:
- Integrated
- Tech Identity
- Sustainability
- City with a Heart
- Livable
- A Tech Corridor with a Heart
Group 6:
- Green Space at Bayhill
- San Bruno Tech Center!
- Alive, Growing and Diverse
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3 Activity #2: Pop Questions
In the second activity, participants were asked seven specific questions pertaining to the desired vision of the Planning area. Participants were given post-it notes and pens, asked to respond individually to each question, and the culmination of the questions, place their post-it notes on the respective posters. Because some participants used more than one post-it for some questions, or did not answer a question, responses do not necessarily add up to the total number of participants or post-its.
**Question #1: What types of uses do you want to see in the Planning Area?**
The most common response to the first question was a mix of uses. Of the 40 post-it notes in total, 18, or 45 percent, either cited “mix of uses” or listed different uses or use categories. In terms of specific use types, the following uses were the most-often cited on the post-its: retail (mentioned 12 times); restaurant or café (11), office or incubator space (11); commercial uses (ten), and residential (seven).
The next most common theme that emerged was open space and parks; of the 40 post-its, 15 of the post-its, or 38 percent, specifically mentioned open space. Suggested amenities related to open space included bike and pedestrian infrastructure, trails, dog areas, and trees (retaining existing trees as well as planting new trees). Similarly, there were several mentions of public uses, including a library (3); educational uses (2); community centers (2), and affordable daycare (1).
Only four post-its specified uses as undesirable: bars (1), housing (1), parking garages (1) and surface parking (1).
Question #2: Is it appropriate to consider residential uses in areas besides the El Camino Real corridor? If so, where?
Of the 28 post-its, an equal number (13 post-its, or 45 percent) responded either positively or negatively to new residential uses in areas other than the El Camino Real corridor (the remaining two responses were unclear).
Of the “yes” responses, many were conditional, indicating that new residential uses should be located along San Bruno Avenue (4); located south of Bayhill Drive only (1); vertically mixed with commercial uses (1); high-density (2); affordable (2); connected to paths and green space (1); and allowed only if it would have minor impact traffic (1) or schools (1).
Aside from one “no” response, which indicated a preference for supporting housing options elsewhere in town, none of the “no” responses specified a particular reason for opposing housing in areas within Bayhill besides the El Camino Real corridor, where housing is already permitted.
Question #3: Which/how should streets in and around Bayhill be improved?
The 39 responses to Question #3 generally addressed issues of walkability and safety, with some specific design suggestions pertaining to the roadway network.
Overall, 16 of the 39 post-its (41 percent) focused on walkability, or improvements to the comfort, safety, and ease of walking within the Planning Area. Many specifically mentioned sidewalks, with comments including wider sidewalks, “green and clean” sidewalks, and handicap-accessible sidewalks, and improved crosswalks. There were also repeated mentions of improvements to pedestrian safety needed for the intersection of Cherry and San Bruno avenues.
Many of the comments about roadways go hand-in-hand with enhanced walkability, including suggestions to narrow roadways (3); to reduce vehicular speeds within the Planning Area through narrower roadways and other traffic-calming measures (3), and to create a “finer street grid” (1). Also pertaining to roadways, some participants called for on-street bike lanes (3); separated bike paths (1), or one-way streets (1).
Several of the post-its mentioned specific design ideas relating to streetscapes, including special street lighting, pavers, street trees and foliage, murals or other art, a pedestrian bridge over Cherry Avenue, and making use of the sloping terrain to re-envision the streets.
**Question #4: Is there a need for public open space in the Planning Area? If so, what type (plaza, park, trail, etc.) and where?**
Responses to this question were overwhelmingly positive, with most responses offering more than one suggestion of public open space types needed in Bayhill. Of the 35 post-its, the most popular open space type was walking and bike paths/trails, which was mentioned on 18, or about half, of all responses. These responses included family-friendly paths, trails around the perimeter of the Planning Area, paths to transit, and trails that encourage bicycling.
About the same number of responses—16 in total—simply mentioned “park”, with three of these specifying small or packet parks and one suggesting an amphitheater. A total of eight, or 23 percent of the responses cited plazas, and some of these included specific suggestions for plaza design and amenities, such as colorful plants/flowers, restaurants or cafes, and performance space. Five responses mentioned a need for active recreational areas, including as basketball, disc golf, or soccer facilities.
There were few negative responses. Only one comment saw no need for a specific public open space, instead preferring only some green space for aesthetic purposes, and one warned that a plaza may detract from Downtown.
**Question #5: What transportation improvements would you like to see? (Consider walking, biking, transit, enhanced shuttle services, and driving)**
Of the 37 post-its, the two areas of transportation improvements most cited were walking (16 comments, or 43 percent) and shuttle service (18 comments, or 49 percent). Also popular was biking, which was cited a total of 11 times.
Of the responses that specified walking or biking, suggestions included separate zones or paths for walkers/bikers; covered walkways between buildings; strategically placed “cut through” paths; new housing nearby; and bike share programs. Of the responses citing shuttles, requested routes included to Caltrain, BART, downtown/San Mateo Avenue, other shopping districts, and transit connections.
In addition, responses included transit improvements (3); the building of underground parking (2); charging for parking (1); and limiting the amount of parking (1).
**Question #6: What other amenities and/or experiences would you like to see incorporated into the Bayhill Specific Plan?**
Workshop participants suggested wide range of amenities and experiences to be incorporated into the Bayhill Planning Area. One theme that emerged was community uses: out of a total of 31 responses, 14 responses, or 45 percent, mentioned some type of community or cultural facility such as a community center, childcare facilities, summer camps, a farmer’s market/craft fair, and
outdoor gathering areas, a San Bruno Historical Museum, schools, and tech training/job training centers. There were eight commercial uses cited, including a hotel, restaurants, various personal services (bank, laundromat, etc.), a gym, and a grocery.
Another theme that emerged was community access to YouTube facilities. Four respondents indicated a desire for YouTube to connect more with the community by offering access to its food services and open spaces; by providing a publicly accessible “creator space”, and by proactively engaging with other large Bayhill businesses to support schools, the library, and the arts in the San Bruno community.
**Question #7: Are there any other ideas, inspirations, or concerns that you would like to share?**
A total of 27 post-its were collected for Question #7. While specific responses varied widely, a few themes emerged. One-third of the post-its generally described a future Bayhill that has become a successful and attractive destination. Specific comments referenced unique design elements, a public market and plaza, signature architecture, a grand entrance off of El Camino Real, a rolling central greenway, holistic design, and character.
Other ideas for the Planning Area included community uses such as charities and non-profits; a focus on public health, safety, and open space amenities; and a desire for free Wi-Fi for the area.
The participants who chose to express concerns were generally concerned about YouTube’s integration into San Bruno, and possible friction created by its future expansion. Participants were concerned about a lack of affordable housing; flight of current businesses; traffic; and a need for “parking safeguards”. They also expressed concern that changes to the Bayhill area would alter the dynamics of the San Bruno community.
4 Next Steps
Concurrent with the preparation for this workshop, the planning team held a series of smaller meetings and study sessions with property owners, residents, community organization representatives, City decision-makers, and other stakeholders to create a complete picture of the community’s priorities and visions for Bayhill. Following these meetings, the planning team will develop a “Shared Vision” document for staff review that reflects all feedback gathered to date, and which will guide the development of up to three land use and urban design alternatives.
The public engagement process in the next stages would include an online survey and a second community workshop in the fall of 2017. Both the survey and the workshop will be designed to designed to gather feedback on and reactions to the alternatives, with the aim of narrowing down the options in a single Preferred Plan by the end of fall 2017.
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Appendix A: Individual Headlines
#5
A TECH CORRIDOR WITH A HEART
SPECIAL EDITION
#6
- Green Spaces
- Public Spaces
- Walkable
- Shuttle
- Affordable Housing
#5
- Integration
- City's History
- "Tech Corridor with a Heart"
#8 "Baywill - A Campus for Community + Business"
#2
- Park-like feel
- Affordable
- Amenities
- Open
#1 "Softer Edge to Community"
- Walk Paths, Green
#3 Connections w/ City
- Do's & Don'ts
- Walkable, Foot Traffic
- Town Feel
- Renaissance / Revival
#4 Baywill Park: Union Tech/Low Stress
- No "Office" Park
CALIFORNIA TODAY
August 2040
BAYHILL - A SUSTAINABLE PLACE TO WORK, GATHER, AND PRAY
SPECIAL EDITION
Sustainability
Work, Gather, Play
Leadership / Forefront
Fun
Farmers Market
Beer Garden
Music / Concerts
Very Pedestrian/biker-friendly
Preservation of trees / new landscape architecture / stormwater management features
LEED Buildings
Residents allowed to walk through areas / not feel like trespassing
#5
Modern Structures
Green buildings
Wooded Open Spaces
Well integrated in community
Community benefits
Proper Scale
20 years in the making
The Bay Hill Office Park
is the jewel of the Panhandle
Bayhill - A Livable Business Community
Bayhill - Form + Function - A Model for Business & Residential Partnership
Bayhill - A Hidden Bay Area Gem
A City in A City, Bayhill, Home to Business +
A Multi-use Community
- Sustainable
- Green
- Fun
- Gathering place
- Scale
SPECIAL EDITION
Bayhill Development created new area without overcrowding and congestion. Area has lots of green and open space, charming shops, restaurants San Bruno and an indoor pool.
CALIFORNIA TODAY
August 2040
GREEN SPACE
COMMUNITY FACILITIES
WALKING/BIKING/CXNS
SHUTTLE/ART.HSG
VITALITY/ENERGY
RESTAURANTS/CAFFS
EMPLOYMENT-SUSTAIN!
California Today
August 2040
El Camino Real
SPECIAL EDITION
California Today
August 2040
Alive! Growing!
Diverse! Busy! Safe!
Creative! Well-resourced!
Tons of jobs! Great schools!
Variety of restaurants! Destination!
Easy to navigate (foot, bike, bus)!
Mixed use + affordable housing!
Job training
San Bruno
SPECIAL EDITION
San Bruno Cable Fiber
California Today
- Native Plants
- Public Eatery
- Jobs!
- Restaurants for Breakfast, Lunch, Dinner
- Walking Paths
- Open Space for Outdoor Gathering
- Tai Chi
- Morning Yoga
- Dog Park
Free Circulating Shuttle
SPECIAL EDITION
San Bruno Arts Plaza - Outdoor Performing & Public Arts Programming
August 2040
CALIFORNIA TODAY
August 2040
GREEN Commercial San Bruno Complex
SPECIAL EDITION
California Today
August 2040
Green Space
Community/Public Facilities
Shuttle, Walking & Biking
Restaurants & Cafe
Vitality/Energy
Employment Center - LEED hldgs
SPECIAL EDITION
APP HSG San Bruno
CALIFORNIA TODAY
August 2040
San Bruno TechCenter
Sustainability/LEED Blags
SPECIAL EDITION
I would like a park sitting where the parking lot is now on San Bruno Ave.
California Today
August 2040
Impact on the Community
Schools
City growth
Impact on S.B. Schools
Taxes
SPECIAL EDITION
Bayside Center with more upscale shops/rest.
Surrounded by an office park.
Tech industry provides opportunity to community . . . . But at what expense, more industry, more people, more traffic.
What is impact to traffic in our city? What is impact to our schools.
SPECIAL EDITION
CALIFORNIA TODAY
August 2040
• Viewed as a model for “how it should be done”
• Green
• Walking everywhere
• Part of the neighborhood
• Thoughtful
• Compliments the area
• YouTube – I show it off to visitors, proud of what they did
• Many years ago were good for many
SPECIAL EDITION
California Today
YouTube's "Softer Edge" at August 2040
Fantastic Bay Hill Office Campus Lives up to its Flexible, Adaptable Office Park Space Lifestyle.
Multi-Concertivity
SPECIAL EDITION
Garden-like; Picturesque; less vehicular
Biking/Walking trails; diverse seating space
Trendy/Artsy; dog-friendly
Alternative Downtown
Unique Boutiques & Eateries; Rooftop views
Family Friendly; Office Space
Cohesive Vision
YouTube brings a softer edge to the San Bruno Bayhill Community.
SPECIAL EDITION
California Today
August 2040
Bay Hill Office Park
A City within San Bruno
Special Edition
Bayhill: A Campus for the Community + for Business.
Bayhill opens up to community, adding a library and park for city residents.
SPECIAL EDITION
A community restored into both a village and a place for business.
August 2040
SPECIAL EDITION
- open
- park like
- less visible parking
- affordability - housing & businesses
- transportation
- library
- lands coping & natural appearance
- paths, biking, walking
Long term San Bruno Residents coexist with Tech Companies (Housing)
Family Oriented Gathering Place for Family and Friends
Better SamTrans Route to BART & Caltrain
Possible Shuttle for Residents
Pleasant Area to Walk In
Make Sure It Has Key Services (Groceries, etc.)
More busy in downtown area near San Mateo Ave
Cost of products not driven up by Google/Youtube
More commercial area for other businesses besides Youtube
Traffic flow remains the same as 2017
Have the Shopping Center have Bike lanes
Flowers bins around the Shopping area to brighten it up.
SPECIAL EDITION
The green grass off home.
SPECIAL EDITION
CALIFORNIA TODAY
August 2040
Bayhill Office Park
BUSINESSES NOW THRIVE IN PARK-LIKE SETTING — PEOPLE DOMINATE — CARS SCARCE
SPECIAL EDITION
CALIFORNIA TODAY
August 2040
AT HOME IN THE CROSSROADS CITY
340 BART
CA TRANSIT
BY TRAIL
FERRY SERVICE
OYSTER POINT
SFO
ALL ROADS LEAD TO SAN BRUNO!
SPECIAL EDITION
CALIFORNIA TODAY
August 2040
BAYHILL PARK
HIGH TECH LOW STRESS
SPECIAL EDITION
CALIFORNIA TODAY
August 2040
V-TUBE
IS COMING TO TOWN!
SAN BRUNO
SPECIAL EDITION
CALIFORNIA TODAY
August 2040
BAYHILL PARK
SAN BRUNO
Leading The Bay Area in successful, innovative
Low STRESS High Tech
2040
SPECIAL EDITION
California Today
Community | Connectivity | Thriving
August 2040
SPECIAL EDITION
Bayhill Complex transitions to pedestrian-friendly open spaces among in San Bruno’s only commercial park, enjoyment of open for all residents.
SPECIAL EDITION
HOW TO DO A LARGE PROJECT.
THE DO'S & DON'TS.
SPECIAL EDITION
You Tube has Revived San Bruno's Downtown
SPECIAL EDITION
Metropolitan Living with a Small-town Feel
OR
San Bruno - The "City With a Heart" Has a New Soul
SPECIAL EDITION
A TOWN REBORN WITH A WALKABLE ECOLOGICAL SOUL:
Do's & Don'ts for Metropolitan Living with a Small Town Feel
BAY HILL BUSINESS PARK
HAS BECOME PART OF SAN BRUNO
A town reborn with a walkable ecological soul:
do's and don'ts for metropolitan living with a small town feel
SAN ❤️ BRUNO
SPECIAL EDITION
CALIFORNIA TODAY
August 2040
BAYHILL SAFE FOR WALKING AND BICYCLING
BAYHILL SETS EXAMPLE OF MODERN, WALKABLE OFFICE PARK
YOUTUBE REVOLUTIONIZES ITS OFFICE PARK BY ENDING PARKING SUBSIDIES
SPECIAL EDITION
A Vibrant Ecology - A new paradigm for corporate center
SPECIAL EDITION
| Time | Activity |
|----------------------|--------------------------------------------------------------------------|
| 10 minutes Completed by 7:20 pm | **Share Headlines (one minute per person)**
- Go around the table, and ask people to share their headline and any explanation/meaning
- On the flip chart, record keywords from the headlines as well as explanations that will help the project team understand the vision. If more than one person says the same word, mark a check instead of re-writing |
| 14 minutes Completed by 7:35 pm | **Group Headline**
- Ask the group to come up with a “group headline” that depicts some of the major ideas discussed. This may be a combination of individual headlines, or an entirely new headline using common keywords
- On the flip chart, record the group headline. Use a few bullets if appropriate to elaborate; use the base map instead if that works
- Ask for a volunteer to present the headline to the group-at-large. Review group headline in advance, and remind them to keep it to a minute |
| Two minutes per table | **Report out Group Headline (only)**
- Add short bulleted elaborations/explanations of headline, if appropriate. Keep to a minute or two |
**GROUND RULES**
Reviewing the following rules will help to establish an environment where participants both actively listen and consider others’ input in addition to sharing their ideas and opinions.
- **Only one person to speak at a time... everyone participates.**
- **Listen for understanding... not for response.**
- **Suspend snap judgments... try on other’s ideas for size; however, agree to disagree.**
- **Stay on the timeline; keep comments concise, avoid repetition... avoid war stories or soapboxes.**
- **Each member of the group is equal, all comments matter... share the airtime**
| Time | Activity |
|----------------------|--------------------------------------------------------------------------|
| 10 minutes Completed by 7:20 pm | **Share Headlines (one minute per person)**
- Go around the table, and ask people to share their headline and any explanation/meaning
- On the flip chart, record keywords from the headlines as well as explanations that will help the project team understand the vision. If more than one person says the same word, mark a check instead of rewriting |
| 14 minutes Completed by 7:35 pm | **Group Headline**
- Ask the group to come up with a “group headline” that depicts some of the major ideas discussed. This may be a combination of individual headlines, or an entirely new headline using common keywords
- On the flip chart, record the group headline. Use a few bullets if appropriate to elaborate; use the base map instead if that works
- Ask for a volunteer to present the headline to the group-at-large. Review group headline in advance, and remind them to keep it to a minute |
| Two minutes per table | **Report out Group Headline (only)**
- Add short bulleted elaborations/explanations of headline, if appropriate. Keep to a minute or two |
**GROUND RULES**
Reviewing the following rules will help to establish an environment where participants both actively listen and consider others’ input in addition to sharing their ideas and opinions.
- **Only one person to speak at a time…**
everyone participates.
- **Listen for understanding…**
not for response.
- **Suspend snap judgments…**
try on other’s ideas for size; however, agree to disagree.
- **Stay on the timeline; keep comments concise, avoid repetition…**
avoid war stories or soapboxes.
- **Each member of the group is equal, all comments matter…**
share the airtime
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Appendix B: Flipchart Notes
Individual Headlines
Tech growth – positive/neg impacts
- Opportunities
✓ Traffic impacts on schools
✓ Upscale BH center – shops/restaurants
- Large office
- No open space
✓ 3-story / walk/bike / open space/park-like
Arts, dog friendly, trios / green
Diversity business types
✓ Integrated in community / Model / City within SB
Youtube welcoming
Futuristic
Benefits to City
Summarized Headline ①
A MODEL
Upscale office center with diversity of businesses - offices, shops, restaurants
Abundant open space/green/arts/dog friendly
City within a city integrated with surrounding community.
Group Headline
Youtube's integrated office campus brings a softer edge to the SB community.
- Work-life balance
- Town & gown
- Technology and innovation
Table 2
- downtown bury
- Coat of things
- Small Commercial Area
- Family Oriented
- Better Bus Service or shuttle
- Retain key Services (Grocery)
- Parking Lots covered (don't see the Cars)
- Parklet setting, Landscaping, Places to sit
- More friendly, Workout paths
- Hotel (but nice hotel)
- Place to do small Function
More friendly to San Bruno
More Bike lanes
Concerns that have Howco (land scape)
Place Open areas not trapped in shopping
Place to gather
Housing/Rental Price
Table 2
- More activities
- Not a Concrete Jungle
- More engaging
- Place for Everyone
- Tech companies coexists with Community.
- Multi Use development
- A campus for Community and Business.
Bayhill - A Campus For the Community & for Business.
- Bayhill opens its doors to the community, adding a library and park for City residents.
TABLE 3
- **Connect** (to rest of San Bruno) a success
- **Do's: Don'ts** (to get it right)
- **Ecology** (new model for people and nature)
- **Walkable** (foot traffic friendly!)
- **Town** (for everyone)
- **Renaissance** (for whole city)
- Revival (of Downtown)
A SMALL TOWN REBORN ECOLOGICAL WITH A WALKABLE SOUL:
Do's and Don'ts for Metropolitan Living with a Small Town Feel
SAN BRUNO
Headlines
- Increased Employment & Revenue
- The Crossroads City / The Hub City
- Bayhill Park (Limit Vehicles)
- Community/Connectivity/Thriving
- Successful / Innovative / Low Stress) High Tech – Leading the Bay Area
Low Stress / High Tech
Bayhill Park High Tech / Low Stress
• Sustainability ✓
• Gathering places ✓
• Community-centred ✓
• Pedestrian/bike friendly ✓
• Open spaces ✓
• Appropriate scale
• “Jewel of the Peninsula” ✓
• Good place to Live/Work/Play ✓
• Something for everyone
• Multi-modal transport
• Integration ✓
• Business & community
GROUP HEADLINE
- integrated
- tech identity
- sustainability
- city with a heart (maintain identity)
- livable
A Tech Corridor with a Heart
- Grand entrance from ECR
- To draw people in
- Big amphitheatre park
- Outdoor cafes
- Morning, noon, and night!
- Not car-centric
- Expand library + city hall!
- Modernize! Green connection to City Hall!
- San Bruno Tech Center!
- More offices—fill it in! (Sustainable features)
- Good buses + good bike routes
- Good connection to Caltrain!
- Close by housing + condos
- Create new area w/o congestion
- Restaurants + community pool
6 CALIFORNIA TODAY
- GREEN SPACE
- DOG WALKS + WALKING PATHS
- ALIVE GROWING DIVERSE
SAFE ENERGIZED ACTIVE
DESTINATION
MIXED USE
BAYHILL CENTER LOTS OF RESTAURANTS + JOBS
OUTDOOR SPACES ARE PLAZA-LIKE
ARTS + FARMERS MARKET
NOT JUST A U-TUBE CAMPUS
CIRCULATING SHUTTLE FOR ALL
CONNECTS WI REST OF SAWBIRUNO
FREE PUBLIC WI-FI / FIBER
Appendix C: Key Questions Data
STREETS
Roadways
Special Conditions
Sidewalks
④ PUBLIC OPEN SPACE
- 1. We need to create a space for people to gather and interact.
- 2. We should consider the needs of different age groups.
- 3. The space should be accessible to everyone, regardless of ability.
- 4. We should ensure that the space is safe and secure.
- 5. The space should be designed to encourage social interaction and community building.
- 6. We should consider the environmental impact of our design decisions.
- 7. The space should be sustainable and eco-friendly.
- 8. We should involve the local community in the design process.
- 9. The space should be inclusive and welcoming to all.
- 10. We should ensure that the space is well-maintained and clean.
These are just a few ideas to get started. We can explore more options and refine our vision as we go along.
(5) TRANSPORTATION
- **Transportation**
- Transportation is a critical component of the overall system.
- It is essential to ensure that people can access and use the system effectively.
- **Public Transit**
- Public transit is a vital part of the transportation system.
- It provides a cost-effective and environmentally friendly option for many people.
- **Bicycle Infrastructure**
- Bicycle infrastructure is important for promoting active transportation.
- It helps to reduce traffic congestion and improve air quality.
- **Pedestrian Infrastructure**
- Pedestrian infrastructure is crucial for ensuring safe and accessible walking routes.
- It helps to promote healthy lifestyles and reduce traffic accidents.
- **Car Sharing**
- Car sharing is an innovative solution for reducing traffic congestion.
- It allows people to share cars and reduce the number of vehicles on the road.
- **Ridesharing**
- Ridesharing is another option for reducing traffic congestion.
- It allows people to share rides and reduce the number of vehicles on the road.
- **Electric Vehicles**
- Electric vehicles are becoming more popular due to their environmental benefits.
- They help to reduce greenhouse gas emissions and improve air quality.
- **Autonomous Vehicles**
- Autonomous vehicles are a promising technology for the future.
- They have the potential to reduce traffic congestion and improve safety.
- **Smart Traffic Management**
- Smart traffic management systems can help to optimize traffic flow.
- They use data analytics to predict traffic patterns and adjust traffic signals accordingly.
- **Traffic Congestion**
- Traffic congestion is a major issue in many cities.
- It can lead to increased travel times and higher fuel consumption.
- **Air Quality**
- Air quality is an important consideration in transportation planning.
- It affects public health and the environment.
- **Noise Pollution**
- Noise pollution is another issue that needs to be addressed in transportation planning.
- It can affect the quality of life for people living near busy roads.
- **Safety**
- Safety is a top priority in transportation planning.
- It is essential to ensure that people can travel safely and comfortably.
- **Cost**
- Cost is a significant factor in transportation planning.
- It is important to consider the financial implications of different transportation options.
- **Environmental Impact**
- The environmental impact of transportation is a growing concern.
- It is important to consider the carbon footprint of different transportation options.
- **Social Equity**
- Social equity is an important consideration in transportation planning.
- It is essential to ensure that all members of society have access to transportation options.
- **Technology**
- Technology is playing an increasingly important role in transportation planning.
- It is essential to stay up-to-date with the latest developments in transportation technology.
AMENITIES/EXPERIENCES
- **Food & Drink**
- [Post-it note]
- [Post-it note]
- **Entertainment**
- [Post-it note]
- [Post-it note]
- **Fitness**
- [Post-it note]
- [Post-it note]
- **Technology**
- [Post-it note]
- [Post-it note]
- **Community**
- [Post-it note]
- [Post-it note]
- **Safety & Security**
- [Post-it note]
- [Post-it note]
| Question | Post-It Note Text |
|----------|------------------|
| **Question 1: Uses** | |
| 1 | Commercial |
| 1 | Electrical car supply shop/stations, medical supply shops for the aging, educational |
| 1 | Mix - Commercial, Residential |
| 1 | Use Mix Professional/Admin Mixed Use Retail |
| 1 | Mixed use, commercial, housing, city/government (cable company - leaves space on El Camino open to development), library, school extension/state/UC, incubator spaces for new business |
| 1 | Commercial Retail, Restaurants, Pedestrian spaces, Park/public spaces, library or other public community building |
| 1 | Office, retail, open |
| 1 | Commercial + entertainment, like eating, make it lively |
| 1 | Use mix, commercial & eating & open area like a park to hang around with trees |
| 1 | Commercial, offices, less restriction re: height |
| 1 | Residential, retail and office uses are all fine |
| 1 | YouTube unique office, housing creates a "complete community" open space - knit together the neighbors |
| 1 | Use mix, ground floor retail |
| 1 | Retail/Restaurant, Commercial/office, Residential, Recreation/walking/bike/park |
| 1 | offices, professional services (one medical office, dentists, lawyers, etc.), cafes, services (dog sitters, salons, etc.) |
| 1 | Offices, upscale restaurants, park, trails (walk/bike) |
| 1 | open space, recreation, offices, housing, small business |
| 1 | successfully, socially responsible corporate high tech companies, restaurants/health club conferences facilities |
| 1 | open space with cultural arts programming, jobs, jobs, jobs, commercial/retail eateries, cafes, restaurants, no more parking garages, shuffle, walk, bikes |
| 1 | office, hotel, residence |
| 1 | Incubator space |
| 1 | Community space for clubs, characters |
| 1 | Residential use, parking lot |
| 1 | Restaurants + shops |
| 1 | More retail space |
| 1 | Shopping (grocery), Gym, Restaurants, Banking, Shopping (specialty) CCUs |
| 1 | Small shops, restaurants, outdoor park-like area |
| 1 | restaurants small shops |
| 1 | Restaurants, parks, walking paths family friendly activity areas. |
| 1 | café's - tables + umbrellas - sprawling campus feel for YouTube |
| 1 | bike/walking paths, open retail (restaurants), park |
| 1 | small retail for residents, NO housing |
| 1 | food/retail/clothing |
| 1 | retail food, café, no bars, parks, walkability, daycare affordable, retain trees |
| 1 | Corporate convenience (i.e., friendly to Google bikes) Recreational, e.g. walking, open, green space |
| 1 | Parks, entertainment |
| 1 | incorporate San Bruno cable into YouTube property |
| Question | Post-It Note Text |
|----------|------------------|
| **Question 1: Uses Cont.** | |
| 1 | Uses should be for YouTube - encourage patronage of existing business |
| 1 | No exposed surface parking lots. Public park, water feature, a focus on ecology - green roofs, urban forest, public library, dog park |
| 1 | walkable family friendly, bikable |
| **Question 2: Residential** | |
| 2 | no |
| 2 | No other areas for residential space |
| 2 | No additional residential in planning area |
| 2 | No |
| 2 | no additional residential areas |
| 2 | No |
| 2 | No to more housing |
| 2 | Keep it to ECR rather see programs to support housing options elsewhere in town |
| 2 | Some affordable housing near El Camino edge - land needed for this use |
| 2 | Where Chili's is at - Wells Fargo bank |
| 2 | No to residential area in plan - make this more of a sprawling campus park like setting |
| 2 | keep housing over retail on ECR in the TCP - do not put housing in Bayhill maybe along San Bruno Ave. |
| 2 | Additional residential only if impact to infrastructure is taken into consideration particularly schools |
| 2 | Yes throughout - specific floors of buildings can be residential while others are commercial |
| 2 | Yes! Near El Camino (Housing density near transit and freeway) |
| 2 | More residential on the southern edge as a buffer, actual park areas, lots of workspace for the tubers |
| 2 | additional residential should be incorporated along San Bruno Ave. |
| 2 | Yes - connected to walking paths, greenspace, "soften" the office park |
| 2 | Yes south of Bayhill Dr. |
| 2 | Yes, I think residential areas are fine anywhere in the area that makes sense, maybe on top of existing parking lots |
| 2 | residential (if needed, I don't have data on it), in quieter area, affordable housing |
| 2 | yes, where least traffic jam |
| 2 | Residential should be on the perimeter of the area for public honest use |
| 2 | Yes! Along San Bruno Ave, TCP (ECR) high density townhouses |
| 2 | Where in area should residential space be? Zone for higher/more stories if possible? (Q: does SFO path prevent this?) |
| 2 | Have no idea anywhere to build more houses |
| **Question 3: Streets** | |
| 3 | Elm, Bayhill, and Cherry are too wide. Narrow them by replacing a general lane with a bike lane. |
| 3 | Additional bike lanes (needed on or adjacent to San Bruno Ave - it is hard to bike straight up San Bruno Ave. So maybe a "wiggle" through Bayhill would help |
| 3 | Bike lanes wide sidewalks |
| 3 | Wider sidewalks with curb cuts for strollers, wheelchairs, bike paths w/ separation from cars, protected bike lights |
| 3 | By adding a lot of lights & safety signs |
| 3 | Streets: landscaping, crosswalks/pavers, lighting-designed specifically for Bayhill |
| 3 | wider sidewalk, pavers not concrete slabs, more lamp posts |
| Question | Post-It Note Text |
|----------|------------------|
| **Question 3: Streets Cont.** | |
| 3 | more trees, greenery + color, flowers, San Bruno Ave W. |
| 3 | make some streets more interesting i.e. use slope to make some streets a steps or ramps |
| 3 | There should be a bridge connecting YouTube on Cherry instead of crosswalk |
| 3 | murals art/History of San Bruno |
| 3 | Streets are fine as currently laid out |
| 3 | Streets around Bayhill are being repaved but Cherry should be wider. If there are streets inside of Bayhill they should be around the open space - not in the middle of it lined w/low maintenance trees |
| 3 | Good traffic flow. Streets easy to cross. Trees or foliage line streets |
| 3 | Take into consideration access into area - larger area, more cars. More cars, easier access into area. |
| 3 | Improve streets by adding more trees along streets or medians |
| 3 | Narrow streets wide sidewalks |
| 3 | 5'-6' sidewalk widths; pop-up parks to encourage lunching, conversations, traffic mitigation, roundabouts/traffic restricted areas |
| 3 | Add sensors around the traffic lights surrounding the planning |
| 3 | One-way streets |
| 3 | Traffic calming measures used |
| 3 | Intersection of San Bruno Ave. and Cherry Ave. is extremely dangerous for walking |
| 3 | Enhance safety - esp San Bruno & Cherry - already dangerous |
| 3 | San Bruno Ave/Cherry intersection MAJOR UPDATE A) dedicate left turn lane southbound B) lead time for pedestrian C) improved signage |
| 3 | Can be narrower to slow traffic - walkable |
| 3 | Streets should encourage safe driving BY DESIGN (cars don't speed even if no limit posted, pedestrian safety, etc) |
| 3 | Make walking a priority. Think of removing car. St. a perimeter circular road. Rather than primary route. |
| 3 | great sidewalks! Walking is open space, bikes first cars second, "green and clean" |
| 3 | sidewalks handicap accessible hardscape (pavers) in central plaza |
| 3 | make them more walkable and easy to get to |
| 3 | Finer street grid is needed i.e. more ways to walk through site. Make site much more permeable so walking is an attractive option |
| 3 | Utilize Bayhill Drive as a walking trail with bicycle lanes |
| 3 | Limit Street Parking Focus more on alternative means of travel (bike, walk, etc) |
| 3 | El Camino Real |
| 3 | Yes to public place, less consolidating |
| 3 | Expand shuttle routes to large apts. Schools, Stanford Shopping Center |
| 3 | Streets should plan for Share Car pick-up drop-off zones, plan for circulating free shuttle stops, encourage pedestrian and not private car use |
| 3 | The streets should be improved. I will leave it to the planners to present it to us. |
| 3 | streets should be improved keep building along El Camino lower 2 stories |
| **Question 4: Public Open Space** | |
| 4 | one large public open area, pocket parks, pathways |
| 4 | plaza, park, bikable, walkable all over |
| 4 | Open space plaza serves multiple purposes - leisure, recreation, eateries, etc. A destination |
| 4 | Campus integrated w/ city, most exterior space open to public |
| Question | Post-It Note Text |
|----------|------------------|
| **Question 4: Public Open Space Cont.** | |
| 4 | YES amphitheater style, open space, green hills |
| 4 | small parks |
| 4 | plaza, colorful plants flowers |
| 4 | Type of public open space should be plaza/park |
| 4 | Plaza with food courts |
| 4 | public open space could work to add additional recreational areas for YouTube + San Bruno College |
| 4 | Yes, if you want integration then most have open spaces. Recreational? Plaza @ center of park? |
| 4 | Urban Design open Space. Improve streets! One way streets to cut down on traffic, need for open space? WHAT TYPE - pocket Green Spaces |
| 4 | yes - small and frequent and connected throughout... no "big green glob" that is expensive for city to maintain |
| 4 | Park - yes with Bike lanes/trails from both BART + CALTRAIN to + through Bayhill Park, Fribee Golf Course |
| 4 | Water area, park, picnic area, trail, sports (basketball, soccer, etc) |
| 4 | Park Basketball Court/ Bike trail |
| 4 | Yes, plaza type area in center w/ park, trail (bike, walk) cafes |
| 4 | family friendly open space walking paths |
| 4 | Yes - walking trails around perimeter, park in center |
| 4 | Arul/walk green or paved path around/ near the perimeter would be good for workers & the community |
| 4 | YES walking paths, waterfalls, ponds, traffic lights benches, open park feel |
| 4 | open walkway paths - no reason for large public open spaces |
| 4 | I would like to see Park like setting with walking trails |
| 4 | Park, trail, all over |
| 4 | Park, Trail |
| 4 | park, Trail |
| 4 | Yes, Plaza/Walking Trails |
| 4 | Yes! Park, plaza, public space suitable for performance, farmers markets, etc. Walking path connected to library/city hall |
| 4 | yes, walking/bike paths to connect Bayhill to the rest of San Bruno Caltrain/, BART, to City Hall Library and connect to the Ave. Open space Plaza for the Arts - i.e. Dogpatch Arts Plaza on Indiana & 19th SF |
| 4 | Public open space would be great, maybe a park |
| 4 | Yes there is a need for open spaces |
| 4 | Keep some green space for aesthetic purpose. No need for specific public space |
| 4 | Yes - in whichever area is equidistant from residential and Walk Bike routes |
| 4 | Absolutely need public open space - Good for mental health and physical |
| 4 | Do not do public plaza as that will detract from downtown. Do park like spaces escape into Nature |
**Question 5: Transportation**
| 5 | All of them! Need all tools to get cars off the road, shuttles, bike connections, employee programs, and housing nearby! |
| 5 | All of the above; underground parking, free shuttle for anyone to use, better traffic mgmt off 280/101 |
| 5 | shared bike svc, car share- promotes mass trans use |
| 5 | Do not subsidize driving by giving away parking away for free. Read "The High Cost of Free Parking" by the economist Donald Sharp |
| 5 | limit the amount of cars permitted to park |
| Question | Post-It Note Text |
|----------|------------------|
| **Question 5: Transportation** | |
| Cont. | Enable improvement to reduce cars. Both for workers & Residents |
| | multimodal - biking/walking, 2040?! Ditch the cars! Transit - No SK Google Buses |
| | Shuttle services for residents & employees to Caltrain BART & Downtown |
| | All aspects of transportation - walking, biking, shuttles - that will not impact walking |
| | Enhanced shuttle services, If plan has no road then parking lot necessary |
| | More public shuttles between Bayhill + BART/Caltrain |
| | bike lanes, shuttles |
| | enhanced shuttle svc & transit |
| | Enhanced shuttle services |
| | public shuttle for residents to BART/Caltrain |
| | I would like to have a shuttle for residents to BART/Caltrain and a nice trail to walk |
| | Smooth traffic flow. No large buses in Neighborhoods. Small shuttles to serve neighborhoods, Not everyone can ride bikes or walk long distances |
| | I would like to see shuttle service to ??? Businesses which would encourage using San Mateo Ave. |
| | Shuttle services that includes to Downtown Am Avenue and to Skyline College and to library + Rec Ctr |
| | Bayhill should be connected to San Mateo Ave by circulating free shuttle, by landscaped walking/bike pathways. Circulating shuttle so lots of socializing and commerce can be enjoyed in San Bruno w/out cars. Bring jobs + people = business + culture but not their cars. |
| | Shuttle service throughout San Bruno, car pool parking & shuttles from BART + Caltrain |
| | Shuttles must be required to offer service to downtown and Shopping districts. Dayworkers must be encouraged to assimilate into community. |
| | Shuttle services |
| | more public transportation |
| | All the ideas are good. Make the parking underground with a green lawn above separate area/zon/space for walkers & bikers |
| | Pedestrian, bicycles, trolley > within area, shuttles from area to transit & outer destinations |
| | We definitely need improved transportation in our area |
| | Covered walkways throughout buildings connecting buildings |
| | people want and need their cars |
| | build sidewalk farther into campus on San Bruno Ave. It's windy walking with cars driving 40mph |
| | walking, biking |
| | walking, transit, biking |
| | making walking + biking top priorities. Think Stanford University where it is lovely to walk/sit/bikes |
| | Sidewalks & parks that "cut through" at an angle to save time for pedestrians and cyclists |
| | Britz lighting at night |
| | Continue walk/bike path through development |
| **Question 6:** | |
| **Amenities/Experiences** | |
| | Restaurants, fitness center |
| | Laundry Mat, more variety of shops |
| | Ease of using stores i.e. pharmacy, groceries, hardware |
| Question | Post-It Note Text |
|----------|------------------|
| **Question 6:** Amenity/Experiences Cont. | |
| 6 | Banks, medical offices |
| 6 | A community center with different activities for all ages |
| 6 | Things for the community, not just YouTube… What do neighbors need? |
| 6 | Music venue, Farmer’s Market, Craft fair |
| 6 | Provide educational use spaces for local schools |
| 6 | Tech school for residents |
| 6 | Youth/Educational experiences |
| 6 | Events |
| 6 | Provide YouTube creator space! Available to public |
| 6 | Proactive engagement from YouTube/Google and other large corporate businesses in Bayhill with San Bruno community – the schools, the library, the arts, dynamic engagement. |
| 6 | farmer’s market (mid-week open to public but benefit employees), job training center/summer camp to teach kids code |
| 6 | Childcare, affordable grocery (Mollie Stone’s is expensive) |
| 6 | Health club, conference facilities, speaker ‘parks’ - outside conference areas, pop-up seating areas |
| 6 | Access to certain Youtube buildings by residents to use food service etc |
| 6 | San Bruno historical Museum |
| 6 | theater with seating of 100 |
| 6 | Hotel |
| 6 | Frisbee Golf Course + Additional parking for workers |
| 6 | This area used to be a Eucalyptus forest. Residents would LOVE nature as the main theme - park like spaces where it is good to walk. |
| 6 | Work & live in nearby, newly created Bayhill community living spaces |
| 6 | Green Buildings like SFPUC |
| 6 | Anything that would help San Bruno Cable roll out fiber to rest of the city |
| 6 | Significant lighting for night-time use |
| 6 | None |
| 6 | a giant zipline (just kidding) |
| 6 | Library, city hall, San Bruno Cable, specific plan should be expanded to include these |
| 6 | Everything mentioned thru out work group discussions |
**Question 7: Other Ideas or Concerns**
| 7 | Space for charity/community services |
| 7 | make room for struggling non-profit to prosper |
| 7 | Parking! And a big Christmas tree |
| 7 | Design elements unique to Bayhill that distinguish it as a destination |
| 7 | Bayhill should not attempt to increase existing height limits |
| 7 | Good placement of public mist & plaza |
| 7 | Softer edge -> integrated into community -> not just green spaces; needs holistic blending & design, character |
| Question | Post-It Note Text |
|----------|------------------|
| **Question 7: Other Ideas or Concerns Cont.** | Ease of using green space + shops. Sufficient parking |
| | Grand entrance off ECR with rolling central greenway (similar to UVA green) found with Circular Road around that add things that keep the area busy on nights/weekends (retail, food, play) |
| | Incorporate look + feel of Capuchino with modern lines of existing YouTube primary building - Before a small town feel to San Bruno |
| | Emphasis on walkability and "health" |
| | Suggestion: impact on health + safety (no bars), food at next workshop |
| | Q6: water-park, dog-park |
| | Draw people into a lovely natural area where it is good to breathe deeply, work, walk, cross through to get to El Camino + active areas |
| | Green technology, public Wi-Fi/internet |
| | Part of the process have YouTube give the residents of San Bruno Free hi speed WIFI! |
| | Attn: Google, please step up to help San Bruno Cable put in FTTH now and create a free Wi-Fi system in San Bruno. Fiber IS the future we need. |
| | Concerns: traffic congestion |
| | Need to be realistic with expectations – possible continued growth of YouTube – how it will impact “open space transportation, ??” |
| | Sharing commercial spaces with other businesses that aligns with YouTube’s vision and value |
| | Concern: Flight of current business? Housing? Affordable? Parking safeguards, YouTube partnership with schools |
| | The plan area should be expanded to include the library, City Hall where they are currently located but developed. Also – the plan should include lower rental rates – long term leases for government. And non-profit (that serve San Bruno residents) - 570 |
| | My main concern is that all these changes will change San Bruno dynamics too many people |
| | I am concerned that nothing happens to Bayhill Shopping Center and I don’t want YouTube taking over the area too late but the board of supervisors should look at a balance of different companies, not so many tech. It’s great when the economy is good, bad when it collapses to put e88s in one basket | |
Embedding the United Nations sustainable development goals into energy systems analysis: expanding the food–energy–water nexus
Taco Niet\textsuperscript{1}\textsuperscript{*}, Nastaran Arianpoo\textsuperscript{2}, Kamaria Kuling\textsuperscript{1} and Andrew S. Wright\textsuperscript{2}
**Abstract**
**Background:** There have been numerous studies that consider the nexus interactions between energy systems, land use, water use and climate adaptation and impacts. These studies have filled a gap in the literature to allow for more effective policymaking by considering the trade-offs between land use, energy infrastructure as well as the use of water for agriculture and providing energy services. Though these studies fill a significant gap in the modelling literature, we argue that more work is needed to effectively consider policy trade-offs between the 17 United Nations sustainable development goals (SDGs) to avoid missing important interactions.
**Results:** We examine the 17 SDGs individually to determine if it should be included in a modelling framework and the challenges of doing so. We show that the nexus of climate, land, energy and water needs to be expanded to consider economic well-being of both individuals and the greater economy, health benefits and impacts, as well as land use in terms of both food production and in terms of sustaining ecological diversity and natural capital. Such an expansion will allow energy systems models to better address the trade-offs and synergies inherent in the SDGs. Luckily, although there are some challenges with expanding the nexus in this way, we feel the challenges are generally modest and that many model structures can already incorporate many of these factors without significant modification.
Finally, we argue that SDGs 16 and 17 cannot be met without open-source models and open data to allow for transparent analysis that can be used and reused with a low cost of entry for modellers from less well-off nations.
**Conclusions:** To effectively address the SDGs, there is a need to expand the common definition of the nexus of climate, land, energy, and water to include the synergies and trade-offs of health impacts, ecological diversity and the system requirements for human and environmental well-being. In most cases, expanding models to be able to incorporate these factors will be relatively straight forward, but open models and analysis are needed to fully support the SDGs.
**Keywords:** Energy modelling, UN sustainable development goals, Food–water–energy nexus, Sustainability, Policy
*Correspondence: email@example.com
\textsuperscript{1}School of Sustainable Energy Engineering, Faculty of Applied Science, Simon Fraser University, 10285 University Dr, Surrey, BC V3T 4B7, Canada
Full list of author information is available at the end of the article
Highlights
– Nexus modelling needs to be expanded to address the United Nations sustainable development goals.
– Human well-being, health, ecological diversity, and natural capital all need to be included in nexus analysis.
– Sustainable development goals 16 and 17 require open-source models and open data to empower development.
Introduction
The United Nations (UN) sustainable development goals (SDGs), adopted by the UN in 2015, provide a roadmap for 17 areas of focus for international development [1]. The SDGs can be applied both by countries to track and address internal development goals, and by the UN and other agencies to direct development funds. One challenge that becomes apparent after even a cursory examination of the SDGs is that each goal is inextricably linked to many of the other goals. For example, goal 2: zero hunger can likely not be met without addressing goal 1: no poverty, and vice versa. As another example, McCollum et al. [2] provide an analysis of the interactions between goal 7: clean and affordable energy and each of the other goals and find that essentially every goal has at least some interaction with goal 7.
At the same time, energy systems modellers have begun to recognize the interactions between different sectors, what many refer to as modelling the ‘nexus’. Recent work has begun to incorporate energy planning with land and water use planning to address the ‘nexus’ between these different sectors and their climate and environmental impacts. These integrated modelling frameworks address some of the interactions between these sectors and allow for more effective decision-making. As an example, a nexus modelling study for the city of New York found that many energy-saving strategies increased water use and vice versa [3]. Only by studying the interactions between the different nexus aspects can these trade-offs, as well as potential synergies, be effectively identified, addressed, and mitigated.
Though the energy systems modelling literature to date has contributed to addressing the trade-offs at the nexus of land, water, energy and climate, we argue that there is a need to consider other socio-environmental trade-offs than have been, to date, incorporated into such models. Specifically, we argue that there is scope to incorporate many different aspects of the SDGs into systems models and to thereby identify both trade-offs between policies and identify beneficial synergies. Such a structured approach to incorporating different aspects of the SDGs into systems modelling would contribute to better policymaking.
In this paper, we review each of the 17 SDGs and identify specific linkages of each to energy systems modeling and specifically, the integration of the SDGs into either techno-economic capacity optimization models or energy-economy type models. In many cases specific connections between the SDG and these existing system models can be identified. In this case, we attempt to describe the specific linkage that could be incorporated into the model framework. In other cases, the links are more conceptual and only general principles are identified. This builds on the work by McCollum et al. [2] who identify specific linkages between goal 7, clean and affordable energy, and each of the other goals but, in this paper, we focus on the ability to incorporate aspects of each goal into energy systems models rather than the linkages between the goals.
We start this paper with some background on the SDGs and the modelling of the SDGs to date. We then review each of the 17 SDGs and discuss how or if each goal can be incorporated into systems models. We summarize these discussions in an overview table that identifies two aspects of each goal: the importance of including aspects of this goal in systems models and the ease with which these aspects can be modelled.
Background
The SDGs (Fig. 1) were adopted by the United Nations in 2015 and are aspirational goals that guide nations, UN departments and countries in how to focus their development efforts. Each goal expresses an overarching challenge to sustainable development. To further assist in measuring and addressing the goals, they are sub-divided into a total of 168 sub-goals. Although incorporating the goals into energy systems models will likely address some aspects of the sub-goals better than others, in this work we focus on an overarching analysis of the 17 goals to provide focus for modelling efforts. As energy systems models develop that address aspects of the goals, focus can shift to confirming which sub-goals are incorporated and if there are gaps in addressing the sub-goals.
Incorporating the SDGs into energy system modeling, to date, has focussed mainly on incorporating land, energy, water, and climate into optimization modelling frameworks. Energy systems modelling can be classified into three broad classes: energy-economy, capacity expansion/optimization and power systems modelling. Energy-economy modelling attempts to address the economy-level interactions between sectors and incorporate consumer behaviour; but cannot represent specific technological detail. Capacity expansion modelling is
applied to large-scale system optimization to determine a ‘best’ system to meet given criteria, and power systems modelling is designed to assess the power system stability and operational considerations. In all cases, the overarching purpose is to identify development paths that will maximize welfare/profits while reducing unwanted consequences. Work to address the interactions between the SDGs into capacity expansion/optimization models includes the climate, land, energy and water systems (CLEWS) modelling framework [4, 5] and the NEexus Solutions Tool (NEST) framework [6, 7]. These models are designed to choose the optimal development path within the constraints and trade-offs defined in the model structure. Stylianopoulou et al. [8] provide an overview of similar water–energy–food nexus models that have been applied in the literature. These modelling efforts begin to address the nexus between goal 7 (energy), goal 2 (zero hunger), goal 6 (clean water and sanitation) and goal 13 (climate action) but do not, as yet, expand beyond these four goals.
There are a few other energy systems modelling approaches in the literature that incorporate different aspects of the SDGs. Deane and Brinkerink [9] used the combination of the Global Change Assessment Model (GCAM) [10], a partial equilibrium energy-economy model with PLEXOS [11], a power systems model, to address interactions between goal 8 (economic well-being) with goal 7 (affordable and clean energy). Garcia-Gusano [12] links a life cycle assessment model to a power system planning model to incorporate the life cycle impacts of the power sector into a capacity expansion model. Galli et al. [13, 14] similarly incorporate a life cycle assessment model into an input–output energy-economy model, addressing goal 8 (economic well-being) with aspects of goals 13, 14 and 15 (climate action, life under water and life on land). Other approaches to footprint analysis likewise attempt to incorporate diverse impacts [15-17], but generally do not include the decision-making structures that are the major features of energy systems models. Overall, each of these efforts attempts to add some aspect of the SDGs in energy system modelling, but no comprehensive approach to which goals need to be included has been published in the literature.
**Modelling the UN sustainable development goals**
In this section, we review each SDG and, from the perspective of systems modelling, consider if any aspects of the goals need to be incorporated into systems models. For each goal we focus first on the importance of
addressing aspects of the given goal in an energy systems model and then, where possible, identify how aspects of the given goal can be incorporated into an energy systems model. In some cases, although it may not be directly possible to incorporate aspects of a goal into a systems model, the goal highlights principles that should be followed in developing models. Following on the work of the International Science Council [18], van Soest et al. [19] and Pradhan et al. [20], we also attempt to identify linkages and feedbacks between the SDGs that may need to be considered when modelling, but we do not repeat this work of identifying linkages between the different goals. Table 2 provides a summary of the ranking for each SDG in each category to summarize the overall discussion.
| Sustainable Development Goal | Importance of Modelling | Ease of Modelling | Type of Model(s) Required |
|------------------------------|-------------------------|------------------|--------------------------|
| No Poverty | ⬅️ | ⬅️ | Energy-Economy |
| Zero Hunger | ⬅️ | ⬅️ | Optimization |
| Good Health and Well-being | ⬅️ | ⬅️ | Energy-Economy, |
| | | | Optimization |
| Quality Education | ⬅️ | ⬅️ | N/A |
| Gender Equality | ⬅️ | ⬅️ | N/A |
| Clean Water and Sanitation | ⬅️ | ⬅️ | Optimization |
| Affordable and Clean Energy | ⬅️ | ⬅️ | Optimization, Energy-Economy |
| Decent Work and Economic Growth | ⬅️ | ⬅️ | Energy-Economy |
| Industry, Innovation and Infrastructure | ⬅️ | ⬅️ | Energy-Economy, Optimization |
| Reduced Inequalities | ⬅️ | ⬅️ | N/A |
| Sustainable Cities and Communities | ⬅️ | ⬅️ | Optimization, Energy-Economy |
| Responsible Consumption and Production | ⬅️ | ⬅️ | Optimization |
| Climate Action | ⬅️ | ⬅️ | Optimization, Energy-Economy |
| Life Below Water | ⬅️ | ⬅️ | Optimization |
| Life on Land | ⬅️ | ⬅️ | Optimization |
| Peace, Justice and Strong Institutions | ⬅️ | ⬅️ | Open source models |
| Partnerships for the Goals | ⬅️ | ⬅️ | Open source models |
For each SDG, beside the SDG icon, we provide three items: modelling required; ease of modelling; and model structure(s) required. The ranking and icons used are summarized in Table 1. The first, modelling required, is an indication of the importance of including this goal in an energy systems model, to indicate how important feedbacks and interconnections are to addressing this goal. Modelling required is ranked on a three-point scale, with a white icon indicating this goal does not need to be considered or that it is better addressed in other ways; a light blue icon indicating that some modelling may be required, and a dark blue icon indicating that it is not clear how this goal would be addressed without incorporating factors into models. For example, goal 7, access to clean and affordable energy is ranked dark blue as it is core to most systems models and, without systems modelling it is not clear how this goal can be addressed. The second item, ease of modelling, indicates how easily aspects of this goal can be incorporated into energy systems models. The ease of modelling is ranked on a three-point scale, with a green icon indicating it can easily be modelled, an orange icon indicating some modelling challenges, and a red icon indicating it is not clear how to model this specific goal. For example, goal 6, clean water and sanitation, is ranked green as it is relatively easy to incorporate into modelling frameworks by tracking both the water needs, and the energy and water supplies required to provide this. Finally, we identify which model structures (energy-economy, optimization) are best suited to addressing this goal.
The ability to establish a policy that reduces poverty relies on an effective and accurate understanding of the interactions between policy and economic development. In general, from a systems modellers’ perspective, this mainly focusses on broader questions such as how to ensure economic development and how to ensure access to affordable services. Energy-economy models, broadly, address the first issue: how to ensure economic development to help lift people out of poverty and are well-established tools for modelling broad economic development. The importance of including poverty reduction policies in economic models to consider the feedbacks between such policies and overall economic health means this SDG is categorized as modelling required in terms of the importance of modelling to address this goal and, in fact, most systems models include some form of economic indicators in their model formulation.
We rank this SDG as challenging to include in systems models since there are significant challenges for modeling to address poverty across all levels of society. These challenges are addressed in a variety of ways in the social sciences literature [21–23]. The challenge that systems modelling has in addressing the distribution of wealth, as well as the evidence of social sciences approaches to some of these challenges, is addressed further in goal 17: partnerships towards the goals.
Zero hunger requires both adequate food production, on average, and resilience to weather events that might impact crop yields locally. Adequate food production, including consideration of expected crop yields and consideration of economic ability to purchase and maintain farm equipment such as tractors, irrigation systems and fertilizer are considered in existing optimization modelling frameworks including the CLEWs framework which has been applied in many different contexts and different scales around the globe including cross-boundary jurisdictions such as the Drina river basin [24, 25], for the countries of Mauritius [4] and Burkina Faso [26] as well as for the city of New York [3, 27]. Given the existence of models that directly address food availability, we rank this goal as definitely required to be considered in modelling structures and easy to incorporate into optimization modelling paradigms.
To further reinforce the fact that this goal needs to be considered in systems modelling, it should be noted that this goal is the most interconnected goal of all 17 as identified by the International Council for Science [18], with strong interconnection to eight other goals. Such strong interconnections mean that there are likely many ways that this goal will be incorporated into systems models and that different model structures will likely highlight different synergies and trade-offs.
One piece of the zero-hunger goal that is not well addressed by existing model frameworks is the resilience of agricultural production with extreme weather events and future expected yields under climate uncertainty. There is some work in this area from the Food and Agriculture Organization and IIASA in the Global Agro-Ecological Zones database [28], where global yield predictions for various climate change scenarios are available but, overall, there is still significant uncertainty in this space.
There has been significant work in quantifying the health impacts of various industrial activities in the literature, and there are many examples of both negative and positive health impacts of development. The challenge, then, is to adequately quantify the health impacts of different activities and track both the positive and negative health impacts in a model structure and determine how to incorporate these different aspects into systems models. A related challenge is modelling the environmental impacts of health-care-related activities such as the impact of waste from health, water and energy use, etc. Hensher [29] provides an overview of the literature on environmental impacts of health care which also needs to be incorporated into modelling structures.
Health impacts can be incorporated into modelling in two different ways. First, energy-economy models can incorporate the negative economic impacts on overall productivity. Second, capacity expansion models can include direct costs and impacts of decision on health. This would incur additional costs and a cost–benefit analysis could be undertaken to determine the best policy moving forward.
Although there is significant scope for including health and well-being impacts in systems modelling frameworks, the literature does not have many examples of this type of work. Lott et al. [30] incorporate the impacts of particulate matter into an energy system model, Shih and Tseng [31] find the co-benefits of efficiency measures are more cost-effective when health impacts are taken into consideration, and Zvingiliaitė [32] includes health and other externalities in a model for siting energy generation. These studies appear to be stand-alone studies and do not provide an overall modelling structure that incorporates health impacts in a systemic and ongoing way.
Although quality education is crucial for meeting many of the other goals, and some aspects of education could potentially be included in model frameworks (such as the availability of labour in energy-economy frameworks), the overall structure of most models would not easily incorporate quality education into a systems model. As such, the Ease of Modelling for goal 4 is ranked as unclear with the red icon.
That being said, there are links between quality education and the other goals, specifically goal 7 which McCollum et al. [2] notes are critical for schools to have access to lighting, space conditioning and modern electronics. Overall this goal is relatively challenging to model, and it is not clear, other than the interaction between available human capital and education and the demands for energy services, how this could be incorporated into any modelling framework.
Similar to goal 4, goal 5 of gender equality is very challenging to model in any systems modelling framework. And, like goal 4, there are some aspects such as labour availability that would contribute to GDP and therefore be able to be included in certain model structures, but these are not clear and direct links. Therefore, this goal is ranked as unclear how to model with the red icon. However, as modellers build their model structures to consider other goals, it is important that they consider the gender equality implications of the other aspects of their models.
For example, there are many aspects of the gender equality that are reliant on different aspects of systems models. McCollum et al. [2] note that access to energy services such as lighting and clean cooking can greatly enhance gender equity. The linkage to zero hunger is also an aspect of gender equality—when there is enough food available and the effort required to gather and prepare food is reduced, there is generally lower gender inequality in societies [18]. Given these interactions, we rank this goal as some modelling required. The model structures best suited to considering these interactions are identified in the other goals, namely goal 7, clean and affordable energy and goal 2 zero hunger.
Access to clean water and sanitation is both an important goal in and of itself and is identified as linked to goal 2, no poverty, and goal 7, affordable and clean energy by the International Council for Science [18]. Since this goal is so critically interconnected with two other goals, and there might be significant trade-offs between different and competing water demands, we rank this goal as critical to be modelled, with a dark blue circle.
Luckily, this goal is also one of the more easily modelled goals and has, in fact, been incorporated into a number of optimization modelling frameworks already, namely the CLEWs [4, 5] and NEST [6, 7] frameworks. Since this goal has already been incorporated into several existing models this goal is ranked as easy to include in systems models.
Energy models have, for many years, been the core of modelling for sustainable development. Optimization models are used to determine the best and most cost-effective paths for meeting projected energy demands, and energy-economy models are used to project demand changes based on economic growth, elasticities of substitution and other feedbacks. The International Council for Science identifies goal 7 as the second most interconnected goal, with links to goals 1, 2, 3, 6, 8 and 13 [18]. Examples of such interactions include the health impacts (goal 3) of using biomass for cooking as compared to using electricity, or the negative impacts lack of electricity has on industrial development and job creation (goal 8). Given these large number of interactions, goal 7 needs to be incorporated into most model frameworks and, in fact, we see that most model frameworks consider affordable energy as one of the driving factors in the analysis.
There are two inter-related pieces to goal 8. The first, economic growth, is generally modelled with energy-economy models. This is, however, challenged by the decent work part of the goal. Although the energy-economy structure can model the overall economic growth, the ability to incorporate aspects of decent work into the goal is more challenging.
The International Council for Science [18] connects this goal to goal 7, affordable and clean energy, goal 3, good health and well-being, and goal 14, life below water. The linkages to affordable energy and good health are clear; this goal might be better addressed by incorporating aspects of those goals into the modelling framework. Overall, this goal might need some modelling to be considered, and there are some challenges in modelling this goal effectively. McCollum et al. [2] state that strong institutions, especially financial, and energy infrastructure are critical for this goal and therefore the main modelling for this goal is likely to be incorporated by addressing goal 7.
The discussion here is almost identical to the discussion for goal 8. Though there might be some aspects of innovation and industry that need to be modelled specifically, in many cases, systems models would not be required to address specific aspects of this goal, and many aspects of this goal can be included by considering goal 7.
One aspect of systems models that may need to be expanded is the focus of optimization models on energy infrastructure. Expanding these models to include consideration of technology and innovation in other industries and sectors would enhance the ability of systems models to guide policy and decisions towards sustainable industrialization. A focussed expansion of such models may allow them to provide more context about goal 9.
Similar to goals 4 (quality education) and 5 (gender equity), goal 10 is very challenging to model, and it is not entirely clear how this could be incorporated into any existing systems modelling frameworks. Nor is it clear what changes to model inputs would occur with increased equity in society. McCollum et al. [2] identify only weak links to energy in their analysis of the interactions with goal 7 (affordable and clean energy) and note that, in many cases, there are potentially both positive and negative impacts of energy on this goal. Overall, though consideration of equity is needed when discussing
policies and their impacts on a system, it is unlikely that there will be any easy ways for this goal to be incorporated in systems models.
Sustainable cities and communities require energy, food, welfare and good health and many aspects of the other goals. For example, McCollum et al. [2] identify that energy is an active driver of ensuring access to basic housing and ensuring that food preparation can be done in sustainable and healthy ways. However, there are some challenges in incorporating city and community-specific aspects of systems into larger systems models. There is opportunity to do so in some cases, and there are examples in the literature of applying systems models to cities and communities (CLEWs in New York [3], A water-energy nexus study of Shanghai [33], A study of the Latrobe Valley near Melbourne, Australia [34]). In many cases, it is not needed to include community-specific features into a broader systems model, and it is often challenging to get data at a disaggregated enough level to be useful for analysing communities and cities in a broad systems context. As such, we rate this goal as some modelling required, but not easy to incorporate into larger systems models.
Responsible production and consumption are embedded in many of the other sustainable development goals and, in that way, a large portion of this goal is already being modelled. For example, sustainable farming practices are indirectly referenced in goal 13, climate action, goal 3, good health and well-being, and goal 7, clean and affordable energy. However, there are some aspects of this goal that are likely not well considered in most existing modelling frameworks other than by exogenous parameters. Such exogenous methods of incorporating these parameters into a modelling framework may be the only practical way to include this goal in most models.
However, given the importance of consumer decisions in achieving goals such as climate action and good health and well-being, it is likely that this goal could use more attention. The use of intangible costs in the CIMS model [35–37] to determine consumer behaviour is an example of incorporating this goal directly into a modelling framework, but this does not exist broadly in different energy systems models. This goal has been rated some modelling required to reflect this and it is also rated as moderately difficult to incorporate.
Achieving the climate action goal requires addressing the two different, but equally critical, notions of climate mitigation and adaptation in systems models. Mitigation needs to be considered by incorporating the impacts of the energy and other systems into the modelling framework. This is already done for most systems models, and it is common for model outputs to include costs for reducing carbon dioxide emissions. This gives this goal a rating of modelling required, and also relatively easy to incorporate this into most systems models.
The second aspect of this goal is climate adaptation. This is much harder to model as there is much uncertainty in the impacts of climate change, both on the environment and on society. As an example, there are databases that provide expected attainable crop yields available for various locations such as the global agro-economic zones database [28]. This database has a baseline expected attainable yield and then several different potential yield trajectories. We are not aware of any current work that uses the projected changes in yields to model system dynamics, and there is a significant data management challenge should this be attempted. Other studies have also found that lowered crop yields due to climate change in Africa could reduce GDP growth and cause damage to human health [38]. So, although the mitigation aspect of this goal is relatively easy to model, we rank this goal as a moderately challenging to model due to the challenges of incorporating adaptation into systems models.
This goal is relatively situation specific. For example, if building a hydro dam is being considered in the model,
then this goal must be modelled in some direct ways. However, many interactions of the energy system with life below water are driven by either food production from seafood or by the effluent from energy services and generation systems that impact life below water. Although it is important for systems models to be constrained so only sustainable amounts of seafood are available in model outputs, and it is important to track and mitigate emissions and effluent from power systems, overall, this goal does not need a large amount of modelling.
Since some interactions can be cumulative, such that one power plant may not impact the fish stocks in a lake, but multiple plants at the same location could reduce the sustainability of the fish in the lake, there are some challenging threshold effects that may need to be modelled. This makes it somewhat challenging to model this goal in most existing modelling frameworks.
Goal 15 has some significant similarities to goal 14 in that sustainable land use, in some cases, requires tracking and identification of limitations of the productivity of the land base. However, in contrast to goal 14, humanity has a significant presence on land and has been adapting and changing land use for millennia. From farming to building cities and roads to open-pit mining to flooding large areas of land for irrigation and/or power generation, humanity has an inordinately large impact on land when compared to life below water. This goal interacts with many of the other goals, including goal 2 of no hunger. As such, we rate this goal as definitely requiring modelling as humanity’s interactions with land and life on land are so vast.
Luckily, there are modelling structures existing in the literature, such as the CLEWs [4] model that incorporates land use planning in the model formulation. One challenge with the current CLEWs model framework that is not addressed well at this point is a lack of acknowledgement of the life on land, as the current CLEWs methodology focusses mainly on food production and productive use of the land base. Including factors such as the natural capital of forests and grasslands, as well as pastureland, and including consideration of the cumulative impact of land use changes would enhance the ability of the CLEWs framework to address this goal directly. Although there are some challenges with addressing this goal within a modelling framework, we rank this goal as relatively easy to model, given that there are existing frameworks that address most aspects of this goal.
It is not clear that there is any way to incorporate peace, justice, and strong institutions into any existing modelling frameworks in any meaningful way. There is the potential to include higher costs of given policy decisions due to lack of effective institutions in a given jurisdiction and the resulting lower efficacy of the given policy within the society, but this would be challenging, and it is unclear how to justify any given level of reduced efficacy. On the other hand, the existence of peace and justice would contribute to enhanced GDP growth, but again, the link is indirect and not easy to quantify. As such, we rate this goal as very challenging to model in any meaningful way.
Having said that, we also feel that there is little value in attempting to incorporate this goal into a modelling framework. There may be some strengthening of institutions required to meet this goal in given jurisdictions, but this is likely more effectively addressed through foreign aid in building institutions rather than incorporating this into a given model structure.
There is one aspect of this goal that does impact on modeller decision-making, however, and that is the ability of institutions in a given jurisdiction to have access to the tools and models for effective decision-making. Models which are not accessible, and which cannot be modified and used for policy analysis in various jurisdictions, and/or models which do not provide open data to enable repeatable analysis reduce the ability of governments to have strong and effective policy decision-making support. As such, having open models and open data, and transparent decision-making for repeatable and reliable systems analysis is critical to meeting this goal. Luckily there are already a number of models that are available open-source, and there are groups of modellers working together on open-source and transparent modelling [39–41].
As with goal 16, goal 17 has no specific aspects that can be incorporated into modelling structures directly. This means that we rate this a challenge to incorporate any aspects of this goal into a modelling framework. Moreover, as with goal 16, goal 17 has no specific aspects that necessarily need to be incorporated into a modelling framework, and this is therefore rated as no modelling required.
One other aspect of having strong partnerships for the goals is the ability of modellers to use and share their models, and to aid each other in moving modelling forward. This, again, argues for open-source models, open data, transparent processes and clearly documented processes. There are examples of open-source models being used by partners for sustainable development, such as the capacity development work done by the United Nations Department of Economic and Social Affairs [42]. These initiatives, using open models that focus on transparency allows policymakers and citizens to be active participants in modelling and analysis.
**Conclusions**
The UN sustainable development goals provide a framework to guide countries in building a prosperous and environmentally secure future. Through an in-depth analysis of the 17 SDGs, we have shown that there is a need to incorporate many synergies and trade-offs inherent in the goals into systems models. This will help ensure that addressing one goal does not inadvertently impact the ability to achieve others. Though some models are starting to incorporate climate impacts and land and water use in their analysis, few models go beyond this scope to address the many different interactions envisioned by the SDGs. Modellers should work on designing models that can incorporate and describe the SDGs such that policymakers can consider these aspects when using model outputs.
Table 2 summarizes which goals need to be included when expanding the modelling nexus beyond climate, land, energy and water. Specifically, we have rated seven goals as being important to incorporate into modelling frameworks, namely goal 1 (no poverty), goal 2 (zero hunger), goal 3 (good health and well-being), goal 6 (clean water and sanitation), goal 7 (affordable and clean energy), goal 13 (climate action), and goal 15 (life on land). As such, a nexus analysis that incorporates climate, land, energy and water, as well as economic well-being, health benefits and impacts and considers land in terms of both food production and in terms of sustaining ecological diversity and natural capital would provide more nuanced systems analysis.
Luckily, most of these goals were also rated either easy or relatively easy to incorporate into modelling frameworks. Addressing poverty requires some additional consideration of equality, both in terms of goal 5 (gender equality), and goal 10 (reduced inequalities) and that poses some challenges for system models. Addressing goal 13 requires some consideration of both sides of the climate change challenge, namely adaptation and mitigation, making it slightly more challenging to incorporate. However, none of the goals rated as critically important to model were rated as impossible or unclear how this could be modelled. Expanding the nexus should, therefore, be feasible and beneficial.
Finally, we note the importance of open-source models, open data, well documented processes and transparent analysis for addressing goals 16 and 17. Without this it is unclear how these goals can be met, nor how policymakers and citizens can have access to the modelling outputs. Transparency, along with open models and data, will allow countries to build their own models and call in the expertise to partner with them rather than being tied to commercial operators whose models are opaque and inaccessible.
**Abbreviations**
GIMS: A partial equilibrium model used to analyse different policies on societal outcomes (not an acronym); CLEWs: Climate, Land, Energy and Water Systems Model; GCAM: Global Change Assessment Model; NEST: Nexus Solutions Tool; PLEXOS: A power systems/capacity expansion model (not an acronym); UN: United Nations; SDGs: Sustainable development goals.
**Acknowledgements**
Not applicable.
**Authors’ contributions**
All authors discussed the approach and the concept of including the SDGs in energy system modelling. TN drafted the manuscript and all authors contributed their expertise interpretation, and suggestions on the ideas in the manuscript. All authors reviewed and approved the submitted version of the manuscript.
**Funding**
This analysis was undertaken by the authors without any external funding sources.
**Availability of data and materials**
Not applicable.
**Ethical approval and consent to participate**
Not applicable.
**Consent for publication**
Not applicable.
**Competing interests**
The authors have no competing interests to declare.
**Author details**
1 School of Sustainable Energy Engineering, Faculty of Applied Science, Simon Fraser University, 10285 University Dr, Surrey, BC V3T 4B7, Canada. 2 Faculty of Environment, Pacific Water Research Center, Simon Fraser University, Burnaby, BC, Canada.
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Census-Guided Federal Spending: A Comprehensive Accounting
Andrew Reamer, Research Professor
George Washington Institute of Public Policy
George Washington University
National League of Cities
Washington, DC
November 18, 2019
The Counting for Dollars 2020 Project aims to understand:
- the extent to which the federal government will rely on data from the 2020 Census to guide the distribution of federal funding to states and local areas across the nation and
- the impact of the accuracy of the 2020 Census on the fair distribution of these funds.
In Fiscal Year (FY) 2017, **316 federal spending programs** relied on 2010 Census-derived data to distribute **$1.504 trillion** to state and local governments, businesses, nonprofits, and households across the nation.
This figure accounted for **7.8 percent of Gross Domestic Product** in FY2017.
Census-guided federal spending programs vary substantially in terms of size, geographic focus, and extent of reliance on and uses of census-derived data.
The common element across these programs is that a state or area’s receipt of its fair share of federal funds depends on the accuracy of its census count.
Coverage
- Federal programs that allocated FY2017 spending to states and local areas based, in whole or in part, on data derived from state and local 2010 Census results.
- Local areas include metropolitan and micropolitan statistical areas, counties, cities and towns, rural areas, zip codes, and neighborhoods.
CENSUS-DERIVED DATASETS FOR DISTRIBUTING FEDERAL FUNDS
Decennial Census
Geographic Classifications (2)
- Urban-Rural Classification (Census)
- Core-based Statistical Areas (OMB)
Multivariate Datasets (6)
- AUGMENTED DATASETS (2)
- Population Estimates (Census)
- Housing Estimates (Census)
- HOUSEHOLD SURVEYS (4)
- American Community Survey (Census)
- Current Population Survey (Census and BLS)
- Consumer Expenditure Survey (Census for BLS)
- American Housing Survey (Census for HUD)
Geographic Classifications (6)
- Rural-Urban Commuting Areas (ERS)
- Frontier and Remote Areas (ERS)
- Rural-Urban Continuum Codes (ERS)
- Urban Influence Codes (ERS)
- NCHS Urban-Rural Classification (NCHS)
- Small Labor Market Areas (BLS)
Standard Economic Indicators (5)
- Consumer Price Index (BLS)
- Personal Income (BEA)
- Per Capita Income (BEA)
- Local Area Unemployment Statistics (BLS)
- Poverty Thresholds (Census)
Program-Specific Geographic Designations (14)
- Areas of Substantial Unemployment (ETA)
- Labor Surplus Areas (ETA)
- Persistent Poverty Counties (ERS)
- HUBZones (SBA)
- Low-Income Communities (CDFI)
- CDFI Investment Areas (CDFI)
- Qualified Distressed Communities (CDFI)
- Qualified Opportunity Zones (CDFI)
- Persistent Poverty Counties (CDFI)
- Health Professions Shortage Areas (HRSA)
- Medically Underserved Areas (HRSA)
- Difficult Development Areas (HUD)
- Qualified Census Tracts (HUD)
- HUD Metro FMR Areas (HUD)
Program-Specific Measures (19)
INCOME AND POVERTY (9)
- Area Median Income (HUD)
- Income Limits (HUD)
- Low and Moderate Income Summary Data (HUD)
- State Median Income (ACF)
- Lower Living Standard Income Level (ETA)
- Small Area Income and Poverty Estimates (Census for ED)
- Low-income Targeted Populations (CDFI)
- Federal Medical Assistance Percentage (ASPE)
POPULATION CHANGE (1)
- Child Population Growth Factor (CMS)
SPENDING AND PRICES (7)
- Fair Market Rent (HUD)
- Small Area Fair Market Rent (HUD)
- Renewal Funding Inflation Factors (HUD)
- Annual Adjustment Factors (HUD)
- Thrifty Food Plan (FNS)
- Projected National Health Expenditures Per Capita (CMS)
- Geographic Practice Cost Index (CMS)
MEDICAL UNDERSERVICE (2)
- Index of Medical Underservice (HRSA)
- Medically Underserved Populations (HRSA)
Types of Census-Guided Programs
- Financial assistance programs that provide direct payments, grants, loans, and loan guarantees to state and local governments, nonprofits, businesses, and households (305 programs, $1,465.2 billion)
- Matching payments from states to the federal government required by financial assistance programs (3 programs, $16.5 billion)
- Tax credit programs that allow a special exclusion, exemption, or deduction from gross income (7 programs, $14.9 billion)
- Procurement programs that award federal contract dollars to small businesses located in areas selected using census-derived data (1 program, $7.5 billion)
Data Use
- **Allocation** – Almost all programs use census-derived data to determine the amount of spending or services provided to each eligible geographic area and household (297 programs, $1,414.8 billion).
- **Eligibility** – About 40 percent of programs use census-derived data to determine the geographic areas and households eligible to receive the program’s funding (128 programs, $206.3 billion).
- Most of these programs also use census-derived data to determine allocations as well (109 programs, $116.9 billion).
- Nineteen programs ($89.4 billion) only use census-derived data for program eligibility purposes.
Allocation Variables
- **Total population (89 programs, $519.2 billion)**
- Per capita income – total income (from tax and other records) divided by total population (10 programs, $409.7 billion)
- Number of residents (79 programs, $109.5 billion)
- **Population subsets (226 programs, $216.9 billion)** – examples:
- Persons in rural areas
- Persons below 125% of federal poverty level
- Persons age 60+ at or below 185 percent of federal poverty level
- Persons in overcrowded housing
- Persons unemployed
Categories of geographic areas (87 programs, $773.8 billion)
- Category examples
- Large metro, metro, micro, rural, and isolated counties
- Persistent poverty counties
- Area median income as percent of state median income (less than 60.0%, 60.0-69.9%, 70.0-89.9%, 90.0% and above)
- Use examples
- Minimum percent allocation reserved for particular category
- In competitive grant selections, points awarded vary by category
- In competitive grant selections, preference given to one category
- Service network adequacy, by category
Eligibility Variables
- **Geographic areas** (92 programs, $139.3 billion) – examples:
- Population density (such as rural or urban designation)
- Population size (above or below a specified level)
- Unemployment rate (above a specified level)
- Household income (percentage of population below a specified level)
- **Households** (52 programs, $89.5 billion)
- Area median income (household income below a specified percentage of AMI)
Medicare – Medicare Parts A, B, and D account for $710.2 billion of census-guided spending (47.4 percent). These programs use census-derived data to define multiple local geographic classifications by which to allocate Medicare funding and services. (Medicare Part C funded out of Medicare Parts A and B.)
Medicare Part A – Inpatient Prospective Payment System
- Geographic classifications
- Hospital labor market areas → geographic adjustment factors (Hospital Wage Index), Diagnosis-related Group (DRG) weights
- Large Urban/Other Urban/Rural designations
- Lugar county designation
- Critical access hospital designation
- Frontier state designation
- Medicare Geographic Reclassification Review Board
- Disproportionate Share Hospital (DSH) allotments
Medicare Part B – Physician Fee Schedule
- Physician Payment Areas
- Geographic Practice Cost Indices (GPCIs)
- Designation of Rural Health Clinics, Federal Qualified Health Clinics
- Competitive Bidding Areas for suppliers of durable medical equipment, prosthetics, orthotics and supplies (DMEPOS)
- AHRQ Socioeconomic Status Index – use in Merit-based Incentive Payment System (MIPS)
- “The AHRQ SES Index is a widely used and validated measure of area deprivation derived from the American Community Survey (ACS) census block group-level data and linked to a patient's ZIP code. It summarizes SES measures of employment, income, education, and housing.”
| County Type Designation | Population | Density |
|-------------------------|----------------------------|--------------------|
| Large Metro | ≥ 1,000,000 | > 1,000/mi² |
| | 500,000 – 999,999 | ≥ 1,500/mi² |
| | Any | ≥ 5,000/mi² |
| Metro | ≥ 1,000,000 | 10 – 999.9/mi² |
| | 500,000 – 999,999 | 10 – 1,499.9/mi² |
| | 200,000 – 499,999 | 10 – 4,999.9/mi² |
| | 50,000 – 199,999 | 100 – 4,999.9/mi² |
| | 10,000 – 49,999 | 1,000 – 4,999.9/mi²|
| Micro | 50,000 – 199,999 | 10 – 99.9 /mi² |
| | 10,000 – 49,999 | 50 – 999.9/mi² |
| Rural | 10,000 – 49,999 | 10 – 49.9/mi² |
| | <10,000 | 10 – 4,999.9/mi² |
| CEAC | Any | <10/mi² |
Each year, CMS applies these parameters to the most recently available U.S. Census Bureau population estimates to determine appropriate county type designations.
Medicare Part D – Network Adequacy
Zipcode Designation
- Urban: more than 3,000 persons per square mile
- Suburban: 1,000 to 3,000 persons per square mile
- Rural: under 1,000 persons per square mile.
(i) At least 90 percent of Medicare beneficiaries, on average, in urban areas served by the Part D sponsor live within 2 miles of a network pharmacy that is a retail pharmacy or a pharmacy described under paragraph (a)(2) of this section.
(ii) At least 90 percent of Medicare beneficiaries, on average, in suburban areas served by the Part D sponsor live within 5 miles of a network pharmacy that is a retail pharmacy or a pharmacy described under paragraph (a)(2) of this section.
(iii) At least 70 percent of Medicare beneficiaries, on average, in rural areas served by the Part D sponsor live within 15 miles of a network pharmacy that is a retail pharmacy or a pharmacy described under paragraph (a)(2) of this section.
Medicare Part D – Prescription Drug Networks
Zipcode Designations
- Urban: more than 3,000 persons per square mile
- Suburban: 1,000 to 3,000 persons per square mile
- Rural: under 1,000 persons per square mile.
Network Adequacy
(i) At least 90 percent of Medicare beneficiaries, on average, in urban areas served by the Part D sponsor live within 2 miles of a network pharmacy that is a retail pharmacy or a pharmacy described under paragraph (a)(2) of this section.
(ii) At least 90 percent of Medicare beneficiaries, on average, in suburban areas served by the Part D sponsor live within 5 miles of a network pharmacy that is a retail pharmacy or a pharmacy described under paragraph (a)(2) of this section.
(iii) At least 70 percent of Medicare beneficiaries, on average, in rural areas served by the Part D sponsor live within 15 miles of a network pharmacy that is a retail pharmacy or a pharmacy described under paragraph (a)(2) of this section.
FMAP-based funding – Medicaid and six smaller Department of Health and Human Services programs rely on the annually updated Federal Medical Assistance Percentage (FMAP) based on each state’s per capita income to determine reimbursement and matching payment rates ($405.2 billion, 27.0 percent of census-guided funding).
“Federal medical assistance percentage” for any state shall be 100 per centum less the state percentage; and the state percentage shall be that percentage which bears the same ratio to 45 per centum as the square of the per capita income of such state bears to the square of the per capita income of the continental United States (including Alaska) and Hawaii; except that (1) the Federal medical assistance percentage shall in no case be less than 50 per centum or more than 83 per centum, (2) the Federal medical assistance percentage for Puerto Rico, the Virgin Islands, Guam, the Northern Mariana Islands, and American Samoa shall be 55 percent...
All other programs -- The remaining 306 programs distribute $388.8 billion (25.8 percent). These programs can be subdivided into:
- **Local only** – 174 programs rely only on local-level census-derived data ($261.2 billion, 17.4 percent).
- **State and local** – 38 programs rely on both state- and local-level census-derived data ($73.9 billion, 4.9 percent).
- **State only** – 94 programs rely only on state-level census-derived data ($53.7 billion, 3.6 percent).
Entitlement Communities
These are principal (central) cities of metropolitan areas, other metropolitan-based cities (satellite) with populations of 50,000 persons or more, and statutorily defined urban counties whose populations may range from 100,000 to 200,000 persons.\(^6\) Seventy percent of the funds appropriated for CDBG activities are allocated among these communities after funds are set aside for the remaining 30 percent.
**Formula A**
Each entitlement community’s share = \(0.25(\text{pop/total pop}) + 0.50(\text{pov/total pov}) + 0.25(\text{overcrowded/total overcrowded})\).\(^21\)
**Formula B**
Each entitlement community’s share = \(0.30(\text{pov/total pov}) + 0.50(\text{age of housing/total age of housing}) + 0.20(\text{pop lag/total pop lag})\).\(^22\)
Rural or rural area. Any area of a State not in a city or town that has a population of more than 50,000 inhabitants, according to the most recent decennial Census of the United States (decennial Census), and the contiguous and adjacent urbanized area, and any area that has been determined to be “rural in character” by the Under Secretary for Rural Development, or as otherwise identified in this definition. In determining which census blocks in an urbanized area are not in a rural area, the Agency will exclude any cluster of census blocks that would otherwise be considered not in a Rural Area only because the cluster is adjacent to not more than two census blocks that are otherwise considered not in a rural area under this definition.
| Formula Characteristic | Basic Grants | Concentration Grants | Targeted Grants | Education Finance Incentive Grants (EFIG) |
|-----------------------|--------------|----------------------|-----------------|------------------------------------------|
| **Formula child count** | Children ages 5-17: (1) in poor families; None | Same as Basic Grants | Same as Basic Grants | Same as Basic Grants |
| **Weighting of formula child count** | None | None | At all stages of the allocation process, formula children are assigned weights on the basis of each LEA’s number of formula children and formula child rate | For allocation of funds within states only, formula children are assigned weights on the basis of each LEA’s number of formula children and formula child rate |
(b) COMPUTATION OF AMOUNTS FOR EACH STATE OTHER THAN JURISDICTIONS OF PUERTO RICO, GUAM, ETC. The allotment for any fiscal year for each State other than the jurisdictions of Puerto Rico, Guam, the Virgin Islands, American Samoa, and the Northern Mariana Islands shall be an amount which bears the same ratio to—
(1) the amount specified in subsection (c), reduced by
(2) the total amount allotted to those jurisdictions for that fiscal year under subsection (a),
as the population of that State bears to the population of all the States (other than Puerto Rico, Guam, the Virgin Islands, American Samoa, and the Northern Mariana Islands) as determined by the Secretary (on the basis of the most recent data available from the Department of Commerce) and promulgated prior to the first day of the third month of the preceding fiscal year.
| Annual Spending Range | # of Programs | Spending $ (billions) | Spending % |
|-------------------------------|---------------|-----------------------|------------|
| $100 billion+ | 4 | $1,078.6 | 71.7% |
| $10 billion - $99.9 billion | 11 | $247.2 | 16.4% |
| $1 billion - $9.9 billion | 43 | $140.7 | 9.3% |
| $100 million -- $999.9 million| 95 | $33.0 | 2.2% |
| $10 million -- $99.9 million | 116 | $4.5 | 0.3% |
| $300 thousand -- $9.9 million | 47 | $0.2 | 0.0% |
| Total | 316 | $1,504.2 | 100.0% |
For any one program, the sensitivity of funding distribution to census accuracy depends on its particular use of census-derived data:
- Extent of reliance – in whole or part
- Population total, subset, category
- If categories – nature of typology, closeness to boundary
For the most part, census-derived data don’t determine the “size of the pie” but “who gets what slice of pie.” This means that funds not received in one state or area due to an undercount are distributed to all other states and areas.
Census-Guided Federal Spending: A Comprehensive Accounting
Andrew Reamer, Research Professor
George Washington Institute of Public Policy
George Washington University
email@example.com
(202) 994-7866 |
M. Abdus Samad
Hussain Md. Abu Nyeem
Shoichi Hirose
On the Simple Alteration in AES for Double-Block-Length Hash Function
Kanchan Kumar Purohit
Mohammad Shahidul Islam
Trading Experience of Bangladesh with SAARC Countries: An Analysis of Pre and Post SAPTA Period
M. Zillur Rahaman
NGOs Financing in Micro Enterprises in Bangladesh: Problems and Prospects
M. Abul Hossain Sikder
Family Planning Program in Bangladesh - A Critical Review
Md. Mahmudul Hasan
Md. Enamul Haque
Md. Saiful Islam Afrad
Md. Amir Hosain
Socio-Economic Upliftment of the Farmers Through their Participation in Farm and Community Level Activities
S. M. Mostafa Kamal
Md. Kamal Uddin
Md. Kamruzzaman
Rural-Urban Differentials of Female Age at First Marriage in Bangladesh: Recent Evidence
Tanzid Ahmed Chowdhury
Poverty and Inequality: A Review of Bangladesh Situation
Md. Mostafizur Rahman
Masder Hossain Judgment and the Implementation of Separation of Judiciary in Bangladesh.
Shahinur Sultana Sumi
Media Reflections on Women: A Critical Analysis with Special Reference to Bangladesh Perspective.
Mohammad Arshad Ali
Shakespeare’s Macbeth in Translation into Bengali Dramas till 1900 A.D.
Published and copyright protected by:
Prime University
2A/1 North East of Darussalam Road, Section-1, Mirpur, Dhaka-1216
Prime University Journal
Vol. 1, No. 1
January - June 2007
Business Office:
Centre for Research, HRD and Publication, Prime University
2A/1, North East of Darussalam Road, Section- 1, Mirpur, Dhaka- 1216
Published and copyright protected by:
Prime University
The Journal is published two times a year by the Centre for Research, HRD & Publications, Prime University. The journal contains research based articles on different disciplines of knowledge.
The Editor and the Editorial Board do not bear any responsibilities for the views expressed by the contributors.
Printed by:
Meghamala
84/3, Purana Paltan Lane
Dhaka-1000
Prime University
2A/1 North East of Darussalam Road, Section-I, Mirpur, Dhaka-1216.
Website : http://www.primeuniversitybd.com
Editorial Board
M. A. Jalil, PhD
Professor and Dean
Faculties of Arts, Social Sciences and Business Studies
Prime University
Kh. M. Ashraf Hossain, PhD
Professor
Dept. of English
Dhaka University
Abul Hashem, PhD
Professor
Dept. of Accounting and Information System
Dhaka University
M. Abul Hossain Sikder, PhD
Treasurer
Prime Foundation
M. Zillur Rahaman
Associate Professor
Dept. of Business Administration
Prime University
Abdul Mannan Sardar, PhD
Professor
Dept. of ETE
Prime University
A. B. Siddique, PhD
Professor
Dept. of Law
Prime University
Journal Committee
Prof. Dr. M. Abdus Samad
Vice Chancellor
Mir Shahabuddin
Pro-Vice Chancellor
Prof. Dr. M. A. Jalil
Dean Faculties of Arts & Social Sciences & Business Studies
Prof. Dr. Abdul Mannan Sardar
Dean. Faculties of Engg. & IT
M. Zillur Rahaman
Chairman, Dept. of Business Administration
Chief Patron
Patron
Convenor
Member
Member
Rafiqul Islam
Chairman, Dept. of CSE
Sazzad Hossain Zahid
Chairman, Dept. of English
A.Z.M. Nasimuzzaman
Deputy Registrar
Md. Tanvir Kaisar
Lecturer, Dept. of English
Member
Member
Member
Secretary
Vice Chancellor's Note
To explore the meaning of life, Universities worked a lot. It happened not only by learning and teaching but doing research. This research includes science, arts, human nature, belief, thinking, social norms, human follies everything that represent individual human and social life. The findings did not remain confined into the university archives but spread for the welfare of the civilization through their publication. So publication is the most essential things for the universities. The journal of a university represents it. As a complete University, Prime University also runs research programmes by the Centre for Research, HRD and Publications. Prime University Journal is one of the products of this centre. Research based articles from different fields of knowledge find place in this journal. I like to congratulate journal committee, reviewers, editors and authors for their outstanding contribution to this noble work. Our effort would be successful if it could contribute to the creation and dissemination of knowledge and thus upgrade the moral faculty of human being for the development of civilization.
M. Abdus Samad, PhD
Vice Chancellor
Prime University
Prime University is a newly established Private University of the country. It has covered five years of its journey. By this time, it has made substantial progress in many areas but it is yet to publish its journal.
With an aim to undertake different activities like publication of journal, Human Resource Development and Research, the University authority took a decision to set up an organ titled "Centre for Research, HRD and Publications". Publication of journal will be the first achievement of this organization.
Any journal contains the research output of an individual, group or organization. The Prime University journal will not be a deviation from that. The research Works containing in ten articles will be published in the first issue of the journal. The areas of research are different from each other and interesting in nature. It may be useful to the researchers and readers.
I sincerely pay thanks to the Journal Committee and the Editorial Board who have overcome the hurdle in bringing this outstanding Work into reality. I would like to pay my deep regards and sincere thanks to the researchers for contributing in the first issue. I will feel proud and happy if this initiative can contribute to the development of standard education and prove to be an instrument for the researchers.
Mir Shahabuddin
Director
Centre for Research,
HRD and Publications
After relentless efforts, it is indeed a matter of great pleasure that Prime University has been able to publish the 1st issue of its journal- Prime University Journal - with the cooperation of Prime University authority including the faculty members and the support extended by colleagues of other Universities. We are grateful to the members of both Editorial Board and Journal Committee for materializing our objective.
Ten essays by eighteen of our scholars have been accommodated in the journal. To begin with, we published articles of various disciplines in the same issue; in future, faculty-wise journal is expected to be published. It is heartening to find that most of our young contributors are trying to fulfill their academic promises. They work hard to arrive at valid and reliable findings which again can be used by researchers and we are encouraging such efforts so that they can come out with airing and challenging findings. We had been quite liberal in order to accommodate a place for good number of contributors in the volume 1 and number 1 issue. However, some of the articles, submitted later, will find their place, if selected, in volume 1 and number 2, December 2007. I would like to welcome papers based on quality research for publication in the forth-coming issues of the journal in this connection, our contributors may follow the guidelines for the contributors (shown at the end of the journal).
I sincerely thank the Editorial Board, the University staff and Meghamala Printers who extended their help in bringing out the journal. Thank are also due to the Vice Chancellor Prof. Dr. M. Abdus Samad and Pro-VC. Mr. Mir Shahabuddin, Registrar Mr. Mohammad Arshad Ali for their valuable support in our work.
Finally, I would expect the journal to bring a new era of research in different areas and contribute much to the creation of knowledge that leads to higher standard of education.
M. A. Jalil, PhD
Editor
Prime University Journal
| Author | Page |
|---------------------------------------------|------|
| M. Abdus Samad | 1 |
| Hossain Md. Abu Nyeem | |
| Shoichi Hirose | |
| On the Simple Alternation in AES for Double-Block-Length Hash Function. | |
| Kanchan Kumar Purohit | 11 |
| Mohammad Shahidul Islam | |
| Trading Experience of Bangladesh with SAARC Countries: An Analysis of Pre and Post SAPTA Period. | |
| M. Zillur Rahaman | 29 |
| NGOs Financing in Micro Enterprises in Bangladesh: Problem and Prospects. | |
| M. Abul Hossain Sikder | 58 |
| Family Planning Program in Bangladesh- A Critical Review. | |
| Md. Mahmudul Hasan | 107 |
| Md. Enamul Haque | |
| Md. Saiful Islam Afrad | |
| Md. Amir Hosain | |
| Socio-Economic Upliftment of the Farmers Through their Participation in Farm and Community Level Activities. | |
| SM. Mostofa Kamal | 119 |
| Md. Kamal Uddin | |
| Md. Kamruzzaman | |
| Rural-Urban Differential of Female Age at First Marriage in Bangladesh: Recent Evidence. | |
| Tamzid Ahmed Chowdhury | 136 |
| Poverty and Inequality: A Review of Bangladesh Situation. | |
| Md. Mostatizur Rahman | 167 |
| Mascler Hossain Judgment and the Implementation of Separation of Judiciary in Bangladesh. | |
| Shahinur Sultana Sumi | 181 |
| Media Reflections on Women: A Critical Analysis with Special Reference to Bangladesh Perspective. | |
| Mohammad Arshad Ali | 191 |
| Shakespeare’s Macbeth in Translation into Bengali Dramas till 1900 A.D. | |
On The Simple Alteration in AES for Double-Block-Length Hash Function
M. Abdus Samad\textsuperscript{1}
Hussain Md. Abu Nyeem\textsuperscript{2}
Shoichi Hirose\textsuperscript{3}
Abstract
The Advanced Encryption Algorithm (AES) is a 128-bit block cipher based on an elegant algebraic structure over $\mathbb{F}_2^8$. This cipher takes up a simple approach to its substitution and permutation operations. Here, with the overview of internal structure of the AES and double block length hash function, we just tried to remodel the AES by adopting simple modification in SHIFT_ROWS and MIX_COLUMN operations as SHIFT_COLUMN and MIX_ROWS respectively. This is almost the same operation applied to the $N_r$ rounds of the original AES encryption, which takes the same initial input but produces different final output than the original AES algorithm. This approach is applicable to double-block-length hash functions. Our intention is to modify the AES for using the original AES and the modified AES as two compression functions to produce different $n$-bit outputs from the same $n$-bit input. And from those compression function’s outputs, the double block length hash function produces $2n$-bit block chip, which is much effective against any collision finding attack and birthday attack, because hence double block length hash function deals with the ideal block cipher AES as the compression function.
Key words: AES, double block length hash function
\textsuperscript{1} Vice Chancellor, Prime University, Bangladesh.
\textsuperscript{2} Lecturer, Department of Electronics and Telecommunication Engineering, Prime University, Bangladesh
\textsuperscript{3} Associate Professor, Department of Electrical and Electronics Engineering, University of Fukui, Japan.
1. Introduction
The Advanced Encryption Standard (AES), also known as Rijndael, is a block cipher adopted as an encryption standard by the AES committee. The AES committee was formulated by the US government under National Institute of Standard and Technology (NIST) to find another cryptographic algorithm in order to replace the existing 64-bit block chip. The Data Encryption Standard (DES), to protect the sensitive digital information over the next few decades. It is expected to be used worldwide and analyzed extensively, as was the case with its predecessor the DES.
A cryptographic hash function is a function which maps an input of arbitrary length to an output of fixed length. It is one of the most important primitives in cryptography and should satisfy the preimage resistance, second preimage resistance and collision resistance. Informally, preimage resistance means that, for a given output, it is infeasible to obtain an input, which produces the output. Second-preimage resistance means that for a given input, it is infeasible to obtain another input, which produces the same output as the given input. Collision resistance means that it is impossible to obtain two different inputs, which produce the same output. A cryptographic hash function can provide data integrity. In this paper, we will focus only on the compression function of the double-block-length hash functions. For simplicity a cryptographic hash function is called a hash function in this article.
A hash function usually consists of iteration of a compression function with fixed output/input length and is called iterated hash function. Compression functions constructions are classified into two types: based on block ciphers and from scratch. Block-cipher-based hash functions are classified into two categories: single-bloc-length (SBL) and double-block-length (DBL). A SBL hash function is a hash function whose output length is equal to the block length. The output length is twice larger than the block length.
It is well-known that the birthday attack can find a collision of a hash function with time complexity $O(2^{l/2})$, where $l$ is the output length of the hash function. The block length of widely used block ciphers is 64 or 128.
Thus, SBL hash function is no longer secure in terms of collision resistance.
In the article [3], the construction of DBL hash functions have been presented which are more efficient and optimally collision resistant in the black box model than the other constructions [1, 2, 4, 5, 8, 9, 10]. The DBL hash functions proposed in the article [3] consist of two different block ciphers to be provably secure. In this article, we just tried to adopt the slight modification in AES, to use it as compression function besides the original AES for DBL hash functions.
1. Preliminaries
2.1. AES
The AES was developed by two Belgian cryptographers Daemen and Rijmen and submitted to the AES selection process under the name “Rijndael” a portmanteau word comprising the names of the inventors. Rijndael is a refinement of an earlier design by Daemen and Rijmen. Unlike its predecessor DES, Rijndael has a substitution-permutation-network structure not a Feistel structure. Strictly speaking, AES is not precisely Rijndael (although in practice they are used interchangeably) as Rijndael supports a larger range of block and key sizes; AES has a fixed block size of 128 bits and a key size of 128, 192 or 256 bits whereas Rijndael can be specified with key and block sizes in any multiple of 32 bits with a minimum of 128 bits and maximum of 256 bits.
Most of AES calculations are done in a special finite field. AES operates on a 4x4 array of bytes, termed as state. For encryption, each round of AES (except the last round) consists of four stages: Sub Bytes, Shift Rows, Mix columns and Add Round Key. The final round omits the Mix Columns step. The overall dataflow for AES encryption is shown in figure 1.
Sub Bytes is a non-linear substitution step where each byte is replaced with another according to a lookup table called $S$-box. In this step, each
byte in the array is updated using an 8-bit S-box. This operation provides the non-linearity in the cipher. The S-box used is derived from the inverse function over GF(2^8), known to have good non-linearity properties. To avoid attacks based on simple algebraic properties, the S-box is constructed by combining the inverse function with an invertible affine transformation.
*Figure 1: AES dataflow for encryption*
*Shift Rows* is a transposition step where each row of the state is shifted cyclically a certain number of steps. The first row is left unchanged. Each byte of the second row is shifted one to the left. Similarly, the third and fourth rows are shifted by offsets of two and three respectively. In this way, each column of the output state of the *Shift Rows* step is composed of bytes from each column of the input state.
Mix Columns is a mixing operation, which operates in the column of the state, combining the four bytes in each column using a linear transformation. In the Mix Columns step, the four bytes of each column of the state are combined using an invertible linear transformation. The Mix Columns function takes four bytes as input and outputs four bytes, where each input byte affects all four output bytes. Together with Shift-Rows, Mix-Columns provide diffusion in the cipher. Each column is treated as a polynomial over GF(2\(^8\)) and is then multiplied modulo \(x^4+1\) with a fixed polynomial \((x) = 3x^3 + x^2 + x + 2\). The Mix-Columns step can also be viewed as a matrix multiplication in Rijndael’s finite field.
In the Sub Bytes step, each byte in the state is replaced with its entry in a fixed 8-bit lookup table, S; bu-S(au).
| No change | a_{2,0} | a_{0,0} | a_{0,3} | a_{0,3} |
|-----------|---------|---------|---------|---------|
| Shift 1 | a_{1,0} | a_{1,0} | a_{1,2} | a_{1,3} |
| Shift 2 | a_{2,0} | a_{2,1} | a_{2,2} | a_{2,3} |
| Shift 3 | a_{3,0} | a_{3,1} | a_{3,2} | a_{3,3} |
In the Shift Rows step, bytes, bytes in each row of the state are shifted cyclically to the left. The number of places each byte is shifted differs for each row.
| a_{0,0} | a_{0,1} | a_{0,2} | a_{0,3} |
|---------|---------|---------|---------|
| a_{1,0} | a_{1,1} | a_{1,2} | a_{1,3} |
| a_{2,0} | a_{2,1} | a_{2,2} | a_{2,3} |
| a_{3,0} | a_{3,1} | a_{3,2} | a_{3,3} |
In the Mix Columns step, each column of the state is multiplied with a fixed polynomial c(x).
| a_{0,0} | a_{0,0} | a_{0,2} | a_{0,3} |
|---------|---------|---------|---------|
| a_{1,0} | a_{1,1} | a_{1,2} | a_{1,3} |
| a_{2,0} | a_{2,2} | a_{2,2} | a_{2,3} |
| a_{3,0} | a_{3,1} | a_{3,2} | a_{3,3} |
In the Add Round Key step, each byte of the state is combined with a byte of the round subkey using the XOR operation.
Figure 2: Illustration for several operations in AES encryption algorithm
Add Round Key is an addition module 2 of the state and the round key. Each round key is derived from the cipher key using a key schedule.
2.2. Cryptographic Hash Functions
A cryptographic hash function $H$ is a function which maps an input of arbitrary length to an output of fixed length. $H$ should satisfy the following properties.
Preimage resistance: For a given input $x$, it is intractable to find an input $x$ such that $y = H(x)$.
Second Preimage resistance: For a given input $x$, it is intractable to find an input $x'$ such that $H(x) = H(x')$ and $x \neq x'$.
Collision resistance: It is intractable to find a pair of inputs $x$ and $x'$ such that $H(x) = H(x')$.
A hash function $H : \{0, 1\}^* \rightarrow \{0, 1\}^\ell$ usually consists of a compression function $f : \{0, 1\}^\ell \times \{0, 1\}^\ell \rightarrow \{0, 1\}^\ell$ and an initial value $h_0 \in \{0, 1\}^\ell$. An input $m$ is divided into the $\ell$-bit blocks $m^1, m^2, \ldots, m^l$. Then, $h_i = f(h_{i-1}, m_i)$ is computed successively for $1 \leq i \leq l$ and $h_l = H(m)$. $H$ is called an iterated hash function. Unambiguous padding is applied to $m$ if its length is not a multiple of $\ell$.
2.3. Double-block-length Hash Function
To construct a $2n$-bit output using a component function with $n$-bit output, the component function is either a block cipher or a smaller compression function. If it is a block cipher, then the hash function is called a double block length hash function. We also call the hash function by the same name if the component function is a smaller compression function.
There is an approach to construct a compression function from component functions with smaller output length. It is typical for constructions using block ciphers i.e., AES.
3. Our proposition
In this article, to construct a hash function with 2n-bit output, we want to use two almost same block cipher with n-bit output as the component function. For that purpose, we focused on simple alteration in AES, which can be used besides original AES as two component functions, each with same length (n-bit) but different output.
The altered version of AES is almost the same as the original one, but the *Shift Rows* and *Mix Columns* are replaced by *Shift Columns* and *Mix Rows* operation.
*Shift Columns*: This operation is replaced in *Shift Rows* operation of the original AES. Similar to the *Shift Rows* operation, *Shift Columns* operation is also a byte transition that cyclically shifts the column state over the different offsets. The offsets of each column is i for $0 \leq i \leq 3$ as shown in Figure-4.
Mix Rows: Like the Mix Columns operation in the original AES. Mix Rows operation is a bricklayer permutation operating on the state row by row instead of column by column. It is shown in Figure 5.
The polynomial $C(x)$ is given by
$$C(x) = 03x^3 + 01x^2 + 01x + 02$$
This polynomial is co-prime to $x^4+1$, and therefore, invertible. The modular multiplication with a fixed polynomial can be written as a matrix multiplication. Let $b(x) = a(x)c(x) \mod (x^4+1)$. Then
$$\begin{bmatrix} b_0 & b_1 & b_2 & b_3 \end{bmatrix} = \begin{bmatrix} 02 & 03 & 01 & 01 \\ 01 & 02 & 03 & 01 \\ 01 & 01 & 02 & 03 \\ 03 & 01 & 01 & 02 \end{bmatrix} \times \begin{bmatrix} a_0 & a_1 & a_2 & a_3 \end{bmatrix}$$
The block length of AES is 128 and a hash function with 128 bit output is no longer secure against the birthday attack. As for a hash function, composed of compression functions, any collision finding attack is at most as effective, as birthday attack, if e is an ideal cipher. Here, to construct a collision resistant hash function we want to use two distinct block cipher. For this purpose we take into account AES as a block cipher. The original AES and our simply altered version of AES are two
distinct block cipher, which take the same input but produce same length different output. So for the input of 128 bits to that two distinct block cipher with unaltered key bit, will produce two 128-bits ciphers. Hence the hash function will produce 256 bit output from 128 bit input. Thus by using the AES and modified AES in a hash function, will result more resistive against any collision finding attack, where to implement the modification in original AES chip is not so complex and expensive.
4. Conclusion
In this article, the modification of AES to construct a secure DBL hash functions of 256-bit output, has been presented. This will produce two completely different 128-bit ciphers for the same text. As It is already mentioned that the birthday attack can find a collision of a hash function with time complexity $O(2^{l/2})$, where $l$ is the output length of the hash function. The block length of widely used block ciphers is 64 or 128. Thus, SBL hash function is no longer secure in terms of collision resistance and we need to develop a secure DBL. Hence the proposed modification in AES would be more effective to construct a DBL. For the consideration of validity verification of this context can be obtained by statistical analysis or cryptographic analysis technique.
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2. W. Hohl, X. Lai, T. Meier, and C. Waldvogel. Security of the iterated hash functions based on block ciphers. In *CRYPTO’98 Proceedings*, pages 379-390. 1994. Lecture Notes in Computer Science 773.
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Trading Experience of Bangladesh with SAARC Countries: An Analysis of Pre and Post SAPTA Period
Kanchan Kumar Purohit\textsuperscript{1}
Mohammad Shahidui Islam\textsuperscript{2}
Abstract
The South Asian countries are going to establish a free trade area through establishing SAFTA. SAFTA will cause positive or negative impact on Bangladesh. To assess this, the performance of trade of Bangladesh with SAARC countries before and after functioning of SAPTA is studied in this research. The performance is measured in terms of some variables related to external sectors of economy like export, import, and balance of trade with SAARC countries. Main objective is to identify that whether the performance of trade of Bangladesh has increased or not after the SAPTA functioning with SAARC countries. If the balance of trade is improved, the SAFTA will cause positive impact on the trade of Bangladesh with SAARC countries. The percentage of balance of trade deficit before SAPTA and after SAPTA is analyzed with hypothesis test. The IMPEX ratio is shown graphically and is proved by hypothesis test. The analysis of trade with member countries is shown by growth rate of export, import, and trade deficit/surplus of before SAPTA and after SAPTA. It is also shown by graphical representation. Finally, it is identified that how Bangladesh will be benefited from this regional economic integration. It is established from the analysis that trade deficit of Bangladesh with SAARC countries has increased after the implementation of SAPTA. There is no significant change in IMPEX ratio between these two periods. SAPTA did not bring positive effect of trade for Bangladesh. The trade deficit with India is steady and slightly increasing and with Pakistan does not show the stable trend. The trade deficit with Bhutan shows the decline manner, which is positive sign for Bangladesh. Before commencement of SAPTA, Bangladesh has trade surplus with Sri Lanka and Nepal, but after implementation of SAPTA, Bangladesh has trade deficits with Sri Lanka and Nepal. Some guidelines are identified in various areas such as relationship with India, smuggling, tariff and non tariff, seven sister, payment system, communication system, qualitative products, export to Nepal and Bhutan to get the benefit from SAFTA.
\textsuperscript{1} PhD. Professor, Dept. of Accounting & information Systems, University of Chittagong
\textsuperscript{2} Lecturer, BGC Trust University Bangladesh, Chandanaish, Chittagong
Background:
In this modern globalization age, every country integrates with other for survival. After Second World War, the regional economic integration is being formed. For implementing free market economy, every country is reducing trade barriers by forming regional and bilateral relationship. The neighboring and similar countries form economic integration considering geographic location, and economic condition. They are reducing tariff and non-tariff barriers among the member countries. The trend of economic development through regional cooperation has its root in the forming of various economic blocks like ASEAN, EU, NAFTA, CARICOM, APEC, GCC, MERCOSUR, CACM etc. Regional trading blocks differ significantly in form and function. It varies for level of integration. There are five different forms of regional economic integration: Preferential trading club (SAPTA), Free trade area (NAFTA), Custom Union (MERCOSUR), Common Market (EC), Economic Union (EU).
For regional socio-economic integration SAARC is established as a regional cooperation. SAARC is a platform in the South Asian region to work together for economic development on the basis of mutual trust, friendship and cooperation. After a long discussion, SAARC finally came into being on December 8, 1985 through its first summit in Dhaka by the heads of states of government of Bangladesh, Bhutan, India, Nepal, Pakistan, Sri Lanka. SAARC aims to promote the welfare of people of South Asia and to improve their quality of life through accelerating economic growth, social progress and cultural development in the region. To attain the socio-economic development goal of SAARC, the chief of the government of SAARC countries took decision to establish SAPTA for enlarging the trade among the SAARC countries in 6th SAARC summit. 1991. In the 7th SAARC summit, in Dhaka, 1993, the foreign ministers of the countries signed the SAPTA agreed formally. SAPTA came into action from December 08, 1995. In SAPTA, the member countries enjoyed - tariffs, Para tariffs, non-tariff and direct trade measures. The member countries conducted their negotiations for trade liberalization in accordance with any or a combination of the following approaches and procedures: a. Product by product basis b. across the tariff
reduction c. sectoral basis d. direct trade measures. In the schedule of tariff concession, no uniform approach is followed with respect to the level of product aggregation for tariff concessions. In different rounds of SAPTA, concessions are granted to commodities. Out of seven countries in the region, four of them viz., Bangladesh, Bhutan, Maldives and Nepal, belong to LDC. In the SAPTA process, there is special preference for these countries.
In SAPTA-I, 226 products were chosen for tariff concessions and 100 products were earmarked for LDCS. In the three rounds of negotiations under SAPTA, 5550 items are subject to tariff reduction, and 3439 items are exclusively meant for LDCS in the region.
Among the South Asian countries, India made sizeable amount of trade liberalization under SAPTA. Out of 5550 products liberalised in the first three rounds, India alone liberalised 2927 products, which is constituting about 52.7 per cent of the total commodities liberalised at the regional level. In terms of coverage of liberalisation the order is as follows: India, Bangladesh, Pakistan, Nepal, Sri Lanka, Bhutan, Maldives. The depth of tariff cut under SAPTA varies across countries. Between LDCs and non-LDCs, the level of tariff concession is relatively more in case of LDCs. The level of tariff cuts is the deepest in case of India than other regional partners. In case of India, the tariff cut ranges between 25 to 100 per cent for LDCS and 10 to 90 per cent for non-LDCS in the region. Sri Lanka’s tariff reduction is also very sharp, ranging between 10 to 75 per cent for the LDCS. Other countries in the region provide very nominal level of concessions to other regional partners. It ranges between 7.5 to 30 per cent for LDCS and 7.5 to 20 per cent for non-LDCS.
Due to limitation of SAPTA and forming advance level of economic integration of SAPTA, member countries of SAARC signed SAFT A (South Asian Free Trade Area) during the 12th summit in Islamabad on 6th January 2004. It came into force on January 1, 2006. It will be fully operational by 2016. SAPTA is the one step forward economic integration. SAPTA replaces the earlier SAPTA and may eventually lead to a full-fledged South Asian Economic Union.
The population of SAARC countries is about 145 crore which is one of the largest market of the world. For economic development of this region,
SAPTA and SAPTA play a role like EU, NAFTA, and AFTA. Intra-regional trade in South Asia has shown weak performance at 5% compared to 35% in ASEAN, 55% in NAFTA, and 62% in EU. So, the development of this region depends on the improvement of trade among the member countries. The SAPTA is the advanced level of integration of SAPTA. The establishment of SAPTA is a right step for the SAARC countries to face the globalization movement. India is a dominant trading partner of Bangladesh. So, we should have an idea about the impact of SAPTA on our balance of trade with SAARC countries especially with India. Our experience about trade situation with India during SAPTA will be very much helpful to devise appropriate trading policy with India. So, an analysis is made in this article to highlight the different aspects of trading with SAARC countries.
We can find out this by assessing the performance of trade of Bangladesh with SAARC countries before and after the functioning of the SAPTA. The performance can be measured in terms of some variables related to external sectors of the economy like export, import, and balance of trade with SAARC countries.
**Objectives**
1. Our objective is to assess the impact of SAPTA on our economy. This can be known by ascertaining whether the performance of trade of Bangladesh has increased or not after the SAPTA functioning with SAARC countries in terms of:
i. Percentage of balance of trade;
ii. Export-import ratio;
iii. Growth rate of exports; and
iv. Growth rate of imports.
2. Finally, on the basis of above measurements, our objective is to identify the ways that will help Bangladesh to get the maximum benefit from SAFTA.
Methodology
Types of Research:
This article is an analytical one. We have facts or information already available and analyzed these to make a critical evaluation of the facts to achieve the objectives.
Sources of Data: In preparing the report mainly secondary data have been used. These data have been collected from:
- Bangladesh Export Promotion Bureau
- Bangladesh Bureau of Statistics
- Bangladesh Bank
- Center for Policy Dialogue
- Web site
- Books, Newspaper, and magazine
Sample Design:
Our Population is yearly data of a variable from 1971 to 2005. Here, “before SAPTA” period is 1971-95 and “after SAPTA” period is 1996-05. We have taken sample sizes of 6 years and 8 years for “before SAPTA” and “after SAPTA” respectively.
Analysis of Data:
i. Hypothesis test:
$H_0$: $\mu_1 = \mu_2$ (There is no significant change between percentage of trade deficits before and after SAPTA functioning)
$H_a$: $\mu_1 < \mu_2$ SAPTA has increased the percentage of trade deficit)
Since the given data variances of population are unknown and the sample size is small, we shall use t-test for difference in means.
ii. ANOVA test:
The ANOVA test is conducted for testing that there is significant difference or not between the average IMPEX ratio of “before SAPTA” and “after SAPTA”.
\[ H_0: \mu_1 = \mu_2 = \mu_3 = \mu_4 = \mu_5 \] (There is no significant difference among the IMPEX ratio)
\[ H_a: \mu_1 \neq \mu_2 \neq \mu_3 \neq \mu_4 \neq \mu_5 \] (There is significant difference among the IMPEX ratio)
Level of significance is 5%. It is calculated by computer program.
iii. The growth rate of variable has been calculated as:
Growth rate of year \( Y_1 = \frac{(Y_1 - Y_0)}{Y_0} * 100 \)
iv. Trade balance = Export - Import
iv. IMPEX = Import/Export
1.0) Analysis and Result:
1.1.1 Analysis of Total Balance of Trade of Bangladesh with SAARC countries
The balance of trade is the value of a country’s exports less the value of its imports. A favorable balance of trade indicates that a country is exporting more than it is importing. An unfavorable balance of trade indicates the opposite, which is known as a deficit. The favorable position of Bangladesh will be the declining condition of trade deficit for functioning the SAPTA. Now, the pattern of balance of trade of Bangladesh with SAARC countries after the functioning of SAPTA is shown.
From the Appendix-1, it is seen that the trade deficit of Bangladesh with the SAARC countries was increased. Before commencement of SAPTA the average trade deficit is 84.38 per cent and after commencement of SAPTA it reached up to 92.44 per cent. The import is increasing over export. This is negative syndrome. Because, it was expected that by the implementation of SAPTA, the trade balance of Bangladesh would improve but unfortunately it has reduced.
Now, we should see whether this change in average trade deficit is statistically significant or not. For this purpose we need to perform a hypothesis test (t-test).
Hypothesis test -1:
\[ H_0: \mu_1 = \mu_2 \] (There is no significant change between percentage of trade deficits before and after SAPTA functioning)
\[ H_a: \mu_1 < \mu_2 \] (SAPTA has increased the percentage of trade deficit)
Since the given data variances of population are unknown and the sample size is small, we shall use t-test for difference in means.
\[
t^* = \frac{(x_1 - x_2)}{\sqrt{\left[ \frac{(n_1-1) \sigma_1^2 + (n_2+1) \sigma_1^2}{(n_1+n_2+2)} \right] \times \sqrt{\left( \frac{1}{n_1} + \frac{1}{n_2} \right)}}}
\]
\[
= \frac{(84.38 - 92.44)}{\sqrt{\left[ \frac{(6-1)(11.3)^2 + (8-1)(1.42)^2}{(6+8-2)} \right] \times \sqrt{\left( \frac{1}{6} + \frac{1}{8} \right)}}}
\]
\[
= -2.02
\]
Here, d.f = \( n_1 + n_2 - 2 = 6 + 8 - 2 = 12 \)
Level of significance = 5%
So, the table value \( t = -1.782 \)
The calculated value of \( t^* \) falls outside the critical region. So, we reject the null hypothesis and accept the alternative hypothesis.
**Decision:**
The SAPTA has increased the percentage of trade deficit. The average trade deficit of Bangladesh with SAARC countries, after the implementation of SAPTA is higher than before the implementation of SAPTA. SAPTA did not bring positive effect on balance of trade for Bangladesh.
1.1.2 Analysis of IMPEX Ratio of Bangladesh with SAPTA Member Countries
IMPEX ratio is the ratio of Import and Export. Higher IMPEX ratio shows the negative scenario of trade of Bangladesh. From the data of appendix-2, we have shown the graphical representation of IMPEX ratio so that we can easily identify the scenario of trade with SAARC countries.
**Figure-1: IMPEX ratio with SAARC countries**
We have seen from the graph, that the IMPEX ratio with India is highest. It has reached to 30% in 2003-04 from 7.3% in 1990-91. However, this ratio was above 30% in 1992-93 and 1995-96. Here, import is higher than the export. The IMPEX ratio with Bhutan is the second highest.
IMPEX ratio with Pakistan and Nepal is steady. So, the IMPEX ratio of all SAARC countries except with India is within tolerable limit.
Now, we are conducting the ANNOVA test with the same data to see whether there is significant difference between the average IMPEX ratio of “before SAPTA” and “after SAPTA” or not. For better analysis we have excluded data of Maldives.
\[ H_0: \mu_1 = \mu_2 = \mu_3 = \mu_4 = \mu_5 \] (There is no significant difference among the IMPEX ratio)
\[ H_a: \mu_1 \neq \mu_2 \neq \mu_3 \neq \mu_4 \neq \mu_5 \] (There is significant difference among the IMPEX ratio)
| | India | Pakistan | Srilanka | Nepal | Bhutan |
|----------------|-----------|-----------|----------|----------|----------|
| Before SAPTA(Average) | 28.5 | 3.361666667 | 1.03 | 0.348333333 | 28.405 |
| After SAPTA(Average) | 23.38 | 2.52125 | 4.16475 | 2.67875 | 7.15 |
| Source of variation | SS | d.f. | MS | F |
|---------------------|----------|----------|----------|----------|
| Between Sample | 982.44 | 5-I=4 | 245.6 | 4.97 |
| Within sample | 247.05 | 10-5=5 | 49.41 | |
Level of significance is 5%. It is calculated by computer program.
Here, the table value of Flis 5.19 and the calculated value of F is 4.97. Since the calculated value of F is lower than the table value (critical value), we fail to reject the null hypothesis.
**Decision:**
There is no significant difference between the Impex ratio of SAARC countries before SAPTA and after SAPTA. We expected that the Impex ratio would reduce after the implementation of SAPTA. So, we can say that SAPTA did not improve our trade with SAARC countries.
1.1.3 Analysis of Trade with India
In appendix-3, the trade with India shows that Bangladesh has 46.45% of export and 89.9% of import with India among the SAPTA member countries. After implementing SAPTA, average growth of exports and import has reduced. The average growth rates of export, before SAPTA and after SAPTA are 28.986% and 18.92% respectively. The average growth rates of import, before SAPTA and after SAPTA are 48.92% and 18.92%. So, the trade deficit with India is the highest and it has remained unchanged. The percentage of trade deficit, before SAPTA and after SAPTA is 94.87% and 95.56% respectively. So, after the functioning SAPTA, the trade deficit has increased slightly. Since, major portion of the trade of Bangladesh among member countries takes place with India.
So, this result influences the total trade balance.
Now, an analysis of trade situation with other SAARC countries is made separately.
1.1.4 Analysis of Trade with Pakistan
In appendix-4, the trade with Pakistan shows that Bangladesh has 39.11% of export and 8.40 of import with Pakistan among the SAPTA member countries, which is second position of trade. Average growth of export, after implementing SAPTA, has increased and average growth rate of import has decreased. The average growth rates of export, before SAPTA and after SAPTA are 9.048% and 13.23% respectively. The average growth rates of import, before SAPTA and after SAPTA are 29.17% and 8.63%. But the percentage of trade deficit has remained unchanged. The percentage of trade deficit, before SAPTA and after SAPTA is 59.82% and 58.77% respectively. So, after the functioning of SAPTA the trade deficit with Bangladesh has decreased slightly.
1.1.5 Analysis of Trade with Bhutan
From the appendix -5, it is observed that Bangladesh has 1.04% export and 0.44% import with Bhutan among the SAPTA member countries. The average growth rates of export, before SAPTA and after SAPTA are 8.23% and 53.65% respectively. The average growth rates of import, before SAPTA and after SAPTA are 57.68% and 11.39% respectively. Before SAPTA, the trade deficit is 94.5% but after implementing SAPTA, trade deficit is 53.22%, which shows the positive impact of SAPTA.
Now, a comparative picture of trade deficit with three major trading partners of SAARC is shown below.
Figure-2: Trade deficit with India, Pakistan, Bhutan
From the figure-2, we have seen that the trade deficit with India is steady and slightly increasing. In 1991-92, 1995-96, 1999-00, 2003-04, the trade deficits are 96.69%, 97.78%, 92.92%, and 96.59%. The trade deficit with Pakistan does not show any stable trend. In 1991-02, it is 26.15 then it
increases to 84.01% in 1994-05. Again, it has declined to 38.05% in 1996-97, and further increased to 61.19% in 2003-04. The trade deficit with Bhutan shows the declining trend, which is positive sign for Bangladesh. In 1990-91, the trade deficit with Bhutan is 96.71% and in 2003-04, it is 46.12%.
1.1.6 Analysis of Trade with Sri Lanka
From the appendix -6, It is observed that Bangladesh has 6.5% export and 1.75% import with Srilanka among the SAPTA member countries. Though average growth rate of export has increased and average growth rate of import has decreased, the average trade deficit is increased due to abruptly increment and declined of export and import. It did not follow the normal order. The average growth rates of export, before SAPTA and after SAPTA are 22.64% and 86.61% respectively. The average growth rates of import, before SAPTA and after SAPTA are 19.42% and 7.59% respectively. Before SAPTA, the trade balance is surplus (7.93%) but after implementing SAPTA, trade balance is deficit (53.22%), which shows the negative impact of SAPTA.
1.1.7 Analysis of Trade with Nepal
From the appendix -7, It is observed that Bangladesh has 6.84% export and 0.47% import with Nepal among the SAPTA member countries. Though average growth rate of export is increased and average growth rate of import is decreased, the average trade deficit is increased due to abruptly increment and declined of export and import. It did not follow the normal order. The average growth rates of export, before SAPTA and after SAPTA are 149.39% and 197.28% respectively. The average growth rates of import, before SAPTA and after SAPTA are 393.02% and 31.4% respectively. Before SAPTA the trade balance is surplus (64.903%) but after implementing SAPTA, trade balance is deficit (39.55%), which shows the negative impact of SAPTA.
From the figure-3, we have seen that before commencement of SAPTA, Bangladesh has trade surplus with Sri Lanka and Nepal, which are average 7.93% and 64.90% respectively. But after implementing SAPTA, Bangladesh has trade deficits with Sri Lanka and Nepal, which are average 53.22% and 39.55% respectively. In 1990-91, the trade surpluses are 54.93% and 99% of Sri Lanka and Nepal respectively.
**Figure-3: Trade surplus/deficit with Sri Lanka, Nepal**
But, in 1996-97, 2003-04, the trade deficits of Sri Lanka are 94.51% and 8.94% respectively. In 1996-97, 2003-04, the trade deficits of Nepal are 89.76% and 38.05% respectively.
### 1.1.8 Analysis of Trades with Maldives
From the Appendix-8, it is observed that the trade with Maldives is very low and irregular in nature.
Now a chart showing Balance of Trade with SAARC countries before and after SAPTA is given here to under the situation at glance:
### 1.2 Strategies of Bangladesh
#### 1.2.1 Export and Import Products
**Export products**
From the Appendix-9, we have seen that the major export products from Bangladesh are fish & crustaceans, fruits & nuts, mineral fuel & oil, soap, plastics, cotton, raw hide & skins, textile fibber & paper yarn & woven fabrics, carpet, iron & steel, copper, oil seed, pharmaceutical products, tobacco, clothing accessories, preparation of cereals, flours, & milk, animal & vegetable fats, tea. Among them, mineral fuel & oil, iron & steel, copper, clothing accessories, textile fiber & fabrics are exported which are imported products of Bangladesh. Bangladesh should emphasize on the following products for exporting to SAARC countries, which will increase the export.
**Fish:**
Fish are mainly exported to India and Pakistan. Bangladesh has large areas of river, bill, haowar, ponds, coastal area, sea. We can set up more fisheries projects that will increase the export of fish. There is high demand of hilsha & fish, dry fish in India.
**Fruits & nuts, oil seed:** These are exported to India and Pakistan. There is bright prospect of these products in this agri-based country.
**Soap:** Soap is exported to India. Various types of washing soap and body soap are produced in Bangladesh.
**Plastics Products:** Plastic products are exported to India, Pakistan, Sri Lanka, Nepal, and Bhutan. Household Plastic products are nice and cheap.
**Raw hide & skin:** Rawhide and skin are exported to India, Pakistan, Sri Lanka, Nepal.
**Carpet:** Bangladesh carpet has the demand in all over the world. It is exported to India among the SAARC countries.
**Pharmaceutical Products:** Pharmaceutical products are exported to Pakistan, Sri Lanka, Nepal.
**Tobacco:** In Bangladesh, a lot of agri-based tobacco leaf is produced. It is exported to Pakistan.
Flour & milk, Animal & vegetable fats: These products are exported to Bhutan.
**Tea:** Tea is exported to Pakistan, Sri Lanka.
**Import Products**
From the Appendix-10, we have seen that the major imported products are vegetable products, salt, sulphur, stone, ores, mineral fuels, inorganic chemical, live animal, fish, eggs, honey, oil seed, fats and oil, sugar, cocoa, fruit, nut, animal fodder, tobacco, organic chemicals, pharmaceuticals products, fertilizers, dyeing extracts, cosmetic, soap, glue, enzyme, photographic goods, plastics, rubber, wood, paper, paper board, books, newspaper, textile & textile article, base metal & articles, machinery & electrical, vehicles, coffee, tea, cotton, woven fabrics, article of apparels, ceramics products. Among the imported products, Bangladesh can produce instead of import. This will reduce the import. Moreover, Bangladesh can export these products to the SAARC countries.
1.2.2 Improvement of balance of Trade with India
Among the SAARC countries, Bangladesh has average export of 46.45% and average import of 89.9% with India. So, Bangladesh has to place special emphasis to improve the trade with India. Bangladesh has bilateral disputes such as Water allocation problem, Gas export issue, transshipment, Boarder crisis, Push in with India. These problems create barriers to the trade between Bangladesh and India. She should solve these disputes to improve the trade gap between Bangladesh and India.
Recommendations
- **Stop Smuggling**: The illegal movement of products takes place between India and Bangladesh. Specially, products are entering into Bangladesh. Bangladesh is losing the tariff and becomes the market of Indian products, which destroy the domestic industries. So, we have to stop the smuggling.
- **Removing Tariff and non-tariff barriers**: Since Bangladesh is a least developed country. So, Bangladesh can get more tariff facility from non LDCS. So that Bangladeshi Products can easily enter the market.
- **Non-tariff barriers are the important issue**: These are administrative formalities, custom formality, and harassment in boarder. It creates obstacle to export. India creates this problem very often. So, the non-tariff barriers should be stopped to smooth the transaction.
- **Payment system**: Payment system should be easy through a central clearing house. The transaction through ‘Hund’ should be stopped. Bangladesh is losing the remittance and tariff for ‘Hundi’.
- **Non-traditional products**: Non-traditional products such as Pan, nut, handicrafts, etc. The exporters of Bangladesh have to seek the market of these non-traditional items.
• **Seven sister:** Bangladesh can concentrate on the northeastern India (Assam, Tripura, Mizoram, Nagaland ...) which are called seven sister. These are remote from main India and near from Bangladesh. The movement of goods between the main land and seven sisters causes high transportation cost. Bangladesh can take this advantage to export the under developed states of India.
• **Improvement of communication and transportation system:** Better communication system is essential for trade. The linkage of Asian high way and Sub Marine cable will increase the trade with member countries.
• **Cooperative mentality:** The mentality of the member countries should be cooperative rather than competitive. Cooperation is required for improvement of trade with other countries.
• **Qualitative and cost effective product:** Products have to be qualitative and cost effective for competing with others countries. We have to emphasis on production rather than doing speculative trade.
• **Export with Nepal and Bhutan:** The distance from Bangladesh to Nepal is only eight miles. If we communicate directly with Nepal by taking transit facilities through India, it will increase the trade with Nepal. Bhutan and Nepal import from India. So, we can export to these countries.
**Conclusion**
It is established from the analysis that trade deficit of Bangladesh with SAARC countries has increased after the implementation of SAPTA. There is no significant change in IMPEX ratio between these two periods. Except the trade balance with Nepal and Bhutan, the same is negative with all other member countries. But it is high with India, which requires immediate remedies. For that not only trade measures but also political measures should be taken bilaterally at state level.
Bibliography
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NGOs Financing in Micro Enterprises in Bangladesh
Problems and Prospects
M. Zillur Rahaman\(^1\)
Abstract
This paper analyses the role of micro enterprises in alleviating poverty and change in household income distribution through micro enterprise loans provided by the NGOs active in Bangladesh. Micro-credit programs and micro enterprises in Bangladesh have emerged as major strategies to deal with the poverty and unemployment that continue to pose a major threat to the economic and social development in the country. Government and non-government organizations (NGOs) have adopted several approaches and strategies to overcome these issues. The positive impact of micro enterprises shows on specific socio-economic variables such as children’s schooling, housing status, improvement of household nutrition, and women’s empowerment. The study aims to analyze the potential contribution of micro enterprises and the role of micro credit more generally, to economic development, poverty alleviation and the constraints inhibiting their future development in the country. The study finds that to promote micro-credit and to lead micro-enterprise are not inclusive but they are some of the chronic micro-enterprise issues to be solved immediately. First, rural infrastructure (road, water, sewerage, power, gas etc.) is an essential requirement for favorable environment of micro-entrepreneurship development. The rural Bangladesh has been suffering from market linkage problems due to underdeveloped transport and communication. Market link-up is an essential factor for production as well as enterprises. The paper concludes that the solution to these problems will bring a tremendous take off toward economic progress and it makes to channel to alleviate poverty in Bangladesh. It also concludes that an educated workforce and an entrepreneur class exist in the country; a change in the attitude of the government’s administrative mechanism, i.e., the bureaucracy and political leadership will spur the speed of modernization and development towards rapid and accelerated industrialization of the country.
\(^1\) Associate Professor, Department of Business Administration, Prime University, Dhaka, Bangladesh
Introduction
Since independence, the Government of Bangladesh has endeavored to improve the quality of the people through development efforts. Micro-credit programs and micro enterprises in Bangladesh have emerged as major strategies to deal with the poverty and unemployment that continue to pose a major threats to the economic and social development in the country. Government and non-government organizations (NGOs) have adopted several approaches and strategies to overcome these issues. Relying on peer pressure from borrower group members rather than on collaterals for repayment, micro-credit operation in Bangladesh have been a sustained success story, efficiently recycling lending resources with increasing disbursements, high recovery and low over dues, making significant contribution to micro-enterprises with income and employment generation, and private sector enterprise development. Up to June 2006 the cumulative disbursement of micro credit by nine (09) NGOs (BRAC, ASHA, Proshika, Swanirvir Bangladesh, TMSS, Caritas, RDRS, BEURO, Shakti Foundation) are the major micro credit providers, stood at Tk. 41,355.38 core.
Grameen Bank is one of the pioneer institution established in 1976 and started its activities by organizing the asset less people and providing them credit support for income generation and capital and asset building. An amount of Tk. 28,095.47 core was disbursed as credit by June 2006 (Bangladesh Economic Review 2006). The bank provides collateral and interest free loan through struggling members program to the poorest segment of the society regarded as beggars. Moreover the bank provides larger loans, called Microenterprise Loans, for many borrowers who are moving ahead in business faster than others for many favorable reasons, such as proximity to the market, presence of experienced male members in the family, etc. The village phone (Palli Phone) program of Grameen Bank has made a remarkable contribution in socio-cultural development of the country. Other Government Organizations (GOs) like BRDB and PKSF have been implementing such type of programs in the field of rural
development, specially, in rural poverty alleviation through forming cooperatives and non formal group network throughout the country with the financial and technical support of the government and development partners.
So the micro-credit programs have been developed with an aim of credit to the poor, development of micro-enterprises through rural women, which is ultimately a goal to alleviate poverty in the country.
The paper proceeds with objective of the study in section II, section III methodology of the study, section IV micro enterprises and NGOs in Bangladesh, section V an approachable analysis of micro credit, section VI constraints of micro enterprises in Bangladesh, section VII contribution of micro enterprises in socio-economic development of Bangladesh and section VIII conclusion and remarks. Since it is not an experimental study survey, the findings have obvious limitations.
II. Objective of the study
The main objectives of the study are
i. to examine the impact of micro enterprise loans in socio-economic development of Bangladesh,
ii. to find out the contribution of such financing in creating productivity of the rural poor through micro enterprises to procreation of self employment and human capital development to alleviate poverty,
iii. to do an approachable analysis overall micro credit program in the country.
III. Methodology of the study
Methods used to collect information were literature survey, examinations of annual reports of local and foreign non-governmental organizations (NGOs), direct interview with rural people and NGOs, and newspapers.
IV. Enterprises and NGOs in Bangladesh
Bangladesh is a predominantly a rural economy. More than 80 per cent of 131.5 million people live in rural areas of 87928 villages\(^1\), whose labor force grows by 2.4 per cent annually. The agriculture, industry, and service sectors can accommodate only 1.7 per cent annual. As a result rural employment become surplus of its capacity and unable to absorb additional labor forces. Under these circumstances micro credit program has been contributed to creating the productivity of the rural poor through micro-enterprises to procreation of self-employment and human-capital development to alleviate poverty\(^2\). These micro credit programs engaged by government organizations like Palli Karma Sahayak Foundation (PKSF), Bangladesh Rural Development Board (BRDB), Grameen Bank, and NGOs like BRAC, *Proshika*, ASA, Swanirvar Bangladesh, *Palli Daridro Bimochon Foundation* (PDBF), Service Civil International. Caritas, Cooperative for American Relief Everywhere International (CARE International), World Vision, the Family Planning Association of Bangladesh, CONCERN, Rangpur Dinajpur Rural Service (RDRS), *Gono Shasthya Kendra*, the Oxford Committee for Famine Relief Bangladesh (Oxfam Relief Bangladesh). However, all of these NGOs have not provided micro credit or micro finance, only micro finance NGOs (MF-NGOs) has provided micro credit to the poor.
a) Experience of NGOs in Bangladesh
The experience of the poverty alleviation projects of the Grameen Bank. BRAC, and several other NGOs, as well as the government organization like PKSF and BRDB, which are the success part for past two decades. The NGOs in Bangladesh have been organized for a long time and the experience gained by them in poverty alleviation efforts has created a unique opportunity to push forward the poverty through micro-credit agenda.
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1. Government of Bangladesh (GOB), 2003. *Bangladesh Bureau of Statistics, Population Census 2001 Preliminary Report*. p. XVII.
2. Khandker Shahidur R. et al. 1996. "Credit Programs for the Poor: Household and Intrahousehold Impacts and Program Sustainability", Vol. 1. p. 27.
These NGOs are mainly divided into two categories: (1) foreign NGOs; and (2) foreign-aided local NGOs those are classified in three different in size or scale, structure, location and orientation. (a) Small scale of NGOs are mainly local groups working in just one cluster of villages with a number of regional offices. (b) Small and medium scale co-operatives, and a host of voluntary activities at the local level, which are registered with a number of ministries. (c) Large Scale has operated with government association in various projects funded by bilateral and multilateral agencies. The government\(^3\), while provides general policy directions, initiates and guides development activities, has some obvious limitations at the grassroots level in bringing about sustained improvements in the lives of the poor.
Since independence of Bangladesh in 1971, the country has largely failed to assist the poor, while NGOs have grown dramatically and assist poor to alleviate poverty. The number of NGOs has been increasing simultaneously in half passed of nineties shown in table 1. According to the Department of Social Welfare registered more than 19,000 NGOs since 1961, but all of these NGOs are not active\(^4\). In 1978 government established NGO Affairs Bureau for register of active NGOs only. By 2004 NGO Affairs Bureau registered 1682 local NGOs and 184 foreign NGOs.-All of these may be regarded as active NGOs.
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3. In 1978, the government enacted a law allowing NGOs to receive foreign funds to undertake family planning projects with appropriate approval from the government. The project approval process was previously cumbersome, lengthy and time consuming. To simplify the system and to get "one-stop services." NGOs successfully persuaded the government in establishing the NGO Affairs Bureau. The Bureau receives NGO project proposals and offers one-stop services for approval of the project within the deadline of 60 days. In addition, a working group comprising Government of Bangladesh (GOB) and NGO representatives has developed a guideline tbr GO-NGO collaboration.
4. Muhammed Muqtada, et al. (edited). 2002, Bangladesh Economic and Social Challenges of Globalization. p. 210.
The Association of Development Agencies in Bangladesh (ADAB)\(^5\) has listed 886 NGOs in 1997 as membership. The ADAB Directory lists 1,007 NGOs. Including 376 non-member NGOs during the same period\(^6\) the NGO Affairs Bureau, which has to approve all foreign grants to NGOs, released grants worth about US $280 million in 2002-2003 to 1,791 NGOs. of which 1613 are local and 178 are foreign and increased to 1,866 of which 1,682 are local and 184 are foreign NGOs upto May, 20(04 with disbursement amount of US$256 million(approx). Government fund was provided Tk. 104.470 million for development program, of which the sanctioned amount for NGOs was about 14 percent\(^7\).
**Table I: Registered NGO in Bangladesh**
| Period | Local | Foreign | Total |
|------------|-------|---------|-------|
| 1997-98 | 1102 | 149 | 1251 |
| 1998-99 | 1221 | 152 | 1373 |
| 1999-2000 | 1354 | 164 | 1518 |
| 2000-01 | 1455 | 169 | 1624 |
| 2001-02 | 1500 | 171 | 1671 |
| 2002-03 | 1613 | 178 | 1791 |
| 2003-04 | 1682 | 184 | 1866 |
Sources: *NGO Affairs Bureau*.
**b) Definition of micro, small and medium enterprises (MSMES) in Bangladesh**
It is very difficult to define of micro enterprises. Micro enterprises are highly heterogenous\(^8\). The several aspects to relate to size, location,
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5. It was founded in January 1974 as a loose coalition of some foreign aided NGOs that were engaged in relief and rehabilitation activities. It was known as- Association of Voluntary agencies in Bangladesh (AVAB). In 1976, it was renamed as Agricultural Development Agencies in Bangladesh (ADAB) as because its members concentrated their activities in the field of agriculture and food production. A subsequent renaming took place in December 1983 as Association of Development Agencies in Bangladesh with its acronyms ADAB remaining unchanged.
6. Ahmad, Mokbul Morshed, 2001, Understanding The South: How Northern Donor Agencies and NGOs Understand the Needs and Problems of Southern NGO Clients. p. 115, and GOB, NGO Affairs Bureau, 1998.
7. Mujerl, Mustafa. K. 2002. "Bangladesh: Bringing Poverty Focus In Rural Infrastructure Development" pp. 15-16.
8. Charles Harvie, 2003, "The Contribution of Micro-enterprises to Economic Recovery and Poverty Alleviation in East Asia".
gender of owner, and sector of activity, all most micro enterprises are single person, owner operated enterprises or slightly larger units engaging one or more family members in Bangladesh rural areas. The micro, small, and medium enterprises (MSMES) has contributed Tk. 741 billion equivalent of 20 percent to 25 per cent to the Gross Domestic Product (GDP), 31 million people or 40 per cent of the population aged 15 years and older are employed in MSMES in both urban and rural areas, while over three-quarters of MSMES are located in rural areas\(^9\). A private sector survey of enterprises in Bangladesh, mentioned that there are approximately six million MSMES are activating in the country. In addition the survey shows that in rural areas 09 million people (13 percent of adult population) already engaged in small and micro-enterprises\(^{10}\).
However, the government's Industrial policy of 1991 defines "cottage" and "small" enterprises (figure 1). While large-scale enterprises are also defined, there is no official classification for medium sized enterprises. The government use amount of fixed investment including initial working capital but excluding the cost of land, expenses on inland transportation, commissioning of machinery, and duties and taxes as the classifying criterion. For cottage and small-scale businesses and informal definition Based on the number of employees also exist.
A 'small enterprise" is defined as an industrial undertaking engaged either in manufacturing or in a service activity and whose total fixed investment including initial working capital but excluding the cost of land, expenses on inland transportation, commissioning of machinery, and duties and taxes does not exceed Taka 30 million.
The term "cottage enterprise" is used for an industrial unit engaged in manufacturing or servicing that is generally run by family members on a full time or part time basis and whose total investment does not exceed Taka 0.5 million.
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9. *The Bangladesh Observer*, September 23, 2003.
10. There is no reliable survey on MSMES, the last governmental survey on this sector was 1901, and for analytic purpose it will be use the private survey *Daily Star*, September 23, 2003.
Under the aforementioned policy, any enterprise whose fixed investment exceeds TK. 30 million is classified as a large-scale enterprise. However, it is fairly common to consider those with a fixed investment not exceeding Taka 100 million as medium-sized enterprises. While micro-enterprises have not given an official definition, it is frequently associated in the literature with cottage industries and sometimes called the 'informal sector'. The petty trades dominate the sector-wise disbursement in microfinance. It involves livestock, agriculture, fisheries, cottage, and food processing sectors.
**Figure-1: The Definition of Different Scale of Industries in Bangladesh**
| Type of Industry | Sector of Industry | Employees | Capital | Total Unit |
|------------------|--------------------------------------------------------|----------------------------|--------------------------------|------------|
| Large Scale | Mining, Manufacturing, Transportation and Construction etc. | more than 100 persons | more than Tk. 300 million. | 26,446 |
| Medium Scale | Commerce and Service, Manufacturing, Transportation and Construction etc. | 50 to 99 persons | Tk. 100 million to Tk. 300 million | |
| Small Scale | Commerce and Service, Manufacturing, Transportation and Construction etc. | less than 50 persons | less than Tk. 100 million | 38,294 |
| Micro Enterprise | Commerce and Service, Manufacturing, Transportation and Construction etc. | Mainly family members, less than 5 persons | More than 10 thousands, less than 1 million | 6 million |
| Petty trades | Commerce and Service, Manufacturing, Transportation and Construction etc. | Mainly family members, less than 5 persons | less than 10 thousands | More than 10 million |
Sources: CDF Statistics Vol. 12, 2001 and Vol. 15, 2005
c) Development and Encouragement of Micro-Entrepreneurship
The development of micro enterprises in Bangladesh, which has relatively less capital and skill intensive and whose management is not complex is likely to ensure more employment and production outlet for micro entrepreneurial ability which in turn would generate a process of accelerated economic growth. In East and Southeast Asian Countries experience show that small and micro-enterprises has been contributing highest employees (more than 80 per cent) in manufacturing sectors and also provide a production outlet for the micro entrepreneurial spirit of individuals and assist in the dispersal of economic activities throughout the country. Providing credit to the poor serves a dual purpose.
As borrowed capital is invested in a small enterprise, it often results in significant short-term increase in household expenditure and welfare\(^{11}\). However, a second goal of micro-enterprise credit programs is to spur economic growth in the informal sector through fostering increased capitalization of businesses, employment creation, and long-term income growth.
A micro entrepreneur usually owns a micro enterprise as mentioned before there is no specific definition of micro enterprises, cottage industries also include with it. Major cottage industries comprise handloom textile manufacturing. The last handloom survey report in 1991 has estimated that 212,421 unit in the country with total of 514,456 looms\(^{12}\). The micro enterprises is engaged in agriculture-related activities such as poultry, livestock, dairy, rice/oil mills, agriculture equipment making, and trading in inputs such as seeds and fertilizers, to non-farm
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11. Pitt Mark and Khandker, Shahidur, 1998, *The impact of group based credit programs on poor households in Bangladesh dose the gender of participant matter*, pp 958-995.
12. BBS, 2002, *Statistical Yearbook of 2000*, p.206
enterprises such as petty trading, small businesses in transport, timber, bakery, medicine/pharmacy, and enterprises manufacturing bricks, ring slabs. Among them, the most profitable enterprises with a potential for growth are shop keeping and petty trading.
The micro enterprises are innovating new ways of doing business or initiating changes in the production function, exploring market opportunities for their product and, ultimately changing the business environment. Therefore, NGOs have provided micro-credit to 44.49 percent in small business, 17.73 in livestock, 12.74 in agriculture and 4.84 per cent in fisheries sector has getting priority (table 2). As a result a significant aspect of the operation of micro credit in Bangladesh is the emergence of the micro entrepreneur class. A big portion of micro credit goes to micro borrowers. Through their operation, the micro credit borrowers have not only done well for themselves, but also have contributed to the sustained growth of the economy of Bangladesh and helped alleviate poverty.
The contributions of the micro entrepreneurs go far beyond generating a steady flow of income. In order to understand how the MF-NGOs has encouraging to micro entrepreneurs work as agents of change economy in Bangladesh.
MF-NGOs offered to landless and asset less women whose monthly income does not exceed Tk 2,000 and who own less than 50 decimals of cultivable land. This loan may be increased by Tk 1,000 to Tk 2,000 depending on the clients who qualify for a repeat loan. On the other hand, the small business loan is significantly larger in size. The initial small business loan amount is Tk 15,000, which may be increased annually by Tk 4,000 to Tk 6,000. This loan is offered to an existing business. The existing business may need the additional capital to either expand its operation or to buy equipment for modernizing its product or to explore new markets for an existing product.
Table 2 Sector wise Micro-Finance Disbursement of MF-NGOs (per cent)
| Sectors | 2003 (469 MF- NGOs) | 2004 (489 MF -NGOs) | 2005 (523 MF- NGOs) |
|------------------|---------------------|---------------------|---------------------|
| Agriculture | 12.77 | 12.41 | 12.74 |
| Fisheries | 4.81 | 4.93 | 4.84 |
| Food Processing | 7.11 | 3.85 | 3.39 |
| Small Business | 41.81 | 42.85 | 44.49 |
| Cottage Industries | 3.08 | 2.95 | 2.81 |
| Transport | 3.49 | 2.74 | 2.15 |
| Housing | 1.30 | 1.23 | 0.97 |
| Health | 0.37 | 0.32 | 0.39 |
| Education | 0.02 | 0.11 | 0.05 |
| Livestock | 20/53 | 17.64 | 17.73 |
| Others | 4.7 | 10-86 | 10.42 |
| Total | 100.00 | 100.00 | 100.00 |
Sources: CDF, CDF Statistics Vol. 12, 2001 and Vol. 15, 2005
However, Government of Bangladesh is strongly encouraging all lending institutions to increase lending to micro enterprises. For example, the Ministry of Finance and Specialized Financial Institutions, Commercial and Specialized banks, Bangladesh Krishi Bank, and MF-NGOs which has created of micro entrepreneurship in Bangladesh, composed mostly of women. Throughout the country, there are many successful shops and firms owned and managed by women. Women mainly start business in the struggle for survival, but with a little support from FM-NGOs they can go beyond the subsistence level and make profits from their business activities. These women innovate and change the production function – the fundamental attributes of an entrepreneurship in Bangladesh.
V. An Approachable Analysis of Micro Enterprises
Bangladesh government and NGOs have adopted several approaches and strategies to alleviation of poverty. Micro credit and micro enterprises
have emerged and successful approaches have been applied in Bangladesh. An excellent example of this was the development of group lending schemes for landless rural people emphasizing long-term sustainability. This scheme led to the development of the Grameen Bank, which now serves more than 2.4 million clients (94 per cent of them are women) and is a model for 59 countries in the world.\textsuperscript{13} However, approachable analyze find that the classification of micro-enterprises in developing economies can be gleaned from the literature. The minimum approach; financing approach are particularly useful and ‘integration approaches emphasizing the type of micro-enterprise customer and services to be provided from a micro-finance perspective, identifies the following classification of micro-enterprises.
\textbf{a. Minimum Approach}
The minimum approach to micro-enterprise emphasizes their needs and the constraints they face. The survival activity is one, which an entrepreneur is pushed for want of more profitable alternatives, whereas one is attracted into an income activity by considerations of profitability and out of choice by the entrepreneur. In the former case the activity is often just one of many part-time or seasonal activities undertaken to support family income, whereas in the latter case it is usually the main source of family income.
The Grameen Bank and its imitators have brought micro-finance arrangements as an instrument for helping the poor. The implication is that the poor have been hamstrung by lack of availability of credit, rather than by lack of imagination or entrepreneurial interest. Grameen Bank success in Bangladesh has demonstrated the importance of micro-loans in assisting the poor to acquire earning assets and to empower women within the home. Lack of credit market access is one major reason for the persistence of poverty.
\textsuperscript{13} Muhammad Yunus, 2001, Banker to the Poor p. 182.
The group-based and collateral free micro-credit has been in existence in Bangladesh since 1971 of independence of Bangladesh, it was popularized in the 1980s when a large number of NGOs adopted the micro-credit programs. The MF-NGOs offer both group-based and individual loans to micro entrepreneurs. The Grameen Bank’s cumulative disbursement of micro-credit was Tk. 217313.91 million since inception up to 2004 has been contributing highest amount of micro-credit to the rural poor (Grameen Bank, Annual Report-2004). Following the Grameen Bank, the BRAC has been contributing next to the poor in Bangladesh. The micro-credit activities, in general, are economically efficient which generate a net surplus for the poor borrowers. These approaches also create minimum and positive impact on socio-economic indicators including children’s schooling, nutrition, and fertility\(^{14}\).
**Table 3 Micro-Credit Disbursement by GOs and NGOs (Tk in Core)**
| GOs and NGOs | | 2001-02 | 2002-03 | 2003-04 | 2004-05 | 2005-06 |
|--------------|----------|---------|---------|---------|---------|---------|
| | Disbursement | 254.74 | 304.10 | 340.56 | 366.00 | 692.62 |
| PKSF | Recovery Rate (%) | 98.43 | 98.41 | 98.17 | 96.62 | 98.94 |
| | Disbursement | 324.41 | 354.74 | 419.44 | 654.86 | 683.77 |
| BRDB | Recovery Rate (%) | 91 | 90 | 94 | 89 | 94 |
| | Disbursement | 7.32 | 8.08 | 7.07 | 3.11 | 2.05 |
| BARD | Recovery Rate (%) | 114.62 | 103.84 | 127.30 | 168.01 | 201.95 |
| | Disbursement | 1.50 | 1.30 | 1.43 | 2.94 | 1.91 |
| RDA | Recovery Rate (%) | 96 | 92.31 | 85.31 | 47.24 | 94.35 |
| | Disbursement | 1436.25 | 1879.81 | 2335.62 | 3148.37 | 4590.55 |
| Grameen Bank | Recovery Rate (%) | 98.29 | 99.00 | 99.96 | 98.95 | 98.49 |
| | Disbursement | 1509.98 | 1706.59 | 2070.00 | 2590.15 | 3258.21 |
| BRAC | Recovery Rate (%) | 96.52 | 94.62 | 88.79 | 88.42 | 89.83 |
| | Disbursement | 394.10 | 406.76 | 357.40 | 277.07 | 139.77 |
| PROSHIKA | Recovery Rate (%) | 92.37 | 105.32 | 103.86 | 126.54 | 102.74 |
| | Disbursement | 995.04 | 1595.22 | 2001.54 | 2403.92 | 3317.92 |
| ASA | Recovery Rate (%) | 86.14 | 82.88 | 90.33 | 91.87 | 85.08 |
Source: Bangladesh Economic Review, 2006.
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\(^{14}\) Khandker, S.R. 1998, Fighting Poverty with Micro-credit: Experience in Bangladesh
b. Financing Approach
The micro financing approach has evolved as an economic development tool intended to provide benefit to low-income women and men including their self-employment. There are an estimated 7,000 micro lenders or Micro Finance Institutes (MFIS) with 25 million poor clients in the world\textsuperscript{15}. Various models of micro credit with or without collateral exist in 60 countries\textsuperscript{16}. Although the primary goal of micro credit operation is poverty alleviation, providing assistance to an existing micro enterprise and developing the micro entrepreneur class is seen as a secondary goal in Bangladesh. In Bangladesh there are mainly four types of institutions involved in micro-finance activities.
These are 1) Grameen Bank (GB), 2) NGOs like BRAC, Proshika, ASA, etc. 3) Commercial and Specialized banks like Bangladesh Krishi Bank (BKB), and 4) Government sponsored micro finance projects/ programs like BRDB and Swanirvar Bangladesh.
The popularity of Grameen Bank attracted others into the field and many NGOs started collateral free micro finance programs in late 80s and 90s. The Grameen Bank has been providing micro-credit and technical supports for taking up various types of micro-enterprises and income generating activities by the poor (table 4). Credit and Development Forum (CDF) statistics covered the micro finance programs of MFIS which lending activities, CDF indicate only a handful of NGOs providing collateral free micro credit to rural borrowers. In most instances, MFIS make a distinction of borrowers and offer differentiated loan products to different groups.
\textsuperscript{15} \url{www.gdrc.org}
\textsuperscript{16} The number of MFIs and borrowers as well as countries adapting various models of micro-credit operation is growing continually. Updates are available at The Virtual Library of Micro-credit, a site of Global Development Research Center )\url{www.gdrc.org})
Table 4 Grameen Bank Micro-credit by Sector wise in Bangladesh (in million Tk.)
| | 1986 | 1988 | 1990 | 1992 | 1994 | 1997 | 2002 | 2004 |
|----------------------|--------|--------|--------|--------|--------|--------|--------|--------|
| Processing and | 135.47 | 326.30 | 685.93 | 976.80 | 2,151.16 | 13,996.69 | 2,506.47 | 4221.59 |
| Manufacturing | | | | | | | | |
| Agriculture and | 11.90 | 62.40 | 98.47 | 1387.96| 4,863.24 | 23,149.88 | 1887.24 | 3774.35 |
| forestry | | | | | | | | |
| Livestock and | 247.77 | 581.46 | 959.97 | 1656.46| 3,624.79 | 25,589.18 | 5,880.73 | 3463.43 |
| fisheries | | | | | | | | |
| Services | -14.25 | 21.95 | 40.23 | 57.45 | 141.34 | 1352.11 | 338.70 | 1374.28 |
| Trading | 93.54 | 201.69 | 352.63 | 787.97 | 2,334.16 | 12,554.35 | 25,577.53 | 4839.51 |
| Peddling | 6.99 | 13.25 | 17.36 | 54.64 | 181.92 | 837.23 | 192.55 | 332.76 |
| Shop keeping | 24.32 | 57.01 | 90.64 | 267.17 | 595.41 | 4,300.94 | 1,431.20 | 3589.85 |
| Collective enterprises | 7.49 | 16.40 | 17.23 | 15.24 | 20.32 | n.a | n.a | Na |
Source: Grameen Bank, Annual Report and Various Issues
Therefore, the micro-credit operated NGOs funded with own resources like deposits of borrower members, service charges on loans, and other income. In addition to, external donor grants, banks loans and PKSF which government sponsored to support micro-credit operated NGOs. The major external sources include foreign donation 15.38 percent, members saving 26.87 per cent and PKSF 21.95 per cent. In addition to PKSF has provided Tk. 3,506.90 million in 2001 to support directly to urban and rural poor and among the progressive micro-credit borrowers for micro-enterprises\(^{17}\).
However, all micro-credit NGOs have not the same dependence on external funds, like, BRAC, Proshika and other larger NGOs with
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17. GOB, 2001. PKSF Annual Report 2000-01. p. 7.
countrywide network are largely self reliant and also able to extend some lending to smaller NGOs\textsuperscript{18}. Financial approaches of micro-credit program have proved it grand success and created abundant opportunity to micro enterprises that ultimate goal is eliminate poverty in Bangladesh.
c. Integrated Approach
The micro credit literature distinguishes enterprises by whether they are start-up businesses; by their level of business development; and their area of business activity (production, commercial or service). The level of business development is important when identifying the different types of micro-enterprise to which a MFI wishes to provide financial services. This is closely linked with the level of poverty existing in a potential target market. There are typically three levels of business development of micro-enterprises that benefit from access to financial services: unstable survivors, business operators who have not found other employment and tend to have very unstable enterprises for a limited time; stable survivors, with operators for whom the micro-enterprise provides a modest but decent living while rarely growing; growth enterprises, or businesses that have the potential to grow and become genuinely dynamic small enterprises\textsuperscript{19}.
In Bangladesh the micro credit is extension of small loans to poor entrepreneurs, that generally being more labor intensive, having linkages to traditional industries, small and medium industries, contributing to the development of entrepreneurial skill and the spread of new technologies among others. As ultimate result of micro enterprises have a special role to play in the achievement of equitable and broad based economic growth in Bangladesh. It has proven an effective and popular measure in the
\textsuperscript{18} Wong, H. Kramsjo, B., and Sabri. A. 1997, "Experience and Challenges In Credit and Poverty Alleviation Programs in Bangladesh: The Case of Proshika" in Who Needs Credit? Poverty and Finance in Bangladesh. p. 164.
\textsuperscript{19} Charles Harvie, 2003. "The Contribution of Micro-enterprises to Economic Recovery and Poverty Alleviation in East Asia". op.cit., p. 7.
lending institutions to borrow at bank rates, and start small business. The integration approaches exposed to fundamentals of micro-enterprises and macro credit development can play an important role in poverty alleviation vis-a-vis sustaining economic development as well as household welfare on a long-term basis (figure 2)
A second explanation for the rising proportion of female borrowers in credit programs is that, along with issues of economic growth, the NGO-dominated micro-enterprise credit industry has often specifically sought to address issues of women's empowerment in developing countries. Much recent research has shown that access to credit generates a form of economic empowerment which can greatly enhance a woman's self-esteem and status within the family\textsuperscript{20}, have explored the relationship between women's empowerment and participation in micro-credit programs\textsuperscript{21} Using empowerment indices such as a women's independent decision-making ability within the household, freedom from restrictions on daily activity, and increased authority and household decision-making, the studies find that women in Bangladesh with access to credit score higher than women' without credit access, even after controlling for self-selection effects.
Figure 2: Mechanism of Integrate Approach
\begin{center}
\textit{Figure 2: Mechanism of Integrate Approach}
\end{center}
| Self Employment | Micro Credit | Production | Small Trade |
|-----------------|--------------|------------|-------------|
| | Micro-entrepreneurship | Skill of business techniques financial management, managerial skill etc. | Recycle of Business Capital |
| | Development of Small and Medium Scale Industries |
\textsuperscript{20}. Goetz. ANI., and R.S. Gupta. 1995. "Who Takes the Credit? Gender, Power, and Control over Loan Use In Rural Credit Programs" pp.45-63.
\textsuperscript{21}. Harshemi et al. 1996. "Rural Credit Programs and Women's Empowerment in Bangladesh". pp. 635-653.
The key role of micro-enterprises in income-generation is recognized and helping entrepreneurs develop their sound business plans. They are also important in the training of labor and in the diffusion of technologies as well as managerial skills. Greater emphasis on developing micro-credit could also yield significant dividends in terms of improving the spatial distribution of enterprises, shifting the current trend towards urban areas and handful of major industrial areas.
However, the micro enterprises also integrated with indirect export oriented through a sub-contracting link with a larger enterprise that is exporting. This case is quite limited. Micro credit gives a better chance to alleviate poverty in Bangladesh. It may not have done fast, but its contribution is significant. When the economy growth will high rate, the poor people will have better chance to show the real power of micro credit in changing their lives. The micro-credit have also found that women themselves have been benefited by channeling cash in the family which improves their position and bargaining edge in the household, which are often linked to empowering outcomes. They also claim that the micro-credit challenges the entrepreneurship of rural poor as well as reduce rural poverty in Bangladesh.
VI. Constraints of Micro Enterprises in Bangladesh
A. Government Related Problems
(1) Plans Policies and Implications
On account of Bangladesh rural economy, the development of micro-enterprises holds the key to progress, poverty alleviation, equitable access to opportunities, job creation and improvement of labor productivity; agricultural development; non-agricultural development; promotion of self-sufficiency in local products; development of human sector etc. Among these objectives, the micro-enterprises development has emphasis to modernize by transforming from a resource-based to a technology-based industry. To achieve profitable incomes in
micro-enterprises, particularly the rural poor, by ensuring equitable access to assets, resources and services, value-added processing, agribusiness activities, and agro-industrialization. However, the factor that contributes to the failure of government policies for rural development is the inefficiency and even widespread corruption among the Bangladesh bureaucracy. A need for bureaucratic reforms is well recognized, but the implementation has always been slow and sometimes even moves backward.
(2) Financial Infrastructure
Lack of financial infrastructure is another problem of micro-enterprises development in Bangladesh. Financial infrastructure includes legal, information, and regulatory and supervisory system for financial institutions and markets. The government has focused on creating institutions, special programs to disburse funds to the poor with little attention to building financial infrastructure that supports, strengthens and ensures the sustainability of such institutions or programs and promotes participation of private sector institutions in micro-finance\(^{22}\).
(3) Rural Infrastructure
Rural infrastructure comprises roads, bridges, culverts, irrigation structures, rural electrification, rural markets, and creation of trading network. Rural road connectivity is an extremely important aspect of micro-enterprises. Most of rural areas are still short of basic infrastructure. The inadequate of government funds for rural infrastructure often suffering from many problems, like maintenance, rebuild. Due to the low density of demand and purchasing power in rural areas for most kinds of infrastructure has been neglected. In other words,
\(^{22}\) Charles Harvie, 2003. "The Contribution of Micro-enterprises to Economic Recovery and Poverty Alleviation in East Asia" op. cit.p. 18.
it is conceptually useful to identify and analyze the transport, communication and energy power 'bottlenecks' in so far as the present system supports current levels of rural development.
(4) Rural Electrification
Bangladesh has a large unsatisfied demand for energy, which is growing by 10 per cent annually. It has the lowest per capita consumption of commercial energy in South Asia. The country has an installed capacity of 3,300 megawatts; however, only 2,600 megawatts are considered "available" at any given time. These numbers are insufficient to electrify of all rural areas in Bangladesh. The country has been unable to meet the demand for electricity, and all parts of the country, including the capital, Dhaka, experience frequent load shedding.
B. Non-Government Related Problems
The micro credit as a means to empower poor in the country, the utilization of credit for adequate income and employment generation is a cause of concern for most of the jeopardy. Moreover, there is a growing concern that micro enterprises development programs are not successful to a desired extent because of the lack of adequate and timely availability of credit. Fundamental problems of micro-enterprises are insufficient supply of capital fund (US$ 20 to US$ 100), lack of working capital, lack of proper institutional support, insufficient and improper supply of raw materials limited size of the local market, lack of quality control and standards, low productivity, lack of skill and efficient entrepreneurship, traditional artisan techniques, managerial weaknesses, often compounded by wasteful processing, restrictive regulations.
Within the small-scale rural women-based micro-enterprise, entrepreneurs themselves most commonly cite finance as the fundamental problem they encounter in maintaining their competitive position, with raw material shortages cited next. The salient problems of the micro-enterprises are highlighted as follows:
(1) Inadequate Fund of NGOs
Micro finance lending NGGS are also characterized by a high level of operational inefficiency, and have a very limited capacity to serve an increasing segment of the market on a continuing and sustainable basis. These micro finance NGOs (l%4F-NGOs) have depended on external finance like donor funds or governmental financial supports. They suffer from governance problems mainly because they lack “owners” in the traditional sense of the term, and their management assumes a great deal of power. Heavy reliance on the relatively easy access to donor funds has aggravated the governance problems of some NGOs\textsuperscript{23}.
(2). Warehouse
Due to lack of better warehouse or cold storage system in Bangladesh especially in rural area has been suffering for preservation problems of agricultural products, causing unbalanced market price. Market becomes the impediment by sudden and sometimes artificially created high level of price. Hence, price information system should be made effective, timely and quickly to any sudden price-hike in any region and to take quick remedial measures. Through developing better road communication system, inter-land intra-regional markets can spatially be integrated as per expectation and in that case, transport costs will also be lowered. To solve these problems it should provide rural credit scheme for construction of cold storage in rural area. The rural warehouse will help storage of perishable products, thereby enhancing their shelf life and quality.
3) High Interest Rate of Micro-finance Institutions
The micro-credit institution is to maintain its capacity holdings. It must generate sufficient revenue to meet its operating cost, including the cost of administering loans, mobilizing and training groups, mobilizing funds for on lending and covering, bad debts. Although a number of micro-finance institutions are showing their financial efficiency, in most
\textsuperscript{23)} jbid. p. 19.
cases this is misleading since the borrowing cost of on lending funds is highly subsidized by donors as mentioned before. Recent year it has been observed that donor funds are declining over time. On the other hand, NGOs have limited access to formal financial institutions; there are complaints that the micro-finance institutions in Bangladesh have been charging an exorbitant rate interest on their loans. According to Bangladesh Bank, the effective rate of interest charge by Grameen Bank is 22.45 percent while the formal sector interest rate range from 10 percent to 12 percent for the small and cottage sector.
Experience with the Palli Karma Shahayak Foundation (PKSF) and its partner organization suggests that the majority of NGOs have lean operations with the appropriate staffing ratios that ensure high portfolio quality if they are forced to lower interest rates, through some Government directive or through a cap in interest rates for instance. It will ultimately harm the poor borrower as some of these NGOs will not be able to sustain their operations given that donors are increasingly moving away from providing capital for credit funds as grants. The bottom line is that poor people value having access to credit much more than the rate of interest. Any measures to control interest rates by the State would only serve to undermine the sustainability of this source of financing for the poor.
C. Natural Related Problems
The natural effects of flood, drought, cyclones, and pestilence diminish the production and supply of goods. In the monsoon zone, Bangladesh experiences the longest rainy season in the world. In a normal year, 20-25 per cent of Bangladesh’s land is flooded by rain. For the last 30 years great floods have occurred every two or three years and have swept over about 70-80 per cent of the total land destroying crops, houses, bridges, and even people. Recently, a joint Asian Development Bank (ADB) and World Bank (WB) mission visited Bangladesh between September 12 and 27, 2004 at the request of the Government of Bangladesh to help the
Government complete a damage and needs assessment, and to propose an assistance program in support of the country's recovery efforts following the 2004 floods. -The 2004 floods are likely to be as devastating as the 1998 floods in many ways. The mission's preliminary estimates show that total damage to assets and output losses is about US$ 2.2 billion\(^{24}\). Under these circumstances, the general standard of living in the country has fallen tremendously, and mass-poverty, unemployment, malnutrition, crisis, epidemic, etc., have become chronic, causing the deaths of thousands of people every year. Flood is a recurrent problem in Bangladesh. Probably one could hypothesize that Malthus's theory of natural checks on population is at work in Bangladesh\(^{25}\).
Implementation of the flood management programs is critical. The relevant government agencies need to give priority to the implementation issues, including fiduciary arrangements with respect to procurement and financial management.
VII. Contribution of Micro Enterprises in Socio-economic Development of Bangladesh
Micro-enterprise development, can contribute to the poverty reduction: empowerment of women; employment generation; and enterprise development in private sector.
Poverty alleviation has been earmarked as the top priority program of the Government of Bangladesh. As a strategy for poverty alleviation, a number of policy measures have been considered like expansion of public service, creation of employment opportunity, acceleration of agricultural
---
\(^{24}\) http://www.worldbank.org.bd/
\(^{25}\) Malthus population theory. as population doubles and redoubles, It is exactly as if the globe were halving and halving again in size - until finally it has shrunk so much that the supply of food falls below the level necessary for life. When the law of diminishing returns is applied to a fixed supply of land, food production tends not to keep up with a population's geometric-progression rate of growth.
production, infrastructure development and credit facilities for the poor have been given due emphasis. Although the importance of developing of small and medium scale enterprises as well known in East Asian experience, the innovative micro-credit program of micro-enterprises is a relatively new concept. Moreover, in the plan document, government also committed to adopt the declaration of the world Micro Credit Summit held in Washington in Feb, 97 which calls for the development of new strategy to reach the poorest people of the developing countries by the effective micro credit programs and 'savings through experience sharing and networking.
The importance of NGOs provided micro-credit programs and their impact on development of socio-economic in Bangladesh. With respect to micro-credit, it is argued that the local and foreign NGOs have performed at much higher level than that of government credit schemes and their achievements compare very favorably with all other anti-poverty strategies in the country.
The micro-credit practice of NGOs is basically limited to small credit (about USSZO to USES 100) to support micro-enterprises like poultry, livestock rearing, small verities shops, tea stall, handicrafts, handloom, transport van, and small scale agriculture. The major aims to introduce poor people to small income generating activities, which are accounted for in micro-entrepreneurships. As a result the poor people become involved in direct dealing of business over time, the situation may have developed. All over the Bangladesh has been coming up with own small business of manufacturing goods, produces for domestic as well as International markets.
However, to promote of micro-credit to lead micro-enterprise are not inclusive but they are some of the chronic micro-enterprise issues to be solved immediately. First rural infrastructure (road, water, sewerage, power, gas etc.) is essential requirements of favorable environment for micro-entrepreneurship development. The rural Bangladesh has been
suffering from market linkage problems due to underdeveloped transport and communication. Market link-up is an essential factor for production as well as enterprises. The author strongly believes that the solution to these problems will bring about a tremendous take off toward economic progress vis-a-vis it makes to channel to alleviate poverty in Bangladesh.
VIII. Concluding Remarks
Although the performance of micro enterprises is not very high compared with some of experience in other East and Southeast Asian countries, the future seems to be very promising. To extension of subsidized infrastructure facilities, micro enterprises will thrive in the Bangladesh economy as multiplier benefactors. In recent years the overall development of micro enterprises of Bangladesh and indicated the existence of some pertinent issues of plans and policies, and implementations. The above problem areas are some of the chronic issues to be solved immediately. It is strongly believed that the solution to the above problems will bring about a tremendous take off toward economic development in Bangladesh. Since a vast majority of the country's population is still either not literate or semi-literate, the first and foremost effort should be diverted to alleviate the present situation of education in the country. Provided that an educated workforce and entrepreneur class exists in the country; a change in the attitude of the governments administrative mechanism. i.e., the bureaucracy and political leadership will spur the speed of modernization and development towards rapid and accelerated industrialization of the country. It is concluded that Bangladesh government can emphasize on the above points: political stability, law enforcement, and education, and a favorable situation will be brought about in the long run.
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Family Planning Program In Bangladesh
-A Critical Review
M. Abul Hossain Sikder\(^1\)
Abstract
Population control program has been started in erstwhile East Pakistan, currently Bangladesh in 1953 by a group of philanthropists, eminent social workers and professionals under the leadership of Dr. Humaira Sayeed, who is treated as the founder of population control program of Pakistan and Bangladesh. This program has been successfully taken over and has got a momentum. Currently, the family planning program of Bangladesh is one of the successful programs throughout the world and this has been recognized by the United Nations (UN) by giving “United Nation Population Award in 1987”. Since inception, the evolution of the program has taken place and developed in different phases. At the beginning phase the program was clinical based intervention from 1953-60. During the period 1960-65, it was community based experimental program and 1965-70 it was an extensive field based program both rural and urban initiatives. During the period 1970-75 the program overcame a transitional phase when attempts were made to integrate health and FP programs. FP program turned into a broad based multisectoral issue during 1975-89. The program was consolidated and strengthened by introducing MCH with FP during 1990-97. The program has again turned into an integrated program by introducing the sector-wide management program, called Health and Population Sector Program (HPSP) during the period 1998 to 2002. Finally a new intervention, nutrition has added with the FP program and sector-wide management has been continuing in the disintegrated manner since 2003. During the long history of FP program, it has faced different problems and hindrances which have also been overcame and steadily developed through trial and error and reached at this stage. Among the success story of family planning program, it is remarkable that currently the contraceptives prevalence rate is 58 percent which was less than 8 percent in 1975, despite there are lot of limitations and problems in existence. Efforts have been made to critically review and discuss the evolution and development of the family planning program, its strengths, weakness and success story in this paper.
\(^1\) Treasurer, Prime Foundation
1.1 Introduction:
During the end of eighteenth century, after the emergence of Malthusian theory, the family planning movement has been started in Europe. Although, the thought and population control concept and movement was started in Europe, particularly in United Kingdom (UK), it was materialized through launching the population control program in United States of America (USA) being inspired by European thinkers. At the beginning of Nineteenth Century in 1921 by Marie Stopes and her associates Margaret Sanger and others through establishing a birth control clinic and publicizing the messages on family limitation. In the later part of the century, in 1953, population control program has been started in erstwhile East Pakistan, currently Bangladesh by a group of philanthropists, eminent social workers and professionals under the leadership of Dr. Humaira Sayeed, who is treated as the founder of population control program of Pakistan and Bangladesh. The prevailing and past socio-economic and cultural condition of Bangladesh is not at all congenial and favorable for making the family planning program a success. Despite unfavorable conditions, Bangladesh family planning program achieved comparatively a tremendous success amongst the developing countries. It has also been recognized by the researchers, anthropologists and other social and population scientists. As a result of success, Bangladesh has been awarded the "United Nation’s Population Award" in 1987. It is a great recognition for the nation's family planning program. Not only the UN Award, Bangladesh family planning success story is recognized by the developed and developing countries. Bangladesh family planning model has been replicated in national program of many developed and developing countries such as USA, Germany, China, Indonesia, Pakistan, Kenya and many other countries in Africa and South-America. However, Bangladesh family planning program has still far way to reach its goal.
1.2. Background:
Family Planning Movement in Bangladesh, at the outset was started by the community leaders and to a great extent by bravely social workers in 1953 in the erstwhile East Pakistan as a private initiative. Initially, International Planned Parenthood Federation (IPPF) a UK based philanthropist organization patronized in initiating FP programs worldwide, especially in under developing countries formally named as Family Planning Association (FPA). This voluntary social organization started the first social movement in popularizing the family planning concept towards establishing a small family norm in the society. At that time it was very difficult to launch a program even organizing a dialogue in favor of family planning program. It was really a difficult and risky task in a country like Pakistan against the religious and political sentiment and socio-economic condition of the then East Pakistan. The government of the erstwhile Pakistan could not take this sort of risk against public sentiment. However, a silent policy support was provided by the govt. to test the consequences. However, govt. of Pakistan faced a social and political turmoil by the opposition in both East and West Pakistan. A major political opposition was created by the religious fundamentalists and political parties due to religious values and norms, even by the progressive political parties due to unequal behaviour to erstwhile East Pakistan from the military rulers of West Pakistan. The people of then East Pakistan were deprived of the legal rights in terms of sharing the national resources, employment opportunity, political autonomy and social equity, safety and security. So, political commitment for the program was considerably negligible in favor of family planning program. However, the initiative made by the social leaders has been considerably a mile stone for family planning program. According to Walter A. Friedlander (An Introduction to Social Welfare) a social movement cannot be successful without the spontaneous participation of the beneficiaries and social change agents. The pioneering social and professional leaders have taken the role of leading the program as the reformers and change agents. On the other hand, a portion of sufferers were motivated and came forward to accept family planning.
contraceptives. Here significant two major opportunities were mainly-initiatives of the social reformers or change agent and spontaneous participation of the beneficiaries group was visible which in turn help the nation a lot to continue with the family planning program with subsequent remarkable progress.
2. Problem Statement And Rationale Of The Study:
It has long been recognized that the fertility declines in the course of economic and social development; relatively little example has yet been found how fertility can be declined in its absence. Bangladesh represents an apparent exception where demographic transition has begun despite social, economic and institutional circumstances that are very unfavorable to reproductive change. Among the least developed or developing or the poorest countries Bangladesh is the only country where for the first time fertility decline has begun. A series of contraceptive prevalence survey and demographic and health surveys have been conducted carefully by the nation in collaboration with the international community and donor agencies shows the significant increase in contraceptives prevalence from 3 to 58 percent in the post independence era. By the middle of 2007 fertility has declined from 7 births per woman to 3. This change is surprising in the light of arguments that have been established to explain why fertility decline is unlikely to occur in Bangladesh. Of the more persuasive interpretations of the demographic implications of social and economic circumstances in Bangladesh, probably, none was able to anticipate the trend that has emerged. "Premised on the view that childbearing represents a rational response of couples to prevailing economic and social circumstances, and guided by the observation that Bangladeshi society remains predominantly conservative, traditional and agrarian few observer anticipated the fertility decline that has been observed in recent years" (John Cleland et al). Success in population sector is considerably an international significance. Bangladesh is always being focused in the success story of population program in the international arena as this success has been taken place in settings where mortality is very high and economic conditions are severely constraints.
Bangladesh population size ranks eight globally and first among 20 poorest developing countries with a high growth rate of 2.2 percent per year accompanied by considerable momentum owing to the young age structure. Even under the assumption of continued fertility decline, the Bangladesh population will not stabilize until 2050 and by then the total population will be reached a total about 268 million (World Development Report 2004). Land area of Bangladesh comprises only 14,400 square kilometers, population density, at 975 per square kilometer, is already the highest in the world. It is one of the most rural countries in the world and the population is mostly dependent on agriculture. Yet, the per capita cultivable land is about .3 acres only which is creating a precious balance between population and land and an increasingly fragile balance between settlement patterns and the environment. As a result homeless people are increasingly located on temporary land such as street side, govt. land and on the railway side, exposing millions of household to the vagaries of monsoon flooding that often has catastrophic effects on agriculture, health, education and the economy in general. So it is very difficult to construct a scenario of economic development or population redistribution that can sustain the population growth that is anticipated. Among at least 20 poorest developing countries Bangladesh is the highest recipients of foreign aids in development sector and population sector as well and the most challenging test of what can be achieved when strong government commitment confronts complex population problems with sustained resolve. It can therefore, be conclude on that there is an urgent need to review the recent history of reproductive change and its vehicle the population program in Bangladesh, the problems encountered and continued difficulties and constraints on further progress, and assess the implications of success in the Bangladesh context for program elsewhere. This article is addressed to that end.
3. Review of Literature:
The study paper envisaged to critically reviewing and focus on the evolution, development and problems encountered by the family planning program in Bangladesh. As far as we are concerned that a good number of
significant, systematic and theoretical study has so far been conducted in different aspects and issues of family planning program. However, a limited number of studies have been conducted to review the evolution, development, strengths and weaknesses and problems encountered by family planning program in different stages of its development and there are still rooms for initiating more studies with an integrated approach with specific focus. Although this review has been done using variety of texts, study reports, working papers and secondary data, all of them could not possible to put in the literature review, rather, key findings of a few reviews/studies mostly and directly related to the topic of this study are delineated in the subsequent paragraph and major references are mentioned in the bibliography cited in the subsequent paragraphs:
3.1. Jhon Peel J; Potts M. *Text Book of Contraceptives Practice, Cambridge: College of Hull and Sussex College, Cambridge University, 1969*. In 1868 a meeting was presided over by Lord Amberley, father of Bertrand Russel in London. In that meeting his former tutor James Laurie spoke on the problem of large families and in summing up Lord Amberley invited the churches to change their attitude towards birth control program and also requested the medical professional to come forward to contribute to the birth control program which was in fact a milestone in favor of population control program. In the history of birth control movement, clinical initiatives was the pioneering step by establishing the first birth control clinic in the United States of America by Marie Stopes which was further developed by Margaret Sanger in the earlier part of the nineteenth century.
3.2. Caldwell B; Khuda B. *The First Generation to Control Family Size: understanding Bangladesh's fertility decline from the perspective of the participants. Dhaka: ICDDR, B, MCH-FP Extension Project (Rural) 1997 (Working paper; 128)*. This study has conducted to examine the impact of family planning program, the effect of socioeconomic change and closely related to this change in family relations, on individual decisions to adopt family planning and attitudes of the participants toward FP and how these have changed. The findings found that the FP program
has played an essential role in Bangladesh's fertility decline, but also indicate that economic and social change and especially growing aspirations have combined with change in family-decisions to make couples more receptive to the FP message. The FP program has according to the respondent's evidence, played a critical role not only in providing appropriate services, but also in popularizing the very concept of family limitation and in legitimizing contraceptive use.
3.3. Islam AM; Chakraborty N; Chowdhury N; Shamim S et al. *The Linkage between Infant and Child Mortality and Subsequent Fertility in Bangladesh: BDHS 199-94 Extended Analysis*, Dhaka: NIPORT/EWC 1996. The study observed that a reduction in infant/child mortality will result in substantial decrease in the reduction of fertility. The biological effect of a child death during the postpartum amenorrhea period increases the likelihood of an additional birth by more than three times. Similarly, the replacement effect can also be decreased by reducing the level of fertility. It was also observed that a large portion of women who did not want to have an additional child or want to delay their childbearing change their decision immediately after the death of their child.
3.4. Haider SJ; Islam N; Saleh SN. *Profiles of Field –Workers Visitation Patterns: A Secondary Analysis of the Bangladesh Demographic and Health Survey 1993-94*. Dhaka: NIPORT/E WC 1996. The study shows that despite impressive coverage by family planning field-workers, household visitation rates remain low. Only 38 percent of currently married women said they had been visited by field-workers during the previous six months. Visitation significantly varies by division. Visitation in urban areas has a higher probability than in rural areas.
3.5. Kabir M; Sarker M; Sharma PD. *The Prospect for Stabilization of Bangladesh’s Population: Alternative Scenarios*, The Bangladesh Development Studies, March-June 1997. A close examination of the population age structure of Bangladesh indicates that proportions of the population in each age group will more or less stable by 2050 if replacement level of fertility achieved by 2005.
3.6. Katner A; Bairagi R. *Regional patterns of Fertility in Bangladesh: Evidence from the 1993/94 Bangladesh Demographic and Health Survey*. Dhaka: NIPORT/EWC 1996. Comparisons with Bangladesh with India and Indonesia (a country generally acknowledged to have a very successful family planning program) clearly demonstrate major difference in the current structure of those country populations. The fertility inhabiting effect of nuptiality (the percentage never married and not currently married) is considerably high in Bangladesh and Indonesia than in India. In fecundity levels are somewhat greater in India than in Bangladesh and Indonesia. The Indian family planning program is essentially driven by sterilization, with the use of modern reversible contraception being very low. Owing to the relatively low use of sterilization in Bangladesh and Indonesia, limiting need to the both countries is higher than in India. However, spacing need (both manifest and health risk) is much greater in India since the use of modern reversible contraception is so low when compared to Bangladesh and Indonesia. It is interesting to note that the Bangladesh decomposition profile is actually more similar to Indonesia than India. This would not have been the case twenty years ago.
3.7. Sarker PC. *Social Structure and Fertility Behavior*. Dhaka: Center for Development Services (CDS), 1997. This study assessed that the nuclear family with egalitarian authority system which encourage low rate of fertility than the joint or extended or supplementary nuclear family where the patriarchal or matriarchal authority systems exists. The customs and beliefs associated with sexual behavior and its impact on fertility. The sex preference has been described in connection with old age security, economic assistance, family strength etc. The sex preference encourages higher fertility in relation to expression for having son instead of daughter.
3.8. Cleland J; Phillips James F; Amin S; Kamal GM. *The Determinants of Reproductive Change in Bangladesh: World Bank Regional and Sectoral Studies*. Washington, D.C: The World Bank, 1994. This study was conducted to review the program strategies and
constraints of family planning program in Bangladesh. The study shows that the reproductive motives are structured by social forces, several influential social institutions that sustain high fertility. Change in social institutions is prerequisites to demographic transition. Conventional wisdom holds that high fertility is sustained by the interlocking effects of the economic and social security value of children, poor health conditions and high mortality risks, and low levels of maternal educational attainment. Conventional wisdom also holds the little of consequence can be achieved in the population sector in Bangladesh, in part because the climate of demand for children is inconsistent with the notion that widespread fertility regulation is feasible, and in part because organizing effective social and health services at the periphery is a formidable undertaking. The labor utility of children constitutes a rationale for high fertility in countries such as Bangladesh. Female life expectancy is lower than that of male due to several factors due to some infectious disease morbidity which is generally higher among women than men. This study also found out that the implementation of the program is weakened by operational deficiencies in its basic strategic plan and management system. Problems are associated with the subsystems of management information, supervision, training, human resource management, and the like. Performance targets are not set rationally. Both the demand and supply sides constraint, and failures are responsible for loosing the momentum of the success.
3.9. Bhuiya A; C.A Ribaux. *Re Thinking Community Participation: Prospects of Health Initiatives by Indigenous Self-Help Organizations in Rural Bangladesh*. Dhaka: ICDDR, B 1996. Bangladesh has a long tradition of community participation in certain development activities. In the recorded social history of the country, there are many instances of the people working together on a self-help basis in building houses, doing community rehabilitation work after natural disasters, constructing drinking and irrigation facilities, constructing dams, roads and other public utilities. However, much has not been known about community participation in family planning activities in Bangladesh, with the exception of some limited support for satellite or community clinics in
response to persuasion either from government or non-government organizations.
3.10. United Nations Population Fund: Desk Review of Community Participation in Family Planning. New York: UNFPA, 1995. It has stated that there was no single operational definition of community participation which is acceptable to all. Community involvement in development programs, including health, differs in each national and local environment since it is a reflection of social dynamics which are influenced by socio-cultural factors, economic realities, political climate and structures, as well as by national policies and practices. Nevertheless, for the purpose of this review, CP is defined as the process by which the efforts of potential beneficiaries of development programs are mobilized and harnessed with those of Government and non-Governmental authorities to improve the economic, social and cultural conditions of communities; to facilitate integration of these communities into national programs; and to enhance community level contribution to national development programs. Community Participation may take place in three forms:
a) Training of local personnel (e.g. school teachers, leaders of women’s groups) to improve their skills and knowledge in the concerned field, e.g. RH/FP practices, IEC, etc. so that they can deliver services in these areas to the community;
b) Use of local associations, community groups, etc. to implement project activities; and
c) Integration and implementation of project activities through broad development programs, with community members taking a more active role in planning, monitoring and structuring the programs.
3.11 Ataharul; Mazharul; Asaduzzaman. Community Participation in Family Planning in Bangladesh: Prospects and Strategies. Dhaka: 2001. Irrespective of GOB or NGO areas, the participants in the interview and focus groups similarly viewed population growth as a serious problem affecting food, housing, communication, environment and the overall health situation. However, most of the participants expressed that
education is the most important factor for development. The principal advantage of the existing system, as viewed by the participants, is service delivery at the home. This system helps maintain client privacy. Other expressed advantages included services received free of cost, availability of a variety of contraceptive methods, and close proximity of satellite clinics. Problems of transportation in low performing areas, distance to the health and family planning service delivery centers, social conflicts among women of different social classes who do not want to go to someone else’s house for services, inadequate number of satellite clinics, inadequate number of service providers given the increasing number of eligible couples, and infrequent visits by the service providers and the lack of service facilities and referrals for treatment of side-effects.
3.12. Ahmed N *Essential Features of Community Participation Approach*. Dhaka: 1987. It emphasized that the basic obstacles such as, factionalism, local power politics, lack of experience in decision-making and other problems faced from the community need to be identified and overcome.
3.13. Waliullah S; et al. *Evaluation of the Impact of Community Leader’s Participation in family planning in two villages*. Dhaka: National Institute of Population Research and Training (NIPORT), 1983. In practice, the present Bangladesh Family Planning Program provides a gloomy picture of community participation. The empirical results of a survey conducted show that the community leaders show least interest in family planning. Lack of outlined responsibilities and incentives may be accounted for their inactiveness.
3.13. David K; Viravaidya M. *Community Based Family Planning Services*. Bangkok: Asian Center for Population and Development (ACPD), Thailand: 1982. David summarized the program saying that real community based approach should be inherently flexible responsive to local needs and interests and attuned to cultural values and sensitivities. Improvement of the well-being of the community, as perceived by its member families, should be the primary objective of a community-based
service program designed to offer an integrated approach especially to fertility reduction efforts.
3.14. MSH Publication: Increasing Community Participation. Boston: Management Sciences for Health, USA, 1995. Having the community participate in the family planning program has many benefits such as increased commitment to family planning, additional program resources available, increased client motivation, more rapid program expansion, motivates government to include family planning in health services, better solutions to service delivery problems, more consistent demand for family planning, more effective planning and management and creates a bridge to other populations.
3.15. Bhuiya A; Rob U; Quadri MR. Ensuring Community Participation in MCH-FP Activities in Rural Bangladesh: lessons learnt from a pilot project. Dhaka: Population Council and ICDDR, B, 1998. As a result of the interventions, the community members became more aware of the population problems, existing service facilities and service providers in their locality. Demand for services was increased and most of the service providers were positively responding to the growing demand. They could see their role in making the program more useful to the community. They were involved in a process of participatory need-assessment, identification of problems and solutions, designing a plan of action and monitoring the implementation of the plan to improve the effectiveness of the MCH-FP program.
4.1. Methodology:
This article is prepared based on the secondary data. The author has recently conducted a study on "Community Participation in Family planning Program in Bangladesh: A Critical Analysis", the secondary data/information collected for the study is used in this article along with some relevant primary data. The primary data for the mentioned study was collected through using different scientific techniques of social science research which includes the sample survey among the
contraceptive users, eligible couples, service providers, managers and community leaders through extensive field investigation and interview. More than 3,000 respondents were interviewed in different categories from different parts of the country. The secondary data/information used for this article are collected from different study reports available in the documentation centers of different libraries and organizations.
4.2. Objectives:
The main thrust of collecting and processing the data/information was to fulfill the partial requirements of preparing dissertation for PhD program. The systematic endeavors made in collecting and assimilating the information/data seemed to have relevance and eligibility to be utilized in multifold of analysis. Consequently, these have been utilized in the fulfillment of requirements of this article, with some addition, modification and fine tuning envisioned to the following specific objectives.
1. To determine the evolution, felt needs and development process of population program in Bangladesh;
2. To assess the major achievements, successes and failures of different components by phases of the programs;
3. To critically and anthropologically review the program in order to determine the strengths, weakness, opportunity and threats (SWOT) and felt needs for future development of Bangladesh family planning program and;
4. To determine the future strategies and constitute recommendation for reaching to its future goal.
5. Evaluation And Development Of Family Planning Program:
During the end of eighteenth century, after the emergence of Malthusian theory, the family planning movement has been started in Europe. Although, the thought and population control concept and movement was started in Europe, particularly in United Kingdom (UK), it was
materialized through launching the population control program in United States of America (USA) being inspired by European thinkers. At the beginning of Nineteenth Century in 1921 by Marie Stopes conceptualized the establishment of a birth control clinic and finally was able to do it. Later on, in the mid nineteenth forty, her associates Margaret Sanger very closely taken care of the birth control clinic and publicized the messages on family limitation. Simultaneously with the world’s birth control movement. Bangladesh could realize the needs of family limitation. The Family Planning Program in Bangladesh has a long history dating back in 1953. After formation of International Planned Parenthood Federation (IPPF) in 1952, its first chapter was established in Bangladesh in the formal name of Bangladesh Family Planning Association (BFPA) in 1953 by group of dedicated social workers and health professionals. Among them a lady gynecologist: Dr. Humaira Sayeed’s name is most noteworthy. At this critical moment of family planning history, the geographical area now constitutes Bangladesh, had a population of 42 million only. If organized efforts in the family planning sector are traced to the Pakistan era, it is among the oldest in the world. The main purpose of this endeavor was to sensitize the policy-makers and social activists, elites about the grave consequences of the ever-increasing population growth. Since the creation of a private family planning association in 1953, private agencies offered limited services in cities and large towns and this program has been implemented nationwide with different innovative and supportive components. Bangladesh family planning program is a success story in the world now despite a series of problems is in existence. To reach to this stage the program had passed the long ways through trial and error and different experiments. These are summarized in the subsequent paragraphs:
5.1. Clinic Based Innovation: Sensitizing and Advocacy Stage with Limited Services in Private Initiatives (First Phase, 1953-1959):
Bangladesh population policies and programs have evolved through a series of development phases during the last 45 years; both have undergone changes in terms of strategies, structure, contents, goals and
overall program dimension. The origin of the program can be traced back to 1953 when a group of social workers and philanthropists, being concerned with the consequences of uncontrolled population growth, spearheaded the program efforts in the private sector. The main thrust of these efforts was limited to the small-scale contraceptive distribution services in urban areas through hospitals and clinics. The Family Planning Association initiated promotional campaign incorporated in the program and established clinics in cities and large towns with small financial assistance from govt. and external agencies like IPPF. Knowledge of contraception remained at a low level and utilization of clinical services was also low. Nonetheless, this effort triggered the consciousness of the policy makers and social elites about the grave consequences of ever-growing population and experiences of this pilot project imbedded the thought process that was applied to subsequent efforts in introducing family planning program.
A. The Program Impact/Outcomes of the Beginning Phase:
- Initiating the program itself, besides exposing it to public attention at a time when heightened religious fervor prevailed;
- Generating interest amongst the intellectuals and in Govt. circle and;
- Facilitating, rather encouraging the subsequent Govt. action;
- Advocating, ground working, negotiating and ground working for facilitating the take-off stage of the program and
- Convincing the government to launching the public sector program.
5.2. Community Based Experimental FP Programs: Beginning of Domiciliary Service Along with Clinical Based Service Delivery (Second Phase, 1960-65):
By 1960, the Pakistan government had launched a program in the public sector with the commitment to initially limit it to clinical services, but has since become a complex interagency program that reached villages throughout the country. Although the Bangladesh family planning
program has been accompanied by numerous structural and strategic changes, the key elements—high level political and bureaucratic support, and extensive external assistance—have sustained the program throughout its long history. The commitment to the family planning program in Bangladesh was premised on the view that latent demands exist. Couples seek to control their fertility, but fail to act on this desire, because the costs of contraception outweigh the demand. Thus the central strategy was to provide contraceptives free of cost, free clinical services and minimize cost for commercial sales located at convenient outlets throughout the country and through household outreach services nationwide. The predominant thrust of the population policy in Bangladesh has been the clinical family planning services augmented with the village outreach and mass motivational activities. This approach originated in the Pakistan era in three successive programs. This phase started in 1960 with the Govt. sponsored clinic-based family planning activities as one of the regular components of health services.
A. The Programmatic Actions during the Second Phase:
- Set up a target of providing family planning services to 6.7 percent eligible couples;
- Opened family planning centers in every hospitals and rural dispensaries having a target of 500 acceptors for each service center;
- Established two training cum research institutes for manpower training and development;
- International attention was drawn for financial assistance;
- Ford Foundation and Population Council started financial assistance to FP program;
- Special project on FP services were initiated by the government at the Dhaka city and adjacent areas;
- Dhaka Family Growth Project was established in city and adjacent periphery;
- Community based rural experiment were initiated in Bangladesh Academy for Rural Development (BARD), Comilla by Mr. Akhtar Hamid Khan, the founder of BARD;
With the aim of enhancing the accessibility and acceptability of family planning services, an outreach program was created to provide education to couples through village aides (Dais and Male Organizers);
A Public Health Research Project, California Health Research Project (CALHELP) was established in Dhaka with the financial assistance from the University of California
B. Program Impact/Outcome during the Second Phase:
- Efforts laid the foundation for the formulation of population policy and comprehensive program efforts for the next phase;
- Comilla model of FP program was used to design the first nation-wide community based family planning program in erstwhile East Pakistan;
- Family Planning activities were adopted in the National Development Plan 1958-59;
- In the absence of field functionaries and sustained information, education, Communication and motivation (IEC&M) interventions, this program looked like an islands in isolation;
- The main problems of this program were: i) clinical training program poorly planned, ii) staff poorly trained, (iii) services narrowly focused on family planning and (iv) Educational campaign not linked to the clinical program.
- Thus, the achievements of this program were limited to a stage setting; but experience was gained on the necessity for clinical services and outreach.
5.3. Intensification of Family Planning Initiatives: Extensive Field Based FP Program in Rural and Urban Area (Third Phase, 1965-1970).
The program commenced during 1965-70 (pre-liberation period of Bangladesh) and was launched throughout the country with a goal of reducing CBR from 50 to 40/1000 live births. The nationwide FP
program was adopted in the third five year plan (1965-70). All the 19 districts were came under the coverage of services. It had a vertical organizational structure down to the grass-roots level to provide services at the door-steps of the rural people. National and Provincial Family Planning Council was formed. Every district and thana were provided with District and Thana Family Planning Officers respectively. The Directorate of Family Planning was formed in the Provincial level, especially in erstwhile East Pakistan. Chief Male motivator was posted at the union level and for each two villages, one Dai was posted to motivate and refer the clients to the clinics. For providing clinical services, Lady Family Planning Visitors were posted to provide clinical services. In 1965, the first attempt was launched for comprehensive family planning services comprising clinical services, communication programs and greatly expanded outreach. In view of the lethargy of the public sector in launching the earlier effort, a parasitical Family Planning Board was created for implementing a massive program. The service strategy of this program was based on female paramedics (lady family planning visitors) with an outreach system supported by dais and male organizers who were mainly responsible for recruiting clients for IUD and Vasectomy respectively, rather than meeting the client needs.
Neither effort succeeded. Moreover, outreach was sporadic at best, training was weak and worker credibility at all levels suffered. Nonetheless, a clear insight into the meager achievement of the 1965-1970 programs was evident from the results of the National Impact Survey of 1969. It indicated that 64.0 percent of women knew about a method and only 14.0 percent knew of a supply source.
In retrospect, the high level commitment to the 1965-1970 programs was one of its pitfalls. A smaller and more focused program with careful pilot testing might have established in a better long-term framework for deliberations on future policies and programs. However, despite a considerable investment, this program achieved little more than promoting public awareness of population problems and increasing basic knowledge on contraception.
A. The Programmatic Actions during the Third Phase:
- A massive field oriented family planning program was planned, organized and implemented;
- Full-time field staff and 30,000 part-time village organizers were recruited and trained to provide IEC services and non-clinical family planning methods at the door-steps of the rural eligible couples;
- A cadre of paramedics (FWV) was introduced for clinical services;
- Monetary incentives were given the clientele for strengthening clinical performance;
- Continued support from administration and top leadership were provided for program implementation.
B. Program Impact/Outcome during the Third Phase:
- Knowledge of Family Planning increased from 6% to 52% in rural and from 14% to 72% in urban areas;
- Only 4% of eligible couples were using contraceptives;
- Some political and religious barriers created obstacle to the program and as result the Thana Family planning Office of Sylhet was burnt when serious political disturbances were experienced by the country;
- Some fundamentalists created problem by claiming family planning acceptance is an illegal means to control the birth in different parts of the country; and
- The checkered history of FP program is that some of the fundamentalists even created obstacles to observe Janaza and burial of family planning acceptors according to Muslim legitimacy.
5.4. Integrated Efforts: An Attempt to Integrate FP and Health Services (Transitional Phase, 1970-1975):
1. Stagnancy of the Program Due to Liberation War, 1971:
The program passed on to a transitional phase in 1971 after the liberation war in Bangladesh, and it came to a stand-still. included;
i. Family Planning program became a subject of the central government, under the Ministry of Health;
ii. Family Planning Board was abolished;
iii. At the field level FP was integrated with malaria control activities;
iv. Monetary incentives for IUD and sterilization was discontinued;
v. Only oral pill was introduced as a method of birth control;
vi. Part time dais were withdrawn from the program.
2. Program in Immediate Post-war Context: 1972-75:
Bangladesh came into being through the nine month’s liberation war. During this period, Bangladesh was recovering from its tragic war of independence and its economy was in disarray. An atmosphere of crisis permeated all national planning and donor negotiations at that time. The devastation from war was particularly debilitating to the health and social sectors. Mechanisms for coordinating complex task at the periphery, where family planning services would have their effects, simply did not exist. Yet a sense of urgency prevailed, leading to deliberations on creating and financing a large and comprehensive program with staff in the tens of thousands.
The First Five year Plan of Bangladesh (1973-1978) established a clear focus on the population problems facing the country and left little doubt that the new government viewed the population crisis with considerable concern. The plan marked the beginning of a commitment to a multi-sectoral and broad-based population control and family planning program, with priority assigned to the family planning service delivery activities incorporated into the line functions of other eight ministries/divisions. Two important features of the plan were (a) creation of a separate Population Control Division in the health ministry emphasizing the importance of implementing family planning program and (b) family planning service’ was staffed by huge recruits of male and female workers at the grass-roots level. These female FWAs see themselves primarily as providers of family planning counseling and supplies. FPA are required to supervise the works of the FWAS and conduct male motivational
meetings. The plan also constituted a tenacious expansion of activities and services and the year 1975 witnessed the beginning of extensive program development and implementation.
Elements of this program might have neutralized initial resistance to family planning among religious leaders; outreach services improved the intensity as well as quality of information and services reaching women. Several structural and strategic changes transformed the program from its initial focus on clinical services to a complex interagency program with large public sector components. This resulted in considerable progress establishing a system of family planning service delivery; however, program activities were seriously hampered over conflicts concerning the integration of the health and family planning wings of the health ministry. Some program undertaken during this period, Govt. attempted to reformulate program policies and strategies to make it more effective and need-responsive with a goal of reducing growth rate and corresponding CBR from 47 to 43/1000 live births. A special program for rehabilitating the war victim women were undertaken by the FP professionals in the country. An international seminar was held where a message from the World Bank President Mr. Robert McNamara, emphasizing on the need for "strong government commitment to family planning program". Due to a uncertain and chaotic situation due to integration on the on hand and governments priority to the reconstruction of physical infrastructures, rehabilitation of war victims, and fight against the famine of 1974, on the other hand, the program could not pick up speed during this time.
A. The Programmatic Actions during the Transitional Phase:
- Govt. integrated family planning with health services irrespective of IEC and service delivery at institutional and domiciliary levels;
- Oral pill was introduced;
- MR program got its roots;
- Holding of international conference in Dhaka on family planning;
- Providing training to the high level officials of Indonesia to launching the FP program in Indonesia on their return;
The International Population Conference held in Bucharest in 1974 declared the family planning as an integrated part of development; and
Bangladesh emancipated with the emergence of the idea of integrating population with development.
B. Program Impact/Outcome during the Transitional Phase:
- The program did not pick-up speed because of the anomalies created due to integrated system, however, the performance of IUDS, Sterilization and conventional contraceptives was gradually increased.
- In 1971, the performance in all methods was zero, in fact no work was done, however it was increased from 1,597 sterilization and 350 IUDs in~1972-73 to 50,391 and 19,171 respectively in 1974-75. The trend of increase was highly significant.
- The government target enunciated a desired achievement of 25 percent contraceptives prevalence rate by 1970. Against this target, only 8 percent was achieved by the end of 1974.
5.5. Broad base Multisectoral Family Planning Program, 1975-89:
I. Family Planning Program in Transition, 1975-80 (First 5-year Plan, 1973-78/80):
The first five year plan of newly born Bangladesh came into force during the period 1973-78. This period witnessed a series of hectic activities in terms of program policy and measures. Awareness of the highest level policy makers about the menacing impact of population explosion in the newly born nation was at its peak. So also was the commitment to expedite curtailing of the unbridled growth of population which was affecting the balance between food production and sheer size of the population. The Government of Bangladesh in 1975, declared population as the number one problem, while food production enjoyed highest priority. Before this declaration, just after launching of the nation’s first
five year plan, the current multisectoral based family planning program was initiated in November 1974 when a separate Family planning Division was set up in the Ministry of health and Family Planning. The urgency of link population with other developmental efforts was strongly felt. During this period a radical change in program dimension took place.
- **Encouraging/Initiating Community Based Services through Community Participation/Involvement of NGOs**: The first national population policy of Bangladesh was approved and announced in June 1976 clearly envisaging the urgent need for total revision of strategies in order to make reproductive health/family planning program as an integral part of social mobilization and economic development efforts. Since 1976, the family planning program turned increasingly to be a MCH based, multi-sectoral and community oriented development program. The involvement of voluntary organizations/NGOs, social groups, religious leaders, youths and women group was encouraged and supported by the government. In order to address the burning issues related to population problem of Bangladesh, different programs and implementation strategies have been designed and introduced by different service providers. Of all the strategies have so far been planned and undertaken, the community participation approach has been identified as one of the viable strategies to effectively implement the national population program.
**A. The Programmatic Actions during the Transitional Phase:**
- Integration of Maternal and Child Health (MCH) with the newly created family planning division, separating it from the health division;
- Reorganization of organizational structure;
- Replacement of part time dais and CMOS by recruiting of full-time male FPA (Family Planning Assistant) and Family Welfare Assistants (FWAS) for domiciliary service delivery;
• Introduction of population and development program through multisectoral efforts by the participation of Ministries of Agriculture, Education, Law and Parliamentary Affairs, Social Welfare, Women Affairs, Labor and Manpower, Rural Development and Cooperatives, Information and Home Affairs etc. Declaration of rapid growth of population as the number-one problem;
• Formulation of National Population Policy which indicated the application of social, legal and economic measures;
• Establishment of Family Welfare Centers at union level;
• Involvement of voluntary organizations/NGOs to create an atmosphere for social movement;
• Comprehensive IEC&M activities were initiated throughout the country with multi-dimensional innovative approaches.
B. Program Impact/Outcome during the Transitional Phase:
• Structural reorganization;
• Development of appropriate service infrastructure and manpower for MCH-FP;
• Meeting existing demands and generating additional demands;
• Streamlining of procurement and distribution;
• Publicizing the program throughout the country to raise awareness on FP-MCH;
• Awareness on FP-MCH was raised from 50 to 90 percent;
• CPR increased to 14.0%;
• Performance of contraception increased to a great extent as shown in the table below:
Table 1: Performance of Contraceptives Services/Distribution during 1975-79
| Year | Sterilization (In number) | Injectable (In doses) | IUD (In number) | Condom (In pcs) | Oral Pill (In cycles) |
|--------|--------------------------|-----------------------|-----------------|-----------------|----------------------|
| 1975-76| 48,915 | 1,908 | 77,840 | 54,744,540 | 5,943,055 |
| 1976-77| 116,312 | 2,548 | 59,421 | 35,257,560 | 4,638,597 |
| 1977-78| 77,365 | 4,527 | 40,564 | 65,366,388 | 7,487,316 |
| 1978-79| 106,424 | 11,028 | 22,631 | 57,541,476 | 7,120,550 |
Source: Karim A.M., 'Bangladesh Population Policy and Programs: An Overview of Past and Present published in Bangladesh's Population Problem and Program Dynamics, edited by Mabud A.M.
2. FP Program Expansion: Multidimensional Community Approach, (Secondhand Third 5-Year Plans-1980-85/1985-90):
2.1. F P-MCH and EPI Services:
During this phase, the family planning program expanded its sphere of operations, both in terms of coverage of areas and target audiences representing varied socio-economic and demographic backgrounds. The major focuses of the program implementation were emphasized on: establishing health and FP infrastructure; training technical manpower, and enhancing communication coverage. The official name of the Ministry of Health and population control was changed to the Ministry of Health and Family Welfare For providing training and conducting the research on family planning, National Institute of Population Training and Research was created as an autonomous organization. A significant organizational restructure was done in the directorate of FP with creating some new positions at the national level and down to Thana levels. Family Welfare Centers (FWCS) and Maternal and Child Welfare Centers
were created at the union levels and selected district and than levels respectively. Satellite clinics have been introduced in the light of Indonesian FP program at the village levels. A total of 30,000 such clinics were operated per month to facilitate the accessibility of services at the door-steps of eligible couples. Through these satellite clinics, MCH, Immunization, contraceptives and counseling services have been provided. During this period a very significant expansion has been made in field level service delivery by expanding the number of FWAS from 13,500 to 23,500 that facilitated the wide coverage of couple by the field workers.
2.2. Community Participation to make FP as a Social Movement:
Community participation has been recognized as one of the major vehicles of making the FP-MCH programs a success through transforming it into a social movement, which has been proved in Indonesia, Thailand, The Philippines and other regional countries. Bangladeshi policy planners and implementers were convinced on the issue and tried to foster and strengthen the community participation through utilizing and replicating the Indonesian and other regional countries’ experience. During this time, Indonesian FP program model and lessons learnt was taken as the case to experiment in Bangladesh program. As a result, through overseas study tours, over one thousand program planners and implementers, community leaders and even service providers exposing themselves to the success story of the Indonesian program by practically observe the Indonesian program design and implementation strategies. Following these study tours, the participants, back at home, developed an Action Plan for their own area(s) for implementation in line with the Indonesian program. In Bangladesh, the program was known as Local Initiatives Program (LIP) and Bangladesh succeeded in introducing and extending ‘the LIP in 104 out of the country’s total 464 upazilas since 1987. LIP deployed 32,000 community women as female volunteers. The program has achieved a laudable success in implementing the program through enlisting the support of community leaders and other local influential. Among the local level
institutions, the Union Parishad (UP), a local level elected body consisting of a chairman and twelve members including three female, participate in the local level program implementation and provide support to the service providers. The introduction of community level depot-holders for contraceptive supplies had been organized by female members of Village Defense Parties (VDP) in rural areas, the organization of satellite clinics at household levels, the construction of community clinics at village levels are all illustrations of government efforts to bring the community close to the planning and implementation process of family planning program.
2.3. Involvement of NGOs:
Following this effort, there had been policy shift emphasizing integrated and comprehensive approach for population and development required to provide FP-MCH services that are relevant to actual demands and priorities of the eligible couples. Considering the diversity of the problems and because of various limitations of the Govt. program, the NGOs and other private sectors were invited to supplement and complement the Govt. initiatives so as to achieve the goal of net reproduction rate-1 by 2005, integrate health and family planning program functionally, offer wide range of contraceptive choices/options, launch efforts on social mobilization etc. As a step towards a positive response to national population policy to encourage the NGOs and other international organizations to participate in population activities, a large number of local, national and international organizations came forward to provide services and other financial and technical supports to expedite progress in family planning program. All the NGOs planned to involve the community leaders as an integral component of the community participation approach, especially at the local levels of program implementation. During the period, over 700 international, national and local level NGOs were involved in FP-MCH program implementation with the financial assistance from donors and government. The Family Planning Council of Voluntary Organization (FPCVO) was constituted under the chairmanship of the Minister for Health and Family Welfare.
(MOH&FW). Family Planning Services and Training Center (FPSTC) was created as the secretariat of FPCVO to promote voluntary organizations as an umbrella resource organization and apex body for NGOs.
2.4. Special Projects:
During 80s a good number of multi-sectoral projects were developed in collaboration with different ministries. By the end of 1990, all the multi-sectoral projects except the three women’s project were discontinued. These three projects were: Women's Vocational Project for Population Activities, Ministry of Women affairs; Strengthening Population Planning through Rural Women's Cooperatives; and Use of Rural Mother's Centers for Population Activities, Ministry of LGRD continued through third five year plan and so on. Some other special projects were also created by the MOH&FW at this time. Among those, National Institute of Population Research and Training (NIPORT), Family Planning Services and Training Center' (FPSTC), Social Marketing Project (SMP), Mohammadpur Fertility Services and Training Center (MFSTC), Menstrual Regulation Training and Services Project (MRTSP), Metropolitan Satellite Clinics (MSC) etc. Later on, these projects transformed into NGOs or Government organizations. Out of the six projects, FPSTC, SMP, MRTSP and transfonned into NGOs and renamed as PSTC, SMC, RHSTEP respectively. On the other hand, NIPORT, MFSTC and Metropolitan Satellite Clinic became government projects and merged with the Directorate of Family Planning. Only Satellite clinic renamed as Mahanagar Clinic. These projects are still continuing with their existing services along with some new components. Their contribution FP-MCH services are mostly significant and highly praiseworthy. Among others, Management Development Unit (MDU), Family planning Clinical Supervision Team (FPCST), Construction and Management Cell (CMU) and Population and Development Evaluation Unit (PDEU) were the remarkable projects.
A. The Programmatic Strategies/Actions during the Broad base Multisectoral FP Program Phase:
During this phase govt. set up a strategic plan which was characterized by:
- Functional integration of Maternal and Child Health with FP program separating from the health;
- Strengthening motivation, education and service dissension at the field level by recruiting field workers;
- Setting up of mobile sterilization team, and creating MCH-FP service infrastructures at the thana and union levels;
- Creating a national directorate of IEM with demand creation programs; and establishing a research directorate integrated with the previous directorate of inspection;
- Initiating population and development programs through the first world bank and GGB projects on FP with the active participation of other development ministries; and;
- Involvement of NGOs including their participation in the implementation of FP-MCH programs;
- Acceleration of performance through target base achievements, especially the performance of sterilization;
- Offering wide range of contraceptives option/choices endeavoring to raise the quality of services, especially that of sterilization;
- Strengthening training and research through establishing the NIPORT, separate autonomous organization;
- Expansion of MCH services through at Than Health Complex and FWCS;
- Ensuring quality of program management through monitoring of program implementation and performance;
- Launching efforts on social mobilization with sustained support of national level policy audiences through establishment of the National Population Council Headed by the President;
- Set-up an ambitious demographic target of achieving NRR-1 by 1990 by limiting population size to 115 million;
The multi-sectoral approach, with thrust on MCH interventions within the framework of overall development aiming at poverty alleviation, was maintained during this plan period.
**B. Program Impact/Outcome during the Broad Base Multisectoral Phase:**
Despite having shortfall in CPR, Govt. achieved the pre-requisites for a favorable setting for a successful MCH-based FP program.
- CPR was planned to increase from 14% during 1973-78 to 38% during 1980-85;
- Govt. opted for a system of functional integration of health and family planning services at field level.
- Introduction of FWA register and reorganization of ward and units hiring more 10,000 FWAs and a total of 23,500 for strengthening door steps services.
- 90% of all eligible couples knew at least one family planning method;
- IMR reduced from 125 to 110;
- CPR increased from 25% to 39%, CPR also increased in rural areas;
- Total users increased from 4.2 million to 7.3 million.
- An increase in female ages at marriage;
- Social acceptance of FP substantially increased;
- The demographic goal of NRR-1 by the year 2000 has been shifted to 2005;
- During 1985-90, the policy of this plan had been to integrate, strengthen and improve MCH services with family planning program in order to make the program broad-based and to reduce the population growth with an ambitious target of reaching NRR-1 by 2000.
- Establishing program and service infrastructure up to the door steps of the target audiences,
- Formulating national strategies and policies on family planning.
• Intensifying program interventions in the areas of logistics, IEC, monitoring, training and research,
• Encouraging the involvement of NGOs, and
• Initiating social marketing programs of contraceptives as a private sector initiative.
• Community participation has been enlisted in MCH-FP services.
• The FP acceptors rates have been increased to a great extent which is reflected in the distribution table below:
| Year | Sterilization (In number) | Injectable (In doses) | IUD (In No.) | Condom (In pcs) | Oral Pill (In cycle) |
|--------|---------------------------|-----------------------|--------------|-----------------|----------------------|
| 1979-80| 198,782 | 26,026 | 21,801 | 58,880,612 | 6,227,651 |
| 1980-81| 258,793 | 112,010 | 41,601 | 87,111,780 | 8,137,744 |
| 1981-82| 302,908 | 81,065 | 83,668 | 93,230,412 | 7,751,352 |
| 1982-83| 363,157 | 72,697 | 11,7743 | 116,821,484 | 8,257,995 |
| 1983-84| 552,167 | 2,457 | 303,338 | 131,096,483 | 9,267,677 |
| 1984-85| 491,159 | 165,933 | 432,465 | 151,939,740 | 11,552,863 |
| 1985-86| 267,543 | 216,489 | 367,668 | 135,907,065 | 12,136,678 |
| 1986-87| 350,560 | 314,748 | 420,338 | 149,235,713 | 15,023,080 |
| 1987-88| 196,015 | 389,299 | 379,128 | 166,461,512 | 19,099,752 |
| 1988-89| 330,973 | 598,702 | 361,698 | 181,896,175 | 24,619,812 |
| 1989-90| 125,062 | 1,257,581 | 365,623 | 198,023,230 | 34345933 |
| 1990-91| 165,300 | 1,689,114 | 274,331 | 133,798,345 | 42,704,239 |
Source; Karim A.M., ‘Bangladesh Population Policy and Programs: An Overview of Past and Present’, published in Bangladesh’s Population Problem and Program Dynamics, edited by Mabud A.M.
5.9. FP-MCH Program Consolidation and Strengthening (Fifth 5-Year Plan; 1990-1995):
A comprehensive health and population program was drawn-up during this plan period. The main program initiatives undertaken were (a) organizing more static service delivery centers, (b) operating joint sessions of PHC and FP-MCH in satellite clinics, (c) combining the FWC and rural dispensaries as common service points (d) establishing MCH/FP services in all hospitals and medical colleges and (e) mobilizing community support and participation.
The plan documents emphasized integrated and comprehensive approach for population and development required to provide MCH-FP services that are relevant to actual demands and priorities of the eligible couples. For this matter, it received highest priority at both national and local levels. The demographic goal of achieving NRR-I was shifted from 2000 to 2005.
A. Programmatic Strategies/Actions during the FP-MCH Program Consolidation and Strengthening Phase:
- Reducing IMR from 110 to 80/1000 live births;
- Lowering MMR from 5.7 to 4.7/1000 live births;
- Reducing TFR from 4.5 to 3.3 per woman;
- Reducing growth rate from 2.3% to 1.8%;
- Increasing CPR from 39.0% to 50.0%;
- Improve effectiveness of the planning and delivery of FP and health services;
- Improve the health status of the general population.
B. Program Impact/Outcome during the FP-MCH Program Consolidation and Strengthening Phase
- CPR increased to 45.0%;
- Growth rate reduced to 2.2%;
- TFR reduced to 3.4%;
- Organizing 800 service delivery static centers;
- Operation of joint session of PHC and FP-MCH in the satellite clinics;
- Establishing FP-MCH services in all the hospitals and Medical Colleges;
- Combining the FWCS and Rural Dispensaries as common service points;
- Initiating 126 Projects in NGO and public sectors including the Health Economics Unit in the Ministry of Health and Family Welfare.
5.10. Health and Population Sector Program: 1998-2002
HPSP of 1998-2002 was formulated keeping in view the principles of the health and population sector strategy with a single sector for both health and population. It was aimed at reforming the health and population sector providing a package of essential health care services responsive to the clients’ needs and achieves quality of care with adequate delivery capacity and financial sustainability. The main sectoral objectives of the HPSS were maintenance of the momentum of past efforts to lower fertility and mortality, reduction of child and maternal mortality and morbidity, reduction of the burden of communicable diseases and development of sustainable processes that lead to organized communities working in partnership with the govt. efforts. These have specific focus on ensuring access of the disadvantaged groups to high quality, client-centered services. Under these assumptions, Govt. introduced Health and Population Sector Strategies (HPSS) and planned to launch Health and Population Sector Program (HPSP) in 1998 in order to deliver quality family planning services within a customer-focused reproductive health.
approach for the poor, women and children. It initiated the process of reorganization and sector-wide reform to implement a more effective integrated service delivery programs. The HPSP encouraged concerted participation of public, private, non-profit sector, NGOs and community. HPSP was made operational for about four years.
A. Programmatic Strategies/Actions during the HPSP Phase:
- Introduction of sector-wide program management system;
- Introduction of integrated services by amalgamating health and population infrastructure at the upazila level and down below;
- Introduction of static center-base service delivery system instead of domiciliary service delivery;
- Establishment of community clinics at village level;
- Integration of GO/NGO collaboration under the sector-wide management;
- Introduction of Essential Service Package (ESP);
- Initiate efforts to change client’s health seeking behavior by encouraging them to receive services from static centers instead of receiving at their door-steps.
B. Program Impact/Outcome during HPSP Phase:
There were unhealthy efforts of program implementation, especially at the field level. The overview is that, this period witnessed intense inter-cadre conflicts between personnel belonging to both health and family planning cadres, predominated by personnel with social mobilization and field program management skills and reached a level of no return and no compromise for team work sharing the same organizational structure. This conflict was found to be so instrumental that the program could not make any headway in the field. Under this scenario, Govt. at the end of the program period, asked two independent organizations, IMED and London School of Hygiene and Tropical Medicine, to evaluate the HPSP. Among others, the major findings of the IMED study were:
• Unifications at upazila level and below did not work, rather has created intense inter-cadre fight and hence, unification should be discontinued at the earliest
• Program concept, design, goal, objectives, targets by program components and implementation strategies may be formulated in two separate PIPs; one for health and the other for family planning
• Resource allocation was not explicit and not need-based
• Decentralization of resources and bureaucratic authorities could not occur effectively
• Hasty implementation of the HPSP, without piloting it in 50 upazilas, as proposed, to gather experiences before it is implemented nationally, kept the field functionaries in dark about its strategies, program components and implementation plans.
Thus, this period was marked with chaotic management situations, especially in terms of program implementation at the field level. The conflict among the cadre officers and between the medical and non-medical personnel of health and family planning departments led the program implementation disarrayed and there was an absence of accountability of works by personnel from both the departments. This program was hastily put into operation without preparing the officers and staff through orientation for working in teams and without understanding of their mind-set enabling them to implement the ambitious program of one-stop service delivery under ESP. There were also inadequacies in infrastructural facilities and also service provisions as required. The most frustrating components of this program were the withdrawal of the family welfare assistants from home visitations and the FWA register was made non-functional. As a result, the home service delivery of contraceptives was badly disrupted, the field program monitoring suffered and the program momentum was halted. The other important lapse and weakness in this program was/is the absence of community participation in the local level program planning process on the basis of the local needs and priorities. Since it is not tuned to their needs, the community was/is found reluctant to demand services they do not need nor does it help facilitate service delivery in their localities.
These missed opportunities of the govt. program need to be effectively addressed. Despite these prevailing problems, the CPR was increased from 50 to 53 percent from 1997 to 2000. However no change is made over the TFR. It was stagnant at 3.3 both in 1997 and 2000.
5.11. Health, Nutrition and Population Sector Program (HN PSP): 2003-2006:
In this backdrop, the immediate past government, upon proper review of the Health and Family Planning Sector services, decided to restructure HPSP based on the recommendations of the stakeholders, planners and independent evaluation. Govt. has decided to introduce Health, Nutrition and Population Sector Program (HN PSP) for a period of 3 years during 2003-2006 under the sector-wide approach maintaining two separate organizational structures (Health and Family Planning) and authority, as these existed prior to July, 1998.
To overcome the multidimensional problems and meet the challenges in the spirit of ICPD, the govt. launched the HN PSP in 2003 with the objectives of (i) reducing TFR to 2.2, (ii) increasing CPR to 62.0 percent. (iii) reducing discontinuation rate of contraceptive use to 30.0 per cent and (iv) achieving NRR-1-all by 2010. This was followed by development of needed key program strategies to achieve those objectives. These are reviving domiciliary visits by female field workers especially to hard-to-reach groups, bringing couples having unmet needs for FP into method-use, establishing strong multi-sectoral programs, especially for raising female age at marriage and first birth, enforcing legal age of marriage, developing client-segmented BCC activities, promoting a more effective method-mix of CPR, improving management skills and supportive supervision. The main purpose will be to increase the availability and utilization of close-to-client and domiciliary, cost-effective, efficient, equitable, affordable quality services for maternal and child health care and family welfare, and to promote healthy life-style to improve socio-economic conditions of the people of Bangladesh. Under this program, the family planning personnel got back their self-identity in managing and implementing the RH/family planning program, domiciliary visits and
FWA register have been re-introduced along with an emphasis on the above key program strategies and priority program issues.
**A. Programmatic Strategies/Actions during the new HNPSP:**
1. Increasing CPR from the baseline level 57.1% to 60.3% at the end of the plan period (2006) with emphasis upon permanent and longer acting methods;
2. CBR will be reduced to 15 from current level of 19.83 and CDR to 3.8 from 5.3 per 1000 population;
3. Average annual growth rate is reduced to 1.2% from 1.5%;
4. TFR will be reduced to 2.8 from 3.0 births per women;
5. Infant Mortality rate be reduced to 60.7 from 73 per 10(0) live births;
6. Maternal mortality rate be reduced, to 2.8 from 3.1 per 1000 live births;
7. Proportions of longer-acting method users will increase to 13.95 from the current level of 12.4%
8. Non-clinical method users rate will also increase from the base line level of 28.8% to 30.9%, while traditional method users will show slight increase by 0.2% percentage point (from 7.7% to 7.9%)
9. Govt. will undertake strong measures to increase male sterilization from 1.3% to 1.6% as part of Govt. strategy to enhance male participation.
10. The Govt. has undertaken detailed program during the current plan period (2003-2006) to perform a total of 700,000 sterilization procedures (including both male & female sterilizations) especially by the installation of Non-Scalpel Vasectomy (NSV) for male sterilization by holding special sterilization camps (2 camps per upazila per month).
11. The following support services were also ensured in the program:
- Expansion of service centers and increased accessibility to services are part of the strategies to attain the objectives and targets.
• Intra-structural changes have been made effective by removing the anomalies of the past program (HPSP); but there will be functional linkages between the two Directorates for establishing even stronger collaboration than before.
12 Besides, the following measures will be undertaken to implement the activities and achieve the projected outcomes.
• Establishment of a sound logistics management information system to ensure availability of different supplies;
• Formulation of steering committee at different tiers for regular review of service performances;
• Identification of low performing areas and causes thereof to help formulate strategies for improving program performances;
• Development of a mechanism for Strengths, Weaknesses, Opportunities and Threats (SWOT) analysis for improving the program performances at different tiers on continuous basis;
• Replacement of contraceptive distribution-based statistics by a more dependable user-based indicator;
• Generation of evidence-based information for policy making at all levels;
• Establishment of further coordination with NGI(s) and private sectors;
• Identification of common and uncommon areas for generating indicators between the two Directorates.
B Program Impact/Outcomes during HNPSP:
• Disintegration has been made at the upazila level and down below and domiciliary service delivery started at the field level;
• Dissatisfaction among the health and family planning officials especially at the field level has been eliminated and staff morale has reestablished;
All the field level staff had been serving as development project staff have placed under the revenue setup which assured them a retirement benefits;
Different development projects in health and FP sectors have been started to achieve the program goals;
The CPR has increased from 53 in 2000 to 58 percent in June 2007;
The TFR is still 3 per woman at the same period;
Safe delivery, antenatal care, post-natal care, maternal mortality, child mortality and infant mortality has reduced significantly.
6. Critical Analysis:
The policy makers of the RH/FP program steadfastly maintained throughout the decades that development goals could be achieved only if population growth is arrested. Thus, the policies were family planning target-focused even though the improved health of women and children always remained an important concern. The success was measured in traditional ways-reduction of maternal mortality rate, infant mortality rate, increase of contraceptive prevalence rate and lowering of the total fertility rate. The reduction of fertility rate and slowing down of population momentum were the ultimate measures of success. The written policies reflected this and the various five year plans set the achievement targets for all of these indicators. Yet the fourth Five Year Plan already emphasized the quality concerns in service delivery. To achieve this goal, the plan stressed the needs for strengthening the maternal and child health component, expanding and improving the clinical contraceptive services, improving quality of care by augmenting the screening of clients, counseling and regular follow-ups. In spite of best efforts extended to educate the said stakeholders about their role and responsibilities in contributing to the implementation of family planning program; they could not contribute much to the success at the desired level because of their pre occupations or other reasons in other development activities. Throughout its long history, the program maintained several main positive features, which contributed directly to its success:
• A well designed population policy supported by strong political commitment,
• Recruitment of a huge number of field workers for developing a vast network of service delivery at the grass-roots level,
• Inclusion of NGO as a supplementing and complementing forces which developed community-level RH/family planning services, especially addressing the missed opportunities of the govt. program,
• Ensuring constant monitoring, evaluation and operations research to receive feedback on program operation,
• Ensuring comprehensive information, education, communication and motivational aids through electronic and printed medias and social activities.
• Uninterrupted donor support it received.
Thus, in spite of govt. changes throughout the decades from independence to the present day, the population efforts received sufficient support to experiment with new ideas and sustain program momentum. But there were two negative aspects of the program, which impeded its success.
a. The structure of the program and the potential for it were donor driven. Moreover, there are conflicts between the health and family panning personnel over the years. There are internal management problems existing within the family planning directorate, and
b. The donor funds were considered a two-edged sword. Critics felt that the donors too often determined the course of the program. Often when the govt. faltered or was in transition, the donors provided directions. The bureaucratic attitude and complicated decision making process hindered/disrupted the smooth functioning and delayed release of fund under HNPSP.
However, in spite of uninterrupted efforts to provide RH/FP services, the family planning program, as interlinked with the overall development process, has already reached a critical stage. The unmet needs for services
has been rising; on the other hand, stagnation in its further improvement has slowly crept in. This has to be halted by any means. In order to counter the stagnation in the program and move forward, the govt. initiated a dialogue with all segments of the civil society to identify future challenges and develop a time-bound plan to meet these. The major concerns centered on the following issues:
- Health of mothers and children had not improved at desired levels. The reproductive health was new and represented a strongly felt belief that family planning focus was insufficient to meet the desired goals for improved health of mothers and children,
- Program has to accelerate in sustainable ways to meet the unmet needs and the service needs of the increasing number women requiring services in future,
- There will be a difficulty to meet the rising costs of the program, door step service delivery will become expensive to carry on and thus ensure program sustainability,
- The other constraining factors are the effective management of the dropout cases and the existing facilities are not adequate enough to meet all clients’ needs.
6.1. Constraints:
Much has been written about how fertility falls in the course of economic development; relatively little is known about how fertility can fall in its absence. Bangladesh is alone among the poorest countries as an example where fertility decline has begun. A series of carefully conducted national probability surveys portrays a marked increase in contraceptive prevalence, from only 7.0 percent in 1975 to 58.0 percent in 2004, Fertility has also declined, from 7 births per woman in 1975 to 3 births per woman in 2004 (DHS-2004). This change is termed as surprising. Thus, Bangladesh has received considerable attention in the international development circles as a country where reproductive revolution has occurred in the absence of significant improvements in the socio-economic indicators. The dramatic increase in the prevalence of
contraceptive use and the declining fertility rate have been attributed in large part to massive efforts made to expand access to family planning methods and services and to motivate rural people to use them. That reproductive revolution is remarkable when seen against the backdrop of persistent poverty, high child and maternal mortality, low literacy and patriarchal social norms such as, early marriage, seclusion of women and adolescent girls, and preference for sons. However, there are a few other constraints, both demographic and programmatic, that need immediate attention.
The period could not make headway in achieving the program objectives get for because of the following reasons:
6.2. Constraints on Reproductive Change:
Bangladesh is an inauspicious setting in which to anticipate a fertility decline. Thus, it is 'necessary to review some of the social and economic perspectives that made the observed trends so unexpected. On the assumption that reproductive motives are structured by social forces, several influential analyses have identified economic and social institutions that sustain high fertility. In this view, changes in societal institutions are prerequisites to demographic transition. At the heart of such analyses are the conclusions about the economic and social circumstances of Bangladesh about which there is no debate. A wealth of information is available in Bangladesh about complex economic and social circumstances that hamper the overall development and impede the successful introduction of the family planning services. Of many, the most important ones are:
- High fertility is sustained by the interlocking effects of the economic and social security value of children, specially of male child considering bread earning member, poor health conditions and high mortality risks, and low levels of maternal educational attainments;
- Another concern is the pervasive constraints on improvement of health, especially bringing a dramatic change/decline in child and
maternal morbidity and mortality, altering parental perception of child survival;
- A little of consequence can be achieved in the population sector in Bangladesh, in part because the climate of demand for children is inconsistent and in part because organizing effective social and health services at the periphery is a formidable undertaking;
- Inheritance, marriage and descent in Bangladesh are patriarchal, thus with male domination. These elements act to sustain fertility;
- With women barred from most forms of paid employment outside homes, the opportunity costs of raising children are minimal.
- Parents have a high preference for sons over daughters, which in conditions of uncertainty about child survival is conducive to high fertility;
- Labor utility of children constitutes a familiar rationale for high fertility in Bangladesh;
- Rural households with cultivable land require large families because of highly developed segregation of work by sex and age. Fertility reduction will only occur as a response to the breakdown of filial duty toward parents, associated with greater residential nucleation of families.
- Inadequate service coverage of MCH, wide gaps between ever users and current users and complaints of side-effects of certain method-use.
- Lack of focused and direct communication efforts hindering demand creation and crystallization, ineffective performance of manpower development, causing set back to management skills development.
- Continuing conflict between medical (broadly health) and non-medical (FP) program personnel impending dispensation of combined FP, MCH and PHC services.
- Analysts have marshaled these and other arguments to suggest that the constraints on the reproductive change in Bangladesh are so systemic and interlocking that Bangladesh is an auspicious setting for an effective family planning programs.
6.3 Constraints on Organizing Effective Programs:
The predominant thrust of the policy in Bangladesh has been the emphasis on provision of clinical family planning services augmented with community outreach and mass communication activities. However, the following are the major constraints which the family planning program has been facing:
- There were operational deficiencies derived from political turmoil, govt. bureaucracy and management weaknesses at the field level;
- Weak capacities to translate high level commitment into program action was a problem that had affected the program activities;
- Sectoral ministries/divisions lacked proper mechanism for interagency coordination, thus hampering multi-sectoral programs or involving joint public and private sector action;
- Bureaucratic constraints were compounded by successive dysfunctional structural and management changes that were instituted without adequate attention to their strategic and operational implications;
- The implementation of the program was further weakened by operational deficiencies in its basic strategic plan and management system. This was associated with the subsystems of management information, supervision, training/re-training and personnel management;
- Resource constraints led to a decline in the value of real wages in the public service, eroding the integrity of authority in the bureaucracy;
- Institutions that hired, trained and supervised a huge field workforce faced a difficult climate for motivating the field workers to perform and/or disciplining those who failed to perform their responsibilities.
7. Recommendations:
Some of the population experts have argued that failure relates to demand-side problems and others that supply-side weakness explains the
failure. The constraining factors presented are not new and a reorganization of program strategies will be crucially necessary. In order to be able to successfully implement the strategy, the health and family planning workers at all levels will need to blend their skills and work together as supportive partners, mobilize resources available in other sectors and enlist pro-active support from the community, NGOs and development partners.
Different findings of research/evaluative studies and dialogue with all stakeholders and civil society have helped identify a few but critical challenges of the national RH/FP program for initiating immediate actions. These are:
- Increasing the use of clinical methods.
- Intensifying program efforts in low performing areas,
- Improving the coverage of the underserved groups,
- Improving performance and follow-up by ensuring accountability of services by field level managers and workers.
- Carrying out critical training for all, especially at the field level.
- Accelerating client-segmented IEC/BCC at community level.
- Ensuring improvement in quality of care in service delivery.
- Strengthening the MCH and other reproductive health care activities.
- Enhancing greater collaboration between the govt. and NGOs with specific areas of activities.
- Effective information system for program management and performance review.
- Accelerating community mobilization for greater participation of the community people acquiring knowledge, understanding and commitment necessary to respond positively to population concerns and to transform the program into a social movement,
There are at present three strong points which are likely to accelerate the process of addressing the above issues:
a. Provision of MCH-based family planning program with its vast service networks,
b. Continued policy level commitment and support, and
c. Dedicated partners of civil society with strong supportive roles of the community.
8. Conclusion:
The RH/FP program in Bangladesh was never operated in isolation; it followed a multi-sectoral approach. Other elements affecting women empowerment were being tackled by a combination of both govt. and NGO programs. Education, employment and legal status were all priority areas of concern. Formal and non-formal education of girls is a strong development indicator, as were micro-credit programs that focused on women, and improved legal rights. Other developmental ministries/divisions are also concerned with the population problems and design programs within their framework that directly or indirectly help implement the RH/FP program. Over the coming years, a new action plan developed will be implemented in line with the [CPD goals of population and development. It emphasizes the integral linkages between population and development and focuses on meeting the needs of individual women and children, rather than on achieving demographic targets. One of the primary goals is to make family planning universally available by 2015 as a part of a broadened approach to reproductive health rights. It is also theme-based and cut across different sectors. Its emphasis is on human development and concentrates on achieving improvement in quality of life. It has time-bound goals on mortality, education and reproductive health as well as attaining gender equity, equality and women empowerment as the key to improving the quality of life of all citizens in Bangladesh. Family Planning Program in Bangladesh should be viewed and considered as a movement of the community, by the community and for the community, ensuring the participation of all classes of people, by utilizing and mobilization local resources, directing towards a social movement and sustainable initiative / activities.
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Socio-Economic Upliftment of the Farmers through their Participation in Farm and Community Level Activities
Md. Mahmudul Hasan\textsuperscript{1}
Md. Enamul Haque\textsuperscript{2}
Md. Satiul Islam Afrad\textsuperscript{3}
Md. Amir Hosain\textsuperscript{4}
Abstract
The main objective of the study was to determine the level or degree participation of farmers in farm and community level activities. The study was conducted in selected four villages of Kathalia upazila of Jhalakathi district. The population of the study was 798. Data were collected from randomly selected sample size of 80 by using interview schedule during 5-25 March 2005. Among the seven farm and community level activities, farmers’ participation was the highest for education (PI=77.52) followed by health and sanitation (PI = 75.65). The lowest participation was observed in cooperation and savings (PI = 67.65). On the other hand, PI was high for housing (PI = 74.70) and farm production (PI = 71.94) and low for income generating activities (PI = 70.65), irrigation and drainage (PI=70.55), among five levels of program activities. At individual level, 46.3 percent farmers had medium -level participation, while 26.3 per cent had low and 27.5 percent had high participation in farm and community level activities. Correlation analysis indicate that among 10 personal traits studied education, farm size, extension media contact, cosmpoliteness, agricultural knowledge and organizational participation of farmers had significant and positive relationship with farmers’ farm and community level participation, while age had a significant but negative relationship.
\textsuperscript{1} MS student. Dept. of Agriculture Extension & Rural Development, Bangabandhu Sheikh Mujibur Rahman Agriculture University, Gazipur-1706.
\textsuperscript{2} PhD. Associate Professor. Dept. of Agriculture Extension & Rural Development, Bangabandhu Sheikh Mujibur Rahman Agriculture University, Gazipur-1706.
\textsuperscript{3} Assistant Professor. Dept. of Agriculture Extension & Rural Development, Bangabandhu Sheikh Mujibur Rahman Agriculture University, Gazipur-1706.
\textsuperscript{4} Professor. Dept. of Agriculture Extension & Rural Development, Bangabandhu Sheikh Mujibur Rahman Agriculture University, Gazipur-1706.
Introduction
Bangladesh is the most densely populated country in the world. The total population of the country is 139.76 million. Out of them about 80 percent are farmers. About one-third of Gross Domestic Product (GDP) comes from agriculture and two-third of labor force (51.7 per cent) is engaged in agriculture (BBS, 2005).
Bangladesh is an agro-based country. Her economy mostly depends on agriculture. Total cultivable lands are decreasing day by day. There is no chance to increase cultivable land. Most of the village members are landless. No agricultural development is possible without farmers active participation in agro-based development activities. Farmers can play a vital role if they increase their participation in agricultural production and community development related activities.
Despite farmers’ massive poverty, there have been very few special types of extension program undertaken in the past by the Department of Agricultural Extension (DAE), Department of Livestock Services (DLS) and Department of Fisheries (DOF) for upliftment of farmers and their agriculture. However, recently some Government and Non-Government Organizations especially, the World Vision, PROSHIKA and CARITAS are trying to motivate farmers in farm and community level activities. The World Vision imparts training to them on winter and summer vegetable cultivation, poultry rearing and other field crops. But this program is mostly intermittent and inadequate and not based on planning. However, there has been some tremendous concern as how the farmers are going with their farm and community level participation and what problems they are facing now. to carry on those activities.
In Bangladesh, farmers typically do more work than other. The farmers are potential producers of agricultural products and their participation is intensive in farming and community-based production. The concept of participation has been subject to lengthy debates e.g. Its historical origin, its theoretical connotation and practical applicability (Tidemand and Knudsen, 1989). FAO (1989) defined participation as the voluntary involvement of people in self-determined change. Government, funding agencies, donors and civil society actors including NGOs and multilateral agencies like World Bank and International Monetary Fund (IMF), have all arrived at a near consensus that development cannot be sustainable and long lasting unless people’s participation is made central to the development process (Khan, 2004). Again, through participation efficiency, effectiveness, self-reliance, coverage and sustainability of any program can be ensured (Oakley, 1991)
The nature and extent of farmers’ participation varies widely from region to region and in different societies. It is also susceptible to change due to variation of individual characteristics. Effective participation on any issue especially in farming activities requires some amount of knowledge about it. Farmers in rural areas usually possess some extraordinary qualification. It is very much essential to use their hidden talent in the field of participation on farming activities. An understanding of the participation of farmers in farm and community level activities and its relationship with their various characteristics will be greatly helpful for problem identifications, objectives formulation, planning execution and evaluation of programs aimed at helping the farmers to adopt farm and community level activities. The present study was, therefore, undertaken to determine farmer’s participation in farm and community level activities. The specific objectives of the study were as follows:
1. To ascertain the extent of farmers’ participation in selected farm and community level activities;
2. To determine selected characteristics of the farmers; and
3. To explore relationship between the selected characteristics of the farmers and their participation in farm and community level activities.
**Methodology**
Four villages namely, Hetalbunia, Lebubunia, Jaikhali and Amorbunia in Kathalia union of Kathalia upazila under Jhalakathi district were the locale of the study. There were 295, 227, 124 and 152 farm families in Hetalbunia, Lebubunia, Jaikhali and Amorbunia respectively. Eighty farmers were selected using proportionate random sampling technique. Statistical measures like range, frequency count, mean, rank order and
coefficient of correlation were used. Farm and community level participation was the dependent variable in this study. Seven major components of farm and community level activities were identified. Farmers' participation was assessed at each of five levels of program activities such as (a) problem identification, (b) setting objectives, (d) planning, (e) execution and (f) evaluation. Thus, participation was measured for seven components of farm and household activities, and for five levels of program activities. Statements for each level of program for specific activities were developed and each statement was rated against a 01-04 point ordinal scale. A score of 04 was given when farmer participated frequently with the statement, and thus 03, 02 and 01 were given respectively, when they occasionally, rarely, never participated. For each of the components, farm and community level participation of farmers was determined by summing the scores obtained by him/her self for the 4 concerned statements, while the composite participation of farm and community level of an individual farmer was computed by adding together the scores obtained by his scores for all the 07 components. Thus the possible composite farm and community level participation score of a respondent fanner could range form 28-140, where 140 indicated very high participation in farm and community level activities.
Findings And Discussion
Component wise farm and community level participation of the respondents
Farmer's participation in farm community level activities was the main focus of this research. The activities were grouped into seven categories. In addition, participation in each activity was observed at five levels namely in problem identification, objectives formulation, planning activities, execution of plan and in evaluating progress of activities. Participation at each level was measured on a 04-point scale. The expected range of score of the participation for each category of activities could range from 05 to 20. In order to have a clearer picture of farmer's participation in each of the above mentioned seven farm and community
level activities, total participation score of each activity were computed and a participation index (PI) of each activity were calculated.
Table 1 Farmers’ participation in seven farm and community level activities
| Components | Categories (scores) | Farmer (N=80) | Mean | Standard deviation |
|-----------------------------|------------------------------|---------------|--------|--------------------|
| | | No | % | |
| 1. Education | Low (up to 13) | 16 | 20 | 15.51 |
| | Medium (14 to 18) | 51 | 63.8 | 3.23 |
| | High (19 to 20) | 13 | 16.3 | |
| 2. Health and sanitation | Low (up to 13) | 21 | 26.3 | 15.13 |
| | Medium (14 to 18) | 47 | 58.8 | 3.33 |
| | High (19 to 20) | 12 | 15.0 | |
| 3. Housing | Low (up to 13) | 22 | 27.5 | 14.94 |
| | Medium (14 to 18) | 47 | 58.8 | 3.30 |
| | High (19 to 20) | 11 | 13.8 | |
| 4. Farm production | Low (up to 13) | 26 | 32.5 | 14.39 |
| | Medium (14 to 18) | 47 | 58.8 | 3.21 |
| | High (19 to 20) | 7 | 8.8 | |
| 5. Income generating activity | Low (up to 13) | 30 | 37.5 | 14.3 |
| | Medium (14 to 18) | 44 | 55.0 | 3.30 |
| | High (19 to 20) | 6 | 7.5 | |
| 6. Irrigation and drainage | Low (up to 13) | 30 | 37.5 | 14.11 |
| | Medium (14 to 18) | 41 | 51.3 | 3.69 |
| | High (19 to 20) | 9 | 11.3 | |
| 7. Cooperation and savings | Low (up to 13) | 33 | 41.3 | 13.65 |
| | Medium (14 to 18) | 40 | 50.0 | 4.04 |
| | High (19 to 20) | 7 | 8.8 | |
Data presented in Table 1 reveal that farmers’ participation was the highest in case of education level activities, and in health and sanitation activities. Education and health related activities involved maximum number of family members, neighbors and relatives. On the other hand, participation was the lowest in “co-operation and savings” activities.
**Level wise participation**
Farmer’s participation varies at different level of program activity. Participation was measured at five levels, namely at (a) problem
identification (b) objective formulation, (c) Planning activities, (d) execution of plan, and (e) evaluation of activities. Participation for each of this level could range between 07 to 28. Actual participation score at each of these levels has been presented in Table 2.
Table 2 Program activities categorized according to level of participation (N=80)
| Levels of participation | Observed Participation scores | Mean | Participation index | Rank order |
|-------------------------|-------------------------------|--------|---------------------|------------|
| Problem identification | 1948 | 24.35 | 86.96 | 1st |
| Objectives formulating | 1657 | 20.71 | 73.93 | 2nd |
| Planning activities | 1580 | 19.75 | 70.54 | 3rd |
| Execution of plan | 1524 | 19.05 | 68.04 | 4th |
| Evaluation of activities| 1425 | 17.81 | 63.61 | 5th |
Data presented in the Table 2 indicate that the level of farmers participation was highest in problem identification followed by objective formulation, and planning of farm and community level activities. The lowest level of participation was in execution and evaluation of farm and community level activities. Similar result was observed by Hasan et. al. (2005) in their study on participation of rural women in RDRS activities. This might be due to encountering relatively less difficulty in the primary phases of activities in the problem solving process.
**Individual level participation of farmers in farm and community level activities**
Individual farmers’ participation was measured on seven categories of “farm and community level activities” and at five levels of program activity. Thus, the possible score of individual farmers’ participation could range between 35 to 140. However, the actual scores of individual farmer’s participation ranged between 44 to 134 with a mean of 101.68 (SD: 16.32, CV: 16.05%). Based on the actual obtained scores, and on the basis of responses given, the farmers were classified into three
categories as low participation (<96), medium participation (96-110) and high participation (>110).
Table 3 Distribution of the respondent farmers according to their participation in farm and community level activities
| Categories according to participation in farm and community level activities | Farmers | Mean | SD |
|------------------------------------------------------------------------------|---------|------|----|
| | Number | Percent | |
| Low participation (<96) | 21 | 26.3 | |
| Medium participation (96-110) | 37 | 46.3 | |
| High participation (>110) | 22 | 27.5 | |
| Total | 80 | 100 | |
Data contained in Table 3 indicate that the highest proportion of the respondent farmers (46.3 percent) had medium participation in farm and community level activities. Only 26.30 per cent of the population had low and 13 per cent high-level participation.
**Comparative participation to farmers farm and community level**
The respondent farmers were varied in respect of extent of participation. In order to have a clear understanding on the comparative participation in farmers’ farm and community level, a farm and community level component (FCC) score was computed for each component. The FCC score of the farmers in respect of each component was computed by using a rating scale in which scoring was made as follow: frequently-4, occasionally-3, rarely-2, and never-1. The total numbers of the farmers were 80 and as such the possible FCC score of the farmer could theoretically vary from 40() to 1600. For meaningful comparison of seven components for participation in farm and community level, each FCC score was converted into farm and community level component index.
(FCC1). Possible FCC1 of the farmers could theoretically range from 35 to 140, where 35 indicates no participation and 140 indicate very high participation on farm and community level activities.
Table 4 Participation indexes of farmers on each of the seven components of farm and community level activities.
| Farm and community level Components | Observed Participation Scores | Participation index | Rank order |
|-------------------------------------|------------------------------|---------------------|------------|
| Education | 1241 | 75.52 | 1st |
| Health and sanitation | 1210 | 75.65 | 2nd |
| Housing | 1195 | 74.70 | 3rd |
| Farm production | 1151 | 71.94 | 4th |
| Income generating activities | 1130 | 70.65 | 5th |
| Irrigation and drainage | 1129 | 70.55 | 6th |
| Cooperation and savings | 1085 | 67.80 | 7th |
Data presented in Table 4 show the participation index of each of the seven components of “farm and community level” activities which indicate that the farmer did not have equal participation to farm and community level. Rather, there existed variations among the components as indicated by the FCCI from 67.80 to 77.52. These indices were quite high, which indicates that farmers participate with their family members, relatives and fellow farmers to a great extent for their farm and community level activities. However, the components in which the farmers had relatively high participation to farm and community level in
descending order were education, health and sanitation, housing, farm production, income generating activities, irrigation and drainage and cooperation and savings. Highest score of participation in education, health and sanitation might be due to increased awareness of the farmers as a result of increasing emphasis by the government for removing illiteracy through education for all program and taking every one Linder health and sanitation program. Least score for participation in savings and cooperation might be due to low-income level of the respondents that obstacle to save after their family expenditure.
**Relationship of the selected characteristics of the farmers with their participation**
The summary of the correlation test between the selected characteristics of the respondents and their participation ‘in farm and community level activities are shown in the Table 5.
Table 5 Co-efficient of correlation showing relationship between farmers participation in farm and community level activities and their selected characteristics
| Dependent variable | Farmer’s characteristics | Correlation coefficient value (r) df=78 |
|--------------------|--------------------------|----------------------------------------|
| Farmers participation in farm and community level activities | 1. Age | -0.0250* |
| | 2. Education | 0.344** |
| | 3. Family size | 0.075NS |
| | 4. Farm size | 0.375** |
| | 5. Family annual income | 0.785NS |
| | 6. Extension media contact | 0.424** |
| | 7. Cosmopoliteness | 0.380** |
| | 8. Agricultural knowledge | 0.500** |
| | 9. Organizational participation | 0.331** |
| | 10. Time availability | -0.51NS |
NS: Not Significant
Tabulated value of ‘r’ at 0.05
*= Correlation is significant at 0.05 level of probability. Tabulated value of ‘r’ at 0.01 level = 0.281
**= Correlation is significant at 0.01 level of probability
Data contained in Table 5 depict that out of ten selected characteristics education, farm size, extension media contact, agricultural knowledge, cosmopoliteness and organizational participation of the farmers had positively related at 1 per cent level of probability with their participation in farm and community level activities. But age of the farmers had negatively related at 5 per cent level of probability with their participation in farm and community level activities. Education helps an individual to become conscious about his/her responsibilities which enhances participation in farm and community level activities. Landless and marginal farmers’ participation in farm and community level activities is low as they work in others fields for their survival earnings. Through cosmopoliteness, extension contact and organizational participation individuals gain various information which makes them knowledgeable and ultimately they increase their participation in farm and community level activities. Agricultural knowledge encourages an individual to be engaged in participation in farm and community level activities.
**Conclusion And Recommendations**
**Conclusion**
Based on the above findings the following conclusions may be made: The components in which the farmers had relatively high participation in farm and community level activities in descending order were education, health and sanitation, housing and farm production. A great majority (7.3%) of the farmer had low to medium level participation in farm and community level activities. So, it may be concluded that there is further scope to increase participation of the farmers to farm and community level activities. Age of the farmers showed significant negative relationship with their participation in farm and community level activities. Therefore, it may be concluded that old farmers had low participation. Farm size, extension media contact, cosmopoliteness, agricultural knowledge, and organizational participation of the respondents had significant and positively relation with their farm and community level participation. Thus, it may be concluded that
participation in farm and community level activities of the respondents increased with the increasing of their farm size; the increasing extension contact will provide opportunity for the farmers to participate in farm and community level activities; cosmopoliteness of the farmers was helpful to enhance their farm and community level activities; and agricultural knowledge and organizational participation help farmers for their successful farm and community level participation respectively.
**Recommendations**
Based on the above findings and conclusions of the study, the following recommendations can be made:
1. As the three-fourth of the farmers had low to medium farm and community level participation, hence GOS and NGOs may undertake essential motivational step to improve their farm and community level participation.
2. Cosmopoliteness, education media contact, organizational participation and agricultural knowledge of the respondents had significant and positive relationship with their farm and community level participation. So, extension organization may arrange sufficient training, demonstration, field trip and other activities to increase their farm and community level participation especially in planning, execution and evaluation of activities of income generating activities, irrigation and drainage and cooperation and savings.
References
BBS. (1999). *Year Book of Agricultural Statistics of Bangladesh*. Bangladesh Bureau of Statistics, Ministry of Planning, Government of the People’s Republic of Bangladesh, Dhaka.
FAO (1989). *Community Forestry Participatory Assessment, Monitoring and Evaluation*. Rome.
Hasan, M.F., Islam, M.R., Khatun, F., Samim, M.K. and Afrad, M.S.I., (2005) “Participation of Rural Women in RDRS Activities”. *Journal of Science Foundation*, Vol.3 No.1, pp 93-99.
Khan, M.A.S. (2004). “Farmers’ Participation in Farm and Community Level Activities in Sailokupa Upazila under Jhinaidah District”, *M.S. Thesis*. Department of Agricultural Extension Education. Bangladesh Agricultural University, Mymensingh.
Oakley, P. (1991). *Projects with People: The Practice of Participation in Rural Development*. Geneva: International Labor Office.
Tidemand, Per and Knudsen, H. (1989). *Debatten om folkeling deltagelse* (The Debate about People’s Participation). *Den Ny Verden* (The New World), No.3. Copenhagen.
Rural-Urban Differentials of Female Age at First Marriage in Bangladesh: Recent Evidence
S. M. Mostafa Kamal\textsuperscript{1}
Md. Kamal Uddin\textsuperscript{2}
Md. Kamruzzaman\textsuperscript{3}
Abstract
In this paper an attempt has been made to examine the levels and differentials of female age at marriage and also identify the factors that influencing to be married “before” or “at the time or after” the legal age at of marriage of females in Bangladesh for rural and urban settings. For this purpose, the present study utilizes data extracted from nationally representative 2004 Bangladesh Demographic and Health Survey. The mean age at first marriage of Bangladeshi women was found to be 15.01 years. The study finds that, the mean age at marriage is lower by 0.72 years among the rural women (14.76 years) than their urban counterparts (15.48 years). The logistic regression analysis of the study apparently suggests that, the first age at marriage of the women for both rural and urban settings significantly varies with women’s education, religion, childhood place of residence, education and occupation of husband, region of residence and socio-economic status. Among the variables considered in the analysis, women’s education has been found to have the most single strongest influence in the variation of mean age at marriage for both rural and urban settings.
\textsuperscript{1}Assistant Professor, Department of Mathematics, Islamic University, Kushtia-7003, Bangladesh
\textsuperscript{2}Associate Professor, Department of Economics, Islamic University, Kushtia-7003, Bangladesh.
\textsuperscript{3}Assistant Professor, Department of Business Administration, Stamford University, Bangladesh
Introduction:
Marriage marks the onset of socially acceptable time for childbearing in most of the Asian countries and is considered as a prime determinant of fertility where contraceptive use is relatively low. In Asia, age at first marriage has become the focus of attention of scholars and policy makers because early and universal marriages are believed to contribute to high fertility levels (Hirschman, 1985). It is well known fact that age at first marriage has a direct bearing on fertility (Davis and Blake, 1954). Earlier marriage raises the number of reproductive years spent within marriage and hence the exposure to the risk of childbearing (Bongaarts, 2005). In societies, where offspring procreation is occurred within only marital bond and illegitimate births are not socially acceptable, there female age at marriage plays an important role in population growth of a country. In such a society like Bangladesh, where childbearing prior to marriage is rare, delayed marriage and marital disruptions shorten the total reproductive period of women, which contribute significantly to a decrease in fertility. Marital status is one of the most important factors relating to population composition. There are significant positive externalities to such a process—an increase in age at marriage and reduction in fertility rates and a consequent reduction in population growth (Maitra, 2004; Westoff and Ryder, 1977).
Marriage is universal in Bangladesh. The country has a long tradition of early marriage among females (Aziz and Maloney, 1985; Maloney and others, 1981). Early marriage and early childbearing are closely associated with the tradition of the country especially in rural Bangladesh. Despite the expansion of “free female education” up to secondary level in the rural areas, the incidents of adolescent marriage and childbearing are still prevailing. In rural Bangladesh, there are many social pressures to "marry off" pubescent girls (Aziz and Maloney, 1985). In rural areas, teen-age marriage for female adolescent is highly encouraged from traditional values. The illiterate parents make hurry to marry-off their girls after the onset of their menarche. Sometimes neighbors and relatives convince
parents to marry off their adolescent daughters. Even, they criticize the parents and sometimes look for guilty in the girls. Besides, some parents think adolescents girls as a family burden. These often lead the parents of lower socio-economic status to marry off their daughters during their teen-ages. In the Bangladeshi cultural context, younger females are in higher demand than older females as potential brides and they require fewer dowries as well (Islam and Mahmud, 1996).
Unlike the urban area, an unmarried rural girl passes a critical period during her adolescence. She is imposed a number of restrictions in her movements, dress and freedom to make her own choice. Her mobility in society is always kept in supervision. These restrictions imposed by her family often shorten the probability of higher education and end with marriage, which concludes the potentiality, of a girl. Unlike the Western societies, where marriage is not necessarily condition of offspring procreation, childbearing occurs almost within marriage in Bangladesh. In Bangladesh, there has long been strong social pressure for the preservation of virginity until marriage, which is one of the cultural characteristics of the great majority of the people in the country irrespective of their religion and ethnicity. Sex outside marriage occurs seldom since pre-marital sex is looked down upon harshly in Bangladeshi society (Maloney and others, 1981).
Despite such pressure, there has been a growing concern in recent years that early marriage, which result early childbearing, is seriously injurious to mothers’ health. According to 2004 BDHS data more than 40% of the female marriages took place before reaching the legal age at marriage of 18 years (NIPORT et al, 2005). The data also reveal that, more than half of all women age 20-49 enter marriage before their 15th birth day and although the median age at first marriage for women 20-49 has increased over time, there was a decrease from a median of 15.0 years at the time of the 1999-2000 BDHS to 14.8 years in 2004 BDHS. It was found that, in 1975, the majority of rural girls were married before 12 years (BFS, 1978). Using 1989 Bangladesh Fertility Survey (BFS) data Islam and
Ahmed (1998) estimated mean age at marriage 14.3 years and 15.3 years for the women whose birth cohorts were 1943 and 1968–1972 respectively. Similarly, a number of studies and reports indicate that mean age at marriage of the females in Bangladesh is an increasing trend (NIPORT et al, 2005; Islam and Ahmed, 1998; Islam and Mahmud 1996).
Quantitative information about nuptial events such as the proportion of unmarried, married, widowed, divorced and separated as well as timing of marriage portrays the prevailing marital situation of a society or cultural community. The marriage, which brings a vital change in individual life of a person, depends on the level of socioeconomic status and development of individual, familial and societal. Bangladesh, which is predominantly an agricultural country, has now more than 140 million populations constituted by Muslims (89.7%), Hindus (9.2%) and others (1.1%) (BBS, 2003). About 77% and 23% of the population live in rural and urban areas respectively. The vast majority of the rural population with remarkable low age at marriage particularly for females seems to be the main obstacle for substantial reduction of fertility. While studies on fertility and contraceptive behaviour are numerous, the marriage and related issues have yet to be the systematic research in Bangladesh. Thus, the study of female age at marriage in any population is of immense importance due to its strong association with social, economic and demographic change in the population. In view of this, considering the female age at first marriage as one of the major proximate determinants of fertility in the context of Bangladeshi culture, this paper attempts to study the levels and differentials of mean age at first marriage in rural and urban areas and also investigate the socio-economic, demographic and cultural factors that affecting the female age at marriage in Bangladesh.
**Data and Methodology:**
The data for the present study have been extracted primarily from the 2004 Bangladesh Demographic and Health Survey (BDHS). The survey was conducted during the period January to March, 2004 under the authority of the National Institute for Population Research and Training
(NIPORT) of the Ministry of Health and Family Welfare with financial support provided by U.S. Agency for International Development (USAID) as part of the Global Demographic and Health Surveys. The detail descriptions of the methodology of data collection including sample size for the survey are available elsewhere (NIPORT et al, 2005). The 2004 BDHS adopted a multistage cluster sampling based on the 2001 Bangladesh Census. The survey gathered information through a nationally representative sample of 11,400 ever married women aged 10-49 years from 10,500 households covering 361 clusters throughout Bangladesh, 122 in urban areas and 239 in the rural areas. Such a large data set provided a unique opportunity for the various aspects of female age at marriage and issues related to it. Among the ever-married women, 7,536 (65.9%) were from rural areas and 3,904 (34.1%) were from urban areas. Both of the sample women are considered for present analysis. We used simple cross tabulation and a multivariate analysis namely binary logistic regression to assess the effects of the selected variables on age at first marriage of the rural and urban women in Bangladesh.
Results and discussions:
Marriage is the system of rudimental period of feasible childbearing in the country where the predominant peoples are Muslims. The Islam, which is the religion of Muslim people, does not permit childbearing outside of marriage. Hence timing of marriage has a significant influence in fertility and population composition. But adolescent childbearing caused by adolescent marriage is a health risk for both the mother and child. Childbearing at early ages is usually problematic, because they occur prior to the physical, biological and emotional maturity of a girl. The women having adolescent childbirth generally suffer from various problems in the long run compared to the women married in later ages. There is an ordinance in Bangladesh for minimum age at marriage to be 18 for bride and 21 for groom but this rule is not properly followed especially in the rural areas and by the backward segments of population in terms of socio-economic status. Generally, a wide variation in the
differential of age at marriage is evident for rural and urban residential background. Figure 1 shows such a picture at a glance according to the percentage distribution of females by their age at first marriage and rural-urban residence. The figure indicates that the proportion of females married before the legal age of 18 years is higher by 8.1% in rural areas (87.6%) than urban areas (79.5%). It is also observed that, 39.0% of the rural females have been married before puberty (<14 years) while the corresponding figure of this rate among the urban women is 33.6%. In addition, it is also observed that among the females 93.4% of rural areas and 88.6% of urban areas have been got married in their teen-ages, indicate higher prevalent of adolescent marriage among rural females as compared to their urban counterparts.
Fig-1: Percentage distribution of females of rural and urban areas by their age at marriage.
To assess the trend of increase in age at marriage if any, both birth cohort and marriage cohort approaches was analyzed and the results are presented in Table 1 and Table 2 respectively. The mean age at first
marriage reported by rural women born before 1957 was found to be 14.03 years, which rose to a peak 15.19 years for the women who were born in 1977-1981. Since then there appears a decreasing trend in age at marriage of the rural Women and reached at 13.74 years for the women whose birth cohort is 1987-1991. A same pattern of mean age at first marriage of the urban Women is observed. The mean age at marriage for urban women was found 14.63 years for those who were born before 1957 and reached to the highest 15.91 years for the women who were born during
Table 1: Mean age at marriage of Bangladeshi women by their birth cohort and current place of residence
| Birth cohort | Place of residence | National |
|--------------|--------------------|----------|
| | Rural | Urban | |
| <1957 | 14.03 | 14.63 | 14.22 |
| 1957-1961 | 14.21 | 15.01 | 14.48 |
| 1962-1966 | 14.72 | 15.51 | 14.99 |
| 1967-1971 | 14.86 | 15.84 | 15.22 |
| 1972-1976 | 14.98 | 15.84 | 15.30 |
| 1977-1981 | 15.19 | 15.91 | 15.44 |
| 1982-1986 | 14.96 | 15.29 | 15.06 |
| 1987-1991 | 13.74 | 13.78 | 13.75 |
| Total | 14.76 | 15.48 | 15.01 |
1977-1981 and decreased at 13.78 years for the age cohort 1987-1991. For national level, the mean age at marriage was found to be 15.01 years and this figure for rural and urban women has been recorded 14.76 years and 15.48 years respectively. The figures for mean age at marriage suggests that on an average, a rural and an urban Bangladeshi woman get marry 3.24 years and 2.52 years prior to the legal age at marriage of 18.0 years.
Marriage cohort data demonstrate a sign of increase in age at marriage for both rural and urban women. The mean age for the rural women who got
married during 1965-1969 was recorded 12.71 years and for those who were married in the period 2000-2004 was found as 15.95 years. The corresponding figures for urban women were observed 12.89 years and 15.48 years respectively. A close inspection to data suggests that, the pace of increase in age at first marriage is comparatively higher among urban women than that of the rural women. In national level, the mean age at marriage was found 12.76 years for the marriage cohort 1965-1969 and after 35-year interval this figure rose to 16.32 years who were married during 2000-2004. A sharp trend of increase in age at marriage obtained through marriage cohort indicates to be continued in the future. The both birth cohort and marriage cohort data indicate higher mean age at marriage of the urban females than their rural counterparts.
Table 2: Mean age at marriage of Bangladeshi women by their marriage cohort and current place of residence
| Marriage cohort | Place of residence | National |
|-----------------|--------------------|----------|
| | Rural | Urban | |
| 1965-1969 | 12.71 | 12.89 | 12.76 |
| 1970-1974 | 13.57 | 13.75 | 13.62 |
| 1975-1979 | 14.05 | 14.39 | 14.16 |
| 1980-1984 | 14.39 | 14.93 | 14.58 |
| 1985-1989 | 14.64 | 15.11 | 14.80 |
| 1990-1994 | 14.88 | 15.72 | 15.17 |
| 1995-1999 | 15.23 | 16.18 | 15.56 |
| 2000-2004 | 15.95 | 17.03 | 16.32 |
| Total | 14.76 | 15.48 | 15.01 |
Table 3 represents the differentials of mean age at marriage of ever-married rural and urban women of Bangladesh by selected socioeconomic backgrounds. The differences of mean age at marriage reveal that with few exceptions the mean age at marriage of urban women is higher than rural women for all categories of the selected variables under
consideration. On an average, the urban females get marry 0.72 years later than their rural sisters.
Table 3: Mean age at marriage (MAM) of the women of Bangladesh by place of residence and selected background characteristics
| Background characteristics | N | Rural (N=7,532) | Urban (N=3,903) | Total (N=11,440) | Difference of MAM = (4)-(3) |
|----------------------------|-----|-----------------|-----------------|------------------|-----------------------------|
| | | | | | |
| Respondent’s education | | | | | |
| Illiterate | 4,419 | 14.3 | 14.2 | 14.3 | -0.1 |
| Primary | 3,381 | 14.5 | 14.7 | 14.6 | 0.2 |
| Secondary+ | 3,640 | 15.9 | 16.9 | 16.3 | 1.0 |
| Religion | | | | | |
| Islam | 10,182 | 14.6 | 15.3 | 14.9 | 0.7 |
| Non-Islam | 1,253 | 15.7 | 16.8 | 16.0 | 1.1 |
| Childhood residence | | | | | |
| Rural | 9,794 | 14.7 | 15.1 | 14.8 | 0.4 |
| Urban | 1,646 | 15.8 | 16.3 | 16.2 | 0.5 |
| Husband’s education | | | | | |
| Illiterate | 4,124 | 14.2 | 14.2 | 14.2 | 0.0 |
| Primary | 2,903 | 14.7 | 14.7 | 14.7 | 0.0 |
| Secondary+ | 4,403 | 15.5 | 16.5 | 15.9 | 1.0 |
| Husband’s occupation | | | | | |
| Agricultural | 3,255 | 14.4 | 14.3 | 14.3 | -0.1 |
| Labourer | 3,755 | 14.8 | 15.1 | 14.9 | 0.3 |
| Business | 2,638 | 14.9 | 15.8 | 15.3 | 0.7 |
| Service | 1,293 | 15.8 | 16.7 | 16.2 | 0.9 |
| Others | 499 | 15.1 | 15.2 | 15.1 | 0.1 |
| Region | | | | | |
| Barisal | 1,360 | 14.9 | 15.4 | 15.0 | 0.5 |
| Chittagong | 2,069 | 15.2 | 16.0 | 15.5 | 0.8 |
| Dhaka | 2,589 | 14.6 | 15.6 | 15.0 | 1.0 |
| Khulna | 1,708 | 14.4 | 15.2 | 14.6 | 0.8 |
| Rajshahi | 2,564 | 14.3 | 14.9 | 14.5 | 0.6 |
| Sylhet | 1,150 | 15.7 | 15.9 | 15.8 | 0.2 |
| Wealth index | | | | | |
| Poorest | 2,048 | 14.3 | 14.3 | 14.3 | 0.0 |
| Poorer | 2,058 | 14.4 | 14.4 | 14.4 | 0.0 |
| Middle | 2,147 | 14.7 | 14.4 | 14.7 | -0.3 |
| Richer | 2,276 | 15.1 | 14.9 | 15.1 | -0.2 |
| Richest | 2,911 | 15.7 | 16.3 | 16.1 | 0.6 |
| Total | 11,440 | 14.8 | 15.5 | 15.0 | 0.7 |
The observations presented in Table 3 suggest that, in national level a girl having SSC or higher education marries exactly 2.0 years later than her illiterate counterpart. This difference is higher in urban than rural females. It is also evident that, a girl of rural area having the primary or secondary or higher education, get married more than one year earlier than her urban counterpart.
The relationship between religion and female age at marriage demonstrates that mean age at marriage is 1.1 years higher among non-Muslim women than the vast majority Muslim women in Bangladesh. This difference is comparatively higher in urban than rural areas. The childhood residence of respondent shows an average difference of 1.4 years higher among females who resided in urban areas than rural areas in their childhood. But this variation is also pronounced among urban females than their rural counterparts. Husband’s education seems to have some influence on female age at first marriage. Education for both husband and wife shows positive association with age at marriage. The higher at the education level, the higher is the age at marriage. Despite the fact, a rural girl is married-off 1.0 year earlier than an urban girl whose husband completed SSC or higher classes, but the mean age at marriage for rural and urban women were found the same for two other categories of education for husbands.
The age of marriage varies with the occupation of husband. For both rural and urban women mean age at marriage was recorded highest for the women whose husbands are service holder and the lowest whose husbands are engaged in agriculture. The findings indicate lower age at marriage for urban women than their rural sisters whose husbands occupation is related to agriculture. The other categories of occupation show higher mean age at marriage for urban females than that of rural females. A wide variation is observed in regional differentials of age at marriage because of heterogeneous socio-economic characteristics of the respondents throughout the country. The mean age at marriage was recorded highest for the women of Sylhet division (15.8 years), followed by Chittagong division (15.5 years), Barisal and Dhaka divisions (15.0
years), Khulna division (14.6 years) and Rajshahi division (14.5 years). The corresponding figure was found the same for rural areas of six divisions of the country. But the highest mean age at marriage for urban females was found the highest in Chittagong division (16.0 years) and lowest in Rajshahi division (14.9 years). The females of Raishahi and Khulna-division are lagging behind the age at marriage of the other divisions.
The socio-economic status of the households, measured by the type of house and luxurious goods which are used in daily life as proxies of income, on an average shows substantial variations in mean age at marriage of rural and urban women. The age at marriage increases with the socio-economic status of family in rural areas but it is more pronounced in urban areas only for those who bears higher and highest economic status. Surprisingly, the mean age at marriage was found lower among the females of urban areas compared to their rural counterparts for the middle class and richer class family’s women.
In assessing the significance of the independent variables on the dependent variable “age at first marriage” we employed binary logistic regression to meet the objectives of the study. In doing so, we dichotomized the dependent variable by assigning the value “O” for age at marriage being below 18 years and the value “1” for age being 18 years and above as the legal age at marriage for females in Bangladesh is 18 years. The results of the analysis identify a number of variables that have significant effect on age at first marriage of rural and urban women in Bangladesh.
The regression estimates of the analysis shows that respondent’s education is the most significant predictor that influences the age at marriage for both rural and urban females. The odds ratios indicate that a rural and an urban female who completed secondary or higher education are 2.39 and 3.39 times more likely to get marry after age 17 years than a female who have no education. In national level, the risk of probability of marriage after age 17 years is higher among the females who completed
secondary or higher education than a female who is illiterate. The analysis further shows that, husband’s education, which was not found as strong as the respondent’s education, has significant positive effect on age at marriage. The women for both rural and urban areas, whose husbands are illiterate or have some primary education, are more likely to have been married little earlier than those women with secondary or higher educated husbands.
The odds for the variable “religion” show higher significant influence on female age at first marriage for both places of residences. The odds ratios reveal that the non-Muslim women of rural and urban areas are 1.63 and 2.07 times more likely to have been married at age 18 or above years as compared to the Muslim women. The place of childhood residence also bears a statistical significant relationship with age at marriage. The rural and urban women resided in the urban areas in their childhood, tend to have more or less 1.50 times higher to be married after age 17 than the women whose childhood residence was in rural areas.
The age at marriage of the women of both areas significantly varies with husband’s occupation. The women whose husbands are engaged in agriculture are more likely to be married earlier than those whose husbands are engaged in non-agricultural occupation. The risk of this probability is more pronounced for urban women than those of rural areas. From the analysis of the logistic regression it appears that, with other covariates controlled, regional differentials in low age at marriage are also significant. The signs of regression coefficients in Table 4 suggest that, with reference to females of both rural and urban areas of Barisal division, the females of Chittagong, Dhaka and Sylhet divisions are more likely to have been married at older ages while the females of Khulna and Rajshahi divisions tend to have been married at younger ages. The result is consistent with that obtained by Islam and Mahmud (1996). The logistic regression analysis suggests that the occurrences of higher age at marriage among rural women who live in Chittagong, Dhaka and Sylhet divisions are 1.68, 1.09 and 3.15 times higher respectively, than
that of the women who live in Barisal division. Besides, the rural women of Raishahi are more likely-
Table 4: Logistic regression coefficients ($\beta$) and odds ratios (exp $\beta$) showing the likelihood of legal age at first marriage of rural and urban women in Bangladesh.
| Background characteristics | Place of residence | National |
|----------------------------|--------------------|----------|
| | Rural | |
| | Coeff. ($\beta$) | Odds ratio | Urban | Coeff. ($\beta$) | Odds ratio | |
| | | | | | | National |
| | | | | | | Coeff. ($\beta$) | Odds ratio |
| Respondent’s education | | | | | | |
| (Illiterate) | -- | -- | -- | -- | -- | -- |
| Primary | -0.001 | 0.999 | 0.204 | 1.226 | 0.062 | 1.064 |
| Secondary+ | 0.872*** | 2.392 | 1.221** | 3.390 | 1.011** | 2.748 |
| Religion | | | | | | |
| (Islam) | -- | -- | -- | -- | -- | -- |
| Non-Islam | 0.485*** | 1.625 | 0.728** | 2.071 | 0.584** | 1.793 |
| Childhood residence | | | | | | |
| (Rural) | -- | -- | -- | -- | -- | -- |
| Urban | 0.414*** | 1.513 | 0.408** | 1.503 | 0.433** | 1.542 |
| Husband’s education | | | | | | |
| (Illiterate) | -- | -- | -- | -- | -- | -- |
| Primary | 0.101 | 1.106 | 0.015 | 1.015 | 0.078 | 1.081 |
| Secondary+ | 0.440*** | 1.552 | 0.458** | 1.581 | 0.460 | 1.583 |
| Husband’s occupation | | | | | | |
| (Agricultural) | -- | -- | -- | -- | -- | -- |
| Labourer | 0.264*** | 1.303 | 0.349 | 1.417 | 0.241** | 1.273 |
| Business | 0.055 | 1.057 | 0.351 | 1.420 | 0.152 | 1.164 |
| Service | 0.759** | 2.136 | 0.876** | 2.402 | 0.752** | 2.120 |
| Others | 0.269 | 1.309 | 0.084 | 1.088 | 0.174 | 1.190 |
| Region | | | | | | |
| (Barisal) | -- | -- | -- | -- | -- | -- |
| Chittagong | 0.517*** | 1.676 | 0.503 | 1.654 | 0.514 | 1.672 |
| Dhaka | 0.086 | 1.090 | 0.160 | 1.174 | 0.134 | 1.143 |
| Khulna | -0.340** | 0.712 | -0.134 | 0.875 | 0.257** | 0.774 |
Note: The reference categories are in the parentheses. ***p<0.01; ** p<0.05 and * p<0.10.
to be married little later than the rural women of Khulna division. In addition, a similar pattern for marriage by “below legal age” and “at or above legal age” was obtained for urban women of different divisions. It is noted that, the odds for rural women of Sylhet division was estimated 3.15 and the corresponding figure for urban women was estimated 2.00 as compared to the rural and urban women of Barisal division. The regional differentiation of female age at marriage may be partly due to industrialization, urbanization and education, which did not progress evenly in all regions. For example, Chittagong division is the largest commercial and industrial area while Dhaka is more urbanized and industrial area. Barisal, Khulna and Rajshahi divisions are mainly agricultural and less urbanized while a large number of people of Sylhet division are migrated in abroad.
The analysis further suggests that, wealth index shows significant effect on age at marriage. In rural areas, women having the highest socio-economic status are 1.33 times more likely to be married at older ages than the poorest women. The corresponding odds for poorer, middle and richer women were estimated to be 0.81, 1.12 and 1.27 respectively. However, it is interesting to point out that, in urban area, only the women
having richest wealth are 1.37 times more likely to have been married at older ages as compared to the poorest women. The occurrence of early marriage between the poorest and richer class women in urban areas was almost same while the incidents of early marriage were comparatively lower among poorer and middle class women.
**Conclusion and policy implication:**
In the present study an attempt has been made to examine the levels and differentials of female age at marriage in rural and urban areas and also to identify the determinants of socio-economic factors that influencing to have been married in the early of legal age at marriage for females in Bangladesh. The findings of the study reveal that the mean age of ever married women of Bangladesh, as a whole is 15.01 years. The study further shows that the mean age at marriage of the rural women is lower among the rural women (14.76 years) than the urban women (15.48 years) with a difference of 0.72 years. The mean age at first marriage has been increased by 3.56 years in the country during the period 1965-2004 from 12.76 years to 16.32 years. The results of the analysis reveal that although the average age at marriage has been increased in both rural and urban settings but the pace among the females of urban area is higher as compared to their rural counterparts. Despite the increase of mean age at marriage, the graphical representation of females by their exact age at marriage for both rural and urban areas replicates that the proportion of early marriage is conspicuously higher in rural women than urban women in Bangladesh.
The differentials of mean age at marriage made by the selected socio-economic variables show that, age at marriage of the women is relatively higher among higher educated and among non-Muslim, among the women whose childhood residence was in urban areas, among those women whose husbands are higher educated and engaged in business and service, among women of Sylhet and Chittagong divisions and whose socio-economic status is highest. The multivariate analysis of the study suggests that, the age at marriage of the women for both rural and urban
settings significantly varies with women’s education, religion, childhood place of residence, education and occupation of husband, region of residence and socioeconomic status. Among the variables considered in the analysis, women’s education has been found to have the most single strongest influence in the variation of mean age at marriage for both rural and urban females.
The aforesaid results and discussion of the present study hold implication for policy that could be useful in formulating ways to increase the age at marriage and further decrease in fertility in Bangladesh. In order to enhance further the age at marriage and to substantial reduction of early marriage, the parents and community should be made more aware regarding negative health, social and economic consequences of early marriage and teen-age motherhood. The obligatory vital registration system for birth, death, migration and particularly of marriage may be fruitful to reduce marriage before legal age at marriage for both bride and bridegroom. In that case, the concerned persons such as guardians of bride and bridegrooms and marriage partners could not be able to hide from view the couples’ actual age to marriage registrar. The ward commissioner of metropolitan or member of Union Parishad could be involved in monitoring the marriage registration. In this connection, an enthusiastic mass media campaign should be strengthened regarding mandatory marriage registration and consequences of early marriage and adolescent childbearing. The Government should also take needful actions to expand female education and effective strategic plan to reduce drop out across the countryside and employment opportunities should be created for women to enhance their participation in economic activities.
The proper execution of the aforementioned recommendations could be helpful to increase the age at marriage for males and females in Bangladesh, which can ultimately reduce maternal and infant mortality and also the fertility in both rural and urban settings of Bangladesh.
References:
Aziz, K. M. A. and C. Maloney (1985): Life Stage, Gender and Fertility in Bangladesh. International Centre for Diarrhoeal Disease Research (ICDDR,B), Dhaka.
Bangladesh Bureau of Statistics (BBS) (2003): *Population Census 2001, National Report (Provisional)*. Ministry of Planning, Dhaka, Bangladesh.
Bangladesh Fertility Survey (BFS) (1978): *Bangladesh Fertility Survey, First Country report*. Ministry of Health and Population Control, Dhaka, Bangladesh.
Davis, Kingsley and Judith Blake (1956): Social structure and Fertility: An Analytical Framework. *Economic Development and Cultural Change*, 4(3): 211-235.
Hirschman, Charles (1985): Premarital Socioeconomic Roles and the timing of Family Formation: A Comparative Study of 5 Asian Societies. *Demography*, 22(1): 35-59.
Islam, M. M. and M. Mahmud (1996): Marriage Patterns and Some Issues Related to Adolescent Marriage in Bangladesh. *Asia Pacific Population Journal*, 11(3): 27-42.
Islam, M. N. and A. U. Ahmed (1998): Age at First Marriage and Its Determinants in Bangladesh. *Asia Pacific Population Journal*, 13(2): 73.
Maitra, Pushkar (2004): Effects of Socioeconomic Characteristics on Age at First Marriage and Total Fertility in Nepal. *J.Health Popul Nutr.*, 22(1):84-96.
Maloney, C., A. K. M. Aziz and P. C. Sarker (1981): Beliefs and Fertility in Bangladesh. International Centre for Diarrhoeal Disease Research (ICDDR,B), Dhaka.
NIPORT (2005): Bangladesh Demographic and Health Survey 2004. National Institute of Population Research and Training (NIPORT). Dhaka; Mitra and Associates, Dhaka and ORC Macro, Maryland.
Westoff, C. F and N. B. Ryder (1977): *The Contraceptive Revolution*. Princeton University Press, Princeton.
Poverty and Inequality: A Review of Bangladesh Situation
Tamzid Ahmed Chowdhury\(^1\)
Abstract
The visible effects of poverty are malnutrition, ill health, poor housing condition, and illiteracy. The poor suffer from unemployment, under-employment and lack of access to resources that restrict their opportunities to earn enough for a good living. Often the poor are exposed to discriminatory treatment by institutions of the state and society and they are powerless to influence key decisions affecting their lives. In Bangladesh per capita GDP grew about 2% a year during the 1990s and poverty declined quite slowly. Between 1983 and 1996 the share of people in extreme poverty fell from 40.9% to 35.6%—and the same share in moderate poverty from 58.5 to 53.1%. Why the slow decline? Part of the answer lies in rising inequality, in both urban and rural sectors, especially between 1992 and 1996, when the Gini coefficient rose from .26 to .31. If inequality had not increased, the poverty rate would have been about 7-10% points lower in 1995-96 than it actually was. This writing argues that the persistence of poverty originates less in the lack of resources for its alleviation than in the problem with low economic growth and disbursement of the fruits of growth to the poor due to economic and political problems along with the failures of governance.
\(^1\) Assistant Professor, Faculty of Business & Economics, Daffodil International University, Dhaka, Bangladesh.
1. Concepts and Definitions:
"Don’t ask me what poverty is because you have met it outside my house. Look at the house and count the number of holes. Look at the utensils and the clothes I am wearing. Look at everything and write what you see. What you see is poverty." -Poor man, Kenya.
Poverty is the economic condition in which one is unable to enjoy a minimum standard of living. The concept of poverty is heterogeneous, and the causes of poverty are complex. Poverty is, however, now widely recognized in economics literature as a matter of deprivation, a failure to meet basic requirements for the sustenance of life. Thus, the evolving concept of poverty broadly refers to forms of economic, social and psychological deprivation occurring among people lacking sufficient ownership, control or access to resources for minimum required levels of living (See: Greely, Martin (1994), Measurement of Poverty and Poverty of Measurement, in IDS Bulletin 25/2). The multidimensional problem of poverty involves income, consumption, nutrition, health, education, housing, crisis-coping capacity, insecurity, etc.
So poverty is not solely due to the deficiency/lack of income. Extreme poor are assetless, unemployed and deprived of credit facility. Above the extreme poor the moderate poor are those, who are also asset and creditless and have to live on by selling the labor of all the family members. But in labor market their position is such that they are getting the minimum wages and even their employment is not ensured rounds the year. From the above discussion it can be said that the main problems of the poor families are as given below:
1. Prime problem is asset lessness. To work they require assets but they have a limited or no access to those assets.
2. Second problem is unemployment (full or partial), which arises from the deficiency and unequal distribution of assets.
3. Third problem is their lack of ability to survive in natural calamities like flood, draught or seasonal fluctuations.
4. Fourthly, they are deprived of minimum health care and education facilities.
5. Poor families that have divorced Woman, aged and disabled people are in danger due to lack of social insurance and security.
6. Voice lessness and power lessness, in decision-making are other vital problems of the poor.
**Indicator Used in Poverty Monitoring:**
Poverty monitoring needs a set of carefully selected indicators. The selection of indicators, however, depends on the objective of monitoring (Carvalho and White 1994). As the assessment of poverty is not an end in itself and assessing the impact of public expenditure on the standard of living of the poor has been the main objective of this study, the indicators have been selected accordingly. The UNDP claims that the indicators of poverty assessment and monitoring can be drawn from five families of indicators, namely ‘means’ (input), ‘ends’ (impact), ‘mixed’, ‘process’ (opportunity) and ‘poverty related’ (UNDP 1996). The choice of indicators necessarily involves a subjective element. An attempt has been made here to make the selection of indicators balanced conforming to the above-mentioned typology of indicators.
| Types of Indicators/Variables |
|-------------------------------|
| **I. Means** |
| a. Consumption i) Per capita daily consumption of food
ii) Per household daily consumption of food
iii) Per adult equivalent daily consumption of food
iv) Frequency of consumption of important foods
| b. Income i) Per capita daily nominal/real income
ii) Per household daily nominal/real income
iii) Earner-member ratio
iv) Source of income and wage rate
| c. Education i) Participation of children in schooling
ii) Expenditure on education
| **2. Mixed** |
| a. Health i) Incidence of diseases
ii) Access to health facilities
iii) Expenditure on medical treatment |
iv) Frequency of visits to health care providers
b. Drinking water i) Access to safe drinking water
c. Sanitation i) Type of latrine used
d. Demography i) Average family size
ii) Age-gender wise family composition
3. Process
a. Credit i) Sources of credit
ii) Volume of credit
4. Poverty related
a. Demography i) Prevalence of female-headed household
ii) Prevalence of child labor
5. Ends
a. Distress sale i) Sale of assets
b. Health i) Quality of medical service
c. Housing i) Structure/ number of rooms
ii) overcrowding
d. Saving i) Proportion of saving household
ii) Per capita savings
e. Literacy i) Rate of illiteracy/literacy
Box-1: (Source: UNDP, 1996. The Budget and the Poor, UPL publication by Shamunnay, P. 36)
2. Objectives of the Study
Broad objective:
To provide justification for strong economic reforms for poverty alleviation in Bangladesh.
Specific objectives:
i) Characterizing the poor and defining poverty from Bangladesh point of view.
ii) Estimating the poverty level of Bangladesh over a number of years to ascertain whether poverty situation is improving or worsening.
iii) Reviewing briefly the poverty alleviation strategies adopted in Bangladesh.
iv) Assessing growth-inequality-poverty relationship to break the vicious circle of poverty in Bangladesh.
3. Methodology
A considerable amount of information was gathered through literature survey and use of relevant (un) published sources (Journals, Daily News Papers, and Annual Reports etc).
4. Poverty Profile in Bangladesh:
At the empirical level, the measurement of poverty involves: a) an indicator of well-being or welfare such as per capita expenditure; b) a threshold (the poverty line) to which each individual’s welfare can be compared; and c) a poverty measure such as the headcount index which is the percentage of the population with the expenditure indicator below the threshold or poverty line. Differences in poverty estimates result from differences in the choices of the indicator, the threshold, or the poverty measures (Wodon, 1997). By considering the calorie/day taken, following results can be observed in poverty:
Table-1: Poverty (in %) measurement based on caloric consumed
| Types of poverty | 1983/84 | 1985/86 | 1988/89 | 1991/92 | 2000 | 2004 |
|------------------|---------|---------|---------|---------|------|------|
| Moderate | National | 62.6 | 55.65 | 47.75 | 47.52| 44.33| 41.3 |
| | Rural | 61.94 | 54.65 | 47.77 | 47.64| 42.28| 40.1 |
| | Urban | 67.7 | 62.55 | 47.63 | 46.7 | 52.5 | 45.2 |
| Extreme | National | 36.75 | 26.86 | 28.36 | 28 | 19.98| 18.7 |
| | Rural | 36.66 | 26.31 | 28.64 | 28.27| 18.72| 18.2 |
| | Urban | 37.42 | 30.67 | 26.38 | 26.25| 25.02| 20.8 |
Source: Economic Review-2003 by Ministry Of Finance, p. 127
4. a. History of Poverty in Bangladesh:
Much of the sufferings of the people of Bangladesh are associated with the devastation caused by the war of liberation in 1971. At least one third of the national wealth of Bangladesh was damaged in one year and the economy faced severe difficulties in its aftermath. The global economic
crisis, the price-hikes of food, fuel and fertilizer and increasing burden of the deficits in balance of payment hit the economy very hard. Crop failure and disruptions in flow of food aid to the country in 1974 aggravated the situation and pushed the country to near-starvation. The process of pauperization was intensified and according to some estimates, people below the poverty line in Bangladesh reached 83% in 1975. In 1981-82, the figure was 74% and only later, the incidence of poverty started to decline. The economy, however, was in stagnation and suffered a new setback because of the damages caused by devastating floods of 1987 and 1988. The bumper crop harvests following the floods contributed to a high growth rate in 1988-89 and in the successive 2-3 years although there had been no sustained improvement in the poverty situation. In the 1990s, millions of people faced the dehumanizing effects of acute material scarcity because of inconsistent distribution and under-utilization of land, lack of command of the poor over land and non-land resources, technological backwardness, disparity in income distribution and political upheaval. With a per capita income of approximately $520 (2007), Bangladesh remains one of the poorest, most densely populated, and least developed nations especially characterized by pervasive poverty in both rural and urban areas. Nearly half of the country's population lives below the poverty line. Majority of its people live in rural areas where problems of inequality and unemployment are growing rapidly. Gini ratios in rural and urban areas in constant 1963/64 prices were 0.340 and 0.375 respectively in 1973/74, 0.362 and 0.365 in 1985/86, and 0.384 and 0.444 in 1995/96.
4. b. The New Poverty Measure: Cost of Basic Needs Method:
The national statistics office of Bangladesh (i.e., BBS) with the food energy intake method added the Cost of Basic Needs (CBN) method, though it retained the direct calorie intake method for comparison with the previous estimates. The cost of basic needs method is based on the estimation of minimum required basic needs for people (World Bank, 1998). Table 2 and 3 show that 36 per cent of the country's population
was very poor and 53 per cent was moderate poor in 1995-95. It also states that the incidence of poverty has declined as measured by both the upper and lower poverty lines. The BBS estimates claim that poverty incidence was relatively stable between 1983-84 to 1991-92, and then experienced a significant decrease in 1995-96. It also reveals that the drop in poverty in recent years was higher in urban than in the rural areas.
Table-2: Headcount Indices of poverty with the cost of basic needs method, 1983-84 to 2006
(Percentage of population below the poverty line)
Source: BBS (1997), World Bank (1998), Economic Review, 2006 by Finance Ministry
| | Hard-core Poor (Lower Poverty Line) | Moderate Poor (Upper Poverty Line) |
|----------------|-------------------------------------|-----------------------------------|
| | 1983/84 | 1985/86 | 1995/96 | 2002 | 2005-06 | 1983/84 | 1985/86 | 1995/96 | 2002 | 2005-06 |
| National | 40.91 | 33.77 | 35.55 | 19.98 | 33.7 | 58.50 | 51.73 | 53.08 | 44.33 | 49.8 |
| Rural | 42.62 | 36.01 | 39.76 | 18.72 | 37.4 | 59.61 | 53.14 | 56.65 | 42.28 | 53.1 |
| Urban | 28.03 | 19.90 | 14.32 | 25.02 | 19.1 | 50.15 | 42.92 | 35.04 | 52.50 | 36.6 |
4. c. Inequality Deepens: Rich-Poor Gap Widens, though Poverty Declines in 5 years
(Source: Inam Ahmed and Rezaul Karim Byron. October 10, 2006)
Poverty has significantly reduced in five years since 2000 by 8.9 percentage points to 40 per cent, but the rich-poor gap has widened further, according to the latest Household Expenditure Survey (HES), posing a new challenge to policymakers to close the gap. The Income Gini Co-efficient, a measure to assess income inequality, shows an increase from 0.451 in 2000 to 0.467 in 2005, mostly because of increasing rural inequality. A higher Gini Co-efficient reflects a worsening situation for poverty. Rural Gini Co-efficient increased from 0.393 in 2000 to 0.428 in 2005. Although the urban inequality did not get worse, neither did it improve.) The urban Gini Co-efficient remained static at 0.497 in the five years. In fact, inequality in Bangladesh also deepened for the decade since 1990. The earlier HES showed the
Note: based on cost of basic needs method;
coefficient was 0.259 in 1991-92 and it reached 0.306 in 2000. This measure was done by assessment in 14 zones of the country. However, the new HES figure was derived by widening the assessment area to 16 zones. The other continued alarming trend reflected in the survey is that income share of the lower tier people has decreased while the top 50 per cent's increased, widening the gap between the richest and the poorest. It is now clear that 50 percent of the population claims only 20.32 per cent of total income. Interestingly, the top 5 per cent or the richest of the tiers also lost their share of income and recorded at 26.93 per cent as against the previous survey that showed them to have sharply gained their share of income. Looking at the consumption pattern, it is found that there was no significant change of Gini Co-efficient of consumption expenditure between 2005 and 2000. However, the rural people spent more as their share in expenditure increased from 0.279 to 0.284 on the Gini Co-efficient.
Between 1999 and 2004, the poor’s income increased 4.8 per cent, while it increased 19.4 per cent for the non-poor, the preliminary report of the Poverty Monitoring Survey 2004 shows. The rural poor are even worse off where income increased by only 0.54 per cent for them against the urban’s 7.97 per cent.
"The widening income disparity in Bangladesh is explained most convincingly when we compare the income shares of top and bottom quintiles of the population," a CPD report says. "Between 1999 and 2004, national income attributable to the poorest 10 per cent of Bangladesh population declined from the miniscule proportion of 1.7 per cent to 1.5 per cent. Conversely, the control on the national income by the richest 10 percent of the population increased from 33.9 percent in 1999 to 36.5 per cent in 2004."
Table-3: Poverty measurement according to the family size
| Family size | By using the low poverty line | | | By using the high poverty line | | |
|-------------|------------------------------|-------|-------|-------------------------------|-------|-------|
| | Total | Rural | Urban | Total | Rural | Urban |
| 1-2 | 16.1 | 18.7 | 4.7 | 29.5 (26.4) | 33.1 | 13.4 |
| 3-4 | 27.8 | 31.8 | 12.9 | 43 (38.2) | 46.9 | 28.8 |
| 5-6 | 37.2 | 42.1 | 18.7 | 52.8 (45.8) | 57 | 36.9 |
| 7-8 | 37.1 | 39.7 | 25.9 | 55 (46.3) | 57.2 | 45.7 |
| 9-10 | 37.1 | 38.6 | 30.8 | 54.7 (40.3) | 56.1 | 48.9 |
| 11+ | 25.5 | 28.2 | 12.7 | 39.2 (32.5) | 41.6 | 27.6 |
Source: BBS HIES-2000, Economic Review by Ministry of Finance-2003. Data in brackets show the data of 2006 taken from Economic Review-2006. pp. 141
5. Degree of Poverty Alleviation in Bangladesh:
In 1995-96, 47.5% of the populations of Bangladesh were still living below the poverty line. While this represents a decline compared to 62.6% in 1983-84, the absolute number of poor people has in fact increased over the same period (Rehman Sobhan. OECD working paper No. 143). Regarding poverty reduction, an average of one per cent point or of 1.5% annual reduction has been achieved per annum during the 1990s. On the other hand, 3.3% reduction per annum in absolute poverty and 4.9% reduction in hardcore poverty will be required in order to reduce. As indicated in the PRSP, the proportion of absolute poor to half, i.e. to 29.4% in 2015 in relation to 58.8% in 1991, and that of the extreme poverty to half that is from 28% in 1991 to 14% in 2015 (MDG Progress Report by MOF-Bangladesh Program Report). There is a particular question mark relating to the benchmark hardcore poverty ratio of 19% in 2002 as there are other official figures for it, one of which is namely, BBS. The World Bank puts it at 34% in 2000; also, the same source puts the absolute poverty ratio in 2000 at 50% (The World Bank Annual report. 2001). If both rates continued to decline by one percentage point
per year, the ratios in 2002 would be respectively 48% and 32%. If the target is to reduce these poverty ratios by half in 2015, the target ratios would be 24% and 16% respectively. If, then, one would calculate the required average annual percentage decrease rates relating to the two ratios over 2002-2015, both would work out at 3.9%. Regarding hardcore poverty, these calculations produce lower average annual per cent reduction requirement than shown in the PRSP but still almost three times of what was achieved during the 1990s, while the reduction rate remains about the same, as shown in the PRSP, for absolute poverty.
6. Assessing Bangladesh’s Poverty Reduction Strategy in Practice
At the risk of dramatic over-simplification, here is a quick assessment of Bangladesh's scorecard on several dimensions of poverty reduction. The conclusion is that although further progress is necessary on all five dimensions, the areas that need the most dramatic improvements are growth and empowerment.
a. Macroeconomic Stability: Bangladesh generally maintained reasonable macroeconomic stability during the 1990s. However, during the last two fiscal years Bangladesh's good record of macroeconomic management has been jeopardized by an increase in the fiscal deficit to 6% of GDP with increasing reliance on domestic financing to cover the deficits. These unsustainable trends create vulnerability to events such as natural disasters or external shocks. From a longer-term perspective, restoring fiscal discipline by reducing the losses of state-owned enterprises, utilities and banks, increasing domestic resource mobilization and improving the quality of public expenditures are the main challenges to Bangladesh's fiscal management, which could have pay-offs in terms of accelerated poverty reduction. (Approaches to Poverty Reduction in Bangladesh, Frederick T. Temple and Zaidi Sattar)
b. Economic Growth: Bangladesh's economic growth performance has been relatively strong. During the 1990s Bangladesh was the 10th most
rapidly growing economy out of 31 large developing countries, with populations greater than 20 million. In 1999 Bangladesh's per capita income, adjusted for purchasing power parity, was the 22nd highest among 53 low-income countries. Per capita income growth in Bangladesh increased from 1.5% in 1980-90 to over 3% in 1990-2000.
As good as Bangladesh's growth performance has been, it has to be even better if it is to achieve its poverty reduction objectives. The Bangladesh 2020 study prepared by a group of leading Bangladeshi scholars, with support from the World Bank, concluded that Bangladesh's growth rate must be at least 7-8 percent per annum if it is to eliminate poverty substantially within two decades. Although there is some potential for continued agricultural growth through higher productivity and diversification, lifting the growth rate on a sustained basis will depend on strong industrial performance, with industrial growth averaging 8-10% annually.
c. **Human Development**: Bangladesh has substantial achievement to show in improving its human development indicators - the third important poverty reduction pillar. During the last decade, Bangladesh has achieved remarkable progress in fertility reduction, child survival, and communicable disease control and in developing community nutrition interventions. During the 1990s, life expectancy increased by five years, about a year more for females. Bangladesh has almost eradicated polio and eliminated leprosy as a public health problem. The nutritional status of children has steadily improved. Despite this encouraging record, Bangladesh's health sector faces many challenges. The present fertility rate of 3.3 children per woman is too high for one of the most densely populated countries in the world, and the decline in fertility appears to be plateauing. Bangladesh has also recorded significant progress in expanding coverage and access to basic education, reflecting a consistently high level of national commitment and consensus on the priority of basic education. For the first time in Bangladesh's history, most children, except the very poor, at least start school. Gender parity in primary enrollment is now a reality. Bangladesh has also succeeded in establishing an extensive network of non-formal education centers for adult education. The country
does much better than other South Asian nations in enrolling students from poor families.
d. **Vulnerability and Safety-nets**: Finally, on the positive side, it is heartening to note that Bangladesh has done much to reduce the vulnerability of the poor. It has the largest system of targeted food transfer programs in the world, which are generally considered to be reasonably well run despite some leakage and political steering. Furthermore, although Bangladesh remains vulnerable to floods, Cyclones and drought, the country has developed considerable capacity to cope with natural disasters, illustrated most recently by the effective way in which public and private organizations and the people themselves coped with the 1998 floods.
e. **Education**: Direct policies or target group oriented programs for the rural poor have for many years been adopted by both government and NGOs to alleviate rural poverty. Besides, direct interventions, appropriate social policies indirectly affect the human resources and they can contribute a lot toward alleviation of poverty. Among the social policies, investment in education is one of the most powerful weapons in the fight against population growth and poverty. A study in 88 countries indicated that increase in the literacy rate from 20% to 30% was associated with an increase in real GDP by between 8% to 16% difference in per capita income growth rates. That is why, even the Government of Bangladesh is emphasizing in the education sector. Despite much rhetoric of the government about the importance of primary education, its share in the educational budget has not reflected any such priority. A preliminary assessment report on the FFE program reveals that:
- The enrolment of students in general and of girl students in particular has increased in all the classes (I-V) after the launching of the FFE program
- The enrolment figure is quite high in the FFE schools in comparison with non-FFE one
- The attendance of students as percentage of total class-days has significantly increased in the FFE schools
• The drop-out rates have declined significantly
• The quality of education particularly in the FFE schools is deteriorating. A significant portion of the teachers’ time is wasted in the management of the FFE program.
The changes in school enrolment of girl students in the FFE and non-FFE schools before and after the launching of the FFE program are shown in table-4.
**Table-4:** The changes in school enrolment of girl students in the FFE and non-FFE schools
| Month and Year | Grade-I | Grade-II | Grade-III | Grade-IV | Grade-V | All grades |
|----------------|---------|----------|-----------|----------|---------|------------|
| | | | | | | |
| April 1992 | 47.4 | 49.1 | 49.2 | 49 | 48.7 | 48.8 |
| (before) | | | | | | |
| April 1993 | 47.6 | 45.7 | 48.7 | 50.7 | 48.4 | 48.7 |
| (before) | | | | | | |
| April 1994 | 49.1 | 48.2 | 47.3 | 52 | 53.1 | 50.3 |
| (After) | | | | | | |
| Among FFE | 49.9 | 46.7 | 46.3 | 52 | 51.5 | 49.1 |
| beneficiaries | | | | | | |
| | | | | | | |
| Non-FFE schools| | | | | | |
| April 1992 | 45.2 | 46.4 | 48.2 | 48.6 | 48.4 | 47.6 |
| April 1993 | 46.4 | 45.7 | 47.4 | 49.9 | 47.9 | 47.9 |
| April 1994 | 46.1 | 46.7 | 46.7 | 49.8 | 49.8 | 48.2 |
Source: Ahmed, U.A. and K. Billah, FFE Early Assessment Survey, 2004, IFPRI, Dhaka, 2004
The survey report also indicates that the leakage of wheat from the FFE program was about 6.5% of the total wheat allotted to the program. The cost effective analysis reveals that to transfer Taka 1 of income benefit to the both beneficiary households costs Taka 1.59 considering the leakage of 65%. If there were no leakage, Taka 1 of income could be delivered to the beneficiary at a cost of Taka 1.48 which appears to be the cheapest among the food aided programs except the RMP. Under the RMP program, it costs Taka 1.32 to deliver Taka 1 of income – benefit to a beneficiary household, while it is taka 6.55 for the former Rural Rationing Program (Ahmed 1994).
The FFE program seems to have had some positive impact on the drop-out trend among primary level students in the program villages (See table-6). In the program villages, 1% of the primary level students are found to be dropping out compared to 4% in the control villages. The drop-out rate for the poorest households is found to be 2% in the program villages compared to 4% in the controlled villages. The incidence of drop-out for girls was nil among the poorest households in the program villages whereas in the same villages the drop-out rate was 3% in 1999 (The Budget for the Poor, by Samunnay. p. 123-124).
**Table-5: Yearly drop-out rates before and after the introduction of FFE**
| | Grade-I | Grade-II | Grade-III | Grade-IV | All grade |
|----------------------|---------|----------|-----------|----------|-----------|
| **Drop-out rates FFE schools** | | | | | |
| Before (April 1992 to April 1993) | | | | | |
| All students | 18.8 | 15.9 | 17.2 | 18.3 | 18.5 |
| Boys | 16.1 | 14 | 17.9 | 17.9 | 17.6 |
| Girls | 20.3 | 16.8 | 15 | 18.9 | 19.3 |
| After (April 1993 to April 1999) | | | | | |
| All students | 7.4 | 10.8 | 12.1 | 13.3 | 10.9 |
| Boys | 6.7 | 10.3 | 13.9 | 15.7 | 11.3 |
| Girls | 8 | 11.6 | 9.8 | 10.6 | 10.3 |
| **Drop-out rates non-FFE schools** | | | | | |
| Before (April 1992 to April 1993) | | | | | |
| All students | 17.4 | 14.1 | 18.1 | 14 | 17.1 |
| Boys | 17.2 | 14 | 17.6 | 11.9 | 16.9 |
| Girls | 17.1 | 13.7 | 8.3 | 14.2 | 17.6 |
| After (April 1993 to April 1999) | | | | | |
| All students | 14.5 | 13.9 | 16.1 | 13.7 | 15.2 |
| Boys | 13.9 | 15.2 | 18.7 | 13.5 | 16.2 |
| Girls | 14.7 | 11.8 | 12.2 | 14.5 | 14.3 |
Source: Based on data collected by IFPRI. FFE Early Assessment Survey, 2000, Bangladesh
f. Health Care Sector: The main findings for the health care sector is can be summarized in the following way:
- The quality of medical care of the major providers, namely government hospitals at the district and metropolitan cities, thana and union level government health care complexes/centers and other specialized government hospitals, is found to be very poor.
- The health sector in Bangladesh including both public and private health care providers is iniquitous. The private health providers serve exclusively the well off bypassing the poor and the poorest. Even in thana level the government officials are providing services mostly to the rich people of the rural area. (IDPAA and Proshika report, 2002. p. 9)
- The incidence of diseases for the poorest households increased sharply in both the urban and rural areas leading to an increase in per capita expenditure on medical treatment.
The change in the incidence of disease is at an alarming higher level among children and women than among men. The poorest people are found to have mostly suffered seven diseases, namely fever, diarrhoea, gastroenteritis, intestinal pain, asthma, skin diseases and feeling of weakness which around for 74% of all the incidence of diseases during the monitoring period. These diseases are caused by socio-economic and environmental factors. The medical expenditure incurred by the poorest households escalated sharply due to high morbidity during the period, which appears to be abnormal (Budget and the poor by IDPAA and Proshika. See Annex-II-table 7.16, p. 248). The overall per-capita expenditure on medical treatment is found to have increased by 245% from Tk. 38 in 1993 to Tk. 131 in 1996. In the case of urban slums, per capita medical expenditure, decreases (-32%) but it recorded a sharp increase (383%) in the rural areas. A gender and age bias is found to have been present in the distribution of medical expenditure of the poorest households. Intra-household disparity in this matter shows that adult male members have spent the lion’s share (87%) of the total medical expenditure of the households, and this share increased over time leaving very little for the woman (6%) and children (7%). The government hospitals are found to have provided very little to the poorest people in the
country. In the rural areas, the average number of visits per poorest households to a government hospital/health clinic was 1.5 times only in 1993. This further declined to 1.2 times in 1996. In the urban slums the poorest households hardly get any medical service from the government hospitals in Dhaka city. More than one third of the members of the poorest households could not say anything about the medical services provided by government health complexes in the rural areas because they hardly made visit to the health complexes during the monitoring period. In the rural areas the quality of medical services at the thana and union level health complex is perceived by the villagers to be extremely poor in terms of most of the indicators. The villagers are found satisfied with the beds in the thana health centre. Despite the high incidence of diseases, the rural poor are found unwilling to avail themselves of medical care at the thana and union level government health complexes. The most important causes of this are: the centre is far away, there is no labour table, the services entails costs, medicine is not supplied, the doctors are reluctant to admit patients, surgical facilities are not available and so on (The Budget and the poor by IDPAA. PROSHIKA. Pp. 105, 112. 122).
g. Credit Facility: The poor’s access to credit improved considerably in terms of both the number of borrowers and the volume of credit in both the urban and rural areas during 1993-96. In terms of the volume of credit, their access to credit grew by 457% in the rural areas and by 135% in the urban areas during 1993-96 (The budget and the poor by Samunnay. P. 169). Their access to credit in terms of the number of borrowers (net) registered 63% and 233% growth in the rural area and urban areas respectively (See, Budget for the Poor by IDPAA, Annex-II table. 9.46 and 9.47). The volume of credit per poorest borrower increased markedly from taka 1156 to taka 3963 in the rural areas but declined from Taka 4500 to taka 3170 in the urban areas during the same period. The average volume of credit per poorest household is found to have been very low (Taka 400) in 1993 and it soared to Taka 1684 in 1996. The main financiers of the credit to the poorest households are moneylenders, friends and NGOs. Credits from institutional sources like commercial banks were about 8% for the chronic deficit households in the rural areas.
2% for the occasional deficit households, and 17% for the break-even households. On the other hand, credit from NGOs were about 15% for chronic deficit, 13% for occasional deficit, 39% for the break-even and 30% for the surplus households in the urban areas and 19%, 30%, 33% and 5()% respectively in the rural areas (Quantitative credit findings by the Samunnay survey, 1997). It is interesting to note that the interest rate of credit taken from usurers and relatives is found to be exorbitantly high and it varies from 102.8% in the urban areas to 153.6% in the rural areas for credit from usurers, while the interest rate of credit taken from relatives varies from 103.2% in the urban and 100% in rural areas.
h. **Income Pattern**: The poorest households have limited sources of income. The urban poor are usually engaged in unskilled manual labor. Similar is the case with the rural people as well (See Annex-II table 9.15). Sale of labor was the main source of the rural poor accounting for 82% of their total income in 1993. It marginally increased to 84% in 1996. Agriculture was the second most important source of income making up only 12% of the total income of the rural poor in 1993 and 10% in 1996 respectively. Only 1% of the income of the rural poor was derived from livestock, a new source of income, in 1996.
i. (1). **Nominal Income**: In the rural areas, the income of the poorest households has been found to be miserably low during the stated period. The per capita daily income of these household was taka 6.9 in 1993 this increased to taka 7.4 in 1996 showing a 7% growth. Their daily income per household grew by 12% from taka 29 in 1993 to taka 33 in 1996. The higher growth rate of nominal income is mainly due to a positive growth of the nominal wage rate (12%) along with a growth of the number of earning members (5%) of the poorest households. The low per capita income is partly due to the large family size and its growth over the stated period. The low income of the poorest households is a result of a number of socio-economic factors, e.g; low wage rate, poor asset base, poor human capability due to illiteracy, low access to economic opportunities etc. The impact of the FFE program does not seem to have been appreciable to the level on income of the program households. Although
the program has had some positive impact, on the growth of income (15% in per capita and 19% in household terms during 1993-1996), its contribution to the growth is difficult to ascertain however other findings indicate that the contribution of the program households is insignificant (Taka .81 per capita daily, Taka 4.85 per households daily, 15% of the average household income). The income of the urban poor increased by a much higher rate than that of the rural poor in both per capita and per household terms because of the higher growth rate of wage (29%) and of earners per households (17%), lower family size (3.7) etc. Moreover, gainful economic opportunities are greater in the urban areas compared to the rural areas.
i. (ii). Real Income: The income of the poorest households in real terms is found to have declined across the board during the monitoring period. In the rural areas, the per capita real income of the poorest households declined by 22% on an average from 0.9 in 1993 to 0.7 in 1996 (BIDS annual report on income pattern, 1998). Barring the FFE households, the per household real income has registered a sharp decline during the same period irrespective of differences in regional diversity. Due to the income support under the FFE program, the FFE households could avoid the sharp fall of income. The par capita real income for the FFE households has declined by 13% against a 20 to 25% decline for the non-FFE program households over the stated time period (The budget for the poor by IDPAA and Proshika, 2002, P. 163). Overall, despite a 7% increase in per capita income in nominal terms on an average during 1993-96, the corresponding real income took an appreciably higher downward turn (-22%) caused by 24 to 43% price hike of coarse rice in the rural areas during the same period of time. The per capita real income of the urban poor remained unchanged, whereas the per household real income marked an upward trend (5%) during the monitoring period. The per capita real income of the urban poor was almost double (1.4 kg a day) that of the rural poor in 1993 which remained almost unchanged during that period.
j. Consumption Pattern (Food only): The consumption of rice and wheat—the staple food items of the poorest households is found to have
recorded opposite trends among these households in the urban and rural areas. In the urban slums, the per-capita daily consumption of food (rice and wheat) was 442 grams in 1993 and it rose to 514 grams in 1996 representing a 16% growth. The increase in the consumption level of food in terms of both per adult equivalent unit and per households unit has also been substantial, 18 and 25% respectively during the monitoring period. These findings, however, conceal the substantially low level of food intake observed in one of the slums where poverty is found to be more acute. In the rural areas, the trend in food consumption is, however, found to have consistently sunk during the monitoring period in per capita and per adult equivalent terms. The per capita daily consumption of rice and wheat declined from the level of 585 grams in 1993 to 566 in 1996 showing a 3% decrease. The food consumption per adult equivalent unit is found to have been at a much higher level-797 grams in 1993 and 786 grams a day in 1996 recording a small fall during the period. The declining trend in food intake is true of both the program and non-program households during the stated period. The consistent fall in the level of consumption of food is largely due to the fall in real income and expansion of average family size of the poorest households during the monitoring period.
k. **Savings Situation:** Savings by the poorest households have been significant during 1993-96. Not only the volume of their savings has been low, but the number of saving households is also very few (BBS Statistical year book. 1997). In 1993 there were no saving households. However, the number of households participating in the savings program increased to 22% of the poorest households in the rural areas. In the urban slums, no poorest households are found to have saved during the stated period. In the rural areas, the poorest households who participated in the savings program could save only Taka 21 on an average in 1996. However, the average savings per households was much lower (Taka 7 and Taka 3 to 4 for the program and non-program households respectively) in 1996. The poorest households in the northern part regardless of groups could save nothing during the stated period. The
difference in the amounts of savings of the three groups of the poorest households is found to have remained unchanged, because their saving is largely determined by the difference in the resource bases of these households (Samunnay Report, 2002).
1. **Employment Creation**: The employment opportunities created under the FFW and TR programs show an absolute decline during 1992-94 with a marked fall in 1993-94, despite the fact that in recent years these programs had been an important source of work for the hard-core poor and of nutrition for the poor rural women. Employment generation by the FFW and TR programs has, however, risen in 1994-95 by 19.14% over the 1993-94 figure. It is found that PFDS has a bias towards the well-off urban population. In order to reduce PFDS’s original bias in favor of the relatively well-off urban population, efforts have been made to improve the development impact of the VGD program, for example, by including credit and training components. Policy recommendations for streamlining the effectiveness of the food-aided programs are provided in a report of the special Task Force on strengthening institutions for food-aided development (SIFAD). Though the financial costs in terms of food subsidies in the budget are declining, it is still a major head of account. The World Bank, the dominant actor in the field of foreign aid in Bangladesh, feels that food aid in the future should focus on utilizing limited resources in a cost effective way if these programs are to remain viable options for poverty alleviation (WB report, 1992).
m. **Development at a Glance**: Government of Bangladesh had taken a long-term plan for poverty alleviation in Bangladesh. Each ruling party has poverty alleviation as their main target in election manifesto. Initially government prepared strategies for poverty alleviation since 1990. Up to 2000 there is no such excellent evidence of improvement in poverty situation in Bangladesh economy. A bird’s eye view on the development indictor can be shown with the aid of the following table:
Table-6: Target fulfillment in poverty and social factors according to 1990 as the benchmark year
| Target | 1990 | 2000 Benchmark | Annual growth (%) within 1990-2000 | Target for 2015 |
|---------------------------------------------|------|----------------|------------------------------------|-----------------|
| **Target according to MDG** | | | | |
| Income poverty | 59 | 50 | -1.5 | 37 |
| Aged education | 35 | 56 | 6 | 88 |
| Enrollment in primary education | 56 | 75 | 3.4 | 100 |
| Enrollment in secondary education | 28 | 65 | 13.2 | 95 |
| Infant mortality rate | 94 | 66 | -3 | 22 |
| Mother mortality rate | 480 | 320 | -3.3 | 147 |
| Life expectancy | 56 | 61 | 0.9 | 73 |
| Malnutrition children (%) | 67 | 51 | -2.4 | 26 |
Source: A National Strategy for Economic Growth, Poverty Reduction & Social Development, January, 2003
n. Future of Poverty in Bangladesh
Following table (Table-7) shows the trend of poverty based on substitute growth method from 2002 to 2020. The table shows that in all respects poverty will reduce in rural and urban areas. Government’s I-PRSP, NGO intervention and donors activities will help to attain that goal. But still the change in poverty is not that much remarkable in the sense that the level of poverty reduction is less than the number of projects undertaken for the poverty alleviation.
Table-7: Future poverty trend based on substitute growth method from 2002-2020
| Year | Rural 2% | Rural 3% | Rural 4% | Urban 2% | Urban 3% | Urban 4% | National 2% | National 3% | National 4% |
|------|----------|----------|----------|----------|----------|----------|-------------|-------------|-------------|
| 2000 | 53 | 53 | 53 | 36.6 | 36.6 | 36.6 | 49.8 | 49.8 | 49.8 |
| 2001 | 52.2 | 51.8 | 51.4 | 36.1 | 35.9 | 35.7 | 49.2 | 48.9 | 48.6 |
| 2002 | 51.4 | 50.6 | 49.8 | 35.6 | 35.2 | 34.8 | 48.6 | 48 | 47.4 |
| 2003 | 50.6 | 49.4 | 48.2 | 35.1 | 34.5 | 33.9 | 48 | 47.1 | 46.2 |
| 2004 | 49.8 | 48.2 | 46.6 | 34.6 | 33.8 | 33 | 47.4 | 46.2 | 45 |
| 2005 | 49 | 47 | 45 | 34.1 | 33.1 | 32.1 | 46.8 | 45.3 | 43.8 |
| 2006 | 48.2 | 45.8 | 43.4 | 33.6 | 32.4 | 31.2 | 46.2 | 44.4 | 42.6 |
| 2007 | 47.4 | 44.6 | 41.8 | 33.1 | 31.7 | 30.3 | 45.6 | 43.5 | 41.4 |
| 2008 | 46.6 | 43.4 | 40.2 | 32.6 | 31 | 29.4 | 45 | 42.6 | 40.2 |
| 2009 | 45.8 | 42.2 | 38.6 | 32.1 | 30.3 | 28.5 | 44.4 | 41.7 | 39 |
| 2010 | 45 | 41 | 37 | 31.6 | 29.6 | 27.6 | 43.8 | 40.8 | 37.8 |
| 2011 | 44.2 | 39.8 | 35.4 | 31.1 | 28.9 | 26.7 | 43.2 | 39.9 | 36.6 |
| 2012 | 43.4 | 38.6 | 33.8 | 30.6 | 28.2 | 25.8 | 42.6 | 39 | 35.4 |
| 2013 | 42.6 | 37.4 | 32.2 | 30.1 | 27.5 | 24.9 | 42 | 38.1 | 34.2 |
| 2014 | 41.8 | 36.2 | 30.6 | 29.6 | 26.8 | 24 | 41.4 | 37.2 | 33 |
| 2015 | 41 | 35 | 29 | 29.1 | 26.1 | 23.1 | 40.8 | 36.3 | 31.8 |
| 2016 | 40.2 | 33.8 | 27.4 | 28.6 | 25.4 | 22.2 | 40.2 | 35.4 | 30.6 |
| 2017 | 39.4 | 32 | 25.8 | 28.1 | 24.7 | 21.3 | 39.6 | 34.5 | 29.4 |
| 2018 | 38.6 | 31.4 | 24.2 | 27.6 | 24 | 20.4 | 39 | 33.6 | 28.2 |
| 2019 | 37.8 | 30.2 | 22.6 | 27.1 | 23.3 | 19.5 | 38.4 | 32.7 | 27 |
| 2020 | 37 | 29 | 21 | 26.6 | 22.6 | 18.6 | 37.8 | 31.8 | 25.8 |
Source: A national Survey for Economic Growth, Poverty Reduction and Social Development, January-2003
7. Suggestion and Recommendation: Waiting for a New Sunrise
A broad based growth process with sectoral emphasis on agriculture and labor intensive exports, combined with the judicious use of various instruments of targeted intervention for providing a safety net for the most disadvantaged groups of the poor, is often argued as a way of reducing inequality in the society. However, we still have very poor knowledge about the determinants of the level and trend in inequality. Even if we do
not know about the determinants of inequality, it is useful to draw attention to two historical lessons. Lower initial levels of inequality (beginning of 1960s) in the high-performing East-Asian economies is generally attributed to successful land redistributive reform and relatively high average levels of educational attainment which, inter alia, facilitated the movement of workers from low productive to high productive sectors. In the specific agrarian context of Bangladesh, assets redistribution such as land reform is difficult to achieve due to socio-political constraints. The distributive outcome of land reform is also uncertain because of limited aggregate size of potentially available ‘surplus’ lands for re-distribution (Based on Consumption Distribution data 1988/89 HES).
- The strategy of the government should be to accelerate economic growth and increase investment in the priority sectors like agriculture, including through subsidies in agriculture, industries and infrastructure (rural infrastructure, in particular), education, health and human resource development, especially of women and youth.
- **Strategies for Higher Investment in Social Sector:** A recent analysis (World Bank 1996) highlighted the fact that the distribution of benefits from public spending at all levels of rural education was rather regressive. The bottom 20 per cent of households receive only 13.8 per cent of public spending on rural education. In contrast, the top 20 per cent receive 28.8 per cent of such expenditures. The poor households claim only 40 per cent of public spending on rural education; the share of non-poor households in such expenditures is as high as 60 per cent. The pattern of regressively total rural education spending is mainly the result of the inequity in the allocation of expenditures at the secondary and higher levels. The need to invest soundly in building human capital is very clear. Basic education is critical for ensuring that everyone can participate in and benefit from growth. A healthy, literate labor force will increase the growth that can be obtained from establishing a sound investment climate and strongly increase the poverty reduction benefit from that growth. This outcome could be reinforced - as has been done by the removal of gender gaps in health and education.
- Policies should be formulated to control population growth and maintain it at a sustainable level, and to ensure long-term maintenance of the
livelihood of these people through the sustainable management of natural resources.
- Emphasis should be given to develop human capital which supports an environmental perspective of population and health issues, through education, family planning and public health programs. The purpose of education should be to excel in quality and to improve the ability of people to use natural resources efficiently and productively, and to diversify their sources of income, which will not be solely dependent on natural resources.
- Preventive measures, which are capable of reducing the environmental health risks of people originating from degraded environment such as polluted water and air, lack of sanitation and others, should be incorporated in the public health programs.
- The poor should have access to low-cost treatment of diseases such as diarrhoea, respiratory problems, skin-diseases, and cancer from environmental hazards.
- Property rights and price should be defined to replace uncertain ownership in order to conserve resources.
- Nationally, sustained political resolve must ensure purposeful investment in and empowerment of the poor; participation of people at all levels of development and access to resources, opportunity, credit, land, technology information and justice. Such a poverty reduction strategy is impelled by three critical motors: decentralization, social mobilization and human resource development.
- Democratization within the political parties themselves should be taken up. The people's representatives should be imparted training on government rules and regulations.
- While nominating candidates, local opinion should be given more weight rather than the decision of a parliamentary board.
- The meetings of parliamentary committees should be held regularly and should remain open for participation by the general public.
- The time-management of parliament should be audited so that too much time is, not wasted on calumny and praise.
- Public opinion should be elicited on bills that are submitted in parliament for public interest. There should be provisions for bringing no-confidence motions against individual ministers.
- Peoples’ Involvement: The people can be incorporated as active monitors of corruption. Their involvement can be ensured through citizens’ survey, establishing people’s monitoring bodies, involving professional organizations and the media (call in radio shows), and setting up education programs. Also the introduction of report cards to monitor public services can be considered.
- Free Press: The presence of a free and active press is crucial in any effort to combat corruption. If the public is to be informed and involved the media must take part. Exposing local and domestic corruption scandals, and informing the people of corrupt activities are essential for effective anti-corruption measures.
- A huge growth dividend could come from better policies, especially better law and order, a reduced cost of doing business (i.e. less corruption), a more competitive financial sector and improved infrastructure.
- Building a national consensus on the key reforms critical to poverty reduction, “ring fencing” them, and keeping them out of confrontational policies. National budget should reflect the importance of i-PRSP.
- Better law and order situation should be ensured to improve the investment climate and to improve the people’s safety and security in their daily lives.
- Strengthening the National Board of Revenue, revamping the Custom Administration, strengthening Bangladesh Bank’s supervision capability to pursue large bank defaulters, strengthening the lower courts and judicial system and accelerate police reforms to improve governance in the country.
- While progress in initiating reform of the civil justice system has been encouraging, reforms need to be immediately extended to the criminal justice system to address the poor’s access to justice.
- In the areas of financial management, it is essential to improve the quality of financial reporting and auditing by improving accounting practices and upgrading the approach to auditing by bringing them in line.
with international standards to better ensure transparency and accountability and reduce corruption.
- Legislation on NGOs should be reviewed in a consultative way and should be aimed at enabling NGOs to deliver services even better on the ground.
- To survive in a post-MFA world, Bangladesh urgently needs to improve its competitiveness, not in terms of price, but more importantly, in reducing the time to market, and the cost of doing business, in order to ensure job growth and livelihoods, especially for women.
- Also the Government needs to develop a clearer strategy-together with a clear indication of private sector investment in the medium-term macroeconomic framework-than is articulated in the i-PRSP about how Bangladesh can sustain its export dynamism after the phase out of the MFA-2005.
- A merit-based promotion system for mid-level officials and appointment on merit of some senior officials from outside the Government. Keeping political hand out of bureaucracy.
- A major challenge would be to fight endemic corruption in the appointment of staff and delivery of services throughout the system. I am recommending Government to work more on coalition building with NGOs to effectively reach the marginalized and special groups of children.
- Reduce external dependency as it is evidenced that most of the donated/borrowed money is kept as idle rather those money is increasing the burden as interest.
- Privatization of loss making SGES and employment based on efficiency of laborer. Even I am in favor to privatize utility providers like. DESA, WASA to reduce the system loss.
- Utilization of idle money (about 11 thousand crore taka) by reforming rate of interest and encouragement should be made to invest those in social infrastructure (like education) and small business development. Because return on small business is prompt and high.
- Ensuring opposition party’s and all level’s participation in the government decision making.
- Emphasis should be given in setting backward linkage industries to eliminate risk of having narrow base in industrial sector of Bangladesh.
- Free the trade union from politics to check labor unrest and setting a minimum and maximum wage to check supply side inflation in the economy.
- Include local experts in policy making and avoid the foreigners in such respects as they are providing over ambitious targets that cannot be achieved with given local resources.
- Restructuring of import duties to protect smuggling and dumping to protect local infant industries.
- Make a worthy parliament by achieving maximum participation and consensus of all the parties in decision making.
- Khash-land distribution to the peasant farmers and better distribution of fertilizer and agricultural equipments to improve the economic conditions of the rural poorer.
References:
1. Alam, J. (1988). Organizing the Rural Poor and its Impact: The Experience of Selected Non-Governmental and Governmental Organizations in Bangladesh. Economic Bulletin for Asia and the Pacific. Vol. XXXIX, No. 1, Pp. 33-42
2. Bangladesh Rural Development Board (1994). Annual Report 1993-94
3. ESCAP (1993), Report of the Committee on Poverty Alleviation through Economic Growth and Social Development, Bangkok. E/ESCAP/CPA/2.
4. Khandaker, S. R. Baqui Khalily and Zahed Khan (1995). Sustainability of Grameen Bank: What do we know? Mimeo, The World Bank.
5. Khandaker, S. R. Baqui Khalily and Zahed Khan (1995). Designing a Sustainable Poverty Alleviation Program: The BRAC Strategy in Bangladesh. Mimeo, The World Bank
6. Proshika Manobik Unnayan Kendra (1995), Annual Activity Report 1993-94
7. Rahman. Pk. M (1994). Issues of Rural Poverty in Bangladesh. University Press Limited. Dhaka
8. Ghafur, A, Chowdhury, O. H. & Roy, D. K. (1994). Public Expenditure and Poverty Alleviation in Bangladesh. CIRDAP Dhaka.
9. Ahmed, S. and Sattar, Z. (2003) “Trade Liberalization, Growth and Poverty Reduction in Bangladesh.” (mimeo.) World Bank: Dhaka.
10. Bakht, Z. (2001) “Preparation of the Sixth Five Year Plan: Position Paper on Industry”. (mimeo.) Bangladesh Institute of Development Studies: Dhaka. BBS (2000) Preliminary Estimates of Gross Domestic Products, 1999-2000 and Final Estimate of Gross Domestic Product, 1998-99. Bangladesh Bureau of Statistics: Dhaka.
11. Bangladesh: Poverty Reduction Strategy Paper Status Report. (2004) International Monetary Fund August 2004, IMF Country Report No. 04/279.
12. BBS (2001a) *National Accounts Statistics: Gross Domestic Product, 2000-2001*. Bangladesh Bureau of Statistics: Dhaka.
13. BBS (2001b) *Preliminary Report of Household Income and Expenditure Survey 2000*. Bangladesh Bureau of Statistics: Dhaka.
14. (Budget Sahaj Path, 2004-05 by Samunnay, p. 45).
15. GOB (2003) *Bangladesh. A National Strategy for Economic Growth and Poverty Reduction*. Economic Relations Division, Ministry of Finance, Govt. of Bangladesh: Dhaka.
16. Khan, A. R. and Sen, B. (2001) “Inequality and Its Sources in Bangladesh: 1991/92 to 1995/96. An Analysis Based on Household Expenditure Surveys”, *Bangladesh Development Studies*, Vol. 27, No. 1, pp. 1-50.
17. Mahmud (ed.) *Adjustment and Beyond: the Reform Experience in South Asia*.
18. Mahmud, W. (2004) “Strategy for Pro-Poor Growth in Bangladesh”, in S. Ahmad and W. Mahmud (eds.) *Growth and Poverty: The Development Experience in Bangladesh*. University Press Limited: Dhaka.
19. Mujeri, M. K. (2001) “Globalization-Poverty Linkages in Bangladesh: Some Broad Observations”, in *Independent Review of Bangladesh Development 2001*. Centre for Policy Dialogue: Dhaka.
20. Osmani, S. R. (2003) “Exploring the Employment Nexus: Topics in Employment and Poverty.” Monograph. International Labour Office: Geneva, 2003.
21. Osmani, S. R., Mahmud, W. Sen, B., Dagdeviren, H. and Seth, A. (2003), *The Macroeconomics of Poverty Reduction: The Case Study of Bangladesh*. The Asia-Pacific Regional Programme on Macroeconomics of Poverty Reduction. United Nations Development Programme: Dhaka.
34. Greely, Martin (1994). Measurement of Poverty and Poverty of Measurement. in IDS Bulletin 25/2
35. Hoff, K and J E Stiglitz. (1990) "Introduction: Imperfect Information and Rural Credit Market: Puzzles and policy Perspectives," *The World Bank Economic Review* 4(3). pp 235-51.
36. Hossain, Mahbub and Binayak Sen. (1992), "Rural Poverty in Bangladesh: Trends and Determinants." *Asian Development Review*, 10. pp 1-34.
37. Khandkaker, S R and O H Chowdhury, (1995), "Targeted Credit Programmes and rural Poverty in Bangladesh," in *Credit Programme for the Poor*, BIDS/World Bank, Dhaka.
38. Poverty wanes, but pace not enough to meet goal, UNDP study shows the poverty decline by 1 percentage point a year. *The Daily Star, September 30, 2003*
39. Poverty Alleviation: Govt. and NGO Interventions. A Review of Bangladesh’s Development-1995.
40. UNDP (1996), South Asia Poverty Alleviation Programme: Social Mobilisation Through Institutional Development at the Grassroots (UNDP/UNOPS Executed Project in Bangladesh).
41. WORLD BANK (1993). The East Asia Miracle: Economic Growth and Public Policy, Washington, D.C.
42. World Bank. (1998). *Bangladesh: From Counting the Poor to Making the Poor Count*. Poverty Reduction and Management Network, South Asia Region, The World Bank. Washington.
Masder Hossain Judgment and the Implementation of Separation of Judiciary in Bangladesh.
Md. Mostafizur Rahman
Abstract
Recently the Appellate Division of the Supreme Court of Bangladesh has asked the government to take steps for the separation of judiciary and implement the Judgment of Masder Hossain Case. But it is a matter of continuing debate regarding the implementation of separation of Judiciary. This literature attempts to explore about the initiative that has been taken by the government to separate the Judiciary and the obstacles standing in the way of implementing the initiative. Some recommendations have been inserted here so that the policy makers can effectively separate the Judiciary. If the Judicial organ weakens, the democratic system and social fabric will be broken down. So here all the people concerned with Judiciary have to play a vital and effective role for the implementation of separation of Judiciary.
I. Lecturer, Dept. of Law, Prime University, Mirpur-1, Dhaka.
Introduction:
The Judiciary is regarded defined as the last resort of the common people that can protect and harmonize the varying interests of the members of society. Most of the monumental achievements of the human rights community have been brought by the Judiciary. The Judiciary is charged with responsibility of dispensing justice and safeguarding the rule of law. It can also redress the grievances of the people and resolve disputes. As the last resort for the people to seek shelter and get relief against the offender and wrongdoers, the Judiciary must be separated. In Bangladesh the judicial norms and practices have been deteriorating for years. By observing this, a full bench of the Appellate Division of the Supreme Court on January 10, 2007 ordered the caretaker government to publish various rules on separation of the Judiciary through gazette notification and remove major hurdles for the separation.
Objective of the Study:
Separation of Judiciary is the burning issue of the day. It is a matter of pleasure that a suitable ground has been created after the historic Judgment regarding separation. It was also a landmark move by the present caretaker government that they published a gazette notification regarding separation and the Code of Criminal Procedure is amended recently. But the directive, which are given by the Masder Hossain case, have not yet been exactly executed. The main objectives of this literature are:
- To explore to what extent initiatives have been taken to separate the Judiciary from the executive.
- To find out the obstacles available to implement the initiatives.
- To state the present condition of the Judiciary and recommendations for the implementation of Judgment of Masder Hossain case.
- To build awareness through disseminating knowledge about separation of Judiciary.
- To help the policy makers so that they can take further initiatives effectively for the separation.
Methodology:
The paper is mainly based on secondary sources of information, like books, journals, newspapers and research reports. Relevant literature has also been collected through Internet browsing. While giving some recommendations sometimes I have relied on the present condition of the Judiciary in other countries.
Review of Literature:
The question of separation of Judiciary from the executive organ of the state is not new for our judicial system. So far many erudite articles written by high intellectual persons of the relevant fields have been published in the leading newspapers of our country. Some literatures regarding the separation of Judiciary are also found by Internet browsing. The existing literature regarding the separation of Judiciary are ‘Separation of Judiciary how long will it take’ written by H.M. Fazlul Bari,¹ ‘Separation of Judiciary and Judicial Independence in Bangladesh’ written by Sierd Hadley,² ‘Separation of Judiciary from the Executive’ written by M Ziaur Rahman,³ and ‘The Problems of Separation of Judiciary from the Executive’ written by S.M. Matiur Rahman.⁴ Those intellectuals have gone mainly through the necessity of separation of Judiciary. They observed there some obstacles. But situation has changed after delivering the historic Judgment of Masder Hossain case. Now the question arises about the implementation of that Judgment. I want to explore here the obstacles, which will be faced to implement the Judgment and also set up some recommendations.
1. Bari. H.M. Fazlul. 2004, Separation of Judiciary How long will it take? Retrieved from: http://www.thedailystar.net/2004/08/04vision.htm.
2. Hadley, Sierd. 2004 Separation of Judiciary and Judicial Independence in Bangladesh-Retrieved from www.ais-dhaka.net/Library/senior%20Projects/04_Hadley_judiciary.pdf
3. Rahman, M. Ziaur. 2005. Separation of Judiciary from the executive. A monthly Current Affairs, January 2005. Dhaka: Professors Publishers Ltd.
4. Rahman, S.M. Matiur. 2004. The Problems of separation of Judiciary from the Executive. Retrieved from http://www.thedailystar.net/law/2004/09/04.
Separation of Judiciary:
The concept of separation of Judiciary from the executive refers to a situation in which the judicial branch of the government acts as its own body free from intervention and influences from the other branches of the government particularly the executive. Separation of Judiciary from the executive universally ensures the independence of Judiciary and safeguards the rights of the people. It is impossible to ensure the rule of law without providing independent courts and deciding disputes independently by the Judiciary. The separation of Judiciary is the first major step to ensure independent of Judiciary because “A sound and independent Judiciary is the sine qua non and prerequisite of a healthy society”\(^1\)
Independence of Judiciary means a fair and neutral judicial system, which can afford to take decision without any interference of other organs of the government. It depends on some conditions, like, mode of appointment of the Judges, security of their tenure in office and adequate remuneration and privileges. It is the test of the performance of the government to ensure independence of Judiciary. James Bryce says, “There is no better lest of the excellence of a government than the efficiency of its judicial system, for nothing more nearly touches the welfare and security of the average citizen than his sense that he can rely on the certain and prompt administration of Justice”\(^2\)
Only separation of Judiciary can create such type of working atmosphere where the Judges are in a position to render justice in accordance with their oath of office and only in accordance with their own sense of justice without submitting to any pressure or influence, be it from the executive
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1. Halim, M.A. Constitution, Constitutional Law and Politics: Bangladesh Perspective. (1988) P.298
2. Bryce. James, Modern Democracies (1929) P. 384. Quoted in the Dhaka University studies, part, F.vol.-1. P.4.
or legislative or from the parties themselves or the superiors and colleagues. A high degree of separation can, however, be a strong guardian of judicial independence. The Constitution of Bangladesh has inserted the separation of Judiciary as a state policy in its Article 22 where it has been stated: “The state shall ensure the separation of the Judiciary from the executive organ of the state”.¹
The Constitution of Bangladesh is the first defense of judicial independence. It has addressed the method of appointment of Chief Justice and other Judges by Art. 95. It has also mentioned method of appointment and control of Judges in the subordinate Judiciary.
**Steps for separation of Judiciary:**
Separation of Judiciary from the executive and judicial independence appears to have become an endless process. The debate started in the late 20th Century and continues even now. The first attempt was taken after the Independence of the Sub-Continent in 1947. Pakistan government enacted Act No xxiii of 1957 for East Pakistan to ensure separation. The law was hanging for a simple gazette notification. As regards independence and separation of Judiciary, our constitution of 1972 was fairly developed, the Constitution makers very carefully tried to secure independence of our Judiciary by incorporating several important articles in it. The first of these articles relates to the appointment of Judges of the Supreme Court. Article 95 mentions, "The Chief Justice shall be appointed by the President and other Judges shall be appointed by the President in consultation with the Chief Justice".² The next articles that ensure the independence of the Judiciary are articles 94 and 116 (A).
"By the provisions of this Constitution the Chief Justice and other Judges shall be independent in their Judicial functions"³
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¹. Article; 22 of the Constitution of the Peoples Republic of Bangladesh.
². Article 95 of the Original Constitution of the Peoples Republic of Bangladesh
³. Art. 94 (4). of the Constitution of the Peoples Republic of Bangladesh.
“Subject to the provisions of this constitution, all persons employed in the Judicial Magistrates shall be independent in the exercise of their Judicial functions”\(^1\)
But the fourth amendment undermined the Constitutionalism itself, which obviously destroyed the independence of Judiciary. In 1976, the Law Commission recommended that subordinate Judiciary on the criminal side should be separated from the executive.
In the meantime two extra constitutional processes were taken in 1987 to separate the magistracy by amending the Code of Criminal Procedure, 1898. But unfortunately the bill was not placed before the Parliament. A high expectation turned into frustration when two democratic government in 1991 and 1996 did nothing in this regard. After these a historic Judgment given by the Supreme Court in famous Masder Hossain Case issued 12-point directives to ensure separation of Judiciary from the executive.
**Masder Hossain Judgment regarding separation of Judiciary:**
In 1999 while delivering an exclusive Judgment in the famous Masder Hossain case; popularly known as “Separation of Judiciary” case the Appellate Division of Supreme Court asked the government to take steps for separation as per Article 22 of the Constitution.
The Appellate Division also gave 12 points directive or road map on how the separation should be given effect. It had been more than six years since the Judgment was pronounced, but in this long period the successive governments have only sought extensions of time for implementation of the directives of the Appellate Division of the Supreme Court. The caretaker government of 2001 took all measures to ensure the separation of Judiciary, but it stopped at the request of
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1. Art. 116 (A), of the Constitution of the Peoples Republic of Bangladesh.
2. Secretary, Ministry of Finance VS Masder Hossain, 2000 BLD (AD) P. l04.
both the political parties, the BNP and the Awami League. Then a full Bench of the Appellate Division of the Supreme Court on January 10, 2007 ordered the Caretaker government to formulate various rules on separation of Judiciary through gazette notification and remove all types of obstacles to the separation.
An extremely important action was taken, after many years of delays, in accordance with an order from the Appellate Division of the Supreme Court on January 16, 2007. A landmark move was observed while the Caretaker Government published four rules relevant to the separation of the Judiciary from the Executive.
The four new regulations are: the Judicial Service Commission Rules 2007, Bangladesh Judicial Service Pay Commission Rules 2007, Bangladesh Judicial Service (Service Constitution, Composition, Recruitment, Suspension, Dismissal and Removal) Rules 2007, and Bangladesh Judicial Service (Posting, Promotion, Leave, Control, Discipline and other Service Condition) Rules 2007.
The implementation of 12 points directives given by the Appellate Division of the Supreme Court in 1999, and also those four rules are now a challenge to the present government. This is the high time to find out the exact problems to implement the separation and proper initiative should be taken to fulfil the expectation of the people.
**Obstructions to Implementation:**
Separation of Judiciary from the executive and judicial independence appears to have become an endless process; It may be noted here that Pakistan and India have taken necessary steps to free the judiciary from the executive at all levels in 1973 and 1974. But in our country there are some problems prevailing for proper implementation of Masder Hossain Judgment regarding separation of Judiciary. In my estimation some of the problems are:
1. Separation of Judiciary is a long-standing demand of the age. But the way it is separated has contradicted some basic Articles of the constitution like; Article 8 of the constitution which is one of the pillars of the constitution. Separation of judiciary is mentioned in our constitution as a fundamental state policy. Article 8(2) says the principles set out in this chapter cannot be judicially enforceable. So it may raise questions to amend that Article which needs referendum\(^1\). There is also a debate between literal meaning and spiritual meaning of the constitution. This inconsistency is not good and we have experienced it during the last caretaker government.
2. The procedure of separation of judiciary ignored the definition of state given in Article 152 where Supreme Court has not been included in the definition of state\(^2\). But according to Article 22. “The state shall ensure the separation of the Judiciary from the executive organs of the state.”
3. The separation of the Judiciary has mostly been perceived as a legal issue and therefore, agitated most by persons connected with legal issues. Since the issue of the separation is to be a central political issue, the initiative has so far remained unrealized.
4. Of the total population of our Country, more than 70% do not know what actually is meant by separation of Judiciary. Due to the lack of consciousness, people have no strong movement regarding the implementation of separation of Judiciary within a short period of time.
5. The decision of the Masder Hossain case emphasized the independence of the lower Judiciary as the appointment and other issues of the Judicial Officers of the Judiciary which are dealt with by the Judicial Service Commission. But there has not been any specific idea about higher Judiciary.
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\(^1\) Article 142 (1A) of the Constitution.
\(^2\) Article 152 of the Constitution.
\(^3\) Article 22 of the Constitution.
6. As said earlier, implementation of separation of Judiciary is a continuing process. So involvement of politicians is very important here. Lack of political will may be an obstruction in future.
7. Our constitutional provisions for the appointment of Justice are not sufficient to spare from the government to appoint a person loyal to it. In case of appointing Judges for higher court a person who has been practicing law in the Supreme Court for ten years or has been holding Judicial Office in the territory of Bangladesh for ten years may be appointed as a Judge by the President even though without having good record of practicing law. He can be appointed only if he is in the good book of the government.
8. The constitution does not define the term ‘Judicial Officer’. According to Masder Hossain Case only the person who performs the judicial functions will be treated as the Judicial Officer. But last time an Officer of the law ministry was appointed as the Judge of the Supreme Court which was the violation of directions of the above mentioned case.
9. The President is entrusted with the sole power to appoint Judges in the Supreme Court.\(^1\) There is no check and balance on it. It may be influenced by the decision of the government. Because in our country the decision of the President merely comes from the decision of the party in power.
10. Appointment of Chief Advisor of the Care-taker Government from the retired Chief Justice is one of the obstacles to ensure the object of separation of Judiciary. By this way a chief Justice may be biased by the politicians.
11. The BCS Administration Officer generally do not wish to become a permanent member of the Judicial services as a Judicial magistrate, devoid of their executive powers, because they think that they cannot exercise multi dimensional power as a judicial magistrate. Their scope of promotion will be limited there as a judicial magistrate.
\(^1\) Article 95 of the Constitution of Peoples Republic of Bangladesh.
12. The magistrate, as a judicial Magistrate, may be treated as a stranger in the Judiciary. It is also seen that usually the local lawyers have more access to the Judges than the magistrate. Again it is a matter of holding the law degree and the lawyers may consider the judicial magistrates as the inefficient Judicial Officers. So it may not be possible for the magistrates to work smoothly when they are placed under the Judiciary.
13. The law ministry recruits Judges from the subordinate Judiciary as law officers. Law Officers have to defend government positions while Judges might issue rules against the government. A directive of the Masder Hossain Judgment calls for the roles of Judges and Law Officers to be separated. Unfortunately, so far this directive has not been carried out.
14. Corruption of lawmakers and some Judges can spoil the judicial atmosphere. It is very common sceneries in our country that sometime they take bribe spontaneously and make the case diverted.
15. Here in judiciary the remuneration package is not satisfactory. A man of integrity and sense of justice will not to be interested to be a Judge. This very thing is mentioned by Professor Garner “If the Judges lack wisdom, probity and freedom of decision, the high purpose for which the Judiciary is established cannot be realized”.
The government is committed to implementing these directives so they should remove every obstacle for the proper implementation of Masder Hossain Judgment.
**Recommendations:**
From the above discussion I would like to humbly submit the following recommendations for removing the obstacles in order to separate the Judiciary from the Executive, and it may be expected that with the proper implementation of Masder Hossain Judgment and these recommendations, judicial independence in Bangladesh may be effectively ensured.
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1. Garner. James. Wilford, Political Science and Government. P. 722.
1. First of all constitutional amendment is essential to proper implement of the Judgment of Masder Hossain case. As the separation of Judiciary mentioned in Article 22, which is the pan of Fundamental State Policy, a referendum is needed to amend Article 8(2).
2. For giving effect to the decision of the Supreme Court regarding constitutional matter sometimes interpretation is needed. Literal meaning is chosen for interpretation of constitution. In Masder Hossain case there is a debate between literal meaning and spiritual meaning of the constitution. Therefore, the literal meaning must harmonize with its spiritual meaning.
3. By amending Article 152, the Supreme Court should be included within the definition of state so that the Supreme Court can take steps on behalf of the state.
4. “Appointment of Judges of the highest court has also become a domain of separate judicial commissions in the neighboring countries. Judges are now appointed by commissions consisting of senior-most Judges of the highest Judiciary”.¹ The President does retain the power of appointment, but such power is notional only as the selection is done by these commissions and the Presidents in the neighboring countries do not have the power to override or veto the recommendation of the commissions.
5. The creation of Judicial Service Commission (JSC) implies a drastic expansion of administrative responsibilities for the Supreme Court that may hamper the judicial duties of the Judges. The technical competence of the administration of the Supreme Court is an area of concern, and courts in general are in need of more technical assistance.
6. The constitution should declare the posts of Judge as a profitable posts so that after retirement or removal they cannot be appointed by the President in Judicial, quasi-Judicial posts. The International Law Commission Report also gives the same view,
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¹ Malik Dr. Shahdeen, Independence of Judiciary a political concept (2004). The Daily Star: 13th Anniveresary special.
"If such provision is available, impartial Judgment may not be expected from them especially where the government itself is a party to a suit."¹ In this regard Ahmed J. said, "Opening up of opportunities for appointment after retirement will serve as a temptation and tamper with his independence during the concluding period of his service".²
7. The Words ‘Judicial Magistrates’ should be substituted for words ‘Magistrates exercising judicial functions’ in Article 115 and 116 of the constitution.
8. Only persons with legal background should be placed under the Judiciary to act as magistrates. An intellectual, honest and punctual man of integrity and sense of justice should be appointed as a judicial magistrate or Judge. Without that, it would obviously result in low degree of integrity in judicial decision even though the Judges are completely free after their appointment. Personal caliber should be a pre-condition to be a Judge as mentioned by K.C. Where, “The success of Judicial decisions depends as much upon a well-drafted constitution as upon the caliber of the Judges themselves.³
The Independence of Judges should be ensured. Recent International efforts in this field suggests four meanings of Judicial independence?
a. Substantive independence of the Judges
b. Personal Independence of the Judges
c. Collective independence of the Judges
d. Internal Independence of the Judges.
These four types of independence should be ensured for proper implementation of the separation of Judiciary.
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¹ Halim, M.A Constitution, Constitutional Law and Politics: Bangladesh Perspective (1998) P.309.
² Quoted by, Chowdhury, Badrul Haider, Evolution of the Supreme Court of Bangladesh, (1990), P.168
³ Wheare, K.C. Modern Constitutions, (1966)
⁴ Bari. M. Ershadul, The Dhaka University Studies, Part. F. Vol. iv, No.1 (1993), P.2.
Besides, some other specific recommendation may be drawn:
- A separate secretariat with sufficient funds and personnel for the Judicial Service Commission is needed to establish immediately.
- Swiftly some new judicial magistrates are to be appointed to administer justice in the criminal courts around the country.
- Further action is needed to depoliticize the public prosecutor department.
- A procedural calendar for the life of a case is to be established and enforced.
- Time limits for processing cases must be ensured.
- Courtroom facilities as well as technology support should be improved,
- The salary of the judicial officers is to be re-fixed.
- Public awareness and government transparency are to be increased.
- Corruption of lawmakers and Judges should be stopped by all means.
- Separation of Judiciary is to be treated not only as a legal issue but also a political and national issue.
**Concluding remarks:**
Judiciary forms the basic element of the statehood shaped by deliberate policies to establish social justice and equality of all citizens. In order to meet the challenges of the next century, to accomplish the constitutional goal, and to secure equal justice in economic, political and social life, it is important to ensure complete separation of Judiciary. History around the world shows that judicial systems are developed over time and cannot be perfected instantly. Recently the present caretaker government published four rules relevant to separate the judiciary from the executive. They also take initiative to remove major hurdles for the separation. It is a new challenge for us as a democratic country to implement the judgment of Masder Hossain case. And only satisfactory implementation of these conditions enables the Judiciary to perform its due role in the society thus inviting public confidence in it.
References:
(1) Ali, S.A.M.M. 2004. *Wither separation of the judiciary*. The Daily Star. Retrieved from
(2) Bari, M. Ershadul. 1993. *The Dhaka University Studies*. Part F, Vol-iv.
(3) Halim, M. A. 1998. *Constitution, Constitutional law and politics: Bangladesh Perspectives*. Dhaka: Rico printers.
(4) Hoque, K.E. (2003). *Judiciary in Banglapedia*. Vol.6, P.261 Dhaka: Asiatic Society of Bangladesh.
(5) Islam, Mahmudul. 2003. *Constitutional Law of Bangladesh*. Dhaka. Mullick Brothers.
(6) Malik, Dr. Shahdeen. (2004). *Independence of Judiciary: A Political Concept*. The Daily Star. Retrieved from http://www.thedailystar.net/suppliments/anni.2004/Justice_01.htm.
(7) Rahman, Anisur. (2003) *Citizens concerns over appointment of Judge in Supreme Court*. The Daily Star. Retrieved from http://www.thedailystar.net/2003/11/02/index.htm.
(8) Rahman, Khan. Ferdousour. *Independence of Judiciary: A dream comes true*. The Daily Star. Retrieved from http://www.thedailystar.net/law/2007/03/04/opinion.htm.
(9) Rahman, M. Ziaur. 2005. *Separation of Judiciary from the Executive*. A monthly Current Affairs, January-2005. Dhaka: Professors Publishers Ltd.
(10) Rahman, Mizanur. 2000. *Governance and Judiciary. Governance: South Asian Perspective* (Eds. Hye, Hasnat Abdul). Dhaka: University Press Ltd.
(11) Rahman, S.M. Matiur. 2004. *The Problems of Separation of Judiciary from the Executive*. Retrieved from http://www.thedailystar.net./law/2004/09/04/.
(12) Robson, W.A. 1951. *Justice and Administrative Law*.
Media Reflections on Women: A Critical Analysis with Special Reference to Bangladesh Perspective.
Shahinur Sultana Sumi¹
Abstract
Media has become the fastest growing element of our life in terms of its circulation and capacity. It functions with almost all kinds of people and consumer of the society. Media is very much attached to almost every moment of our life. From opening the morning newspaper, turning on TV, driving past billboards, listening to radio, surfing the Internet, where doesn’t media exist? The main body of the article will centre on the portrayal of women on TV, newspaper, magazine, Internet, cinema, TV soaps and its impact on the society. Here, I engage myself with the negative and stereotyping portrayal of women in media, which is a stigma in the society and a wrong aim to attract the consumer. In the last part of the article some recommendations have been given to stop this type of attitude of media towards women.
Key words: media reflection, stereotype, portrayal, advert, feminization, pornography and patriarchal.
¹ Lecturer, Department of Law, Prime University, Mirpur, Dhaka.
Introduction:
Media plays a major role in everyone’s life. Media is shaping up our attitudes and behavior regularly. We are continuously being led by the information from the media, and are shaping up our belief according to it. Media can be a powerful mechanism both positive as well as negative in terms of the position and views of woman. Although media has played an important role for highlighting women’s issues so far but has also had negative impact in terms of perpetrating violence against women through pornography and images of women as a female body that can be bought and sold. Overall, the media treatment of women is narrow and continually reinforces stereotyped gender roles.
UNESCO identified three causes that perpetrate oppression and discrimination against women in the 21st century. The causes are:
1. Law and legislative
2. Religion and culture.
3. Education and mass media.
Now the question is what is mass media?
It includes TV, radio, cinema, magazine, and newspaper, Internet etc. In this perspective we will now see how different types of media are using women for their business promotion.
Objectives:
The main objective of the paper is to show the unnecessary, commercial, irrelevant and illicit use of women image while presenting them in both print and electronic media.
The supportive objectives are:
1. To sort out and list the impacts of such action on our social life, values and norms.
2. To suggest measures to stop such actions against women.
Methodology:
The article is based on primary and secondary sources:
Primary sources:
Primary sources started with a discussion with renowned personalities of CENTER FOR WOMEN STUDIES, Aligarh Muslim University e.g. Dr.Shireen Moosvi, Dr.Farhat Hasan completed with a survey of students in the Department of Law, Prime University, Dhaka.
The discussion was conducted in March 2006 by means of open conversation and interviews with the above-mentioned persons who worked and are working regularly on various key issues, which are related to the topic of this article. The purpose of the discussion was to explore and identify key issues to be included in al survey as well as in the main paper.
The student survey was carried out in March 2006. In that survey, 15-20 students from a 1st year law course completed a 5(five) question questionnaire on how they feel women are being used in the media - both print and electronic. The survey explored what young people feel and experience, how they perceive the issue and what they know about it. The questions also focused on areas of impact on our daily life regarding the same. The findings from this survey provide an interesting similarity to data collected previously from the discussion with the specialist researchers.
Secondary sources:
I have collected secondary materials from TV, newspapers, movies, magazines and Internet.
Review of the literature:
Television (TV)
TV is called the real form of media. If this is real, then it is important for us to question how real representation of women are there on TV and how this affects the attitudes of the viewers. (Heleningham, Internet)
In any society today, a television set which is so prominent in so many households, is not only a means of entertainment, but also an important source of information. With recent research it has been indicated that, on an average, children spend 3.3 hours a day in front of the TV. So it seems inevitable that as a learning source, it has an important role in helping the “Vulnerable and impressionable” minds of children to develop certain social roles and behavior traits, (Elena Beasley, 1997 internet)
Especially the negative and debarring image of women are represented through money-spinning advertisements and serials. Women’s accessibility in the TV is very poor, especially in the central role. The reason for this could be the fact that men dominate the workplace.
[Danielle Limpinnian, Internet]. 3% of directors of various TV programs in general are women. (Paten, 12th march 2002). The advertising industry itself has particularly higher number of men in proportion to women.
Mostly women are shown in the adverts for personal hygiene products. A study by Paul Trowler shows that 75% of all adverts using females were for products used in the bathroom. 56% shown as domestic housewives and eighteen different occupations were shown for women. [Helen Ingham. Internet]
In most of the adverts women are represented as sexual objects, used for the sole purpose of giving men pleasure. It has been found in most of the “Perfume” or “Body spray” adverts.
Women’s bodies are being portrayed in such a manner that they could only bear the identity of a consumable commodity. They are portrayed as sex symbols and the focus concentrates on their conventional beauty, perfect figure, perfect teeth, hair etc. Women body is used by advert campaigners only to promote their product.
Women are subject to be the main icons in the overtly sexual type of advertisements. Advert makers often make women pose wearing lingerie to create and apply high appeal to men in their adverts though it sometimes are not necessary and relevant at all. This is very effective in the marketing strategy but also is very costly to women’s morale and self-respect.
In response to my question posed to 50 students of the Dhaka University and the 10 lawyers of the Supreme Court of Bangladesh “is there any need of women’s presence in the adverts of male shaving blade or male underwear?” almost the entire female population surveyed gave the answer as “no” because women’s presence only shows the men’s pleasure here.
Women are portrayed as the submissive and suffering ones having extreme tolerance. They mostly are represented either as mother or wife. Even in some novel based soaps women are compared with “devi” (goddess who symbolizes peace) but men with “fire” (who symbolizes aggression). This indicates that being a “devi” she has to tolerate all the degradations and oppressions towards her.
In most of the Hindi serials in India there are misrepresentations of women. Their actual struggle is hidden in these tele-serials rather they are portrayed negatively. Most popular examples are “Kyu ki saas vi kabhi bahu thi”, “Kumkum” or “Kahani ghar ghar ki” etc. In all these serials it has been shown that, the main work of a female is to gossip, to create problem in the family or to serve the male members. Here it is shown that women’s main obstacle is a woman, which is very baseless and disrespectful for a woman.
Again stereotyping is very much popular in these serials. Another stereotype for women is a bimbo, a beautiful girl with little intelligence. For the stereotype and negative representation of women, by the patriarchal mass media, the adverse effect is that one can assume that women mean having beauty, passivity and good domestic ability but men mean tough, ready, competitive and business and career oriented.
Sex role stereotyping reflects the changes in beliefs about the value of family, childcare, and the role of woman in marriage and the possibility of self-fulfillment through work. In the world of TV, the main propaganda is that women tend to be confirmed to a life dominated by the family and personal relationships more eagerly than men outside the home, as well as in it. For example, according to a study by Mc Neil about 75% of men are depicted as employed whereas less than 50% of women are barely employed rather work on ad-hoc basis. [Gunter, 1986: ll. cited by Helen Ingham: 2]
Music Industry:
Music industry recognizes women who are extremely talented but it is very unfortunate that when a woman presents her song, the most focusing thing turns to be her body not her voice. Women in the music arena feel an obligation to wear revealing outfits as they are imposed technically to do so. Music in regard to women artists is more a show off of body and body movement than the skill of music. That is the way this industry is running on absolute exploitation of women.
Newspaper and Internet:
Although women are coming to the news media as reporters, readers and presenters, they are facing a lot of impediments. Most of the time society discourages them to act as active operators both at the in-house level and at-the field level.
The latest technology used in media is the Internet. It is another sector that needs to be taken into account here. Having a global reach its operation is virtually becoming unstoppable and uncontrollable day by day. As a result, pornography, unwanted lewd messages and cyber crimes are posing new threats and challenges before the policy makers and media professionals. The most alarming fact is that many of its sites are projecting highly degrading, debasing and demeaning images of women commercially.
Case studies:
1. Women are portrayed as dependent on men. In most of the recent Toilet Duck advert it has been shown that women’s attempt for cleaning the toilet proves unsuccessful (“Harpick” brand toilet cleaner). This advert has been continuously showing that a man (who is the seller of the harpick) comes to a house and asks the housewife which brand of toilet cleaner she uses. The housewife tells the man that the cleaner, which she is using, is not so effective. Then the seller tells her to use the harpick and it is much more effective than any other cleaners that the housewife does not know. It is her foolishness that she does not know how to choose
the right thing for the family. It indicates that without men’s advice and assistance women cannot be perfect at her work even in the house. Same theme has been shown in the advert of “Surf-Excel”.
2. Gender discrimination is very much evident from our advert. They want to focus that women’s domain is home, not outside. In “OXO” advert it has been shown that a woman returns home and finds that her family members took all the dinner item not keeping a single item for her. But what her expression was? She was just accepting it with smile and tried to present that it was her due punishment.
3. It was presented in the same way in the advert of “Radhuni Gura Masala,” where a male expert tells women consumers about its features to help make better food with it. The most devastating features of these adverts are that these women are not aware of proper cooking despite their regular homemaking role. Here in this advert it has been shown that a mother tells her son to get married. But the son replies that as the radhuni masala is available, he does not need any wife and he can cook for himself. Here it indicates that men get married only for wife’s cooking not for any other reason. This is another way to humiliate the women.
4. In some adverts representation of women exist without any valid reason. In the advert of shaving razor from world-renowned brand GILLETTE the portrayal of women does not stand to represent the intellectuality of women, but only to play on men’s emotions. Here in the advert a very handsome men shaves with Gillette razor and is waiting for a girl. A girl comes to the man and softly touches his face but the way she is touching this face that it seems that she does the shave. Here there is no need to represent the girl because it is solely for the male use.
5. Women are mostly presented as charmless once their families are complete and appear to lose all physical charms once they are married. For example, “Jui Hair Oil” is an advert where it has been shown that after being married the woman lost her beauty.
and that is why, husband has no attraction towards his wife but all his concentration is on the mobile phone. But after using the hair oil, she got her beauty back. In this advert there is a couple. The male is going to the office. The wife is doing everything for her husband. But the husband is looking to the mobile and there is no concentration to the wife. It has happened everyday. The wife is thinking as to what she will do for her attraction to the husband. Then she realizes that if her hairs become silky and beautiful then the husband will again give concentration to the wife. Then she starts using “Jui hair oil” and as usual the husband is again giving his concentration to her. This is really a negative image that a wife will always be beautiful to the husband.
**Conclusion and recommendations:**
The media has a great impact on our society. Media, especially the visual one, is not only a way of entertainment but also a strong way of conveying information. So when media portrays a particular section unethically in a negative way, it creates an adverse effect on the mind of the children. Then they follow and do those things that they watch. According to Gunter and McLeer, the young people learn the concept of gender bias from TV.
When media portrays women as in the traditional role as discussed before, the children will not learn to respect women in the public phases. The representation of sex roles on television is very pervasive and it is inevitable that it will influence young children’s views. (Van Evra, cited by Elena Beasdey. 1997) Although women are contributing in the national economy, they stay in the same position as they were. Their struggles are being presented in the media very rarely.
In the last two decades advert agencies have pressurized women to be more feminized in culture. Tannins Mc Beth Williams (1985) conducted a study in Canada to examine the impact of TV on a community. He found that children who watch TV are more stereotyped.
Again the negative representation in the tele-serials and soaps indicates that women are by nature like these. As a result the children will not learn to respect the women. They will not learn to co-operate with women at the working place and will never honor them as co-workers.
Gunter argues that women are shown as more emotional than men. But this emotion is not used in association with aggression or dominance but with femininity.
From the whole discussion we come to know that there is always a negative representation of women in the media, which has to be eradicated; otherwise the real empowerment of women is not possible.
However, it is the duty of the media, government or other sector to produce the non-stereotype and positive portrayal of women in their multiple roles. They should promote the gender justice and gender equality. For the welfare of the society media must nurture and transmit humane values of civilization. They should promote themselves as the protector of human rights and gender justice. Media should be stronger regarding women’s interest. The real situation of women should be portrayed. The recommendations for right portrayal of women are given below:
1. There should not be representation of stereotyping role.
2. Portrayal of negative attitude about woman should be stopped.
3. Unnecessary use of women in some adverts should be stopped.
4. The advert agency should be more aware of the social value, tradition and culture.
5. The real struggle of women should be produced strongly to encourage them.
6. Group discussion should be arranged on the role and impact of the media.
7. There should be provision of legal actions against advertising agencies and companies, which portray negative image of women.
References:
1. Danielle Limpinnian. “The Portrayal of Women on TV” <http://www.aber-ac.Uk/media/students/hzi940/.html> accessed on 20th May [copy on the file with the author]
2. Gunter, B (1986): “Television and Sex Role Stereotyping.” London: John Libbey accessed on 20th May [copy on the file with the author]
3. Ingham.,Helen “The Portrayal of Women on Television” www.aber.ac.uk/media/student/hzi940/.html
4. Shokat, Saleem “Portrayal of women in media: the human rights perspective in Pakistan:” <http://www.paktribune.com/pforums/posts.Php2t=32838 Start=1> accessed on 20th May [copy on the file with the author]
5. TCU report. 1984. “images of inequality. The portrayal of women in the media and advertising.”
6. Van Evra, J. (1990): “Television and child development.” Hillsdale, NJ: Erlbaum
7. Windship, Janice “Women: Advertising, controversy and disputing feminism in the 1990s” Vol. 3, No. 1, 27-25 (@ 2000 publications.
8. <http://www.megaessays.com/viewpaper/74557.html> accessed on 20th May [copy on the file with the author]
9. <http://www.megaessays.com/essaysearch/woman_ads.html"> accessed on 20th May 2007. [copy on the file with the author]
Shakespeare’s Macbeth in Translation into Bengali Dramas till 1900 A.D.
Mohammad Arshad Ali
Abstract
The history of Shakespeare’s conquest of Bengal runs parallel to that of the arrival of the Britishers at Calcutta and their ascension to the state power. The article makes an humble attempt to assess how his great tragedy *Macbeth* has consolidated his power by its translation into the Bengali plays of more celebrated dramatists from the beginning to a little later than the emergence of Rabindranath in the arena of the Bengali dramatic literature i.e. to the closing year of the nineteenth century. The reason for selection of *Macbeth* with the exclusion of the other three great tragedies is that of the four it was *Macbeth* that first saw its translation into Bengali coupled with the fact that the greatest Bengali poet Rabindranath Tagore made its full length translation while a mere boy of fourteen prioritizing this ‘noble’ ‘piece of work’.
Shakespeare is not only of England but of the whole world, ‘not of an age, but for all time’. One celebrated Bengali litterateur has paid his glowing tribute to Shakespeare by way of a comparison with Kalidas, the great Sanskrit poet stating, “You are to the whole world as Kalidas is to India” (“ভারতের কালিদাস, জগতের তুমি”) This is enough to embody how Shakespeare conquered the mind of the people of the Indian sub-continent which included Bengal along with the people of the world at large- the globalization of his works.
1. Registrar & Professor, Department of English, Prime University, Dhaka, Bangladesh
Shakespeare has penned, it is known to us, thirty seven plays and a few poems and some 154 sonnets of immortal fame. It will not be very impertinent to note that all his plays were not equally successful, some of the tragedies and comedies were more equal than others so much so that the world has come to recognize four of the first genre- Macbeth, Hamlet, Othello and King Lear- as great tragedies. Their hold on the mind of the audience and readers can never be exaggerated, let alone on the other playwrights who trode the way Shakespeare did.
It is an acknowledged fact of history that Shakespeare came to Bengal with the ascension of the East India Company to the state-power in this part of the world. The Fort William College was founded in 1800 A.D. with the avowed object of educating the English children in Calcutta. The students of the college at the instance of its learned teachers fond of literature made it a usual endeavor to participate in reciting and staging Shakespearean drama. “The English recitations form different authors were extremely meritorious and reflected great credit upon the scholars and teachers. A boy of the name Derozio gave a good conception of Shylock …..” reports the India Gazette dated 31st December, 1822. The boy Derozio later flowered into the famous Professor ‘of the Hindu College, who apart from his role in social advancement, used to teach his students, among other things, at least one Shakespearean tragedy; The establishment of the Hindu College (1817) at the initiative of the elite Hindus to educate their children in the English system following suit of the Europeans in case of the Fort William College established direct contact of the natives with English language & literature resulting in transshipping Shakespearean dramas to the arena of their cultural life.
It is in this way that Shakespeare made entry into not only the homes of his own race living in the sub-continent but also those of the natives who woke up to catch the renaissance spirit that germinated and flowered with the advent of the Britishers and the consolidation of their rule in Bengal followed by in the other parts of India, though at the cost of many things that were of immense value to the latter causing irreparable loss to the Indian value system. Not that comedies of Shakespeare were not studied.
in schools and colleges, a good many of them were lovingly included in the curriculum and staged fully or partly thereat, yet the tragedies figured more prominently not only in the educational institutions but also in the stage performances which called for adaptation and translation of them into Bengali in order to cater to the native taste. The imitation, adaptation, translation, transformation and transcreation eventually led to the emergence of the native drama through the inevitable process of evolution.
Let us examine how *Macbeth*, one of the great tragedies of Shakespeare, was drawn on for the growth and development of the Bengali drama. *Macbeth* was first translated into Bengali by one of the celebrated dramatists of the time Haralal Roy by name (October 1874), the title being ‘Rudrapal Natok’ earning meteoric popularity as it did that it was staged in the ‘Great National Theratre’ in Calcutta twice during the very short period of one month, only after a fortnight of its publication.\(^{3}\)
The spectacular success on the stage of the translation, though suffering from various flaws in its composition, was quite a remarkable landmark that Shakespeare was highly relishing to the Bengali taste of the day at the same time emphasizing that Haralal excelled in the originality and felicity of the translation of *Macbeth*. The translation by Haralal is marked with success in Bengalisation of not only the exterior like entitling it as ‘Rudrapal’ but its interior is saturated with sure touches of Bengali norms—The mind was as lovely as the body— with marks of Bengali thoughts and culture as evident, for example, from “Does it ever crop in the human mind that Yama (the Hindu god of death) is inexorably taking away man by the hair? Man is but a living shadow. His strutting and fretting end in but death, life is ..., worthless, out candle.”
The next author to translate *Macbeth* was Tarakanath Mukherjee in the year 1875 with no appreciable credit, though he has made elaborate annotations of various words and phrases along with references. His work is remarkable for another distinguishing feature of historical importance - he was the first to translate *Macbeth* with the names and characters of the dramatis personae keeping intact fully as in the original Shakespeare.
The next translator of *Macbeth* with notable achievement is met in Nagendranath Bose in his work entitled ‘Karnabir’, though there are distinct evidences of domestication (naturalization i.e. Bengalisation) in characterization, plot and setting - the deviations the author frankly confesses. His translation is, however, a close resemblant to the original with its theatricality fairly preserved.
Nagendranath has clarified his position quite expressly in his introduction to ‘Karnabir’, (translation of *Macbeth*: 1885):
The English names in Bengali language do not sound well and as such those have been changed into Bengali ones:
In doing so he has made the following changes in the dramatis personae:
1. Duncan into Anandasingh
2. Macbeth into Kamabir
3. Banco into Bijyoysingh
4. Malcolm into Devisingh
5. Donalbain into Kesharisingh
6. Lady Macbeth into Malina
7. Witches into Bhairabi
A portion of the 1st witch scene is quoted below to have an idea of how he has excelled in translating and domesticating the great poet’s work (transliterated by the author):
Pratham Bhairabi : Aabar kakhon dekha hobey tinjaney?
Karh karha karh -jhimik jhimik?
Porhbey iakhon jhamjhamey?
Dwitya Bhairabi : Gurhum gurhum jhamat jhamat - thambey jakhon ron
Tritya Bhairabi : Kon jaaygaay dekha hobey bone?
Macbeth’s magical influence had its next spell on Rabindranath Tagore -- the most celebrated Bengalee in the world. Its charm was so powerful that the boy Rabindranath before his fourteen years could make a singular success in translating this drama of worldwide repute. “Jnanchandra, the young son of Ananda Chandra Bedantabagish, became the private tutor. Jnanchandra started teaching Shakespeare’s Macbeth. Nevertheless, a new world unfolded before the boy. Jnanchandra, did not however, relent with teaching only; he made the boy write what he taught. The whole of Macbeth was thus translated”. “Besides”, the poet laureate says, “he (teacher) used to give the meaning of a certain portion of Macbeth orally and so long as I did not complete translating it into Bengali verse, he would keep me confined within the room. The whole book was thus translated ….. The entire portion of that translation of Macbeth was lost except that the dialogues of the witches came out in the Bharati after a pretty long time.”5
Let us see how effectively the poet, a tender boy of merely fourteen years, rendered the dialogues of the witches into Bengali with quotation of the original Shakespeare first, followed by Rabindranath.
ACT ONE
SCENE I. An open place.
Thunder and lightning. Enter three witches.
First Witch. When shall we three meet again?
In thunder, lightning, or in rain?
Second Witch. When the hurly burly’s done,
When the battle’s lost and won.
Third Witch. That will be ere the set of sun.
First Witch. Where the place?
Second Witch. Upon the heath.
Third Witch. There to meet with Macbeth.
First Witch. I come, Graymalkin
Second Witch. Paddock calls,
Third Witch. Anon.
All. Fair is foul, and foul is fair;
Hover through the fog and filthy air.
(Witches vanish.)
SCENE III. A blasted heath.
Thunder. Enter the three Witches.
First Witch. Where hast thou been, sister?
Second Witch. Killing swine.
Third Witch. Sister, where thou?
First Witch. A sailor’s wife had chestnuts in her lap,
And mouch’d, and mouch’d: and
mouch’d: ‘Give me’, quoth I.
‘Aroint thee witch, ‘the rump-fed ronyon
cries. Her husband’s to Aleppo gone.
master o’ th’ Tiger; But in a sieve I’ll
thither sail
And, like a rat without a tail,
I’ll do, I’ll do, I’ll do,
Second Witch. I’ll give thee a wind
First Witch. Th’ art kind.
Second Witch. And I another.
First Witch. I myself have all the other;
And the very ports they blow,
All the quarters that they know
I’th’ shipman’s card.
I will drain him dry as hay:
Sleep shall neither night nor day
Hang upon his pent-house, lid;
He shall live a man forbid:
Weary sev’nights nine times nine
Shall he dwindle, peak and pine;
Though his bark cannot be lost,
Yet it shall be tempest-tost.
Look what I have.
Second Witch. Show me, show me.
First Witch. Here I have a pilot’s thumb,
Wreck’d homeward he did come. (Drum within)
Third Witch. A drum, a drum!
Macbeth doth come.
ACT. IV.
SCENE I. A cavern.
In the middle, a boiling cauldron
Thunder Enter the three Witches.
First Witch. Thrice the brinded cat hath mew’d.
Sec. Witch. Thrice and once the hedge-pig whined.
Third Witch. Harpier cries, ’Tis time, ’tis time.
First Witch. Round about the cauldron go;
In the poison’d entrails throw.
Toad, that under the cold stone
Days and nights has thirty-one
Swelter’d venom sleeping got,
Boil thou first i’ the charmed pot.
All. Double, double toil and trouble;
Fire burn, and cauldron bubble.
Sec. Witch. Fillet of a fenny snake,
In the cauldron boil and bake;
Eye of newt and toe of frog,
Wool of bat and tongue of dog,
Adder’s fork and blind-worm’s sting
Lizard’s leg and owlet’s wing.
For a charm of powerful trouble,
Like a hell-broth boil and bubble.
All. Double, double toil and trouble;
Fire burn and cauldron bubble.
Third Witch. Scale of dragon, tooth of wolf.
Witches’ mummy, maw and gulf 3
Of the ravin’d salt-sea shark,
Root of hemlock digg’d i’ the dark,
Liver of blaspheming Jew,
Gall of goat, and slips of yew
Sliver’d in the moon’s eclipse,
Nose of Turk and Tartar’s lips,
Finger of birth-strangled babe
Ditch- deliver’d by a drab,
Make the gruel thick and slab:
Add thereto a tiger’s chaudron,
For the ingredients of our cauldron.
All. Double, double toil and trouble;
Fire burn and cauldron bubble.
Sec. Witch. Cool it with a baboon’s blood,
Then the charm is firm and good.
The following is the translation of the above by Rabindranath Tagore (transliterated by the author).
**Dakini | Macbeth**
**Drishya | Bijan Prantor | Bajra Bidyut**
**Tinjan Dakini**
| Dakini | Translation |
|-----------------|-----------------------------------------------------------------------------|
| Pratham Dakini | Jharbadoley abaar kokhan |
| | Milbo mora tinti janey |
| Dwitya Dakini | Jhagrajhati thambey jakhan, |
| | Harjit sob mitbey roney. |
| Tritya Dakini | Sunjher aagei hobey seyto |
| Prantham Dakini | Milbe kothay boley deyto |
| Dwitya Dakini | Kanta khoncha mathher majh |
| Tritya Dakini | Macbeth setha aaschhey aa j. |
| Prantham Dakini | Ka ta beral Jachchi ore y! |
| Dwitya Dakini | Oi bujhi bang dakchhey more y |
| Tritya Dakini | Chai tobey chal tara kore y |
| Sakaley | Moder kachhey bhalo i manda |
| | Monda jaha bhalo je tai, |
| | Andhokarey kuashate y |
| | Ghurey ghurey ghurey berui |
(Prastham)
**Drishya | Ek prantor | Bajra**
**Tinjan Dakini**
| Dakini | Translation |
|-----------------|-----------------------------------------------------------------------------|
| Protham Dakini | Etokshan bone kothai chhili? |
| Dwitya Dakini | Martechilum shuorguli? |
| Tritya Dakini | Dekho, ekta majhir maye y |
| | Gotakatok badam niye |
| | Khachchilo sey kachmachi ye |
Kachmachiye kachmachiye
Chailum tar kachhey giye,
Porarmukhi bolley regey
“Dakini magi ja tui bhegey”
Alappoy tar swami gaychhe,
Ami jabo pachhey pachhey
Benrey ekta indur hoeyey
Chalunitey jabo bayey
Ja bolechhi korbo ami
Korbo ami
Noiko ami emon mayey
Dwitya Dakini : Ami debo batas ekti
Pratham Dakini : Tui bhai besh lokti.
Tritya Dakini : Ekti pabi amar kachhey
Pratham Dakini : Baki sab amari aachhey
Kharer mato ekebarey
Shukiye ami felbo tarey
Kiba diney kiba ratey
Ghum robey na chokher patey
Mishbe na keo tahar sathey
Ekashibar sat din
Jahaj jadi najay mara
Jharer mukhey hobey sara.
Bol dekhi bone aitey kee!
Dwitya Dakini : Koi, koi, koi, dekhi, dekhi!
Protham Dakini : Ekta majhari buro angul
Royechhey lo bone, amar kachhey
Barimukho jahaj tahar
Pather maddhey mara gachhey
Tritya Dakini : Oi shon shon bajlo bheri
Drishya | Guha | Maddhey Futanta Kataha | Bajra
Tinian Dakini
Pratham Dakini : Kalo beral tinbar
Korechhilo cheetkar
Dwitya Dakini : Tinbar aar ekbar
Sajaruta dekechhilo
Tritya Dakini : Harpi boley akashtoley
“Sajaruta dekechhilo”
Pratham Dakini : Aay rey korha ghirey ghirey
Berai mora feerey feerey
Bishmakha oi narhi bhunrhi
Korhar maddhey fel rey chhunrhi
Bang ekta thanda bhuinye
Ektrish din chhilo shuyye
Hoyechhey sey bishey pora
Korhur maddhey felbo mora.
Sakaley : Dwigun dwigun dwigun khetey
Kaz sadhi aay sobai jutey
Dwigun dwigun jaley rey aagun
Qthrey karha dwigun futey.
Dwitya Dakini : Jalar saper mangsha niey
Siddha kor korhay diey
Girgiti-chokkh banger paa
Tiktiki thang penchar chha.
Kuttor jib, badur royan
Super jib aar shuor shoyan
Shokta oshudh kortey hobey
Tugbogiey fotai tobey.
Sakaley : Dwigun dwigun dwigun khetey
Kaz sadhi aay sobai jutey
Dwigun dwigun jaley rey aagun
Othrey karha dwigun futey.
Tritya Dakini : Makarer aansh, bagher dant
Daini-mara hangor bant
Nerher shikarh tulechhi ratey
Nerher piley meshai tatey
Panthar pitti, sheora daal
Geron-kaley ketechhi kaal
tahar sathey mishihey rakh.
Angey rey sei bhrun-mara
Khanay feley khun-kora
Tari ekti aangul niey
Siddha kor karhay diey
Ghana kor aagun tatey.
Sakaley : Dwigun dwigun dwigun khetey
Kaz sadhi aay sobai jutey
Dwigun dwigun jaley rey aagun
Othrey karha dwigun futey.
Dwitya Dakini : bandor chhanar roktey tobey
Oshudh tanda kortey hobey
Tobei oshudh shakta hobey.
‘Sampadoker Baithak’!! Bharati!!!
(B.S.1287, Ashwin)
Literal though the translation might in many parts appear to be, the entire first scene and the first part of the third scene of Act One and the first part of the first scene of Act Four have been rendered with extraordinary competence.\(^6\)
Rabindranath’s *Macbeth* has its able successor in Girish Chandra’s (1844-1912) in the emerging year of the 20\(^{th}\) century (1900 A.D), keeping greatly intact the theme, atmosphere and excellence of the original Shakespeare with the title unchanged. Combining the talented dramatist, successful and actor skilful producer in him, Girish Chandra Ghose translated *Macbeth* with exclusive fidelity. This craftsmanship has earned for him eloquent admiration. His translation of *Macbeth* is an ideal model of translation of foreign dramas into Bengali. Girish Chandra has made an appropriate translation of the Macbethian dialogues; all the dramatis personae here in Girish have made even their entrance and exit and put their dialogues in the closest similarity in respects of point of time, place and language with those in Shakespeare’s *Macbeth*. Girish Chandra has not made the slightest deviation. \(^7\) *Macbeth*’s famous soliloquy after the sad demise of Lady Macbeth is an instance in point.
‘To-morrow, and to-morrow, and to-morrow
Creeps in this petty pace from day to day
To the last syllable of recorded time,
And all our yesterdays have lighted fools
The way to dusty death. Out. Out, brief candle!
Life’s but a walking shadow …………, (5.V.)
Girish Cnandra’s translation reads (transliterated by the author):
Kalya- kalya - kalya
Chaley dheer padey din din
Hoy loy nirmita samayey
Prarabdha lipir sheshaksharey
Gatakallay ektray hoiye
Loye jay path dekhaiye
Mishaitey shmasan dhulay
Niveyja, niveyja, orey kshansthayee deep
Chalachchhaya matra eyjiban ............
Despite his elaborate care and strict adherence to the original, Girish Chandra has to make certain digression to satisfy the taste of the groundlings to the detriment of the solemnity of the Shakespearean tragedy by the interpolation of the songs of the *Sakhigan* (heroine’s girl friends). This digression excepting, *Macbeth* by Girish Chandra stands unrivalled till to-day as the ideal specimen of Shakespearean translation. “He made a good acting version of Shakespeare’s *Macbeth*”.
Whatever flaws are there in the works mentioned, it is to be noted that translation works are no easy task, and demand extra-ordinary power of both head and heart. One of Shakespeare’s famous translators, Parilal Mukherjee, while writing introduction to his translation of *The Merchant of Venice* has very aptly diagnosed the difficulties, “How much difficult translating English works into Bengali is, is comprehensible only to the authors who have done it, the obstacles being all the more unsurpassing in the case of dramas written predominantly in colloquial language. Translation, entirely undistorted and uninterpolated in standard Bengali, is absolutely impossible. The styles in different languages are different, the thought processes, sentiments and emotions are likewise diverse, tastes and fashions variegated, customs and conventions dissimilar, rhetorics independent - all these render translation work failing in full correspondence with the original even though immense labour and elaborate care have been employed.”
The preceeding discussion is only but an humble effort at delineating how the Bengali literary genius has attempted to infuse the inimitable Shakespearean spirit in our literature not only through curricular activities of the academic arena and stage performances but also through absorbing it in our literary production by way of translation eventually enriching the treasure of the mother language.
References:
1. Ashutosh Bhattacharya: *Bangla Natya Shahityer Itihas*: Vol.I (1968): p- 402-203
2. Ibid: p-49
3. Pravat Kumer Mukherjee: *Rabindra Jibani*: Vol.I(B.S.1367): p-42
4. Prashanta Kumar Paul: *Rabi Jibani*: Vol.I (B.S.1389): p-226
5. Parilal Mukherjee: *Introduction to ‘Suralata’* (translation of The Merchant of Venice).
6. Sanat Kumar Mitra: *Shakespeare O Bangla Natok* (1978): p-27
7. Shafi Ahmed: *Bangadeshey Shakespeare*: 1988: p-152.
8. Hemchandra Bandopadhyaya: *Nalini Basanto Natok* (1868): Akhyapatra
9. J.C. Ghose: *Bengali Literature*: p-151.
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Waiting for Service at the Checkout: Wait Experience, Store Image and Overall Satisfaction
Riel, A.C.R. van; Ribbink, D.; Semeijn, J.; Bomert-Peters, Y.
2010, External research report
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Waiting for Service at the Checkout: Wait Experience, Store Image and Overall Satisfaction
Allard C.R. van Riel
Dina Ribbink
Janjaap Semeijn
Yvette Bomert-Peters
MAR10-11
Institute for Management Research
Working Paper Series in Management
Waiting for service at the checkout: Wait experience, store image and overall satisfaction
Allard C.R. van Riel
Institute for Management Research
Radboud University
P.O. Box 9108
NL-6500 HK Nijmegen, The Netherlands
firstname.lastname@example.org
+31 24 361 18 68
Dina Ribbink
University of Maryland
3330J Van Munching Hall
College Park, MD 20742
email@example.com
Janjaap Semeijn
Open University Netherlands
Valkenburgerweg 177
NL-6401 DL Heerlen
The Netherlands
firstname.lastname@example.org
Yvette Bomert-Peters
Conclusion Implementation
Utrecht, The Netherlands
email@example.com
1. Introduction
Service has been a major field of study in marketing for the past several decades. The focus on service in operations management is a relatively new development, as emphasized by an increasing number of special issues in authoritative journals, such as the Journal of Operations Management (Verma et al., 2002), Production and Operations Management (Boyer and Metters, 2004; Roth and Menor, 2003a; Rust and Chase, 1999), Decision Sciences (Bretthauer, 2003) and Management Science (Chase and Heskett, 1995). Customers and their attitudinal and behavioral responses to service are an integral part of the service value chain that must be well understood if we are to create a better and more efficient service experience (Hume et al., 2006; Johnston, 2005; Roth and Menor, 2003b; Tseng et al., 1999). As suggested by Rust and Chase (1999) and Kellogg and Nie (1995), the current study combines ideas and methods from marketing and operations management to develop a better understanding of the behavioral aspects of waiting in line (cf. Bendoly et al., 2006). The study further aims to turn this understanding into actionable recommendations for service managers.
Queuing has been investigated in operations research (cf., Seawright and Sampson, 2007, p. 1056). However, according to these authors the operations literature generally fails to incorporate the psychological costs associated with waiting. In marketing literature, waiting has been associated with a lack of perceived service quality or even service failure and customer dissatisfaction (Bitner et al., 1990; Clemmer and Schneider, 1993; Tom and Lucey, 1995). It may also play a role in the perceived severity of service failures (Craighead et al., 2004). Waiting at the checkout can, to a certain extent, be considered as a peak experience (Kahneman et al., 1997; Verhoef et al., 2004), since it is often one of the most dissatisfying events during the shopping experience (Caballero et al., 1985) and therefore service managers are rightfully concerned about the effects of negative emotions caused by waiting for service on overall satisfaction (Arnold et al., 2005; Taylor, 1995).
Although identified as a research priority in service operations management (Chase and Apte, 2007; Hill et al., 2002), research on customers’ responses to wait times, together with the behavioral antecedents and consequences of the wait experience, remains relatively scarce (Bendoly et al., 2006; Hui and Tse, 1996; Seawright and Sampson, 2007; Stewart, 2003; Taylor, 1995; Tom and Lucey, 1995). In the present study, we focus on the wait experience that starts at the moment the customer is ready for the service encounter and that ends when the encounter starts (Taylor, 1994). More specifically we focus on waiting at the checkout counter, i.e. waiting for the final service encounter (Haynes, 1990), and how this experience influences the overall evaluation of the retail service. Although waiting also occurs in other parts of the retail experience, for example at the fresh foods counter, on the parking lot, or when obtaining help from a store employee, we believe that waiting at the checkout counter is exemplary for waiting in a retail context in general, and a relatively salient and much disliked wait experience at that (cf. Davis and Heineke, 1998; Haynes, 1990).
We also respond to the call to apply field study methodologies in service operations management research (Meredith, 1998; Meredith et al., 1989). Following Seawright and Sampson’s (2007) suggestion to further investigate factors that influence the perceived duration of a waiting period, we build on their conceptual model to include factors from Maister’s theoretical work (1985) and empirically validate it with data from a field study.
Most field studies in the domain of waiting have been conducted in bank (Chebat et al., 1995; Hui et al., 1997; Katz et al., 1991) and airport settings (e.g., Dawes and Rowley, 1996; Folkes et al., 1987), or in experimental settings simulating a hospital, bank, purchase or consultancy experience (Dellaert and Kahn, 1999; Dubé et al., 1989; Pruyn and Smidts, 1998, 1999). Few studies have focused on lines at retail outlets (Jones and Peppiatt, 1996; Tom and Lucey, 1995), which are nonetheless an intrinsic part of the retail service experience (Rafaeli, 1989). Little is known about how waiting at the checkout of a grocery store affects overall
satisfaction with the retailer (Haynes, 1990), or what the relative contribution of the wait experience is, compared to other antecedents of overall satisfaction. Research on factors that can be influenced by service managers, e.g., the service design (Roth and Menor, 2003b; Voss et al., 2008), is similarly lacking (Baker and Cameron, 1996; Cameron et al., 2003; Pruyn and Smidts, 1998). We therefore investigate antecedents and consequences of customers’ responses to waiting at supermarkets and compare their effects with respect to a commonly used antecedent of customer satisfaction in the retail environment, the store image.
The current study highlights how various aspects of service, or the service design, can influence the customer experience (Cook et al., 2002; Roth and Menor, 2003b). Managing the wait experience allows organizations to directly improve their competitiveness in the market (Hill and Joonas, 2005; Johnston, 2005; Kumar, 2005). The article is structured as follows. We first review the literature, identifying antecedents of the wait experience and customer satisfaction in a retail environment. After deriving a theoretical model, we explain our research framework and report our findings from a field study. We arrive at several conclusions, including theoretical implications and specific recommendations for managing checkout lines and minimizing the negative impact on overall satisfaction. Furthermore, we discuss several limitations of the study and offer suggestions for further research.
2. Theory
The checkout is an essential part of many service encounters, and waiting at the checkout is often difficult to avoid. Variations in wait duration in a checkout line are relatively small, compared to those of other waiting situations, such as airplane delays or waiting in a hospital. The way customers experience and evaluate their wait appears to be more influential than the objective duration of the wait. Regarding the effect on overall satisfaction, customers’ wait experience appears to be more important than other store quality perceptions or store image (Houston et al., 1998; Larson, 1987). This phenomenon may be due to the increasing
importance and value of time in our society (Heineke and Davis, 2007). In the following paragraphs, we first explore the concept of wait experience, and contrast it with store image, and we then investigate the role of its antecedents and consequences in a grocery store setting. The research model used in the study is presented in Figure 1.
[PLEASE INSERT FIGURE 1 ABOUT HERE]
2.1 Wait experience
Waiting during or before service delivery was proposed to have a direct effect on customer satisfaction (Bitner et al., 1990; Clemmer and Schneider, 1993; Tom and Lucey, 1995). In particular cases, this relationship does not appear to hold. For example, Pruyn and Smidts (1998) did not find a significant effect of the wait evaluation on satisfaction in the case of service in a hospital setting. Hospital waits may be perceived to be an uneventful, fair, and necessary part of the experience, passively undergone by the patient, and therefore fail to affect satisfaction. However, we expect the effect of the wait experience on overall retailing satisfaction to be significant in a situation where customers less submissively undergo the wait, nor see it as an indispensable part of their retailing experience (Davis and Vollmann, 1990). In the case of supermarket checkouts, situational factors may vary, even between lines, affecting the wait experience. Buying groceries is an everyday experience, and the wait situation can easily be assessed by customers and compared to past experiences (Dasu and Rao, 1999).
Finally, customers who are relaxed, joyful and not bored during the wait are likely to better evaluate their overall shopping experience and vice-versa (Taylor, 1994, 1995; Westbrook, 1987). We therefore hypothesize:
H₁. The wait experience directly and positively influences overall satisfaction with the retail experience.
2.2 Store image
The wait experience at the checkout is proposed to be an antecedent of overall satisfaction. In previous research customers were found to evaluate their overall shopping experience using various other dimensions (Dick et al., 1995; Hui et al., 1997). The concept of store image is often used to explain customers’ satisfaction with a store. Several store characteristics, which appear unrelated or complementary to the wait experience, converge in the concept of store image. Bloemer and De Ruyter (1998, p. 501) define the store image as “a consumer’s perceptions of a store on different (salient) attributes.” Three fundamental dimensions of the store image have been identified: 1) the store’s physical layout or service-scape (Bitner, 1992; Richardson et al., 1996; Zeithaml et al., 1993), 2) its products or merchandise and 3) interactions with store personnel (Baker et al., 1994; Grewal et al., 2003). In line with previous research, we hypothesize that next to wait experience:
H\textsubscript{2a}. Store image directly and positively affects overall satisfaction with service.
Since the store image is the result of a global evaluation of the store, generally measured after the wait experience at the checkout, we hypothesize that store image perceptions will be affected by the wait experience. This effect can be explained using mood-congruency theory: mood (\textit{in casu: the result of the wait experience}) tends to bias perceptions and evaluations in a mood-congruent direction (Gardner, 1985).
H\textsubscript{2b}. The effect of the wait experience on overall satisfaction is mediated by store image perceptions.
2.3 The waiting area
The relationship between the (physical) store environment and satisfaction has been studied elsewhere (Baker et al., 1994). Customers rely on tangible cues and physical evidence, such as the appearance and layout of the physical facilities, to develop expectations (Zeithaml et al., 1993) and make quality judgments (Zeithaml and Bitner, 2000). Attractiveness of a waiting area has been associated with higher levels of customer satisfaction (Grewal et al., 2003; Pruyn and Smidts, 1998). In our view, the perceived attractiveness of the waiting area would affect the wait experience, rather than global satisfaction with the store because it conditions the wait. Thus, we hypothesize the following, in partial accordance with Pruyn and Smidts (1998):
H₃. Perceived waiting area attractiveness positively influences the wait experience.
2.4 Perceived wait duration
Waiting is a subjective experience (Baker and Cameron, 1996; Hornik, 1984) and is not necessarily directly related to objectively measured wait times. Taylor (1994) observed only an indirect effect between actual wait time and satisfaction, which was confirmed by Pruyn and Smidts (1998). Often, customers’ perceptions of time differ from objectively measured time (Hirsh et al., 1956; Hornik, 1984). Perceived duration of the wait, more than objective duration, seems to affect consumer experiences, evaluations and behaviors (Barnett and Saponaro, 1985; Dubé et al., 1991; Seawright and Sampson, 2007; Yan and Lotz, 2006). Perceived wait duration should therefore be considered a key construct in explaining customers’ wait experience (Hornik, 1984). Service operations managers may also be able to more directly influence, and at a lower cost, the wait *experience* rather than actual waiting *times*. Hence, we hypothesize:
H₄. Perceived duration of the wait directly and negatively influences the wait experience.
2.5 Wait attribution
How customers explain why they have to wait affects how waiting is experienced. “Wait attribution theory is concerned with how people make wait attributions – how they explain events and assign causes or blame for various outcomes” (Clemmer and Schneider, 1993, p. 215). When a wait is longer than expected, customers try to figure out why. In a retail context, a customer may, for example, attribute the cause of an unusually long wait to a slow customer in front of him or her, or to an inefficient and slow cashier. Similarly, a line that is short or moves very quickly may be attributed to an efficient cashier, to customers emptying their carts quickly or to the availability of multiple checkout lines.
Bitner (1990) showed that the level of perceived control of the provider over a service failure affects the evaluation of the service. Taylor (1994) found a negative effect of perceived control on waiting time perceptions. The more the wait is attributed to factors not controlled by customers, but by the store, the more negatively the wait experience is evaluated. Therefore:
H₅. Attribution to the store of the causes for the wait negatively influences the wait experience.
2.6 Distraction
Awareness of the passage of time results in boredom (Maister, 1985). Time passing without anything happening has a negative impact on the wait experience and subsequent service evaluation (Jones and Peppiatt, 1996). Distraction increases mental activity and takes
attention away from the passage of time (Katz et al., 1991; Zakay, 1989; Zakay and Hornik, 1991). When time is perceived to be filled, less attention is paid to the passage of time, resulting in higher levels of wait experience (Antonides et al., 2002; Taylor, 1995).
Larson (1987, p. 897) suggests for example that “an actual wait reduction may not be as important as imaginative lobby design,” demonstrating that live entertainment in a bank setting, in the form of music and exhibitions, results in a positive wait experience score. Pruyn and Smits (1998) fail to find support for these conclusions in a hospital setting, where the reason for the visit may be a broken leg or a painful cut that inhibits distraction. For grocery customers, however, we expect distraction to have a positive impact on the wait experience and hence on the service evaluation (Hui et al., 1997). Therefore:
**H₆.** Distraction directly and positively influences the wait experience.
### 2.7 Social justice
Much research has focused on perceived fairness and justice as antecedents of satisfaction in the context of service failures. Previous research suggests that waits that are perceived to be unfair will feel longer than waits that seem fair (Haynes, 1990; Jones and Peppiatt, 1996; Maister, 1985). Notions of fairness are central to customer satisfaction (Tax et al., 1998). It is likely that this relationship between perceived fairness and satisfaction is also present in the field of wait perception. Maister (1985) and Larson (1987) also reference the concept of social justice in wait settings. Larson (1987, p. 896) suggests that “in customers’ perceptions of queues, fear of social injustice can often dominate queue waiting times.” Incidents may occur, which can be perceived as unfair. For example, imagine that, after having stood in line for 10 minutes, a customer is about to be assisted. However, an additional checkout line opens and “newcomers” scurry over to the new register, where they are served approximately in a lastcome, first-served manner (Larson, 1987; Zhou and Soman, 2008). In this case the cause of perceived injustice is easily attributable to the store (Zhou and Soman, 2008). Sometimes, different priority rules, such as express checkouts, are applied to target different customer categories. If customers do not spend approximately equal amounts of time waiting, this may also create perceptions of injustice (Rafaeli et al., 2002; Zhou and Soman, 2008). Based on the aforementioned scenarios, we hypothesize that:
**H₇.** Perceived social injustice positively influences the perceived duration of the wait.
### 2.8 Value
The more valuable a service, the longer a customer is willing to wait (Jones and Peppiatt, 1996; Maister, 1985). If customers have a shopping cart full of groceries, they are more likely to be tolerant than when they are waiting to pay for only a few items. Verbeke et al. (1996) also consider the total monetary purchase amount per shopping trip an important factor in determining customers’ reactions to out-of-stock situations in a grocery store. The lower the perceived value of the service for which one stands in line, the more aggravating the wait is perceived to be. The following hypothesis is formulated:
**H₈.** The value of the purchase directly and negatively influences the perceived duration of the wait.
## 3. Methods
### 3.1 Design of the field study
To empirically validate the theoretically developed model, a natural field setting was chosen. This approach has the advantage that it offers sufficient variance across the factors that are
needed to test the model: in the supermarkets under consideration, we routinely see lines of various lengths, due to various causes and in changing settings (Taylor, 1994). To minimize carry-over effects from experiences during prior shopping-trips and during trips to other supermarkets, we chose to ask customers to respond to a questionnaire about their evaluations and perceptions immediately following their service experience.
3.2 Sampling
Questionnaires were distributed to customers at various supermarkets over a two-week period in December 2006, during busy hours with relatively long lines: 11:00 – 13:00 and 16:00 – 18:00. By sampling customers from different supermarket chains (Edah, C1000 and Albert Heijn) at various locations in the Netherlands, we increased the variance in the data and obtained greater generalizability of the results (Clemes et al., 2000). Dutch shoppers are not particularly polite, when waiting in line, but behave generally in a civil manner (Rafaeli and Sutton, 1990).
Respondents were told that the study investigated the relationship between shopping experiences and customer satisfaction. Customers were explicitly instructed to respond regarding their most recent shopping experience. Fifty completed questionnaires were obtained from customers at each chain. This so-called ‘complete-case-approach’, excluding questionnaires with obvious missing values (Hair et al., 1998) resulted in a total sample of 150 cases.
Although the three stores studied all have a large assortment of products and services, sell many brands, and have relatively large sales volumes, the three selected chains vary substantially in terms of store design, quality and assortment of merchandise, image, pricing and promotion strategies. Table 1 compares the stores.
The sample is described in Table 2. Seventy percent of the respondents were women\textsuperscript{1}. More than half of the respondents were between 25 and 55 years of age. Forty percent of the respondents reported that they go grocery shopping two to three times a week.
[PLEASE INSERT TABLES 1 & 2 ABOUT HERE]
3.3 Questionnaire design
A questionnaire containing topically organized, structured and disguised statements (i.e. not revealing the purpose of the study, see Judd \textit{et al.}, 1991) was used to measure the constructs. Multiple-item scales were constructed to increase validity and reliability (Peter, 1979). Respondents were asked to indicate the extent to which they agreed or disagreed with 41 statements. Seven-point Likert-type scales were anchored by ‘strongly disagree’ (1) and ‘strongly agree’ (7) with the midpoint labeled ‘neutral’. Table A-1, in the appendix, provides an overview of all items used in the survey.
We had to use a single source to measure both the independent and the dependent variables. To control for common method variance (CMV) bias, a range of procedures was followed. First, our items were formulated as clear, concise and specific as possible, mostly based on previously validated scales. A pre-test was conducted among 19 customers to identify and eliminate any overly complex or ambiguous items. We identified some issues regarding the wording of the items. We made some slight changes to the questionnaire based on the comments, and some ambiguous questions, leading to substantial cross-loading of items, were deleted from the questionnaire. This approach is known to limit CMV produced by item characteristics (Spector, 1994).
Furthermore, we stressed that no right or wrong answers existed, and that we were looking for answers best describing their specific experience.
3.3.1 Measures
Most items used in our study were adopted from the literature, sometimes slightly modified to suit the retailing context, while a few new items had to be developed specifically for the purpose of this study. Existing scales were borrowed from published studies in the domains of waiting and queuing, store image and customer satisfaction. The questionnaire was constructed in English and then translated into Dutch. Single back-translation was used to assure equivalence of meaning.
*Satisfaction* consists of a rational and an emotional component (Yu and Dean, 2001). Thus, items corresponding to both dimensions of satisfaction were included in the questionnaire: we used three questions relating to ‘rational satisfaction’ and three questions relating to ‘emotional satisfaction’. The questions were taken from a scale developed by Oliver (1993) and customized for the present study. Based on measures developed and tested by Semeijn *et al.* (2004) and Wu and Petroshius (1987), nine *store image* items were included in the questionnaire. Store image was operationalized as a second order formative construct, with three dimensions: service, merchandise and layout. *Wait experience* was measured with four items, adapted from previous studies to fit the retail waiting environment (Katz *et al.*, 1991; Mehrabian and Russell, 1974; Schmitt *et al.*, 1992). The *perceived duration of the wait* was measured based on a scale developed by Kellaris and Kent (1992). *Wait attribution* was measured with items adapted from Taylor (1994) and Folkes *et al.* (1987), and *wait area appearance* items were modified from a scale developed by Bitner (1990). *Social justice* was measured based on research by Larson (1987) and by Zhou and Soman (2008).
3.4 Analysis
3.4.1 Descriptive statistics
The data were first investigated on a descriptive level. Before conducting any other analyses, we screened for missing values. Despite the complete case approach, some values were
missing in our data, but they were missing in less than 2% of cases. To maintain an acceptable sample size, and only in cases where this had little consequence (i.e., when only one or two observations of randomly distributed items were missing), we substituted missing values with the means (Hair *et al.*, 1998). This approach is known to produce a minimal change in correlation coefficients and no change in the regression coefficients (McKnight *et al.*, 2007). Furthermore, the distributions of all variables were checked for normality, and no extreme cases were found. Customer satisfaction is somewhat skewed to the right as participants in the study were relatively satisfied with the shopping experience. This finding is in line with Fornell (1992), who argues that in more homogenous industries with less opportunity for differentiation (such as non-durable goods which included the categories basic and other foods) overall customer satisfaction scores are relatively high.
Harman’s one factor test was used to test for a bias caused by common method variance (CMV). In this test, all items are subject to an exploratory factor analysis (EFA). CMV exists if (1) a single factor emerges from the unrotated factor solution, or (2) a first factor explains the majority of the variance in the variables (Podsakoff and Organ, 1986). When we conducted a principal component factor analysis of all items used in this study, we identified 11 factors with Eigenvalues higher than 1.0. Moreover, the largest Eigenvalue accounted for less than 25% of the total variance, well below the rule-of-thumb cut-off value (cf. Podsakoff and Organ, 1986). This finding indicates that the measures we took to reduce CMV were successful, and that CMV bias is not a serious problem in the data.
Exploratory (EFA) and confirmatory factor analyses (CFA) were performed on all items, since measurement instruments from different studies were combined. An exploratory factor analysis, using maximum likelihood (Fabrigar *et al.*, 1999) and direct oblique rotation, to avoid loss of valuable information, and to obtain a reproducible solution (Costello and Osborne, 2005) was used to verify if the items and sometimes rephrased wordings
successfully reflect the same factors as intended in the original articles (see for example Thompson, 2007). Through these analyses, a few items that exhibited low communality (<.40), high levels of cross-loadings (i.e. loaded on more than one component with values > .30, a value that is commonly used in the literature) or did not load highly (> .70) on the expected factors were excluded from the analysis, while maintaining at least three strong (> .50) loading items per factor (Costello and Osborne, 2005). The purification of the scale was done focusing on face validity of the factors (Preacher and MacCallum, 2003). A list of the retained items after CFA in SmartPLS (Ringle et al., 2005), their means and standard deviations, as well as factor loadings and t-values for the total sample are presented in Table AI in the Appendix\textsuperscript{11}. As can be seen from this table, all remaining items load highly (>0.60) and significantly on their respective constructs, while composite reliability measures, and Cronbach’s Alpha exceed 0.60 for each construct (Nunnally and Bernstein, 1994), warranting convergent validity of the factors.
Significant differences in the means among stores, obtained using one-way ANOVA, are reported in Table 3. The results of a Chow test (Thomas, 1997), a special F-test, which tests for regression parameter stability over various subsamples, suggested that pooling of the data from the three supermarkets was permissible. Table 3 shows that customers at the three supermarkets had significantly different perceptions for only three of the 9 factors; First, the extent to which customers perceived their time at the checkout to be engaging (distraction) was quite low in general (mean = 2.58). In this dimension, Albert Heijn scored significantly (p = .034) lower than the other two stores. Second, customers seemed quite satisfied with the level of social justice they experienced while waiting (mean = 4.62). Customers at Albert Heijn perceived the highest level of social justice, while customers at C1000 ranked the lowest for this metric (p = .090). Finally, we identified significant (p = .024) differences in the
perceptions of how organized and tidy the waiting area was. C1000 customers appeared to be most satisfied with the appearance of the waiting area.
Fornell and Larcker (1981) suggest that the average variance shared between a construct and its measures should be greater than the variance shared between that construct and other constructs in the model. Discriminant validity is therefore considered sufficient if the square root of the average variance extracted (AVE) for a given factor is greater than the correlations between this factor and any of the other factors (square root of the AVE appears on the diagonal of Table 4). Overall, our measures show excellent reliability and validity values. In Table 4, correlations between factors are reported.
Significant correlations exist between dependent and independent variables. All of the hypothesized relationships show moderate to strong correlations (> .50).
3.5 PLS regression
The hypotheses were tested by simultaneously estimating the proposed structural equations using a Partial Least Squares (PLS) approach (Chin, 1998). PLS path modeling, a prediction-oriented, variance-based approach, was used to simultaneously estimate all relationships in the conceptual model. The objective of PLS is to maximize the amount of explained variance in the dependent variable(s) (Henseler et al., 2009; Streukens et al., 2010). There are various reasons to select the PLS methodology. First, our sample was not homogeneous because it consisted of three sub-samples from different supermarket chains. Whereas Maximum Likelihood estimations, using Lisrel or Amos, are very sensitive to violations of multivariate normality (Shah and Meyer Goldstein, 2006), PLS is known to be robust in the case of non-normality as a result of heterogeneity among groups of observations (Streukens et al., 2010).
PLS can derive estimates for factor loadings that are often overestimated, while path coefficients may be underestimated (Hsu et al., 2006). These negative effects may be balanced by increasing the sample size and the number of indicators per construct (Chin and Newsted, 1999). Given the exploratory nature of the present research and our emphasis on theory development, PLS was particularly useful given its prediction-oriented nature (Barclay et al., 1995; Fornell and Cha, 1994).
Another advantage of PLS is that we can run the analyses with relatively small sample sizes and complex models (Cassel et al., 2000), since the assumption of normality is not necessary (Chin, 1998). The accepted rule of thumb regarding the required sample size of PLS is consistent with requirements for multiple regressions (Barclay et al., 1995). Generally, the ratio between the number of observations and the number of independent variables needs to be within the range of 5 to 30 (Guadagnoli and Velicer, 1988). In our model, we have 8 independent variables and our sample consists of 150 observations. Thus, the ratio is 19, which is well within the recommended range.
Figure 2 shows the empirically validated model. It appears that all the hypothesized relationships are confirmed. Wait experience, store layout and merchandise were found to directly influence customer satisfaction.
[PLEASE INSERT FIGURE 2 ABOUT HERE]
3.6 Structural model testing
Standardized PLS path coefficients, as well as the corresponding t-values and R-square metrics for each explained variable, are shown in Figure 2. Only significant effects are shown in the figure. Following Liljander et al. (2009), to assess both the measurement model and the structural model, we calculated the overall goodness-of-fit (GOF) as suggested by Amato et al. (2004) and Streukens et al. (2010):
\[
GOF = \sqrt{\text{communality} \times R^2}
\]
(1)
$\overline{R^2}$ represents the average of all $R^2$ values found in the empirically validated model.
$$\overline{\text{communality}} = \frac{1}{p} \sum_{j=1}^{J} p_j \text{communality}_j$$ \hspace{1cm} (2)
Formula (2) calculates the term $\overline{\text{communality}}$. $\text{Communality}_j$ provides an indication of the quality of construct $j$'s representation in the final factor solution and equals the AVE for $\text{construct}_j$. Coefficient $p_j$ equals the number of items used for measuring $\text{construct}_j$. $p$ represents the total number of items. The GOF value for the present model is .45, which is of the same order of magnitude as the .48 for the European Consumer Satisfaction Index (ECSI) model reported by Tenenhaus et al. (2005).
4. Results
As expected, a strong positive relationship was found between store image and satisfaction ($\beta = .534$, $t = 9.637$). Wait experience also directly and strongly influences satisfaction ($\beta = .36329$, $t = 5.999$): the less the customers disliked their time in line, or the more they enjoyed it, the higher their level of satisfaction with the overall shopping experience. The amount of explained variance in overall satisfaction increased by 24% when we included wait experience in the model, increasing $r^2$ from .46 to .57. Furthermore, store image was hypothesized to mediate the effect of the wait experience on overall satisfaction. The mediation effect was tested in two steps. To decide about the status of the mediation, partial or full we used a method advocated by Shrout and Bolger (2002): it was investigated whether there was a significant direct effect of wait experience - the independent variable (IV) - on overall satisfaction - the dependent variable (DV) - without including the mediating variable (MV) store image. This effect was highly significant. Then store image was included. All effects (IV => MV, MV => DV, and IV => DV) were significant. This observation points at partial mediation. To confirm the mediation effect, its significance was calculated by bootstrapping the product of the IV=>MV and MV=>DV effects as suggested by Efron and
Tibshirani (1993). All effects were found to be significant, and the mediation was concluded to be partial.
In the following subsections, we present the empirically validated antecedents of the wait experience metric and our findings for each.
4.1 Perceived duration of the wait
Perceived duration of the wait appears to have a strong effect on wait experience \((\beta = -.360, t = 5.473)\). The longer customers perceive a wait to last, the worse their wait experience, and the lower their satisfaction. Our study shows that the length of the wait, as perceived by the customer, has an important indirect effect on customer satisfaction.
4.2 Wait attribution
Wait attribution seems to strongly influence wait experience \((\beta = -.391, t = 8.149)\). The more the service provider is perceived as having control over the duration of the wait, the more unpleasant customers find their wait experience.
4.3 Distraction
Distraction appears to have a significant effect on wait experience \((\beta = .218, t = 3.426)\). When customers perceive their time as engaging or purposeful, evaluations of the wait experience are higher, consistent with previous findings. According to the ‘resource-allocation theory’ (Zakay, 1989), distractions will divert people’s attention from the wait, resulting in less boredom and frustration.
4.4 Social justice
It appears that social justice is indeed a very important antecedent of perceived duration of the wait \((\beta = -.484, t = 7.218)\). Greater social justice makes the wait appear shorter. This finding is in line with predictions by Larson (1987) and Sasser et al. (1979), based on anecdotal evidence from airport and restaurant studies.
4.5 Perceived value
The perceived value of the products in the shopping cart showed a significant, direct and negative effect on perceived duration of the wait ($\beta = -0.199$, $t = 3.915$). In other words, customers perceive waits longer when they have fewer items in their basket. Since waiting is generally disliked, this may indicate that, everything else held constant, wait experience decreases with the number of items in the basket.
4.6 Waiting area
Indirect effects on wait experience were found for the state of the waiting area, via wait attribution ($\beta = -0.248$, $t = 3.994$), and for the perceived duration of the wait, via social justice ($\beta = 0.241$, $t = 3.960$). A tidy, well-organized waiting environment reduces the extent to which customers attribute the cause of the wait to the store, and increases perceptions of social justice. This finding suggests simple ways in which store management can make a waiting period more bearable for their customers.
5. Conclusions
The objective of the study was to investigate the role of satisfaction with the wait at the checkout in determining overall satisfaction, and to develop a better understanding of its antecedents. In our study, wait experience as well as store image appear to exert a strong positive effect on overall satisfaction. Wait experience plays a role that is complementary to other evaluation dimensions, while also affecting the perceived store image, and directly influences overall satisfaction with a store. This implies that productively managing the wait can have a substantial effect on the bottom line, since satisfied customers are generally more loyal and therefore more profitable.
From the significant mediation effect of store image it can be deducted, that positive evaluations of interactions with a service provider prior to a wait can be mitigated when the wait experience is perceived negatively. However, as we have seen in the present study, waits
do not necessarily have a *negative* impact on service evaluations. From our study it becomes clear that the final service encounter experience affects overall satisfaction in ways that depend on how the wait is managed (Katz *et al.*, 1991; Rafaeli *et al.*, 2002). A well managed, attractive and equitably perceived waiting environment, that provides sufficient distraction to the waiting customer, will positively contribute to overall satisfaction.
5.1 Theoretical implications
We have demonstrated the important and complementary role of the behavioral construct of ‘wait experience’ in explaining overall customer satisfaction. An investigation of customer satisfaction with a store without taking into account the various waits appears incomplete. Wait attribution and perceived duration of the wait appear to be the most important antecedents of the wait experience. The effects of wait attribution and distraction in this study were found to be similar to those found in prior studies investigating lines and delays in very different settings. To complete the model suggested by Taylor (1994, 1995), we also included the factors *value of service*, *appearance of the waiting area*, and *social justice*.
5.2 Managerial implications and recommendations
Customer experiences at the checkout have a significant effect on evaluations of service and subsequent satisfaction levels. Successfully managing service operations surrounding the checkout, by making use of insights from services marketing, can provide businesses with a substantial advantage (Ellinger *et al.*, 2006). Our results suggest a direct and strongly positive relationship between the wait experience and overall satisfaction. Waits therefore require a proactive management approach, to prevent or minimize any negative impacts on overall satisfaction.
A major implication of this study is that managing waits is not limited to reducing the actual wait times. Instead, perception management strategies, aimed at reducing the *perceived* duration and attribution of responsibility for the wait to the store, can reduce the negative
impact of waits on satisfaction. Certainly, opening more checkout counters at peak operating hours, implementing training programs to increase checkout speeds and using faster scanning technologies will all reduce actual waiting times. However, space constraints, fluctuating customer volumes and the difficulty in predicting demand for services, together with associated cost constraints, limit the potential results of these strategies. Therefore, making the wait appear shorter by means of ‘perception management’ may be an attractive and less costly alternative. Our study shows that a variety of different perceptions should be managed to achieve the intended result of increasing overall satisfaction, however, more research is needed to address these in specific. In the following, we provide general suggestions that need to be further investigated to determine the outcomes on the wait experience, in specific, and the overall customer satisfaction.
5.2.1 Make the waiting area appear attractive and well-organized
Tidiness indirectly influences the wait experience. Customers who have second thoughts about their product selections often leave behind bruised fruits, or other undesired products, in the area around the checkout counter. When customers perceive slow service, they may also attribute it to the store, as the appearance of the waiting area reflects the extent to which store management cares about its customers. Future research can investigate the effect of different layouts and set-ups to determine which aspects are most appropriate in the supermarket check-out line to reduce perceived waiting time.
5.2.2 Offer customers engagement opportunities
Perceived ‘idle time’ while standing in line was found to negatively affect the wait experience. Offering customers engagement opportunities, so that they stop thinking about the wait itself, can increase satisfaction levels and reduce the perceived duration of the wait (Tom and Lucey, 1995). Placing video displays, interactive information screens, mirrors, magazines (Haynes, 1990) or free, relevant literature (such as nutritional information flyers and leaflets
with next week’s promotions) next to the checkout lines can help both distract and entertain customers. Different fillers can have different effects on waiting customers (Munichor and Rafaeli, 2007). Therefore, additional research is needed to determine the optimal balance between engaging customer and annoying the customer.
5.2.3 Promote social justice
Although in our study the role of ‘social justice perceptions’ seems moderate, other authors attach significant value to this issue (Maister, 1985). We therefore recommend taking perceived justice seriously in the design of the service system and not giving priority to customers who, according to generally accepted equity rules, are not ‘supposed’ to be treated in an advantageous or faster way. Maister (1985, p. 121) recommends that, whenever priority rules are used, “the service provider must make serious efforts to ensure that these rules match with the customer’s sense of equity.” According to Zhou and Somon (2008), equity in total waiting time should also be a concern to operations managers.
5.2.4 Express lanes and self-service checkouts
Opening up express lanes, possibly with self-service checkout scanners, can be a good strategy for addressing the impact of product value on perceived duration of the wait. Customers who buy only a few items exhibit less tolerance for waiting in line. Bennett (1998) found that express lanes as such are not perceived as unfair. When express lane cashiers serve customers with too many products, however, the other customers in the express lane may become dissatisfied.
5.3 Limitations and suggestions for further research
The present study furthers our understanding of the relationships between sentiments regarding the wait time at checkout, wait experience, store image, and overall satisfaction. The theory should be further refined. It currently fits one specific type of waiting. Generalizing the results to other waiting situations and settings should therefore be done with
caution. The results are likely transferable to other short-wait situations, such as at banks and other retail outlets, but they may not generalize to the long-wait environments encountered in airports or hospitals. To improve reliability, future research should use larger samples, while attention should be paid to the development of measurement scales specifically for the various dimensions of the retail experience. Future investigations of the differences between wait-perceptions across a variety of supermarket formulas, but also across in-store specialty departments – e.g. fresh fish and meat, bakery, deli – and their relationship to the wait could lead to further insights. We did not consider the role of the cashier in the study, whilst interactions between the cashier and customers could also be considered responsible for part of the wait experience. Some encounters give rise to strong negative emotions in customers. In future research explicit attention must therefore also be paid to the role of the cashier, for example to the emotional competences of this contact employee.
In our sample, males and females were not equally well represented. In the population of supermarket visitors this is neither the case, so we believe that the sample is representative for this population. The unequal distribution may, however, have consequences for generalizability to other domains.
Several recommendations are made in this article on how to manage customers’ wait perceptions. Investigations of *how* these perception strategies can best be implemented seem to be a logical next step: should stores ‘fill time’ by installing TV screens, or should they instead engage customers with free samples and flyers? Should the strategies differ between supermarket formulas, or by customer segment?
Next to the advantage of making observations in a real life situation, field research certainly has its limitations as a result of the difficulty to control for unobserved factors, and the complexity of the observed reality. To develop an in-depth understanding of customers’ wait experiences in supermarkets, and to differentiate between waiting in different parts of the
store (fresh fish, bread, dairy, deli, checkout), more, possibly qualitative, research would be required. In addition, the short and specific data collection period may further limit the generalizability of our findings. Customers might be less patient during the pre-Christmas shopping season than at other times. Experimental designs could also be used to investigate the effects we found in more detail, and to better isolate the causes of the effects we found. Customer experiences with waiting at self-service technologies that substitute interactions with store personnel could also be an interesting area of research.
Finally, do cultural and social differences lead to differences in wait experience? This question is especially relevant for supermarket chains with locations across the globe.
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Figure 1 Research model
Figure 2 Empirically validated model
| | Albert Heijn | Edah | C1000 |
|------------------------|--------------------|--------------------|--------------------|
| Store type | Neighborhood store | Supermarket | Supermarket |
| Number of employees | 80 | 45 | 150 |
| Store area (m$^2$) | 1100 | 1148 | 800 |
| Number of products in stock | 8000 | 9500 | 7000 |
| Number of checkout aisles | 7 | 6 | 7 |
| Store-owned parking lot | Yes | Yes | Yes |
| Length of checkout belt (number of shoppers unloading carts simultaneously) | 1 - 2 | 3 - 4 | 2 |
| On the left of checkout | Drinks + candy | Cigarettes | Cigarettes (3 rows)|
| On the right of checkout | Magazines + videos | Cigarettes + plastic bags | Trash bags + candy (3 rows) |
| Distance from aisles to start of checkout belt (in meters) | 3 | 3.5 | 2.5 |
Table 1: Key characteristics of the three grocery stores.
| Gender | N | % |
|-----------------|----|-----|
| Male | 45 | 30 |
| Female | 105| 70 |
| Age | N | % |
|-----------------|----|-----|
| < 25 | 32 | 21.3|
| 25 - 40 | 47 | 31.3|
| 41 - 55 | 44 | 29.3|
| > 55 | 27 | 18 |
| Store visits per week | N | % |
|-----------------------|----|-----|
| < 1 | 4 | 2.7 |
| 1 | 24 | 16 |
| 2 - 3 | 75 | 50 |
| > 3 | 47 | 31.3|
| Visits to ‘this’ store | N | % |
|------------------------|----|-----|
| < 1 | 25 | 16.7|
| 1 | 43 | 28.7|
| 2 - 3 | 60 | 40 |
| > 3 | 22 | 14.7|
| Purchase amount (€) | N | % |
|------------------------|----|-----|
| < 10 | 12 | 8 |
| 10 - 25 | 52 | 34.7|
| 26 - 50 | 54 | 36 |
| > 50 | 32 | 21.3|
*Table 2: Sample demographics*
| Factor | Sample mean | Edah mean | C1000 mean | AH mean | F | Sign. |
|-------------------------------|-------------|-----------|------------|---------|-------|-------|
| Overall satisfaction | 4.23 | 4.10 | 4.48 | 4.12 | 0.537 | 0.219 |
| Store personnel | 4.52 | 4.37 | 4.59 | 4.59 | 0.660 | 0.518 |
| Merchandise | 4.07 | 3.89 | 4.18 | 4.15 | 0.632 | 0.533 |
| Wait experience | 3.78 | 3.78 | 3.69 | 3.87 | 0.141 | 0.869 |
| Perceived duration of the wait| 2.47 | 2.43 | 2.87 | 2.12 | 2.332 | 0.101 |
| Wait attribution | 2.62 | 2.44 | 3.04 | 2.38 | 1.840 | 0.162 |
| Distraction | 2.58 | 2.57 | 2.95 | 2.21 | 3.449 | 0.034** |
| Social justice | 4.62 | 4.52 | 4.35 | 4.98 | 2.440 | 0.090* |
| Value | 3.40 | 3.40 | 3.50 | 3.30 | 0.551 | 0.577 |
| Waiting area | 4.18 | 3.75 | 4.59 | 4.21 | 3.847 | 0.024** |
Table 3: Means of all factors for different supermarket formulas
* = significant at 0.10 level; ** = significant at 0.05 level;
| | (1) | (2) | (3) | (4) | (5) | (6) | (7) | (8) | (9) | (10) | (11) |
|------------------|-------|-------|-------|-------|-------|-------|-------|-------|-------|-------|-------|
| Wait attribution (1) | .887 | | | | | | | | | | |
| Distraction (2) | -.178*| .823 | | | | | | | | | |
| Store layout (3) | -.297**| .308**| .777 | | | | | | | | |
| Merchandise (4) | -.335**| .212* | .577**| .747 | | | | | | | |
| Value (5) | -.073 | .205* | .335**| .377**| .858 | | | | | | |
| Overall satisfaction (6) | -.423**| .331**| .679**| .563**| .399**| .813 | | | | | |
| Store personnel (7) | -.190*| .185* | .528**| .538**| .369**| .473**| .848 | | | | |
| Social justice (8) | -.693**| .170 | .239* | .233* | .071 | .238**| .238**| .871 | | | |
| Perc. wait duration (9) | .720**| -.183*| -.373**| -.363**| -.233**| -.504**| -.251**| -.498**| .878 | | |
| Wait experience (10) | -.693**| .388**| .418**| .328**| .285**| .575**| .295**| .576**| -.687**| .852 | |
| Waiting area (11) | -.247**| .338**| .403**| .316**| .301**| .380**| .414**| .242**| -.316**| .349**| .950 |
Table 4: Correlation coefficients between all factors in the model
* = significant at .05 level; ** = significant at .01 level. Square root of AVE on the diagonal.
| Construct / Measures | Loading | $t$-value | Mean | Std. dev |
|---------------------------------------------------------|---------|-----------|-------|----------|
| **Overall satisfaction** ($\alpha = .90$; CR = .92) | | | | |
| It was a good decision to shop at “...” and not in a different store. | .729 | 19.163 | 4.23 | 1.24 |
| I prefer this “...” when comparing it with other supermarkets. | .785 | 20.069 | 3.89 | 1.66 |
| Today’s shopping experience at “...” was as expected. | .766 | 23.347 | 4.56 | 1.59 |
| Buying my groceries at this “...” today was a pleasant experience. | .881 | 54.511 | 4.18 | 1.53 |
| I felt good today when shopping at “...”. | .891 | 54.024 | 4.27 | 1.45 |
| I liked shopping at “...” today. | .856 | 39.576 | 4.09 | 1.44 |
| **Store personnel** ($\alpha = .80$; CR = .88) | | | | |
| The employees of this “...” were friendly today. | .716 | 48.011 | 4.85 | 1.30 |
| The employees of this “...” are knowledgeable. | .918 | 79.635 | 4.53 | 1.26 |
| Employees were willing to find custom solutions to questions. | .895 | 14.078 | 4.17 | 1.28 |
| **Merchandise** ($\alpha = .62$; CR = .79) | | | | |
| This “...” offers a broad assortment of products. | .647 | 10.091 | 4.03 | 1.84 |
| This “...” sells high-quality products. | .839 | 23.103 | 4.67 | 1.36 |
| Products I needed were available. | .618 | 7.278 | 4.47 | 1.81 |
| **Store layout** ($\alpha = .66$; CR = .81) | | | | |
| It was easy to find products on offer. | .647 | 7.786 | 4.53 | 1.30 |
| Physical facilities at “...” are visually appealing. | .800 | 21.427 | 3.72 | 1.90 |
| This “...” has a clear store layout. | .868 | 35.353 | 4.47 | 1.57 |
| **Wait experience** ($\alpha = .87$; CR = .91) | | | | |
| I was relaxed while standing in line (reverse coded). | .726 | 14.606 | 3.87 | 1.90 |
| I felt frustrated while in line today. | .903 | 83.296 | 4.28 | 1.88 |
| I was bored during the wait. | .897 | 73.006 | 3.53 | 2.06 |
| I disliked my time in the queue. | .858 | 38.198 | 3.45 | 2.09 |
| **Perceived duration of the wait** ($\alpha = .85$; CR = .91) | | | | |
| I had to wait a long time at checkout today. | .929 | 56.954 | 2.70 | 2.13 |
| I thought I would never get out of this line today. | .914 | 68.426 | 1.93 | 1.93 |
| The wait today was shorter than expected (reverse coded). | .782 | 21.934 | 2.78 | 1.93 |
| **Wait attribution** ($\alpha = .86$; CR = .92) | | | | |
| Wait was longer than necessary due to too few checkout counters. | .929 | 79.016 | 2.62 | 1.91 |
| The store was to blame for my longer than necessary wait. | .923 | 72.953 | 2.17 | 2.20 |
| Employees at the checkout worked slowly. | .842 | 37.476 | 2.83 | 2.10 |
| **Distraction** ($\alpha = .80$; CR = .86) | | | | |
| While waiting today I felt occupied by things around me.| .819 | 8.184 | 2.47 | 1.77 |
| I felt I was being distracted while waiting. | .750 | 6.440 | 2.26 | 1.62 |
| There were plenty of things to do and look at while I stood in line. | .895 | 24.031 | 3.00 | 1.75 |
| **Social justice** ($\alpha = .84$; CR = .90) | | | | |
| Feeling that people with few products received beneficial treatment. | .766 | 10.926 | 4.83 | 1.47 |
| Feeling that people who joined the queue later got served before me. | .921 | 53.121 | 4.75 | 1.75 |
| Seemed that service in other queues was faster (reverse coded). | .917 | 49.124 | 4.26 | 1.89 |
| **Value** ($\alpha = .87$; CR = .91) | | | | |
| The products I just bought are important to me. | .915 | 9.867 | 4.51 | 1.51 |
| I really needed the products I bought. | .919 | 7.557 | 4.67 | 1.61 |
| My shopping cart was entirely filled today. | .542 | 3.072 | 2.15 | 1.88 |
| Feeling I bought a lot of goods today. | .983 | 9.137 | 2.28 | 1.92 |
| **Waiting area** ($\alpha = .90$; CR = .91) | | | | |
| Perceived the waiting area as neat. | .944 | 35.129 | 4.37 | 1.54 |
| Found the waiting area organized. | .956 | 18.214 | 3.99 | 1.72 |
Table A-1. Items and confirmatory factor analysis for constructs
---
i We did not measure a significant difference between genders in variables related to the perception of the waiting area, degree of filled time and value or amount of products purchased. We do find significant differences in
perceived wait duration and wait experience. We find that men in our sample are more satisfied and tolerant towards waiting than women.
\textsuperscript{a} Although, from a methodological point of view it would be interesting to also include deleted items, this would make the table very long. The researchers are happy to share all information about the data with interested researchers. |
The Honorable John C. Bartley
Massachusetts House of Representatives
State House
Boston, Massachusetts 02133
Dear Mr. Bartley:
The staff of the Bureau of Competition of the Federal Trade Commission is pleased to present its views on Massachusetts Senate Bill 526, entitled "An Act Providing For Accessibility To Pharmaceutical Services."¹ S. 526, if enacted, would require prepaid health benefits programs that include coverage of pharmaceutical services, and provide those services through contracts with pharmacies, either to allow all pharmacies to provide services to program subscribers on the same terms, or to offer subscribers the alternative of obtaining covered pharmaceutical services from any pharmacy they choose.
S. 526 appears intended to guarantee consumers greater freedom to choose where they will obtain covered pharmacy services. Thus, on quick inspection, it might be viewed as pro-competitive. For the reasons we discuss below, however, S. 526 actually may reduce competition in the markets for both pharmaceutical services and prepaid health care programs, raise costs to consumers, and restrict consumers' freedom to choose health benefits programs that they believe best meet their needs. The bill also appears to conflict with previously enacted statutes in Massachusetts that authorize the formation and operation of prepaid health care programs whose efficient operation is predicated on limiting the number of health care providers -- including providers of pharmaceutical services -- that may participate in such programs.
We believe that competition in the market for prepaid health care programs assures that subscribers to such programs will have access to a sufficient number of providers of pharmacy services. However, even if the legislature concludes that such access needs to be assured through regulation rather than market competition, there are means to achieve that aim that would be substantially less restrictive of competition and consumer choice than the provisions of S. 526. For these reasons, S. 526 appears likely to have as its primary effect the protection of some pharmacies from an aspect of marketplace competition, at the expense of consumers.
¹ These comments represent the views of the staff of the Bureau of Competition of the Federal Trade Commission, and do not necessarily represent the views of the Commission or any individual Commissioner.
I. Interest and Experience of the Federal Trade Commission
The Federal Trade Commission is empowered under 15 U.S.C. § 41 et seq., to prevent unfair methods of competition and unfair or deceptive acts or practices in or affecting commerce. Pursuant to this statutory mandate, the Commission encourages competition in the licensed professions, including the health professions, to the maximum extent compatible with other state and federal goals. For more than a decade, the Commission and its staff have investigated the competitive effects of restrictions on the business arrangements of hospitals and state-licensed health professionals.
The Commission has observed that competition among health care prepayment programs and among health care providers can enhance consumer choice and the availability of services, and lower the overall cost of health care. In particular, the Commission has noted that the use by prepaid health care programs of limited panels of health care providers is an effective means of promoting competition among such providers. As part of its efforts to foster the development of procompetitive health care programs, such as HMOs, which involve selective contracting with a limited panel of health care providers, the Commission has brought several law enforcement actions against anticompetitive efforts to prevent or eliminate such programs. The Commission also has supported federal "override" legislation that would have exempted PPOs from restrictive state laws and regulations that
2 Federal Trade Commission, Statement of Enforcement Policy With Respect to Physician Agreements to Control Medical Prepayment Plans, 46 Fed. Reg. 48982, 48984 (October 5, 1981); Statement of George W. Douglas, Commissioner, On Behalf of the Federal Trade Commission, Before the Subcommittee on Health and the Environment of the Committee on Energy and Commerce, United States House of Representatives, on H.R. 2956: The Preferred Provider Health Care Act of 1983 at 2-3 (October 24, 1983); Health Care Management Associates, 101 F.T.C. 1014, 1016 (1983) (advisory opinion); See also Bureau of Economics, Federal Trade Commission, Staff Report on the Health Maintenance Organization and Its Effect on Competition vi (1977).
3 See, e.g., American Medical Association, 94 F.T.C. 701 (1979), aff'd as modified, 638 F.2d 443 (2d Cir. 1980), aff'd by an equally divided Court, 455 U.S. 676 (1982) (order modified 99 F.T.C. 440 (1982) and 100 F.T.C. 572 (1982)); Medical Service Corp. of Spokane County, 88 F.T.C. 906 (1976) (consent order); Forbes Health System Medical Staff, 94 F.T.C. 1042 (1979) (consent order); Medical Staff of Doctors' Hospital of Prince George's County, No. C-3226 (FTC consent order issued Apr. 14, 1988; Eugene M. Addison, M.D., No. C-3243 (FTC consent order issued Nov. 15, 1988).
restrict or prevent the development of PPO programs, such as "freedom of choice" or "any willing provider" provisions, which prevent PPOs from selectively contracting with a limited panel of providers.\textsuperscript{4} The Commission's staff, on request, also has submitted comments to federal and state government agencies explaining that various regulatory schemes would interfere unnecessarily with the operation of such procompetitive arrangements.\textsuperscript{5}
II. \textbf{The Proposed Legislation}
S. 526 requires that "every carrier . . . providing or offering any group medical or other group health benefits contract or insurance which also provides or offers coverage for pharmaceutical services"\textsuperscript{6} must provide those pharmaceutical
\textsuperscript{4} See Statement of George W. Douglas, \textit{supra} note 2; Letter from James C. Miller III, Chairman, Federal Trade Commission to Representative Ron Wyden (July 29, 1983) (commenting on H.R. 2956).
\textsuperscript{5} The Commission's staff has submitted comments with respect to a state prohibition of exclusive provider contracts between HMOs and physicians, noting that such a prohibition could be expected to hamper procompetitive activities of HMOs, and deny consumers the improved services that such competition would stimulate. Letter from Jeffrey I. Zuckerman, Director, Bureau of Competition, Federal Trade Commission, to David A. Gates, Commissioner of Insurance, State of Nevada (November 5, 1986). Similarly, the staff submitted comments to the Department of Health and Human Services suggesting that, in view of the procompetitive and cost-containment benefits of HMOs and PPOs, proposed Medicare and Medicaid anti-kickback regulations should not be written or interpreted so as to prohibit various common contractual relationships that HMOs and PPOs have with limited provider panels. Comments of the Federal Trade Commission's Bureaus of Competition, Consumer Protection, and Economics Concerning the Development of Regulations Pursuant to the Medicare and Medicaid Anti-Kickback Statute at 6-13 (December 18, 1987).
\textsuperscript{6} There is some question as to the applicability of S. 526 to different types of third-party payors of health care benefits. For example, it is not entirely clear whether S. 526 would apply to programs offered by commercial insurance companies. On the one hand, the bill does not specify insurance companies in its enumeration of the types of firms that are included within the meaning of "carrier." On the other hand, the bill amends chapter 175 of the Massachusetts General Laws, which deals with accident and health insurance, and refers to "any group . . . health benefits contract or insurance which also provides or offers
services through one or more of four types of arrangements specified in the bill: (1) direct provision of those services "in-house" by employees of the carrier; (2) contracts with groups of pharmacy services providers, with the proviso that "all eligible" providers be given an opportunity to participate on the same basis; (3) contracts with "select provider[s]," but with the requirement that the carrier also must offer subscribers an alternative whereby they may obtain pharmaceutical services from "a participating provider organization or group, which gives all tangible pharmacy providers" an opportunity to participate"; and (4) use of an "affiliated non-profit clinic pharmacy."
Options (1) and (4) describe the ways that group or staff model HMOs -- which provide services to subscribers only at a few centralized locations -- typically operate. Thus, these types of HMO programs, which are in the minority in most states in both number of plans and number of subscribers, probably would be largely unaffected by S. 526.8 Most prepaid health care programs, however, do not provide covered services at only a few locations. Consequently, these programs would have to offer their covered pharmaceutical benefits through one of the other two options provided in S. 526. Because of this, S. 526, if enacted, may affect a large number of prepaid health care programs and their subscribers.
III. Analysis of S. 526
S. 526 may make it more difficult, or even impossible, for many third-party payors to offer, and consumers to select, programs including pharmaceutical coverage that have the cost savings and other advantages of prepaid health care programs that limit the number of providers that may participate in the coverage for pharmaceutical services." (emphasis added). Similarly, although the bill states that covered "carriers" include health maintenance organizations, medical service corporations, and nonprofit hospital service corporations, the statutes that authorize and regulate these entities indicate that they are not subject to the state insurance laws, of which Chapter 175, which S. 526 amends, is a part. See Mass. Gen. Laws Ann. ch. 176G, § 2 (West 1987); ch. 176C, § 2 (West 1987); ch. 176A, § 1 (West 1987).
7 The term "tangible pharmacy provider" is not defined in the bill.
8 Some of these HMOs could be affected if, for example, they provide pharmaceutical services through an affiliated clinic pharmacy that is not non-profit.
program. To understand why S. 526 could have such adverse effects requires some explanation of how competition operates in the markets for health care services and prepaid health care programs, and the interrelationship of these markets.
A. The Market for Pharmaceutical Services and the Prepaid Health Care Market
Providers of pharmacy services compete for the business of patients who need to have their prescriptions filled. Subscribers of prepaid health care programs that provide coverage for prescription drugs represent an increasingly important source of business for pharmacies. One way in which pharmacies compete for this segment of business is by seeking arrangements with payors that give them preferential, or even exclusive, access to a program's subscribers. Payors offer such preferential or exclusive arrangements to selected pharmacies (often pharmacy chains or networks of independent pharmacies) that offer the payor the lowest prices and best service. The payors include incentives in their subscriber contracts (e.g., lower deductibles and copayments) for subscribers to use the selected pharmacies or, in some cases, pay for services only if they are obtained at a contracting pharmacy. This assures the selected pharmacies of more business volume than if those subscribers spread their purchases among many providers.
This increased volume permits the pharmacies to take advantage of economies of scale, such as quantity discounts for large volume purchases, and to reduce their normal markup over cost for each prescription filled under the program. Third-party
9 Some payors may even cease offering coverage for prescription drugs at all, if the costs of complying with any of the options in S. 526 are too high for them to make such coverage available to subscribers at a competitive premium level.
10 In 1987, payments by private insurance for "drugs and medical sundries" were $4.7 billion of the $34.0 billion total spent for those items that year. S.W. Letsch, et al., "National Health Expenditures, 1987," 10 Health Care Financing Review 109, 115 (Winter 1988). Industry representatives estimate that, currently, about one-third of the $23.6 billion consumers spend on prescription drugs are paid for by third-party programs. Statement of Boake A. Sells, Chairman and Chief Executive Officer, Revco Drug Stores, Inc., quoted in 11 Drug Store News 109 (May 1, 1989). Total expenditures for drugs and medical sundries are projected to increase to $42.1 billion by 1990. Division of National Cost Estimates, Office of the Actuary, Health Care Financing Administration, Department of Health and Human Services, "National Health Expenditures, 1986-2000," 8 Health Care Financing Review 1, 25 (Summer 1987).
payors find such arrangements attractive because pharmacies compete to offer lower prices and additional services. These benefits, in turn, help make the payor's programs more competitive in the prepaid health care market.\textsuperscript{11} In addition, administrative costs to the payor may be less in this type of arrangement than where the payor must deal with all or most of the pharmacies doing business in a program's service area. Similarly, it may be easier for a payor to implement cost-control programs, such as claims audits and utilization review, where it has a limited number of pharmacies whose records must be reviewed.
Subscribers who choose these programs benefit to the extent that the lower pharmaceutical costs offered by the contracting pharmacies are reflected in lower premium costs. Subscribers selecting such programs make a conscious choice that, for them, the benefits of lower premiums, lower deductibles and copayments, and perhaps broader coverage, outweigh whatever minor inconvenience they may encounter from having a more limited choice of pharmacies. Nor are subscribers likely to face inadequate access to providers, including pharmacies, despite a program's use of a limited provider panel. Subscribers can change payors or programs, and obtain their health care coverage from another source that offers a better alternative, if the service availability in a particular program is insufficient or inconvenient. Subscribers' ability to "vote with their feet" if they are dissatisfied provides the necessary incentive for payors to assure that subscribers are satisfied with their access to covered health care services.
B. Effects of S. 526 on the Market for Pharmaceutical Services and on the Prepaid Health Care Market
S. 526, if enacted, may make it difficult or impossible for many payors to offer subscribers prepaid health care programs that have the cost and coverage advantages described above. As mentioned previously, the in-house and affiliated clinic pharmacy approaches are feasible only for a few types of programs. One of S. 526's remaining options is to open the program to all pharmacy firms or groups willing to contract on the same terms. Without the expectation of obtaining a substantial portion of subscribers' business, however, contracting pharmacies may be unable to achieve the scale economies that permit them to offer lower price terms or
\textsuperscript{11} In the event that competition among prepaid health care programs or among providers of pharmaceutical services is reduced, for example by regulatory constraints, the benefits associated with permitting prepaid health care programs to enter into arrangements with a limited number of health care providers may be diminished.
additional services to payors. Moreover, since any pharmacy would be entitled to contract with a payor on the same terms as other contracting pharmacies, there would be little incentive for pharmacies to compete in developing attractive or innovative proposals. Since all other pharmacies could "free ride" on the first pharmacy's proposal, innovative providers of pharmacy services probably would be unwilling to bear the costs of developing a proposal. This provision of S. 526 therefore may substantially reduce competition among pharmacies for this segment of their business.
The higher prices that some programs would have to pay for pharmacy services, as well as the increased administrative costs, would be expected to raise the premiums that those payors must charge for programs that include pharmacy benefits, or might force them to reduce their benefits in order to avoid raising premiums. Either of these effects could reduce some payors' ability to compete, since their programs would be less attractive than before relative to other programs whose operations, and costs, would remain unaffected by S. 526.
The disadvantages to subscribers of requiring payors to open their programs to all pharmacies may include higher premium costs or the loss of broader coverage provisions, including lower deductibles and copayments for pharmacy services, that programs otherwise could provide due to the cost savings obtained through limiting provider participation.\(^{12}\) Thus, requiring payors to allow all pharmacies to participate in their programs may either raise prices to consumers or eliminate the choice they otherwise would have to select a program that gives them certain coverage and payment benefits in exchange for agreeing to limit their choice of pharmacies. Subscribers already may select other types of prepayment programs, such as indemnity insurance, that do not limit the pharmacies from which they may obtain covered services. Thus, requiring open pharmacy participation may reduce the number and variety of prepayment programs available to consumers without providing any additional consumer benefit.
The final option for payors under S. 526 is to offer subscribers, in addition to any program that limits pharmacy participation, an alternative under which subscribers essentially would be entitled to use any pharmacy. This option also gives subscribers little additional choice, since they already may choose a program that does not limit where they may obtain covered pharmaceutical (and other) services when they select a prepaid health care program. Moreover, complying with this
\(^{12}\) Even if an employer pays the entire premium cost of its employees' coverage, higher premiums could represent a loss to consumers since those monies could be used to pay for additional coverage or other employee benefits.
option of S. 526 may entail substantial administrative burdens and expenses for payors. As discussed previously, the pharmacy costs and administrative expenses of an "open-panel" program are likely to be higher than those where the provider panel is limited. Consequently, either the premiums for the payor's open-panel alternative would need to be higher, or the benefits reduced. Since subscribers who enroll in prepaid health care programs that limit provider participation do so in order to obtain the cost and coverage advantages that such programs provide, it is questionable whether many of those subscribers would opt for an alternative that eliminated those advantages with regard to pharmacy benefits.
Massachusetts already has recognized the benefits of programs that limit participation by providers, including pharmacies, by enacting various statutes that authorize the formation and operation of such programs. Just last year, Massachusetts adopted legislation authorizing "preferred provider arrangements," which permits payors offering such programs to contract selectively with health care providers, including providers of pharmaceutical services, so long as selection of those providers is based "primarily on cost, availability and quality of covered services." In addition, the legislature adopted statutory provisions authorizing nonprofit hospital corporations, medical service corporations, HMOs, and commercial insurance companies to "establish, maintain, operate, own, or offer" preferred provider arrangements approved by the Insurance Commissioner. Similarly, for more than a decade, Massachusetts has, by statute, authorized the formation and operation of HMOs, which provide services to subscribers through selected health care providers with whom the HMO generally has a contractual agreement. Adoption of S. 526 would appear to be anomalous in
13 An "open-panel" program does not restrict the number of providers that may participate in it, although all participating providers must agree to the program's payment terms and other requirements of participation. Other programs, such as indemnity insurance, do not even have participation agreements with providers, so that subscribers may obtain covered services from essentially any licensed provider of those services.
14 Mass. Gen. Laws Ann. ch. 176I (West 1989 Supp.)
15 The statute defines "health care providers" as including, among others, registered pharmacists, persons licensed to engage in the sale, distribution, or delivery, at wholesale, of drugs or medicines, and stores registered and licensed for transacting retail drug business. Ch. 176I, § 1, referencing Mass. Gen Laws Ann. ch. 112 (West 1983 and 1989 Supp.).
16 Ch. 176I, § 4.
light of these statutes, since it might prevent many such programs from operating, at least with regard to covered pharmacy services, in the ways envisioned and authorized by existing statutes.
Finally, if the legislature concludes that subscribers who voluntarily select health care prepayment programs that limit their choice of pharmacies nevertheless require additional regulatory protection to assure that they have adequate sources for pharmacy services, alternatives exist that are less restrictive of competition and less harmful to consumers than S. 526's approach. For example, the state could require payors to demonstrate, as part of their current regulation under the insurance laws, that their programs provide adequate access to services for their subscribers, leaving the payors free to decide precisely how to meet the requirement. This approach would meet the concern that subscribers have adequate access to services, while leaving the payors free to compete for subscribers on the basis of how successfully they please subscribers in providing such access. In fact, this type of approach is similar to what Massachusetts appears to have adopted in authorizing the establishment and operation of preferred provider arrangements and HMOs.\textsuperscript{17}
In summary, we believe that S. 526 may reduce competition in the markets for both prepaid health care programs and pharmaceutical services provided to such programs. As a consequence, it may raise prices to consumers and unnecessarily restrict their freedom to choose health benefits programs that they believe best meet their needs.
\textsuperscript{17} Mass. Gen. Laws Ann. ch. 176I, § 2(c) (West 1989 Supp.) provides that preferred provider arrangements must meet "standards [apparently to be promulgated by the Commissioner of Insurance] for assuring reasonable levels of access of [sic] health care services and geographical distribution of preferred providers to render those services." Massachusetts law requires HMOs to include in their subscriber contracts information on "the locations where, and the manner in which health services and any other benefits may be obtained." Mass. Gen. Laws Ann. ch. 176G, § 7(4) (West 1987). These HMO subscriber contracts are subject to disapproval by the Insurance Commissioner if "the benefits provided therein are unreasonable in relation to the rate charged," (Ch. 176G, § 16) and the Commissioner is authorized to promulgate rules and regulations as necessary to carry out the provisions of the act. (Ch. 176G, § 17).
We hope these comments are of assistance.
Sincerely yours,
Jeffrey I. Zuckerman
Director |
HTG to Host Showing of Lesbian Film at February Meeting
by Don Nelson
The video documentary "Out in Suburbia", by Stanford student, Pam Walton, will be shown at the High Tech Gays February potluck meeting. The 28 minute film depicts the lives of 11 Lesbians, including Wiggsy Sivertson and Elizabeth Birch, from the peninsula and the south bay area and is an upbeat response to the homophobic attitudes of many in the straight community. With education of the straight community in mind, Walton hopes to raise money to have the video distributed to schools.
LAGLS Presents Homophobia Poster at AAAS National Meeting
by Bob Correa
The Los Angeles Gay and Lesbian Scientists (LAGLS) and the National Organization Of Gay and Lesbian Scientists and Technical Professionals (NOGLSTP) displayed a poster on homophobia in the workplace at the recently held American Association for Advancement of Science (AAAS) national meeting held in San Francisco on January 18, 1989.
The poster represents the results from an on-going survey of California employers on their personnel and hiring practices.
A few HTG members were present thanks to an invitation extended by LAGLS to HTG to participate at the event.
Membership Has Its Privileges
Are you a paid member of High Tech Gays? Should you be?
Take a look at the label on your envelope that contained this Newsletter. Look at the code number on the upper right corner of the label. If the code does NOT contain the letter Y, S, or C, then ANNY UP, you are not a paid member.
You will not continue to receive the Newsletter for more than 3 months if you are not a member.
Membership does have its privileges!
Paid members will continue to receive newsletters to keep them informed about High Tech Gays activities and events.
Paid members will pay a lower price for many of our activities.
Paid members help HTG as a group to support events, issues and organizations that we as a group feel help improve the image of gays, our lifestyle and our community service needs.
Our dues are only $25 annually.
Join High Tech Gays NOW!
Next HTG Monthly Meeting Sunday February 12th, 6:30 PM.
Dear High Tech Gays:
We are glad and proud to inform you that after long years of hard preparatory work the first ever Association of Hungarian Gays and Lesbians "Homeros-Lambda" was formed in May 1988, an unprecedented event in Eastern Europe.
Homeros-Lambda is a registered legal entity thus having ample cultural and business opportunities as well as authority to safeguard the interests of its members. The foundation of the Association has already brought major changes in the life of the Hungarian Homosexual minority. We have been successful in making civilized forms of entertainment pursued by members of the same sex legally accepted, which was inconceivable in Hungary thus far. In a unique way in Eastern Europe we fulfill a role for the safeguarding of interests and have created opportunities for anonymous AIDS testing. A network to help those with AIDS is in the making. All these have been achieved by the free and voluntary work of our activists. The permission for the operation of our Association proved that the Hungarian authorities did mean the liberalization and democratization of society - still the Association - on does not receive any aid either from the central management or local authorities; consequently we have to face grave financial difficulties. The danger seems realistic that the only legal homosexual movement in Eastern Europe might fail due to financial problems. This failure would influence the whole region since it is not only the progressive Hungarian example that promotes the movement in neighboring countries but also the tangible support we provide these local movements with.
Friends, we appeal to you for support! We need your support so that we can attend to the invalid, our AIDS-sufferers. We welcome all material, financial or cultural aid.
Yours,
Dr. Romsauer Lajos, Chairman
Ambrus Peter, Secretary-General
Banking Account, no 380-82094, Budapest Bank,
Budapest, Hungary
Mailing Address: Homeros-Lambda, Budapest 62.
pf.: 22 Hungary-1387
LARRY HOROWITZ
SOUTH BAY MORTGAGE COMPANY
REAL ESTATE LOANS
1147 Saratoga Avenue, San Jose, CA 95129
Bus. (408) 255-4511, Res. (408) 559-3319
Games Night
Friday February 3
Pete and Don open up their new home for the latest reincarnation of HTG's now nearly famous Games Nights. Bring your favorite board game, a little libation or snack, and we'll see what we can get organized. Please note the change of day and date. See directions elsewhere in the Newsletter.
Activities Committee
Tuesday, February 7
We'll meet at Donna and Lynn's this month. Try to be there by 7:00 PM. If you would like to join and need directions, call Voicemail and leave a message.
An Evening with P. D. Q. Bach
Friday February 10
We knew this one would go fast. The original 20 tickets were snatched up at the December meeting and the six additional went immediately in January. The performance is at 8:30 PM at the San Jose Civic Auditorium, on San Carlos Street in the back of the same building that houses the Montgomery Theater. Donna has distributed all of the tickets. If you think you should have one, but you don't, call Voicemail.
HTG Monthly Meeting and Potluck
Sunday, February 12
Join us at the Billy DeFrank Community Center at 1040 Park Ave. in San Jose beginning at 6:30 PM. Please bring a dish to share for the potluck, and remember, no alcoholic beverages.
The business meeting will begin at 8:00, followed by our guest, Pam Walton, producer of a video documentary "Out in Suburbia."
Valentine's Day Dinner
February 14
Los Pericos Salvadoran Restaurant in Campbell will be the location. The price is $12.50 per person. Bring your money to the February meeting, or call Voicemail for instructions.
South Tahoe Skiing II
February 24 - 26
We knew Chuck wouldn't let us down! Not only do we have our trip for South Tahoe, we (some of us) will be staying at the home of the queen of disco, Donna Summer. That's right, when her highness isn't at Heavenly Valley (or, more likely, at Tahoe City, Nevada) the local realty agency rents out the place, complete with indoor jacuzzi, fireplace, exercise/game room, etc. We'll have this plus two other houses just blocks from the Heavenly base. The cost is $60.00 for HTG members, $70.00 for non-members, for two nights. Additional nights (Thursday or Sunday) are $10.00 extra per night. If you haven't signed up yet, call Voicemail and leave a message. Chuck will get back to you with instructions for sending your check.
BENT at City Lights
Sunday, March 3 - Matinee
City Lights presents the first local performances of this stunning drama about the ordeal of gay men in a Nazi concentration camp during WW II. HTG has taken the entire theater for this performance, which will be a benefit for ARIS, the DeFrank Center, and Necessities and More. Tickets are $16.00 until February 1st; $18.00 after that. Mail your checks to the P.O. Box, or get your tickets at the February meeting.
My One and Only
Sunday March 19
I can't seem to get anything right, lately. Contrary to what I put in last month's Newsletter, this performance is at the Center for the Performing Arts, not at the Montgomery Theater. We're going to plan a brunch to precede the performance, but we don't know where, yet. Stay tuned.
Canticle of the Sun
of St. Francis of Assisi
Saturday, March 25
This was the final event planned for the day of the Teddy Bear Factory and we just never made it that far, so we decided to reschedule it for the day before Easter. This is called "A Celebrational Environment" and it includes "Poetic Invocation" by Ray Bradbury, narration by Charlton Heston, Sound and Light by Pegasus Sound and Light, and Music composed and recorded by Herb Alpert and Michel Colombier. All of this in a vast space decorated with sculpture, tapestries, painting, domes, pillars. It must be experienced, not described. Admission to the Canticle is $4.00; we'll meet for lunch beforehand. Details at the March meeting.
Whitewater Rafting
Saturday, April 22
We're giving lots of advance notice because reservations (with payment) must be made early. The rafting company has lots of eager customers and they'll fill the trips with others if we don't get our money in early. No more wimpy trips for us; this is on the North Fork of the American River - Class IV+ all the way. The cost is $90.00 for members; $100.00 for non-members. There is a $10.00 discount if you have your own wetsuit (absolutely required). Send in your money.
FUTURE EVENTS
Stairway Tour III
Saturday April 1
West Side Story
Sunday May 7
Tacky Tour of I-80
(The Wooz & Other Delights)
Saturday April 13
Future, Future Activity
NOTE: Just in case you think the Activities Committee doesn't plan ahead, we would like you to know that we already have reservations for the 4th of July weekend...and for next New Year weekend.
HTG Elections Coming Up!
In March, at the HTG monthly meeting we will accept nominations for HTG Officers. Persons nominated and persons making nominations must be paid members of High Tech Gays. Anyone accepting nominations will be asked to write a 100 to 150 word statement introducing themselves and stating their interested in running. The statements will be printed in the April Newsletter for all members to read prior to the election.
HTG members will then elect a President, Secretary, and Treasurer at the April meeting. The general duties of each officer are as follows:
President: The President of High Tech Gays serves as a representative of the organization at various community functions, her/she chairs all meetings, arranges for guest speakers at monthly meetings, writes press releases, maintains a current and confidential mailing list of members, and performs other duties as needed.
Secretary: The Secretary of HTG takes minutes at meetings, is responsible for production, publication, and mailing of the Newsletter, serves on behalf of the President as needed, and performs other duties as needed.
Treasurer: The Treasurer of HTG is responsible for keeping accurate account of HTG's income and expenses, making deposits regularly, reimbursing members for expenses, paying bills, etc., as well as provide other duties as needed.
Games Night Directions
Friday, February 3
1521 Parkview Ave. San Jose
phone: (408) 379-5074
From I-280, take the Saratoga Avenue exit, go south on Saratoga Ave. (towards Saratoga). After crossing Payne Ave., take the 2nd left turn, onto Latimer Ave. Take the 5th right turn off Latimer, onto Parkview Ave. It is the 4th house on the right. From the south, Parkview ends at Hamilton Ave. between San Tomas Aquino Rd. and the place where Hamilton merges with Campbell Ave. Look for the San Juan apartments on the corner of Hamilton and Parkview.
HTG BBS Gets Software Upgrade
by Allan Hurst & Bob Correa
The HTG computer bulletin board system was recently upgraded from TBBS 2.0 to 2.1. Some of the new features that TBBS ("The Bread Board System") 2.1 offers are:
- Additional file transfer protocols supported.
- Faster message access.
- Multiple message boards from a single read command.
- A greatly improved and reorganized file download area.
- Support for ANSI Color Graphics and IBM Graphics characters.
Many other improvements too numerous to list here. Since its inception in June, the HTG BBS has fielded almost 5000 calls and 2500 messages. Currently, the system has about 600 different callers and 1360 active messages. Information about HTG, including monthly activity calendars, club membership information, and security clearance information, is available online. Multiple message areas, file downloading/uploading areas, and national lesbian/gay resource listings are available to all callers.
A recent survey of new callers to the BBS show that new callers are finding out about the board from a variety of sources:
10% from the HTG Newsletter, 16% from MicroTimes, 9% from Computer Currents, 8% from a friend, 7% from "unspecified publication," and the remaining new callers were referrals from other computer boards.
The system, located in San Mateo, runs 24 hours a day, 7 days a week, and supports 2400, 1200, and 300 bps access. The number is (415) 572-9594. No validation, subscription, or registration is required; pseudonyms are welcome, and you don't even have to be an HTG member to call. (In fact, we've recruited several new members who have who found out about HTG through the BBS.)
If you use Telenet's PC PURSUIT service, keep in mind that the HTG BBS is PC-Pursuable through either the San Francisco (CASFA) or Palo Alto (CAPAL) Telenet PC PURSUIT nodes.
Give the system a call today!
Barney Grubbs Case Gets National Coverage
As we reported in the September 1988 HTG Newsletter, Barney Grubbs, a victim of gay bashing back in May 1987 who was himself charged with hit and run driving, while his attackers were let free, was freed of the charges by the District Attorney.
A letter from High Tech Gays to the San Jose Police Department caused the case to be re-opened. Below is a re-print from a recent issue of Christopher Street discussing the incident.
McDONALD’S
by Boyd McDonald
Great Moments in Journalism
Gay Reporter Exposes Naked Homophobe
Barney Grubbs, a 46-year-old farmer’s son from Alabama who is now working as a carpenter in San Jose, California, says he was driving south on Highway 101 in East San Jose when two men in a van in the next lane smiled at him. “Through various signs,” not specified, they made it clear they wanted to have sex with him.
One of the men was naked.
A naked man in a bedroom can be interesting enough, but a naked man in a public place, such as a car on a highway, is a thrilling sight, promising utterly obscene sex. Grubbs admits he fell for the lure, parked behind the two, and proposed a sex act (not specified).
But the two men turned out to be conservatives. So conservative that they beat him up, even though they outnumbered him by only two to one.
Grubbs wound up in a hospital with a broken nose, cracked ribs, and a cut on his ear.
Miraculously, cops agreed with the two males when they said Grubbs is a “faggot” who attacked them, and it was Grubbs who was arrested by the cops. (“Faggot” is an old-fashioned conservative term. Most modern homophobes use the word “fag.”)
But there were witnesses. Jim Dickey, a writer on the San Jose Mercury News, talked to them, and they confirmed Grubbs’s side of the story. Thanks to Dickey’s coverage, and to an activist from High Tech Gays, the cops are reopening the case. Dickey is following the story to see whether charges will be made against the two males, Ernest Arruda, 43, and Donald Frank Martinez, 37, and against the cops who mishandled the case.
Dickey’s article on Grubbs is a fantastically practical one, exposing, as it does, an injustice; and the Mercury News is to be congratulated for running it on page one—and for featuring it as its lead hiring and openly gay reporter. The paper’s circulation is some 260,000.
Missouri Man Gives Free Strip Teases
A man in Columbia, Missouri, got a certain woman’s telephone number in the line of duty; she had gone to what the Columbia Daily Tribune calls his “work place” to pick up a package. What might that be—a post office?
Anyway, he called the number and offered to perform a strip tease. He suggested the other woman be invited to watch the performance.
At the appointed hour, he arrived, played a tape of Janet Jackson’s “In Control,” and “began dancing and removing his clothes.
After five minutes he had only “a few G-string[s]” on.
“He kept telling us to participate,” the woman told the Tribune. “My girlfriend pulled off the G-string, I pulled off, she pulled off another, and he was down to the last one.” The two women each grabbed a side and pulled down the last one.”
Thus the man was what the Tribune calls “buck naked.”
Unhappily—for there are never enough exhibitionists to go around—someone tipped him in to the cops.
“I don’t think he’ll continue this activity,” the Marion County prosecutor told the Tribune. “The police had talk with him and I think he’s going to stop.”
And the Tribune withheld his name, so that others cannot take advantage of the service he enjoys giving.
The paper does not specify how many inches he has or whether he got a hard-on.
Neighbors Protest “Bathing Nude” In Roof Tub
Professor Charley Shively of the University of Massachusetts sent an article from a Cambridge weekly, The Tu, about a tub that attracts millions of people would consider ideal. But some people in Cambridge—unaccountably—are complaining about it. It is a bathtub on the roof of the Massachusetts Institute of Technology’s Tau Epsilon Phi fraternity house. The tub is sometimes used by frat brats for what the Tu calls “bathing nude.” They can be seen from rooftops, from nearby high-rise office buildings, and from sections of the Commonwealth Avenue mall.
Even though numerous householders, office workers, and mall shoppers would regard this as an advantage, complainants who don’t enjoy watching young men wash their butt holes have enlisted the aid of civic organizations and it looks as though they are going to
The Silicon Valley Gay Men's Chorus is now auditioning for their new season. They are seeking a few good men's voices. For more information call: (408) 578-7715.
Running Group
I am starting a Sunday morning running group. The runs will be 2 to 5 miles through such areas as Coyote Creek and the Golden Triangle (no hills). The pace will be easy and non-competitive, all are welcome. For more information call Weldon Washburn at (408) 246-7343. |
The special meeting of the Board of Trustees of School District #35 has been scheduled for Tuesday, July 10, 2018 at 4:00pm at the Gallatin Gateway School Technology Room. (All policies can be found at www.gallatingatewayschool.com.)
Call to Order
Presiding Trustee’s explanation of procedures
Public Comment- Non Agenda Items- Sign in sheet
New Business
Review and discuss Stay Interview Report
Annual Board Work Session & Discussion
• Board Meeting Process/Procedures
o Agenda Setting
o Trustee Procedure- Annual Meeting Agenda Calendar
o Process for Receiving Packets
o Posting of Agenda and Minutes
o Board Meeting Room Setup
o Trustee Procedure- Robert's Rules of Order for GGS
• Review Board Communication
• Review Current Committees
• Review/Discuss Board Policies
• Discuss Individual Trustee Goals
Next Meetings:
Strategic Planning with Debra Silk- July 25, 2018 @ 4pm
Goal Setting & Strategic Planning- August 2, 2018 @ 4pm
Regular Meeting- August 15, 2018 @ 6pm
Adjournment
“The Gallatin Gateway School community empowers our students to take responsibility for their learning so they may achieve their individual potentials as lifelong learners and productive citizens.”
CALL TO ORDER
The Board of Trustees of the Gallatin Gateway School District #35 met at 4:00pm on Tuesday, July 10, 2018 in the Gallatin Gateway School Technology Room. Board Chair Aaron Schwieterman presided and called the meeting to order at 4:13pm.
TRUSTEES PRESENT
Aaron Schwieterman, Board Chair; Julie Fleury Vice Chair; Carissa Paulson, Lessa Racow, and Donna Shockley
TRUSTEES ABSENT
None
STAFF PRESENT
Travis Anderson, Superintendent & Carrie Fisher, District Clerk
OTHERS PRESENT
None
PLEDGE OF ALLEGIANCE
The meeting attendees recited the Pledge of Allegiance.
PRESIDING TRUSTEE’S EXPLANATION OF PROCEDURES
Board Chair Aaron Schwieterman explained the public comment process to be followed for addressing the Board in accordance with Gallatin Gateway School policy. She noted: 1) that prior to a vote the public may comment on agenda items; 2) there will be time for public comment on non-agenda items; and 3) public comment periods are not intended to be a question and answer session.
PUBLIC COMMENT ON NON-AGENDA ITEMS
None
NEW BUSINESS
Review and Discuss Stay Interview Report
Board Chair Aaron Schweiterman, Vice Chair Julie Fleury, and Trustee Donna Shockley provided the Board with a summary of the end of year stay interviews conducted with certified staff. Vice Chair Julie Fleury noted that she felt the stay interviews went very well and she felt they were a very valuable interaction for the first year.
Vice Chair Julie Fleury noted that the overarching themes where the staff felt the Board could provide support to the certified staff included the following:
- Consistency in grading practices- Standards-based grading for proficiency
- Curriculum implementation and professional development
- Student behavior tracking tool
- Utilizing data to evaluating programs (i.e. writing samples)
- Building staff morale
Board Meeting Procedures
Agenda Setting- The Board discussed the order of agenda items. Proposed to have the following order: 1) guests/presentations; 2) Consent Agenda; 3) Superintendent Report; 4) Old Business; 5) New Business- a) discussion and b) action items; 6) Business Manager Presentation/Trainings; and 7) Committee Reports.
Printouts of the Superintendent’s report will be available at the meeting. Board and Business Manager training will be included in the consent agenda.
Annual Meeting Agenda Calendar- The Board discussed adding/revising the following items on the annual agenda calendar:
1) Move “Annual review of committees” from October to July
2) Add “Review Superintendent and Business Manager Evaluation Tool” to October
3) Add “Conduct Board Self Evaluation” to April
4) Move “Adopt Resolution Calling for Election” from February to January
5) Move “Renewal/non-renewal without cause of certified staff” and “Renewal of classified contracts” from April to May
6) Move “Develop Action Plans for Completing Goals” from June to July
7) Move “Review end of year spending priorities” and “Review and discuss budget priorities” from June to May
8) Remove special work session in August
9) Add Special Work Session in May and move “Board Orientation & Training” from July to May’s special work session
All changes will be presented for board adoption at the next regular meeting.
Process for Receiving Packets- The Board would like to continue receiving board packets via email. Board packets will be provided the Friday prior to the Board meeting and if items are not complete for the packet by Friday they will be provided as soon as they become available.
Posting of Agenda and Minutes- Agendas will be emailed out to the public the Friday prior to regular meetings.
Board Meeting Room Setup- The Board discussed the board meeting room setup. No changes were proposed. At this time, the administrative team is working on the installation of a projector to help with public engagement.
Trustee Procedure- Robert’s Rules of Order for GGS- Board Chair Aaron Schwieterman reviewed the District’s procedure for the rules of order for Board meetings.
Review Board Communication- Board Chair Aaron Schwieterman reviewed the communication expectations for Board in regards to communicating with each other, District staff, and community. In addition, he reviewed what to expect for communication from the Superintendent and/or staff. The Superintendent will communicate primarily with the Board Chair regarding day-to-day issues and the Board Chair will communicate with the rest of the Board as needed. However, depending on the situation the Superintendent will contact each Board member directly.
Review Current Committees- The Board reviewed committees. Committee appointments will be made at future meetings. No changes to committees were presented at this time.
Review/Discuss Board Policies- The Board reviewed the following policies: #1240, #1310, #1400, #1402, #1420, #1425, #1510, #1511, #1512, #1513, #1520, #1521, #1620, #1700, #2000, #2120, #2132, #3141 #3200 #3225, #3226, #4120 #4301, #4315, #4410, #4411, #4520 #5015, #5223, #5225, #6000, #6110, 6110B, #7008, #7110, #7310, #7320, and #8301. The Board would like to have a printed copy of the Code of Ethics for them to sign each year (#1511). This will be added to the August 2, 2018 meeting.
The Board would like to revise policy #4301 to add wording similar to what is stated in #4315. In addition, the Board would like to change “asked” to “must” for parents making appointments with the Board. Business Manager Carrie Fisher will draft up changes and contact Joe Brott at MTSBA about the proposed changes to #4301. The Board would like clarification on #5223 regarding the Board’s ability to discipline employees for disclosing confidential information and they would like to know if the uniform complaint procedure should be referenced in this policy. Mrs. Fisher will reach out to Joe Brott to get clarification and guidance regarding policy #5223.
**Next Meetings:**
- Special Meeting- Wednesday, July 25, 2018 at 4pm
- Special Meeting- Thursday, August 2, 2018 at 4pm
- Regular Meeting- August 15, 2018 at 6pm
**ADJOURNMENT**
Board Chair Aaron Schwieterman adjourned the meeting at 8:44pm.
Aaron Schwieterman, Board Chair
Carrie Fisher, District Clerk
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The agenda must also include a “public comment” item in order to allow members of the general public to comment on any public matter under the jurisdiction of the district that is not specifically listed on the agenda, except that no member of the public will be allowed to comment on contested cases, other adjudicative proceedings, or personnel matters. The Board Chairman may place reasonable time limits on any “public comment” item in order to maintain and ensure effective and efficient operations of the Board. The District shall not take any action on any matter discussed, unless the matter is specifically noticed on the agenda, and the public has been allowed the opportunity to comment.
* Public comment will be asked on each agenda item. Do not sign below for agenda items.
Public Comment Sign-in
Date: July 10, 2018
*Please sign below for non-agenda items to be heard under New business: Public comment.
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[Signature]
Call to Order
This occurs at the beginning of the meeting, once the quorum has been attained. Quorum for GGS regular or special board meetings is three members. Quorum for a committee meeting is dependent on the number of members of the committee.
Motions
Business is resolved at meetings by voting on propositions put forward by members. These propositions are called motions. Any person who is eligible to vote at a meeting may make a motion. Depending on the type of motion, another member is usually needed to second the motion. Motions are then debated and voted upon. Before a vote on a substantive matter, the Board must take public comment pursuant to Montana law.
Amendments/Revisions
The board chair may permit limited discussion of a topic before a motion is introduced. A preliminary discussion can sometimes indicate the precise type of action that is most advisable, whereas presentation of a motion first can result in a poorly worded motion, or a proposal or action that, in light of subsequent discussion, seems inadvisable.
A motion may be amended by a subsequent motion. If the mover and seconder of the original motion consent to the amendment, the amendment is deemed “friendly” and no further action is required of the original motion. (It is considered "revised.") If an amendment is not deemed friendly, it does require a second. Such a motion must then be debated and voted upon before the debate resumes on the original motion.
Motions which take Precedence
Normally, a motion cannot be made while another motion is being debated. There are, however, certain types of motions that take precedence over “normal” motions.
1. **Motion to Amend** (as above)
2. **Motion to Table** – This is a motion to defer further debate on the main motion until some future time. The motion requires a second and is debatable only as to the length of time that the main motion will remain tabled.
3. **Motion to Refer** – This is similar to a Motion to Table, except that instead of deferring a motion for a specific amount of time, it is deferred until advice can be sought from another source (for example: OPI, Board Counsel).
4. **Motion to Call the Question** – This is a motion to cease debate and proceed to the vote on the main motion. If there is an objection to the motion, the motion requires a second and must pass by a majority vote. The motion is not debatable.
5. **Motion to Reconsider** – This is a motion to re-open debate on a motion that has already been voted upon earlier in the same meeting. This motion requires a second.
6. **Motion to Adjourn** – A motion to end the meeting. Requires a second and is not debatable. The board chair may adjourn the meeting without a motion.
Points
There are several special motions called “Points” that have priority over all other motions or discussion. Points are considered serious enough that a speaker may be interrupted by another individual who wished to make a Point. Points do not require a second. Only Board members are entitled to make Points; Points are not options for audience members at a Board meeting.
1. **Point of Order** – An individual may raise on a point of order if he/she feels that business is proceeding incorrectly. The speaker must either agree or disagree with the point raised. An individual may also use this point if they do not understand the proceedings and/or wish to have a clarification made on a specific ruling.
2. **Point of Privilege** – Individuals may raise Points of Privilege if it is felt that their rights as members of the Board have been violated. This Point can also be used if an individual is unable to participate in the discussion due to an inability to hear the speaker, or because s/he is unclear on matters of procedure.
3. **Point of Information** – This Point is used to ask the speaker for information essential to the understanding of the debate.
**Voting**
Voting on motions normally requires a simple majority. Voting is normally done by voice or by a show of hands; however, anyone eligible to vote has the right to demand a vote by roll call. Voting by secret ballot can never happen under Montana law.
The Board has developed the following annual calendar of agenda items as a guide when developing agendas. Items to be discussed will fall under the following agenda categories:
**Special Work Session:** Special work sessions may be set by the Board at a regular board meeting as needed. Included may be a special work session in June for Annual Board Orientation and Strategic Plan Review and a special work session in August to Review and Discuss Budget Priorities.
**Regular Meeting:** Regular meeting agenda items, which tend to occur at the same time each year have been added to the annual calendar of agenda items. Regular meetings may include other agenda items, but this procedure will serve as only a guide, as some agenda items may be moved to other months as deemed necessary by the Board Chair and/or Superintendent when developing agendas.
**Special Meeting:** Special meeting agenda items are those, which the Board knows will occur on an annual basis.
**Superintendents Report:** Superintendent's Report items are informational items, which the Board has requested from the Superintendent during the Board's regular monthly meeting. These items are informational only and do not require Board action.
**MONTHLY MEETINGS:**
**July**
Historically, Board does not hold a regular meeting in July, but may do so if necessary.
**Special Work Session:**
Annual Board Orientation and Training and Strategic Plan Review
**August**
**Special Work Session:**
Review and Discuss Budget Priorities
**Regular Meeting:**
Review and open negotiations for *Superintendent's Contract* (renewal years or earlier)
Appoint Board negotiations team- *Superintendent's Contract* (renewal years or earlier)
Set Board goals and objectives
Adopt final budget
Approve *Student Attendance Agreements*
Hire volleyball coach(es)
Approve disposal of District records
Appoint trustees to committees
Food Service Budget Report
Review handbook revisions
**September**
**Special Work Session:**
Inspect facility/playground
**Regular Meeting:**
Approve line-item budget
**Superintendent's Report:**
August PIR Days
**October**
**Regular Meeting:**
Hire basketball coach (boys' or girls')
Hire cheerleading coach
Annual review of committees
**Superintendent's Report:**
September PIR Days
**November**
**Regular Meeting:**
Set date for Superintendent's evaluation
**Superintendent's Report:**
Fall ANB count
**December**
**Regular Meeting:**
Annual review of *Safety Plan*
Hire basketball coach (boys' or girls')
Hire wrestling coach
**January**
**Regular Meeting:**
Appoint Board negotiations team- *Certified Contract* (even years)
Discuss budget projections for next FY
**Superintendent's Report:**
Winter ANB count
Special Meeting:
Superintendent's evaluation (executive session)
February
Regular Meeting:
Review annual school election calendar dates
Adopt Resolution Calling for Election
Approve polling place election or mail ballot election
Approve school calendar for next school year
Set meeting dates for Budget/Levy discussions
Approve Out-of-District Tuition Rate for next fiscal year
Review and/or adjust substitute rate of pay for next fiscal year
Superintendent's Report:
Report on staff evaluation process
Spring ANB count
Special Meeting:
Community Budget/Levy discussion
March
Regular Meeting:
Appoint Professional Development Advisory Committee
Approve ballot wording/levy amounts for election
Hire track coach
Special Meeting:
Community Budget/Levy discussion
April
Regular Meeting:
Approve 8th Grade class trip for next school year
Review Property & Liability Insurance Contract (renewal years)
Review/renew health insurance
May
Regular Meeting:
Canvas votes from annual school election
Annual organizational meeting
Approve Student Attendance Agreements for next school year for current students
Approve 5th Grade Class fieldtrip to West Yellowstone
Set date for special work session(s) for Board Orientation and Strategic Plan Review
June
Regular Work Session:
Review end of year spending priorities
Review and discuss budget priorities
Special Work Session:
Develop Action Plans for Completing Goals
Regular Meeting:
Approve bus routes for next school year
Adopt PIR Committee Professional Development for next school year
Set regular board meeting dates for next fiscal year
Set date for budget work session(s)
Approval trustee attendance for MCEL
Approve 6th Grade Class Fieldtrip to Expedition! Yellowstone
Approve Public Health Nursing Services Agreement
Superintendent's Report:
Enrollment Graph
Audit Committee
The purpose of the Audit committee is to:
1. Develop a Request For Proposal (RFP),
2. Send the RFP to auditors approved by the state,
3. Evaluate the returned RFP’s, and
4. Make a recommendation to the Board to enter into a contract with an auditor to complete future audit(s).
The audit committee consists of:
1. Superintendent
2. Business Manager/Clerk
3. Board Trustee
SCHOOL SAFETY PLAN
School Safety Plans identify action to be taken during the phases of an emergency:
- Prevention/mitigation
- Preparedness
- Response
- Recover
The *Gallatin Gateway School Safety Plan* addresses issues of school safety relating to:
- School buildings and facilities
- Communications systems
- School grounds
GENERAL CONSIDERATIONS
A. Purpose
The purpose of this plan is to identify and clarify emergency roles and responsibilities for Gallatin Gateway School staff. Developing, maintaining, and exercising the plan empowers employees in an incident to act quickly and knowledgably. In addition, the plan educates staff, faculty, students, and other key stakeholders on their roles and responsibilities before, during, and after an incident. The ultimate objective is to minimize the negative consequences of any incident on the school district and its staff, students, and parents/guardians.
Guidelines and procedures for responding to existing and potential student and school incidents are defined in this plan. The *School Safety Plan* and its appendices outline an organized, systematic method to prevent/mitigate, prepare for, respond to, and recover from incidents.
B. Scope
This plan outlines the expectations of faculty/staff; roles and responsibilities; direction and control systems; internal and external communications plans; training and sustainability plans; authority and references as defined by local, tribal, state, and federal government mandates; common and specialized procedures; and specific hazard vulnerabilities and responses and recovery.
C. Identification of School Teams
Members of the **School Safety Team** include local law enforcement officials, school administration, a school safety representative, teachers, parents, community members, local ambulance, and other emergency response agencies. The members of the team and their positions or affiliations are as follows:
- School Resource Officer, County Interdisciplinary Team
- Superintendent, County Interdisciplinary Team, and School Safety Representative
- School Counselor, County Interdisciplinary Team
- Madison/Gallatin SPED Coop
- Teacher
- Teacher
- Teacher
- Community member
- Community member
Members of the **Emergency Response Team** include local law enforcement officials, school personnel, representatives from local, regional, and/or state emergency response agencies, and other appropriate incident response teams. The members of this team wear orange reflective vests during response and their positions or affiliations are as follows:
- School Resource Officer
Members of the **Post-incident Response Team** include local law enforcement, school personnel, mental health counselors, medical personnel, and others who can assist the school community in coping with the aftermath of a serious violent incident or emergency. The members of this team and their positions or affiliations are as follows:
- School Resource Officer
- Superintendent and School Safety Representative
- School Counselor
- Madison/Gallatin SPED Coop
- School Nurse
National preparedness efforts, including planning, are now informed by *Presidential Policy Directive (PPD) 8*, which was signed by the president in March 2011 and describes the nation’s approach to preparedness. This directive represents an evolution in our collective understanding of national preparedness, based on the lessons learned from terrorist attacks, hurricanes, school incidents, and other experiences.
*PPD-8* defines preparedness around five mission areas: Prevention, Protection, Mitigation, Response, and Recovery.
- **Prevention**, for our purposes means the capabilities necessary to avoid, deter, or stop an imminent crime or threatened or actual mass casualty incident. Prevention is the action schools take to prevent a threatened or actual incident from occurring.
- **Protection** means the capabilities to secure schools against acts of violence and manmade or natural disasters. Protection focuses on ongoing actions that protect students, teachers, staff, visitors, networks, and property from a threat or hazard.
- **Mitigation** means the capabilities necessary to eliminate or reduce the loss of life and property damage by lessening the impact of an event or emergency. In this document, “mitigation” also means reducing the likelihood that threats and hazards will happen.
- **Response** means the capabilities necessary to stabilize an emergency once it has already happened or is certain to happen in an unpreventable way; establish a safe and secure environment; save lives and property; and facilitate the transition to recovery.
- **Recovery** means the capabilities necessary to assist schools affected by an event or emergency in restoring the learning environment.
Emergency management officials and emergency responders engaging with schools are familiar with this terminology. These mission areas generally align with the three timeframes associated with an incident: before, during, and after.
PROFESSIONAL DEVELOPMENT ADVISORY COMMITTEE
SCOPE: The Professional Development Advisory Committee will:
- Evaluate the current school year's professional development plan
- Recommend a professional development plan for the subsequent school year
MEMBERS: The Professional Development Advisory Committee will consist of, but not be limited to, the superintendent, a board member, and a teacher representing each of the following teams: K-2, 3-5, 6-8, and Specialists. A minimum of four teachers will be appointed to this committee and a majority of the committee will be teachers.
MEETINGS: The committee will meet three (3) times during the school year, in November, April, and May. The November and April meetings will be used to evaluate the current year's professional development plan. The May meeting will be used to develop the subsequent year's professional development plan and submit a recommendation to the Board of Trustees for approval.
PLAN: The Professional Development Plan recommendation will outline how, when and from whom teachers and specialists will meet their professional development PIR day expectations. The recommendation will adhere to the outline for Professional Development in Administrative Rules 10.55.714.
Dear Parents & Caregivers,
Welcome to Parent/Teacher Conferences, and thank you for taking the time to meet with your student’s teachers!
As you touch base with GGS educators about your student’s progress and achievements, we wanted to take a moment to also introduce you to Gallatin Gateway School Board’s most recently formed committee: the Whole Child Committee. The Whole Child Committee has been formed as a result of the School Board’s 2016-2017 goals, one of which is to promote the development of the whole child. As such, the committee has been charged with educating itself on the five tenets of Whole Child Education; evaluating, brainstorming, and constructing systems and programs the committee can recommend be implemented to ensure that all Gallatin Gateway students are healthy, safe, engaged, supported, and challenged. These are the five tenets of Whole Child Education.
So, when did the Whole Child movement begin?
Launched in 2007, ASCD’s (Association for Supervision & Curriculum Development) Whole Child Initiative is an effort to change the conversation about education from a focus on narrowly defined academic achievement to one that promotes the long term development and success of children. (Source: ASCD.org)
Though the five tenets listed above (and described on the back side of this sheet) appear simple and straightforward, developing and implementing systems that ensure these tenets are met is an incredibly consuming process.
To begin the process, we would like to humbly ask for your feedback and input. In the coming days, the committee will be developing a survey process to gain your thoughts, suggestions, and constructive ideas. In what areas are we doing right by our kids? What do we need to work on? What are the best ways to get from Point A to Point B, C and/or D? How can we best utilize the talents and strengths of our community members to strengthen our children’s education?
The survey process is just the beginning. There will be regular meetings, brainstorming sessions, and spontaneous conversations with neighbors and friends. Please voice your suggestions and share your ideas – our children, school, and community will be better because of it.
Again, thank you for being an active participant in your child’s education, and thank you in advance for your thoughts and suggestions!
GGS Whole Child Committee:
Travis Anderson, Julie Fleury, Laurie Neal, Morgan Stuart, Erica Clark, Carrie Fisher,
Bobbie Jo Gunderson, Ruth Sann, Brook Savage, & Jacki Yager
For more information please contact Julie Fleury at firstname.lastname@example.org
ASCD’s Whole Child Tenets
Each student enters school healthy and learns about and practices a healthy lifestyle.
Each student learns in an environment that is physically and emotionally safe for students and adults.
Each student is actively engaged in learning and is connected to the school and broader community.
Each student has access to personalized learning and is supported by qualified, caring adults.
Each student is challenged academically and prepared for success in college or further study and for employment and participation in a global environment.
The purpose of the Charter is to conduct fair and effective Labor Management Committee (LMC) meetings.
**Mission:** To participate in a creative problem solving process to maintain a healthy environment for students, enhance the quality of work life for employees, and increase the overall effectiveness of the School District. We will focus on issues, not personalities, and interests, not positions, to create options to satisfy mutual and separate interests.
1. **Membership**
The parties agree that the LMC will consist of three (3) members from both the union and management.
It is mutually agreed that, during the first year of the LMC, the primary designees will attend meetings with no substitutes allowed. In the event that any of the individual members vacate, a representative will be selected by the appropriate party to fill the position.
2. **Quorum**
In order to conduct meetings, there must be a minimum of two (2) members present consisting of both the co-chairs (mandatory) and at least one (1) additional member from each side. Guest presenters are allowed to attend the meetings on a case-by-case basis subject to the mutual agreement of both co-chairs.
3. **Chair**
The two co-chairs may alternately conduct meetings, each chairing the session ever other time on a rotational basis.
4. **Meeting Frequency**
LMC will strive to meet monthly initially or as later agreed to within the LMC. The proposed date, time, location and duration of the next meeting will be confirmed during each meeting.
5. **Agenda**
Co-Chairs will jointly develop and distribute the following meeting’s agenda one week prior to the meeting. The District Clerk will be responsible for posting the agenda in accordance with District policy. If there are materials for read-ahead, those with responsibility for the material will also attempt to distribute information to LMC members on the same schedule.
6. **Notes/Minutes**
A member of the LMC will be responsible to document meeting notes and minutes and distribute to LMC members. Approved minutes will be posted to the District website by the District Clerk.
7. **Decision Making**
LMC decisions will be reached by consensus. The decisions, actions, and recommendations from the LMC belong to the LMC and not to the union or management.
8. **LMC and Labor Agreement**
Negotiations and grievances will be addressed through procedures identified in the Collective Bargaining Agreement. In these areas, the LMC will not impose itself or act as a substitute to the Collective Bargaining Agreement.
Nothing stated in the meetings or minutes will be used by either party in a grievance or arbitration hearing or an Unfair Labor Practice (ULP) proceeding.
9. **LMC Performance**
The LMC will evaluate the effectiveness of its work at least annually.
10. **Withdrawal of Process**
Both the union and management are committed to the LMC and will strive to make the LMC productive. Should either party choose to withdraw from participation in the LMC, they shall provide written notice to the other party. Prior to any final decision on withdrawal, both sides can call for a 60-day cooling off period and/or use of mediation to try and resolve issues.
11. **Rules of Operation**
- All members are responsible to review and commit to the “rules”.
- Enhanced and effective communications is the #1 objective.
- Full and equal participation by all members.
- Be punctual; come prepared.
- Maintain an atmosphere of mutual respect at all times.
- We will concentrate on issues within our control.
- Confidentiality will be identified and respected.
- Individuals will not be identified with a specific statement or issue.
- Everyone will be allowed to voice opinions and concerns.
- One person speaks at a time. No sidebar conversations.
- Maintain a committee perspective, not only a personal perspective.
- Cell phones, pagers or similar devices will be turned off or placed in a non-ringing mode during the conduct of the meetings. If cell phones, pagers, etc. ring in the silent mode during a LMC meeting, the person receiving the call will exit the meeting room to answer the call.
The scope of the Gallatin Gateway School planning advisory committee will be to gather and analyze information to recommend short-term, mid-term, and long-range written plans for the Gallatin Gateway School (GGS) building/facility/grounds maintenance and to make recommendations to the GGS Board for consideration in Board facility maintenance and cost planning.
1. The committee will assess the school facility needs and recommend facility goals for short-term and mid-term planning.
2. The committee will assess the school facility needs and recommend facility goals for the next 20 years for long-range planning.
3. The committee will propose a maintenance plan with priority-based recommendations and general cost estimates.
4. The committee will present updates/reports quarterly, or more frequently as deemed necessary, to the school board.
5. The committee will:
➢ be appointed by the Chairman of the GGS Board.
➢ have no school maintenance decision-making or spending authority.
➢ be comprised of community volunteers and at least one, but not to exceed two board members.
➢ include no more than 7 members.
6. School administration and staff members will be available by appointment as a resource to the advisory committee to share knowledge of the building and needs of the facility.
7. The dates of advisory committee meetings will be given to GGS administration no less than four business days prior to the meeting to allow for an agenda to be posted for the public. Draft minutes of the advisory meetings will be submitted to the school clerk within a week following a meeting. The school clerk will post the draft minutes on the school webpage under the heading: School Board School Facility Advisory Committee.
8. The ongoing need, scope, and members of the advisory committee will be reviewed annually by the school board.
2013-2014 School Growth Committee of Gallatin Gateway School
Scope for committee:
The scope statement of the Gallatin Gateway School Growth Committee (GGSGC) will be to explore, gather, and analyze information to recommend to the Board of Trustees viable possibilities to help plan for school district growth.
Goals of the committee:
The committee will:
1. be appointed by the Chairman of the GGS Board.
2. have no school growth decision-making or spending authority.
3. be comprised of community volunteers and one board member.
4. include no more than seven (7) members.
5. have school administration and staff members available by appointment as a resource to the GGSGC to share knowledge of the building facility and needs of the school community.
6. provide dates of GGSGC meetings to GGS administration no less than four business days prior to the meeting to allow for an agenda to be posted for the public.
7. provide draft minutes of growth meetings to the school clerk within a week following each meeting to be posted on the school webpage under the headings: School Board: School Growth: Gallatin Gateway School and Community Growth Committee.
8. review 2007-08 Growth Committee of Gallatin Gateway School findings and the 2008 Needs Assessment.
9. seek input from growth development specialists in support of the GGSGC statement.
10. provide the Board of Trustees actionable plans that might include short-term, mid-term, and long-term growth options 30 days prior to the 2015 May board meeting.
11. be reviewed annually by the School Board for ongoing need, scope, and member appointment.
Several Board policies are enclosed to review and/or discuss specifically, however there may be other policies reviewed at the Board’s discretion during the work session/new trustee orientation discussion. Though, we feel all policies are important, the policies included within the packet were determined by the Board Chair, Vice Chair, and administrative team as relevant to new trustee orientation.
There will not be any motions to change board policies during this work session. Any changes/revisions must be proposed, specifically noted on agenda, and voted on at a future public meeting.
Duties of Individual Trustees
The authority of individual trustees is limited to participating in actions taken by the Board as a whole when legally in session. Trustees shall not assume responsibilities of administrators or other staff members. The Board or staff shall not be bound by an action taken or statement made by an individual trustee, except when such statement or action is pursuant to specific instructions and official action taken by the Board.
Each trustee shall review the agenda and attendant materials in advance of a meeting and shall be prepared to participate in discussion and decision making for each agenda item. Each trustee shall visit every school (except in 1st class districts) at least once per year to examine its management, conditions, and needs.
All trustees are obligated to attend Board meetings regularly. Whenever possible, a trustee shall give advance notice to the Chairperson or Superintendent, of the trustee’s inability to attend a Board meeting. A majority of the Board may excuse a trustee’s absence from a meeting if requested to do so.
Board members, as individuals, have no authority over school affairs, except as provided by law or as authorized by the Board.
Cross Reference: 1113 Vacancies
Legal References:
§ 20-3-301, MCA Election and term of office
§ 20-3-308, MCA Vacancy of trustee position
§ 20-3-324(22), MCA Powers and duties
§ 20-3-332, MCA Personal immunity and liability of trustees
All new or amended policies shall become effective on adoption, unless a specific effective date is stated in the motion for adoption.
Policies, as adopted or amended, shall be made a part of the minutes of the meeting at which action was taken and also shall be included in the District’s policy manual. Policies of the District shall be reviewed on a regular basis.
The Superintendent shall develop and maintain a current policy manual which includes all policies of the District. Every administrator, as well as staff, students, and other residents, shall have ready access to District policies.
Under circumstances that require waiver of a policy, the policy may be suspended by a majority vote of the trustees present. To suspend a policy, however, all trustees must have received written notice of the meeting, which includes the proposal to suspend a policy and an explanation of the purpose of such proposed suspension.
The Superintendent shall develop such administrative procedures as are necessary to ensure consistent implementation of policies adopted by the Board.
When a written procedure is developed, the Superintendent may submit procedures may to the Board as an information item.
Legal References: § 20-3-323, MCA District policy and record of acts
10.55.701, ARM Board of Trustees
Board Meetings
Meetings of the Board must occur at a duly called and legally conducted meeting. “Meeting” is defined as the convening of a quorum of the constituent membership of the Board, whether in person or by means of electronic equipment, to hear, discuss, or act upon a matter over which the Board has supervision, control, jurisdiction, or advisory power.
Regular Meetings
Unless otherwise specified, all meetings will take place in the Gallatin Gateway multipurpose room. Regular meetings shall take place at 6:00 p.m. on the third (3rd) Wednesday of each month, or at other times and places determined by a majority vote. Except for an unforeseen emergency, meetings must be held in school buildings or, upon the unanimous vote of the trustees, in a publicly accessible building located within the District. If regular meetings are scheduled at places other than as stated above or are adjourned to times other than the regular meeting time, notice of the meeting shall be made in the same manner as provided for special meetings. The trustees may meet outside the boundaries of the District for collaboration or cooperation on educational issues with other school boards, educational agencies, or cooperatives. Adequate notice of the meeting, as well as an agenda, must be provided to the public in advance. Decision making may only occur at a properly noticed meeting held within the District’s boundaries. When a meeting date falls on a school holiday, the meeting may take place the next business day.
Emergency Meetings
In the event of an emergency involving possible personal injury or property damage, the Board may meet immediately and take official action without prior notification.
Budget Meetings
Between July 1 and August 10 of each year, the Clerk shall publish a notice stating the date, time, and place trustees will meet for the purpose of considering and adopting a final budget for the District, stating that the meeting of the trustees may be continued from day to day until final adoption of a District budget and that any taxpayer in the District may appear at the meeting and be heard for or against any part of the budget. This notice shall be published in the *Bozeman Daily Chronicle*.
On the date and at the time and place stated in the published notice (on or before August 20), trustees shall meet to consider all budget information and any attachments required by law. The
meeting may continue from day to day; however, the Board must adopt a final budget not later than August 25.
**Special Meetings**
Special meetings may be called by the Chairperson or by any two (2) trustees. A written notice of a special meeting, stating the purpose of the meeting, shall be delivered to every trustee not less than forty-eight (48) hours before the time of the meeting, except that the forty-eight-(48)-hour notice is waived in an unforeseen emergency as stated in § 20-3-322(5), MCA. Such written notice shall be posted conspicuously within the District in a manner that will receive public attention. Written notice also shall be sent not less than twenty-four (24) hours prior to the meeting, to each newspaper and radio or television station that has filed a written request for such notices. Business transacted at a special meeting will be limited to that stated in the notice of the meeting.
**Closed Sessions**
Under Montana law, the Board may meet in closed sessions to consider matters of individual privacy. Before closing a meeting, the presiding officer must determine that the demands of individual privacy exceed the merits of public disclosure and so state publicly before going into closed session. The Board also may go into closed session to discuss a strategy to be followed with respect to litigation, when an open meeting would have a detrimental effect on the litigating position of the District. This exception does not apply if the litigation involves only public bodies or associations as parties. Before closing a meeting for litigation purposes, the District may wish to consult legal counsel on the appropriateness of this action. No formal action shall take place during any closed session.
**Legal References:**
| Reference | Description |
|-----------|-------------|
| § 2-3-103, MCA | Public participation – governor to ensure guidelines adopted |
| § 2-3-104, MCA | Requirements for compliance with notice provisions |
| § 2-3-105, MCA | Supplemental notice by radio or television |
| § 2-3-201, MCA | Legislative intent – liberal construction |
| § 2-3-202, MCA | Meeting defined |
| § 2-3-203, MCA | Meetings of public agencies and certain associations of public agencies to be open to public – exceptions |
| § 20-3-322, MCA | Meeting and quorum |
| § 20-9-115, MCA | Notice of final budget meeting |
| § 20-9-131, MCA | Final budget meeting |
| 10.55.701, ARM | Board of Trustees |
School Board Use of Electronic Mail
Use of electronic mail (e-mail) by members of the Board will conform to the same standards of judgment, propriety, and ethics as other forms of school board-related communication. Board members will comply with the following guidelines when using e-mail in the conduct of Board responsibilities:
1. The Board will not use e-mail as a substitute for deliberations at Board meetings or for other communications or business properly confined to Board meetings.
2. Board members will be aware that e-mail and e-mail attachments received or prepared for use in Board business or containing information relating to Board business may be regarded as public records, which may be inspected by any person upon request, unless otherwise made confidential by law.
3. Board members will not reference confidential information about employees, students, or other matters in e-mail communications, because of the risk of improper disclosure.
Cross Reference: 1400 Board Meetings
1401 Records Available to Public
Legal Reference: § 2-3-103, MCA Public participation – governor to ensure guidelines adopted
§ 2-3-201, MCA Legislative intent – liberal construction
§ 2-3-203, MCA Meetings of public agencies and certain associations of public agencies to be open to public – exceptions
§ 20-3-322, MCA Meeting and quorum
School Board Meeting Procedure
Agenda
The agenda for any Board meeting shall be prepared by the Superintendent in consultation with the Board Chair or presiding officer. Items submitted by Board members to be placed on the agenda must have prior approval of the Board Chairperson. Citizens may also suggest inclusions on the agenda. Such suggestions must be received by the Superintendent at least seven (7) days before the Board meeting, unless of immediate importance. Individuals who wish to be placed on the Board agenda must also notify the Superintendent, in writing, of the request. The request must include the reason for the appearance. If the reason for the appearance is a complaint against any District employee, the individual filing the complaint must demonstrate that the Uniform Complaint Procedure has been followed. Citizens wishing to make brief comments about school programs or procedures or items on the agenda need not request placement on the agenda, and may ask for recognition by the Chairperson at the appropriate time.
The agenda also must include a “public comment” portion to allow members of the general public to comment on any public matter under the jurisdiction of the District which is not specifically listed on the agenda, except that no member of the public will be allowed to comment on contested cases, other adjudicative proceedings, or personnel matters. The Board Chairperson may place reasonable time limits on any “public comment” period to maintain and ensure effective and efficient operations of the Board. The Board shall not take any action on any matter discussed, unless the matter is specifically noticed on the agenda, and the public has been allowed opportunity to comment.
With consent of a majority of members present, the order of business at any meeting may be changed. Copies of the agenda for the current Board meeting, minutes of the previous Board meeting, and relevant supplementary information will be prepared and distributed to each trustee at least seven (7) days in advance of a Board meeting and will be available to any interested citizen at the Superintendent’s office twenty-four (24) hours before a Board meeting. An agenda for other types of Board meetings will be prepared, if circumstances require an agenda.
Consent Agenda
To expedite business at its meetings, the Board approves the use of a consent agenda, which includes those items considered to be routine in nature. Any item that appears on the consent agenda may be removed by a member of the Board. Any Board member who wishes to remove an item from the consent agenda must give advance notice in a timely manner to the Superintendent. Remaining items will be voted on by a single motion. The approved motion will be recorded in the minutes, including a listing of all items appearing on the consent agenda.
Appropriate minutes of all meetings required to be open must be kept and must be available for inspection by the public. If an audio recording of a meeting is made and designated as official, the recording constitutes the office record of the meeting. If an official recording is made, a written record of the meeting must also be made and must also include:
- Date, time, and place of the meeting;
- Presiding officer;
- Board members recorded as absent or present;
- Summary of discussion on all matters discussed (including those matters discussed during the “public comment” section), proposed, deliberated, or decided, and a record of any votes taken;
- Detailed statement of all expenditures;
- Purpose of recessing to closed session; and
- Time of adjournment.
When issues are discussed that may require a detailed record, the Board may direct the Clerk to record the discussion verbatim. Any verbatim record may be destroyed after the minutes have been approved, pursuant to § 20-1-212, MCA.
If the minutes are recorded and designated as the official record, a log or time stamp for each main agenda item is required for the purpose of providing assistance to the public in accessing that portion of the meeting.
Unofficial minutes shall be delivered to Board members in advance of the next regularly scheduled meeting of the Board. Minutes need not be read publicly, provided that Board members have had an opportunity to review them before adoption. A file of permanent minutes of Board meetings shall be maintained in the office of the Clerk, to be made available for inspection upon request. A written copy shall be made available within five (5) working days following approval by the Board.
The Clerk shall keep minutes of student disciplinary actions that are educationally related that are taken by the Board, including those portions held in a closed session. Minutes taken during closed session shall be sealed.
**Quorum**
No business shall be transacted at any meeting of the Board unless a quorum of its members is present. Three (3) members of the Board shall constitute a quorum. A majority of the full membership of the Board shall constitute a quorum, whether the individuals are present physically or electronically. A majority of the quorum may pass a resolution, except as provided in § 20-4-203(1), MCA, and § 20-4-401(4), MCA.
Electronic Participation
The Board may allow members to participate in meetings by telephone or other electronic means. Board members may not simply vote electronically but must be connected with the meeting throughout the discussion of business. If a Board member electronically joins the meeting after an item of business has been opened, the remotely located member shall not participate until the next item of business is opened.
If the Board allows a member to participate electronically, the member will be considered present and will have his or her actual physical presence excused. The member shall be counted present for purposes of convening a quorum. The Clerk will document it in the minutes, when members participate in the meeting electronically.
Any Board member wishing to participate in a meeting electronically will notify the Chairperson and Superintendent as early as possible. The Superintendent will arrange for the meeting to take place in a location with the appropriate equipment so that Board members participating in the meeting electronically may interact, and the public may observe or hear the comments made. The Superintendent will take measures to verify the identity of any remotely located participants.
Meeting Conduct and Order of Business
General rules of parliamentary procedure are used for every Board meeting. *Robert’s Rules of Order* may be used as a guide at any meeting. The order of business shall be reflected on the agenda. The use of proxy votes shall not be permitted. Voting rights are reserved to those trustees in attendance. Voting shall be by acclamation or show of hands. The use of proxy voted or secret ballots is not permitted.
Rescind a Motion
A motion to rescind (cancel previous action) may be made anytime by any trustee. A motion to rescind must be properly noticed on the Board’s agenda for the meeting. It is in order any time prior to accomplishment of the underlying action addressed by the motion.
Cross Reference: 1441 Audience Participation
Legal References:
- § 2-3-103, MCA Public participation - governor to ensure guidelines adopted
- § 2-3-202, MCA Meeting defined
- § 2-3-212, MCA Minutes of meetings – public inspection
- § 20-1-212, MCA Destruction of records by school officer
- § 20-3-322, MCA Meetings and quorum
- § 20-3-323, MCA District policy and record of acts
*Jones and Nash v. Missoula Co.*, 2006 MT2, 330 Mont 2005
Section 20-3-323(2), MCA, requires the minutes of each Board meeting to include the voting records of each trustee present. As a general rule trustees should vote on all issues, unless casting a vote would be a violation of law. Under Montana law, instances in which it would be unlawful or inappropriate for a trustee to cast a vote on a particular issue include but are not necessarily limited to the following:
1. When hiring a relative of a trustee;
2. When casting a vote would directly or substantially affect, to its economic benefit, a business or other undertaking in which the trustee either has a substantial financial interest or in which the trustee is engaged as counsel, consultant, representative, or agent;
3. When casting a vote would directly and substantially affect a business or other undertaking to its economic detriment, where a trustee has a substantial personal interest in a competing firm or undertaking;
4. When casting a vote would cause a trustee to have a pecuniary interest, either directly or indirectly, in a contract made by the trustee (while acting in the trustee’s official capacity) or by the Board, and;
5. When casting a vote would put the trustee in the position of an agent or solicitor in the sale or supply of goods or services to the District.
In addition, a trustee shall be allowed to abstain from voting to avoid the appearance of impropriety or the appearance of a perceived conflict. If a trustee abstains from voting, the abstention should be recorded in the minutes and may include an explanation of the reasons for the abstention. The Board discourages abstentions, unless the reasons are substantiated as provided herein.
Legal References: § 2-2-105, MCA Ethical requirements for public officers and public employees
§ 2-2-121, MCA Rules of conduct for public officers and public employees
§ 2-2-302, MCA Appointment of relative to office of trust or emolument unlawful – exceptions – publication of notice
§ 20-1-201, MCA School officers not to act as agents
§ 20-3-323, MCA District policy and record of acts
§ 20-9-204, MCA Conflicts of interests, letting contracts, and calling for bids
Goals and Objectives
The Board shall annually review and/or adopt long and short-range goals and objectives to guide the District in the areas identified by the Board for school improvement. The Board may seek input from community members, parents, students, staff members and other interested individuals in developing these goals and objectives.
Vision: Gallatin Gateway School provides a premiere educational program for our students.
Mission: The Gallatin Gateway School community empowers our students to take responsibility for their learning so they may achieve their individual potentials as lifelong learners and productive citizens.
Motto: Educating the Future
Philosophy: The Trustees of School District #35 are guided by the conviction that every student has the right to the best education this community can provide. Responsibility for this rests with all citizens, parents, school staff, and students, with the ultimate responsibility for direction and decision-making being assumed by the Board of Trustees.
The Board will exert leadership in creating, maintaining, and improving the school for the children’s educational needs. The focal point of concern in our school system is the student. Organization, staffing, programming, teaching, and funding will be developed to enhance positive opportunities for students to learn and develop personally, academically, and socially.
NOTE: Reference to “parents” in board policy shall mean parent, caretaker relative, legal guardian, or legal custodian.
AS A MEMBER OF MY LOCAL BOARD OF TRUSTEES, I WILL STRIVE TO IMPROVE PUBLIC EDUCATION, AND TO THAT END I WILL:
Attend all regularly scheduled Board meetings insofar as possible and become informed concerning the issues to be considered at those meetings;
Recognize that I should endeavor to make policy decisions only after full discussion at public Board meetings;
Make all decisions based on available facts and my independent judgment and refuse to surrender that judgment to individuals or special interest groups;
Encourage the free expression of opinion by all Board members and seek systematic communications between the Board and students, staff, and all elements of the community;
Work with other Board members to establish effective Board policies and to delegate authority for administration to the Superintendent;
Recognize and respect the responsibilities that properly are delegated to the Superintendent;
Communicate to the Superintendent expression of public reaction to Board policies, school programs, or staff;
Inform myself about current educational issues, by individual study and through participation in programs providing needed information, such as those sponsored by the Montana and National School Boards Associations;
Support the employment of those persons best qualified to serve as school staff and insist on regular and impartial evaluation of staff;
Avoid being placed in a position of conflict of interest and refrain from using my Board position for personal or partisan gain;
Avoid compromising the Board or administration by inappropriate individual action or comments and respect the confidentiality of information that is privileged under applicable law;
Remember always that my first and greatest concern must be the educational welfare of students attending public schools.
Conflict of Interest
A trustee may not:
1. Engage in a substantial financial transaction for the trustee’s private business purpose, with a person whom the trustee inspects or supervises in the course of official duties.
2. Perform an official act directly and substantially affecting, to its economic benefit, a business or other undertaking in which the trustee either has a substantial financial interest or is engaged as counsel, consultant, representative, or agent.
3. Act as an agent or solicitor in the sale or supply of goods or services to a district.
4. Have a pecuniary interest, directly or indirectly, in any contract made by the Board, when the trustee has more than a ten percent (10%) interest in the corporation. A contract does not include: 1) merchandise sold to the highest bidder at public auctions; 2) investments or deposits in financial institutions that are in the business of loaning or receiving money, when such investments or deposits are made on a rotating or ratable basis among financial institutions in the community or when there is only one (1) financial institution in the community; or 3) contracts for professional services other than salaried services or for maintenance or repair services or supplies when the services or supplies are not reasonably available from other sources, if the interest of any Board member and a determination of such lack of availability are entered in the minutes of the Board meeting at which the contract is considered.
5. Be employed in any capacity by the District, with the exception of officiating at athletic competitions under the auspices of the Montana Officials Association.
6. Appoint to a position of trust or emolument any person related or connected by consanguinity within the fourth (4\textsuperscript{th}) degree or by affinity within the second (2\textsuperscript{nd}) degree.
a. This prohibition does not apply to the issuance of an employment contract to a person as a substitute teacher who is not employed as a substitute teacher for more than thirty (30) consecutive school days.
b. This prohibition does not apply to the renewal of an employment contract of a person related to a Board member, who was initially hired before the Board member assumed the trustee position.
c. This prohibition does not apply if trustees comply with the following requirements: 1) \textbf{All trustees}, except the trustee related to the person to be employed or appointed, vote to employ the related person; 2) the trustee related to
the person to be employed abstains from voting; and 3) the trustees give fifteen (15) days written notice of the time and place of their intended action in a newspaper of general circulation in the county where the school is located.
**Degrees of Affinity**
Affinity is the legal relationship arising as the result of marriage. Relationship by affinity terminates upon the death of one of the spouses or other dissolution of marriage, except when the marriage has resulted in issue still living.
**Degrees of Consanguinity**
| Trustee | 1 | Parent |
|---------|---|--------|
| | 2 | Grandparent |
| | 3 | Uncle/Aunt |
| | 4 | Great Uncle/Aunt |
| | 5 | Child of Great Uncle/Aunt |
| | 6 | Child of GG Uncle/Aunt |
| | 7 | Grandchild of GG Uncle/Aunt |
| Trustee | 1 | Child |
|---------|---|-------|
| | 2 | Brother/Sister |
| | 3 | Nephew/Niece |
| | 4 | 1st Cousin |
| | 5 | 1st Cousin once removed |
| | 6 | 2nd Cousin |
| | 7 | 2nd Cousin once removed |
| | 8 | 3rd Cousin |
| Trustee | 1 | Grandchild |
|---------|---|------------|
| | 2 | Grand Nephew/Niece |
| | 3 | Great Grandchild |
| | 4 | Great Great Grandchild |
Degrees of Affinity
3
Great Grandparent-in-law
2
Grandparent-in-law
1
Father/Mother-in-law
3
Uncle/Aunt-in-law
1
Spouse
2
Brother/Sister-in-law
1
Step Child
3
Nephew/Niece-in-law
2
Step Grandchild
3
Step Great Grandchild
Management Rights
The Board retains the right to operate and manage its affairs in such areas as but not limited to:
1. Direct employees;
2. Employ, dismiss, promote, transfer, assign, and retain employees;
3. Relieve employees from duties because of lack of work or funds under conditions where continuation of such work would be inefficient and nonproductive;
4. Maintain the efficiency of District operations;
5. Determine the methods, means, job classifications, and personnel by which District operations are to be conducted;
6. Take whatever actions may be necessary to carry out the missions of the District in situations of emergency;
7. Establish the methods and processes by which work is performed.
The Board reserves all other rights, statutory and inherent, as provided by state law.
The Board also reserves the right to delegate authority to the Superintendent for the ongoing direction of all District programs.
Cross Reference: 6110 Superintendent
Legal Reference: § 20-3-324, MCA Powers and duties
§ 39-31-303, MCA Management rights of public employers
Bonner School District No. 14 v. Bonner Education Association,
MEA-MFT, NEA, AFT, AFL-CIO, (2008), 2008 MT 9
Board/Staff Communications
Every reasonable means of communication is encouraged throughout the education community. Nevertheless, an organization must maintain some order and structure to promote efficient and effective communications.
Staff Communications to the Board
All official communications or reports to the Board, from, supervisors, teachers, or other staff members, shall be submitted through the Superintendent.
If contacted individually, Board members are encouraged to refer the matter to the Superintendent. Individual Board members may not take action to compromise the Board or the administration.
Board Communications to Staff
All official communications, policies, and directives of staff interest and concern will be communicated to staff members through the Superintendent. The Superintendent will employ all such media as are appropriate to keep staff fully informed of Board concerns and actions.
Legal Reference: § 20-3-324(22), MCA Powers and duties
Board-Superintendent Relationship
The Board-Superintendent relationship is based on mutual respect for their complementary roles. The relationship requires clear communication of expectations regarding the duties and responsibilities of both the Board and the Superintendent.
The role of the Board shall be to:
- Define the Mission, Vision, and Philosophy of Education for the District;
- Determine long and short-term goals that will move the District toward its Mission and Vision;
- Provide stewardship of the fiscal resources in relation to the Mission of the District;
- Employ a superintendent and evaluate their performance;
- Monitor and evaluate the District and its progress in relation to the Mission, Vision and goals; and
- Advocate for students and quality public education.
The role of the Superintendent shall be to:
- Provide leadership to move the District toward its Mission and Vision by achieving established long and short-term goals;
- Manage the District within the parameters of established policy and law;
- Provide the Board with appropriate information to facilitate its deliberations and informed decision-making;
- Maintain avenues for effective communication with all stakeholders; and
- Advocate on behalf of the students, the District and public education.
Cross Reference: 6110 Superintendent
Legal Reference: § 20-4-401, MCA Appointment and dismissal of district superintendent or county high school principal
§ 20-4-402, MCA Duties of district superintendent or county high school principal
Evaluation of Board
At the conclusion of each year, the Board may evaluate its own performance in terms of generally accepted principles of successful Board operations.
The Board may choose to evaluate the effectiveness of the processes it employs in carrying out the responsibilities of the District. Those processes include but are not limited to: team building, decision making, functions planning, communications, motivation, influence, and policy.
Uniform Complaint Procedure
The Board establishes this Uniform Complaint Procedure as a means to address complaints arising within the District. This Uniform Complaint Procedure is intended to be used for all complaints except those governed by a collective bargaining agreement.
The District requests all individuals to use this complaint procedure when the individual believes the Board or its employees or agents have violated the individual’s rights under: (1) Montana constitutional, statutory, or administrative law; (2) United States constitutional, statutory, or regulatory law; or (3) Board policy.
The District will endeavor to respond to and resolve complaints without resorting to this formal complaint procedure and, when a complaint is filed, to address the complaint promptly and equitably. The right of a person to prompt and equitable resolution of a complaint filed hereunder will not be impaired by a person’s pursuit of other remedies. Use of this complaint procedure is not a prerequisite to pursuit of other remedies, and use of this complaint procedure does not extend any filing deadline related to pursuit of other remedies.
The Superintendent has the authority to contract with an independent investigator at any time during the complaint procedure process. Within fifteen (15) calendar days of the Superintendent’s receipt of the independent investigator’s report and recommendation, the Superintendent will respond to the complaint and take such administrative steps as the Superintendent deems appropriate and necessary.
Level 1:
An individual with a complaint is encouraged to first discuss the complaint with the appropriate teacher, counselor or the Superintendent, with the objective of resolving the matter promptly and informally. An individual complaining of alleged sexual harassment is not required to attempt to resolve the matter informally with the alleged perpetrator of sexual harassment prior to reporting the alleged harassment.
If the complaint is not resolved at this level, the Complainant may proceed to Level 2 of this procedure and file a Uniform Complaint Form 1700F.
Level 2:
When a complaint has not been or cannot be resolved at Level 1, an individual may file a signed and dated Uniform Complaint Form 1700F, stating: (1) the nature of the complaint (2) a description of the event or incident giving rise to the complaint, including any school personnel involved and (3) the remedy or resolution requested. This written complaint must be filed within thirty (30) calendar days of the event or incident or from the date an individual could reasonably become aware of such event or incident.
When a complaint alleges violation of Board policy or procedure, the Superintendent will investigate and attempt to resolve the complaint. The Superintendent will respond in writing to the complaint, within thirty (30) calendar days of the Superintendent’s receipt of the complaint. In responding to the complaint, the Superintendent may: (1) meet with the parties involved in the complaint (2) conduct a separate or supplementary investigation (3) engage an outside investigator or other District employees to assist with the appeal and/or (4) take other steps appropriate or helpful in resolving the complaint.
If either the complainant or the person against whom the complaint is filed is dissatisfied with the Superintendent’s decision, either may request, in writing, that the Board consider an appeal of the Superintendent’s decision. (See Level 3.) This request must be submitted in writing to the Superintendent, within fifteen (15) calendar days of the Superintendent’s written response to the complaint, for transmission to the Board.
When a complaint alleges sexual harassment or a violation of Title IX of the Education Amendments of 1972 (the Civil Rights Act), Title II of the Americans with Disabilities Act of 1990, or Section 504 of the Rehabilitation Act of 1973, the Superintendent may turn the complaint over to a District nondiscrimination coordinator. The coordinator will complete an investigation and file a report and recommendation with the Superintendent. Within fifteen (15) calendar days of the Superintendent’s receipt of the coordinator’s or independent investigator’s report and recommendation, the Superintendent will respond to the complaint and take such administrative steps as the Superintendent deems appropriate and necessary. If either the complainant or the person against whom the complaint is filed is dissatisfied with the Superintendent’s decision, either may request, in writing, that the Board consider an appeal of the Superintendent’s decision. (See Level 3.) This request must be submitted in writing to the Superintendent, within fifteen (15) calendar days of the Superintendent’s written response to the complaint, for transmission to the Board.
If the complaint alleges violations against the Superintendent, the complaint shall be filed with the Board Chair using Uniform Complaint Form 1700F. The complaint will proceed to Level 3 of this procedure.
Level 3:
Upon receipt of written request for appeal of the Superintendent’s decision in Level 2, the Board Chair will place the appeal on the agenda of a regular or special Board meeting. The Board will report its decision on the appeal, in writing, to all parties, within thirty (30) calendar days of the Board meeting. A decision of the Board is final, unless it is appealed pursuant to Montana law within the period provided by law.
In the case the Board Chair receives a Uniform Complaint Form 1700F that contains allegations involving the Superintendent, within fifteen (15) calendar days of the date the complaint was filed, the Board Chair will call a special meeting of the Board, requesting the Complainant and the Superintendent to be present, where the Board will decide on contracting with an independent investigator. The complaint or identity of the Complainant will not be disclosed except (1) as required by law or this policy, (2) as necessary to fully investigate the complaint, or (3) as authorized by the Complainant. The investigator shall issue written findings at the completion of the investigation. The Board will meet to deliberate on the findings from the investigation and address the complaint in writing with their decision to the Complainant within seven (7) calendar days of that meeting.
**Level 4**
When a matter falls within the jurisdiction of a county superintendent of schools, the decision of the Board may be appealed to the county superintendent by filing written appeal within thirty (30) calendar days of the Board’s decision, pursuant to Montana law.
**Retaliation**
Any individual participating in an investigation or proceeding under this policy may notify the Superintendent, or in the case the allegation involves the Superintendent, the Board, if they believe they are being retaliated against for participating in the investigation or proceeding. The District prohibits retaliation against individuals making complaints under this policy and participating in any investigation that may ensue. The District may discipline students or staff members determined to have retaliated against any individual for participating in an investigation or proceeding under this policy.
**Legal Reference:**
- Title IX of the Education Amendments of 1972 (Civil Rights Act)
- Title II of the Americans with Disabilities Act of 1990
- § 504 of the Rehabilitation Act of 1973
Instructional Goals
The District will provide equal opportunity for students to receive an education which will enable them to fulfill their role in society, commensurate with individual ability, in compliance with legal requirements, and reflecting the desires of the people.
Instructional programs, methods, and resources should meet the needs of each student, regardless of race, color, creed, sex, or level of ability. The District recognizes that equal opportunity education does not imply uniformity and that each student’s unique characteristics must be acknowledged. Instructional programs, methods, and materials will not imply, teach, or encourage any beliefs or practices reflecting bias or discrimination toward other individuals or groups and will not deny others their basic human rights.
The District has developed a Statement of Learner Goals that is available through the District Office. This philosophical goal statement will reflect the District’s strategic plan and will be publicized and made available to interested citizens. This statement will be reviewed annually and revised as deemed necessary.
Legal Reference: 10.55.701, ARM Board of Trustees
§ 20-1-102, MCA Legislative goals for public elementary and secondary schools
Curriculum and Assessment
The Board is responsible for curriculum adoption and must approve all significant changes, including the adoption of new textbooks and new courses, before such changes are made. The Superintendent is responsible for making curriculum recommendations. The District shall ensure their curriculum is aligned to all content standards and the appropriate learning progression for each grade level.
A written sequential curriculum will be developed for each subject area. The curricula will address learner goals, content and program area performance standards, and District education goals and will be constructed to include such parts of education as content, skills, and thinking. The District shall review curricula at least every five (5) years or consistent with the state’s standards revision schedule, and modify, as needed, to meet educational goals of the continuous school improvement plan pursuant to ARM 10.55.601.
In all program areas and at all levels, the District shall assess student progress toward achieving content standards and content-specific grade-level learning progressions including: content and data; accomplishment of appropriate skills; development of critical thinking and reasoning; and attitude. The District will use assessment results to improve the educational program, and use effective and appropriate tools for assessing such progress. This may include, but is not limited to: standardized tests; criterion referenced tests; teacher-made tests; ongoing classroom evaluation; actual communication assessments such as writing, speaking, and listening assessments; samples of student work and/or narrative reports passed from grade to grade; samples of students’ creative and/or performance work; and surveys of carry-over skills to other program areas and outside of school, and any other requirements of ARM 10.56.101.
The District shall maintain their programs consistent with the state’s schedule for revising standards.
The District may receive and/or provide distance, online and technology delivered learning programs, as provided in Montana law. Distance, online and technology delivered learning programs and/or courses shall meet the learner expectations adopted in the District and shall be aligned with state content standards and content-specific grade-level learning progressions. The Superintendent is directed to develop procedures regarding the District’s distance, online and technology delivered learning.
Cross Reference: 2000 Goals
2110 Objectives
Legal Reference: § 20-3-324, MCA Powers and duties
§ 20-4-402, MCA Duties of district superintendent or county high school principal
§ 20-7-602, MCA Textbook selection and adoption
10.55.601, ARM Accreditation Standards Procedures
10.55.603, ARM Curriculum and Assessment
10.56.101, ARM Student Assessment
Student and Family Privacy Rights
Surveys - General
All surveys requesting personal information from students, as well as any other instrument used to collect personal information from students, must advance or relate to the District’s educational objectives as identified in Board Policy. This applies to all surveys, regardless of whether the student answering the questions can be identified and regardless of who created the survey.
Surveys Created by a Third Party
Before the District administers or distributes a survey created by a third party to a student, the student’s parent(s)/guardian(s) may inspect the survey upon request and within a reasonable time of their request.
This section applies to every survey: (1) that is created by a person or entity other than a District official, staff member, or student, (2) regardless of whether the student answering the questions can be identified, and (3) regardless of the subject matter of the questions.
Surveys Requesting Personal Information
School officials and staff members shall not request, nor disclose, the identity of any student who completes ANY survey containing one (1) or more of the following items:
1. Political affiliations or beliefs of the student or the student’s parent/guardian;
2. Mental or psychological problems of the student or the student’s family;
3. Behavior or attitudes about sex;
4. Illegal, antisocial, self-incriminating, or demeaning behavior;
5. Critical appraisals of other individuals with whom students have close family relationships;
6. Legally recognized privileged or analogous relationships, such as those with lawyers, physicians, and ministers;
7. Religious practices, affiliations, or beliefs of the student or the student’s parent/guardian;
8. Income (other than that required by law to determine eligibility for participation in a program or for receiving financial assistance under such program).
The student’s parent(s)/guardian(s) may:
1. Inspect the survey within a reasonable time of the request; and/or
2. Refuse to allow their child to participate in any survey requesting personal information. The school shall not penalize any student whose parent(s)/guardian(s) exercise this option.
Instructional Material
A student’s parent(s)/guardian(s) may, within a reasonable time of the request, inspect any instructional material used as part of their child’s educational curriculum.
The term “instructional material,” for purposes of this policy, means instructional content that is provided to a student, regardless of its format, printed or representational materials, audio-visual materials, and materials in electronic or digital formats (such as materials accessible through the Internet). The term does not include academic tests or academic assessments.
Collection of Personal Information From Students for Marketing Prohibited
The term “personal information,” for purposes of this section only, means individually identifiable information including: (1) a student’s or parent’s first and last name, (2) a home or other physical address (including street name and the name of the city or town), (3) telephone number, or (4) a Social Security identification number.
The District will not collect, disclose, or use student personal information for the purpose of marketing or selling that information or otherwise providing that information to others for that purpose.
The District, however, is not prohibited from collecting, disclosing, or using personal information collected from students for the exclusive purpose of developing, evaluating, or providing educational products or services for, or to, students or educational institutions such as the following:
1. College or other post-secondary education recruitment or military recruitment;
2. Book clubs, magazines, and programs providing access to low-cost literary products;
3. Curriculum and instructional materials used by elementary schools and secondary schools;
4. Tests and assessments to provide cognitive, evaluative, diagnostic, clinical, aptitude, or achievement information about students (or to generate other statistically useful data for the purpose of securing such tests and assessments) and the subsequent analysis and public release of the aggregate data from such tests and assessments;
5. The sale by students of products or services to raise funds for school-related or education-related activities;
6. Student recognition programs.
Notification of Rights and Procedures
The Superintendent or designee shall notify students’ parents/guardians of:
1. This policy as well as its availability from the administration office upon request;
2. How to opt their child out of participation in activities as provided in this policy;
3. The approximate dates during the school year when a survey requesting personal information, as described above, is scheduled or expected to be scheduled;
4. How to request access to any survey or other material described in this policy.
This notification shall be given parents/guardians at least annually at the beginning of the school year and within a reasonable period after any substantive change in this policy.
Cross Reference: 2311 Instructional Materials
3200 Student Rights and Responsibilities
3410 Student Health/Physical Screenings/Examinations
Legal Reference: 20 U.S.C. 1232h Protection of Pupil Rights
Discretionary Nonresident Student Attendance Policy
The Board, recognizing that its resident students need an orderly educational process and environment, free from disruption, overcrowding, and any kind of violence or disruptive influences, hereby establishes criteria for the discretionary admission of nonresident students.
1. Except as required by § 20-5-321, MCA, the District will admit nonresident students at its discretion. As such, the Superintendent will screen all nonresident students and consider only those who meet the criteria set forth in this policy.
2. The Superintendent will recommend to the Board any nonresident student admission in accordance with this policy, with the Board making the final decision on admission.
3. The District will consider the following criteria for discretionary admission of nonresident students: the student’s academic record, disciplinary record, including truancy records, or if a student presents any educationally related detriment to the students of Gallatin Gateway Schools.
The Superintendent will contact the student’s previous school districts before making a recommendation to the Board. The Superintendent will evaluate the student based on the above listed criteria and determine whether or not to recommend the admission of the student.
4. The District has the option of accepting a nonresident student who does not meet the criteria set forth by the administration, if the parent/guardian agrees to special conditions of admission as set forth by the District.
5. The District will not accept out-of-district students who require additional staff, services not currently provided, or cause overcrowding in existing classes.
6. Admission in one school year does not infer or guarantee admission in subsequent years.
7. All resident students who become nonresidents because their parents or guardians move out of the District may continue attendance for the semester, barring registration in another District. At the completion of the semester, a student must apply as a nonresident student.
8. The Board reserves the right to charge tuition for nonresident students. At its discretion, the Board may charge or waive tuition for all students whose tuition is required to be paid by one kind of entity, defined as either a parent or guardian or a school district.
9. All nonresident students will be considered ineligible transportees for school transportation services (§ 20-10-101, MCA).
10. The Board may, on a case-by-case basis, admit any nonresident student who is serving a suspension or expulsion from another school district.
Legal Reference: § 20-5-314, MCA Reciprocal attendance agreement with adjoining state or province
§ 20-5-320, MCA Attendance with discretionary approval
§ 20-5-321, MCA Attendance with mandatory approval – tuition and transportation
§ 20-5-322, MCA Residency determination – notification – appeal for attendance agreement
§ 20-5-323, MCA Tuition and transportation rates
10.10.301B, ARM Out-of-District Attendance Agreements
Student Rights and Responsibilities
The District recognizes fully that all students are entitled to enjoy the rights protected under federal and state constitutions and law for persons of their age and maturity in a school setting. The District expects students to exercise these rights reasonably and to avoid violating the rights of others. The District may impose disciplinary measures whenever students violate the rights of others or violate District policies or rules.
Cross Reference: 3231 Searches and Seizure
3310 Student Discipline
Legal Reference: § 20-4-302, MCA Discipline and punishment of pupils – definition of corporal punishment – penalty – defense
§ 20-5-201, MCA Duties and sanctions
Tinker v. Des Moines Ind. Sch. Dist., 89 S.Ct. 733 (1969)
Sexual Harassment/Intimidation of Students
Sexual harassment is a form of sex discrimination and is prohibited. An employee, District agent, or student engages in sexual harassment whenever that individual makes unwelcome advances, requests sexual favors, or engages in other verbal, non-verbal, or physical conduct of a sexual or sex-based nature, imposed on the basis of sex, that:
1. Denies or limits the provision of educational aid, benefits, services, opportunities, or treatment, or that makes such conduct a condition of a student’s academic status; or
2. Has the purpose or effect of:
a. Substantially interfering with a student’s educational environment;
b. Creating an intimidating, hostile, or offensive educational environment;
c. Depriving a student of educational aid, benefits, services, opportunities, or treatment; or
d. Making submission to or rejection of such unwelcome conduct the basis for academic decisions affecting a student.
The terms “intimidating,” “hostile,” and “offensive” include conduct that has the effect of humiliation, embarrassment, or discomfort. Examples of sexual harassment include but are not limited to unwelcome touching, crude jokes or pictures, discussions of sexual experiences, pressure for sexual activity, intimidation by words, actions, insults, or name calling, teasing related to sexual characteristics, and spreading rumors related to a person’s alleged sexual activities.
Students who believe that they may have been sexually harassed or intimidated should consult a counselor, teacher, Title IX coordinator, or administrator, who will assist them in the complaint process. Supervisors or teachers who knowingly condone or fail to report or assist a student to take action to remediate such behavior of sexual harassment or intimidation may themselves be subject to discipline.
Any District employee who is determined, after an investigation, to have engaged in sexual harassment will be subject to disciplinary action up to and including discharge. Any student of the District who is determined, after an investigation, to have engaged in sexual harassment will be subject to disciplinary action, including but not limited to suspension and expulsion consistent
with the District’s discipline policy. Any person who knowingly makes a false accusation regarding sexual harassment likewise will be subject to disciplinary action up to and including discharge with regard to employees or suspension and expulsion with regard to students.
The District will make every effort to ensure that employees or students accused of sexual harassment or intimidation are given an appropriate opportunity to defend themselves against such accusations.
To the greatest extent possible, the District will treat complaints in a confidential manner. The District realizes that limited disclosure may be necessary in order to complete a thorough investigation. Retaliation against persons who file a complaint is a violation of law prohibiting discrimination and will lead to disciplinary action against an offender.
Any individual seeking further information should consult the Superintendent for the name of the current Title IX Coordinator for the District. The Superintendent will ensure that student and employee handbooks include the name, address, and telephone number of an individual responsible for coordinating District compliance efforts.
An individual with a complaint alleging a violation of this policy should follow the Uniform Complaint Procedure.
Cross Reference: 1700 Uniform Complaint Procedure
Legal References: Art. X, Sec. 1, Montana Constitution – Educational goals and duties §§ 49-3-101, et seq., MCA Montana Human Rights Act Title IX of the Educational Amendments, 20 U.S.C. § 1681, et seq. 34 CFR Part 106 Nondiscrimination on the basis of sex in education programs or activities receiving Federal financial assistance 10.55.701(1)(f), ARM Board of Trustees 10.55.719, ARM Student Protection Procedures 10.55.801(1)(a), ARM School Climate
The Board will strive to provide a positive and productive learning and working environment. Bullying, harassment, intimidation, or hazing, by students, staff, or third parties, is strictly prohibited and shall not be tolerated.
**Definitions**
a) “Third parties” include but are not limited to coaches, school volunteers, parents, school visitors, service contractors or others engaged in District business, such as employees of businesses or organizations participating in cooperative work programs with the District, and others not directly subject to District control at inter-district and intra-District athletic competitions or other school events.
b) “District” includes District facilities, District premises, and non-District property if the student or employee is at any District-sponsored, District-approved, or District-related activity or function, such as field trips or athletic events, where students are under the control of the District or where the employee is engaged in District business.
c) “Hazing” includes but is not limited to any act that recklessly or intentionally endangers the mental or physical health or safety of a student for the purpose of initiation or as a condition or precondition of attaining membership in or affiliation with any District-sponsored activity or grade-level attainment, including but not limited to forced consumption of any drink, alcoholic beverage, drug, or controlled substance, forced exposure to the elements, forced prolonged exclusion from social contact, sleep deprivation, or any other forced activity that could adversely affect the mental or physical health or safety of a student; requires, encourages, authorizes, or permits another to be subject to wearing or carrying any obscene or physically burdensome article, assignment of pranks to be performed, or other such activities intended to degrade or humiliate.
d) "Bullying" means any harassment, intimidation, hazing, or threatening, insulting, or demeaning gesture or physical contact, including any intentional written, verbal, or electronic communication ("cyberbullying") or threat directed against a student that is persistent, severe, or repeated, and that substantially interferes with a student’s educational benefits, opportunities, or performance, that takes place on or immediately adjacent to school grounds, at any school-sponsored activity, on school-provided transportation, at any official school bus stop, or anywhere conduct may reasonably be considered to be a threat or an attempted intimidation of a student or staff member or an interference with school purposes or an educational function, and that has the effect of:
a. Physically harming a student or damaging a student’s property;
b. Knowingly placing a student in reasonable fear of physical harm to the student or damage to the student’s property;
c. Creating a hostile educational environment, or;
d. Substantially and materially disrupts the orderly operation of a school.
e) “Electronic communication device” means any mode of electronic communication, including but not limited to computers, cell phones, PDAs, or the internet.
Reporting
All complaints about behavior that may violate this policy shall be promptly investigated. Any student, employee, or third party who has knowledge of conduct in violation of this policy or feels he/she has been a victim of hazing, harassment, intimidation, or bullying in violation of this policy is encouraged to immediately report his/her concerns to the building principal or the District Administrator, who have overall responsibility for such investigations. A student may also report concerns to a teacher or counselor, who will be responsible for notifying the appropriate District official. Complaints against the building principal shall be filed with the Superintendent. Complaints against the Superintendent or District Administrator shall be filed with the Board.
The complainant shall be notified of the findings of the investigation and, as appropriate, that remedial action has been taken.
Exhaustion of Administrative Remedies
A person alleging violation of any form of harassment, intimidation, hazing, or threatening, insulting, or demeaning gesture or physical contact, including any intentional written, verbal, or electronic communication, as stated above, may seek redress under any available law, either civil or criminal, after exhausting all administrative remedies.
Responsibilities
The District Administrator shall be responsible for ensuring notice of this policy is provided to students, staff, and third parties and for the development of administrative regulations, including reporting and investigative procedures, as needed.
Consequences
Students whose behavior is found to be in violation of this policy will be subject to discipline up to and including expulsion. Staff whose behavior is found to be in violation of this policy will be subject to discipline up to and including dismissal. Third parties whose behavior is found to be in violation of this policy shall be subject to appropriate sanctions as determined and imposed by the District Administrator or the Board. Individuals may also be referred to law enforcement officials.
Retaliation and Reprisal
Retaliation is prohibited against any person who reports or is thought to have reported a violation, files a complaint, or otherwise participates in an investigation or inquiry. Such retaliation shall be considered a serious violation of Board policy, whether or not a complaint is substantiated. False charges shall also be regarded as a serious offense and will result in disciplinary action or other appropriate sanctions.
Cross Reference: 3225F Harassment Reporting Form for Students
Legal Reference: 10.55.701(1)(g), ARM Board of Trustees
10.55.719, ARM Student Protection Procedures
10.55.801(1)(d), ARM School Climate
Public Relations
The District will strive to maintain effective two-way communications with the public to enable the Board and staff to interpret schools’ needs to the community and provide a means for citizens to express their needs and expectations to the Board and staff.
The Superintendent will establish and maintain a communication process within the school system and between it and the community. Such public information program will provide for news releases at appropriate times, arrange for media coverage of District programs and events, provide for regular direct communications between individual schools and the citizens they serve, and assist staff in improving their skills and understanding in communicating with the public.
The District may solicit community opinion through parent organizations, parent-teacher conferences, open houses, and other events or activities which may bring staff and citizens together.
Legal Reference: Art. II, Sec. 8, Montana Constitution - Right of participation
Art. II, Sec. 9, Montana Constitution - Right to know
Visitors to Schools
The District welcomes visits by parents and citizens to all District buildings. All visitors shall report to and sign in at the main office on entering when visiting the School District. Conferences with teachers should be held outside school hours or during the teacher’s conference or preparation time. Parents or guardians having particular concerns to discuss with the teacher are asked to arrange a conference time between 3:15pm and 4:00pm, Monday, Tuesday and Thursday.
Legal Reference: §20-1-2016, MCA Disturbance of school
Spectator Conduct and Sportsmanship for Athletic and Co-Curricular Events
Any person, including an adult, who behaves in an unsportsmanlike manner during an athletic or co-curricular event may be ejected from the event and/or denied admission to school events for up to a year after a Board hearing. Examples of unsportsmanlike conduct include but are not limited to:
- Using vulgar or obscene language or gestures;
- Possessing or being under the influence of any alcoholic beverage or illegal substance;
- Possessing a weapon;
- Fighting or otherwise striking or threatening another person;
- Failing to obey instructions of a security officer or District employee; and
- Engaging in any illegal or disruptive activity.
The Superintendent may seek to deny future admission to any person by delivering or mailing a notice by certified mail with return receipt requested, containing:
1. Date, time, and place of a Board hearing;
2. Description of the unsportsmanlike conduct; and
3. Proposed time period admission to school events will be denied.
Legal Reference: § 20-1-206, MCA Disturbance of school – penalty
§ 20-4-303, MCA Abuse of teachers
§ 45-8-101, MCA Disorderly conduct
Relations With Law Enforcement and Child Protective Agencies
The staff is primarily responsible for maintaining proper order and conduct in the schools. Staff shall be responsible for holding students accountable for infractions of school rules, which may include minor violations of the law, occurring during school hours or at school activities. When there is substantial threat to the health and safety of students or others, such as in the case of bomb threats, mass demonstrations with threat of violence, individual threats of substantial bodily harm, trafficking in prohibited drugs, or the scheduling of events where large crowds may be difficult to handle, the law enforcement agency shall be called upon for assistance. Information regarding major violations of the law shall be communicated to the appropriate law enforcement agency.
The District will strive to develop and maintain cooperative working relationships with the law enforcement agencies. Procedures for cooperation between law enforcement, child protective, and school authorities will be established. Such procedures will be made available to affected staff and will be periodically revised.
Cross Reference: 4313 Disruption of School Operations
Legal Reference: § 20-1-206, MCA Disturbance of school – penalty
Interrogation and Investigations Conducted by School Officials
The Superintendent has the authority and duty to conduct investigations and to question students pertaining to infractions of school rules, whether or not the alleged conduct is a violation of criminal law. The Superintendent shall determine when the necessity exists that law enforcement officers be asked to conduct an investigation of alleged criminal behavior which jeopardizes the safety of other people or school property or which interferes with the operation of the schools.
In instances when the Superintendent has reasonable suspicion that a violation of district policy or the student code of conduct has been violated, the Superintendent will investigate. The Superintendent will notify the suspected rule violator(s) or potential witness(es) to the infraction. The suspected student shall be advised orally or in writing of the nature of the alleged offense and of the evidence against the student. Circumstances may arise where it would be advisable to have another adult present during questioning of students.
School Resource Officer
Gallatin Gateway School District coordinates with the Gallatin County Sheriff’s Department to provide a School Resource Officer (SRO) to maintain a safe and secure environment conducive to learning.
Investigations by Law Enforcement
When a student becomes involved with law enforcement officers due to events outside of the school environment and officers other than an SRO must interact with a student, the officer(s) is requested to confer with the student when he/she is being investigated for conduct not under the jurisdiction of the school. If this cannot be arranged, the SRO is the first person of contact for law enforcement. If for any reason the SRO is not available to respond to a request, the following steps shall be taken to cooperate with the authorities.
a. The officer shall contact the Superintendent and present proper identification in all occasions upon his/her arrival on school premises.
b. Parents or guardians shall be notified by the law enforcement officer or Superintendent as soon as possible. The law enforcement officer or Superintendent shall make every effort to inform parents or guardians of the intent of the law enforcement officers except when that notification may compromise the student’s safety.
c. The student’s parent or guardian should be present, if practicable, during any interrogation on school premises.
Cooperation with Law Enforcement
Although cooperation with law enforcement officers will be maintained, it is the preference of the District that it will not normally be necessary for law enforcement officers to initiate, and conduct any investigation and interrogation on the school premises, during school hours, pertaining to criminal activities unrelated to the operation of the school. It is preferred that only in demonstrated emergencies, when law enforcement officers find it necessary, will they conduct such an investigation during school hours. These circumstances might be limited to those in which delay might result in danger to any person, flight of a person reasonably suspected of a crime from the jurisdiction or local authorities, destruction of evidence, or continued criminal behavior.
No school official, however, should ever place him/herself in the position of interfering with a law enforcement official in the performance of his or her duties as an officer of the law. If the law enforcement officials are not recognized and/or are lacking a warrant or court order, the Superintendent shall require proper identification of such officials and the reason(s) for the visit to the school. If the Superintendent is not satisfied, he/she shall attempt to notify the officer’s superior, documenting such action.
In all cases, the officers shall be requested to obtain prior approval of the Superintendent before beginning such an investigation on school premises. The Superintendent shall document the circumstances of such investigations as soon as practical. Alleged behavior related to the school environment brought to the Superintendent’s attention by law enforcement officers shall be dealt with under the provisions of the two previous sections.
Taking a Student into Custody
School officials shall not release students to law enforcement authorities voluntarily unless the student has been placed under arrest or unless the parent or guardians and the student agree to the release. When students are removed from school for any reason by law enforcement authorities, every reasonable effort will be made to notify the student’s parents or guardians immediately. Such effort shall be documented. Whenever an attempt to remove a student from school occurs without an arrest warrant, court order, or without acquiescence of the parent or guardian, or the student, the Superintendent shall immediately notify a superior of the law enforcement officers involved to make objection to the removal of the student and shall attempt to notify the parent or guardian of the student. The Superintendent’s office shall be notified immediately of any removal of a student from school by law enforcement officers under any circumstances.
When it is necessary to take a student into custody on school premises and time permits, the law enforcement officer shall be requested to notify the Superintendent and relate the circumstances necessitating such action. When possible, the Superintendent shall have the student summoned to the Superintendent’s office where the student may be taken into custody. In all situations of interrogations, arrest or service of subpoenas of a student by law enforcement officers on school premises, all practicable steps shall be taken to ensure a minimum of embarrassment or invasion of privacy of the student and disruption to the school environment.
**Disturbance of School Environment**
Law enforcement officers may be requested to assist in controlling disturbances of the school environment which the Superintendent has found to be unmanageable by school personnel and which disturbances have the potential of causing harm to students, other persons, or school property. Staff members may also notify law enforcement officials.
Such potential of possible disturbance includes members of the public who have exhibited undesirable or illegal conduct on school premises or at a school event held on school property, and who have been requested to leave by the Superintendent or staff member, but have failed or refused to do so.
**Legal Reference:**
- § 20-1-206, MCA Disturbance of school - penalty
- § 20-5-201, MCA Duties and sanctions
- § 45-8-101, MCA Disorderly conduct
Cooperative Programs With Other Districts and Public Agencies
Whenever it appears to the economic, administrative, and/or educational advantage of the District to participate in cooperative programs with other units of local government, the Superintendent will prepare and present for Board consideration an analysis of each cooperative proposal.
When formal cooperative agreements are developed, such agreements shall comply with requirements of the Interlocal Cooperation Act, with assurances that all parties to the agreement have legal authority to engage in the activities contemplated by the agreement.
The District may enter into an interlocal agreement providing for the sharing of teachers, specialists, superintendents, or other professional persons licensed under Title 37, MCA. If the District shares a teacher or specialist with another district(s), the District’s share of such teacher’s or specialist’s compensation will be based on the total number of instructional hours expended by the teacher or the specialist in the District.
Legal Reference: § 7-11-101, et seq., MCA Interlocal Cooperation Act
§ 20-7-451 through 456, MCA Authorization to create full service education cooperatives
§ 20-7-801, et seq., MCA Public recreation
§ 20-3-363, MCA Multidistrict Agreements
§ 20-9-701, MCA Educational Cooperative Agreements
Bullying/Harassment/Intimidation
The Board will strive to provide a positive and productive working environment. Bullying, harassment, or intimidation between employees or by third parties, are strictly prohibited and shall not be tolerated. This includes bullying, harassment, or intimidation via electronic communication devices ("cyberbullying").
Definitions
- "Third parties" include but are not limited to coaches, school volunteers, parents, school visitors, service contractors, or others engaged in District business, such as employees of businesses or organizations participating in cooperative work programs with the District, and others not directly subject to District control at inter-district and intra-District athletic competitions or other school events.
- "District" includes District facilities, District premises, and non-District property if the employee is at any District-sponsored, District-approved, or District-related activity or function, such as field trips or athletic events, where the employee is engaged in District business.
- "Harassment, intimidation, or bullying" means any act that substantially interferes with an employee’s opportunities or work performance, that takes place on or immediately adjacent to school grounds, at any school-sponsored activity, on school-provided transportation, or anywhere such conduct may reasonably be considered to be a threat or an attempted intimidation of a staff member or an interference with school purposes or an educational function, and that has the effect of:
a. Physically harming an employee or damaging an employee’s property;
b. Knowingly placing an employee in reasonable fear of physical harm to the employee or damage to the employee’s property; or
c. Creating a hostile working environment.
- "Electronic communication device" means any mode of electronic communication, including but not limited to computers, cell phones, PDAs, or the internet.
Reporting
All complaints about behavior that may violate this policy shall be promptly investigated. Any employee or third party who has knowledge of conduct in violation of this policy or feels he/she
has been a victim of harassment, intimidation, or bullying in violation of this policy is encouraged to immediately report his/her concerns to the building principal or the District Administrator, who have overall responsibility for such investigations. Complaints against the building principal shall be filed with the Superintendent. Complaints against the Superintendent or District Administrator shall be filed with the Board.
The complainant shall be notified of the findings of the investigation and, as appropriate, that remedial action has been taken.
**Responsibilities**
The District Administrator shall be responsible for ensuring that notice of this policy is provided to staff and third parties and for the development of administrative regulations, including reporting and investigative procedures, as needed.
**Consequences**
Staff whose behavior is found to be in violation of this policy will be subject to discipline up to and including termination of employment. Third parties whose behavior is found to be in violation of this policy shall be subject to appropriate sanctions as determined and imposed by the District Administrator or the Board. Individuals may also be referred to law enforcement officials.
**Retaliation and Reprisal**
Retaliation is prohibited against any person who reports or is thought to have reported a violation, files a complaint, or otherwise participates in an investigation or inquiry. Such retaliation shall be considered a serious violation of Board policy, whether or not a complaint is substantiated. False charges shall also be regarded as a serious offense and will result in disciplinary action or other appropriate sanctions.
**Legal Reference:**
- Admin. R. Mont. 10.55.701(3)(g) Board of Trustees
- Admin. R. Mont. 10.55.801(1)(d) School Climate
Personal Conduct
Employees are expected to maintain high standards of honesty, integrity, and impartiality in the conduct of District business.
In accordance with state law, an employee should not dispense or utilize any information gained from employment with the District, accept gifts or benefits, or participate in business enterprises or employment that creates a conflict of interest with the faithful and impartial discharge of the employee’s District duties. A District employee, before acting in a manner which might impinge on any fiduciary duty, may disclose the nature of the private interest which would create a conflict. Care should be taken to avoid using or avoid the appearance of using official positions and confidential information for personal advantage or gain.
Further, employees are expected to hold confidential all information deemed not to be for public consumption as determined by state law and Board policy. Employees also will respect the confidentiality of people served in the course of an employee’s duties and use information gained in a responsible manner. The Board may discipline, up to and including discharge, any employee who discloses confidential and/or private information learned during the course of the employee’s duties or learned as a result of the employee’s participation in a closed (executive) session of the Board. Discretion should be used even within the school system’s own network of communication and confidential information should only be communicated on a need to know basis.
Administrators and supervisors may set forth specific rules and regulations governing staff conduct on the job within a particular building.
Legal Reference: § 20-1-201, MCA School officers not to act as agents
Title 2, Chapter 2, Part 1 Standards of Conduct
§ 39-2-102, MCA What belongs to employer
Conflicts of Interest
Employees shall refrain from any activity that can be reasonably seen as creating a conflict of interest with their duties and responsibilities as employees of the District.
The following conduct is specifically prohibited:
- Using public time, facilities, equipment, supplies, personnel, or funds for the employee's private business purposes;
- Engaging in a substantial financial transaction for the employee's private business purposes with a person whom the employee inspects or supervises in the course of official duties;
- Assisting any person for a fee or other compensation in obtaining a contract, claim, license, or other economic benefit from the District;
- Assisting any person for a contingent fee in obtaining a contract, claim, license, or other economic benefit from the District;
- Performing an official act directly and substantially affecting to its economic benefit a business or other undertaking in which the employee either has a substantial financial interest or is engaged as counsel, consultant, representative, or agent; or
- Soliciting or accepting employment, or engaging in negotiations or meetings to consider employment, with a person whom the employee regulates in the course of official duties without first giving written notification to the employee's supervisor and Superintendent.
Employees who violate this policy will be subject to disciplinary action, up to and including termination from employment.
Legal Reference: § 2-2-121, MCA Rules of conduct for public officers and public employees
Goals
The administrative staff’s primary functions are to manage the District and to facilitate the implementation of a quality educational program. The administrative staff is responsible for:
1. Effectively and efficiently managing the District’s programs, budget, and buildings;
2. Providing educational leadership;
3. Developing and maintaining channels for communication between the school system and community;
4. Developing procedures and regulations which implement Board policy; and
5. Planning, organizing, implementing, and evaluating educational programs.
Legal references: Mont. Const. Art. X, §8
§ 20-3-324, MCA Powers and Duties
§ 20-4-402, MCA Duties of district superintendent
10.55.701, ARM Board of Trustees
Superintendent – Duties and Authority
Duties and Authorities
The Superintendent is the District’s executive officer and is responsible for the administration and management of District schools, in accordance with Board policies and directives and state and federal law. The Superintendent is authorized to develop administrative procedures to implement Board policy and to delegate duties and responsibilities; however, delegation of a power or duty does not relieve the Superintendent of responsibility for that which was delegated.
Qualifications and Appointment
The Superintendent will have the experience and skills necessary to work effectively with the Board, District employees, students, and the community. The Superintendent must be appropriately licensed and endorsed in accordance with state statutes and Board of Public Education rules; or considered appropriately assigned if the Superintendent is enrolled in an internship program as defined in ARM 10.55.602 and meets the requirements of ARM 10.55.607 and ARM 10.55.702. When the office of the Superintendent becomes vacant, the Board shall determine the appropriate process for filling that vacancy, and shall appoint the individual chosen by the majority of the Board.
Administrative Work Year
The Superintendents’ work year will correspond with the District’s fiscal year, unless otherwise stated in an employment agreement. In addition to legal holidays, the Superintendent will have vacation periods as approved by the Board of Trustees. [The Board of Trustees must give the Superintendent prior approval for time away from the District as included in this policy.]
Evaluation
At least annually, and in accordance with the Superintendent’s contract, the Board will evaluate the performance of the Superintendent, using standards and objectives developed by the Superintendent and the Board, which are consistent with District mission and goal statements. A specific time shall be designated for a formal evaluation session. The evaluation will include a discussion of professional strengths, as well as performance areas needing improvement.
Compensation and Benefits
The Board and the Superintendent will enter into a contract which conforms to this policy and state law. The contract will govern the employment relationship between the Board and the Superintendent.
Legal Reference: § 20-4-402, MCADuties of district superintendent or county high school principal
ARM 10.55.602 Definition of internship
ARM 10.55.607 Internships
ARM 10.55.702 Licensure and Duties of District Administrator – District Superintendent
| The Board will: | The Superintendent will: |
|-------------------------------------------------------------------------------|----------------------------------------------------------------------------------------|
| Select the Superintendent and delegate to him/her all necessary administrative powers. | Serve as chief executive officer of the District. |
| Adopt policies for the operations of the school system and review administrative procedures. | Recommend policies or policy changes to the Board and develop procedures which implement Board policy. |
| Formulate a statement of goals reflecting the philosophy of the District. | Provide leadership in the development, operation, supervision, and evaluation of the educational program. |
| Adopt annual objectives for improvement of the District. | Recommend annual objectives for improvement of the District. |
| Approve courses of study. | Recommend courses of study. |
| Approve textbooks. | Recommend textbooks. |
| Approve the annual budget. | Prepare and submit the annual budget. |
| Employ certificated and classified staff, in its discretion, upon recommendation of the Superintendent. | Recommend candidates for employment as certificated and classified staff. |
| Authorize the allocation of certificated and classified staff. | Recommend staff needs based on student enrollment, direct and assign teachers and other employees of the schools under his/her supervision; shall organize, reorganize, and arrange the administrative and supervisory staff, including instruction and business affairs, as best serves the District, subject to the approval of the Board. |
| Approve contracts for major construction, remodeling, or maintenance. | Recommend contracts for major construction, remodeling, or maintenance. |
| Approve payment of vouchers and payroll. | Recommend payment of vouchers and payroll. |
| The Board will: | The Superintendent will: |
|-------------------------------------------------------------------------------|----------------------------------------------------------------------------------------|
| Approve proposed major changes of school plant and facilities. | Prepare reports regarding school plant and facilities needs. |
| Approve collective bargaining agreements. | Supervise negotiation of collective bargaining agreements. |
| Assure that appropriate criteria and processes for evaluating staff are in | Establish criteria and processes for evaluating staff. |
| place. | |
| Appoint citizens and staff to serve on special Board committees, if necessary.| Recommend formation of *ad hoc* citizens’ committees. |
| Conduct regular meetings. | As necessary, attend all Board meetings and all Board and citizen committee meetings, |
| | serve as an ex-officio member of all Board committees, and provide administrative |
| | recommendations on each item of business considered by each of these groups. |
| Serve as final arbitrator for staff, citizens, and students. | Inform the Board of appeals and implement any such forthcoming Board decisions. |
| Promptly refer to the Superintendent all criticisms, complaints, and | Respond and take action on all criticism, complaints, and suggestions, as appropriate.|
| suggestions called to its attention. | |
| Authorize the ongoing professional enrichment of its administrative leader, | Undertake consultative work, speaking engagements, writing, lecturing, or other |
| as feasible. | professional duties and obligations. |
| Approve appropriate District expenditures recommended by the Superintendent | Diligently investigate and make purchases that benefit the most efficient and |
| for the purpose of ongoing District operations. | functional operation of the District. |
© MTSBA 2016-2017
Whenever a nonresident student is to be enrolled in the District, either by choice or by placement, an attendance agreement must be filed with the Board. Terms of the agreement must include tuition rate, the party responsible for paying tuition and the schedule of payment, transportation charges, if any, and the party responsible for paying transportation costs.
Tuition rates shall be determined annually, consistent with Montana law and approved by the Board.
Cross Reference: 3141 Discretionary Nonresident Student Attendance Policy
Legal Reference: § 20-5-314, MCA Reciprocal attendance agreement with adjoining state or province
§ 20-5-320, MCA Attendance with discretionary approval
§ 20-5-321, MCA Attendance with mandatory approval – tuition and transportation
§ 20-5-322, MCA Residency determination – notification – appeal for attendance agreement
§ 20-5-323, MCA Tuition and transportation rates
10.10.301, ARM Calculating Tuition Rates
Budget and Program Planning
The annual budget is evidence of the Board’s commitment to the objectives of the instruction programs. The budget supports immediate and long-range goals and established priorities within all areas – instructional, noninstructional, and administrative programs.
Before presentation of a proposed budget for adoption, the Superintendent and district clerk will prepare, for the Board’s consideration, recommendations (with supporting documentation) designed to meet the needs of students, within the limits of anticipated revenues.
Budget Implementation and Execution
Once adopted by the Board, the operating budget shall be administered by the Superintendent’s designees. All actions of the Superintendent/designees in executing programs and/or activities delineated in that budget are authorized according to these provisions:
1. Expenditure of funds for employment and assignment of staff shall meet legal requirements of the state of Montana and adopted Board policies.
2. Funds held for contingencies may not be expended without Board approval.
3. A listing of warrants describing goods and/or services for which payment has been made must be presented for Board ratification each month.
4. Purchases will be made according to the legal requirements of the state of Montana and adopted Board policy.
Legal Reference: § 20-3-332, MCA Personal immunity of trustees
§ 20-9-213, MCA Duties of trustees
Purchasing
The Board adopts all applicable provisions of the Montana Procurement Act.
Authorization and Control
The Superintendent is authorized to direct expenditures and purchases within limits of the detailed annual budget for the school year. The Board must approve purchase of capital outlay items, when the aggregate total of a requisition exceeds $15,000, except the Superintendent shall have the authority to make capital outlay purchases without advance approval when necessary to protect the interests of the District or the health and safety of staff or students. The Superintendent will establish requisition and purchase order procedures to control and maintain proper accounting of expenditure of funds. Staff who obligate the District without proper authorization may be held personally responsible for payment of such obligations.
Bids and Contracts
Whenever it is in the interest of the District, the District will execute a contract for any building furnishing, repairing, purchasing or other work for the benefit of the District. If the sum of the contract or work exceeds Eighty Thousand Dollars ($80,000), the District will call for formal bids by issuing public notice as specified in statute. Specifications will be prepared and made available to all vendors interested in submitting a bid. The contract shall be awarded to the lowest responsible bidder, except that the trustees may reject any or all bids. The Board, in making a determination as to which vendor is the lowest responsible bidder, will take into consideration not only the amount of each bid, but will also consider the skill, ability, and integrity of a vendor to do faithful, conscientious work and to promptly fulfill the contract according to its letter and spirit. Bidding requirements do not apply to a registered professional engineer, surveyor, real estate appraiser, or registered architect; a physician, dentist, pharmacist, or other medical, dental, or health care provider; an attorney; a consulting actuary; a private investigator licensed by any jurisdiction; a claims adjuster; or an accountant licensed under Title 37, Chapter 50.
Advertisement for bid must be made once each week for two (2) consecutive weeks, and a second (2nd) publication must be made not less than five (5) nor more than twelve (12) days before consideration of bids.
The Superintendent will establish bidding and contract-awarding procedures. Bid procedures will be waived only as specified in statute. Any contract required to be let for bid shall contain language to the following effect:
In making a determination as to which vendor is the lowest responsible bidder, if any, the District will take into consideration not only the pecuniary ability of a vendor to perform the contract, but will also consider the skill, ability, and integrity of a vendor to do faithful, conscientious work and promptly fulfill the contract according to its letter and spirit. References must be provided and will be contacted. The District further reserves the right to contact others with whom a vendor has conducted business, in addition to those listed as references, in determining whether a vendor is the lowest responsible bidder. Additional information and/or inquiries into a vendor’s skill, ability, and integrity are set forth in the bid specifications.
Cooperative Purchasing
The District may enter into cooperative purchasing contracts with one or more districts for procurement of supplies or services. A district participating in a cooperative purchasing group may purchase supplies and services through the group without complying with the provisions of 20-9-204(3), MCA if the cooperative purchasing group has a publicly available master list of items available with pricing included and provides an opportunity at least twice yearly for any vendor, including a Montana vendor, to compete, based on a lowest responsible bidder standard, for inclusion of the vendor’s supplies and services on the cooperative purchasing group’s master list.
Legal Reference: §§ 18-1-101, et seq., MCA Preferences and General Matters
§§ 18-1-201, et seq., MCA Bid Security
§ 20-9-204, MCA Conflicts of interests, letting contracts, and calling for bids - exceptions
§ 20-10-110, MCA School Bus Purchases – contracts- bids
Debon v. City of Glasgow, 305 Mont. 391 (2001)
§ 18-4-121, et seq., MCA Montana Procurement Act
§ 18-4-303, MCA Competitive Sealed Bidding
§ 18-4-306, MCA Sole Source Procurement--records
2.5.604, ARM Sole Source Procurement
District Safety
For purposes of this policy, “disaster means the occurrence or imminent threat of damage, injury, or loss of life or property”.
The Board recognizes that safety and health standards should be incorporated into all aspects of the operation of the District. Rules for safety and prevention of accidents will be posted in compliance with the Montana Safety Culture Act and the Montana Safety Act. Injuries and accidents will be reported to the District office.
The board of trustees has identified the following local hazards that exist within the boundaries of its school district: Fire, Earthquake, Civil Defense, Tornadoes, Intruders, Firearms.
The Superintendent shall design and incorporate drills in its school safety or emergency operations plan to address the above stated hazards. The trustees shall certify to the office of public instruction that a school safety or emergency operations plan has been adopted. This plan and procedures will be discussed and distributed to each teacher at the beginning of each school year. There will be at least eight (8) disaster drills a year in a school. All teachers will discuss safety drill procedures with their class at the beginning of each year and will have them posted in a conspicuous place next to the exit door. Drills must be held at different hours of the day or evening to avoid distinction between drills and actual disasters. A record will be kept of all fire drills.
The trustees shall review the school safety or emergency operations plan periodically and update the plan as determined necessary by the trustees based on changing circumstances pertaining to school safety. Once the trustees have made the certification to the office of public instruction, the trustees may transfer funds pursuant to Section 2, 20-1-401, MCA to make improvements to school safety and security.
The Superintendent will develop safety and health standards which comply with the Montana Safety Culture Act.
School Closure
The Superintendent is authorized to close the schools in the event of hazardous weather or other emergencies that threaten the safety of students, staff members, or school property. Specific procedures for school closures may be found in the District’s Safety Plan.
Hazardous and Infectious Materials
The Superintendent shall take all reasonable measures to protect the safety of District personnel, students, and visitors on District premises from risks associated with hazardous materials, including pesticide, and infectious materials. Specific procedures for handling hazardous or infectious materials may be found in the District’s Safety Plan.
| Legal Reference: | § 20-1-401, MCA |
|------------------|-----------------|
| | § 20-1-402, MCA |
| | §§ 39-71-1501, et seq., MCA |
Disaster drills to be conducted regularly – districts to identify disaster risks and adopt school safety plan
Number of disaster drills required – time of drills to vary
Montana Safety Culture Act |
THIS POINT
NEWSLETTER
A PUBLICATION OF THE POINT RICHMOND HISTORY ASSOCIATION
Vol. II, No. 1
Summer, 1983
75 cents
HISTORY ASSOCIATION NEWS
HISTORY BESIDES THE POINT
POINTS IN THE PAST
AN INTERVIEW with ELEANOR HURLEY
MASQUERS MELODRAMA
WASHINGTON WIND-UP
IT WAS WRITTEN — Churches
About POINTERS at this TIME
SUMMER - What's in it for KIDS?
BUSINESS ASSOCIATION NEWS
UPDATE—INDIAN STATUE
BIRTHDAYS, POINTS IN THE FUTURE
in time
LOOKING BACK —
THE ANNUAL MEETING
Beginning with an absolutely elegant pot-luck luncheon in the beautifully redecorated Linsley Hall, the meeting was thoroughly enjoyable. Approximately ninety people attended, feasting on food that confirmed the theory that some of the best cooks in the West live in Point Richmond; viewing the "Richmond Story", a film that depicted the war years in Richmond; and electing the officers for the coming year: President: Donna Roselius; Vice President and Membership Chairman: Pam Wilson; Secretary: Judy Spediacci; Treasurer: Michelle Brown; Recording Secretary: Mid Dornan; Archives Chairman: Teresa Albro; Publicity Chairman: Liz McDonald; Community Relations Chairman: Lucretia Edwards; Honorary member: Trannie Dornan.
Mayor Tom Corcoran and Councilman elect David MacDiarmid presented the Dornan family with a proclamation declaring the road from the Tunnel south to Brickyard Cove Road "Dornan Drive".
Those who went on the tour of Miller-Knox Park were delighted with what they learned from park naturalists Savina Fazio and Katie Colbey. Though not many people attended the other tours, a beautiful videotaped tour of the Methodist Church was produced.
THE YEAR PAST...
Our first year has been a good one — so many people were interested enough to become members that it made possible this publication; the beginning of a fine set of photographs and documents for our archives; video-taped meetings with older residents whose memories have provided added historical information; a donation to the restoration of the Indian statue in the Triangle; and the dedication of Dornan Drive.
Many thanks to those of you who have added information to our publication — through interviews and written articles and letters. When we have gathered sufficient material, a definitive book on Point Richmond history will be possible, thanks to your participation.
REPORT FROM THE
ARCHIVES COMMITTEE...
The Chevron photo lab is making great progress reproducing the first series of photos from the Church collection. In addition to copying the photos, the photographers will provide us with negatives and proof sheets, organized and combined in binders. We really appreciate the efforts of the Chevron photographers, Jack Coombs and Alan "Mac" McKeegan, and anxiously await the arrival of this first series.
Plans for the next few months include further indexing of "This Point in Time", working to establish archival procedure and storage, and locating more historical information. We've made progress in all these areas this year. Many thanks to all who have helped.
—Teresa Albro
LOOKING AHEAD —
SUMMER...
There will be no newsletter in July and August, giving us a summer break, and time to plan a new yearful of activities. Please remember to send in your membership for the coming year, when it comes due.
SEPTEMBER...
The September meeting will be a must for those interested in memorabilia — old handwritten records of the First Bank of Richmond will be on display, brought by Sherry Hartynyk, who found them in a back room when she first opened her shop in the old bank building. The meeting is planned for Thursday, September 22 at 7:30. Daylight saving time will still be in effect, but for winter meetings, daytime programs will be planned.
A raffle is planned for the September meeting, with prizes so far including a beautiful jewelry picture by Clarice Stribley and a sketch of your house and note cards with the sketch printed on it, by Donna Roselius. Tickets are available at the Richmond Supply Company on West Richmond Avenue. Proceeds will allow us to have a special sign made for Dornan Drive.
If you have ideas or requests for future meetings or projects, please let us know!
BESIDES THE POINT — THERE'S HISTORY
Members of the Richmond, Point Richmond, El Cerrito and Pinole History and Museum organizations will be hosted by the San Pablo Historical and Museum Society at Maple Hall on June 23. Any of our members interested in an informal get together and idea-sharing session should call 235-4222 for further information.
THE RICHMOND MUSEUM has a 'fantastic' exhibit of fans in the Seaver Room, through August 7. The East Bay Fan Guild, one of two fan guilds in the world (the other being in London, England), is providing the collection, which includes fans from France, England, India and Africa; old and new, of exotic materials— ostrich plumes, venetian lace, silk, carved bone, mother-of-pearl — in all, the exhibit is a rare treat to have so near, and difficult to describe in words. Ask the members of the West Side Improvement Club, who recently took a tour of the Museum and enjoyed their slide show. The Fan Exhibit was a special treat, and worth a special visit, or two or three.
Regular Museum hours are 10 to 4 on Saturday and Sunday.
70 YEARS AGO...
Attorneys of the Tewksbury and Mintzner estates have notified the City Engineer that Richmond can expect to secure the necessary property for the Castro Street extension. "The new street (extending north across the marshland from Standard Avenue) will be the first highway direct from the West side to the northern city limits and will give an excellent route between that section and the western waterfront and will also have a tendency to take away much of the heavy traffic that now congests on Standard Avenue and the West Side business streets."
—June 3, 1913
With a terrific crash that could be heard all over the West Side business section, the Santa Fe's limited to Los Angeles crashed into a trolley car which was stalled on the railroad tracks at Standard Avenue. As the train approached the stalled car the "six or seven passengers seeing that a collision was impending and that the street car would be demolished like an egg shell, hastily scrambled off and fled off the railroad right-of-way."
Santa Fe brakeman John Lowe, in his heroic effort to stop the train, "was pitched headlong against the side of the street car ... crushed... Lowe had been running out of Richmond but a few weeks. It was but a month ago that he was married in Fresno ... (and his bride) arrived here but last week to prepare a cozy home for her husband."
—June 5, 1913
"Failure on the part of many children to observe the curfew law of the city, which provides that all youngsters must be in their homes after 8 o'clock with the ringing of the curfew bell, and must keep off the business streets after that hour, has lead chief of Police, J.P. Arnold, to issue instructions to his officers to pick up any loiterers who may be found disregarding the provisions of the city ordinance, and hold them at the local police station until their parents can be notified."
—June 11, 1913
"The first spadesful of earth from the site of what will be the western portal of the proposed municipal tunnel were taken on Sunday morning (June 15) by a number of the prominent members of the Richmond Commercial Club" in defiance of Santa Fe's opposition to the city's project. The "shovel brigade" included such notables as H. W. Wernse, Julius Stiefvater, Richard and Frank Spiersch, W.E. Luce and Andrew Trautvetter.
—June 17, 1913
"Work has resumed upon the flatiron building at the junction of Washington Avenue and Park Place after an agreement between the owner and the City Council over the disputed sidewalk space between the proposed extension of the gore of the building and the Indian fountain. Under the agreement there will be a space of twelve feet in front of the gore."
—June 18, 1913
"'CALWA' Is Largest Wine Company In The Universe"
"The company (California Wine Association), within the next day or so will issue a formal statement relative to its plans of extension and absorptions of minor companies scattered throughout the state. The activity of the entire corporation will be centered here and greatly increased."
—June 24, 1913
60 YEARS AGO...
The Richmond Pressed Brick Company (now in ruins near Brickyard Cove) announced the purchase of 49 acres of land from the John Nicholl Company for $30,000 in order to expand the plant. "The finest fancy facing bricks produced anywhere in the country are manufactured at this plant. They are shipped in large quantity to San Francisco and Oakland and other California cities and to adjoining states. The celebrated 'Richmond Red', getting its beautiful color — not duplicated anywhere else — from the mineral in the clay at the site, is shipped in great quantity all over the coast."
—June 1 & 4, 1923
"Kozy Kove will be one of the popular places here on July 3 and 4. Manager Fred Crow announced today that there would be dancing at the Kove on the evening of July 3 and a barbecue and dance on the Fourth. The barbecue will be free and will be served from two to six in the afternoon. Shet Snyder's orchestra of Oakland will provide music for the dancing."
—June 23, 1923
50 YEARS AGO...
At last night's City Council meeting "Twenty-three residents of the West Side asked that Pacific, Ocean, Golden Gate, Tewksbury, Marine, Lobos, Harrison and Contra Costa Avenues and Western Drive be oiled and graveled." (Harrison Avenue, no longer in existence, was parallel to Marine and was located where Western now turns around into Ocean.)
—June 6, 1933
"The schedule for swim days for school children at the Richmond Municipal Natatorium for the summer vacation was announced today... Continuing the same schedule as is followed while school is in session, the regular hours on Wednesdays will be reserved for girls, and on Thursdays for boys... (and) open to both boys and girls on Mondays."
—June 7, 1933
"Contra Costa County and Richmond voters yesterday followed closely the trend of state voting on repeal of the Eighteenth Amendment (prohibition):"
Consolidated precinct no. 9, voting at the Point Masonic Hall: yes 236; no 46.
Consolidated precinct no. 10, voting at 25 Park Place: yes 178; no 28.
—June 28, 1933
—Teresa Albro
THE TOPEKA
Wm. ELLIS, Proprietor.
Wines, Liquors and Cigars. Ice cold steam and beer Beer. Metropole, Old Judge and J. H. Cutter Whiskeys. Mixed drinks a specialty.
Washington Ave. - Richmond
40 YEARS AGO . . .
EATING
"Who is to blame for the scandalous facilities — or rather the lack of facilities — to provide the working men and women of the Richmond shipyards with adequate lunches?
"This week the State Department of Public Health conducted an investigation on the condition of box lunches sold outside the Richmond shipyards when a woman worker protested that some of her lunch she had purchased that morning was rotten at noon time.
"It has been pointed out by a committee of the Bay Cities Metal Trades Council that the lack of proper and adequate eating facilities at the Richmond shipyards 'are the worst in the entire Bay Area.'
"There are some cafeteria systems in operation at some of the yards, but there are no arrangements to properly feed all of the thousands of workers who want and should have hot lunches — and all they want to eat — during their lunch periods.
"Most of them are forced to buy their box lunches in the morning while on their way to work. Others come outside the gates at noon time to purchase the cold, and often unpalatable lunches that are sold at various places around the yards.
"Numerous war plants throughout the nation today have recognized the need and the advantages to be derived from providing their workers with hot lunches. The service does not have to be free, as it is in some plants, but it should be available to all those who want that service.
"The Richmond Machinists Union has protested and protested to the shipyards. The Union has requested time after time, that more eating facilities be provided the workers.
"Recently the Maritime Commission announced that construction had begun on a cafeteria opposite the gates of Yard no. 4. It will be several weeks before the cafeteria is opened for business. And it will not begin to meet the demand that is growing among yard workers for better and more adequate lunch time food.
"Every wartime worker in the area should have restaurant and lunch counter facilities — or an adequate lunch — available as near his job as is humanly possible."
—June, 1943
30 YEARS AGO . . .
"Richmond Dazzled By Atom Light"
"Many residents of Richmond and the San Francisco bay area saw the flash of what was described as the most powerful atomic explosion ever detonated in the United States. It was set off this morning at Yucca Flat, Nevada, approximately 375 miles distant.
"Some bay area residents also claimed they felt the concussion. And, up in Sonoma County, there were reports it rattled windows. Some Sonoma folks thought it was an earthquake.
"The A-bomb was detonated at 4:15 a.m. (PDT).
"A San Francisco photographer who climbed Coit Tower to photograph the event, said, "For a couple of seconds the whole East Bay was lighted by a pure white light. It was the brightest I've ever seen. Gradually it turned to a reddish glow. The whole thing lasted about five seconds."
"Such was the brilliance of the 11th and final atom shot of the Spring series that one excited Richmond resident phoned the Independent and declared, "I think there's been some sort of an explosion at Port Chicago. The sky was alive with light."
"The resident said that a rumble was clearly audible — and urged Independent
reporters to check for a possible blast at the ammunition depot.
"The Independent switchboard was flooded with callers asking information on the awesome flash. Police reported several requests for an explanation."
—Richmond Independent, June 4, 1953
20 YEARS AGO . . .
"Old Fashioned 4th Is Planned At Point"
"An old fashioned community Fourth of July is planned by Richmond Chapter of the American Field service in the civic center at Point Richmond from 10 a.m. to midnight. Streets will be roped off and the first number on the program will be a kiddie costume parade for youngsters through the fourth grade. This will be held under the supervision of the Parks and Recreation Department. Prizes will be awarded and those wishing to enter are urged to fill out the form below and mail to the Richmond Parks and Recreation Department. Each child must be accompanied by a parent.
"The Richmond Municipal Band will play and Mrs. Basil Cherniak will sing the Star Spangled Banner.
"One of the principle features of the celebration will be the numerous booths offering food and games. Mrs. John Knox will be in charge of the food booths. There will be a special booth having for sale Norwegian cookies under the sponsorship of the Sons of Norway.
"The Richmond Museum Association under the guidance of Thomas Ryan is planning a display of historical items pertaining to early day Richmond.
"Speeches are planned by Assemblyman John Knox and the mayor of Richmond. A baseball game will take place between the Point Richmond Santa Fe Junior Pony League Team and the Point Richmond All-Stars.
"One act plays will be offered in the Masquers' Playhouse at intervals during the day under the direction of Mrs. Basil Cherniak.
"Other attractions will be announced later. They day's events are designed to provide entertainment for the whole family.
"Through the American Field Service International Scholarships, students from more than 50 foreign countries attended American secondary schools in more than 1600 towns for a school year of study, and American teenagers from practically every state in the union study and live with families abroad."
—Richmond Independent, June 12, 1963
—Pam Wilson
Elsie & Elsie
Headquarters for the most complete line of Ladies' and Gents furnishings in Richmond. Special bargains in all summer goods and fine Millinery.
Full line of Ladies' and Children's shoes also Friedmans Shelby, R. P. Smith & Sons, and Dr. A. Reed shoes for men.
Prices always the best, at the old reliable house.
Elsie & Elsie, Washington Ave.
One of the people in the Point who can answer 'Yes' to the question, 'Did your mother come from Ireland?' is Eleanor Hurley. So did her father. They came from the same county but met later in Crockett. Together, they moved to San Francisco and started a family. A son, who died later in the first big flu epidemic, was born just prior to the '06 earthquake. Shortly after the earthquake, the family moved to Oakland, where Eleanor, the second child, attended her first two years of school. Eleanor has a younger brother who now lives across the street from her on Idaho Street.
In about 1915, the Hurleys moved to Point Richmond, renting a house that was on the corner now occupied by the Santa Fe Market. Mr. Whiteside later built his grocery store there. She recollects that, besides Mr. Whiteside, Charlie Rieger, who had had a butcher shop a block up on West Richmond Avenue was the butcher, and an Italian man was in charge of the produce department. Above Charlie's meat counter was a big sign, stating, "Nobody can please everybody — If you don't believe it, start a meat market."
Eleanor recalls that her family wasn't well to do; but they, as many people of that era, got along: "We may have had holes in our shoes, but we never had holes in our stomachs," she said, with a smile that makes one think that Leprechauns are not just part of Irish folk history, but part of the Irish personality.
The original Washington School, when Eleanor attended, included the eighth grade, and the graduation ceremony was a more elaborate event than that involved in sixth grade promotions now. Her class put on a big program, and, as she recalls, presented an historical play about Captain John Smith and Pocohantas. Reading and writing were of prime importance in those days, she says, and noting the coming year's program at Washington, which will emphasize reading and writing, it brought to mind the old adage, "The more things change, the more they stay the same."
The 'warming bench' at Washington School was an important part of the discipline. It was a long bench — about eight feet in length — and it sat outside the Principal's office on the first floor. Anyone who got out of line was sent to the Principal, Miss Ashfield, but never got to see her right away.
They sat on the 'warming bench' contemplating their sins, so by the time they were asked inside her office, they were 'prepared for anything'. But, as Eleanor said, "Oh, she never did anything. — she didn't have to. She knew how to handle children."
In comparison to the noise and activity levels in today's schools, a description of the routine at old Washington School sounds very regimented. Students lined up and recited the Pledge of Allegiance, then marched into school, class by class. However, Eleanor says, students didn't feel regimented.
A member of the famous RUHS graduating class of '25 (that included other Point notables as Charlotte Wood, Kaarin Peterson, Gladys O'Hara, August Bernes and Richard Paasch), Eleanor has a 1975 certificate of the Golden Anniversary reunion of the class.
A member of the girls' basketball team, of the Commissioners (in charge of athletic events), of Girls' Hi Y and the Drama Club, Eleanor was noted in the high school yearbook as being blonde and athletic (we would add, very attractive).
High school requirements at the time included three years of English, math and a language; a one-year combination of U.S. history and economics; one year of science; and physical education (exercises, volleyball basketball and tennis). Eleanor knew she would not be going to college, so she took a business course, which included bookkeeping, stenography, typing and business English. Businesses in the area often offered jobs to seniors, who started to work before they graduated. Eleanor first worked for Stege Lumber Company (now Hill Lumber) in Albany for about a year. She got "itchy feet", and went to work in San Francisco for an engineering company in the accounting department for seven years. The Depression began during that time, and after seven years she was making slightly less than when she was hired. However, as she says, she was lucky, because she had a job. She decided to take a Civil Service examination, and was hired by the Department of Agriculture in Washington, D.C. Roosevelt's 'Brain Trust' program was active, and Eleanor had the opportunity to work for representatives of various countries, who were studying U.S. Agricultural techniques. After a couple of years she transferred back to California, because her mother was in poor health. She worked in the Phelan Building in San Francisco, except for about a month in Oregon, when she went with a group assigned the task of setting rates for the huge Oregon dam, the Bonneville Dam, completed in 1940.
Eleanor transferred to the Western Research Labs, built by the Department of Agriculture in Albany to find markets and uses for surplus agricultural products. Because of the war, their research turned to fast freezing and dehydrating foods, alternative sources of sugar, substitutes for rubber and oil base paint, and development of plastics. By that time she had a car, but traveling to work in Albany was impossible by car, because not enough gas was available. Buses, whose first priority was to get shipyard workers to their destinations, were sporadic at best. Hour waits for buses were not unusual.
Deciding to work closer to home, she applied at Standard Oil. With so many young men in the armed services or in war related jobs, the saying was that, 'if you could stand up without leaning against a wall, they'd hire you'. And, as she said, she guessed that "after all that moving around I should know something," so she worked for 26 years at Standard Oil and retired in 1965.
In 1953, Eleanor bought her present home on Idaho Street from a Mrs. Wood,
whose husband had built it and the house next door. And now, as she says, she has settled down 'into a delightful rut', with her two chihuahuas and a lovely yard. Her rut is an active one, though, because she never has stopped learning—she took a course in dressmaking and tailoring at Contra Costa College, and was impressed that so many courses were available to residents, without fees. Courses in appliance repair, dental hygiene, nursing and culinary arts are among the practical courses offered. As she points out, though, the ability to read and write is basic to all the courses.
Eleanor says the Point has changed less than most areas—it has a stability not found in many places in California. It never developed a large shopping area. During the '20's when the economy was booming, many of the more affluent people moved to the Mira Vista hills, and then the Depression arrived, slowing progress. Like Eleanor, perhaps, the Point has settled into a 'delightful rut'—busy but not bustling, growing but not bulging.
—Donna Roselius
MELODRAMA for summer at the MASQUERS
A cast of thousands—or as many as will fit into the Masquers Playhouse—will provide a summer full of entertainment, with "Fate's Fickle Friend" (or What Really Happened to Little Nell), and between-the-scenes olio acts. From July 1 through August 6, Friday and Saturday night performances, and two Sunday matinees will be presented.
If you're ready to make plans for fall—"The Skin of Our Teeth" by Thornton Wilder will begin playing on September 9, and continue on Friday and Saturday evenings through October 15.
WASHINGTON (Elementary School) WIND-UP
An active year at Washington School was evident in their end-of-year activities. Kids and parents were busy preparing for special events; teachers came early and left late, as programs culminated the year's work. An hour-long play was presented by students, under the direction of Mrs. Politeau and Miss Johnson—by now a tradition—in the usual unusually professional style.
Awards were proudly displayed by students after the Awards Assembly. A Track and Field Meet involved students and parents.
The exuberant atmosphere reflected an attitude of pride in accomplishment rather than relief that the year would soon end—to the credit of the teachers and staff, and certainly of the Principal, Mr. Petroni.
POINT RICHMOND BAPTIST CHURCH NOTES...
When our beloved village was being established some eighty years ago, it would appear that the earliest settlers felt their first needs were: [1] A home and means to maintain it; [2] A church of their conviction; and [3] A public school for their children. The oldest pictures of the Point show all four churches either completed or under construction — the Methodist Church, the Baptist Church, Our Lady of Mercy Catholic Church and Trinity Episcopal Church. All these structures still stand in good repair and regular usage. The Episcopal Church has been carefully restored and redecorated and is now a hall rented out for community and social events; however, any member of the original congregation there, if they returned, would identify their old church and be pleased with its appearance.
Church records are widely accepted as legal documents, as you are aware if you’ve made a study of your genealogy. We were able recently to furnish proof of a baptism in this church that took place over forty years ago. Our records, though incomplete, go back much further.
We are impressed anew while delving into old file folders with the time and effort the early Point people put into their church, and particularly pleasing are records of a joint effort by the Point Churches in order to attain a certain goal. Below is excerpted from a program dated July 25, 1971 (not very old, but a good indication that our churches still cooperate):
Scripture Lesson (Romans 8:35-39) by Rev. Richard W. Smith First United Methodist Church
Pastoral Prayer by Rev. Evan Anderson Point Richmond Baptist Church
Sermon: The Importance of Being You by Rev. Fr. Richard Prendeville, Our Lady of Mercy Catholic Church
Public school has been held in at least four buildings here in the Point. The Baptist, Methodist and Catholic Churches surely outdate any public buildings still being used for their intended purposes.
Roy Jones
POINT METHODIST CHURCH...
The following is a continuation of the first records of the Methodist Church in Point Richmond. The Board minutes began in Vol. I, no. 4. They reflect the developing and building of the first church in the Point, and dealt with problems of heating, lighting, salaries, etc. Is any reader familiar with the ‘Reynolds System’ as related to finance? Or do you remember Sister Barrett the revivalist? Comments on records, which are printed as written, are always welcomed.
Point Richmond, September 28, 1903
Official Board met at church at 8 p.m. Bro Rich in the chair. The meeting was opened with Prayer by Bro Rich.
Those present were Bro Rich, Odell, Dahl, Lester, Bly and Sister Bly.
Bro Rich was appointed a committee of one to see about the tin water drain from the roof and have same replaced.
Bro Dahl was appointed a committee to see about ventilating the church and have same done as proposed.
It was moved and seconded that we adopt the Reynolds system in part for our financial system.
As Sister Barrett was coming among us to hold revival services it was thought best to take up collections occasionally and also have a subscription paper for those that were willing to subscribe and the Sunday Evenings collections while she was here.
Sister Adams had offered her a room at her house and quite a number had offered her Board. They were Sisters Brown, Lester, Bly, Rich.
Nothing further the meeting adjourned.
Jas. C. Bly, Secy
Pt. Richmond Oct 14, 1903
Meeting of the Official Board opened at 8 p.m. at the church with Bro Rich in the chair. Those present were Bros Rich, Odell Younglove, Lester, Bly and Sister Bly.
Bro Rich brought up the question about having meetings Friday evening and letting the Coral Society have Saturday instead; after hearing from those present it was decided not to disturb the Coral Society as all seemed in favor of letting them retain their evening (Friday) and have Friday as Cottage Meeting night.
Next the question of heating the church during the cold winter evenings; there was nothing definite decided upon although there was talk of building a Brick chimney and buying a large jumbo stove. It was laid over until some future time.
There being nothing further the meeting adjourned.
Jas C. Bly, Secy
Pt Richmond Feb 1, 1904
Meeting of the Official Board opened at 8:15 at the church with Bro Rich in the chair. The meeting was opened with prayer by Bro Lester. Those present were Bros Rich, Lester, Odell, Dahl, Bly and Sister Conn.
Sister Conn reported for the Ladies Aid that they intended to pay for the lights — $1.25 and the Janitor — $2.00 a month.
Bro Rich spoke about the oil debt being used to heat the church. Bro Lester reported that the church owed for 3 cans which was all subscribed as follows:
| Name | Amount | Description |
|----------|--------|---------------|
| Bro. Dahl| 1.10 | - oil |
| Bro Lester| 1.10 | - for oil |
| Bro Rich | .50 | |
| Bro Odell| .35 | |
| Sister Conn| .25 | for oil |
| Bro Dahl | 4.00 | for pastor |
Bro Rich spoke about fixing up the church inside painting the ceiling and windows and also extending the platform. A carpet was talked about and quite a number of improvements to beautify and make the church as attractive as possible. Then Mrs. Conn spoke of the Ladies Aid idea of fixing the church. Sister Conn said that if the board was willing the Ladies Aid would like to see about painting the ceiling and getting a carpet for the church. That they had agreed to pay $50 towards the pastor’s salary for the present year. The board thanked the ladies and gave them the power to do what they wished.
It was further moved by Bro Odell, seconded by Bro Lester to extend the platform 2 ft further into the audience room from steps on either side not removing steps. Also to have windows cased and stained and varnished when money is in sight.
Nothing further coming before the meeting it was moved and seconded we adjourn. Carried.
Jas C. Bly, Secy
—Alid Dorman
OUR LADY OF MERCY CHURCH NOTES...
Father Carmello Mifsud made Mothers’ Day particularly special for those attending church, by presenting all the ladies with a fresh carnation, and after mass he invited everyone to breakfast at the Marina Inn.
—Marion Downey
ABOUT POINTERS . . .
AT THIS TIME
WEDDINGS, ANNIVERSARIES, etc.
Married: Pearl Diller (81) and Carl Westman (82), Wednesday, May 3, at the Point Methodist Church. Both had previously been married to their late spouses almost 53 years. Pearl confesses that “Carl is the only gentleman I went with” after her husband died. At one time, Pearl, whose maiden name is Sturm, lived in the Point and sang in the Church choir with Marian Scofield, daughter of a president of Standard Oil. Pearl is an organist and musician.
Carl came to the Point in 1903, and lived on Clarence and Tewksbury Avenue when there were horses and barns in that area. He attended the Standard Avenue School, and recalls that all students were expected to show up neat and clean each day. An enterprising youngster, he arose at 5 a.m. to sell Saturday Evening Post magazines (at five cents per copy) to Standard Oil ‘bosses and foremen’. The refinery at that time had no gates and one could wander through the plant as long as you caused no trouble. On a good day, Carl would sell $5.00 worth of magazines, of which he netted 75 cents. He says he “came up the hard way”, collecting and selling junk and salvaging materials like sacks and rags. He delivered milk for Mr. Silva, and worked from 1916 to 1918 at Standard Oil. He went off to see the world, and later worked 32 years for the Union Oil Company. Recently, he has served as president of the Senior Citizens Center at 25th and Macdonald, and he goes dancing about three nights a week. He admits he has lots of pep, and says his “brain isn’t rusty yet — too much to do ahead!”
Neither of these newlyweds is ‘rusty’ — and they started their marriage in step with the times by having their wedding ceremony recorded.
The Pioneer Bank
BANK OF RICHMOND
GENERAL BANKERS
We Issue Bills of Exchange Available Throughout the World
OFFICERS—Wm. Mintzer, President; Wm. F. Belding, Vice-President; W. Stairley, Cashier.
DIRECTORS—Wm. Mintzer, San Francisco; Wm. F. Belding, San Pablo; John H. Nicholl, Oakland; Harry Ella, Stege; W. Stairley, Point Richmond; John Jose Peres, Richmond; E. M. Tilden, Point Richmond.
Anniversary: The thirtieth wedding anniversary for Rosy and Donna Roselius was (they decided) a time to re-create their wedding ceremony; which they did during a visit at the home of their daughter and son-in-law, Michael and Roni Turner. Donning their original wedding clothes, they repeated and recorded their vows, with a few added chuckles (trying to get rings back on).
GETTING WELL...
Virginia (Mrs. Clare) Bryant is recuperating rapidly at home, but her friends have missed the added inspiration and humor at meetings of the West Side Improvement Club.
Mary Casey is convalescing after suffering a broken hip. The Point won't be quite the same until her lively mind and conversation return to the local activities.
Jack Creed has been receiving radiation treatments, and in two weeks will undergo surgery.
ORGANIZATIONS...
As Sunday School classes are being disbanded for the summer, all teachers at the Methodist Church were honored with special recognition on June 5. Those honored were Linda Mitchell, Jean and Norm Reynolds, Doris and Bob Maske, Alice Thompson, Shirley Butt and Roger Spence.
Wednesday, June 22 is the last meeting of the United Methodist Women until fall. They will meet in Friendship Hall at 6:30 p.m. and ALL CAT BAGS must be present and accounted for and returned to owners. (It is said that Donna Powers looks like a Methodist because she carries a cat bag!)
Boy Scouts of Troop 111 express thanks and appreciation to the community for making their 19th annual pancake breakfast another success. The boys will be experiencing a 50 mile backpack as well as base camping, besides taking a raft trip the first week of June.
-Sid Dornan
SUMMER -
WHAT'S IN IT FOR KIDS?
School's out! Time for camp, trips and our streets resounding with young voices, bicycles, roller skates and general joy.
'What will the kids do this summer' is a perpetual question; one that is even more often heard now with so many single parent and two working parent families. The City of Richmond, the "Y", the East Bay Center for the Performing Arts and the Art Center all offer terrific programs for older kids, but what about the tiny tots? Our own Point Richmond Child Development Center has an answer - a new summer session called TTF, special classes for Two, Three and Four year olds which will meet for two hours on Tuesday, Thursday and Friday.
Each two week session will feature a specific learning focus: Cooking, with recipes designed for young cooks; Language Arts, emphasizing pre-reading development, speech, letters and letter sounds; Science will focus on animals and plants indigenous to our area, care and treatment of small animals and bird studies; The Math class will prepare youngsters for kindergarten with emphasis on counting, the concept of numbers and pre-math skills. Ever popular with young gymnasts will be Tumbling and Movement to build large muscle coordination. And last, but far from least will be Art, allowing little ones to exercise their creativity through multi media art experiences.
These classes are a great opportunity to let the little ones have a variety of experiences during a summer, not to mention giving mom or dad a break. For more information on the six two-week sessions, call 234-6032.
-Judy Spediacci
At the regular June meeting of the Point Richmond Business Association, Richmond City Manager Jim Fales and Public Works Director Larry Loder were featured guests. The luncheon meeting at the Hotel Mac gave Point business people a chance to meet the new City Manager as well as to discuss a number of concerns that will have the attention of the Association over the next few months.
With the Railroad Avenue parking project virtually completed, the group plans an effort to create and maintain an ongoing dialogue with the Santa Fe Railroad. Business people are concerned with the schedule and duration of street blockages by trains as well as the physical condition of the crossings. At present there appears to be a difference in opinion between the City and Santa Fe regarding the legal limit for blockage of traffic at crossings. Mr. Fales promised to have the City Attorney research the law regarding crossings, and several members of the Association are attempting to contact personnel at Santa Fe to see if a joint meeting can be scheduled to discuss items of mutual concern. There is also concern regarding the appearance and intended use of the area being graded east of the tracks running along Railroad Avenue. Will it be another container parking lot, or what?
An effort is also being launched to secure additional directional signage for Point Richmond in general and the business district in particular. Mr. Loder promised to provide and install signs identifying the Point Richmond Historic District if the Association would pay for them. The Association will also apply to the State for recognition of the Historic District as a State landmark so that identifying signage will be authorized when the Hoffman Freeway is completed.
Members of the Association will be guests of Herb Wimmer at Chevron Research Company for the July meeting where they will tour the new facilities and dine at the new cafeteria.
As the economy picks up, the Association is getting a number of new memberships, and the monthly meeting attendance continues to increase with luncheon meetings routinely drawing twenty to thirty persons, or about one-half of the paid membership.
—Tom Butt
POODLE DOG RESTAURANT & EXCHANGE
Next to Curry's Opera House
The swellest eating house in Point Richmond, expert chefs, private family boxes, first class service.
BRIGNONE & DEMARIA, Prop'r's
UPDATE:
THE INDIAN STATUE
AND MINI-PARK
The engineering plans, donated by Interactive Resources have been approved by the City Building Regulations Department, and Chevron U.S.A. has hired a contractor to remove the ten-foot pedestal base from its present site. It will then be sandblasted, its top will be made into a platform, and if all goes well, it will stand in its new home in the Triangle ready for the statue, sometime in June.
The Point Richmond Business Association is planning to dedicate the mini-park in September. Since the artist, Kirk St. Maur, will require several months to execute the statue, the unveiling celebration will take place at a later date.
To create a park setting by September, volunteers will be needed to help with planting, brick work, material gathering, electrical and plumbing hook-ups. On Tuesday, June 28 at 7:30 p.m. all those interested in helping to plan or donating materials or labor are invited to meet at the Roselius home, to finalize the park design and the work schedule. Please call 235-4222 if you have any questions.
Donors to this historic Point Richmond project so far include the following individuals and groups:
The San Francisco Foundation
The City of Richmond
Interactive Resources
West Side Improvement Club
Chevron Research Company
Chevron, U.S.A., Inc.
VanPac Carriers, Inc.
Richmond Sanitary Services
Mayor Tom Corcoran
The Mechanics Bank
Alan Bourke
Santa Fe Market
Supervisor Tom Powers
Point Richmond History Ass'n.
Brant Renal Disease Institute
Richmond Women's City Club
Richmond Museum Association
Pacific Telephone
Richmond Rotary
Mr. and Mrs. Edgar Brooker
Maxine Mayer
Point Richmond Business Ass'n.
S.U.P. Pacific District
Point Orient Restaurant
Mrs. Frieda Antonino
—Kerry VanderMeer
Inter Arts of Marin
For Ladies', Misses' and Children's
READY TO WEAR GARMENTS
The New York Dry Goods Store
A. THURM, Prop.
Telephone Richmond 1261
152 WASHINGTON AVE.
RICHMOND, CAL.
SUMMER BIRTHDAYS cannot be forgotten...
JUNE - Gemini: You intuitively sense the true nature of good luck. You are a person of activity.
Rosemary Giacomelli Stacy Spinola
Dan Weinstein Doe Spinola
Cindy Quist Diane Squires
Stephanie Pearson Suzanne Squires
Ed Mitchell Anita Brougham
Ron Albro Jan Sprecker
Joanne Lanning Andrew Butt
Ruth Beardsley Grace Yank
JULY - As a Cancer you many times deny that you are ambitious but you get up and move toward that which you want.
Julius Matteucci Kathryn Fong
Mary Knox Francis Smith
Dick Dowell Trannie Dorman-
Brian Pease who will be 88
Joe Palenchar years young on
Josephine Palenchar the 17th!
AUGUST - As a Leo, you are a special person and generally accept the role as winner!
Terrence Doherty Alice Thompson
Kelly Darling Gladys Johnson
Veora Heiney Nikki Eaton
Jessie Clark Donna Wilson
Karla Peterson Mid Dorman
Oretta Eaton Bea Kenoyer
Gloria Schaub Joe Darling
Floria Parker -Mid Dorman-
POINTS IN THE FUTURE
Saturdays & Sundays thru August 7
* JUNE 23
Joint meeting of Historical Societies, 7:00, Maple Hall, San Pablo.
JUNE 28
Meeting - about the Indian Statue, 7:30 p.m. 212 Bishop
JULY 1 to AUGUST 6
Friday & Saturday eves. at 8:00, "Fate's Fickle Friend" at the Masquers
AUGUST 20
Deadline for articles for next Newsletter.
*JUNE 23 - 5 to 8 p.m. - Grand Opening of Linsley Hall
Need summer help? Mrs. Golay is assisting kids who want summer jobs - call and ask her! 236-6253.
"This Point in Time" is published by the Point Richmond History Association, 212 Bishop Alley, Point Richmond, CA 94801.
Editorial Staff: Teresa Albro, Michelle Brown, Rosemary Corbin, Mid Dorman, Lucretia Edwards, Donna Roselius, Judy Spediacci.
Illustrations: Donna Roselius
Layout: Jodi Roselius
Articles for next month's issue are due on the 20th day of this month.
Mail articles to the Association at the above address, or bring them to the Richmond Supply Company-145 West Richmond Avenue. For information or small news items, call 235-4222.
MEMBERSHIP IN THE POINT RICHMOND HISTORY ASSOCIATION INCLUDES A SUBSCRIPTION TO THIS NEWSLETTER. MEMBERSHIP APPLICATIONS MAY BE SENT TO MICHELLE BROWN, 25 IDAHO STREET, POINT RICHMOND, CA 94801. |
Reference Code: 2003/13/22
Title: Report of a discussion between the Taoiseach, Jack Lynch, and the British Prime Minister, Edward Heath, in Brussels, Belgium, on 23 January, 1972.
Topics discussed included the establishment of an internment camp near Derry; the growing unemployment situation in Northern Ireland and the Republic of Ireland and its potential impact upon IRA [Irish Republican Army] recruitment; new efforts to find political solutions in Northern Ireland; a speech made by Desmond O'Malley, Minister for Justice, in the European Parliament in Strasbourg; British government efforts to negotiate with the SDLP [Social Democratic and Labour Party]; talks between Edward Heath and Harold Wilson, leader of the British Labour Party; internment; proposed efforts by the Taoiseach to give encouragement to moderate Protestant opinion in Northern Ireland; Border controls; extradition; and the potential for a spread of violence into the Republic of Ireland and Britain.
Creation Date(s): 16 March, 1972
Level of description: Item
Extent and medium: 1 page
Creator(s): Department of Foreign Affairs
Access Conditions: Open
Copyright: National Archives, Ireland. May only be reproduced with the written permission of the Director of the National Archives.
Report of discussion between the Taoiseach and the British Prime Minister, Mr. Heath, in Brussels on Sunday, 23rd January, 1972
At Mr. Heath's request the Taoiseach agreed to meet him at the residence of the British Ambassador to the European Economic Communities in Brussels at 10.45 a.m. on Sunday, 23rd January, 1972. The start of the meeting was delayed until 11.00 a.m. because of an over-spill of a previous meeting of Mr. Heath with Signor Colombo of Italy. The Taoiseach's meeting lasted about an hour.
The Taoiseach began by saying that he had recently called in the British Ambassador, Sir John Peck, as he was genuinely worried about the trend of events in relation to the North. He referred to the setting up of the new internment camp in a provocative situation near Derry. There was the growing unemployment situation in both countries. On the basis of the last in, first out rule, it would be mostly the young who would become idle and their frustration with the present policies in the North could lead them into dangerous paths.
Mr. Heath had said to the Taoiseach at Chequers that the two countries should not bring the problem of the North into Europe with them. We are now on the way into the EEC and the problem is still there. The Taoiseach thought that the time had come to re-appraise the whole situation. There could not continue to be a confrontation on the old stands. Mr. Heath said he should try and work out something between them to arrive at a peaceful solution such as a growing number of people on both islands are now hoping for. The Taoiseach warned that even if the IRA are beaten by the present efforts at securing a military solution that will not be the end of the matter. The kids on the streets, who are already involved in the conflict, will be 18 and 19 years of age before too long and trouble will inevitably break out again, if there is no political solution. The Taoiseach was wondering whether he could provide some new angle, some leadership to all the moderate Protestants in the island which might help to release the grip of the status quo. This would be in the interests of all.
The Taoiseach went on to say that Stormont will never be accepted again as it has been up to now. He wondered whether it would be possible to persuade Mr. Brian Faulkner to take action. The Taoiseach wants to produce a situation where, in any future talks, they are not confined to restating existing hardline positions.
Mr. Heath's reply was that he was prepared to talk at any time. He has never stopped reappraising the situation to see what progress can be made. He said that it was important to keep the temperature down and, in this connection, he referred to what he described as the unfortunate remarks of the Minister for Justice,
Mr. O'Malley, at Strasbourg, particularly after Ambassador Peck had expressed the hope that he would not make a provocative speech. The Taoiseach intervened here to say that he had seen Mr. O'Malley's script and it contained nothing that he would not say himself. Mr. O'Malley was, however, typical of many of the bright young people in Ireland today and what he had said, supplementing his script, reflected the concern and frustration the young people felt about present policies in relation to the North. Mr. Heath said that the matter might come up again in Strasbourg on Monday and he had told his people in Strasbourg to keep the temperature as low as possible.
Turning to the question of the future Mr. Heath referred to the difficulties they are faced with. Talks had been offered to the SDLP and they refused to participate. Mr. Heath referred to the regrettable BBC broadcast in the course of which Mr. Fitt put himself firmly on a hook which he cannot get off. Mr. Wilson had put forward his plan and the SDLP refused to participate. In the circumstances Mr. Heath thought that there was not much point in trying to talk to the SDLP.
Mr. Heath said that he had three private talks with Mr. Wilson. The first one was aimed at initiating talks. At the second meeting Mr. Wilson said that he did not want talks in Westminster as contemplated in the first phase of his proposals. What he then wanted was to have talks with the Parties in Northern Ireland to begin with. At the third meeting Mr. Wilson indicated that he had changed his mind and would be prepared to have initial inter-Party talks in Westminster. The whole matter had not gone much further.
Mr. Heath posed the question as to who now represents the Catholics in Northern Ireland. He thought that the SDLP do so less and less. He said that Mr. Brian Faulkner is prepared to enter into talks but only on the clear understanding that there can be no change in the Border. Mr. Heath said that one must take account of the limits within which one can operate in order to get a political solution. The IRA are certainly taking hard knocks now. At some stage they may give up violence and look at the situation in another way. Mr. Heath added that, as he had already indicated to Ambassador O'Sullivan, if there is any worry about the keeping of agreements arrived at in relation to the North the British Government will be able to guarantee them through legislation in Westminster and they have the power to do so. The Taoiseach saw Mr. Heath's difficulty about the IRA. If one seemed to be giving in to the Provisionals it could be said that one was giving into violence. On the other hand, merely putting down violence is no solution as then the Unionists would say they had won and there would be no give on their part towards arriving at a political solution. Now that
the IRA are still active might be the opportune moment for loosening the Unionist grip. There are some indications that the IRA are talking about a political solution.
Speaking about internment the Taoiseach said that, while it is there now and no doubt many of those interned would carry guns, there are also a lot of people interned who would never touch a gun. The Taoiseach said that the early timing of a move on political talks in conjunction with some concession on internment might get the IRA off the streets and the 40% minority community might move away from supporting the IRA. This might also enable the SDLP to enter into talks. The Taoiseach pointed out that the SDLP are there and cannot be written off. There are also the old-style Nationalists who are not as rigid as the SDLP. As, in industrial disputes, there is between the different groups the problem that neither can accept less than the other. If internment were to end and talks were to begin there could be a significant move forward. The IRA now realises that they cannot achieve a united Ireland at one fell swoop and they are realistic enough to see a slow movement towards this goal.
The Taoiseach indicated that he was prepared to talk to all the people in Ireland urging them to get together and to try to stop the present deteriorating situation. He would be prepared to tell the people in the South that they cannot be expected to hang on to everything to suit themselves and that they must change in order to secure progress. He would hope thereby to give encouragement to moderate Protestant opinion in the North.
The Taoiseach reiterated the hope expressed at the first Chequers meeting that the two countries should not have the problem of the North around their necks going into Europe.
The Taoiseach told Mr. Heath that he would be seeing Mr. Wilson in London on his way back to Dublin. He had already spoken to Mr. Jeremy Thorpe in Brussels. The latter thought that it would be impossible to get the SDLP into talks. He said that they feared the charge of "sell out" if they were prepared to talk. The Taoiseach's broad strategy is to get the people to think again and to move towards a new situation. Business people in the North are very worried. They are naturally anxious for a continuance of outside investment in the North and they may now be more receptive towards a reasonable solution.
The Taoiseach referred to the deteriorating employment situation in Ireland like that in Britain. For the first time we have a net inward movement of 1,000 persons instead of net emigration. The Government would be blamed for the unemployment, not the Unions. Because of the last in, first out rule it is the young people who will be idle and many of them will not have enough stamps to draw unemployment benefit. There is a danger that these young and unemployed would be taken up by the IRA who enjoy passive support within the country because of the situation in the North. There could be an
increased sense of frustration. The Taoiseach had adopted a moderate line and had entered into two serious talks in Chequers but nothing positive had emerged - in fact the reverse. Internment orders had been made and the crazy policy of road cratering at the Border embarked upon.
Mr. Heath commented that he could not say that the IRA had been stopped from crossing the Border nor the movement of gelignite and firearms. He agreed that the Dublin Government were stepping up their controls but went on to mention the case of the young soldier just killed where the wires setting off the explosion had lain across the Border. Mr. Heath also referred to their unsatisfactory experience of extradition procedures.
On the question of gelignite the Taoiseach said that more recent regulations require stringent safeguards and regular inspections. Previously with the precautions taken for the storing of gelignite near the Border it required four hours at least to break into a store and this enabled the police to take adequate precautions. There had, however, very recently, been two daring cases whether those stealing gelignite had used oxy-acetylene torches which enabled them to break in in half an hour. As a result of this stores must be brought back further from the Border much to the annoyance of the local users. Up to now it had been thought that there would have been greater risk in bringing the gelignite back and forth to the point of use than to have it near the point of use close to the Border.
With regard to extradition the Taoiseach referred to the case in Donegal about which Ambassador Peck had spoken to him. There is a complete separation between the Judiciary and the Executive in Ireland and, in that case, the District Justice thought that there was not sufficient evidence of identification. The Justice is not bound to give reasons for his decision. Even if he had granted the order there could have been a move for habeas corpus in the High Court and the outcome might be a reversal of the order in any event. The Taoiseach would have another look at the matter to see whether anything could be appropriately done. One must not overlook the fact, however, that extradition in some of these cases would incite public sympathy and make a hero of the individual involved. The Taoiseach made it clear that he was not condoning the IRA but actions which appear to bolster up Erian Faulkner in the absence of any progress towards a just political solution would not be tolerated by our people but they don't want the IRA to take over either. The Taoiseach urged that Mr. Heath should give very serious thought to the whole situation and say to Mr. Faulkner that he cannot win out and maintain the status quo. Mr. Faulkner's Green Paper proposals are just not enough.
Mr. Heath wondered what is going to convince the Unionists and our people to agree to talk the matter over quietly. He said that three Catholic Members of Parliament who had been over in the North recently could not ascertain what the minority want. The minority say that Stormont is finished but what does this mean? Does it mean that there should be no elected members to Stormont and that there should be elected members to Westminster only? Or does it mean that the Stormont Parliament should be reformed with different boundaries and an element of proportional representation to give the minority increased representation? Or does it mean that there must be no more Cabinet Government or a Cabinet Government with appropriate proportions of representatives of the majority and the minority participating therein? Mr. Heath just does not know what Mr. Pitt wants.
The Taoiseach replied that he thought that there should be community government in the North involving both communities with some sort of proportional representation. Mr. Faulkner, however, maintains that he will not have participating in his Cabinet anyone who aspires to a united Ireland. The Taoiseach realised of course that Mr. Faulkner may fear that if he yields on this, Mr. Paisley might move in and take over. Mr. Heath said that it is not even clear what is meant when one talks about a change in the constitutional position. If this means a united Ireland neither Mr. Faulkner nor himself nor the Westminster Parliament would agree to a change unless this was wanted in the North. If, however, one is talking about the constitutional position within the North, Mr. Heath and Mr. Faulkner could discuss it in all its aspects. The Taoiseach commented that if the minority could have some real share of responsibility - some seats in the Cabinet - that might go some distance to satisfy them. He did not know however - there must be talks to establish this.
Mr. Heath agreed that there should be talks but he commented that the minority keep changing their position. He said that with the new Local Government elections the Catholics will get control of some Local Authorities. It is complained, however, that the functions of these Local Authorities are now fewer. This was because Boards have been set up with Catholic representatives on them. These Boards were formed under the reforms agreed to avoid gerrymandering. It is difficult for the minority to have it both ways.
On the question of detention Mr. Heath said that Judge Brown's Committee has released some 30 individuals. They have looked at all cases in the course of their review. Mr. Heath thought that there was little doubt but that those interned are those who were carrying on the battle. The Taoiseach commented that for every person interned ten more replace them outside. This could provide an accommodation problem but the location of the second internment camp was both dangerous and provocative. He said that Mr. Ivan Cooper intends to lead a march on the camp and harass the military. It was a great pity that
this retrograde step of a second internment camp should have been taken and, worse still, that it should have been located where it is. Mr. Heath explained that the second camp had been provided to endeavour to provide better standards as recommended by the Red Cross and also had been located to make it nearer for visits of relatives and friends. If the second camp had been located out in the wilds they would have been criticised for its inhumane location. He affirmed that there was no intention to be provocative in determining the location. The Taoiseach said that, while he did not believe that the trouble in the North would spill over into the South yet, Cardinal Conway believes that the crust of peace down here is very thin and violence could spread South. Nevertheless, if there is not political progress the trouble could spread and could be carried across the Channel into Britain. We would then have an awful situation such as the 1939 bombing campaign in Britain. If constructive policies on the political front are not evolved soon violence could spread in both islands.
Mr. Heath said that he had told Ambassador O'Sullivan to come to talk to him as often as he wants to and he hopes Ambassador Peck will similarly be able to talk to the Taoiseach.
The Taoiseach expressed the hope that he had got across to Mr. Heath that the current policy in relation to the North would provide no solution. If Mr. Heath and himself will not provide a political solution others will seek to provide their own solution. It is commonly said that Mr. Faulkner is calling the tune in relation to current policy and that Mr. Heath is concentrating on Europe. The Taoiseach repeated that he called Ambassador Peck in because of the growing feeling of frustration and fear that was developing. He reaffirmed that he was prepared to talk to all the Irish people about a solution and to endeavour to get Unionist minds moving towards a thinking of a solution. He proposed to tell Mr. Wilson of his broad thinking in this matter and to urge all concerned to make a special effort to get the talks moving. Mr. Heath replied that he would be naturally interested in any major speech of this nature which the Taoiseach would make and he wondered whether the Taoiseach could give Ambassador Peck some advance notice of what he might intend to say. The Taoiseach said that when he had finally decided on his course of action he would probably be able to give some indication to Ambassador Peck.
The meeting then concluded as the British staff in Brussels had been assembled outside to meet Mr. Heath.
26 Eanáir 1972 |
July 18, 2005
Andrew Fisk
Maine Department of Environmental Protection
#17 State House Station
Augusta, Maine 04333-0017
SUBJECT: Notification of Approval of Androscoggin River TMDLs
Dear Mr. Fisk:
Thank you for your submittal of the Androscoggin River Total Maximum Daily Loads (TMDLs) for carbonaceous biochemical oxygen demand, total suspended solids, total phosphorus, and ortho-phosphorus in Gulf Island Pond, and total suspended solids in the Livermore Falls impoundment. These two waterbody segments are included on Maine’s 2004 303(d) list and were a high priority for TMDL development primarily due to point source pollution.
The U.S. Environmental Protection Agency (EPA) hereby approves Maine’s May 13, 2005 Androscoggin River TMDLs received by EPA on May 18, 2005. EPA has determined that these TMDLs meet the requirements of §303(d) of the Clean Water Act (CWA), and of EPA’s implementing regulations (40 CFR Part 130). We note that the TMDLs for GIP are based on the assumption that additional instream aeration will be required of the three paper mills and the electric company owning the outlet dam via MEPDES discharge permits and the §401 water quality certification for Gulf Island Dam. Attached is a copy of our approval documentation.
These TMDLs have been the subject of much public interest, and the implementation phase, including required monitoring to address uncertainties and inform future water quality assessments, will be critically important. My staff and I look forward to continued cooperation with the ME DEP in exercising our shared responsibility of implementing the requirements under Section 303(d) of the CWA.
Sincerely,
[Signature]
Linda M. Murphy, Director
Office of Ecosystem Protection
cc: Electronically:
David Courtemanch, ME DEP
EPA NEW ENGLAND’S TMDL REVIEW
TMDL: Androscoggin River (2 segments) Androscoggin County
ME HUC ME 0104000208
- Gulf Island Pond (GIP), Lewiston-Auburn, ME.
WBS# 424R Class C (listed 2004 for aquatic life; recreation, fish consumption /DO, transparency, nutrients; target TMDL development 2006).
- Livermore Falls Impoundment, Livermore Falls, ME.
WBS# 423R Class C (listed 2004 for aquatic life, fish consumption / aquatic life criteria; target TMDL development 2006).
STATUS: Final
IMPAIRMENT/POLLUTANT: In GIP, impairments of numeric dissolved oxygen criteria, Class C narrative criteria for the support of indigenous fish species, and the designated use of water contact recreation require TMDLs for carbonaceous BOD (CBODu), total suspended solids (TSS), total phosphorus (total-P), and ortho-phosphorus (ortho-P). In the Livermore Falls impoundment, impairment of aquatic life criteria requires a TMDL for TSS.
BACKGROUND: the Maine Department of Environmental Protection (ME DEP) submitted to EPA New England, pursuant to §303(d) of the Clean Water Act, the final Androscoggin River TMDLs listed above with a transmittal letter dated May 13, 2005, and received by EPA on May 18, 2005. The TMDL report submittal includes the following supporting documentation:
- *Androscoggin River Total Maximum Daily Load of Gulf Island Pond and Livermore Falls Impoundment*, (Final, ME DEP, May 2005);
- *Public Comment for TMDL* (January 30 – February 18, 2005);
- *Responses to Comments of the Draft TMDL*, (ME DEP, May 2005);
- *Androscoggin River and Gulf Island Pond Data Report with Responses to Comments* (Final, ME DEP, Jan 2005);
- *Responses to Comments Final Androscoggin River Modeling Report*, (ME DEP, Sept. 2002);
- *Androscoggin River Modeling Report and Alternative Analysis*, (ME DEP, June 2002);
- *Responses to Comments Draft Androscoggin River Modeling Report*, (ME DEP, Nov. 2001).
REVIEWERS: Jennie Bridge (617-918-1685), e-mail: email@example.com
Stephen Silva (617-918-1561), e-mail: firstname.lastname@example.org
REVIEW ELEMENTS OF TMDLs
Section 303(d) of the Clean Water Act (CWA) and EPA’s implementing regulations at 40 C.F.R. § 130 describe the statutory and regulatory requirements for approvable TMDLs. The following information is generally necessary for EPA to determine if a submitted TMDL fulfills the legal requirements for approval under Section 303(d) and EPA regulations, and should be included in the submittal package. Use of the verb “must” below denotes information that is required to be submitted because it relates to elements of the TMDL required by the CWA and by regulation.
1. **Description of Waterbody, Pollutant of Concern, Pollutant Sources and Priority Ranking**
The TMDL analytical document must identify the waterbody as it appears on the State/Tribe’s 303(d) list, the pollutant of concern and the priority ranking of the waterbody. The TMDL submittal must include a description of the point and nonpoint sources of the pollutant of concern, including the magnitude and location of the sources. Where it is possible to separate natural background from nonpoint sources, a description of the natural background must be provided, including the magnitude and location of the source(s). Such information is necessary for EPA’s review of the load and wasteload allocations which are required by regulation. The TMDL submittal should also contain a description of any important assumptions made in developing the TMDL, such as: (1) the assumed distribution of land use in the watershed; (2) population characteristics, wildlife resources, and other relevant information affecting the characterization of the pollutant of concern and its allocation to sources; (3) present and future growth trends, if taken into consideration in preparing the TMDL; and, (4) explanation and analytical basis for expressing the TMDL through surrogate measures, if applicable. Surrogate measures are parameters such as percent fines and turbidity for sediment impairments, or chlorophyll-α and phosphorus loadings for excess algae.
TMDLs are submitted for two segments of the Androscoggin River listed on Maine’s 2004 Clean Water Act (CWA) §303(d) list that do not attain water quality standards for class C waters, and the report adequately describes the water body segments and the cause of the impairment as identified in Category 5A of the list. In summary:
(1) The lower 4 miles of the 14.5 mile impoundment of Gulf Island Pond (GIP) (upstream of Gulf Island dam in Lewiston-Auburn, ME) do not attain class C standards for dissolved oxygen (DO) concentration in the summer at depths of 30 to 80 feet. The major factor is pollutant loading from numerous point source discharges upriver from GIP, including three paper mills in Berlin, NH (Fraser Paper), Rumford, ME (Mead WestVaco), Jay, ME (International Paper), and five municipal point sources in New Hampshire (Berlin and Gorham), and in Maine (Bethel, Rumford-Mexico, and Livermore Falls). Nonpoint source pollutant loads come from land use activities related primarily to residential development, silviculture, and agriculture. ME DEP also explains that Gulf Island Dam contributes to non-attainment of DO criteria and the growth of algae blooms by creating an environment of low water movement and low vertical mixing within the water column, to the extent that “Non-attainment of class C DO criteria in deeper portions of the pond is predicted by the water quality model even if point source discharges are eliminated.” (page 1 TMDL summary). Algae blooms also interfere with recreational uses of GIP. In order to meet class C water quality standards for dissolved oxygen, as well as attain designated uses for primary contact recreation, summer (June to September) TMDLs are presented for carbonaceous biochemical oxygen demand (CBOD₄), total phosphorus (TP or total-P), and ortho-phosphorus (ortho-P), and an annual TMDL is presented for total suspended solids (TSS).
(2) Livermore Falls impoundment is located upstream of GIP and does not attain class C aquatic life criteria. A summer TMDL for TSS is presented (as a 60-day average).
The non-attainment segments are ranked as a high priority for TMDL development. The DEP’s scheduled completion date of 2003 was delayed to obtain additional data during the 2004 field season in order to improve model predictions under reduced paper mill phosphorus loading (page 1 TMDL summary). Important assumptions made in developing the TMDLs are discussed and
summaries of the water bodies, pollutants of concern, and pollutant sources are provided. Important assumptions include the continued need for an oxygen injection system (currently located 5 miles above Gulf Island dam), and the need for additional amounts of oxygen in other areas of GIP.
**EPA Assessment:**
ME DEP has adequately identified the waterbody, the pollutants of concern, the magnitude and location of the sources of pollution. The TMDL report also includes an adequate description of important assumptions made in developing the TMDLs.
### 2. Description of the Applicable Water Quality Standards and Numeric Water Quality Target
*The TMDL submittal must include a description of the applicable State/Tribe water quality standard, including the designated use(s) of the waterbody, the applicable numeric or narrative water quality criterion, and the antidegradation policy. Such information is necessary for EPA’s review of the load and wasteload allocations which are required by regulation. A numeric water quality target for the TMDL (a quantitative value used to measure whether or not the applicable water quality standard is attained) must be identified. If the TMDL is based on a target other than a numeric water quality criterion, then a numeric expression, usually site specific, must be developed from a narrative criterion and a description of the process used to derive the target must be included in the submittal.*
**GIP TMDLs**
The GIP TMDLs for CBODu, TSS, total-P, and ortho-P are tied to achieving the targets of Maine’s numeric water quality criteria for dissolved oxygen, the narrative criteria for protection of aquatic life, and the narrative criteria protecting designated uses of water contact recreation. Justifications for the various GIP TMDL averaging periods (different from the period of one day) are explained in the text of the report (pages 14 for phosphorus, 30 and 33 for CBODu, and 53 for TSS).
**GIP Targets for Dissolved Oxygen**
ME DEP uses three numeric water quality targets for dissolved oxygen to assure that designated uses are attained:
(1) Maine Class C numeric criteria are used to protect against shorter-term impacts (instantaneous minimum of 5 ppm DO and 60% saturation, discussed below),
(2) Maine Class C narrative criteria for protection of aquatic life are used to protect against longer-term impacts (30-day average 6.5 ppm DO, discussed below), and
(3) Maine Class B numeric criterion (instantaneous minimum of 7 ppm DO) is used to test water quality modeling inputs for Fraser Paper to assure that WQS will be met in the Class B segment from the NH border to the confluence of the Ellis River in Maine.
Maine’s class C DO numeric criteria provide that a water body’s DO content may not be less than 5 ppm and 60% saturation (i.e., these criteria must be met at all times). These numeric criteria were used in the water quality modeling for CBODu. The TMDL is expressed as a weekly average load due to the slow response of the Androscoggin River and GIP to pollutant loading.
Maine’s narrative WQSs state that “Discharges to Class C waters may cause some changes to aquatic life, provided that the receiving waters shall be of sufficient quality to support all species of fish indigenous to the receiving water and maintain the structure and function of the resident biological community” [MRSA Title 38 Sec. 465, 4C]. ME DEP has interpreted the narrative Class C provision to require an instream 30 day average dissolved oxygen level of 6.5 ppm to support a cold water indigenous fishery.
Since the late 1980’s, ME DEP has, in its licensing and § 401 certification decisions, generally protected cold water fisheries using the 6.5 ppm from EPA guidance on DO criteria necessary to support cold water fish. ME DEP has a long standing practice of using maximum ambient water column temperatures in its water quality models for application of this DO criterion. In this TMDL, ME DEP has assumed a colder temperature in its model (22°C) rather than actual ambient temperatures. Several commenters on the draft TMDL objected to this approach because it results in allowing greater levels of monthly average BOD to be discharged compared to the levels that would be allowed if ambient temperatures were used. ME DEP justifies the use of 22°C with the 6.5 ppm criterion, rather than maximum ambient water column temperatures (which are as high as 24°C to 26°C) by explaining that 22°C captures the majority of the temperature range (0°C to 24°C) within which salmonids would be growing (pages 12-13 RTC).
**GIP TSS Target**
The TMDL target for TSS is linked to the same class C numeric DO and narrative aquatic life criteria described above, and the TSS TMDL for GIP was determined using the same water quality model as for CBODu. Total suspended solids (TSS), discharged by the treatment facilities year-round, tend to settle and accumulate in the deeper areas of GIP. The settled solids create a sediment oxygen demand (SOD) which is shown by modeling to be one of the most significant factors in DO impairment for GIP. The TSS TMDL for GIP is appropriately expressed as an annual average to account for the year-round load accumulating over time. An important purpose of this limit is to assure that annual TSS loadings do not exceed the levels which are the basis for modeling and calculation of the CBODu and phosphorus loads needed to meet the numeric and narrative DO criteria discussed above.
**GIP Phosphorus TMDL Target**
The phosphorus TMDL has been established to ensure that both numeric DO and narrative aquatic life criteria discussed above are met (using the same water quality model), and to enable GIP to attain the designated use of primary contact recreation. Gulf Island Pond is an impounded section of the Androscoggin River, and excessive amounts of phosphorus in GIP result in blooms of algae whose cycle of oxygen production and respiration creates diurnal DO swings which impact aquatic life. When the algae die, they settle in the impoundment, accumulate in the deeper areas of the impoundment, and exert an oxygen demand contributing to both numeric DO and aquatic life criteria violations. The blooms themselves create “unsuitable aesthetic conditions for swimming” and other primary contact recreational activities (page 2, TMDL summary).
Maine’s WQS do not include numeric criteria for nutrients. ME DEP has chosen chlorophyll-a as a surrogate for eutrophic conditions, because algal blooms are a direct result of eutrophic conditions, and chlorophyll-a is a measure of algal productivity. ME DEP set an algae bloom
prevention threshold of 10 ppb chlorophyll-a, based on the best information it had available at the time. In particular, ME DEP relied on site-specific data (2004 *Androscoggin River Data Report* dated January 2005) showing that the pond-averaged chlorophyll-a was 10 ppb on one occasion when a bloom occurred in a portion of the Pond on August 4, 2004 and 4 out of 6 data sampling locations were in areas of the Pond without a bloom (pages 66-67, RTC; pages 38-50, January 2005 Androscoggin River Data Report). Several paper mills commented that they did not believe the chlorophyll-a target of 10 ppb was based on sufficient data, that only the data from areas of the Pond with an active bloom should have been used to set the target, and that the pond-averaged 10 ppb is too low a target (overly protective). However, use of only two data points collected within the bloom area, as suggested by the mills, would not yield a sufficiently protective chlorophyll-a target. The chlorophyll-a levels within the bloom area obviously would exceed the levels associated with non-bloom conditions, and they also do not account for any lag time in the response to phosphorus loading between chlorophyll-a build up and full bloom conditions.
When evaluating other waters subject to algae blooms, DEP has typically used chlorophyll-a levels in the range of 8-12 ppb defining an algae bloom. The 10 ppb target in this TMDL falls in the middle of that range and so is consistent with DEP’s past experience (pages 5-7, TMDL). Further, 10 ppb is the same level historically recognized by EPA (1974) as the level of chlorophyll-a above which eutrophication would occur (page 4-12, EPA *Protocol for Developing Nutrient TMDLs* 1999).
In addition, the ME DEP lakes assessment section has been using a chlorophyll-a threshold level of 8 ppb to define blooms in colored lakes (>30 pcu) for more than 20 years (page 6 RTC) based on many lake studies. Gulf Island Pond is classified as a stream, not a lake, because GIP has a much higher flushing rate than a lake. Except for the deepest areas, the Pond appears to be well-flushed during high flows, so the impounded riverine system is expected to have a somewhat higher assimilative capacity for nutrients than Maine lakes. Using this reasoning, combined with the GIP-specific data, and past Maine DEP experience, an initial target of 10 ppb seems reasonable for GIP. The TMDL report acknowledges that the chlorophyll-a target may be adjusted in the future if warranted by new information (page 7 TMDL).
**Livermore Falls Impoundment TSS Target**
The Livermore Falls TSS TMDL is tied to achieving Maine’s water quality criteria for class C aquatic life. Maine’s narrative WQS require Class C waters “to support all species of fish indigenous to the receiving water and maintain the structure and function of the resident biological community” [MRSA Title 38 Sec. 465, 4C]. With the use of macroinvertebrate sampling and a linear discriminant model, Maine DEP has implemented numeric tiered aquatic life standards since 1992 and promulgated them as rule in 2004. The criteria are based on 20 years of data, from more than 600 monitoring stations on approximately 150 rivers and streams. The class C metrics from this model are appropriately used as the numeric target for the Livermore Falls Impoundment TMDL for TSS.
**EPA Assessment:**
EPA concludes that Maine has properly presented its numeric water quality criteria and has made a reasonable interpretation of its narrative water quality standards for the designated uses of the
With respect to the GIP DO narrative (monthly average) TMDL target, we recognize that some commenters objected to the State’s use of 22° C rather than ambient temperatures, particularly in light of DEP’s past practice. However, states have some discretion in interpreting their narrative water quality standards, and in this case Maine explained that 22° C is very close to the upper range of the temperature at which growth occurs, and that using this temperature would be consistent with the narrative water quality standard which allows for some change in aquatic life as long as all indigenous fish are supported and the structure and function of the resident biological community is maintained.\(^1\) EPA expects that the use of a 30 day average DO criterion of 6.5 at 22° C adds additional protection to what is provided by the numeric minimum DO criteria of 5.0 ppm and 60% saturation. We encourage DEP to undertake a model run that would predict the levels of DO that would be attained at the TMDL loadings when the GIP is at 24° C. Given that many of the segments of GIP are predicted to attain DO levels well in excess of 6.5 at 22° C (see Figure 18, page 42 of the TMDL report), it is likely that at actual temperatures of 24° C, many of the segments would still be at or above 6.5.
With respect to the phosphorus TMDL target, EPA believes that ME DEP’s establishment of a chlorophyll-a target of 10 ppb was reasonable in light of available information, as explained above. In addition, we note that EPA’s 2001 ecoregional nutrient criteria documents, both for rivers and streams, and lakes and impoundments, provide recommended values below 10 ppb. [Ambient Water Quality Criteria Recommendations, EPA 822-B-01-015 for Rivers & Streams in Ecoregion VIII; EPA-822-B-00-010 for Lakes and Reservoirs in Ecoregion VIII]. The EPA recommendations are intended to serve as a starting point for States and Tribes to translate narrative nutrient criteria into a quantified endpoint, or to develop more refined criteria to reflect local conditions, (pages iii- iv, EPA 822-B-01-015). The relevant values (which range from 3.4-7 ppb) illustrate that it would not be prudent to use an initial chlorophyll-a target greater than 10 ppb. Furthermore, as TMDLs are implemented, and water clarity in the Androscoggin River and GIP improves, it is possible that increased light penetration will trigger blooms at increasingly lower levels of phosphorus, necessitating further reductions in phosphorus loads.
### 3. Loading Capacity - Linking Water Quality and Pollutant Sources
*As described in EPA guidance, a TMDL identifies the loading capacity of a waterbody for a particular pollutant. EPA regulations define loading capacity as the greatest amount of loading that a water can receive without violating water quality standards (40 C.F.R. § 130.2(f)). The loadings are required to be expressed as either mass-per-time, toxicity or other appropriate measure (40 C.F.R. § 130.2(i)). The TMDL submittal must identify the waterbody’s loading capacity for the applicable pollutant and describe the rationale for the method used to establish the cause-and-effect relationship between the numeric target and the identified pollutant sources. In most instances, this method will be a water quality model. Supporting documentation for the TMDL analysis must also be contained in the submittal, including the basis for assumptions, strengths and weaknesses in the analytical process, results from water quality modeling, etc. Such information is necessary for EPA’s review of the load and wasteload*
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\(^1\) The commenters also asserted that DEP’s change in determining how the 6.5 ppm DO would be implemented constitutes a water quality standards change that requires EPA review and approval before it can be implemented. We agree that in some circumstances, a new interpretation of a water quality standard may constitute a revised standard subject to EPA review and approval. However, we do not believe that the State’s action here is such a circumstance.
allocations which are required by regulation.
In many circumstances, a critical condition must be described and related to physical conditions in the waterbody as part of the analysis of loading capacity (40 C.F.R. § 130.7(c)(1)). The critical condition can be thought of as the "worst case" scenario of environmental conditions in the waterbody in which the loading expressed in the TMDL for the pollutant of concern will continue to meet water quality standards. Critical conditions are the combination of environmental factors (e.g., flow, temperature, etc.) that results in attaining and maintaining the water quality criterion and has an acceptably low frequency of occurrence. Critical conditions are important because they describe the factors that combine to cause a violation of water quality standards and will help in identifying the actions that may have to be undertaken to meet water quality standards.
Loading Capacities for GIP
All TMDLs for both GIP and Livermore Falls impoundment are expressed as loads to the entrance of the respective impoundment, and as mass-per-time (lbs/day or ppd) over various averaging periods, as appropriate (see references in section 2 of this review document). ME DEP identified the loading capacities for GIP in terms of seasonally applied (June-Sept.) 30-day and 7-day averaged loadings for C-BODu (55,843 ppd and 61,241 ppd respectively), 30-day averaged loadings for total-P (317 ppd) and ortho-P (50 ppd), and an annually averaged loading for TSS (100,000 ppd), all expressed as loads to the entrance of the pond.
The phosphorus TMDL represents a default combination of total-P and ortho-P. ME DEP points out that there are other combinations of total-P and ortho-P that would enable WQS to be met. Using the water quality model, ME DEP calculated three additional combinations of total-P and ortho-P which allow increasing levels of ortho-P, all of which have total-P levels equal to or less than the default TMDL for total-P (page 20 TMDL report). Options presented by DEP are reasonable because the TP is kept at or below the default level needed to attain WQS, while offering ortho-P levels that are easier for the mills to meet.
The GIP loading capacities for CBODu and TSS are based on the assumption that oxygen will be added from an in-stream aeration system because the water quality model predicts non-attainment of class C numeric and narrative DO criteria in deeper portions of the pond even if point source discharges are eliminated. Specifically, based on the water quality modeling, the TMDLs establish default oxygen injection loads of 30,000 ppd at Upper Narrows and 150,000 ppd at Lower Narrows. These levels, in conjunction with waste load reductions, will ensure that WQS will be met (see table on page 3, TMDL summary; pages 28, 32 and 34, TMDL report). The TMDL report refers to 40 C.F.R. § 125.3(f) of the federal NPDES permitting regulations, which provides that the use of a nontreatment technique may be considered as a method to achieve water quality standards where technology-based requirements are not sufficient to meet the WQS and where it is demonstrated that the nontreatment technique is the preferred environmental and economic method to achieving WQS.\(^2\) The TMDLs for TSS and CBODu assume that the nontreatment technique of instream aeration would be acceptable in light of the fact that oxygen injection would be required to meet DO criteria even if all point sources were eliminated. The TMDLs were not based on a specific § 125.3 demonstration but the TMDL report noted that the mills would be providing such a demonstration prior to the licensing process.
\(^2\) The applicable provision under state law is found in DEP’s rules at Chapter 524(2)(II)(f).
ME DEP describes the rationales for the methods used to establish the cause-and-effect relationships between the various narrative and numeric targets and the identified pollutant sources as follows:
**CBODU, TP, and Ortho-P TMDLs**
ME DEP uses the Qual2EU water quality model for the upstream portion of the Androscoggin River, and a WASP model for the GIP impoundment portion of the river in order to develop the CBODU, TP, and ortho-P TMDLs. ME DEP recently made upgrades to both WASP and QUAL2EU with EPA support and oversight (pages 74-75 RTC). Detailed descriptions of the models are included in the 2002 Modeling Report.
ME DEP provides supporting documentation for the TMDL analyses, including the basis for assumptions, strengths and weakness in the analytical process, and results from the water quality modeling. ME DEP also explains the historical perspective of changing water quality in the river, and the modeling history of the Androscoggin River (started in the early to mid 1980’s from data collected primarily in 1982 and 1984) (pages 2-7, TMDL report). One significant finding of the 2002 updated modeling report is that non-attainment of DO criteria would still result if there were no oxygen injection, even with the complete removal of point source discharges (due to poor mixing characteristics of the pond and SOD) (page 3, TMDL report).
ME DEP describes certain changes in both the Qual2EU and WASP 2002 models made following additional monitoring during summer 2004 (pages 7-14, TMDL report). Component analysis of average phosphorus loads discharged in 2004 indicates that paper mills are still the largest source of phosphorus and account for about 70% of the total-P and 80% of the ortho-P entering the pond (page 24, TMDL report).
ME DEP traditionally defines critical conditions for point source TMDLs as:
- Low river flows (when dilution of wastewater inputs is at a minimum);
- High water temperatures (when the saturation of DO is lower and BOD decay and oxygen demand from the sediment are higher);
- Maximum inputs (point sources discharging at maximum allowed loads).
In the final Androscoggin River model, DEP followed the traditional approach to the first two critical conditions, described as follows (page 29, TMDL report):
- Low river flows at 7Q10 (1,550 cfs @ Berlin, NH; 1,704 cfs through GIP) and at 30Q10 (1,630 cfs @ Berlin, NH; 1,780 cfs through GIP). State law requires the use of 7Q10 flow for assessing the assimilative capacity of a river); and
- High water temperatures: 26°C for surface waters, 24°C at depth for the DO minimum standard of 5.0 ppm for GIP; 24°C for a weekly average for the Androscoggin River; 22°C for the application of the 30-day average DO of 6.5 ppm for both GIP and the river. Ambient receiving water temperatures used in modeling (26°C at the surface, 24°C at depth) represent inter-annual averages of the maximum summer temperatures on a 7-day averaging basis over a 10-15 year period (personal communication with Paul Mitnik, ME DEP 4/12/05).
However, with respect to the third critical condition, maximum inputs, ME DEP changed the approach from the draft to the final TMDL. In response to public comments concerning the implicit margin of safety, DEP adjusted the initial point source allocations using “clustering factors,” which eliminated the assumption that all point sources would be discharging their maximum loads simultaneously (a conservative assumption in the implicit margin of safety used in the draft TMDL). The DEP used a probabilistic estimate of combined loading based on past monitoring data and an explicit margin of safety to account for uncertainty associated with pollutant loads, modeling and monitoring. (See WLA and MOS sections below for further discussion of the change in the third critical condition.)
**TSS TMDLs**
Using the same models mentioned above, ME DEP developed two separate TMDLs for total suspended solids (TSS). Using the WASP model for GIP, an annual average TSS TMDL was established for GIP due to the year-round contribution of TSS to the sediment oxygen demand (SOD) in the deeper areas of the pond. (As mentioned before, TSS settles and accumulates in the deeper areas of the pond and creates an SOD which lowers the amount of DO available in the water column.) An annual GIP TSS loading capacity (100,000 ppd annual average) is needed to assure sediment oxygen demand will not increase significantly and result in higher SOD than those levels considered in modeling and calculating the CBODu and phosphorus loading capacities. Seasonal oxygen injection requirements are a necessary component of the GIP TMDL for TSS (as well as for CBODu). The June 2002 Androscoggin River Modeling Report is referred to for the TMDL calculation process and details (page 53, TMDL report).
Using the QUAL2EU model for the upstream portion of the Androscoggin River, existing TSS loads to the Livermore Falls impoundment were estimated under conditions when aquatic life criteria are monitored (using macroinvertebrate sampling.) ME DEP established a seasonal TSS TDML, tied to aquatic life impact for Livermore Falls impoundment by using a TSS settling rate calibrated with actual data (see Androscoggin River Modeling Report, June 2002) (page 55, TMDL report), and then computing levels of TSS loading in the river to assure attainment of aquatic life criteria (page 55 TMDL report). The seasonal TSS loading capacity for Livermore Falls impoundment (of 35,800 ppd 60-day average), is applied June through September (page 4, TMDL summary; page 58 TMDL report). A 60-day averaging period is used because 60 days is the time period ME DEP states is required for the samplers to evaluate aquatic life attainment status.
The TMDL represents a target level of TSS that correlates to attainment of aquatic life criteria, based on the best available data over five years summarized in Table 12 (page 55 TMDL report). Although non-attainment was measured in 2002 at a level of 21,279 ppd (under unusual weather conditions, see page 56 TMDL report), ME DEP explained that, with three other data points all greater than the 2002 level and showing attainment between 24,807 – 30,508 ppd, it chose to rely on the weight of evidence. As a result, ME DEP chose 30,508 ppd (attainment in 2000) and 40,258 ppd (non-attainment in 1995) to bracket the levels at which the TSS threshold for non-attainment might occur. To establish the initial TMDL target of 35,800 ppd, ME DEP roughly split the difference between the two values. Given the relatively small difference in levels involved (between the TMDL of 35,800 ppd versus the 30,508 ppd top-of-the-attainment-range level), and the fact that monitoring will be required in the permits to further evaluate the
situation, ME DEP’s choice of TSS target level is reasonable based on the limited information available.
**EPA Assessment:**
EPA New England concludes that ME DEP used a reasonable approach to establish the relationships between pollutant loadings and water quality and that the loading capacities have been appropriately set at levels necessary to attain applicable water quality standards and targets.
With respect to DO, ME DEP has acknowledged that the various model runs predict some non-attainment in two segments (model segments 12 and 13) directly above the Upper Narrows diffuser, but explained the reasons why it believes that the predictions for low DO in these two segments are not representative of actual conditions (pages 44 & 53 TMDL report, pages 32-33 RTC). We agree with ME DEP that monitoring should continue in this location in the future to confirm actual DO levels during critical conditions.
The loading capacities assume that a certain amount of oxygen will be injected into GIP. This is a reasonable basis for establishing the loading capacities, in light of modeling that predicts non-attainment with DO criteria at actual loads from the mills in conjunction with the existing aerator at full capacity, and even in the absence of any point source discharges (see figure 48, Androscoggin River Modeling Report, May 2002). One commenter noted that in the past, the Region had indicated that it considers oxygen injection to be a temporary solution to the DO problem in GIP. It is true that generally the Region prefers pollution prevention over artificial mechanisms such as aerators. However, in this case modeling shows that pollution controls alone would not be sufficient to enable GIP to attain water quality standards. Therefore, reliance on instream aerators to supplement pollution controls is a reasonable approach.
With respect to the Livermore Falls TSS target, ME DEP offered some possible explanations for the apparent inconsistency in the data, specifically the non-attainment shown in 2002. These explanations, combined with data that showed attainment at higher loading levels, are a reasonable basis for DEP’s decision to exclude the 2002 data from the data that were used to set the TSS target. However, given the uncertainties, we strongly agree with DEP that additional monitoring is important. In particular, more data should be collected at summer low flow conditions to determine whether lack of flushing also contributes to aquatic life non-attainment. Additional monitoring will also help address the issue of DEP’s decision to split the difference between the highest loading with showed attainment, and the loading which showed non-attainment in 1995.
4. **Load Allocations (LAs)**
*EPA regulations require that a TMDL include LAs, which identify the portion of the loading capacity allocated to existing and future nonpoint sources and to natural background (40 C.F.R. § 130.2(g)). Load allocations may range from reasonably accurate estimates to gross allotments (40 C.F.R. § 130.2(g)). Where it is possible to separate natural background from nonpoint sources, load allocations should be described separately for background and for nonpoint sources.*
*If the TMDL concludes that there are no nonpoint sources and/or natural background, or the TMDL recommends a zero load allocation, the LA must be expressed as zero. If the TMDL recommends a zero LA after considering all pollutant sources, there must be a discussion of the reasoning behind this decision, since a zero LA implies an*
allocation only to point sources will result in attainment of the applicable water quality standard, and all nonpoint and background sources will be removed.
**GIP LAs for Total-P, Ortho-P, CBOD\textsubscript{u}, and TSS**
As shown in summary tables on page 3 of the TMDL summary, load allocations (LAs) for nonpoint sources are specified as a single categorical load or gross allotment for each pollutant of concern. Data for the TMDLs did not allow the separation of natural background from NPS.
ME DEP explains that “a large percentage of the phosphorus of NPS origin is unavailable for algal growth when compared to point source-available phosphorus. Ortho-P, the most available form of phosphorus, is rapidly utilized and is not typically seen in high concentrations except below point source discharges. Most of the NPS ortho-P is assimilated quickly within the tributaries themselves before reaching the Androscoggin River.” (page 53, RTC).
As discussed above, the causes of low dissolved oxygen are predominantly point source, rather than nonpoint source, discharges of phosphorus, CBOD\textsubscript{u}, and TSS. For this reason, the TMDLs for the pollutants of concern do not specify nonpoint source load reductions to meet the DO water quality standards; rather, the LAs are set at existing NPS load levels. (The nonpoint source loads are those realized at the entrance to GIP after point sources are removed from the model.)
The constant background (NPS portion) of sediment oxygen demand (SOD) is accounted for in loading capacity by the water quality model, and is expressed as mass per area per time. This approach is reasonable because monitoring data indicate SOD has been constant in GIP over many years, demonstrating equilibrium at current loads and showing that most of the heavy historical SOD loading has been exerted due to natural attenuation. New SOD caused by the ongoing discharge of TSS by the mills is accounted for in the model.
**Livermore Falls Impoundment LAs for TSS**
ME DEP established the LAs for TSS in the Livermore Fall Impoundment at actual nonpoint source levels consistent with ambient conditions when aquatic life criteria were attained. The LAs represent the difference between TSS loads (measured instream at the entrance to the impoundment) and the loads from point source dischargers (as predicted at the entrance to the impoundment using the QUAL2EU model).
In the five years of existing data, class C aquatic life criteria were not met in the summers of 1995 and 2002 (although ME DEP does not consider the 2002 data to be representative for purposes of the TMDL targets), the two years of lowest mean flow (page 55, TMDL report). No aquatic life problem was measured in the higher flow years of 2003 and 2004 (Personal communication, Paul Mitnik, 4/6/05). Thus, despite higher TSS loading in high river flow years, impairment is only found in low flow years and is attributed to the point sources (WLA) rather than nonpoint sources (LA). ME DEP explains that “The differences in non-point source TSS loads from year to year are due to differences in river flow. When river and tributary flows are higher, non-point TSS loads are higher.” (page 55, TMDL report).
**EPA Assessment:**
EPA New England concludes that DEP has established reasonable load allocations. We agree that, given the existing data, it was not possible to separate natural background from humaninduced nonpoint sources of the pollutants of concern. DEP’s approach of setting NPS loads at existing levels is reasonable since localized nonpoint source impacts on tributaries throughout the large, mostly forested watershed do not result in significant impacts on the water quality of the main stem of the Androscoggin River (pages 53, 71, 81-82 RTC). NPS runoff is sporadic, whereas the discharge of point source phosphorus, CBODu, and TSS is essentially continuous. Furthermore, unlike a lake with a long retention time that can hold phosphorus, CBODu, and TSS from large runoff events, NPS loads of these pollutants pass through Gulf Island Pond quickly during large runoff events, and there is not enough retention time for algae blooms to develop from the increased phosphorus loading. (page 53, RTC)
ME DEP has a storm water nonpoint source program consisting of both regulatory and voluntary measures to address NPS pollution from the developed and developing areas. Implementation of best management practices, though encouraged throughout the watershed, is most likely to be effective in addressing localized impacts in the tributaries of the Androscoggin River. The huge size of the mostly forested watershed, the sporadic and diffuse occurrence of NPS runoff, and pollutant assimilation prior to reaching the mainstem river, all support ME DEP’s conclusion that NPS controls would have in an insignificant impact on the mainstem Androscoggin River or GIP, especially compared to the significant impact that can be realized from controls on the more highly concentrated and continuous point source discharges of phosphorus, CBODu, and TSS. We note that since the load allocations in these TMDLs reflect current NPS loadings, the TMDLs imply that there are no additional allocations available for future NPS sources.
Florida Power and Light (FPL), the owner of Gulf Island Dam, commented that DEP is required to reduce nonpoint source contributions of the pollutants at issue, and should not be imposing oxygen injection requirements on FPL. We disagree that such a requirement exists. For reasons discussed in section 3 above, it is reasonable for DEP to base the TMDL loading capacities on the assumption that oxygen injection will occur, since under any scenario oxygen injection will be needed to meet DO criteria in the deeper portions of GIP. Once the loading capacity is established, DEP has discretion to determine the balance between waste load allocations for point sources and load allocations for nonpoint sources. EPA interprets the TMDL regulations to require “reasonable assurance” that NPS reductions will occur in the circumstance where WLAs are not as stringent as they otherwise would be based on such expected NPS reductions (reflected in the LAs). The WLAs in this TMDL do not rely on NPS reductions occurring, and therefore it is permissible for the LAs to be established at existing levels. Moreover, it is not apparent that reductions in NPS pollutants would obviate the need to provide oxygen injection. Finally, in order to ensure that the background assumption of oxygen injection is realized, it is the State’s prerogative to determine how oxygenation should be required, and from whom, consistent with its permitting and licensing authorities. DEP has stated that it intends to require oxygenation through MEPDES permits issued to the paper mills and through the § 401 certification related to the FERC license for the dam. If FPL objects to DEP’s § 401 certification requirements, its recourse would be to challenge the certification, not the TMDL.
Finally, DEP’s decision to base the Livermore Falls TSS LAs on actual NPS loadings consistent with ambient conditions when the aquatic criteria were attained was reasonable. The data indicate that the cause of the impairment is the point source discharges during critical low flow conditions, rather than NPS loadings.
5. Wasteload Allocations (WLAs)
EPA regulations require that a TMDL include WLAs, which identify the portion of the loading capacity allocated to existing and future point sources (40 C.F.R. § 130.2(h)). If no point sources are present or if the TMDL recommends a zero WLA for point sources, the WLA must be expressed as zero. If the TMDL recommends a zero WLA after considering all pollutant sources, there must be a discussion of the reasoning behind this decision, since a zero WLA implies an allocation only to nonpoint sources and background will result in attainment of the applicable water quality standard, and all point sources will be removed.
In preparing the wasteload allocations, it is not necessary that each individual point source be assigned a portion of the allocation of pollutant loading capacity. When the source is a minor discharger of the pollutant of concern or if the source is contained within an aggregated general permit, an aggregated WLA can be assigned to the group of facilities. But it is necessary to allocate the loading capacity among individual point sources as necessary to meet the water quality standard.
The TMDL submittal should also discuss whether a point source is given a less stringent wasteload allocation based on an assumption that nonpoint source load reductions will occur. In such cases, the State/Tribe will need to demonstrate reasonable assurance that the nonpoint source reductions will occur within a reasonable time.
Significant findings of the 2002 updated modeling report influencing wasteload allocations (WLAs) include the following (pages 3-4, TMDL report):
- Sediment oxygen demand (SOD) is the largest source of dissolved oxygen depletion in the deeper areas of the pond, primarily from the settling and decay of algae, and to a lesser extent, the continuing discharge of TSS.
- Current point source discharges account for half the SOD; nonpoint source and natural sources account for the other half;
- Current point source discharges and the existence of the large GIP impoundment below the discharges are the primary cause of algae blooms;
- Paper mills account for the majority of phosphorus and biochemical oxygen demand (BOD) inputs to the pond.
All WLAs are based on critical conditions of low flows (7Q10 and 30Q10) and high temperatures. As discussed above, the third usual critical condition of maximum inputs (point sources discharging at licensed limits) was changed in response to public comments (criticizing the implicit margin of safety used in the draft TMDL). The final GIP TMDLs for CBODu, total-P, and ortho-P, and the TSS TMDL for Livermore Falls impoundment (page 58) have point source allocations inflated by clustering factors (derived from DMRs). The clustering factor applied to each of these TMDLs accounts for the unlikely occurrence of all point sources discharging their maximum loads simultaneously. This approach of modifying a very conservative loading assumption is reasonable because ME DEP subsequently applies an explicit margin of safety which results in the WLAs being reduced by the application of a 10% margin of safety (see discussion in sec. 6, MOS) in lieu of the conservative assumption (implicit MOS) that all the mills discharge simultaneously at maximum permitted loads. The explicit MOS is being used to account for uncertainty associated with pollutant loads, monitoring, and modeling based on 1-3 years of mill monitoring data, 4 years of modeling data, and DEP ambient river data since the 1960's.
WLAs for Total-P, Ortho-P, CBODu, and TSS
Wasteload allocations for all point sources combined are listed for each pollutant in the TMDL summary tables on page 3 (TMDL summary). In response to public comments, DEP established default WLAs for individual dischargers for each of the pollutants of concern, as described in the following tables in the report:
- Total-P and Ortho-P for GIP as a 30-day average
Table 6, page 26;
- CBODu for GIP as a 7-day average
Table 8, page 32;
- CBODu for GIP as a 30-day average
Table 9, page 34;
- TSS for GIP as an annual average
Table 10, page 54;
- TSS for Livermore Falls Impoundment as a 60-day average
Table 13, page 58.
Since the TMDLs for GIP and Livermore Falls impoundment account for multiple dischargers over many miles of river, the TMDLs are established as loading capacities at the entrance to GIP, for modeling efficiency. WLAs for each discharger are back-calculated to the outfall, and for purposes of the TMDL only, the WLAs are also calculated at the entrance to GIP. Since the municipal dischargers individually represent such a small percent of the impact of pollutant discharges in GIP, the municipal WLAs at the entrance to GIP are presented as a composite number.
Trading Conditions
The TMDLs for phosphorus and TSS explicitly state that the default WLAs for those pollutants may be adjusted, following TMDL approval, by implementing trading among the major dischargers (the 3 paper mills and Livermore Falls WWTP). Trading ratios are provided for ortho-P and organic-P (Table 5, page 23 TMDL report) and TSS (Table 14, page 59 TMDL report). Such trading may occur provided that there are safeguards to ensure that the revised allocations do not cause localized water quality impacts ("hotspots"), the total of the adjusted WLAs does not exceed the total of the default WLAs, and there is an opportunity for public review/comment on the revised allocations (such as during the MEPDES permit process) (page 5 TMDL summary).
Gulf Island Pond Phosphorus WLAs
Seasonal (June to September) GIP WLAs for phosphorus are listed for each MEPDES-permitted dischargers in Table 6. Those WLAs consist of 2004 average summer phosphorus discharges as initial allocations whenever possible. Load assignment priority is inversely proportional to the receiving water impact. For phosphorus, all point sources are given 2004 discharge loads except International Paper (IP), which is the point source with highest impact to GIP and which requires a reduction in ortho-P to meet that TMDL.).
Seasonal (June to September) GIP WLAs for CBODu are listed for each discharger at its outfall in Table 8 (7-day average) and Table 9 (30-day average). Mills are given water quality-based loads, and municipal discharges are given technology-based loads (pages 32 and 34 TMDL report). The WLA for Fraser Paper (located in Berlin, NH) is set at 11,500 ppd as a weekly average at the outfall in order to maintain the Class B criterion of 7.0 ppm which applies from the NH border to the confluence of the Ellis River in Maine (see page 3 TMDL summary and
The WLAs for CBODu at Twin Bridges, the entrance to GIP, are listed for each mill individually along with a subtotal for the municipal dischargers, as explained above.
Year-round GIP WLAs for TSS are listed for each discharger at its outfall in Table 10 (annual average). Mills are given water quality-based loads, and municipal discharges are given technology-based (i.e., secondary treatment-based) loads (page 54 TMDL report). WLAs for TSS at Twin Bridges, the entrance to GIP, are listed for each mill individually along with a subtotal for the municipal dischargers, as explained above.
**GIP Instream Aeration System**
As with loading capacity, the waste load allocations are predicated on the implementation of instream aeration. This approach is reasonable because modeling indicates that the DO criteria could not be attained in the absence of aeration even if the point source discharges were eliminated.
**Livermore Falls Impoundment WLAs**
Seasonal (June to September) Livermore Falls WLAs for TSS are listed for each discharger at its outfall in Table 13 (60-day average). Mills are given water quality-based loads, and municipal discharges are given technology-based loads (page 58 TMDL report). WLAs for TSS at Twin Bridges, the entrance to GIP, are listed for each mill individually along with a subtotal for the municipal dischargers, as explained above. A 60-day averaging period for the WLAs is reasonable because 60 days is the time period ME DEP states is required for the samplers to evaluate aquatic life attainment status.
**EPA Assessment:**
EPA New England concludes that the WLAs for the TMDLs are adequate. The TMDL report identifies the paper mills as the dominant sources of pollutant loading to the river. The WLAs and LAs set pollutant loads so that water quality standards and targets will be met (provided that the recommendation discussed below regarding daily maximum BOD$_5$ is implemented). With continued in-stream injection of DO (at increased levels from past practice), water quality modeling predicts compliance with water quality standards and targets once permit limits are implemented. This TMDL includes an adaptive management approach to implementation (see section 9 below).
The WLAs for BOD$_5$ are established as a 7 day average. It is EPA’s understanding that the 7 day average represents a loading that is intended to meet a daily minimum instream DO of 5.0 ppm on average over seven days (see discussion on page 30 of the final TMDL report). The loadings were adjusted to assure attainment of the instantaneous DO criteria by applying a diurnal adjustment factor to the model output as explained on page 30, footnote 9, of the TMDL report. However, since Maine’s DO criterion of 5.0 ppm is expressed as a minimum value, not a seven day average, the 7 day average loadings should be implemented in licensing as daily maximum loadings/daily maximum permit limits. In addition, the alternative of increasing the 7 day average loadings by multiples greater than one to obtain daily maximum loadings, as presented under “Licensing Recommendations” in Table 8, is therefore not appropriate and should not be used.
The WLAs for the paper mills were established based on the TMDL modeling efforts and not on the mills’ §125.3(f) demonstration, which was submitted to DEP shortly before the TMDL was finalized. In approving the TMDL, EPA is not endorsing the §125.3(f) demonstration. That document was not available at the time of the draft TMDL and neither EPA nor the public had the opportunity to comment on it during the TMDL development process. We believe that the MEPDES licensing process for the mills is the appropriate forum for addressing the merits of the §125.3(f) demonstration, including whether sufficient alternatives were evaluated and what the appropriate level of pollutant discharge should be consistent with §125.3(f). For purposes of this TMDL approval, we agree that oxygen injection will be needed under any scenario, and we also believe it was reasonable for DEP to determine that the point source discharges would not be eliminated and that the dam would not be removed. Under those circumstances, DEP struck a reasonable balance between the general use of oxygen injection and WLAs. In the licensing process, however, DEP will still need to determine the appropriate level of pollutant controls beyond which oxygen injection becomes the preferred economic and environmental method for attaining WQS in satisfaction of §125.3(f). That might be the level at which the WLAs have been established, or, as some have commented, it might be at levels closer to the actual (lower) pollutant loads that the mills have discharged in recent years.
**Default Allocations and Trading**
EPA agrees that the default allocations may be adjusted in the manner described in the TMDLs without the need for submission and approval of a revised TMDL, provided that the stated conditions on trading are satisfied. The TMDL report is consistent with EPA’s 2003 policy on water quality trading with respect to safeguards against localized “hotspots,” the sum of the WLAs being less than or equal to the approved TMDL, modification of facility-specific WLAs with the use of the exchange ratios (identified on page 5 TMDL summary, and in Tables 6 and 14 of the TMDL report), and an opportunity for public review and comment. The TMDLs do not address the potential for trading between WLAs and LAs. Any reallocations from LAs to WLAs (based on assumed reductions in LAs) must be reflected in a revised TMDL to ensure that there is a reasonable assurance that the modified LAs could be achieved.
**Out-of-State WLAs**
EPA believes that states have some flexibility to make assumptions about improvements in water quality beyond their jurisdictions. If they base a TMDL on such assumptions, states must clearly explain why the assumptions are reasonable. In this case, the WLAs for point sources located in New Hampshire which discharge to the Androscoggin River upstream of Livermore Falls Impoundment and Gulf Island Pond in Maine were derived from the same modeling effort as the WLAs for the dischargers located in Maine. The weekly BOD$_5$ WLA for Fraser Paper in Berlin, NH, was established to ensure that Maine’s minimum class B DO criterion in the Androscoggin River is met at the state line, and throughout the Class B segment to the confluence with the Ellis River. (page 32 Table 8, footnote 3, TMDL report).
EPA is not approving the out-of-state loads as formal allocations, since Maine does not have the authority to impose an allocation on an out-of-state source. On the other hand, EPA believes that these estimates of pollutant loads make sense and therefore is approving them as reasonable assumptions on which the in-state loads are based. Moreover, EPA is prepared to use its
authorities when issuing NPDES permits to dischargers in New Hampshire, to establish facility-specific effluent limits for CBODu, total-P, ortho-P, and TSS that are consistent with the WLAs in the TMDLs.
6. Margin of Safety (MOS)
The statute and regulations require that a TMDL include a margin of safety to account for any lack of knowledge concerning the relationship between load and wasteload allocations and water quality (CWA § 303(d)(1)(C), 40 C.F.R. § 130.7(c)(1) ). EPA guidance explains that the MOS may be implicit, i.e., incorporated into the TMDL through conservative assumptions in the analysis, or explicit, i.e., expressed in the TMDL as loadings set aside for the MOS. If the MOS is implicit, the conservative assumptions in the analysis that account for the MOS must be described. If the MOS is explicit, the loading set aside for the MOS must be identified.
The final TMDLs include an explicit margin of safety of 10% of the total loading capacities, (which is based on the Department’s experience, water quality assessment work, water quality modeling, and best professional judgment) in order to account for any lack of knowledge concerning the relationship between pollutant loads and water quality in the Androscoggin River. ME DEP applied an explicit margin of safety, which reduced the WLAs by 10% rather than relying on the implicit MOS approach taken in the draft TMDL, which was based on the conservative assumption that all the mills discharge simultaneously at maximum permitted loads. The explicit MOS being used to account for uncertainty associated with pollutant loads, monitoring, and modeling is based on 1-3 years of mill monitoring data, 4 years of modeling data, and DEP ambient river data since the 1960’s.
In addition, DEP has recommended that the dischargers conduct ambient monitoring for a minimum of five years. While this additional monitoring is not part of the MOS, it could further bolster confidence in the relationship between the loads and water quality or, conversely, provide accurate, site specific information that would support adjustment of the TMDLs.
EPA Assessment:
EPA New England has evaluated the margin of safety and believes that the explicit MOS is adequate. Margins of safety are subjective estimates at best. Given ME DEP’s extensive study of this system and commitment to future monitoring, adaptive management, and a willingness to adjust the TMDL, as necessary, (based on measurement of actual physical, chemical and biological responses of the river to future pollutant loading), EPA believes the MOS is adequate.
7. Seasonal Variation
The statute and regulations require that a TMDL be established with consideration of seasonal variations. The method chosen for including seasonal variations in the TMDL must be described CWA § 303(d)(1)(C), 40 C.F.R. § 130.7(c)(1).
The GIP TMDLs for CBODu and phosphorus, are seasonal, limited to the months of June to September, since DO non-attainment and algae blooms are limited to the summer period. The GIP TSS TMDL is established to control the accumulation of solids and their resulting sediment oxygen demand. Because accumulation occurs over a long period of time, the TMDL is expressed as an annual average (page 6, TMDL summary).
The Livermore Falls TMDL for TSS is intended to address the aquatic life non-attainment of the Livermore Falls impoundment, which occurs in the summer months. Therefore, the TMDL is seasonal, from June to September. The TMDL establishes a 60 day averaging time for the loads, since the duration of macro-invertebrate sampling time is typically 60 days.
**EPA Assessment:**
EPA New England concludes that seasonal variations have been adequately accounted for in the TMDLs. The TMDLs for CBODu, total-P, and ortho-P are only necessary in summer and are not needed to ensure compliance with water quality standards in the non-summer months when temperatures are lower (directly affecting dissolved oxygen), when light intensity is reduced, and algal growth is significantly reduced.
EPA concurs that an annual TSS TMDL is needed in GIP to prevent the accumulation of solids (which are discharged year-round) in the deeper areas of the impoundment and subsequent high levels of SOD lowering DO levels in the deeper waters. Phosphorus is also important for controlling SOD because when algae die and settle to the bottom, their remains create SOD. However, seasonal phosphorus limits make sense because algae blooms are only an issue during the summer and early fall, when warmer temperatures and higher levels of light intensity are available to support algae growth.
A summer TSS TMDL for Livermore Falls impoundment is reasonable because this stretch of the Androscoggin River is much more shallow than GIP, and solids buildup over longer periods of time appears not to be an issue because of wash-out during higher river flows (personal communication with Paul Mitnik, ME DEP 4/12/05). Suspended solids, solids settling, and the impact on aquatic life is an issue in the Livermore Falls impoundment during lower river flows, warmer temperatures, and increased aquatic life activity.
8. Monitoring Plan for TMDLs Developed Under the Phased Approach
*EPA’s 1991 document, Guidance for Water Quality-Based Decisions: The TMDL Process (EPA 440/4-91-001), recommends a monitoring plan when a TMDL is developed under the phased approach. The guidance recommends that a TMDL developed under the phased approach also should provide assurances that nonpoint source controls will achieve expected load reductions. The phased approach is appropriate when a TMDL involves both point and nonpoint sources and the point source is given a less stringent wasteload allocation based on an assumption that nonpoint source load reductions will occur. EPA’s guidance provides that a TMDL developed under the phased approach should include a monitoring plan that describes the additional data to be collected to determine if the load reductions required by the TMDL lead to attainment of water quality standards.*
ME DEP recommends that ambient monitoring by dischargers should be undertaken for a minimum of five years during the phased implementation of the TMDLs, including weekly sampling from June to September at five locations for chlorophyll-a, total and ortho-P, DO, temperature, and Secchi depth. (page 7-8, TMDL summary). Summer macro-invertebrate sampling of Livermore Falls Impoundment is recommended as a yearly requirement until more data can be collected during extended low flow conditions (page 58, TMDL report).
ME DEP recommends that continuous monitoring for DO/temperature be done at a depth of 60 feet near the dam (the most difficult location for meeting compliance of DO criteria within the pond). ME DEP also establishes monitoring end points (summers without algae blooms, aquatic
life and DO criteria maintained) and states that "If end points are reached before the final TMDL is realized, a new TMDL will be submitted to EPA for approval." (page 8, TMDL summary).
**EPA Assessment:**
EPA believes that monitoring is an important component of TMDL implementation for GIP. We are pleased to see that ME DEP has provided a monitoring plan used successfully in 2004 which will obtain information for updating the TMDL, as needed. The TMDL recommends a minimum of five years of monitoring.
The Region is reserving judgment about whether or when a revised TMDL would be appropriate. EPA expects the TMDLs to result in attainment of water quality standards, meaning that algae blooms no longer occur in GIP; dissolved oxygen levels are met in GIP just above the thermocline from June to September every year during flows at and above 7Q10; and aquatic life criteria are attained and maintained in the Livermore Falls impoundment at and above 7Q10 flows. If monitoring indicates WQS are not attained, the TMDLs would have to be made more stringent.
9. **Implementation Plans**
*On August 8, 1997, Bob Perciasepe (EPA Assistant Administrator for the Office of Water) issued a memorandum, “New Policies for Establishing and Implementing Total Maximum Daily Loads (TMDLs),” that directs Regions to work in partnership with States/Tribes to achieve nonpoint source load allocations established for 303(d)-listed waters impaired solely or primarily by nonpoint sources. To this end, the memorandum asks that Regions assist States/Tribes in developing implementation plans that include reasonable assurances that the nonpoint source load allocations established in TMDLs for waters impaired solely or primarily by nonpoint sources will in fact be achieved. The memorandum also includes a discussion of renewed focus on the public participation process and recognition of other relevant watershed management processes used in the TMDL process. Although implementation plans are not approved by EPA, they help establish the basis for EPA’s approval of TMDLs.*
The TMDLs and oxygen injection requirements will be implemented through MEPDES permitting and a water quality certification for the Gulf Island Dam Hydropower licensing. The default WLAs are provided by ME DEP for CBODu, total-P, ortho-P, and TSS; and trading ratios are specified for ortho-P, organic-P and TSS. ME DEP recommends implementation by the point sources in phases of two or three step reductions with required ambient monitoring.
ME DEP intends to include oxygen injection load recommendations in its 401 certification for the Gulf Island Dam Hydropower license to ensure that the dam complies with class C DO criteria because the “presence of the dam clearly affects the assimilative capacity available in GIP, as evidenced by the model’s prediction of non-attainment of DO criteria in some of the pond areas at zero discharge of point sources, and the TMDL needs to account for this fact.” (page 79, RTC). Modeling also estimates the dam accounts for about 20% of the algae levels in GIP with the TMDL implemented (page 7, TMDL summary).
**EPA Assessment:**
Addressed, though not required. EPA recognizes that where immediate compliance is not possible, phased implementation is a reasonable approach. Compliance opportunities are presented by improved controls on phosphorus addition (needed and added by the mills to
support the biological treatment processes used by the mills), improved TSS removal, experimentation with the biological treatment system operational mode, and flow reduction.
10. Reasonable Assurances
EPA guidance calls for reasonable assurances when TMDLs are developed for waters impaired by both point and nonpoint sources. In a water impaired by both point and nonpoint sources, where a point source is given a less stringent wasteload allocation based on an assumption that nonpoint source load reductions will occur, reasonable assurance that the nonpoint source reductions will happen must be explained in order for the TMDL to be approvable. This information is necessary for EPA to determine that the load and wasteload allocations will achieve water quality standards.
In a water impaired solely by nonpoint sources, reasonable assurances that load reductions will be achieved are not required in order for a TMDL to be approvable. However, for such nonpoint source-only waters, States/Tribes are strongly encouraged to provide reasonable assurances regarding achievement of load allocations in the implementation plans described in section 9, above. As described in the August 8, 1997 Perciasepe memorandum, such reasonable assurances should be included in State/Tribe implementation plans and “may be non-regulatory, regulatory, or incentive-based, consistent with applicable laws and programs.”
ME DEP explains that the WLAs in these TMDLs are based on the assumption that “in-stream aeration is required for GIP and results in less stringent WLAs for CBODu as a 7 and 30 day average and TSS as an annual average.” (page 7, TMDL summary). Reasonable assurance that the in-stream oxygen injection will occur will be provided through legally enforceable waste discharge permits and the 401 water quality certificate for Gulf Island dam.
EPA Assessment: EPA concurs that it is reasonable to rely on instream aeration to assist in meeting water quality standards because water quality modeling predicts nonattainment of WQS even at zero discharge, and because instream aeration will improve DO levels immediately above the thermocline (an area which provides essential habitat during critical conditions) (see page 8 of this document), whereas even elimination in mill BOD discharge levels would not provide the required increase in DO just above the thermocline. EPA also believes that the issuance of discharge permits for the mills and a § 401 certification for the dam will provide reasonable assurance that the instream aeration will occur.
11. Public Participation
EPA policy is that there must be full and meaningful public participation in the TMDL development process. Each State/Tribe must, therefore, provide for public participation consistent with its own continuing planning process and public participation requirements (40 C.F.R. § 130.7(c)(1)(ii)). In guidance, EPA has explained that final TMDLs submitted to EPA for review and approval must describe the State/Tribe’s public participation process, including a summary of significant comments and the State/Tribe’s responses to those comments. When EPA establishes a TMDL, EPA regulations require EPA to publish a notice seeking public comment (40 C.F.R. § 130.7(d)(2)).
Inadequate public participation could be a basis for disapproving a TMDL; however, where EPA determines that a State/Tribe has not provided adequate public participation, EPA may defer its approval action until adequate public participation has been provided for, either by the State/Tribe or by EPA.
ME DEP hosted a number of stakeholder meetings in 2003 and 2004 on modeling, data collection and stakeholder concerns about development of the Androscoggin River TMDL. Both the 2002 modeling report and the 2004 data report went through public review and comment
periods. Public meetings in Lewiston and Rumford in December 2004 were held to obtain public comment. The public review draft of the TMDL was posted on ME DEP’s website on January 3, 2005 with an original deadline of February 3, 2005 for comments; electronic notices of availability were sent to all members of the stakeholders group, and the report was advertised in local newspapers from Berlin, NH to Lewiston, ME. The deadline was extended, upon request, for 15 days, until February 18, 2005. DEP posted all comments on the Department’s website, and provided EPA with a complete set of public comments with the final submission. ME DEP provided EPA with a response summary and the Department’s response to comments as a separate document along with the final May 18, 2005 TMDL submittal.
ME DEP made a number of revisions to the draft TMDL in response to public comments. A list of significant changes is provided on pages 8-9 of the TMDL summary and includes the following key changes:
- Removal of conservative assumption of all point sources discharging maximum loads simultaneously (with substitution of an explicit margin of safety);
- Use of 10% explicit margin of safety;
- Re-allocations of phosphorus and TSS;
- Establishment of default allocations for phosphorus, TSS, and CBODu, and a default oxygen injection requirement.
**EPA Assessment:** EPA New England concludes that ME DEP involved the public during the development of the TMDL for the Androscoggin River, has provided adequate opportunities for the public to comment on the TMDL, and has provided reasonable responses to the public comments.
## Data for entry in EPA’s National TMDL Tracking System
| TMDL/Waterbody Segment Name* | Androscoggin River – Gulf Island Pond |
|-----------------------------|--------------------------------------|
| Number of TMDLs* | 4 |
| Lead State / Towns* | Maine (ME) / Lewiston, Auburn |
| TMDL Status | Final |
| Pollutant ID | 515 (total phosphorus) |
| | 622 (ortho-phosphorus) |
| | 144 (CBODu) |
| | 518 (TSS) |
| TMDL End Point | 5.0 ppm Dissolved Oxygen (min. criteria for class C) |
| | 6.5 ppm DO (monthly average) |
| | 7.0 ppm DO (min. criteria for class B for NH mill) |
| | 10 ppb cholorophyll-a to eliminate algae blooms |
| TMDL Type | Point and Nonpoint Source |
| Point Sources & Permit # | NH 0100013 - Berlin POTW |
| | NH 0100927 - Gorham POTW |
| | ME 0101176 - Bethel POTW |
| | ME 0101486, ME 0100552 - Rumford-Mexico POTW |
| | ME 0100315 - Livermore falls POTW |
| | NH 0000655 - Fraser Paper (Berlin) |
| | ME 0002054 - Mead Westvaco (Rumford) |
| | ME 0001937 - International Paper (Jay) |
| List ID (from system) | |
| Impairment ID | Use impairment of aquatic life and recreation due to low DO, low transparency, and excessive nutrients. |
| Cycle (list date) | 2004 (use 1998 until 2002 and 2004 entered) |
| Establishment Date (approval)* | July 18, 2005 |
| EPA Developed | No |
* Data for EPA Region 1 TMDL web page.
## Data for entry in EPA’s National TMDL Tracking System
| TMDL/Waterbody Segment Name* | Androscoggin River – Livermore Falls Impoundment |
|-----------------------------|--------------------------------------------------|
| Number of TMDLs* | 1 |
| Lead State / Towns* | Maine (ME) / Livermore Falls |
| TMDL Status | [Final] |
| Pollutant ID | 518 (TSS) |
| TMDL End Point | Aquatic life criteria for class C (narr. & numeric – macro) |
| TMDL Type | Point and Nonpoint Source |
| Point Sources & Permit # | (See above list for Gulf Island Pond) |
| List ID (from system) | |
| Impairment ID | Aquatic Life Impairment |
| Cycle (list date) | 2004 (use 1998 until 2002 and 2004 entered) |
| Establishment Date (approval)* | July 18, 2005 |
| EPA Developed | No | |
June 2, 2015
Jeff E. Butler, Esquire
Clifford Chance US LLP
31 West 52nd Street
New York, NY 10019
David J. Gogal, Esquire
Blankingship & Keith, P.C.
4020 University Drive, Suite 300
Fairfax, VA 22030
J. Chapman Petersen, Esquire
Surovell Isaacs Petersen & Levy
4010 University Drive, 2nd Floor
Fairfax, VA 22030
Re: Airbus Americas, Inc. v. Shareholder Representative Services LLC, as Agent for the Company Holders of Metron Holdings, Inc., et al., Case No. CL-2014-1010
Dear Counsel:
This matter came before the court for a 12-day bench trial beginning on April 6, 2015 and concluding on April 22, 2015. At the conclusion of the trial, the court took the matter under advisement. Since then, I have had
the opportunity to review and consider all of the exhibits entered into evidence, the pleadings, the testimony of witnesses, and the arguments of counsel. For the reasons stated below, the court will enter an order finding in favor of the plaintiff and awarding the plaintiff $9,414,700 in damages.
I. The Parties
The plaintiff in this case is Airbus Americas, Inc. ("Airbus" or the "Plaintiff"). The defendants are Shareholder Representative Services, LLC ("SRS"), as agent for the Company Holders of Metron Holdings, Inc. ("Metron Holdings"), along with the major former shareholders of Metron Holdings: Boulder Ventures V LP, David Ellison, Trisun Financial Group LLC, Spring Capital Partners II LP, Ellison Family Partnership LP, Macks Managed Investments, The John D. Young Revocable Trust, John D. Young Revocable Trust Dated 2/28/2005, John W. Kies, Norman T. Fujisaki, Michael P. Gundling, David Basil, Patricia Ellison, YMMM LLC, Donato J. Antonucci Revocable Trust, Donato J. Antonucci Revocable Trust dated February 17, 2009, Theresa Antonucci Revocable Trust, and Theresa Antonucci Revocable Trust dated February 17, 2009 (SRS and the former shareholders may be referred to collectively as the "Defendants").
II. Background
In its Amended Complaint, Airbus alleges a single cause of action against the Defendants seeking indemnification for Metron's alleged breaches of contract related to Airbus's acquisition of Metron Holdings in 2011.
Airbus is a Delaware corporation with its principal place of business in Herndon, Virginia. (Airbus's parent, Airbus S.A.S., is based in France.) Airbus is engaged in the business of manufacturing aircraft. Defendant SRS
is a Colorado limited liability company with its principal place of business in Denver, Colorado. SRS acted as an agent and attorney-in-fact for the shareholders of Metron Holdings in connection with the merger that is the subject of this lawsuit. Metron Holdings is a Delaware corporation, with its principal place of business in Dulles, Virginia. Metron Holdings is engaged in the business of developing software. Metron Holdings’ subsidiary, Metron Aviation, Inc. (“Metron Aviation”) specializes in developing and marketing software for use in managing air traffic flow in and out of major airports. (Metron Holdings and Metron Aviation shall be collectively referred to as “Metron.”) Metron’s customers are typically Air Navigation Service Providers (“ANSPs”) or airlines. ANSPs are generally government agencies or government-owned companies, such as the Federal Aviation Administration in the United States.
On October 18, 2011, Airbus acquired Metron for $75 million, subject to some post-closing adjustments. The acquisition was structured as a merger, pursuant to an “Agreement and Plan of Merger” dated July 25, 2011 between Airbus, Yucatan Acquisition Corporation (a subsidiary of Airbus), Metron, and SRS (the “Merger Agreement”).
In the Merger Agreement, Metron made representations and warranties to Airbus about Metron’s financial condition. The shareholders agreed to indemnify Airbus for any breaches of those representations and warranties. A $5.8 million escrow (the “Escrow”) was established at closing to fund any liability for a breach of a representation or warranty.
Airbus alleges that Metron breached several of its representations and warranties in the Merger Agreement. Specifically, Airbus claims that Metron breached the representations and warranties that its financial statements were kept in accordance with “Generally Accepted Accounting Principles” (“GAAP”), that Metron was not a party to any government contract that was reasonably expected to result in a loss, and that Metron had no liabilities that were not disclosed on its financial statements prepared in accordance
with GAAP. In addition, Metron’s shareholders agreed to indemnify Airbus for any inaccuracies in the closing statement, known as the “Consideration Spreadsheet.”
Airbus seeks $17 million in damages for Metron’s alleged breaches of contract. Airbus requests an order declaring that Airbus is entitled to the entire Escrow, plus a money judgment against Metron’s former shareholders for Airbus’s losses in excess of the Escrow. The Merger Agreement provides that the shareholders are severally, but not jointly, liable for any damages in excess of the Escrow in accordance with the shareholder’s pre-merger interest in Metron.\(^1\)
In their Answer, the Defendants deny that Metron breached any of its representations and warranties in the Merger Agreement, and deny further that Airbus has suffered any damages.
### III. The Representations and Warranties in the Merger Agreement Alleged to Have Been Breached
Airbus alleges that Metron breached the following representations and warranties:
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\(^1\) The Merger Agreement caps the shareholder’s liability for breaches of different representations and warranties at different amounts. In most instances, their liability is capped at the amount of the Escrow. There are “Special Representations” under the Merger Agreement. Liability for a breach of a Special Representation is capped at $15 million. Indemnification for a breach of the representation and warranty that the Consideration Spreadsheet was accurate is limited to the amount of the “Merger Consideration” as that term was defined in the Merger Agreement (approximately $55 million, after adjusting for net working capital).
1. **Metron’s Financial Statements Have Been Kept in Accordance With GAAP.**
In § 3.7 of the Merger Agreement, Metron warranted that:
The Company Financial Statements\(^2\) (i) are consistent with the books and records of the Companies; (ii) have been prepared in accordance with GAAP (except as disclosed in the notes thereto and except that the unaudited Company Financial Statements do not contain footnotes and are subject to normal year-end audit adjustments) applied on a consistent basis throughout the periods covered; and (iii) fairly present, in all material respects and in accordance with GAAP, the financial condition, results of operations, stockholders’ equity and cash flows of the Company as of the dates indicated thereon, subject to normal year end audit adjustments and the absence of footnotes in the case of the unaudited Company Financial Statements.
2. **Metron Has No Government Contracts Reasonably Expected to Result in a Loss.**
Section 3.28(c) of the Merger Agreement provides, in pertinent part:
As of the date hereof, neither the Company [Metron] nor the Company Subsidiary [Metron Aviation] is a party to any Government Contract which is reasonably expected to result in a loss to the Company or the Company Subsidiary.
Section 1.1 of the Merger Agreement defines “Government Contract” as follows:
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\(^2\) All of the initially-capitalized terms are defined terms in the Merger Agreement. See P’s Ex. #24.
[A]ny prime contract, subcontract, task or delivery order, teaming agreement or arrangement, joint venture, basic ordering agreement, blanket purchase agreement, letter contract, grant, cooperative agreement, Government Bid, change order of other commitment of funding vehicle between the Company or Company Subsidiary and (a) a Governmental Authority, (b) any prime contractor to a Governmental Authority, or (c) any subcontractor with respect to any contract described in (a) or (b).
A "Governmental Authority" is defined in § 1.1 as:
[A]ny government or any agency, bureau, board, commission, court, department, official, political subdivision, tribunal or other instrumentality of any government, whether federal, state or local, domestic or foreign.
3. **Metron Has No Undisclosed Liabilities.**
Section 3.10 of the Merger Agreement provides:
The Companies [Metron Holdings and Metron Aviation] have no liabilities, indebtedness, claims, deficiencies, expenses, guarantees or other obligations of any nature (matured or unmatured, accrued or unaccrued, fixed or contingent) required to be reflected, reserved against or otherwise disclosed in or on the Company Financial Statements prepared in accordance with GAAP other than indebtedness, claims, deficiencies, expenses, guarantees or other obligations: (a) identified as such in the Company Balance Sheet; (b) described in Section 3.10 of the Company Disclosure Schedule; (c) incurred in the Ordinary Course of Business since the Company Balance Sheet Date; or
(d) incurred in connection with the preparation, execution, delivery and performance of this Agreement.
4. **The Consideration Spreadsheet is Accurate.**
Section 9.2(b) of the Merger Agreement provides, in pertinent part:
Subject to the limitations set forth in this Section 9.2(b) and Sections 9.2(a) and 9.2(c) and the other limitations set forth in this Agreement, from and after the Effective Time, Purchaser and its Affiliates and their respective stockholders, directors, officers, employees, agents, successors in interest and assigns (each of the foregoing being referred to individually as a “Indemnified Person” and collectively as “Indemnified Persons”) will be entitled to be indemnified for Damages actually incurred by such Indemnified Person as a result of . . . (iv) any inaccuracy in the Consideration Spreadsheet, including any Specified Transaction Expenses that are not reflected therein . . .
**IV. The Airservices Australia Contract**
1. **Overview of the ASA Contract**
All of Airbus’s claims relate to the Metron’s pre-merger accounting treatment of a “Software Supply and Support Agreement” dated April 29, 2010 between Metron Aviation and Airservices Australia (the “ASA Contract”). See P’s Ex. # 5. Airservices Australia (“ASA”) is a corporation wholly-owned by the government of Australia. ASA is an ANSP (as such, it is the Australian equivalent of the Federal Aviation Administration).
After the merger, Airbus was disappointed in the financial performance of Metron. Airbus conducted an investigation, and concluded that the ASA Contract was generating substantial losses for Metron. Upon further investigation, Airbus concluded that Metron’s pre-merger financial books and records were not in accordance with GAAP in their treatment of the ASA Contract. Airbus maintains that those accounting errors resulted in a breach of Metron’s representations and warranties under the Merger Agreement, thus triggering the indemnification provisions of the Merger Agreement.
Before entering into the ASA Contract, Metron was engaged in the process of developing a commercial software product for use by ANSPs. This product was called “Metron Traffic Flow.” Metron had a long-range plan for the functionality that it expected to develop for future upgrades to Metron Traffic Flow. Metron called this plan its “product roadmap.” Metron planned to develop Metron Traffic Flow as a commercial off-the-shelf product (“COTS”) which could be sold or licensed to ANSPs around the world. Prior
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3 Although Airbus engaged in extensive due diligence prior to the merger in October 2011, there were no audited financial statements for Metron after December 31, 2010. The accounting errors that Airbus complains of largely occurred in 2011. Section 9.2(f) of the Merger Agreement provides that Airbus’s claims to indemnification under the Merger Agreement “shall not be affected by any investigation conducted with respect to, or any knowledge acquired (or capable of being acquired) at any time, whether before or after the execution and delivery of this Agreement or the Closing Date, with respect to the accuracy of or compliance with, any of the representations, warranties, covenants, or agreements set forth in this Agreement.”
4 The name was later changed to “Harmony for ANSPs.”
5 In the context of software development, a “product roadmap” is the developer’s plan of what future functionality will be added to the software and when.
6 According to Webopedia, which describes itself as “an online dictionary and Internet search engine for information technology and computing definitions,” COTS is “[s]hort for commercial off-the-shelf, an adjective that describes software or hardware products that are ready-made and available for sale to the general public. For example, Microsoft Office is a COTS product that is a packaged software solution for businesses. COTS products are designed to be implemented easily into existing systems without the need for customization.” http://www.webopedia.com/TERM/C/COTS.html, last accessed May 3, 2015. Lewis “Chip” Hathaway, the former vice president of product development for Metron
to the merger, Metron charged all of its research and development costs for Metron Traffic Flow as a general expense as incurred, which appeared on its balance sheet as a liability. As with many software developers, Metron expected to lose money during the development phase and recoup those losses and, it hoped, earn profits when it later sold or licensed the product to end users.
Metron’s first sale of Metron Traffic Flow occurred in April 2010 when it entered into the ASA Contract. ASA was considered the “launch customer” for the product. The ASA Contract had three phases: the licensing phase, the implementation phase, and the support and maintenance phase.
Under the ASA Contract, Metron agreed to deliver software to ASA in three stages: Stage 1a, Stage 1b, and Stage 2. The functionality of Stage 1a was set forth in Schedule 2 to the ASA Contract. The functionality of Stage 1b was specified in Schedule 3 to the ASA Contract. The functionality expected in Stage 2 was set forth in Schedule 4 to the ASA Contract, with the proviso that the final requirements of functionality under Stage 2 would be determined later by mutual agreement. When the ASA Contract was executed in April 2010, deadlines were established for the delivery of the stages: Stage 1a functionality was to be delivered by October 18, 2010, Stage 1b by May 30, 2011, and Stage 2 by December 31, 2014.\(^7\)
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both before and after the merger, testified that a COTS product is one that is ready to be delivered to the customer and that can be used immediately.
\(^7\) The ASA Contract was amended at various times by “Deeds of Variation.” Deed of Variation No. 1 was entered into on August 11, 2010. It attached the product roadmap to the ASA Contract. Deed of Variation No. 2 was entered into on November 16, 2010. Among other things, it made minor modifications to the functionality due in Stage 1a and delayed the timing of the delivery of the functionality due in Stage 1b. Deed of Variation No. 3 was entered into on September 8, 2011. It modified the Stage 1b requirements. Deed of Variation No. 4 was entered into in April 2012 (post-merger). It replaced Schedules 3 and 4 to the ASA Contract (which detailed the functionality to be delivered in Stages 1b and 2) with new schedules that described the future functionality with greater precision.
Despite Metron’s intention that Metron Traffic Flow would be a COTS product, when the ASA Contract was signed in April 2010, Stage 1a functionality was not ready to be delivered. Between April and October 2010, when a version of the Stage 1a software was delivered to Airbus,\(^8\) Metron had a team of software developers (seven to eight in the United States and 10 in India) working to develop the functionality required by Stage 1a.
Also pursuant to the ASA Contract, Metron agreed to deliver to ASA one major and two minor releases (e.g., upgrades) to Metron Traffic Flow each year and patches (e.g., bug fixes) as needed. A major release would have significant new functionality. These releases were to be in accordance with the product roadmap, which was attached to the ASA Contract as a schedule. The product roadmap included a description of the functionality planned for each release.
Metron agreed to solicit input from ASA about ASA’s experiences with the product in user collaboration sessions and to consider incorporating ASA’s suggestions into future versions of the product.
In addition to the license for Metron Traffic Flow, the ASA Contract included Metron’s agreement to provide implementation services (e.g., installation, training, and testing), as well as maintenance and support over the five-year term of the license.
\(^8\) The version of Metron Traffic Flow delivered to ASA in October 2010 did not contain all of the functionality required by Stage 1a. The complete Stage 1a functionality was not delivered until early 2011.
2. **Metron’s Accounting Treatment of the ASA Contract**
A. **Pre-Merger**
When Metron entered into the first sale of Metron Traffic Flow to ASA in 2010, Metron did not recognize the license fee as income. Instead, Metron booked the fee as unearned income or deferred revenue (a liability) because it had not yet delivered the full functionality specified in the Stage 1a requirements of the ASA Contract.
After entering into the ASA Contract, Metron continued to expense as incurred the research and development costs of developing Stage 1a and the future releases of Metron Traffic Flow required by the ASA Contract.
Metron considered the version of Metron Traffic Flow licensed to ASA to be a COTS product. Therefore, at the time of contracting with ASA in April 2010, Metron did not estimate the cost of completing the development of the future functionality required by the ASA Contract. Metron believed that it was always developing Metron Traffic Flow in accordance with Metron’s product roadmap, and not customizing the software specifically for ASA. Because Metron did not consider its past or future development expenses a cost of developing Metron Traffic Flow to meet Metron’s contractual obligations to ASA, Metron did not consider the ASA Contract to be a “loss-making contract” (“LMC”) under GAAP.
In early 2011, Metron delivered to ASA a version of Metron Traffic Flow that met the Stage 1a functionality requirements. Therefore, after internal discussions, Metron decided to recognize the $3.6 million it had received to date from ASA as fees for the license and implementation services on Metron’s books.\(^9\) Key to this determination was Metron’s belief that the ASA Contract did not require significant development costs or customization.
\(^9\) The exact amount was $3,614,700.
Metron made this accounting decision to recognize income in early 2011 despite the fact that ASA did not complete its “user acceptance testing” (“UAT”) until September 2011. Metron considered that there was virtually no risk that ASA would not accept the software after the completion of UAT.
B. Post-Merger
After the merger in October 2011, Metron (now a subsidiary of Airbus) continued to work on developing the future functionality of Metron Traffic Flow required by the ASA Contract. Deed of Variation No. 4 was entered into in August 2012 which replaced Schedules 3 and 4 with new schedules. The new schedules eliminated the old nomenclature of Stage 1b and Stage 2 and instead replaced it with requirements that were to be delivered by December 31, 2012 and requirements that were to be delivered by December 31, 2014.\(^{10}\)
In 2012, Airbus became concerned that Metron was not performing as expected after the merger. The company was losing money. Airbus analyzed the ASA Contract and, for the first time, prepared an estimate of the costs to complete (“ETC”) the ASA Contract. The ETC exceeded any revenues expected under the ASA Contract. In addition, there were no new sales of Metron Traffic Flow in 2011 or 2012. (The Defendants explained that the market reacted negatively to the merger and potential customers who were in the sales pipeline at the time of the merger went elsewhere.)
Airbus determined that Metron’s pre-merger accounting for the ASA Contract was not in accordance with GAAP. Therefore, in 2012, in an effort to improve Metron’s balance sheet, Airbus decided to capitalize the post-
\(^{10}\) Airbus maintains that there was no change in the scope of the development required to meet the requirements of the ASA Contract after Deed of Variation No. 4. ASA was not charged any additional fees related to Deed of Variation No. 4.
merger development costs of Metron Traffic Flow. The capitalized costs created an asset on Metron’s balance sheet. See D’s Ex. ## 93 and 96.
Later, Airbus revisited the decision to capitalize development costs. Paul Domejean, the CFO of Airbus ProSky, the Airbus subsidiary that manages Airbus’s air traffic flow management business (including Metron), testified that the decision to capitalize the development costs was abandoned because the development costs were ineligible for capitalization. Only general product development work is eligible for capitalization, not development related to a specific contract. Because all of the development work Metron was performing at the time related to the ASA contract, Mr. Domejean reversed the decision to capitalize research and development costs.
Instead of capitalizing the development costs, Airbus restated Metron’s books in early 2013. The income from the ASA Contract was characterized as deferred revenue (a liability). The ASA Contract was booked as an LMC and a reserve was created on Metron’s books for future liabilities associated with the ASA Contract. Development costs that had been billed to a special job code for capitalized development costs were “rejournaled” to be billed to the ASA Contract. (As the work on the ASA Contract progressed, the reserve for the LMC decreased.)
V. Metron’s Alleged Pre-Merger Accounting Errors
Airbus claims that Metron’s accounting treatment of the ASA Contract prior to the merger as described above was not in accordance with GAAP and resulted in breaches of Metron’s representations and warranties under the Merger Agreement. Specifically, Airbus alleges that Metron made the following accounting errors:
1. **Metron’s Use of “Product Accounting” Did Not Comply With GAAP**
Airbus maintains that Metron erred in using “product accounting” in accounting for the ASA Contract. According to Airbus, adherence to GAAP would have required that “contract accounting” be used instead. Contract accounting would have required Metron to wait until the end of the ASA Contract before recognizing income, or until Metron could use the percentage of completion method if it had a reasonably dependable ETC for the ASA Contract.
Airbus claims that there are several reasons that Metron could not use product accounting and comply with GAAP:
(i) The ASA Contract required significant production, modification, or customization of Metron Traffic Flow. As such the GAAP rules required that contract accounting be used;
(ii) Metron had no “vendor specific objective evidence” of key elements of the contract deliverables, therefore, Metron could not use the multi-arrangement accounting method under product accounting and was required to use contract accounting
(iii) The ASA Contract required specified upgrades that were not separately valued, therefore, contract accounting was required; and
(iv) Metron improperly treated implementation services as a separate element of a multi-element arrangement; because the implementation services were not separately priced and were essential to the functionality of the software, contract accounting had to be used.
The effect Metron’s improper use of product accounting, Airbus argues, was that in early 2011 Metron prematurely recognized $3.6 million in income received from ASA pursuant to the ASA Contract. In Airbus’s view, Metron should have continued to book the income as unearned revenue (a liability). Thus, Metron’s balance sheet at the time of the merger overstated income and understated liabilities.
2. **Metron Should Have Treated the ASA Contract as an LMC**
Airbus contends that Metron failed to follow GAAP when it did not recognize the ASA Contract as an LMC. Because (in Airbus’s view) the ASA Contract required significant development and customization of the software, all of Metron’s research and development costs associated with Metron Traffic Flow should have been attributed to the ASA Contract. Those research and development costs far exceeded any income expected to be received under the ASA Contract. GAAP requires that, once it became evident that the contract would result in a loss, Metron should have booked the loss immediately as a current liability and booked a reserve for future losses related to the ASA Contract.
The Defendants respond that Metron’s books and financial statements were kept in accordance with GAAP and that, in particular, Metron’s use of product accounting comported with GAAP.
**VI. The Applicable GAAP Rules**
Resolution of the dispute between Airbus and Metron requires the court to interpret and apply some fairly esoteric accounting rules related to software.\(^{11}\) Those rules are developed and promulgated by the Financial
\(^{11}\) Timothy S. Lucas, Airbus’s expert on GAAP, testified that the rules for software accounting were developed in the 1990’s to address “abusive accounting in the areas of revenue recognition in the software field. The trouble areas were when companies were
Accounting Standards Board ("FASB"). The FASB has codified all of its guidance over the years into the FASB Accounting Standards Codification (the "ASC"), which defines GAAP in the United States for non-governmental entities.
1. **GAAP Rules for Revenue Recognition of Software Licensing Arrangements**
There are two primary methods for accounting for software contracts under the FASB rules. One is called variously “project accounting,” “software accounting,” “completed contract method,” or “contract accounting.” For simplicity, the court will refer to it as “contract accounting.” The second method is called “product accounting” or “software accounting.” The court will refer to this method as “product accounting.” Under the FASB rules, “[t]he determination of which of the two methods is preferable is based on a careful evaluation of circumstances because the two methods should not be acceptable alternatives for the same circumstances.” FASB ASC 605-32-25-1.
A. **Rules on Significant Production, Modification of Customization of Software**
FASB provides “basic principles” to determine which accounting method should be used for a software contract. Under Subject 985-605-25 of the ASC, the proper accounting method to use depends on whether the software contract requires significant production, modification, or customization of the software.
Paragraph 25-2 specifies when contract accounting must be used:
recognizing revenue too soon. The timing of recognition tends to be delayed under the software [product accounting] rules."
If an arrangement to deliver software or a software system, either alone or together with other products or services, requires significant production, modification, or customization of software, the entire arrangement shall be accounted for in conformity with Subtopic 605-35, using the relevant guidance in paragraphs 985-605-25-88 through 25-107 on applying contract accounting to certain arrangements involving software.
Paragraph 25-3 specifies when product accounting may be used:
If the arrangement does not require significant production, modification, or customization of software, revenue shall be recognized when all of the following criteria are met:
a. Persuasive evidence of an arrangement exists.
b. Delivery has occurred.
c. The vendor’s fee is fixed or determinable.
d. Collectability is probable.
FASB ASC 605-32-25-3 (internal cross-references omitted).
In general, the requirements for product accounting are stricter, because revenue can be recognized sooner under that method. If contract accounting applies, the software vendor generally must wait until the end of the contract until the vendor may recognize revenue from the contract, unless the “percentage of completion” rules apply.
B. Rules on When, Under Contract Accounting, Income May be Recognized Before Completion of the Contract
Under the "percentage of completion" rules, a vendor using the contract accounting may recognize income as work on a contract progresses, provided that the vendor has a reasonably dependable ETC for the contract. FASB ASC 605-35-25-44 advises that "[t]he estimated cost to complete (the other component of total estimated contract cost) is a significant variable in the process of determining income earned and thus a significant factor in accounting for contracts."
If the vendor has a reasonably dependable ETC, the "percentage of completion" method may be used. That method recognizes income as work on a contract progresses. FASB ASC 605-35-25-51 and 25-52. If there is no reasonably dependable ETC, the vendor must wait until the contract is completed to recognize revenue.
C. Rules on VSOE Under Product Accounting
Under product accounting, the vendor does not have to wait until contract completion to recognize revenue. Instead, the vendor may recognize revenue from multiple elements of the contract as each element is delivered, but only if there is "vendor-specific objective evidence" ("VSOE") as to the fair value of that element. Thus, under FASB ASC 985-605-25-6:
If an arrangement includes multiple elements, the fee shall be allocated to the various elements based on vendor-specific objective evidence of fair value, regardless of any separate prices stated in the contract for each element. Vendor-specific objective evidence of fair value is limited to the following:
a. The price charged when the same element is sold separately,
b. For an element not yet being sold separately, the price established by management having the relevant authority; it must be probable that the price, once established, will not change before the separate introduction of the element into the marketplace.
If the vendor has no VSOE, contract accounting must be used unless limited exceptions apply. FASB ASC 985-605-25-9 and 25-10.
D. Rules on Specified Versus Unspecified Upgrade Rights under a Multiple Element Arrangement
FASB ASC 985-605-25-44 to 25-46 distinguishes between specified upgrade and unspecified upgrade rights. An unspecified upgrade right is one in which the vendor agrees to deliver future upgrades to the product “when and if” available. An unspecified upgrade right may be accounted for as part of post-contract services (“PCS”) under a multiple-element arrangement. A specified upgrade right is one in which the vendor agrees to deliver future upgrades with defined functionality at specific times. A specified upgrade right may be part of a multiple-element arrangement under product accounting, if the upgrade rights are separately valued and VSOE exists for that element. If a specified upgrade right exists which is not separately valued or for which there is not VSOE, contract accounting must be used.
E. Rules on Services as a Separate Element Under a Multi-Element Arrangement
FASB ASC 985-605-25-78 specifies when services may be accounted for as a separate element of a multi-element arrangement under product accounting:
To account separately for the service element of an arrangement that includes both software and services, sufficient vendor-specific objective evidence [VSOE] of the fair value shall exist to permit allocation of the revenue to the various elements of the arrangement (as discussed in paragraphs 985-605-25-6 through 25-7 and 985-605-25-9 through 25-11). Additionally, both of the following conditions shall be met:
a. The services are not essential in the functionality of any other element of the transaction.
b. The services are described in the contract such that the total price of the arrangement would be expected to vary as the result of the inclusion or exclusion of the services.
If there is no VSOE for the services element, or if the services are essential to the functionality of any other element (including the software itself), contract accounting must be used.
2. Rules for LMCs
The ASC has rules for revenue recognition dealing with loss making contracts. (These rules are not specific to software arrangements.) FASB ASC 605-35-25-45 provides:
For a contract on which a loss is anticipated, GAAP requires recognition of the entire anticipated loss as soon as the loss becomes evident. An entity without the ability to update and revise estimates continually with a degree of confidence could not meet that essential requirement of GAAP.
FASB ASC 605-35-25-46 provides:
When the current estimates of total contract revenue and contract cost indicate a loss, a provision for the entire loss on the contract shall be made. Provisions for losses shall be made in the period in which they become evident under either the percentage-of-completion method or the completed-contract method.
VII. Application of the GAAP Rules to the ASA Contract
1. Did Metron’s Use of Product Accounting, Rather Than Contract Accounting, Comport with GAAP?
Airbus contends that Metron’s pre-merger accounting, and specifically its use of product accounting for the ASA Contract, failed to comply with GAAP for several reasons. Each of those reasons will be discussed in turn.
A. Did the ASA Contract Require Significant Production, Modification or Customization?
The crux of the dispute between the parties is whether the ASA Contract required Metron to undertake significant production, modification or customization of the software. If it did, as Airbus maintains, Metron should have used “contract accounting” and deferred recognition of the income from the ASA Contract until the end of the contract, or until Metron could use the percentage of completion rules. The deferred income from the ASA Contract should have appeared as a liability on Metron’s balance sheet as of the day of the merger. If there was no significant production, modification, or customization of software required, as the Defendants argue, the “product accounting” method employed by Metron was proper, and Metron properly recognized the income in 2011 before the merger because Metron had VSOE for the elements delivered by that date. Thus, the Defendants contend, the
income from the ASA Contract was properly recognized as income in early 2011 under GAAP and Metron’s books and financial statements were kept in accordance with GAAP as of the date of the merger.
(i) **Airbus’s Position**
Timothy S. Lucas testified as Airbus’s expert on GAAP. Mr. Lucas was formerly a certified public accountant and was for many years a director of FASB. He chaired FASB’s Emerging Issues Task Force. As such, he helped promulgate the GAAP rules.
Mr. Lucas analyzed the ASA Contract. He testified that Metron used a multiple element approach to recognizing revenue under the product accounting GAAP rules. A significant amount of revenue was assigned to the license element of the ASA Contract in early 2011. In Mr. Lucas’s opinion, that revenue recognition was not in accordance with GAAP. “It clearly should have been accounted for under contract accounting.”
Mr. Lucas testified that, under contract accounting, Metron could have recognized revenue under the percentage of completion method only if it had a reasonably reliable ETC. If there was no reasonably reliable ETC, the completed contract method was the “only acceptable method.” (Metron did not prepare an ETC for the ASA Contract until 2013, well after the merger.)
In Mr. Lucas’s opinion, the multiple element method employed by Metron was not in accordance with GAAP because the ASA Contract required significant development, production, modification, and customization of the product. The significant development required was, in his opinion, the detailed description of the future functionality that Metron agreed to deliver to ASA in accordance with the product roadmap and other schedules attached to the ASA Contract.
Mr. Lucas explained that, under GAAP, contract accounting and product accounting are mutually exclusive. If there is significant production, modification, or customization, contract accounting must be used.
Mr. Lucas testified that Metron sold ASA a license for Metron Traffic Flow "while still in the development period." Hence, GAAP required the use of contract accounting.
Mr. Lucas faulted Metron's analysis in deciding to recognize the ASA revenue in early 2011. His chief criticism of Metron's analysis was that Metron did not address the threshold question of whether the ASA Contract required significant production, modification, or customization.
Summarizing, Mr. Lucas concluded that, because the ASA Contract required significant development during the contract term, contract accounting should have been used and revenue should have been deferred. Under the contract accounting rules, the $3.6 million Metron received from ASA prior to the merger should have been booked as unearned income, and appeared as a current liability on Metron's balance sheet.
(ii) The Defendants' Position
The Defendants maintain that the ASA Contract did not require significant production, modification, or customization of the Metron Traffic Flow software. Lewis "Chip" Hathaway was the vice president of product development for Metron both before the merger and (for a time) after the merger. As such, he was the "number one person familiar with the software." He testified that Metron "didn't want to customize the software for any one customer. It was intended to be a COTS product. It was sold to
other customers. The product roadmap was based on technological availability. In a general sense, there was no custom work for ASA.\textsuperscript{12}
Similarly, David Basil, Metron’s former senior vice president and general manager of the Commercial Products and Services division of Metron that developed Metron Traffic Flow, testified that the product “was clearly a COTS product. There was no customization required.”
Metron’s pre-merger accountants, McGladrey & Pullen, after reviewing the ASA Contract, opined that it did not require development costs or customization of the software. \textit{See} P’s Ex. # 65 and D’s Ex. # 42.\textsuperscript{13}
Gregory Russell, the former chief executive officer of ASA from 2005 to 2012 (who has been employed as a consultant to Metron) testified that ASA considered Metron Traffic Flow to be a COTS product. He added that “we had [bad] experiences with well-meaning people who tried to build their own software.” ASA knew that Metron was marketing the product to other countries. ASA had no objection to this because “it was our intention to have the software interact with other ANSPs.” In Mr. Russell’s view, Schedules 3 and 4 attached to the ASA Contract (Stages 1b and 2) were merely “aspirational” statements of “where the product might go” rather than “hard and fast commitments on behalf of Metron. They were items of future discussion.”
Mr. Russell agreed that the ASA Contract required Metron to provide one major release and two minor releases per year, with software patches as needed. He likened a major release to a new version of the software,
\textsuperscript{12} The Defendants conceded that there was one item of custom software development for ASA: a software modification related to Qantas Airlines. The $100,000 cost of that item was billed to ASA separately, outside of the ASA Contract.
\textsuperscript{13} McGladrey recommended that the fees received from ASA not be recognized in 2010 because delivery had not yet occurred. Additionally, McGladrey recommended that revenue recognition should be delayed until 2011 after the functionality required by Stage 1a was delivered to ASA.
such as an upgrade from version 1.0 to 2.0. He likened a minor release as upgrading from version 2.0 to 2.1. Although he considered Metron Traffic Flow to be a COTS product, none of the major releases was available off-the-shelf when the ASA Contract was signed in April 2010.
The Defendants rely on Schedule 5 of the ASA Contract to support their position that the development work done on Metron Traffic Flow was entirely at the discretion of Metron. In a section of Schedule 5 entitled “User Collaboration Sessions” Metron agreed to meet with ASA at least twice a year and discuss ASA’s suggestions as to future upgrades in Metron Traffic Flow. That section provides:
While the User Collaboration Sessions provide strategic and important input, Metron Aviation shall be free in its own opinion to decide whether or not to include specific functionality in future releases.
See D’s Ex. #7 (emphasis added).
Keith L. Jones testified as the Defendants’ expert on GAAP. He has a Ph.D. in accounting and is the head of the accounting department at George Mason University. He disagreed with Mr. Lucas’s conclusion that the ASA Contract requires significant production, modification, or customization.
Mr. Jones testified that an accountant must talk to the software engineers, the developers, and the customers. In this case, “all of the Metron people said they were developing a COTS product.” In Mr. Jones’s view, off-the-shelf products by definition do not require significant production, modification, or customization. Metron did not appear to be offering customized features to ASA that it was not offering to all of its potential customers. Mr. Jones noted that ASA signed the ASA Contract in April 2010 before the product roadmap had been attached as a schedule later that year. Thus, in his view, ASA was not relying on the promise of the
future functionality contained in the product roadmap when it decided to license Metron Traffic Flow. Also key to Mr. Jones’s determination that there was no significant production, modification, or customization was his conclusion that the specifications for the functionality of the software did not come from the customer.
(iii) The Court’s Conclusions on the Issue of Significant Production, Modification, or Customization
The court agrees with Airbus that the ASA Contract did in fact require significant production, modification, or customization of Metron Traffic Flow. When the ASA Contract was signed in April 2010, Metron’s hoped-for COTS product did not exist. It took a team of 17 to 18 developers in the United States and India working six more months to enable Metron to deliver any software to ASA in October 2010. Even then, the software delivered did not meet the functionality required by Stage 1a of the ASA Contract. That functionality was not delivered until early 2011 and was not accepted by ASA until September 2011.
In addition to the development work needed to achieve the functionality of Stage 1a, the ASA Contract required significant development work throughout its five-year term.\(^{14}\)
Under § 9.8 (and Schedule 5) of the Merger Agreement, Metron was required to deliver one major upgrade and two minor releases each year for so long as ASA was paying its annual support and maintenance fee. A major
\(^{14}\) The recitals to Deed of Variation No. 1 include:
By an agreement made between Airservices Australia and Metron Aviation, Inc. dated 29 April 2010 Contract No. 2010-3422 ("Main Agreement"), Metron Aviation, Inc. agreed to develop, license, and maintain software more fully described in the Main Agreement.
See P’s Ex. # 12 (emphasis added).
release required "significant functional enhancements," according to Mr. Basil, Metron's former senior vice president and general manager of the Commercial Products and Services Division. See P's Ex. # 5 and D's Ex. #7.
In addition to the semi-annual upgrades, Metron committed itself to deliver a version of Metron Traffic Flow by May 30, 2011 that had all the Stage 1b functionality listed on Schedule 3 of the ASA Contract and a version of the product by December 31, 2014 that had all of the Stage 2 functionality listed on Schedule 4.
Under the ASA Contract, the software was required to comply with the specifications, which included all of the functionality listed in the schedules. Thus, the Defendants' claims that the specifications of future functionality to be delivered under the ASA Contract are merely "aspirational," "wish lists," "notional," or "items for further discussion," are refuted by the ASA Contract itself. The court agrees with Airbus's counsel who argued that "[w]hen wishes and aspirations are put into contracts, they become obligations."
Throughout the trial, the Defendants maintained that they were always developing Metron Traffic Flow as Metron's base product in accordance with the product roadmap for sale to others. Nevertheless, when the product roadmap was attached to the ASA Contract by Deed of Variation No. 1 in 2010, Metron obligated itself to develop Metron Traffic Flow for ASA in accordance with the roadmap. Significantly, Metron had no customers other than ASA for Metron Traffic Flow from 2010 until 2013. During those years, all of the development work was related to Metron's obligation to continue to upgrade Metron Traffic Flow under the ASA Contract.
The court interprets the provision of Schedule 5 that "Metron Aviation shall be free in its own opinion to decide whether or not to include specific functionality in future releases" to relate to ASA's suggestions made during
the user collaboration sessions. It does not negate Metron’s obligations to develop the functionality specified in the preceding schedules.\textsuperscript{15}
In sum, the court concludes that the ASA Contract required significant production, modification, or customization. Accordingly, to comply with GAAP, Metron should have used contract accounting and not product accounting. At the time of the merger, Metron’s books and records were not kept in accordance with GAAP, contrary to Metron’s representations and warranties in the Merger Agreement.
B. Did Metron Have VSOE for All the Elements Under the Multi-Element Arrangement Rules of Product Accounting?
Airbus contends that Metron could not, in compliance with GAAP, have used product accounting because it did not have VSOE for each of the elements of the multi-element arrangement.
Mr. Lucas explained that GAAP requires that a software arrangement be accounted for using either the multi-element arrangement rules under product accounting or contract accounting. If the arrangement cannot be accounted for under the multi-element arrangement rules, contract accounting must be used.
Mr. Lucas testified that a vendor cannot recognize income under a multi-element arrangement unless the vendor has VSOE for each element. The fair value of each element must be determined. According to Mr. Lucas, VSOE is generally the price at which the element is sold separately to the customer by the vendor. The value has to be vendor-specific. In other words, one would not look to what competitors are charging for the element
\textsuperscript{15} Further, § 25.18 of the ASA Contract provides that any inconsistent terms are to be resolved in accordance with the “higher ranked” provision: First, the terms and conditions; second, the schedules (and as between them, in the order that they appear); and third, any document incorporated by reference. Thus, to the extent there is an inconsistency, Schedules 1 through 4 prevail over any contrary language in Schedule 5.
to determine VSOE. A pricelist, standing alone, is not VSOE, although it might be indicative of VSOE. According to Mr. Lucas, “[t]he VSOE must have some real world credibility.”
Mr. Lucas further explained that, if VSOE is missing for the element, there can be no revenue recognition until VSOE is developed or all the elements of the arrangement are delivered (i.e., contract completion).\(^{16}\)
Mr. Lucas criticized Metron’s decision to recognize revenue in early 2010 in part because there was “not much evidence of VSOE” for the separate elements of the ASA Contract. He opined that the list price for the license itself might be evidence of VSOE for that element, although there had been no sales to other customers. Similarly, Mr. Lucas thought that Metron’s calculation of 20% of the list price as the cost of maintenance and support might qualify as VSOE. He noted, however, that there was no basis for Metron’s attribution of value to the implementation services. Metron never sold stand-alone implementation services to other customers.
In addition, under the multi-element arrangement rules, specified upgrade rights must be valued separately. Metron did not distinguish between specified and unspecified upgrade rights, and did not separately value those rights. Because there was no VSOE for those two elements (i.e., implementation services and rights to specified upgrades), in Mr. Lucas’s opinion, contract accounting had to be used.
John W. Young, Metron’s former CFO, testified that Metron had VSOE for each element of the ASA Contract. The VSOE for implementation services was determined by an estimate of the labor involved, plus costs,
\(^{16}\) There are limited exceptions to this rule: if only the elements that are undelivered have VSOE, the residual method may be used to determine the VSOE for the delivered elements. See FASB ASC 985-605-25-9 and -25-10(e). If the only undelivered element for which there is no VSOE is post-contract services (which includes unspecified upgrade rights), revenue for the entire project can be recognized ratably over the post-contract support period.
plus a 30% mark-up. Mr. Young testified that this method was typically used by Metron in the government contracting side of its business.
Mr. Young noted that the license element was separately priced in the ASA Contract, as were the maintenance and support services. Metron decided to recognize revenue from implementation services using the contract accounting rules for percentage of completion and to use product accounting rules for the licensing services and maintenance and support services.
Mr. Young conceded on cross-examination that either contract accounting applies or product accounting applies. GAAP does not permit a mish-mash of the two regimes in a single software arrangement. Mr. Young also conceded that if VSOE is missing for an element, contract accounting must be used and revenue deferred until VSOE can be developed or unless the percentage of completion rules apply.
The court concludes that Metron’s revenue recognition in early 2011 did not comport with GAAP. Metron improperly blended contract accounting principles and product accounting principles in its accounting treatment of the ASA Contract. Additionally, for the reasons stated in the next section below, Metron had no VSOE for ASA’s upgrade rights under the contract.
Because Metron did not have VSOE for each required element of the multi-element arrangement, Metron was required to use contract accounting.
C. Did the ASA Contract Give ASA Specified or Unspecified Upgrade Rights?
Airbus argues that Metron’s accounting for the ASA Contract under product accounting was not in accordance with GAAP because Metron did not separately account for the specified upgrade rights granted to ASA under the
ASA Contract as a separate element in a multi-element arrangement. Under the GAAP rules, if there is a specified upgrade right that is not separately valued as part of a multi-element arrangement, contract accounting must be used.
As mentioned above, an unspecified upgrade right is one in which the vendor agrees to deliver future upgrades to the product "when and if" available. A specified upgrade right is one in which the vendor agrees to deliver future upgrades with defined functionality at specific times.
Mr. Lucas, Airbus’s GAAP expert, opined that the ASA Contract provided for specified upgrade rights, not unspecified upgrade rights "when and if" available. Deed of Variation No. 1 included the product roadmap, which described the functionality of future releases, and a timeline of when specific versions would be released.
Mr. Lucas testified that because Metron did not separately value the specified upgrade rights, and because no VSOE existed for the value of those rights, GAAP required Metron to use contract accounting, which would require that no revenue be recognized until Metron had VSOE for the element, or until the contract completion. According to Mr. Lucas, "the whole allocation of revenue is flawed if you don’t take into account all of the elements. You would need VSOE for [all] of those elements."
David Ellison, the former Chief Executive Officer of Metron, testified "[t]he product roadmap laid out a vision of where we were going with the product. It was a living document. It was always being revised to add new ideas." He considered the upgrades to be unspecified because they could change at any time. He testified that it was "industry standard to do one major and two minor upgrades each year, plus bug fixes as needed."
Mr. Jones, the Defendants’ GAAP expert, opined that the ASA Contract appeared to require unspecified upgrades. He testified that Schedule 5 of
the ASA Contract provided that Metron would release annual upgrades “when and if” available.
The court concludes that the ASA Contract granted ASA specified upgrade rights. Under the schedules to the ASA Contract, ASA had the right to receive upgrades with specified functionality and specified times. The “patches” (i.e., bug fixes) were to be provided “when and if” available, but the Stage 1b and Stage 2 functionality, along with the annual major releases, and the semi-annual minor releases, were not on a “when and if” basis.\(^{17}\) Thus, they constituted specified upgrade rights.
Under GAAP, specified upgrade rights have to be separately accounted for in a multi-element arrangement. If, as in this case, specified upgrade rights are not separately valued, and there is no VSOE for the upgrade rights, contract accounting must be used. Because Metron did not properly account for the specified upgrade rights, its books and records were not in accordance with GAAP at the time of the merger.\(^{18}\)
D. **Were the Implementation Services Under the ASA Contract Properly Treated as a Separate Element in a Multi-Element Arrangement?**
Airbus maintains that Metron improperly treated implementation services as a separate element under Metron’s use of the multi-element arrangement.
Mr. Lucas testified that Metron’s decision to recognize revenue in 2011 was flawed because Metron improperly treated implementation services as a
---
\(^{17}\) Mr. Jones, the Defendants’ expert accountant, appears to have misread Schedule 5. It does not say that the upgrades are to be provided “when and if” available.
\(^{18}\) The result of this error was that Metron prematurely recognized revenue under product accounting when adherence to GAAP required deferred recognition of revenue under contract accounting principles.
separate element under a multi-element arrangement under product accounting. In Mr. Lucas’s opinion, “the implementation services had to be not essential and separately priced. It failed on both fronts.”
Under Schedule 1 to the ASA Contract, ASA was charged a single fee of AUS $3,189,190 for the “license and service fee.” See P’s Ex. # 6. Thus, there was no separate fee for implementation services. (There was a separate annual fee stated for maintenance and support.)
The FASB rules do not state that the services element of a software arrangement has to be “separately priced” to be a separate element in a multi-element arrangement. Instead, the services must be “described in the contract such that the total price of the arrangement would be expected to vary as the result of the inclusion or exclusion of the services.” FASB ASC 685-605-25-78. A fair reading of the ASA Contract suggests that the combined fee for “license and service” would have been less if the implementation services were not included.
A second requirement is that the services must be non-essential to the functionality of any other element of the arrangement, including the software itself. Mr. Lucas testified that he considered the implementation services to be essential. His opinion is supported by Mr. Russell, the former CEO of ASA, who testified that (as a consultant to ASA) he has “never proposed selling the software without the implementation services. The total package was critical in terms of the success of the project.”
The court concludes that the implementation services were essential to the functionality of Metron Traffic Flow. As such, adherence to GAAP would require that they not be treated as a separate element in a multi-element arrangement.
2. **Was the ASA Contract an LMC?**
Airbus maintains that the ASA Contract should have been recognized by Metron as an LMC and booked as such. If the ASA Contract had been booked as an LMC, it would have appeared as a liability on Metron’s balance sheet at the time of the merger.
Christine M. Hammer, a certified public accountant and a master of business administration, testified on behalf of Airbus as an expert on contract profitability. She opined that the ASA Contract lost Metron $12.2 million. At the time of the merger, there was already a $2.8 million loss from the ASA Contract. Ms. Hammer testified that, “at the time of the merger, an accountant who read the contract, including Schedules 2, 3, and 4 and who understood the development activities would have expected a loss.”
Ms. Hammer testified that the GAAP rules for contract accounting required that all of the development costs be assigned to ASA, the launch customer. In her opinion, there was no other contract with another Metron customer close enough in time and with the same functionality required by the ASA Contract to share in the development costs. (The ASA Contract was signed in 2010 and the next contract for Metron Traffic Flow was not signed until 2013.)
Ms. Hammer explained that the fact that the ASA Contract was not identified as an LMC by Airbus’s accountants during the pre-merger due diligence period was because “[t]hey weren’t looking at the contract level. If they were, they would have seen it.”
Mr. Lucas, Airbus’s expert on GAAP, testified that, at the time of the Merger, Metron’s books should have shown the ASA Contract as an LMC. In his opinion, had the GAAP rules been adhered to, Metron’s balance sheet on the date of the merger would have reflected a current liability of $5.8
million, which was the amount of the future loss expected from the ASA Contract at that time.
Mr. Lucas explained that the fact that there were later customers for the Metron Traffic Flow technology did not change the requirements of GAAP. Research and development expenses must be allocated to the first customer when the product is sold before it is fully developed. There are rules for combining the contracts of more than one customer. See FASB ASC 605-25-5. In general, to be combined for accounting purposes, the contracts have to be so closely related that they are part of the same project. See FASB ASC 605-25-7 through 25-9.\(^{19}\)
Mr. Jones, the Defendants’ GAAP expert, disagreed with Mr. Lucas’s opinion that if the software is still being developed when the first sale occurs, all of the development costs should be attributed to the first customer. For example, he offered, one can pre-order software before it is fully developed.
The court concludes that the GAAP rules for contract accounting would require that the research and development costs for a contract (such as the ASA Contract) that requires significant production, modification, or customization, be allocated to the customer. Given that the expenses of developing Metron Traffic Flow far exceeded any revenues expected under the ASA Contract, to be compliant with GAAP, Metron should have recognized that the ASA Contract was an LMC and created a loss reserve for the LMC which would have appeared as a liability on Metron’s balance
\(^{19}\) Mr. Lucas elaborated that the need to attribute the losses to the first customer would be a recurring pattern for a start-up company or a new product if the first sale is made during the development period. The problem would not occur if the software vendor sold only software already functional and agreed to provide only upgrades when and if available (i.e., unspecified upgrade rights). Mr. Lucas had no criticism of Metron’s expensing research and development costs prior to the ASA Contract. Once the ASA Contract was signed, however, GAAP required recognition of the losses, all attributable to ASA. (Mr. Lucas explained that the later customers’ contracts for the same technology would be more profitable.)
sheet.\textsuperscript{20} In that Metron did not treat the ASA Contract as an LMC, as of the day of the merger, Metron’s books and records were not kept in accordance with GAAP.
\section*{VIII Other Representations and Warranties Metron is Alleged to Have Breached}
1. \textbf{Was the ASA Contract a Government Contract Reasonably Expected to Result in a Loss?}
In the Merger Agreement, Metron warranted that it was not a party to any “Government Contract” with a “Governmental Authority” (defined terms in the Merger Agreement) that was reasonably expected to result in a loss. Airbus maintains that the ASA Contract meets the contractual definition of a Government Contract. Because Metron did not disclose that the ASA Contract was a Government Contract reasonably expected to result in a loss, according to Airbus, Metron breached Metron’s representation and warranty that it was not a party to any such contract.
The Defendants respond that ASA is not a Governmental Authority and the ASA Contract is thus not a Government Contract as those terms are defined in the Merger Agreement. A “Governmental Authority” is defined in § 1.1 of the Merger Agreement as:
[A]ny government or any agency, bureau, board, commission, court, department, official, political subdivision, tribunal or other
\textsuperscript{20} Although there is no suggestion that the Defendants thought that the ASA Contract was an LMC, the concept was not foreign to them. After they acquired Metron in a management buy-out in 2009, some of the Defendants made a claim against the former owners of Metron that the former management had not properly accounted for an LMC. That earlier claim was settled.
instrumentality of any government, whether federal, state or local, domestic or foreign.
Gregory Russell, the former CEO of ASA, testified that ASA is a corporation wholly-owned by the Australian government. ASA has a board of directors, it can raise its own revenue by charging airline customers, it declares dividends, and it has its own profit and loss statement. ASA’s board is appointed by the Prime Minister of the day, who has the power to remove board members. ASA’s profits go to the government of Australia. ASA was created by an act of Parliament and reports to Parliament annually. Mr. Russell testified that ASA is a “government business.” In the past, he referred to ASA as a “governmental organisation.”
Airbus contends that ASA is an “instrumentality” of the Australian government and as such is a Governmental Authority within the meaning of the ASA Contract. An instrumentality is “something that serves as an intermediary or agent through which one or more functions of a controlling force are carried out: a part, organ, or subsidiary branch [especially] of a governing body.” Webster’s Third New International Dictionary 1172 (2002).
The court agrees that ASA is an instrumentality of the Australian Government, and thus ASA is a Governmental Authority and the ASA Contract is a Government Contract.\(^{21}\)
\(^{21}\) The Defendants did not consider the ASA Contract to be a Government Contract. The development work on the ASA Contract was conducted by the Commercial Products and Services division of Metron, not the Advanced Research and Engineering division that handled Metron’s governmental customers (such as the Federal Aviation Administration). Metron did not list the ASA Contract as one of Metron’s Government Contracts in Annex 3.28 to the Merger Agreement. Airbus, which was well-aware of the ASA Contract during the due diligence period, apparently never challenged the omission of the ASA Contract from the Government Contracts disclosures in Annex 3.28.
The specific warranty that is alleged to have been breached is contained in § 3.28(c) of the Merger Agreement. Metron warranted that it was not a party to a Government Contract that was reasonably expected to result in a loss.
Airbus argues that if Metron’s books had been kept in accordance with GAAP, Metron would have reasonably expected a loss from the ASA Contract. That argument reads a requirement into the representation and warranty that simply is not there. The court interprets that representation to mean that Metron had no Government Contract that Metron reasonably expected to result in a loss.
The testimony was clear that Metron expected the ASA Contract to result in a profit. Metron conducted no pre-merger analysis to determine the profitability of the ASA Contract. Metron had no ETC for the ASA Contract. Metron’s business strategy prior to early 2011 was to incur losses on research and development as an investment in Metron’s product. Metron expected to recoup its investment when Metron Traffic Flow was licensed to end users such as ASA. Under that plan, Metron considered the ASA Contract to be profitable because Metron did not attribute all of the research and development costs to ASA.\(^{22}\)
The court concludes that Metron did not expect the ASA contract to result in a loss and hence did not breach the representation and warranty concerning Government Contracts in § 3.28 of the Merger Agreement.\(^{23}\)
\(^{22}\) Under Ms. Hammer’s analysis, if the direct and indirect development costs for Metron Traffic Flow were not allocated to the ASA Contract, the ASA Contract would have been profitable as of the date of the merger. See P’s Ex. # 118 (a demonstrative exhibit).
\(^{23}\) The court’s conclusion that Metron did not reasonably expect the ASA Contract to result in a loss does not change the court’s analysis or conclusions on the LMC issue. The LMC rules are a GAAP concept. Metron warranted that its books and records were kept in accordance with GAAP. GAAP required that the research and development costs for Metron Traffic Flow be attributed to ASA. Had Metron observed GAAP, it would have been obvious that the ASA Contract was an LMC. Ms. Hammer testified that the ASA Contract had
2. Did Metron Have Undisclosed Liabilities?
Metron warranted in the Merger Agreement that it had no liabilities that were not disclosed to Airbus prior to the merger. Airbus alleges that Metron in fact had undisclosed liabilities: the unearned revenue from the ASA Contract, as well as the expected loss from the ASA Contract if the ASA Contract had been recognized as an LMC, both of which should have been accounted for as liabilities on Metron’s balance sheet as of the date of the merger.
For the reasons stated above, the court agrees that Metron’s failure to account for the ASA Contract under applicable GAAP rules resulted in Metron having liabilities that Metron did not disclose to Airbus prior to the merger. Both the unearned revenue from the ASA Contract and the LMC provision were liabilities that should have been disclosed to Airbus.
3. Was the Consideration Spreadsheet Accurate?
Under § 2.6(a)(i) of the Merger Agreement, the consideration to be paid by Airbus was decided under a formula:
The “Merger Consideration” will consist of (1) $75,000,000 plus (2) the Adjustment Amount minus (3) the total amount of Specified Transaction Expenses plus (4) the Companies’ Cash minus (5) the Companies’ Debt.
The “Adjustment Amount” was defined in § 1.1 of the Merger Agreement as “the positive or negative number that is equal to (A) [Metron’s] Net Working Capital calculated as of the Closing Date minus (B) the Baseline Working
already lost $2.8 million as of the date of the merger. The LMC principles were familiar to the Defendants in that they had made a claim against the prior management of Metron that there was an insufficient LMC reserve when the Defendants acquired Metron in 2009.
Capital.” It was in effect an adjustment for net working capital. Thus, the parties agreed to adjust the consideration paid for the merger depending on the assets and liabilities reflected on Metron’s balance sheet as of the date of the merger.
Pursuant to the Agreement, Metron was to prepare and submit to Airbus an estimate of the Adjustment Amount three business days before the closing on the “Consideration Spreadsheet.” The amount shown as the Adjustment Amount on the Consideration Spreadsheet was subject to a post-closing adjustment once the actual data became known to Metron.
The court concludes that the Consideration Spreadsheet was inaccurate in two material respects. First, there should have been a liability for unearned income for the $3.6 million income received from ASA. Second, there should have been a liability for an LMC reserve related to the ASA Contract. The result of these omissions was that Airbus overpaid the merger consideration.
IX. Airbus’s Damages
Airbus has demonstrated that it is entitled to be indemnified for the damages Airbus sustained as a result of Metron’s breaches of its representations and warranties in the Merger Agreement. The court has found that Metron breached its representations and warranties that its financial books and records were kept in accordance with GAAP, that it had no undisclosed liabilities, and that the Consideration Spreadsheet was accurate. Simply put, the breaches of those representations and warranties resulted in Airbus paying too much for Metron. Airbus’s damages consist of the amounts by which the liabilities of Metron were understated on the Consideration Spreadsheet: the $3,614,700 liability for deferred revenue and the $5.8 million for the LMC reserve. Airbus has shown that it has suffered damages in the amount of $9,414,700.
X. Conclusion
For the forgoing reasons, the court will enter an order finding in favor of Airbus and fixing Airbus’s damages at $9,414,700. The order will provide that Airbus is entitled to the entire Escrow, plus a money judgment against Metron’s former shareholders for Airbus’s losses in excess of the Escrow.
Will Plaintiff’s counsel please prepare an order in accordance with the rulings in this letter, forward the same to counsel for the Defendant to note his objections, and present the order to the court for entry within thirty days?
Sincerely,
Jane Marum Roush |
बहीखाता एवं लेखांकन के तत्त्व (वाणिज्य)
ELEMENTS OF BOOK-KEEPING AND ACCOUNTANCY (Commerce)
निर्धारित समय : 3 घण्टे
Time allowed : 3 hours
अधिकतम अंक : 70
Maximum Marks : 70
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● कृपया जाँच कर लें कि इस प्रश्न-पत्र में 30 प्रश्न हैं।
● कृपया प्रश्न का उत्तर लिखना शुरू करने से पहले, उत्तर-पुस्तिका में प्रश्न का क्रमांक अवश्य लिखें।
● इस प्रश्न-पत्र को पढ़ने के लिए 15 मिनट का समय दिया गया है। प्रश्न-पत्र का वितरण पूर्वार्ध में 10.15 बजे किया जाएगा। 10.15 बजे से 10.30 बजे तक परीक्षार्थी केवल प्रश्न-पत्र को पढ़ेंगे और इस अवधि के दौरान वे उत्तर-पुस्तिका पर कोई उत्तर नहीं लिखेंगे।
● Please check that this question paper contains 23 printed pages.
● Q.P. Code given on the right hand side of the question paper should be written on the title page of the answer-book by the candidate.
● Please check that this question paper contains 30 questions.
● Please write down the serial number of the question in the answer-book before attempting it.
● 15 minute time has been allotted to read this question paper. The question paper will be distributed at 10.15 a.m. From 10.15 a.m. to 10.30 a.m., the candidates will read the question paper only and will not write any answer on the answer-book during this period.
सामान्य निर्देश :
(i) इस प्रश्न-पत्र में 30 प्रश्न है।
(ii) प्रश्न 1 – 18 तक प्रत्येक एक अंक का है।
(iii) प्रश्न 19 – 22 तक प्रत्येक तीन अंक का है।
(iv) प्रश्न 23 – 26 तक प्रत्येक चार अंक का है।
(v) प्रश्न 27 – 30 तक प्रत्येक छः अंक का है।
1. निम्नलिखित में से कौन एक पूँजीगत प्रासि है?
(a) किराया प्रासि
(b) सेवा की बिक्री
(c) व्यवसाय द्वारा प्राप्त ऋण
(d) वेतन प्राप्त किया
अर्थव्यवस्था
निम्नलिखित में से कौन सा राजस्व व्यय है?
(a) सफेदी खर्च
(b) व्यापार चिह्न का क्रय
(c) प्रबंधक कार्यालय में एयर कंडीशन पर किया गया खर्च
(d) साख खरीदना
2. पूँजीगत प्रासियाँ और राजस्व प्रासियाँ
(a) अलग–अलग हैं।
(b) अलग–अलग नहीं हैं।
(c) अलग हो भी सकती हैं और अलग नहीं भी हो सकती।
(d) अलग नहीं करना चाहिए।
General Instructions:
(i) This question paper contains 30 questions.
(ii) Question 1 to 18 are of one mark each.
(iii) Question 19 to 22 are of three marks each.
(iv) Question 23 to 26 are of four marks each.
(v) Question 27 to 30 are of six marks each.
1. Which of the following is a Capital Receipt?
(a) Rent received
(b) Sale of services
(c) Loan received by the business
(d) Salary received
OR
Which of the following is Revenue Expenditure?
(a) White wash expenses
(b) Trade marks purchased
(c) Expenses incurred to get the manager's office air-conditioned
(d) Goodwill purchased
2. Capital Receipts and Revenue Receipts
(a) are different
(b) are not different
(c) may or may not be distinguished
(d) must not be distinguished
3. 1 अक्टूबर, 2021 को एक मशीनरी ₹ 8,00,000 में खरीदी गई। मूल्यहास को 10% की वार्षिक दर से सीधी रखा विधि से मूल्यहास लगाया गया। 31 मार्च, 2022 को मशीनरी का पुस्तक मूल्य क्या होगा?
(a) ₹ 7,60,000
(b) ₹ 7,20,000
(c) ₹ 7,00,000
(d) ₹ 8,00,000
अथवा
1 अप्रैल, 2020 को एक फर्म ने ₹ 5,00,000 का फर्नीचर खरीदा। मूल्यहास को अवलेखित मूल्य पद्धति द्वारा 5% प्रति वर्ष की दर से लगाया गया। 31 मार्च, 2022 को फर्नीचर का पुस्तक मूल्य क्या होगा?
(a) ₹ 4,57,250
(b) ₹ 4,51,250
(c) ₹ 4,50,000
(d) ₹ 4,51,000
4. 1 अप्रैल, 2019 को बी लिमिटेड ने एक मशीन ₹ 8,00,000 में खरीदी। निश्चित किस्त प्रणाली द्वारा 10% प्रति वर्ष की दर से मूल्यहास प्रभारित किया गया। उसी दिन राम लिमिटेड ने भी उतनी ही राशि की मशीनरी खरीदी और मूल्यहास 10% प्रति वर्ष घटती हुई किस्त प्रणाली के आधार पर प्रभारित किया गया। 31 मार्च, 2021 को निम्न में से कौन सा सही होगा?
(a) दोनों फर्मों की मशीनरी का मूल्य समान होगा।
(b) राम लिमिटेड की मशीनरी का पुस्तक मूल्य बी लिमिटेड से ₹ 8,000 अधिक होगा।
(c) बी लिमिटेड की मशीनरी का पुस्तक मूल्य राम लिमिटेड से ₹ 8,000 अधिक होगा।
(d) बी लिमिटेड की मशीनरी का पुस्तक मूल्य राम लिमिटेड से ₹ 10,000 कम होगा।
5. वर्ष के अंत में मूल्यहास खाता बंद कर दिया जाता है इसके शेष को विशिष्ट खाते में स्थानांतरण द्वारा निम्नलिखित में से उस खाते का नाम बताये:
(a) अचल संपत्ति खाता
(b) सामान्य संचय खाता
(c) लाभ-हानि खाता
(d) पूँजी खाता
अथवा
3. A machinery was purchased for ₹ 8,00,000 on 1st October, 2021. Depreciation was to be charged @ 10% p.a. by straight line method. What will be the book value of machinery on 31st March, 2022?
(a) ₹ 7,60,000
(b) ₹ 7,20,000
(c) ₹ 7,00,000
(d) ₹ 8,00,000
OR
A firm purchased furniture of ₹ 5,00,000 on 1st April, 2020. Depreciation was to be charged @ 5% p.a. by ‘Written Down Value Method’. What will be the book value of machinery on 31st March, 2022?
(a) ₹ 4,57,250
(b) ₹ 4,51,250
(c) ₹ 4,50,000
(d) ₹ 4,51,000
4. On 1st April, 2019 B Ltd. purchased machinery of ₹ 8,00,000. Depreciation was to be charged @ 10% p.a. by Fixed Installment System. On the same day, Ram Ltd. also purchased machinery of the same amount and charged depreciation @ 10% p.a. by Reducing Installment System. On 31st March, 2021 which of the following statement holds true?
(a) Book value of machinery of both the firms will be same.
(b) Book value of machinery of Ram Ltd. will be ₹ 8,000 more than B Ltd.
(c) Book value of machinery in B Ltd. will be ₹ 8,000 more than Ram Ltd.
(d) Book value of machinery in B Ltd. will be ₹ 10,000 less than Ram Ltd.
5. Depreciation Account is closed at the end of the year by transferring its balance to the specific account. Which of the following is a name of this Account?
(a) Fixed Asset Account
(b) General Reserve Account
(c) Profit and Loss Account
(d) Capital Account
OR
अभिकथन (A) : अवलेखित मूल्य पद्धति के तहत मूल्यहास की राशि हर साल घटती जाती है।
कारण (R) : अवलेखित मूल्य पद्धति में संपति का बही मूल्य कभी भी शून्य नहीं होगा।
(a) (A) और (R) दोनों सही हैं और (R), (A) की सही व्याख्या है।
(b) (A) और (R) दोनों सही हैं, लेकिन (R), (A) की सही व्याख्या नहीं है।
(c) (A) सही है, किन्तु (R) गलत है।
(d) (A) गलत है, किन्तु (R) सही है।
6. बैंक समाधान विवरण ________ तैयार किया जाता है।
(a) चैक के माध्यम से किए गए भुगतान को जानने के लिए
(b) बैंक पास बुक में ग्रुटि जानने के लिए
(c) रोकड़ बही शेष की बैंक पासबुक शेष से तुलना करने और अंतर का पता लगाने के लिए
(d) पास बुक शेष ज्ञात करने के लिए
अथवा
बैंक समाधान विवरण है:
(a) द्वि-अंकन प्रणाली का एक भाग
(b) द्वि-अंकन प्रणाली का एक भाग नहीं
(c) एकल अंकन प्रणाली का एक भाग
(d) रोकड़ बही के रोकड़ शेष का एक भाग
7. कथन-I : जब पासबुक के अनुसार अधिविकर्ष शेष के साथ बैंक समाधान विवरण तैयार किया जाता है तो प्राप्त शेष राशि केवल बैंक पासबुक के अनुसार शेष होगी।
कथन-II : खाता धारक द्वारा बैंक समाधान विवरण तैयार किया जाता है।
(a) दोनों कथन असत्य हैं।
(b) दोनों कथन सत्य हैं।
(c) केवल कथन-I सत्य है।
(d) केवल कथन-II सत्य है।
Assertion (A) : Under written down value method, the amount of depreciation decrease every year.
Reason (R) : In written down value method, the book value of asset will never become zero.
(a) Both (A) and (R) are correct and (R) is the correct explanation of (A).
(b) Both (A) and (R) are correct but (R) is not the correct explanation of (A).
(c) (A) is correct but (R) is incorrect.
(d) (A) is incorrect but (R) is correct.
6. Bank Reconciliation Statement is prepared _______.
(a) to know the payment made through cheques.
(b) to know the errors in the Bank Pass Book.
(c) to compare the cash book balance with Bank Pass Book balance and ascertain the difference.
(d) to balance Pass book.
OR
Bank Reconciliation statement is :
(a) a part of Double Entry System
(b) not a part of Double Entry System
(c) a part of Single Entry System
(d) a part of cash balances of the Cash Book
7. Statement-I : When Bank Reconciliation Statement is prepared with overdraft Balance as per Pass Book, the Balance derived will be only Balance as per Bank Pass Book.
Statement-II : Bank Reconciliation statement is prepared by Account holder.
(a) Both the Statements are False. (b) Both the Statements are True.
(c) Only Statement-I is true. (d) Only Statement-II is true.
8. एक व्यवसाय अपने बैंक विवरण प्राप्त करता है जो समापन शेष ₹ 8,500 अधिक आहरित हैं। यह पाया गया कि ₹ 2,000 के चेक प्रस्तुत नहीं हुए और ₹ 1,500 के चेक क्रेडिट नहीं हुए। अतः रोकड़ बही के अनुसार अधिविकर्ष होगा:
(a) ₹ 5,000
(b) ₹ 8,000
(c) ₹ 9,000
(d) ₹ 12,000
9. रोकड़ बही ₹ 1,000 अधिक आहरण के रूप में दिखाती है। बैंक विवरण प्राप्त होने पर यह पाया गया कि देनदारों में से एक ने खाते में ₹ 400 जमा किए हैं और खाते में ₹ 20 बैंक शुल्क डेबिट किए गए थे। बैंक विवरण शेष होगा:
(a) ₹ 1,420 (जमा)
(b) ₹ 620 (नाम)
(c) ₹ 4,300 (जमा)
(d) ₹ 1,700 (नाम)
10. अभिकथन (A): विनिमय पत्र बिना शर्त होना चाहिए।
कारण (R): विनिमय पत्र द्वारा उस तिथि को निर्दिष्ट करना चाहिए जिस तक राशि का भुगतान किया जाना चाहिए।
(a) (A) और (R) दोनों सही हैं और (R), (A) की सही व्याख्या है।
(b) (A) और (R) दोनों सही हैं लेकिन (R), (A) की सही व्याख्या नहीं है।
(c) (A) सही है, किन्तु (R) सही नहीं है।
(d) (A) सही नहीं है, किन्तु (R) सही है।
11. विनिमय पत्र उधार खरीद की सुविधा देता है। विनिमय पत्र में होते हैं:
(a) 2 पक्ष
(b) 3 पक्ष
(c) 4 पक्ष
(d) 7 पक्ष
8. A business receives its bank statement showing the closing balance as ₹ 8,500 overdrawn. It is found that there were unpresented cheques of ₹ 2,000 and uncredited deposits of ₹ 1,500. Overdraft as per cash book will be:
(a) ₹ 5,000
(b) ₹ 8,000
(c) ₹ 9,000
(d) ₹ 12,000
9. Cash Book shows ₹ 1,000 as overdrawn. When bank statement is received, it was identified that one of debtors has deposited ₹ 400 into the account and bank charges of ₹ 20 had been debited to the account. Bank Statement balance is
(a) ₹ 1,420 (Dr)
(b) ₹ 620 (Dr)
(c) ₹ 4,300 (Cr)
(d) ₹ 1,700 (Dr)
10. Assertion (A): A bill of exchange must be unconditional.
Reason (R): A bill of exchange must specify the date by which the amount should be paid.
(a) Both (A) and (R) are correct and (R) is the correct explanation of A.
(b) Both (A) and (R) correct but (R) is not the correct explanation of (A).
(c) (A) is correct but (R) is incorrect.
(d) (A) is incorrect but (R) is correct.
11. A bill of exchange facilitates credit purchase. A bill of exchange has:
(a) two parties
(b) three parties
(c) four parties
(d) seven parties
12. 1 जनवरी, 2022 को ईंशु ने 4 महीने के लिए ₹ 10,000 का बिल राम पर जारी किया, बिल परिपक्वता तिथि कौन सी होगी?
(a) 3 मई, 2022
(b) 4 मई, 2022
(c) 5 मई, 2022
(d) 10 मई, 2022
अथवा
1 अप्रैल, 2021 को राम ने मोहन को ₹ 50,000 का माल बेचा। उसी तारीख को मोहन ने राम द्वारा जारी किए गए बिल को 3 महीने के लिए ₹ 50,000 की रकम के लिए स्वीकार कर लिया। नियत तारीख पर बिल का भुगतान कर दिया गया। उपरोक्त स्थिति में बिल का लेखीयावाल कौन है?
(a) राम
(b) मोहन
(c) बैंक
(d) सरकार
13. पुरानी कार की बिक्री पर होने वाली हानि को किस खाते डेबिट किया जाता है?
(a) लाभ-हानि खाता
(b) कार खाता
(c) मूल्यहास खाता
(d) व्यापार खाता
अथवा
व्यापार खाता तैयार करते समय विक्रय वापसी को ________ में से घटाया जाता है।
(a) खरीद
(b) बिक्री
(c) खरीद वापसी
(d) सकल लाभ
14. एक फर्म का सकल लाभ ₹ 4,00,000 था। किराया प्राप्त हुआ ₹ 60,000 और मरम्मत खर्च ₹ 50,000 था। अंतिम परिणाम होगा:
(a) शुद्ध लाभ ₹ 2,80,000
(b) शुद्ध लाभ ₹ 4,10,000
(c) शुद्ध लाभ ₹ 5,10,000
(d) शुद्ध लाभ ₹ 1,00,000
अथवा
फर्म का सकल लाभ ₹ 4,00,000 था। निम्न में से कौन सा शुद्ध लाभ की मात्रा को कम करेगा-
(a) प्राप्त किराया
(b) मूल्यहास
(c) प्राप्त व्याज
(d) प्राप्त छूट
12. On 1st January, 2022, Ishu issued a bill of ₹ 10,000 on Ram for 4 months. What will be the maturity date of bill?
(a) 3rd May, 2022
(b) 4th May, 2022
(c) 5th May, 2022
(d) 10th May, 2022
OR
On 1st April, 2021, Ram sold goods to Mohan for ₹ 50,000. On the same date Mohan accepted a bill drawn upon him by Ram at 3 months for ₹ 50,000 on the due date, the bill was met. Who is the Drawer of the bill in the above situation?
(a) Ram
(b) Mohan
(c) Bank
(d) Government
13. Loss on sale of an old car is debited to
(a) Profit & Loss Account
(b) Car Account
(c) Depreciation Account
(d) Trading Account
OR
While preparing the ‘Trading Account’ return Inward is deducted from
(a) Purchases
(b) Sales
(c) Return outward
(d) Gross profit
14. Gross Profit of a firm was ₹ 4,00,000, rent received was ₹ 60,000 and, repair expenses were ₹ 50,000. The final result will be:
(a) Net profit ₹ 2,80,000
(b) Net profit ₹ 4,10,000
(c) Net profit ₹ 5,10,000
(d) Net profit ₹ 1,00,000
OR
Gross Profit of a firm was ₹ 4,00,000. Which of the following will reduce the amount of Net Profit?
(a) Rent received
(b) Depreciation
(c) Interest received
(d) Discount received
15. कौन सा विवरण व्यवसाय की वित्तीय स्थिति को दर्शाता है?
(a) व्यापार खाता (b) लाभ-हानि खाता
(c) तुलन-पत्र (d) तलपट
16. निम्नलिखित में से किसे स्थिति विवरण में नहीं दर्शाया जाता है?
(a) आरंभिक स्टॉक (b) अंतिम स्टॉक
(c) पेंटेट (d) देनदार
17. कथन-I : 'अपूर्ण अभिलेखों' की स्थिति में स्वामी द्वारा लाभ-हानि का विवरण तैयार नहीं किया जाता है।
कथन-II : एकल अंकन प्रणाली एक अधूरी द्विं अंकन प्रणाली है, जो परिस्थितियों के साथ बदलती रहती है।
(a) दोनों कथन गलत हैं। (b) दोनों कथन सही हैं।
(c) केवल कथन-I सही है। (d) केवल कथन-II सही है।
18. जब 'मामलों का विवरण' तैयार किया गया तब संपत्तियों का कुल योग ₹ 6,00,000 था, और ₹ 1,00,000 था, यहाँ शेष राशि 5,00,000 _________ के रूप में जानी जाएगी।
(a) हानि (b) लाभ
(c) पूँजी (d) लेनदार
अथवा
अधूरे रिकार्ड से इसे तैयार करना संभव है
(a) बही खाता (b) तलपट
(c) मामलों का विवरण (d) लाभ-हानि खाता
15. Which statement shows financial position of the business?
(a) Trading Account (b) Profit and Loss Account
(c) Balance Sheet (d) Trial Balance
16. Which of the following is not shown in Balance Sheet?
(a) Opening Stock (b) Closing Stock
(c) Patents (d) Debtors
17. Statement-I: Statement of Profit and Loss is not prepared by owner in case of ‘Incomplete Record’.
Statement-II: Single entry system is an incomplete double entry system varying with circumstances.
(a) Both the statements are false. (b) Both the statements are true.
(c) Only Statement-I is true (d) Only statement-II is true
18. While preparing ‘Statement of Affairs’ total of assets side was ₹ 6,00,000, Loan ₹ 1,00,000. Here the balancing figure of 5,00,000 will be known as ________.
(a) Loss (b) Profit
(c) Capital (d) Creditor
OR
From incomplete records, it is possible to prepare
(a) Ledger Accounts (b) Trial Balance
(c) Statement of Affairs (d) Profit and Loss Account
19. मीरा ने ₹ 5,00,000 की पूँजी से व्यवसाय शुरू किया। उसने ₹ 75,000 का फर्नीचर तथा ₹ 1,75,000 की दुकान खरीदी। वर्ष 2021-22 के दौरान उसने ₹ 50,000 का वेतन दिया। उसने अपना व्यवसाय शुरू करने के लिए विज्ञापन पर भी ₹ 30,000 खर्च किये जो कि एक से अधिक वित्तीय वर्ष के लिए व्यवसाय को लाभ प्रदान करने वाला माना जाता है।
उपरोक्त जानकारी के आधार पर निम्नलिखित की गणना कीजिए:
(a) कुल आयगत व्यय
(b) कुल पूँजीगत व्यय
(c) कुल आस्थगित आयगत व्यय
20. पूँजीगत व्यय और राजस्व व्यय के बीच किन्हीं तीन अंतरों का उल्लेख कीजिए।
21. ‘सीधी रेखा पद्धति’ के अनुसार मूल्यहास लगाने के किन्हीं तीन लाभों का उल्लेख कीजिए।
22. (a) 10 मार्च, 2022 को, कने ख को ₹ 20,000 का माल बेचा और कने ख पर 3 महीने का बिल बनाया जिसे ख ने तुरंत स्वीकार करके कने को वापस कर दिया। नियमत तारीख पर बिल का भुगतान किया गया। उपरोक्त लेनदेनों की की पुस्तकों में आवश्यक रोजनामचा प्रविष्टियाँ कीजिए।
अथवा
(b) 20 अप्रैल, 2022 को राजेश ने सुगील से ₹ 25,000 का माल खरीदा और तभी 2 महीने का बिल स्वीकार किया। नियमत तिथि पर बिल का भुगतान कर दिया गया। उपरोक्त लेन-देनों के लिए राजेश की पुस्तकों में आवश्यक रोजनामचा प्रविष्टियाँ कीजिए।
23. (a) 31 मार्च, 2022 को नमन की रोकड़ बही ₹ 7,800 का बैंक शेष दिखाती है। रोकड़ बही की पासबुक से तुलना करने पर निम्नलिखित विसंगतियाँ पाई गईः
(i) ₹ 3,000 का चेक बैंक में जमा हुआ लेकिन क्रेडिट नहीं हुआ।
(ii) ₹ 1,500 का चेक जारी किया गया लेकिन अभी तक भुगतान के लिए प्रस्तुत नहीं किया गया।
(iii) ₹ 2,000 के बीमा प्रीमियम का भुगतान बैंक द्वारा किया गया।
बैंक समाधान विवरण तैयार कीजिए।
अथवा
19. Meera started business with capital of ₹ 5,00,000. She purchased furniture of ₹ 75,000 and shop for ₹ 1,75,000. During the year 2021-22 she paid salaries of ₹ 50,000. She also spent ₹ 30,000 on advertisement for launching her business which is assumed to provide benefit to the business for more than one financial year.
On the basis of above information, calculate the following:
(a) Total Revenue Expenditure
(b) Total Capital Expenditure
(c) Total Deferred Revenue Expenditure
20. State any three points of difference between Capital Expenditure and Revenue Expenditure.
21. State any three merits of ‘Straight Line Method’ of charging depreciation.
22. (a) On 10th March, 2022, A sold goods to B for ₹ 20,000. A drew on B a bill at 3 months for ₹ 20,000 which B accepted immediately and returned it to A. The bill was met on the due date. Give necessary journal entries for the above transactions in the books of A.
OR
(b) On 20th April, 2022 Rajesh purchased goods from Sunil of ₹ 25,000 and accepted a bill for two months. The bill was met on due date. Pass necessary journal entries for the above transactions in the book of Rajesh.
23. (a) On 31st March 2022, Cash Book of Naman showed a bank balance of ₹ 7,800. On comparing the Cash book with Pass Book the following discrepancies were noted:
(i) Cheque deposited in bank but not credited ₹ 3,000.
(ii) Cheque issued but not yet presented for payment ₹ 1,500.
(iii) Insurance premium paid by the bank ₹ 2,000.
Prepare bank Reconciliation statement.
OR
(b) 31.1.2022 को भारती का बैंक समाधान विकरण तैयार कीजिए। 31.1.2022 को पासबुक के अनुसार शेष राशि ₹ 62,500 थी।
(i) रहीम को ₹ 4,000 का चेक जारी किया जिसे नकद कॉलम में लिया गया।
(ii) बैंक में ₹ 15,000 का चेक भुगतान किया गया था लेकिन इसकी प्रविष्टि रोकड़ बही में नहीं की गई।
(iii) बैंक ने कमीशन के रूप में ₹ 55 लिए और ₹ 50 का ब्याज दिया।
24. 1 जुलाई, 2022 को ₹ 30,000 के लिए प्रकाश ने मोहन से 3 महीने के लिए स्वीकृति प्राप्त की। प्रकाश ने इस स्वीकृति को 10% प्रति वर्ष की दर के बढ़े पर अपने बैंक से भुनाया। नियत तिथि पर मोहन ने आवश्यक राशि का भुगतान किया। उपरोक्त लेनदेनों के लिए प्रकाश और मोहन की पुस्तकों में आवश्यक रोजनामचा प्रविष्टियाँ कीजिए।
25. व्यापार खाता और लाभ-हानि खाता के बीच कोई चार अंतर दीजिए।
26. मयंक अपने व्यवसाय का उचित रिकॉर्ड नहीं रखता है, वह आपको निम्नलिखित जानकारी देता है:
प्रारंभिक पूँजी ₹ 1,00,000, अंतिम पूँजी ₹ 1,25,000, वर्ष के दौरान आहरण ₹ 30,000, वर्ष के दौरान अतिरिक्त पूँजी लगाई गई ₹ 37,500, वर्ष के लिए लाभ तथा हानि की गणना कीजिए।
27. 1 जनवरी, 2018 को एक कंपनी ने ₹ 96,000 में पुरानी मशीन खरीदी और इसके स्थापन पर ₹ 24,000 खर्च किये। मूल्यहास दर 10% है। 3 साल के लिए मशीनरी खाता तैयार कीजिए। खाते 31 दिसंबर को बंद किए जाते हैं, मूल्यहास सीधी रेखा विधि के आधार पर लगाया गया।
(b) Prepare a Bank Reconciliation statement of Bharti as on 31.1.2022. Balance as per Pass book as on 31.1.2022 was ₹ 62,500.
(i) A cheque of ₹ 4,000 issued to Rahim, was taken in the cash column.
(ii) A cheque of ₹ 15,000 was paid into bank but was omitted to be entered in the Cash Book.
(iii) The bank has charged ₹ 55 as its commission and has allowed interest ₹ 50.
24. Prakash received from Mohan an acceptance for ₹ 30,000 on 1st July, 2022 at 3 month. Prakash got this acceptance discounted @ 10% p.a. from his bank. On the due date Mohan paid the required amount. Give the necessary Journal Entries for the above transactions in the books of Prakash and Mohan.
25. Give four points of distinction between Trading Account and Profit and Loss Account.
26. Mayank does not keep proper records of his business. He gives you the following information:
Opening Capital ₹ 1,00,000, Closing Capital ₹ 1,25,000, Drawings made during the year ₹ 30,000, Additional Capital introduced during the year ₹ 37,500.
Calculate profit and loss for the year.
27. On 1st January, 2018, a company purchased a second-hand machinery for ₹ 96,000 and spent ₹ 24,000 on its erection. Prepare the Machinery Account for three years. The rate of depreciation is 10%. The accounts are closed on 31st December. Depreciation was charged on the basis of ‘Straight Line Method’.
28. सुधीर दवा का कारोबार चला रहा है तथा उसका एच.डी.एफ.सी. की दिल्ली शाखा बैंक में खाता है।
उसका मुनीम रमेश एक महीने की छुट्टी पर चला गया और जब वह वापस आया तो उसने पाया की 31 अगस्त, 2022 को रोकड़ बही बैंक शेष पासबुक शेष से नहीं मिल रहा। रमेश ने निम्नलिखित बिंदुओं का पता लगाया जिसके कारण दोनों पुस्तकों के शेष नहीं मिल रहे हैं:
(i) ₹500 का चैक बैंक में जमा किया गया, किन्तु रोकड़ बही में कोई प्रविष्टि नहीं की गई।
(ii) ₹1,200 का चैक प्राप्त कर रोकड़ बही में प्रविष्टि की किन्तु बैंक में चैक नहीं भेजा गया।
(iii) रोकड़ बही के बैंक कॉल्टम का क्रेडिट पक्ष का योग ₹200 कम किया गया।
(iv) स्थायी सलाह के तहत बैंक द्वारा सीधे बीमा प्रीमियम ₹600 का भुगतान किया गया।
(v) बैंक शुल्क ₹20 को रोकड़ बही में दो बार दर्ज किया गया।
उपरोक्त काल्पनिक केस स्टडी से निम्नलिखित प्रश्नों का उत्तर दीजिए:
(a) रोकड़ बही और पासबुक शेष के अंतर के बारे में कारण जानने हेतु रमेश द्वारा तैयार किए जाने वाले विवरण का नाम दीजिए।
(b) यदि विवरण तैयार करने के लिए शुरुआती शेष रोकड़ बही का है तो आप मद (i) को कैसे हल करेंगे?
(c) यदि विवरण तैयार करने के लिए शुरुआती शेष बैंक पासबुक का है तो आप मद (ii) को कैसे हल करेंगे?
28. Sudhir was running the business of medicine and was having bank account with HDFC, Delhi branch. His accountant Ramesh went on leave for a month and when he came back he found that cash book balance was not tallying with pass book balance as on 31\textsuperscript{st} August, 2022. Ramesh found out the following points due to which balances of both the books did not tally:
(i) Cheque deposited into the Bank, but no entry was passed in the Cash Book ₹ 500.
(ii) Cheque received and entered in the Cash Book but not sent to Bank ₹ 1,200.
(iii) Credit side of the Cash Book bank column was cast short by ₹ 200.
(iv) Insurance Premium paid directly by the bank under the standing advice ₹ 600.
(v) Bank charges ₹ 20 were entered twice in the Cash Book.
From the above hypothetical case study, answer the following questions:
(a) Name the statement to be prepared by Ramesh for finding out the reasons of the above difference between Cash Book and Pass Book balances.
(b) If balance as per Cash Book is starting balance for preparing the statement then how will you treat item (i)?
(c) If balance as per bank Pass Book is starting balance for preparing the statement then how will you treat item (ii)?
(d) यदि विवरण तैयार करने के लिए शुरुआती शेष रोकड़ बही का है तो आप मद (iii) को कैसे हल करेंगे?
(e) यदि विवरण तैयार करने के लिए शुरुआती शेष बैंक पासबुक का है तो आप मद (iv) को कैसे हल करेंगे?
(f) यदि विवरण तैयार करने के लिए शुरुआती शेष रोकड़ बही शेष है तो आप मद (v) को कैसे हल करेंगे?
29. (a) 31-3-2020 से 31-3-2021 तक का रामजी का स्थिति-विवरण निम्नलिखित है। वह अपूर्ण प्रणाली में अपने खाते तैयार करता है। उसने 2020-2021 के दौरान ₹ 10,000 अतिरिक्त पूँजी के रूप में निवेश किया और अपने व्यक्तिगत उपयोग के लिए ₹ 3,000 प्रति माह का आहरण किया। 31 मार्च, 2021 को वर्ष की समाप्ति पर उसका लाभ ज्ञात कीजिए।
| विवरण | 31-3-20 (₹) | 31-3-21 (₹) |
|--------------|-------------|-------------|
| नकद | 1,000 | 900 |
| विविध देनदार | 39,000 | 45,000 |
| भंडार (स्टॉक) | 34,000 | 32,000 |
| संयंत्र व मशीन | 60,000 | 80,000 |
| विविध लेनदार | 15,000 | 14,900 |
| देय बिल | - | 50,000 |
अथवा
(b) एकल प्रविष्टि प्रणाली के लाभों का वर्णन कीजिए।
(d) If balance as per Cash Book is starting balance for preparing the statement then how will you treat item (iii)?
(e) If balance as per bank Pass Book is starting balance for preparing the statement then how will you treat item (iv)?
(f) If balance as per Cash Book is starting balance for preparing the statement then how will you treat item (v)?
29. (a) Following is the position statement of Ramaji as on 31-3-2020 and 31.3.2021. He maintains incomplete accounts. During 2020-2021, he introduced ₹ 10,000 as additional capital. He withdrew ₹ 3,000 every month for his personal use. Ascertain his profit for the year ended 31st March, 2021.
| Particular | 31-3-20 (₹) | 31-3-21 (₹) |
|--------------------|-------------|-------------|
| Cash | 1,000 | 900 |
| Sundry Debtors | 39,000 | 45,000 |
| Stock | 34,000 | 32,000 |
| Plant and Machinery| 60,000 | 80,000 |
| Sundry Creditors | 15,000 | 14,900 |
| Bills Payable | – | 50,000 |
OR
(b) Describe the advantages of single entry system.
30. निम्नलिखित तत्पर से 31-3-2021 को समाप्त हुए वर्ष के लिए व्यापार तथा लाभ-हानि खाता तैयार कीजिए:
| विवरण | राशि (₹) |
|------------------|-----------|
| नाम शेष: | |
| देनदार | 15,000 |
| प्रारंभिक स्टॉक | 50,000 |
| भूमि और भवन | 1,00,000 |
| रोकड़ | 16,000 |
| मजदूरी | 30,000 |
| चेतन | 20,000 |
| आहरण (ड्राइंग) | 20,000 |
| खरीद | 1,00,000 |
| कार्यालय खर्च | 25,000 |
| प्राण्य बिल | 20,000 |
| व्याज | 2,000 |
| इक्विट रण | 5,000 |
| मरम्मत | 1,15,000 |
| मूल्यहास | 10,000 |
| किराया | 8,000 |
| **5,36,000** | |
| जमा शेष: | |
| पूँजी | 2,50,000 |
| व्याज | 6,000 |
| विविध लेनदार | 70,000 |
| बिक्री | 1,70,000 |
| देय बिल | 40,000 |
| **5,36,000** | |
अन्तिम स्टॉक का मूल्यांकन ₹ 1,00,000 किया गया।
30. From the following Trial Balance, prepare Trading and Profit and Loss Accounts for the year ended 31-3-2021:
| Particulars | Amount (₹) |
|-----------------------------|------------|
| Debt Balance: | |
| Sundry Debtors | 15,000 |
| Opening Stock | 50,000 |
| Land and Building | 1,00,000 |
| Cash in hand | 16,000 |
| Wages | 30,000 |
| Salaries | 20,000 |
| Drawings | 20,000 |
| Purchase | 1,00,000 |
| Office expenses | 25,000 |
| Bills receivable | 20,000 |
| Interest | 2,000 |
| Bad debts | 5,000 |
| Repairs | 1,15,000 |
| Depreciation | 10,000 |
| Rent | 8,000 |
| **Total** | **5,36,000** |
| Particulars | Amount (₹) |
|-----------------------------|------------|
| Credit Balance: | |
| Capital | 2,50,000 |
| Interest | 6,000 |
| Sundry Creditors | 70,000 |
| Sales | 1,70,000 |
| Bill payable | 40,000 |
| **Total** | **5,36,000** |
The closing stock was valued at ₹ 1,00,000.
135 151 |
The undersigned owner, or owner's authorized agent, of property herein described hereby submits ten (10) copies of the attached maps, one (1) copy no larger than 11" x 17", and one (1) pdf document of the complete submittal (email@example.com) for approval under the rules and requirements of the Fitchburg Land Division Ordinance.
1. Type of Action Requested:
- [ ] Certified Survey Map Approval
- [ ] Preliminary Plat Approval
- [ ] Final Plat Approval
- [ ] Replat
- [x] Comprehensive Development Plan Approval
2. Proposed Land Use (Check all that Apply):
- [ ] Single Family Residential
- [ ] Two-Family Residential
- [ ] Multi-Family Residential
- [x] Commercial/Industrial
3. No. of Parcels Proposed: two (2)
4. No. Of Buildable Lots Proposed: two (2)
5. Zoning District: B-G General Business
6. Current Owner of Property: Charden Properties, LLC Representative: Chris Peterson
Address: 6220 Nesbitt Road Fitchburg, WI 53719 Phone No: (608) 338-5822
7. Contact Person: Matthew E. Hoglund, P.L.S. Quam Engineering, LLC
Email: firstname.lastname@example.org
Address: 4604 Siggelkow Road - Suite A McFarland, WI 53558 Phone No: (608)838-7750 (692-7220 Cell
8. Submission of legal description in electronic format (MS Word or plain text) by email to: email@example.com
Pursuant to Section 24-2 (4) of the Fitchburg Land Division Ordinance, all Land Divisions shall be consistent with the currently adopted City of Fitchburg Comprehensive Plan.
Respectfully Submitted By: ___________________________ Matthew E. Hoglund
Owner’s or Authorized Agent’s Signature Print Owner’s or Authorized Agent’s Name
PLEASE NOTE - Applicants shall be responsible for legal or outside consultant costs incurred by the City. Submissions shall be made at least four (4) weeks prior to desired plan commission meeting.
For City Use Only: Date Received: 5/18/21
Ordinance Section No. Fee Paid: $465.00
Permit Request No. (CDPLA)-2387-21
ORCHARD POINTE
COMPREHENSIVE DEVELOPMENT PLAN
AMENDMENT 16
LOT 1 OF CSM 10317 LAND USE
PREPARED FOR
Charden Properties, LLC
Chris Peterson
c/o Pancake Cafe
6220 Nesbitt Road
Fitchburg, WI 53719
PREPARED BY
Quam Engineering, LLC
4604 Siggelkow Road, Suite A
McFarland, WI 53558
608-838-7750
May 20th, 2021
# TABLE OF CONTENTS
| Section | Page |
|----------------------------------------------|------|
| INTRODUCTION/BACKGROUND | 1 |
| SEQUENCE OF DEVELOPMENT APPROVALS | 1-2 |
| GENERAL DESCRIPTION AND LAND USE | 2 |
| ZONING | 2 |
| OPEN SPACE PRESERVATION | 3 |
| STORM WATER MANAGEMENT | 3 |
| TRAFFIC IMPACTS | 3 |
| ATTACHMENTS | |
| Existing Site Plan | 4 |
| Existing Site Plan – With Aerial | 5 |
| Proposed Concept – Site Plan | 6 |
| Charden Properties CSM | 7-10 |
| Orchard Pointe Map 1-Amendment 1 July 2006 | 11 |
| City of Fitchburg Zoning Map | 12 |
| Legal Description | 13 |
| Sanitary Lateral and Water Service Plan – Lot 2 | 14 |
INTRODUCTION AND BACKGROUND
The Orchard Pointe Comprehensive Development Plan (CDP) was adopted by the City April 11, 2006 and amendment July 20, 2006. The CDP established the outline for the commercial development of approximately 110 acres located in the southwest quadrant of the McKee Road and Verona Road intersection.
The CDP addresses issues and set development guidelines and parameters for land use, zoning, public improvements, architectural character, traffic circulation, storm water management and open space preservation.
The City and Property owners have acknowledged that the sequence of development in this area would and has required revisions and amendments in order to incorporate property assembly, rezoning, land division, and use that had not been chosen for the future commercial needs of this region.
This amendment is the 16th of the CDP and focuses only on Lot #1 of the Certified Survey Map No. 10317 and the 10-foot strip of Lot 9 of Orchard Pointe owned by Charden Properties, LLC. This area of Orchard Pointe is currently occupied by a multi-use building which includes a restaurant, appliance retailer, karate studio, and swimming school. The existing business will remain on Lot 1 of the new CSM, with Lot 2 being left undeveloped at this and to be sold and/or developed in the future.
ORCHARD POINTE CHRONOLOGY
- **April 2006** - Orchard Pointe Comprehensive Development Plan approved.
- **July 2006** - Rezoning of Orchard Pointe.
- **January 2007** - CDP Amendment #1 – Relating to lands east of Fitchrona Road, the re-alignment of Hardrock Road, rezoning of McKee Road frontage east of Fitchrona Road.
- **January 2008** - CDP Amendment #2 – Revised the uses for the open space for Phase One of The Shops at Orchard Pointe.
- **July 2008** - CDP Amendment #3 – Revised to uses and open space for Phase One of The Shops at Orchard Pointe.
- **September 2008** – CDP Amendment #4 – Changes to the gross floor area permitted on Lot 1.
- **December 2008** – CDP Amendment #5 – Changes to the uses and development of the Shops at Orchard Point on Lot 8.
- **October 2009** – CDP Amendment #6 – Changes to the uses and development of Lots 3, 4, 6, and 8.
- **March 2001** – CDP Amendment #7 – Revisions to zoning and conditional uses on Lot 6 and revising the site plan pertaining to Lots 3, 4, and 6.
• **July 2011 – March 2012** – CDP Amendment #8 – Revisions to the land use on Lot 1 from restaurant to a bank with drive-thru lanes and specialty retail center uses. This proposed amendment was denied by the City Plan Commission in order to maintain the opportunity for a restaurant use to be developed.
• **Fall 2011** – CDP Amendment #9 – Changes to the use of Lot 5 and Outlot 7 from retail to a Hy-Vee grocery store.
• **Fall 2012 – April 2013** – CDP Amendment #10 – Revisions to the permitted use on Lot 1 to allow retail in place of the single restaurant use restriction.
• **July 2013** – CDP Amendment #11 – Relating to increasing permitted residential densities to enable the development of an apartment complex on Lot 14.
• **January 2016** – CDP Amendment #12 – Revisions to the uses permitted on Lot 9 to allow the development of the Staybridge Suites Hotel.
• **June 2017** CDP Amendment #13 – Related to the expansion of the type and size of the uses on Lot 8 to include a fast food restaurant & drive thru lane, as well as an increase in the retail space.
• **November 2018** – CDP Amendment #14 – Related to a two-phase development of the Limestone Ridge Apartments to provide 136 units of workforce housing.
• **January 2019** – CDP Amendment #15 – Related to a 130 unit independent senior living facility on Lot 12 of Orchard Pointe.
**GENERAL DESCRIPTION and LAND USE**
The current property will be split into two proposed lots (Lots 1 & 2) with the existing building and businesses remaining on the proposed Lot 1 and the proposed Lot 2 will remain undeveloped until sold and/or developed.
**ZONING**
The current property zoning is B-G (General Business District). The proposed Lots 1 and 2 will remain B-G (General Business District) as currently zoned.
OPEN SPACE PRESERVATION - CDP PARAMETERS
Lot 1
LOT SIZE = 3.254 ACRES- 141,745 SQUARE FEET
EX BUILDING FOOTPRINT~ 31,120 SF
GREEN SPACE- PERVIOUS= 27.75%
PARKING= 116 CARS
Lot 2 (Vacant sale Lot)
LOT SIZE = 1.651 ACRES- 71,915 SQUARE FEET
BUILDING FOOTPRINT= 0 SF
GREEN SPACE- PERVIOUS= 80%
PARKING = 4 to 10 CARS on typical day (gravel behind building for optional employee parking)
STORM WATER MANAGEMENT
Lot 1
The existing storm water management of the proposed Lot 1 will remain undisturbed as the current drainage will not be modified as no construction or design activities are outlined in this Amendment. The stormwater will continue to drain in an Easterly direction to the large ditch in the stormwater easement along the Easterly lot line and flow Southeasterly toward/under Nesbitt Road to the regional stormwater pond.
Lot 2
The existing storm water management of the proposed Lot 2 will remain undisturbed as the current drainage will not be modified as no construction or design activities are outlined in this Amendment. Stormwater from proposed Lot 2 will continue to drain to the retention pond at the Southerly corner of Lot 2 at the intersection of Nesbitt Road and Limestone Lane. During storm events, overflow enters the standpipe in the retention pond and then flows into the existing City stormwater system under Nesbitt Road to the regional stormwater pond.
TRAFFIC IMPACTS
Lot 1
Lot 1 includes all the existing buildings, businesses, parking and driveways and will remain unchanged. Due to this, no changes in traffic impacts from the original CDP are anticipated.
Lot 2
Lot 2 is not being developed at this time and is for possible future sale/development and will not provide any increase in traffic at this time. While future traffic generation from this lot is unknown, the City will have the future opportunity to review the traffic impacts for this lot once the future development type, size and use are known.
EXISTING SITE PLAN
SHEET: 4
DATED: MAY 18, 2021
QUAM ENGINEERING, LLC
Residential and Commercial Site Design Consultants
www.quamengineering.com
4604 Siggelkow Road, Suite A – McFarland, Wisconsin 53558
Phone (608) 838-7750; Fax (608) 838-7752
EXISTING SITE PLAN
SHEET: 5
DATED: MAY 18, 2021
QUAM ENGINEERING, LLC
Residential and Commercial Site Design Consultants
www.quamengineering.com
4604 Sigelkow Road, Suite A – McFarland, Wisconsin 53558
Phone (608) 838-7750; Fax (608) 838-7752
PRELIMINARY DANE COUNTY CERTIFIED SURVEY MAP #
Part of Lot 1 of Certified Survey Map No. 10317 and a part of Lot 9 of Orchard Pointe, being located in the NE 1/4 of the NW 1/4 and the SE 1/4 of the NW 1/4 of Section 7, T.6N., R.9E., City of Fitchburg, Dane County, Wisconsin
Lot 2
71,915 Sq. Ft.
1.651 Acres
Lot 1
141,765 Sq. Ft.
3.254 Acres
CURVE DATA:
3.297 Sq. Ft.
0.075 Acres
C-1
Radius=15.00'
Delta=89°54'30"
L=23.54'
CH=N77°12'24"W
21.20'
GRAPHIC SCALE
( IN FEET )
LEGEND
● 3/4" Rebar Found (Unless Noted)
○ 1-1/4" Rebar Found
◎ 3/4" by 2¼" Iron Rebar Set
Weighting 1.5 lbs./ft.
Record Data (if different)
(46.57)
Boundary Line
Lot Line
Existing R/W Line
Existing Easement Line
Plotted Building Setback Line
New Easement Line
(Easement Area Hatched)
EASEMENT NOTES:
(A) Existing 12' Wide Utility Easement per Doc. 1949106
(B) Existing 50' Wide Public Storm & Sanitary Easmt. per Doc. 1949106
(C) 12' Wide Public Utility Easement dedicated hereon.
Public utility easements shown are granted to those utility entities that provide service to the Lots hereof. For underground electric and communication facilities, the final grade shall not be altered by more than six (6) inches without written consent of the utilities involved.
SEE SHEET 2 FOR NOTES.
DANE COUNTY
CERTIFIED SURVEY MAP #
Part of Lot 1 of Certified Survey Map No. 10317 and a part of Lot 9 of Orchard Pointe, being located in the NE 1/4 of the NW 1/4 and the SE 1/4 of the NW 1/4 of Section 7, T.6N., R.9E., City of Fitchburg, Dane County, Wisconsin
SURVEYOR’S CERTIFICATE:
I, Matthew E. Hoglund, Professional Land Surveyor, do hereby certify to the best of my knowledge and belief that I have surveyed, divided, and mapped the following Certified Survey, being a part of Lot 1 of Certified Survey Map No. 10317, recorded as Document No. 3443224 of Dane County Records and a part of Lot 9 of Orchard Pointe, recorded as Document No. 4429294 of Dane County Records, being located in the Northeast 1/4 of the Northwest 1/4 and the Southeast 1/4 of the Northwest 1/4 of Section 7, Township 6 North, Range 9 East, City of Fitchburg, Dane County, Wisconsin, being more particularly described as follows:
BEGINNING at the corner common to said Lot 1 and Lot 2 of said Certified Survey Map No. 10317, lying on the Northwesternly right-of-way line of Nesbitt Road; thence, along said Northwesternly right-of-way line, South 57°35'21" West, 462.82 feet to its intersection with the Northeasterly right-of-way line of Limestone Lane; thence, along said Northeasterly right-of-way line, North 32°30'09" West, 400.00 feet to the most Southerly corner of aforesaid Lot 9; thence, along the line common to said Lot 9 and said Lot 1, North 57°35'21" East, 216.03 feet; thence North 32°24'39" West, 10.00 feet; thence North 57°35'21" East, 329.00 feet; thence South 32°24'39" East, 10.00 feet to said common line; thence, along said common line, North 57°35'21" East, 60.59 feet to the most Northerly corner of said Lot 1; thence, along the Easterly line of Lot 1, South 12°50'43" East, 424.51 feet to the POINT OF BEGINNING.
Said parcel contains 213,680 square feet or 4.905 acres, more or less.
BEING SUBJECT TO any other easements or agreements, if any, of record and/or fact.
I further certify, to the best of my knowledge and belief, that this map is a correct representation of all exterior boundaries of the land surveyed and the subdivision thereof made; that I have made such survey, land division, and map by the direction of Chris Peterson of Charden Properties LLC, the owner of said land; that I have fully complied with the provisions of Chapter 236.34 of the Wisconsin State Statutes and Chapter 24 of the City of Fitchburg Land Division Regulations in surveying, dividing, and mapping the same.
Dated this 20th day of May, 2021.
Quam Engineering, LLC
By: Matthew E. Hoglund
P.L.S. S-1910
NOTES:
1. Lot 2 is undeveloped at this time, except for the gravel driveways and parking areas. Note that future development of Lot 2 must comply with all applicable City of Fitchburg Codes and requirements for the use intended.
CORPORATE OWNERS CERTIFICATE:
Charden Properties, LLC, a Limited Liability Corporation duly organized and existing under and by virtue of the laws of the State of Wisconsin, as owner, does hereby certify that said corporation caused the land described on this Certified Survey Map to be surveyed, divided, mapped, and dedicated as represented on this map. Charden Properties, LLC does further certify that this map is required by s.236.10 or s.236.12 to be submitted to the following for approval or objection:
City of Fitchburg
IN WITNESS WHEREOF, the said Charden Properties, LLC has caused these presents to be signed by Chris Peterson, Managing Member at ________________________, Wisconsin, and its corporate seal to be hereunto affixed on this _________, day of ________________, 20__.
In the presence of: ____________________________
Chris Peterson
STATE OF WISCONSIN)
COUNTY DANE) SS
Personally came before me this ___ day of ____________________, 20__, Chris Peterson, Managing Member of the above named Limited Liability Corporation, to me known to be the persons who executed the foregoing instrument, and to me known to be Members of said Limited Liability Corporation, and acknowledged that they executed the foregoing instrument as such officers as the deed of said corporation, by its authority.
(Notary Seal) ___________________________ Notary Public, ________________________, Wisconsin
My commission expires ________________.
CITY OF FITCHBURG APPROVAL CERTIFICATE:
This Certified Survey, including any dedications shown hereon, has been duly filed with and approved by the Common Council of the City of Fitchburg, Dane County, Wisconsin.
Date: ____________ Signed ___________________________
Tracy Oldenburg - City Clerk
C.S.M. No. __________
Doc. No. __________
Vol. _____ Page _____
DANE COUNTY
CERTIFIED SURVEY MAP #
Part of Lot 1 of Certified Survey Map No. 10317 and a part of Lot 9 of Orchard Pointe, being located in the NE 1/4 of the NW 1/4 and the SE 1/4 of the NW 1/4 of Section 7, T.6N., R.9E., City of Fitchburg, Dane County, Wisconsin
CONSENT OF CORPORATE MORTGAGEE:
__________________________, a corporation duly organized and existing under and by virtue of the laws of the State of Wisconsin, mortgagee of the above described land, does hereby consent to the surveying, dividing, mapping, and dedication of the land described on this map, and does hereby consent to the above certificate of Charden Properties, LLC, owner.
IN WITNESS WHEREOF, the said _______________________________ has caused these presents to be signed by _______________________, its President, and countersigned by _________________________, its Secretary (cashier), at _________________________, Wisconsin, and its corporate seal to be hereunto affixed on this _________, day of _________________________, 20___.
In the presence of:
__________________________ ___________________________ (Corporate Seal)
___________________________________________, Date: _______________
By: ___________________________ President
___________________________________________, Date: _______________
By: ___________________________ Secretary (Cashier)
STATE OF WISCONSIN)
______________________ COUNTY) SS
Personally came before me this ___ day of _________________________, 20___, _________________________, its President, and countersigned by _________________________, its Secretary (cashier) of the above named corporation, to me known to be the persons who executed the foregoing instrument, and to me known to be such President and Secretary(cashier) of said corporation, and acknowledged that they executed the foregoing instrument as such officers as the deed of said corporation, by its authority.
(Notary Seal) _______________________________ Notary Public, _________________________, Wisconsin
My commission expires ________________.
REGISTER OF DEEDS CERTIFICATE:
Received for recording this ___ day of _________________________, 20___, at _____________ o'clock __M. and recorded in Volume _____of Certified Survey Maps on Pages ________________
as Document No. ________________.
___________________________________________
Kristi Chlebowski, Dane County Register of Deeds
Orchard Pointe
CDP Amendment One
Legend
Planned Land Use
Commercial
Park & Open Space
Storm Water Management
Area affected by Amendment 1
McKee Road – County Highway
Fitchburg Road (Amendment)
Nelson Road – US Highway 197
Nashua Road
Page 11
CITY OF FITCHBURG SECTION 7 TOWNSHIP 6N RANGE 9E
Zoning Districts
- R-R: Rural Residential
- R-L: Low Density Residential
- R-LM: Low to Medium Density Residential
- R-HA: Former R-4 Residential
- R-M: Medium Density Residential
- R-H: High Density Residential
- B-P: Professional Business
- B-G: General Business
- B-H: Highway Business
- R-D: Rural Development
- I-S: Specialized Industrial
- I-G: General Industrial
- PDC-GIP: Planned Development District • General Implementation Plan
- PDC-SIP: Planned Development District • Specific Implementation Plan
- P-R: Park and Recreation District
- A-T: Transitional Agriculture
- A-X: Exclusive Agriculture
- A-S: Small Lot Agriculture
- SC-NC: SmartCode • New Community
City Limits
Wellhead Protection Area
Section Corner
Prepared by: Planning and Zoning Department 8/15
Page 12
LEGAL DESCRIPTION
for
Proposed Certified Survey Map and Comprehensive Development Plan Amendment
A part of Lot 1 of Certified Survey Map No. 10317, recorded as Document No. 3443224 of Dane County Records and a part of Lot 9 of Orchard Pointe, recorded as Document No. 4429294 of Dane County Records, being located in the Northeast 1/4 of the Northwest 1/4 and the Southeast 1/4 of the Northwest 1/4 of Section 7, Township 6 North, Range 9 East, City of Fitchburg, Dane County, Wisconsin, being more particularly described as follows:
BEGINNING at the corner common to said Lot 1 and Lot 2 of said Certified Survey Map No. 10317, lying on the Northwesterly right-of-way line of Nesbitt Road; thence, along said Northwesterly right-of-way line, South 57°35'21" West, 462.82 feet to its intersection with the Northeasterly right-of-way line of Limestone Lane; thence, along said Northeasterly right-of-way line, North 32°30'09" West, 400.00 feet to the most Southerly corner of aforesaid Lot 9; thence, along the line common to said Lot 9 and said Lot 1, North 57°35'21" East, 216.03 feet; thence North 32°24'39" West, 10.00 feet; thence North 57°35'21" East, 329.00 feet; thence South 32°24'39" East, 10.00 feet to said common line; thence, along said common line, North 57°35'21" East, 60.59 feet to the most Northerly corner of said Lot 1; thence, along the Easterly line of Lot 1, South 12°50'43" East, 424.51 feet to the POINT OF BEGINNING, containing 213,680 square feet or 4.905 acres, more or less.
BEING SUBJECT TO all easements and agreements, if any, of record and/or fact.
Project No. CP-08-18
Date: May 18, 2021
NOTES:
1. CONTRACTOR SHALL OBTAIN CITY OF FITCHBURG R/W PERMIT PRIOR TO INSTALLATION OF SANITARY LATERAL AND WATER SERVICE.
2. ELEVATIONS SHOWN ARE BASED ON THE NAVD88 (2011) DATUM=GEOD12B.
TO OBTAIN LOCATION OF PARTICIPANTS' UNDERGROUND FACILITIES BEFORE YOU EXCAVATE, CALL DIGGERS HOTLINE 1-800-243-8381 TOLL FREE
TDD(FOR THE HEARING IMPAIRED)(800)542–2289
WIS. STATUTE 182.0175 (1974) REQUIRES MIN. OF 3 WORK DAYS NOTICE BEFORE YOU EXCAVATE
CALL DIGGERS HOTLINE
1-800-243-8381
TOLL FREE
NESBITT ROAD/LIMESTONE LANE DEVELOPMENT
SANITARY LATERAL AND WATER SERVICE PLAN
EXHIBIT #1
DATE: MAY 17, 2021
QUAM ENGINEERING, LLC
Residential and Commercial Site Design Consultants
www.quamengineering.com
4604 Sigelkow Road, Suite A – McFarland, Wisconsin 53558
Phone (608) 838–7750; Fax (608) 838–7752 |
Arizona’s Experience with the 65-mph Speed Limit
JONATHAN UPCHURCH
Arizona’s experience with the 65-mph speed limit is presented in terms of driver behavior and accident experience. The speed limit on Arizona’s rural interstate was raised to 65 mph on April 1, 1987. Driver behavior is presented in terms of the speeds at which motorists actually drive on the rural interstate. Before and after data are presented from the last quarter of 1983 through the first quarter of 1988. Vehicle speeds increased by only about 3 mph or less during the four quarters following the speed limit increase. A 5-year history of interstate accident data—from 1983 through spring 1988—is presented that provides a before-and-after comparison. Information on total accidents, fatal accidents, and injuries is presented. Accident rate information is presented to account for the effect of increasing vehicle-miles of travel. Accident data on the urban interstate are presented for comparison purposes.
Speed limits on rural highways has been a topic of intense interest to both the general public and the traffic engineering and enforcement communities during the past 15 years. The national maximum speed limit of 55 mph was enacted in 1974 and remains in effect on most of the nation’s rural highway mileage. In April 1987, the United States Congress passed legislation allowing individual states to increase the speed limit on the rural interstate system to 65 mph. To date, about 40 states have chosen to increase the speed limit on the rural interstate.
Increasing the speed limit to 65 mph has led to an intensified debate about the impact of the higher speed limit on safety. Proponents and opponents have engaged in spirited discussion. Quantitative data have been assembled and presented to show changes in the number of accidents but, thus far, the information has been based on relatively short periods. Information on changes in driver behavior (actual speeds driven) has received little attention.
A statistically sound evaluation and appraisal of the accident impacts of increasing the speed limit will require nationwide data from both the states in which the speed limit has been raised and the states in which it has not been raised. It will also require at least 12 months of “after” data from each of the states in which the speed limit has been raised. Because some states raised their speed limits as late as the fall of 1987, the type of rigorous evaluation described above is unlikely to have been completed before the end of 1988.
This paper presents the experience of a single state—Arizona—with the 65 mph speed limit. This single state experience is not intended to be representative of experience in other states. Information is presented on both driver behavior (a before-and-after comparison of the speeds that motorists are actually driving) and accident experience (a before-and-after comparison). The “before” period in Arizona ends on April 15, 1987, the date that the speed limit was raised. The after period begins on April 16, 1987.
Throughout this paper the term “rural interstate” is used to denote those portions of the Arizona interstate system that now have a 65-mph speed limit. “Urban interstate” is used to denote those portions that still have a 55-mph speed limit.
This paper is intended to simply present the facts on changes in driver behavior and actual numbers of accidents. It is not intended to interpret, demonstrate, or imply any cause and effect relationship between changes in the speed limit and accident experience.
DRIVER BEHAVIOR
The Arizona Department of Transportation has about 76 speed-monitoring compliance locations on its highway system. Thirty-five are located on the rural interstate, 12 are located on the urban interstate, and 29 are located on the rural primary system. Although federal law no longer requires speed monitoring data to be collected on the 65 mph interstate, Arizona has continued to do so.
Fourteen calendar quarters of before speed data and four quarters of after speed data were analyzed, and the results are presented in the following paragraphs. This study used raw speed data collected at speed monitoring sites—data that have not been adjusted in the ways that are used for the 55-mph compliance purposes. For example, the speeds have not been adjusted for speedometer error. In addition, the speeds reported here are only for the rural interstate. Speeds on the urban interstate and on rural primary highways are lower. As a result, the speeds reported herein for the rural interstate are different from, and higher than, those reported by Arizona for speed limit compliance purposes. Overall, Arizona motorists are complying with the 55-mph speed limit.
Figure 1 presents data on the 50th percentile speed and the 85th percentile speed for a composite of 26 locations on the rural interstate. In Arizona speed is not measured at every speed monitoring station in every calendar quarter. Thus, Figure 1 presents data from sites that varied, to some extent, from quarter to quarter. The percentile speed in a given quarter was computed as the weighted average of the percentile speed at each of the locations (weighted in proportion to the traffic volume at each location). The 50th percentile speed stayed almost constant, at about 59 to 60 mph—from 1984 through 1986. The 85th percentile speed also stayed fairly constant—at about 65 mph. An observable, though small, increase in speeds occurred in the after period. Fiftieth percentile speeds
increased to about 62 to 64 mph and 85th percentile speeds increased to about 68 to 69 mph.
Figure 2 presents 50th and 85th percentile speed data for nine rural interstate locations where data were collected at all nine sites in the fall of 1986 and again in the fall of 1987. Fifth percentile speeds increased from 60.5 to 63.4 mph and 85th percentile speeds increased from 66.3 to 69.0 mph. Both cases represent an increase of less than 3.0 mph.
Figure 3 presents, for the composite of 26 interstate locations, the percent of vehicles in the traffic stream that were exceeding 55, 60, and 65 mph. Once again, there appears to be no trend in speeds during the before period. The percent of vehicles exceeding 55 mph increased from about 80 percent in the before period to about 88 to 91 percent in the after period. The percent of vehicles exceeding 60 mph increased from about 50 percent in the before period to about 70 to 76 percent in the after period. The percent of vehicles exceeding 65 mph increased from about 20 percent in the before period to about 37 to 47 percent in the after period.
Figure 4 presents the same type of information for the nine rural locations. The percentages are summarized below:
| Percent of Vehicles Exceeding | Fall 1986 | Fall 1987 |
|-------------------------------|-----------|-----------|
| 55 mph | 82 | 89 |
| 60 mph | 52 | 71 |
| 65 mph | 19 | 38 |
The data indicate that there is slightly more dispersion of vehicle speeds. In the fall of 1986, 63 percent of the vehicles were traveling between 55 and 65 mph. In the fall of 1987, 51 percent of the vehicles were traveling between 55 and 65 mph.
Driver behavior on the Arizona urban interstate was also evaluated by using data from the 12-speed monitoring compliance locations on the urban interstate. This evaluation was done to determine if there was any change in driver behavior in urban areas after the change in the rural interstate speed limit. Since the objective was to measure driver behavior during free-flow, unconstrained conditions, speed data for those hours in which high traffic volumes caused speeds to be reduced were not included in the evaluation. The evaluation showed that urban interstate speeds remained the same or exhibited a slight decrease after the rural interstate speed limit was increased.
**ACCIDENT EXPERIENCE**
Data on numbers of accidents in 1983 through April 15, 1988, are presented in this section. To supplement these data, Table 1 presents information on vehicle-miles of travel on the urban and rural interstate in the same years. The data on numbers of accidents and vehicle-miles of travel are combined to present information on accident rates.
In this section of this paper, the "1-year-after period" refers to the 12 months from April 16, 1987, to April 15, 1988.
Historical accident data, beginning in 1983 and extending through April 15, 1988, are presented in Table 2.
For comparison purposes, Figure 5 presents a 5-year record of accidents on the urban interstate. As shown, there was only a very slight growth in the total number of accidents from 1984 through April 15, 1988. During this period vehicle-miles of travel on the urban interstate increased from 1.360 billion in 1983 to 1.907 billion in the 1-year-after period. As shown in Figure 6, there was a downward trend in the accident rate from 1984 through April 1988.
Figure 7 shows that accidents on the rural interstate stayed fairly constant from 1984 through 1988. An observable increase occurred for the 1-year-after period; vehicle-miles of travel on the rural interstate increased from 3.745 billion in 1983 to 4.966 billion in the 1-year-after period.
When accident rates are plotted (Figure 8), the observable increase in accidents in the 1-year-after period is not so apparent. Although the accident rate in the 1-year-after period is higher than that in 1986, it is virtually the same as the 1983–1985 average. Figure 9 presents a bar chart for fatal accidents on the rural interstate. The figure shows an increase in the
### TABLE 1 VEHICLE-MILES OF TRAVEL ON INTERSTATE SYSTEM
| Type of Highway | Annual Vehicle-Miles of Travel ($\times 10^9$) |
|-----------------|-----------------------------------------------|
| | 1983 | 1984 | 1985 | 1986 | 1987 | 4/16/87 through 4/15/88* |
| Urban interstate | 1,360.0| 1,469.7| 1,577.0| 1,791.4| 1,862.1| 1,906.6 |
| Rural interstate | 3,745.0| 3,991.7| 4,128.7| 4,619.9| 4,869.5| 4,966.1 |
*Estimate based on 4-year growth trend in vehicle-miles of travel.
### TABLE 2 NUMBER OF ACCIDENTS ON INTERSTATE SYSTEM
| Type of Damage | No. of Accidents |
|----------------|------------------|
| | 1983 | 1984 | 1985 | 1986 | 1/1/87 through 4/15/87 | 4/16/87 through 4/15/88 |
| Urban interstate | | | | | | |
| Property damage only | 1,717 | 2,092 | 2,124 | 2,105 | 681 | 2,217 |
| Injury | 609 | 750 | 815 | 803 | 215 | 737 |
| Fatal | 10 | 16 | 13 | 13 | 7 | 15 |
| Total | 2,336 | 2,858 | 2,952 | 2,921 | 903 | 2,969 |
| Rural interstate | | | | | | |
| Property damage only | 1,428 | 1,654 | 1,757 | 1,669 | 718 | 1,969 |
| Injury | 978 | 1,052 | 1,015 | 1,047 | 326 | 1,322 |
| Fatal | 71 | 82 | 92 | 97 | 20 | 117 |
| Total | 2,477 | 2,788 | 2,864 | 2,813 | 1,064 | 3,408 |
number of fatal accidents from 1983 to 1986. An additional increase is found in the number of fatal accidents for the 1-year-after period. When adjusted for vehicle-miles of travel there is still an upward trend. Figure 10 shows that the fatal accident rate generally increased from 1983 through April 1988.
Injury accidents (Figure 11) show little change from year to year from 1984 through 1986. An increase is found for the 1-year-after period. Figure 12 presents the injury accident rate. When presented in this form, the increase in accidents in the 1-year-after period is not so apparent. The accident rate in the 1-year-after period is more than that in 1986 and 1985 but it is about the same as that in 1984 and 1983.
Figures 13 and 14 present comparisons of changes in the number of accidents on the rural interstate versus that on the urban interstate. As shown in Figure 13, fatal accidents
remained fairly constant on the urban interstate. During the same time periods, rural fatal accidents increased during the before years and increased after the speed limit was raised. Although urban injury accidents exhibited a slight decline after the increase in the speed limit, rural injury accidents increased.
CONCLUSIONS
1. Actual speeds driven by motorists on Arizona's rural interstate stayed almost constant during the 3 years before the speed limit was increased.
2. Actual speeds driven increased by only about 3 mph or less during the four quarters after the increase in the rural interstate speed limit.
3. There is slightly more dispersion in vehicle speeds now than there was before the speed limit was increased.
4. The number of accidents on the urban interstate changed very little during the 3 years before and the 1 year after the speed limit was increased on the rural interstate.
5. The accident rate on the urban interstate was on the decline beginning in 1984 and continuing through the 1-year-after period.
6. The number of accidents on the rural interstate increased after the speed limit was increased.
7. The accident rate on the rural interstate increased for total accidents and for injury accidents when the 1-year-after
period was compared with that for 1986. However, the accident rate was approximately the same as that for 1984.
8. The fatal accident rate on the rural interstate was higher in the 1-year-after period than in any of the years between 1983 and 1986.
9. The information presented in this paper does not prove or disprove a cause and effect relationship between actual speeds driven and accident experience. Many other factors—including factors not addressed in this paper, such as seat belt use, alcohol involvement, and weather conditions—have an influence on accident experience.
ACKNOWLEDGMENT
This research was sponsored by the Arizona Department of Transportation.
The contents of this report reflect the views of the author who is responsible for the facts and the accuracy of the data presented herein. The contents do not necessarily reflect the official views or policies of the Arizona Department of Transportation.
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September 16, 2021
Maryland Health Equity Resource Advisory Committee
Individuals & Organizations Submitting Public Comments
Data & Program Evaluation and Pathways Call for Proposals Design Subcommittees
Carol Masden – Maryland Rural Health Association
Stephanie Klapper – Maryland Citizens Health Initiative/Health Care for All! Coalition
Dr. Anita Mwalui – Community Engagement & Consultation Group
Washina Ford – The Community Builders, Inc.
Johanna Fabian-Marks – Maryland Health Benefit Exchange
Elizabeth Hafey – Johns Hopkins University & Medicine
Erin Dorien – Maryland Hospital Association
Robyn Elliot – Public Policy Partners on behalf of:
Maryland Community Health System
Maryland Dental Action Coalition
Moveable Feast
American College of Nurse-Midwives
Eric Crowder / Tamiko Stanley – Luminis Health, Inc.
Rachel Mandel, MD MHA – on behalf of:
Local Community; Healthcare Coalition & Community-Based Organizations
Anne Ciekot – Public Policy Partners on behalf of:
Health Care for the Homeless
NCADD-Maryland
Erin Schurmann – Health Services Cost Review Commission
Nora Hoban - Mid-Atlantic Association of Community Health Centers
Stephanie Klapper - Maryland Citizens Health Initiative/Health Care for All! Coalition (Supplemental)
Dr. Anna-Maria Izquierdo – Care for Your Health
Muriel Watkins – CrossCreek Strategies
Deborah Rivkin – CareFirst BlueCross BlueShield
August 24, 2021
Health Equity Resource Communities
Data & Program Evaluation Subcommittee
Questions for public comment
1. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
1. In the materials, there was reference to potential use of MA ambulatory data. Can Medicare ambulatory data also be included? This is particularly relevant to our aging in place Marylanders as well as those eligible due to a disability. Both of these groups are potentially huge cost drivers. Additionally, many are at or below poverty level. Many are negatively impacted by SDOH due to income, disability, and other limitations.
2. There are pediatric ED visits available as outlined in the materials. Are pediatric inpatient visits also available? Can Medicare eligible ED and inpatient visits also be included?
3. How are SDOH measures currently on a dashboard? Are they in the public health dashboards? If not, could they be added? Could they also be included in the grantee’s dashboard?
2. What statewide measures should be used to demonstrate health disparities?
3. What measures should be used to establish a baseline to assess impact and monitor/evaluate performance of the Pathways grantees?
4. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
1. Creation, implementation and monitoring of SMART goals. This is huge from the start. Without a clear plan, it’s super hard for grantees without them.
5. How should program evaluation focus on the effectiveness of the interventions on: (1) health outcomes of the population/community served; and (2) Social Determinants of Health (SDOH)/other barriers experienced by the population/community served?
Comments are due to the CHRC / HERC Advisory Committee by September 3, 2021, and may be submitted to: email@example.com.
Name: Carol Masden
Title: Executive Director
Organization: Maryland Rural Health Association
Email Address:
1. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
Data collection and evaluation should be done using community-based participatory research methods. The communities, including consumers who would benefit from the program, should provide input as to the data metrics that will be the most relevant to them. Community voices should be present every step of the way, including deciding the research questions, who participates, how to collect data, and how to share findings. Data should be co-created by the stakeholders, including patients and residents. Equity-focused process measures will be important because undoing systemic racism is very process-oriented, with reduced inequities in outcomes often taking time to emerge. Achieving health equity will take time to do well.
In addition to quantitative data, qualitative data should be collected. Quantitative data for key chronic conditions and SDOH disaggregated by all ethnic/racial groups will not always be available, which will make qualitative data especially critical. Qualitative data will also be important when conducting root cause analyses in order to understand why a health disparity exists for a particular population, which can then be used to identify the best solutions to address the disparity rather than relying on traditional surveillance data alone. Focus groups and interviews should be conducted.
2. What statewide measures should be used to demonstrate health disparities?
This should be decided by stakeholders in the community. CHRC can help the communities understand what data are available through CRISP, state and local agencies, and other sources. Again, qualitative data should be used where quantitative data is not available or would be helpful for root cause analyses.
3. What measures should be used to establish a baseline to assess impact and monitor/evaluate performance of the Pathways grantees?
This should be decided by stakeholders in the community. CHRC can help the communities understand what data are available through CRISP, state and local agencies, and other sources. Again, qualitative data should be used where quantitative data is not available.
4. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
-Support applicants’ and grantees’ development in the components required by the call for proposals (community engagement, data capacity, coalition building, addressing SDOH, working across sectors, how to operationalize health equity, etc.). Building capacity in these areas among grantees and applicants would be a worthy investment for the state and strengthen the initiative overall.
-Help with governance of collaborative efforts and effective communication so that stakeholders across sectors, including consumers, can meaningfully collaborate and share power in order to ensure that the programs have buy-in from the community.
-Connect grantees with resources.
-Help with the application process for entities less experienced with RFP’s, including making the call for proposals as “user-friendly” as possible by not using jargon/acronyms and making it easy to follow. Consider accepting applications in languages other than English. Help applicants with the application portal if use of a portal is required.
5. How should program evaluation focus on the effectiveness of the interventions on: (1) health outcomes of the population/community served; and (2) Social Determinants of Health (SDOH)/other barriers experienced by the population/community served?
This should be decided by stakeholders in the community. CHRC can help the communities understand what data are available through CRISP, state and local agencies, and other sources.
We believe that Pathways applicants should develop strategies to address SDOH, and they should select the ones to work on that will make the greatest impact in their communities. Addressing social determinants of health is crucial to improve health equity in the long term. In addition to engaging across local agencies, the state should also engage across state agencies to help further efforts to address SDOH by leveraging funding, data, leadership support, etc.
It is worth noting that the statutory purpose of the Pathways program is to provide the "foundation and guidance for a permanent health equity resource community program under title 20, subtitle 14." Therefore the Pathways grant applications should, as much as possible, include the required HERC application information identified in the statute such as how the applicant will support "scalable interventions that address non-medical determinants of health identified in the most recent community health needs assessment including but not limited to unstable housing, inadequate food, or job development."
1. Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?
Applicants should be permitted to focus on broader health disparities that exist. Each community is different, and they should be allowed to create solutions tailored specifically to their needs and assets.
2. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
Data collection and evaluation should be done using community-based participatory research methods. The communities, including consumers who would benefit from the program, should provide input as to the data metrics that will be the most relevant to them. Community voices should be present every step of the way, including deciding the research questions, who participates, how to collect data, and how to share findings. Data should be co-created by the stakeholders, including patients and residents.
Equity-focused process measures will be important because undoing systemic racism is very process-oriented, with reduced inequities in outcomes often taking time to emerge. Achieving health equity will take time to do well. In addition to quantitative data, qualitative data should be collected. Quantitative data for key chronic conditions and SDOH disaggregated by all ethnic/racial groups will not always be available, which will make qualitative data especially critical. Qualitative data will also be important when conducting root cause analyses in order to understand why a health disparity exists for a particular population, which can then be used to identify the best solutions to address the disparity rather than relying on traditional surveillance data alone. Focus groups and interviews should be conducted.
3. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
-Support applicants' and grantees' development in the components required by the call for proposals (community engagement, data capacity, coalition building, addressing SDOH, working across sectors, how to operationalize health equity, etc.). Building capacity in these areas among grantees and applicants would be a worthy investment for the state and strengthen the initiative overall.
-Help with governance of collaborative efforts and effective communication so that stakeholders across sectors, including consumers, can meaningfully collaborate and share power in order to ensure that the programs have buy-in from the community.
-Connect grantees with resources.
-Help with the application process for entities less experienced with RFP's, including making the call for proposals as "user-friendly" as possible by not using jargon/acronyms and making it easy to follow. Consider accepting applications in languages other than English. Help applicants with the application portal if use of a portal is required.
4. Should Pathways applicants develop strategies to address non-medical Social Determinants of Health (SDOH)? If so, are there specific SDOH to highlight in the Call for Proposals?
We believe that Pathways applicants should develop strategies to address Social Determinants of Health, and they should select the ones to work on that will make the greatest impact in their communities. Addressing social determinants of health is crucial to improve health equity in the long term. In addition to engaging across local agencies, the state should also engage across state agencies to help further efforts to address SDOH by leveraging funding, data, leadership support, etc.
It is worth noting that the statutory purpose of the Pathways program is to provide the "foundation and guidance for a permanent health equity resource community program under title 20, subtitle 14." Therefore the Pathways grant applications should, as much as possible, include the required HERC application information identified in the statute such as how the applicant will support "scalable interventions that address non-medical determinants of health identified in the most recent community health needs assessment including but not limited to unstable housing, inadequate food, or job development."
5. How should applicants be required to demonstrate the genuine engagement of the community in the shared decision-making processes of the grant?
Applications should include working with community-based collaborative groups in innovative ways that build community power. Applicants should, if possible, provide examples of past success they have had advocating for health equity in true partnership with their community. They should host community meetings at times and places that are convenient to the community to decide on what the stakeholders want to accomplish together and to collectively establish the decision-making process. Each step should be conducted with the community fully engaged and involved in the decision-making, including community-based organizations and consumers. It should be evident that the community has equal power and equal part in defining the direction of the initiative and that establishing priorities is a collaboration between all of the community partners. Resources from the grants should be shared among stakeholders. Data collection and evaluation should be done using community-based participatory research methods.
6. What should be the review/selection criteria for the Pathways Call for Proposals?
We suggest that the review criteria include health equity guiding principles from the Maryland Office for Minority Health and Health Disparities: Cultural, linguistic, and health literacy competency; workforce diversity; outreach to and targeting of minority populations; racial, ethnic, and language data collection/reporting; addressing social determinants of health; and balance between provider and community focus.
The mission of the Maryland Citizens' Health Initiative Education Fund, Inc. is to advocate for all Marylanders to have access to quality affordable health care. Health insurance coverage expands access to care and, as such, effectively reduces health disparities, improves health outcomes, improves access to primary care, promotes access to primary and secondary prevention services, and reduces health care costs associated with hospital admissions and readmissions. Each community is different, and therefore each community should be able to create solutions tailored specifically to their needs and assets, but we suggest that as part of the larger picture that the Pathways to Health Equity RFP encourage proposals from localities that are working to expand access to coverage for those not eligible for coverage under current health care programs.
1. Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?
Applicants should be permitted to focus on broader health disparities that exist in the context of "Whole Person Health" A packaging that looks at disparities that surround the social/environmental well-being in combination with situational and circumstantial factors that impact quality of life. Applicants should be permitted to present proposals with concepts that compliment the Maryland Health Equity Resource Act.
2. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
The CDC chronic disease data and office of Minority health is preferred for my organization because it looks at ethnic and racial breakdown of disease incidences and prevalence. However state and county data such as below is a brief reports and is used to package a wrap-around program concept.
https://health.maryland.gov/phpa/ccdpc/Documents/Diabetes%20Action%20Plan%20documents/diabetes_one-pager_FINAL_112019.pdf
Data Metrics
1. a decrease in A1C by 2-3 points for diabetes.
2. Weight loss of 5 to 8% has to be attainable
3. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
CHRC should be able to provide grant writing workshops. WHY? there are many community organizations that are doing great work in addressing health disparities and health education but are often dismissed during the process of RFP. Since "One Size Doesn't Fit All" in the context of DPP and DSME, applicants should be given the technical assistance that allows flexibility to construct programs that accommodate the population served in terms of "effective practices" rather than best practices.
4. Should Pathways applicants develop strategies to address non-medical Social Determinants of Health (SDOH)? If so, are there specific SDOH to highlight in the Call for Proposals?
Definitely non-medical social determinants of health should be allowed in the call for proposal conditions in which people are born, work, live and age. For example multi-generational living affects social circumstances associated with poor health, like economic insecurity or housing instability and leads to social risk factors.
5. How should applicants be required to demonstrate the genuine engagement of the community in the shared decision-making processes of the grant?
Applicants should demonstrate their collaborative and partnership structure with the work they do to include the scope of work. Applicants need to talk about their sustainability.
6. What should be the review/selection criteria for the Pathways Call for Proposals?
Quite frankly it shouldn’t be the number of scores per section, the selection criteria for pathways call for proposals should look at the concept behind the proposal, sustainability, personnel, ability to address causes from a multicultural/multidimensional perspective and community engagement aspect of the work itself.
1. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
We are submitting answers to the questions for public comment on behalf of the Integrated Complex Care at Home (ICCH) coalition. The 7 partner organizations access and share data from multiple sources. The premise of ICCH is that health care must be linked to where people live. A key goal of the preliminary 2-year Pathways phase is to connect multi-unit housing sites by their “panels” of ICCH participants through a chain of Business Associate Agreements and a shared Use and Disclosure document that will allow for information sharing, as necessary, across the collaborative partners as noted in the sources below:
- 5 Affordable Housing Organizations – Housing Based Care Management System, CRISP connection
- LifeBridge Health – Cerner EHR, CRISP connection
- MDPCP Practices – multiple EHR systems, CRISP connection
The following metrics are important to all members of the ICCH collaborative and provide a strong value-add to all Pathways grantees across the care continuum:
- Claims Data: Medicare and Medicaid primarily
- Utilization Data
- Maryland Primary Care Program participating practice data – Specific clinical fields
- Event Notification Data
- Transitions of Care Data
- Care Coordination Activities (including community-based care team members)
2. What statewide measures should be used to demonstrate health disparities?
No new disparity measures are necessary. Utilizing the Total Cost of Care (TCOC) outcomes and subsequent measures is sufficient. However, ensuring that measures are stratified by race and ethnicity from baseline through evaluation is essential for accurate disparity measurement and to identify potential reductions in the current racial/ethnic disparities of health and health care utilization for Maryland. Consistent race and ethnicity data collection across grantees will be important along with culturally sensitive implementation utilizing data collected through the Maryland Health Improvement and Disparities Reduction Act of 2012, to reduce disparities, improve access and health outcomes, and reduce costs and readmissions.
- Utilize the Patient Adversity Index (PAI) and the Area Deprivation Index (ADI) developed under the HSCRC Readmission Reduction Incentive Program.
- The PAI could provide uniformity with Medicaid serving as a socioeconomic indicator and ADI showing social care needs.
3. What measures should be used to establish a baseline to assess impact and monitor/evaluate performance of the Pathways grantees?
- Average claims cost over the last 5 years prior to start of Pathways (to account for COVID-19 utilization changes)
- ED Utilization – 5-year look back average
- IP Utilization
- PQI 90 baseline
- Access to care - PCP
4. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
** Applicants that wish to apply as one Coalition during the Pathways phase would benefit from technical assistance on potential approaches to joint applications.
- Centralized communication structure for grant and data questions
- Initial training on uniform data collection and understanding of health disparities research as an emerging field
- Cultural competency training at the organizational level
- Assess organizational readiness for Pathways
- Minimum of 2 site visits over 2-year period to answer questions and ensure data accuracy, troubleshoot any issues.
5. How should program evaluation focus on the effectiveness of the interventions on: (1) health outcomes of the population/community served; and (2) Social Determinants of Health (SDOH)/other barriers experienced by the population/community served?
- health outcomes of the population/community served
- Include a qualitative evaluation component. When working across racial and ethnic groups and outside of the traditional power structure, data could be misinterpreted. Important to include authentic voice.
- Include a measure component that takes into account both potential increase in appropriate utilization such as use of primary care, wellness visits and chronic disease management, while also looking at savings from avoided high-cost utilizations. Claims data alone does not present a true picture of avoided high-cost utilization due to appropriate care and prevention measures through a well-coordinated health ecosystem.
- Look at the “who” and “how” of improved health outcomes. Make no assumptions.
- and Social Determinants of Health (SDOH)/other barriers experienced by the population/community served
- Ideally this will be a measured part of the care team component.
- Important to define SDOH as addressing root causes of health inequities.
1. Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?
I am replying on behalf of the Integrated Complex Care at Home—Powered by SASH™ (ICCH) initiative. We are a coalition of 7 organizations that have joined together to address systemic barriers to health and wellness in West Baltimore. The 7 organizations are the Maryland Primary Care Program, LifeBridge Health, and 5 community-based organizations: Bon Secours Community Works, the Housing Authority of Baltimore City, The Community Builders, Inc., Homes For America, and Enterprise Community Development, Inc. We seek additional partners. We believe a better coordinated, more participatory system that links health care to where people live is essential. We fully support a focus on broader health disparities as defined by the Maryland Health Equity Resource Act. Teams of Community Health Workers and Wellness Nurses embedded at housing sites have proven to extend the reach of primary care providers because they see the daily impact of social care needs on multiple chronic conditions. Whole system integration is needed to reduce health disparities.
2. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
The 7 ICCH partners have access to different data sources representing various points along the care continuum. The common denominator to our population health approach is that the residents in each panel, who live in nonprofit affordable housing sites or in the surrounding community, are also MDPCP and LifeBridge Health patients. The community-based housing partners collect extensive information that is often harder to collect and track from clinical settings, such as comprehensive demographic information including race and culture data, track social service referrals and collect some health-related data using service coordination data platforms. Housing organizations receiving HUD funding for Service Coordinators complete the Standards for Success (SfS) survey annually. SfS collects extensive resident information including utilization data, percentages of residents with behavioral health challenges, and chronic condition support needs. It also tracks move outs, and reasons for move outs, a proxy for housing instability.
The most relevant metrics for Pathways grantees are: difference in rates of hypertension, heart disease, asthma, diabetes, substance abuse, mental health disorder and mortality including life expectancy among older adults. These metrics will be collected from West Baltimore residents participating in ICCH.
All 7 ICCH partners will have a HIPAA compliant CRISP connection to allow integrated information sharing with primary care, hospital, and other partners on an as needed basis and for outcomes reporting.
3. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
The 7 ICCH organizations have been designing a health equity model for 2 years. We are ready to launch a coalition approach to systemic change now. We would like technical assistance from the CHRC on how to submit one application on behalf of the 7 organizations. We intend to add more partners during the 2-year Pathways phase in anticipation of applying for HERC funds; however, we would like to request Pathways funding to build our shared infrastructure and care management integration as one coalition rather than 7 individual organizations.
4. Should Pathways applicants develop strategies to address non-medical Social Determinants of Health (SDOH)? If so, are there specific SDOH to highlight in the Call for Proposals?
We suggest that Pathways distinguish between addressing SDOH by confronting the root causes of health inequity (such as the systemic reasons for a lack of affordable housing supply) rather than primarily addressing short-term social service needs. Both are important but if we are to improve health equity HERC’s must go all the way upstream to the discriminatory policies that result in lack of housing, food deserts and premature death. We believe that the root cause of health inequity is a lack of voice for minority populations in the health care system, both in their individual care and at a population health level. Constraints on self-determination, lack of voice in decision-making and the absence of empowerment strategies built into the health care system are the primary non-medical SDOH we ask you to highlight in the Call for Proposals.
5. How should applicants be required to demonstrate the genuine engagement of the community in the shared decision-making processes of the grant?
We believe that engagement techniques must be built into health systems on a continuous basis beginning with how each individual defines “improved health outcomes” for themself. That engagement should begin with the individuals experiencing inequities recognizing that individual needs change over time. Community-engagement should also include a cross-agency governance structure aimed at reforming the health care and housing institutions to better support population health – together. One indicator of genuine engagement of the community is granting the Pathways and HERC funds to community-based organizations.
6. What should be the review/selection criteria for the Pathways Call for Proposals? Preference to proposals likely to successfully transition to HERC funding due to existing cross-sector collaboration.
Preference to proposals likely to successfully transition to HERC funding due to existing cross-sector collaboration.
Use of community-level and community-driven strategies to improve health equity and reduce health disparities.
The scope of systems change through a model with specific strategies to improve access to primary and secondary prevention services.
Ability to scale the model in urban and rural areas in Maryland.
Cross-sector commitment to improve the health outcomes called out in the legislation and listed in our answer to question #2.
Data sharing across sectors: ability to measure reduced health care costs particularly Medicare and Medicaid expenditures.
Existence of outcomes data demonstrating potential results for Maryland.
Use of proven evidence-based practices to reduce hospital admissions and re-admissions including reduction of avoidable EMT visits.
By submitting a response to the public comments requested, you understand that your responses may be used by the Maryland Community Health Resources Commission (CHRC) and/or the Health Equity Resource Communities (HERC) Advisory Committee. Additionally, the responses may be used in public meetings and will be made part of the official record. You also consent to be placed on the Health Equity Resource Communities mailing list. To unsubscribe, please email firstname.lastname@example.org.
Thank you, Ms. Bradley for your leadership as Chair of the HERC Call for Proposals/Design Subcommittee. I am writing on behalf of a coalition of health care and housing providers that are aligned in the belief that: *a better coordinated, more participatory health care system that links health care to where people live is essential to health equity.*
As the Director of Community Life (Resident Services) for City View at McCulloh I observe the complex care needs of our residents every day, first-hand. After years of experiencing health inequity, our residents have high rates of diabetes, behavioral health challenges, and substance use disorders. We believe it is essential to our residents’ wellbeing that housing providers are aligned together and become a part of the collaborative health care system. We have spent the past 2 years researching evidence-based practices and interviewing Baltimore stakeholders to decide on the best population health model to bring to scale in West Baltimore that is innovative, sustainable, and equitable. While the health care system is designed to provide episodic care, health equity is a continuous struggle requiring the longitudinal support of embedded nurses and Community Health Workers *where people live.*
*Integrated Complex Care at Home – Powered by SASH™* - does just that. It is a collaboration between the Maryland Primary Care Program, LifeBridge Health, and five community-based organizations: Bon Secours Community Works, the Housing Authority of Baltimore City, Homes for America, Enterprise Community Development, Inc., and The Community Builders, Inc. We have spent the past two years designing this initiative. We are ready to implement beginning in West Baltimore. By having these eleven housing sites in West Baltimore as part of our integrated team, we are meeting an integral goal of the HERC, to ensure diverse representation from communities at every level.
For that reason, we request that the Call for Proposals allow cross-sector coalitions to submit one proposal, perhaps structuring your selection criteria to give priority to collective efforts. Coalitions are more likely to address root causes, reducing systemic barriers on a sustainable basis. Applying as one
group, rather than multiple individual organizations, will better enable a collective approach to narrow and close the disparity gap. We are the link to reducing cluster conditions such as Diabetes through diet and lifestyle change when working in partnership with health care partners. Truly integrated care systems foster the building of shared infrastructure fundamental to systems integration including shared protocols, cross-sector training, task sharing, and interoperable data systems.
We participated in the public comment process; however, we want to distinguish between review and selection criteria and who is eligible to apply. We request that multiple organizations be eligible to apply during the Pathways funding round at a funding level commensurate with a cross-sector project.
We welcome the opportunity to provide more information or discuss this with you further. On behalf of the Integrated Complex Care at Home initiative, please do not hesitate to contact me at email@example.com. Thank you very much for your consideration.
1. Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?
The Maryland Health Benefit Exchange (MHBE) recommends that the Health Equity Resource Communities (HERCs) include specific focuses on diabetes, asthma, and hypertension/congestive heart failure. These chronic conditions have a significant, disproportionate impact on Black Marylanders, and also constitute some of the highest-cost conditions among individuals whose claims are reimbursed by the State Reinsurance Program (SRP). Focusing on these conditions is an opportunity for MHBE, the Community Health Resources Commission (CHRC), and the HERCs to work together on reducing both health disparities and health care costs.
The State Reinsurance Program aims to mitigate the impact of high-cost claims on premiums in the individual market and has reduced premium rates by more than 30 percent since 2019. The SRP took effect in 2019 and is funded by a combination of state-based health insurance provider fees and pass-through of federal dollars saved by the program. HB 463 of 2021 redirected $45 million of state funding from the SRP over 3 years to fund the Health Equity Resource Communities.
Insurance carriers participating in the SRP are required by COMAR 14.25.17.03(C) to submit annual reports on the most frequently occurring and highest cost conditions among the individuals whose claims are reimbursed by the SRP, as well as the number of individuals with those conditions.
2. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
3. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
4. Should Pathways applicants develop strategies to address non-medical Social Determinants of Health (SDOH)? If so, are there specific SDOH to highlight in the Call for Proposals?
5. How should applicants be required to demonstrate the genuine engagement of the community in the shared decision-making processes of the grant?
6. What should be the review/selection criteria for the Pathways Call for Proposals?
Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?
The Maryland Health Benefit Exchange (MHBE) recommends that the Health Equity Resource Communities (HERCs) include specific focuses on diabetes, asthma, and hypertension/congestive heart failure. These chronic conditions have a significant, disproportionate impact on Black Marylanders,\(^1\) and also constitute some of the highest-cost conditions among individuals whose claims are reimbursed by the State Reinsurance Program (SRP). Focusing on these conditions is an opportunity for MHBE, the Community Health Resources Commission (CHRC), and the HERCs to work together on reducing both health disparities and health care costs.
The State Reinsurance Program aims to mitigate the impact of high-cost claims on premiums in the individual market and has reduced premium rates by more than 30 percent since 2019. The SRP took effect in 2019 and is funded by a combination of state-based health insurance provider fees and pass-through of federal dollars saved by the program. HB 463 of 2021 redirected $45 million of state funding from the SRP over 3 years to fund the Health Equity Resource Communities.\(^2\)
Insurance carriers participating in the SRP are required by COMAR 14.25.17.03(C) to submit annual reports on the most frequently occurring and highest cost conditions among the individuals whose claims are reimbursed by the SRP, as well as on care management efforts to improve health and reduce claim costs. In plan year 2019, diabetes, asthma/COPD, and congestive heart failure were the second-, third-, and sixth-highest cost conditions to have had claims reimbursed by the SRP, respectively.
By directly targeting these specific conditions, HERC grantees could make health care more equitable and affordable for all Marylanders. Thank you for the opportunity to comment.
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\(^1\) BRFSS Chronic Disease Burden Tables 2011-2019 Final.xlsx
\(^2\) Health Equity Resource Community Act
Data & Program Evaluation Subcommittee Proposed Questions for Public Comment
1. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
➢ Current Data Sources (health care program-specific):
- Program-related patient rosters – i.e. MDPCP attributed population, JHM-attributed Medicare Advantage
- ACG risk of hospitalization
- Hilltop PAU risk
- CRISP discharge notifications and alerts
- Medicare claims data analysis using CCLFs
- EMR data – Epic SDOH Wheel
➢ Current Data Metrics: Claims-based utilization measures for Medicare Fee for Service beneficiaries attributed to our CTO:
- Controlling High Blood Pressure (CMS165)
- Diabetes: Hemoglobin A1c (HbA1c) Poor Control (>9%) (CMS122)
- CAHPS Patient Experience Survey
- Inpatient Hospital Utilization
- Emergency Department Utilization
➢ Proposed Data sources for Pathways Grantees: (Recommend using community-level data for a small area geography)
- MDH data for a given geography (consider zip code level and smaller areas such as census tracts where possible without compromising data security): infant mortality, life expectancy at birth, CVD related death, incident diabetes, diabetes HEDIS measures, overdose deaths (potentially aggregated over multi-year period), STI infection rates, suicide rates
- CRISP data on primary care access/utilization – gaps in preventive care, immunization rates, BP control, other HEDIS measures, preterm births
- All-Payor Claims data – pediatric ED visits, hospitalizations for ambulatory sensitive conditions
- ACS data on employment rate, median household income, etc.
- School absenteeism data (state Dept of Ed)
- Crime data (DOJ, local police jurisdictions) with a focus on violent crimes or specifically homicide
2. What statewide measures should be used to demonstrate health disparities?
General recommendation for this program is to focus on fundamental drivers of health inequities and be less healthcare/hospital centric in identification of measures. Funding may be more meaningfully utilized to address fundamental drivers of healthcare disparities with a focus on prevention:
- Life expectancy at birth
- Infant mortality rate
- Preterm birth rate
- Homicide rate/violent crime rate
- Opioid overdose deaths (SIHIS)
- School absenteeism
- Suicide rates
- Employment/unemployment rate
3. What measures should be used to establish a baseline to assess impact and monitor/evaluate performance of the Pathways grantees?
- Population health measures from MDH (e.g., life expectancy at birth, infant mortality) and additional focus on primary care utilization and access related metrics (e.g. the HEDIS diabetes measures, immunization rates, even considering things like school absenteeism as an important barometer of child health and well-being, unemployment rates, median household income).
4. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
- Access to administrative data for key geographic predictors of poor health (e.g., SVI data), community-level administrative data for non-health sector outcomes (e.g., absenteeism rates, violent crime/homicide rates)
- Support on standardized measures and metrics from CRISP for all grantees with flexibility to expand for customization
- Support liaison with CRISP in platform enhancement and integration to obtain data
5. How should program evaluation focus on the effectiveness of the interventions on: (1) health outcomes of the population/community served; and (2) Social Determinants of Health (SDOH)/other barriers experienced by the population/community served?
- An approach focused on broadly experienced social drivers of health inequities, particularly if that is paired with an outcome analysis that similarly centers around social drivers of ill health and health inequities. See attached by Tom Frieden describing this concept in the “health Impact Pyramid”. Also attached policy analysis in Health Affairs arguing for a focus on key social determinants of health domains to address health disparities.
- One potential indicator of program effectiveness that transcends disease-specific or utilization related measures could be a focus on social/economic conditions in a given geography. For example, poverty is a fundamental cause of poor health for children. Reducing neighborhood poverty rate, increasing employment rates, or other proxies for improved household socioeconomic position should be measured/tracked over time as an indicator of population health improvement. Similarly, consistent disparities in economic or social circumstances should be viewed as targets for intervention. In cases where these disparities narrow over time, a strong
argument can be made that disparities in the fundamental drivers of health disparities have occurred.
- Recommend a focus on process of care measures (e.g. HEDIS, immunization rates, preventive services encounters, etc.) as a way to assess intervention effectiveness in cases where the focus is on enhancing secondary prevention efforts aimed at reducing disparities.
- Similarly, violent crime rates, homicide rates, or other data related to policing can be used to track changes to the social environment over time that are strongly associated with negative health outcomes for the population overall and/or for youth in particular.
September 3, 2021
Elizabeth Hafey, Esq.
Associate Director, State Affairs
Johns Hopkins University
Pathways Call for Proposals/Design Subcommittee Proposed Questions for Public Comment:
1. Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?
- Addressing fundamental drivers of health disparities should be the primary focus for the use of funds.
2. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
➢ Current Data Sources (health care program-specific):
- Program-related patient rosters – i.e. MDPCP attributed population, JHM-attributed Medicare Advantage
- ACG risk of hospitalization
- Hilltop PAU risk
- CRISP discharge notifications and alerts
- Medicare claims data analysis using CCLFs
- EMR data – Epic SDOH Wheel
➢ Current metrics (health care program-specific) - Claims-based utilization measures for Medicare Fee for Service beneficiaries attributed to the CTO:
- Controlling High Blood Pressure (CMS165)
- Diabetes: Hemoglobin A1c (HbA1c) Poor Control (>9%) (CMS122)
- CAHPS Patient Experience Survey
- Inpatient Hospital Utilization
- Emergency Department Utilization
➢ Proposed Data sources for Pathways Grantees: (Recommend using community-level data for a small area geography)
- MDH data for a given geography (consider zip code level and smaller areas such as census tracts where possible without compromising data security): infant mortality, life expectancy at birth, CVD related death, incident diabetes, diabetes HEDIS measures, overdose deaths (potentially aggregated over multi-year period), STI infection rates, suicide rates
- CRISP data on primary care access/utilization – gaps in preventive care, immunization rates, BP control, other HEDIS measures, preterm births
• All-Payor Claims data – pediatric ED visits, hospitalizations for ambulatory sensitive conditions
• ACS data on employment rate, median household income, etc.
• School absenteeism data (state Dept of Ed)
• Crime data (DOJ, local police jurisdictions) with a focus on violent crimes or specifically homicide
3. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
• Access to administrative data for key geographic predictors of poor health (e.g., SVI data), community-level administrative data for non-health sector outcomes (e.g., absenteeism rates, violent crime/homicide rates)
• Support on standardized measures and metrics from CRISP for all grantees with flexibility to expand for customization.
• Support liaison with CRISP in platform enhancement and integration to obtain data
4. Should Pathways applicants develop strategies to address non-medical Social Determinants of Health (SDOH)? If so, are there specific SDOH to highlight in the Call for Proposals?
• Yes, this is likely the most effective focus area for community-health improvement and disparities reduction in many instances in contrast to a disease-specific approach (see comments above).
5. How should applicants be required to demonstrate the genuine engagement of the community in the shared decision-making processes of the grant?
• Co-lead initiatives with community-based organizations
• Creation/engagement of community advisory boards
• Close partnership with public health authorities in local geographies
• Partnership with local hospitals, health systems, payors
6. What should be the review/selection criteria for the Pathways Call for Proposals?
• Evidence-based or evidence-informed interventions are proposed that center health equity considerations
September 3, 2021
Mark Luckner
Executive Director
Community Health Resources Commission
PO Box 2347
Annapolis, MD 21404
Dear Mr. Luckner and Data and Evaluation Subcommittee Members:
On behalf of the Maryland Hospital Association’s (MHA) 60 member hospitals and health systems, we appreciate the opportunity to respond to the Subcommittee’s questions.
MHA’s priority legislation, the Maryland Health Equity Resource Act, recognizes the immediate need to improve longstanding health disparities exacerbated by the COVID-19 pandemic, while creating a sustainable effort to meaningfully improve the lives of the most underserved and under-resourced Marylanders. As the subcommittees, advisory group, and the Community Health Resources Commission (CHRC) develop the Pathways program, it is important to ensure these grants are aligned with the broader Health Equity Resource Communities (HERC) strategy.
The Health Enterprise Zone Pilot program was successful, yet one missed opportunity was the inability to plan and evaluate interventions prior to the program start. Due to the short nature of the grants, it also was challenging to pivot when interventions were less fruitful. The Health Equity Resource Act helps overcome that barrier by establishing the initial Pathways program. The purpose of the program is “to provide the foundation and guidance for a permanent Health Equity Resource Community program.” While Pathways grants are shorter, and likely smaller than future HERC awards, successful grantees should be well positioned to transition into a Health Equity Resource Community. Pathways grants should enable potential HERC coalitions to create the infrastructure to meet the goals of the HERC program, test innovative approaches to improve the health of communities, and focus on the immediate needs of the population with a plan for long-term and sustainable change.
Below are answers to the specific questions outlined in the request for public comment.
**What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?**
Maryland hospitals and health systems utilize multiple sources of data for strategic planning in quality improvement and population health management. These include patient level data from electronic medical records; hospital aggregate data available through CRISP, like hospital readmissions; and other publicly available data sets, such as disease prevalence.
CHRC and the Advisory Committee should consider all available statewide data sources, as well as data available through public sources when considering the data infrastructure for the Health Equity Resource Communities programs. Like what was made available for Health Enterprise Zones, we recommend creating a public use file that all applicants can access, which shows standard data down to the ZIP code level.
Overall we encourage CHRC to prioritize alignment of HERC data strategy with the Maryland Department of Health’s efforts to build a health equity data set as part of the [Maryland Commission on Health Equity](#) legislation.
**What statewide measures should be used to demonstrate health disparities?**
The Subcommittee should consider focusing on measures that indicate health care access challenges and looking at measures of community economic strain and other social determinants that contribute to health disparities. These could include unemployment, income, housing instability, educational attainment, and food insecurity.
As the Total Cost of Care Model matures, and the Health Services Cost Review Commission (HSCRC) takes a more focused look at population health and health equity we encourage the two commissions to collaborate where appropriate to leverage and align the considerable work underway.
**What measures should be used to establish a baseline to assess impact and monitor/evaluate performance of the Pathways grantees?**
The grant applicant should be required to determine the metrics based on the interventions the applicant proposes. Given the limited duration of the Pathways program, timely data availability to measure impacts, and the requirement for the CHRC to report on the potential for a Pathway grantee to evolve into a Health Equity Resource Community, CHRC should focus on process improvement measures that can be improved over two years.
**What forms of technical assistance should CHRC provide to potential applicants and grantees?**
CHRC should consider building a statewide data dashboard with the elements outlined in the legislation establishing the [Maryland Commission on Health Equity](#). The Commission should also consider the feasibility of providing analytical support to potential applicants to help interpret statewide data and synthesize statewide data with the applicant’s data.
**How should program evaluation focus on the effectiveness of the interventions on: (1) health outcomes of the population/community served; and (2) Social Determinants of Health (SDOH)/other barriers experienced by the population/community served?**
Program evaluation should focus on measures that can be meaningfully improved within the two-year grant period.
MHA appreciates the Commission’s leadership to strengthen health equity in our state—a key priority for the state’s hospitals and health systems. Please contact us if you need additional information.
Sincerely,
Erin Dorrien
Director, Government Affairs & Policy
Brian Sims
Director, Quality & Health Improvement
1. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
Data collection can often be very burdensome on providers. Currently, many providers have a variety of different reporting and data collection requirements. It is difficult to provide a full accounting of the many reporting requirements that providers may be required to follow because they can vary based on funding streams or regulatory requirements. The Commission should attempt to research the current data reporting streams to make data reporting as simple as possible. As an example, FQHC primarily report data to HRSA.
2. What statewide measures should be used to demonstrate health disparities?
There are a variety of measures that could demonstrate health disparities. It would be helpful if the Commission used currently available data to identify health disparities experienced by the populations of interest to potential grantees (e.g., Medicaid population). One interesting potential measure is primary care provider utilization. MCOs often have many enrolled patients that haven’t seen their primary care provider in the last year, which may place them at increased risk for certain health issues. There are many different reasons why an enrolled patient may not see their primary care provider, such as provider availability, transportation, health literacy, or system fragmentation. Maryland does a good job enrolling eligible individuals in Medicaid, but there are still many gaps in getting enrolled patients engaged in primary and preventive care.
3. What measures should be used to establish a baseline to assess impact and monitor/evaluate performance of the Pathways grantees?
Maryland has a very fragmented system of care, which makes it very difficult for marginalized communities to access care or stay consistently engaged in care. Although various measures could be used to measure the effect of a pathway grant, there should be an emphasis on building sustainable health care infrastructure. The focus should not be to put Band-Aids on health disparities but to build systems to provide care and support Marylanders in their community.
4. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
Data collection and analysis are often the biggest burdens for providers when trying to comply with the requirements of a grant. Any steps that the CHRC can take to assist with those processes or streamline them would likely help grantees do the best possible work.
5. How should program evaluation focus on the effectiveness of the interventions on: (1) health outcomes of the population/community served; and (2) Social Determinants of Health (SDOH)/other barriers experienced by the population/community served?
Improved clinical outcomes should be considered, but there should also be an emphasis on evaluating if an intervention increased access to care, resulted in people actually getting care, and increased social supports necessary to engage in care. These measures would also align with the General Assembly’s goal of increasing access to primary care.
By submitting a response to the public comments requested, you understand that your responses may be used by the Maryland Community Health Resources Commission (CHRC) and/or the Health Equity Resource Communities (HERC) Advisory Committee. Additionally, the responses may be used in public meetings and will be made part of the official record. You also consent to be placed on the Health Equity Resource Communities mailing list. To unsubscribe, please email firstname.lastname@example.org.
1. Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?
It would be ideal for the state to coordinate the efforts of the HERC grants with other state efforts to address health disparities. For example, the work of HERC grantees could be aligned with the Statewide Integrated Health Improvement Strategy Proposal's goals of addressing issues related to diabetes, opioid use, and maternal and child health. By aligning the HERC grants with other ongoing work, the effect of interventions could be amplified, which would help build sustainable health infrastructure. This health infrastructure, in turn, could help the state meet its current goals and address future health issues. If the Commission does not provide guidance on priorities, HERC grants may result in fragmented interventions, which won't move the state towards a more defragmented and integrated community of care.
Additionally, if the Commission decides to target certain diseases, there will still be room for interventions targeting a wide variety of disparities. Chronic conditions often have many social determinants or upstream health issues that impact outcomes. Therefore, the General Assembly's goal of allowing for a broad variety of interventions could still be met even if the Commission decides to target certain conditions. If the Commission is uncomfortable targeting specific conditions, then consideration should be given to a scoring preference for proposals seeking to address health goals already identified by the state.
2. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
Data collection can often be very burdensome on providers. Currently, many providers have a variety of different reporting and data collection requirements. It is difficult to provide a full accounting of the many reporting requirements that providers may be required to follow because they can vary based on funding streams or regulatory requirements. The Commission should attempt to research the current data reporting streams to make data reporting as simple as possible. As an example, FQHC currently uses the Uniform Reporting System to report data to SAMHSA.
3. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
Data collection and analysis are often the biggest burdens for providers when trying to comply with the requirements of a grant. Any steps that the CHRC can take to assist with those processes or streamline them would likely help grantees do the best possible work.
4. Should Pathways applicants develop strategies to address non-medical Social Determinants of Health (SDOH)? If so, are there specific SDOH to highlight in the Call for Proposals?
Addressing social determinants of health is key to addressing health inequities. Currently, it is challenging for providers to get reimbursement for work seeking to address social determinants of health. There are many important social determinants of health that grantees could seek to address. However, there should be an emphasis on interventions that help engage people in care and invest in community-based health infrastructure.
5. How should applicants be required to demonstrate the genuine engagement of the community in the shared decision-making processes of the grant?
Community involvement is an essential aspect of addressing inequities. However, large institutions often have better access to funding and a more significant influence on decision-making. In evaluating grant proposals, the Commission should consider whether proposals make it clear that all grant partners will have access to the decision-making process and funding, especially grant partners working with the community. This will help ensure that community-based providers are not co-opted by larger institutions and that funding is actually supporting community-based health infrastructure.
6. What should be the review/selection criteria for the Pathways Call for Proposals?
Proposals should be evaluated using an objective numerical scoring system. There should be a priority on proposals that can demonstrate a readiness to begin work without significant planning time. For example, it would be ideal for potential grantees to show established partnerships and formal agreements on who will provide services as a part of their grant. Additionally, proposals that seek to invest in sustainable and community-based health infrastructure and show that all partners will have equitable funding support should be prioritized.
By submitting a response to the public comments requested, you understand that your responses may be used by the Maryland Community Health Resources Commission (CHRC) and/or the Health Equity Resource Communities (HERC) Advisory Committee. Additionally, the responses may be used in public meetings and will be made part of the official record. You also consent to be placed on the Health Equity Resource Communities mailing list. To unsubscribe, please email email@example.com.
1. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
2. What statewide measures should be used to demonstrate health disparities?
There are a variety of important health disparities that grantees could address. We want to encourage consideration of dental-related health disparities. Possible metrics that could highlight dental health disparities are access to dental coverage or providers and dental-related emergency room visits for non-traumatic dental conditions. Many of the social determinants of health that are relevant to other health disparities are relevant to dental health (e.g., access to reliable transportation, access to healthy food, health literacy, and availability of providers).
3. What measures should be used to establish a baseline to assess impact and monitor/evaluate performance of the Pathways grantees?
4. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
5. How should program evaluation focus on the effectiveness of the interventions on: (1) health outcomes of the population/community served; and (2) Social Determinants of Health (SDOH)/other barriers experienced by the population/community served?
1. Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?
It would be ideal for the state to coordinate the efforts of the HERC grants with other state efforts to address health disparities. For example, the work of HERC grantees could be aligned with the goals of the Statewide Integrated Health Improvement Strategy Proposal. By aligning the HERC grants with other ongoing work, the effect of interventions could be amplified. MDAC has worked specifically on supporting the goals of the State’s efforts toward addressing diabetes, cancer, hypertension, and maternal health from a population health perspective.
2. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
3. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
4. Should Pathways applicants develop strategies to address non-medical Social Determinants of Health (SDOH)? If so, are there specific SDOH to highlight in the Call for Proposals?
In order to address health inequities in a sustained way, we must work to address social determinants of health. Many social determinants of health impact dental health, and the specific social determinants that impact a community the most may differ between communities. Grantees should be permitted to address the social determinants of health that have the most significant impact on their community.
5. How should applicants be required to demonstrate the genuine engagement of the community in the shared decision-making processes of the grant?
Community involvement is an essential aspect of addressing inequities. However, large institutions sometimes have better access to funding and a larger influence on decision-making. In evaluating grant proposals, the Commission should consider whether proposals make it clear that all grant partners will have access to the decision-making process and funding, especially community-based grant partners that may have strong relationships with marginalized communities.
6. What should be the review/selection criteria for the Pathways Call for Proposals?
1. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
Data collection can often be very burdensome for providers. Currently, many providers have a variety of different reporting and data collection requirements. It is difficult to provide a full accounting of the many reporting requirements that providers may be required to follow because they can vary based on funding streams or regulatory requirements. The Commission should attempt to research the current data reporting streams to make data reporting as simple as possible. Our program currently does a lot of work with CRISP, so it would be beneficial if reporting requirements could build on that current work. Additionally, we now use outcomes and screening questions adapted from tools such as PROMIS, Accountable Health Communities, and HCAHPS.
2. What statewide measures should be used to demonstrate health disparities?
There are a variety of measures that could demonstrate health disparities. It would be helpful if the Commission used currently available data to identify health disparities experienced by the populations of interest to potential grantees (e.g., Medicaid population). Looking at various disease indicators could help identify potential disparities and measure results related to chronic disease (e.g., A1C, blood pressure, blood lipids). However, more client-driven measures of social determinants such as food insecurity or patient satisfaction should be considered.
3. What measures should be used to establish a baseline to assess impact and monitor/evaluate performance of the Pathways grantees?
Maryland has a very fragmented system of care, which makes it very difficult for marginalized communities to consistently access needed resources. Although various measures could be used to measure the effect of a pathway grant, there should be an emphasis on building sustainable health care infrastructure. The focus should not be to put Band-Aids on health disparities but to build systems to provide care and support Marylanders in their community. In our work, we often struggle with matching clients to appropriate referrals because of the fragmentations of the system, and it can be particularly difficult to find funding for referrals. If the Commission can look at ways to measure some of these system-level integration issues, it could go a long way to helping access gaps for patients.
4. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
Data collection and analysis are often the biggest burdens for providers when trying to comply with the requirements of a grant. Any steps that the CHRC can take to assist with those processes or streamline them would likely help grantees do the best possible work.
5. How should program evaluation focus on the effectiveness of the interventions on: (1) health outcomes of the population/community served; and (2) Social Determinants of Health (SDOH)/other barriers experienced by the population/community served?
Looking at clinical outcomes such as diabetes measures or recent hospital admissions may be valuable, but more patient-driven measures should also be considered. It can sometimes be difficult to always know what specific SDOH barriers are the most significant for certain patients. Using patient-completed screenings for things like food insecurity or satisfaction could help the Commission better understand the real impact that grantees are having in patients’ lives.
By submitting a response to the public comments requested, you understand that your responses may be used by the Maryland Community Health Resources Commission (CHRC) and/or the Health Equity Resource Communities (HERC) Advisory Committee. Additionally, the responses may be used in public meetings and will be made part of the official record. You also consent to be placed on the Health Equity Resource Communities mailing list. To unsubscribe, please email firstname.lastname@example.org.
1. Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?
It would be ideal for the state to coordinate the efforts of the HERC grants with other state efforts to address health disparities. For example, the work of HERC grantees could be aligned with the goals of the Statewide Integrated Health Improvement Strategy Proposal, including addressing chronic diseases such as diabetes. By aligning the HERC grants with other ongoing work, the effect of interventions could be amplified.
2. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
Data collection can often be very burdensome for providers. Currently, many providers have a variety of different reporting and data collection requirements. It is difficult to provide a full accounting of the many reporting requirements that providers may be required to follow because they can vary based on funding streams or regulatory requirements. The Commission should attempt to research the current data reporting streams to make data reporting as simple as possible. Our program currently does a lot of work with CRISP, so it would be beneficial if any reporting could be built off that current work.
3. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
Data collection and analysis are often the biggest burdens for providers when trying to comply with the requirements of a grant. Any steps that the CHRC can take to assist with those processes or streamline them would likely help grantees do the best possible work.
4. Should Pathways applicants develop strategies to address non-medical Social Determinants of Health (SDOH)? If so, are there specific SDOH to highlight in the Call for Proposals?
Social determinants of health, such as access to healthy food, significantly impact health outcomes. Improving access to care is important, but patients need holistic support to be able to access available care or to be able to get the most benefit from the provided care. We recommend highlighting food, housing and transportation in the call for proposals as we see those as the biggest challenges our clients face in this area.
5. How should applicants be required to demonstrate the genuine engagement of the community in the shared decision-making processes of the grant?
Community involvement is an essential aspect of addressing inequities. However, large institutions often have better access to funding and a more significant influence on decision-making. In evaluating grant proposals, the Commission should consider whether proposals make it clear that all grant partners will have access to the decision-making process and funding, especially grant partners working with the community. This will help ensure that larger institutions do not co-opt community-based providers and that funding supports community-based health infrastructure. It is also critical that program participants are engaged by the grantee in the decision-making process in a meaningful way. Some level of client or participant engagement should be demonstrated in any grant proposal.
6. What should be the review/selection criteria for the Pathways Call for Proposals?
By submitting a response to the public comments requested, you understand that your responses may be used by the Maryland Community Health Resources Commission (CHRC) and/or the Health Equity Resource Communities (HERC) Advisory Committee. Additionally, the responses may be used in public meetings and will be made part of the official record. You also consent to be placed on the Health Equity Resource Communities mailing list. To unsubscribe, please email email@example.com.
1. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
2. What statewide measures should be used to demonstrate health disparities?
There are a variety of important health disparities that could be addressed by HERC grantees. In particular, there are several important health disparities related to maternal and child health. Some possible measures that should be considered are:
- Maternal mortality and morbidity rate
- Low birth weight rates
- Cesarean section rate
- Preterm birth rate
- Short interval pregnancy
- Distance to nearest prenatal provider
- Access to comprehensive family services
- Maternal substance use issues, including overdose
Grants seeking to address maternal health issues will also align with the Statewide Integrated Health Improvement Strategy Proposal's goal of improving maternal health. This will allow grantees to amplify the work that is already ongoing and get the state closer to meeting its goals.
3. What measures should be used to establish a baseline to assess impact and monitor/evaluate performance of the Pathways grantees?
Several important clinical outcomes could be used to measure performance (e.g., low birth weight, mortality and morbidity rates, infant mortality), but it is important to consider measures of broader access issues. Interventions that increase access to providers, such as Certified Nurse Midwives and Certified Midwives, and improve access to comprehensive family planning services have significant long-term benefits even if clinical outcomes are not immediately responsive to the intervention.
4. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
5. How should program evaluation focus on the effectiveness of the interventions on: (1) health outcomes of the population/community served; and (2) Social Determinants of Health (SDOH)/other barriers experienced by the population/community served?
It would be ideal for the state to coordinate the efforts of the HERC grants with other state efforts to address health disparities. For example, the work of HERC grantees could be aligned with the goals of the Statewide Integrated Health Improvement Strategy Proposal. By aligning the HERC grants with other ongoing work, the effect of interventions could be amplified.
By submitting a response to the public comments requested, you understand that your responses may be used by the Maryland Community Health Resources Commission (CHRC) and/or the Health Equity Resource Communities (HERC) Advisory Committee. Additionally, the responses may be used in public meetings and will be made part of the official record. You also consent to be placed on the Health Equity Resource Communities mailing list. To unsubscribe, please email firstname.lastname@example.org.
1. Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?
A targeted focus on specific chronic diseases risks leaving out potential high-quality interventions targeting other important health disparities, such as maternal health. Grantees should be encouraged to look at the health disparities occurring in their community instead of being forced to make their data and intervention match disease targets mandated by the Commission.
2. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
3. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
4. Should Pathways applicants develop strategies to address non-medical Social Determinants of Health (SDOH)? If so, are there specific SDOH to highlight in the Call for Proposals?
Addressing issues related to social determinants of health is key to making real progress towards alleviating health disparities. Maternal health outcomes are significantly intertwined with social determinants of health such as transportation, race, food access, environment and poverty. Although clinical interventions are important, there should also be an effort to address the needs of patients regarding social determinants of health.
5. How should applicants be required to demonstrate the genuine engagement of the community in the shared decision-making processes of the grant?
Community involvement is an essential aspect of addressing inequities. However, large institutions often have better access to funding and a more significant influence on decision-making. In evaluating grant proposals, the Commission should consider whether proposals make it clear that all grant partners will have access to the decision-making process and funding, especially grant partners working with the community. This will help ensure that larger institutions do not co-opt community-based providers and that funding supports community-based health infrastructure.
6. What should be the review/selection criteria for the Pathways Call for Proposals?
In evaluating proposals, there should be consideration of a grant’s ability to make a sustainable impact. For example, investments in developing a Certified Nurse Midwives and Certified Midwives workforce in a community will have a longer-term effect than providing transportation vouchers to see providers in a different community.
By submitting a response to the public comments requested, you understand that your responses may be used by the Maryland Community Health Resources Commission (CHRC) and/or the Health Equity Resource Communities (HERC) Advisory Committee. Additionally, the responses may be used in public meetings and will be made part of the official record. You also consent to be placed on the Health Equity Resource Communities mailing list. To unsubscribe, please email email@example.com.
1. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
Luminis Health, Inc. has access to the Maryland state-designated health exchange, CRISP, through which it can access data pertaining to its delivery of health care across the continuum of care. Further, as of January 1, 2021, all providers and facilities within Luminis Health use Epic as its electronic medical records system. Other relevant data would include benchmarks and more detailed statewide health disparities information for continued comparative analysis.
2. What statewide measures should be used to demonstrate health disparities?
Luminis Health believes health disparities are largely a function of inequitable access to quality health care across socioeconomic groups. Other social determinants of health lead to health disparities, including but not limited to unemployment rates, education opportunities and achievement levels within certain geographic areas, and housing status. In addition, patient experience, patient outcomes and standard quality metrics (i.e; ED wait times, readmissions etc.) stratified by race and ethnicity should be used to identify and demonstrate disparities.
3. What measures should be used to establish a baseline to assess impact and monitor/evaluate performance of the Pathways grantees?
Luminis Health believes Pathways grantees should be given wide discretion to establish a baseline from which to assess the impact of the grantees' respective programs; including individual system and facility specific disparities in quality measure- And- the improvement in patient outcomes and progress towards goals that illustrate a reduction or elimination in disparities and an increase in the satisfaction of patient care amongst diverse demographics.
4. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
Luminis Health would benefit from a statewide data dashboard showing grantees' programs and briefly describing each program's mission.
5. How should program evaluation focus on the effectiveness of the interventions on: (1) health outcomes of the population/community served; and (2) Social Determinants of Health (SDOH)/other barriers experienced by the population/community served?
Program evaluation should assess whether a grantee's program has the potential to be transformed into a longer-term program recipient of a Health Equity Resource Community award.
By submitting a response to the public comments requested, you understand that your responses may be used by the Maryland Community Health Resources Commission (CHRC) and/or the Health Equity Resource Communities (HERC) Advisory Committee. Additionally, the responses may be used in public meetings and will be made part of the official record. You also consent to be placed on the Health Equity Resource Communities mailing list. To unsubscribe, please email firstname.lastname@example.org.
1. Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?
Pathways should absolutely be permitted to focus on broader health disparities. Each community has its own profile and challenges. The guidance that was used to determine which entities could receive the HEZ monies was too limited and narrow. Communities are heterogenous, but there are certain overarching needs that can be addressed with this grant.
Especially with the pandemic experience, communities have a much better idea as to what gaps exist both before and after the acute phase of the pandemic. If this grant is to truly have the impact that is intended, the communities must have the latitude to identify their most pressing short and long term needs.
2. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
Different data is available to different organizations, public and private. As a consultant to a community based organization, it is frustrating that there isn't access to the same data as the health department or hospital. Some public data is available, but it is usually outdated.
Real time data, available in a manner that is understandable and usable is critical. Current COVID data is helpful, but long term data around demographics and chronic disease management is key. Partners may have data within their organizations, but it typically can't be shared due to technical issues with interfaces and concerns around privacy.
An example of how difficult this is, is the example of the Annual Frederick County Health Fair. It is sponsored every year by one of the CBOs with support of the hospital and other partners. The clients are underserved, underinsured and with uncontrolled chronic diseases. The clients are diagnosed with diabetes or blood pressure issues at the fair and referred to a safety net clinic or Mission of Mercy, but there is no current way to share data or understand if the outcomes improved with the intervention. A great deal of work goes into the diagnosis, but we can't follow the progress and know if the work achieved the desired goal.
3. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
The technical assistance should include ways to strengthen collaborations and partnerships in every way that improves the process that is being undertaken. There should also be education around continuous improvement methods and techniques.
We need ways to gather and look at the same data, and share results. A collective impact approach would be helpful with support of any initiative with a backbone organizational structure to keep track of the effort and keep people accountable for their part in the initiative.
4. Should Pathways applicants develop strategies to address non-medical Social Determinants of Health (SDOH)? If so, are there specific SDOH to highlight in the Call for Proposals?
Yes.
All of the typical ones to include geography, transportation, culture/language gaps, food insecurity, workforce development and insurance.
5. How should applicants be required to demonstrate the genuine engagement of the community in the shared decision-making processes of the grant?
The collective needs to commit to a common goal and explain the mutually reinforcing activities as well as the metrics that will be utilized. Each organization engaged in the grant needs to explain their part, and how they will contribute and be accountable for results.
There should be an outline of a governance and operational structure.
6. What should be the review/selection criteria for the Pathways Call for Proposals?
Is it possible to achieve? Does it meet the requirements for the money? Who hasn't been given money before, or who needs to build on the success of a prior initiative? Some type of rubric that takes these into account could be used.
The prior recipients of the HEZ money should not be prioritized. Everyone should start at the same level to be fair.
It is important that the money be spread throughout the state in a responsible manner with attention towards health inequities and prior work that would have been more successful if funded adequately.
By submitting a response to the public comments requested, you understand that your responses may be used by the Maryland Community Health Resources Commission (CHRC) and/or the Health Equity Resource Communities (HERC) Advisory Committee. Additionally, the responses may be used in public meetings and will be made part of the official record. You also consent to be placed on the Health Equity Resource Communities mailing list. To unsubscribe, please email email@example.com.
Good morning,
I've been thinking about this issue of data, project alignment and the RFP since the meeting this morning ended. I have some additional thoughts that I didn't express clearly enough in my formal public response.
I can see both sides of the discussion. We want the grantees to have flexibility in what they submit and implement, but we need to be able to follow the data to know if the work is meaningful and successful.
We also know that many data systems don't interface well and that collecting granular data is difficult and many times not reliable, especially at the zip code level.
For example, Washington County has a "Go For Bold" initiative whose goal is for county residents to lose 1 million pounds by 2030. The intent is to accomplish this goal by promoting healthy lifestyles. No one would argue that this is a good idea, and will positively impact health outcomes to include diabetes and cardiovascular disease, but how will they measure the progress? How do they know how many pounds are lost? Is it self reported? By 2030 it is possible that they may see some changes in health outcomes, but how will they be able to change processes along the way if they are not getting the results they want to achieve along the way? Data needs to be current and accessible.
The complexity of the situation almost requires a simplification of the process, and perhaps the RFP guidelines and requirements.
Is it possible to start with the data that we know we have, that we can track at the zip code level? We can look at indicators that are important to every county on some level, and then allow the applicants to consider how they customize their project proposal to achieve those goals. We ask them to align around a mutual goal, but they can pursue it in whatever way makes sense in their community by implementing mutually reinforcing activities between a collaboration of partners (collective impact).
For example, if the metric is to decrease pediatric asthma visits to the ED, a community can decide how they want to approach it, whether the approach is clinical or at a social determinant of health level or both. We can provide medications for the families, implement school based programs or we can work on social determinants that predispose to kids ending up in the ED whether it be transportation challenges to the pediatrician, smoking, home environments or lack of education.
Communities can present other data that they want to collect to show success, but if those are not verifiable or granular enough, then they shouldn't be part of the major portion of the grant report. This data could be supportive but not the primary data point.
I think there is a way to offer the applicants a menu of options that will meet the needs of the legislation, the Office of Minority Health, the Commission and still allow enough flexibility in the process so that applicants can address individualized community needs.
If you would like to discuss this further, I would be willing to make myself available.
Thank you for your time,
Rachel Mandel, MD MHA
1. Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?
2. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
3. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
4. Should Pathways applicants develop strategies to address non-medical Social Determinants of Health (SDOH)? If so, are there specific SDOH to highlight in the Call for Proposals?
Yes. From our earliest days, we at Health Care for the Homeless (HCH) have known that the clients we serve need to be housed in order to get and stay healthy. Your home is the most powerful determinant for how long you will live and what quality of life you’ll have. The services that we offer to clients do not falter from this principle. As an example, HCH has been a participating entity in Maryland Medicaid’s Assistance in Community Integration Services (ACIS) Pilot program. We are a service provider for people formerly experiencing homelessness and living in permanent supportive housing. Through our permanent supportive housing work, and the ACIS program in particular, overall we see reductions in hospitalizations, improvements in mental health symptoms, and reductions in the stress associated with living on the streets or in shelter. This is a clear example of a strategy to address non-medical Social Determinants of Health that should be considered in the development of the call for proposals.
5. How should applicants be required to demonstrate the genuine engagement of the community in the shared decision-making processes of the grant?
6. What should be the review/selection criteria for the Pathways Call for Proposals?
1. Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?
It would make sense for the state to coordinate the efforts of the HERC grants with other state efforts to address health disparities. The work could be aligned, for example, with the Statewide Integrated Health Improvement Strategy Proposal's goals of addressing issues related to diabetes, opioid use, and maternal and child health. This integration could lead to more sustainable efforts and increase measurable success.
Regardless of how specific chronic diseases are prioritized, we urge the State to make it clear that disparities in access to substance use disorder and mental health treatment services be included. The current crises in opioid overdose deaths and suicides demand a response, especially in addressing inequities across the state.
2. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
3. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
4. Should Pathways applicants develop strategies to address non-medical Social Determinants of Health (SDOH)? If so, are there specific SDOH to highlight in the Call for Proposals?
Yes. Addressing social determinants of health is key to addressing health inequities. Currently, it is challenging for providers to get reimbursement for work seeking to address social determinants of health and these funds would be ideal. There are many important social determinants of health that grantees could seek to address, including housing, income and employment assistance, and access to healthy food.
5. How should applicants be required to demonstrate the genuine engagement of the community in the shared decision-making processes of the grant?
6. What should be the review/selection criteria for the Pathways Call for Proposals?
1. Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?
The Statewide Integrated Health Improvement Strategy (SIHIS) focuses on four main population health priority areas: diabetes, opioid use, severe maternal morbidity, and childhood asthma, all of which have significant health disparities. Pathways applicants should aim to align their proposals with these SIHIS priority areas to support population health improvement efforts under the Total Cost of Care Model.
Through the hospital rate setting system, the HSCRC funds the Regional Partnership Catalyst Program and the Maternal and Child Health Population Health Improvement Fund which align with the population health goals of SIHIS. Programmatic alignment between state agencies is crucial to achieving the goals of SIHIS and reducing health disparities across each of the population health priority areas.
2. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
HSCRC requires grantees to self-report on select process measures for each of the five special funding programs the HSCRC administers. Examples of self-reported data include number of patients touched, types and # of services provided, and types and volumes of community outreach events. Funding recipients can also provide data on additional measures they believe demonstrate progress towards program goals.
HSCRC is able to independently measure some process metrics using hospital claims data, Medicare and Medicaid claims data, and existing CRISP data. HSCRC may work with an independent evaluator to measure outcomes for certain special funding programs. Programs such as the Regional Partnership Catalyst Program may not show quantifiable outcomes for multiple years, so this is a long-term endeavor. In the meantime, HSCRC has focused on using process measures as indicators of success.
3. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
HSCRC prioritizes providing as much technical assistance as possible to ensure program success. Staff have focused on facilitating relationships and making connections to support provider engagement and long-term program sustainability. Staff have found that creating forums to introduce grantees to potential partners and subject matter experts is a valuable form of technical assistance. Additionally, staff have prioritized identifying and sharing external resources (e.g. webinars, potential consulting services) that grantees might not otherwise be aware of.
4. Should Pathways applicants develop strategies to address non-medical Social Determinants of Health (SDOH)? If so, are there specific SDOH to highlight in the Call for Proposals?
Yes. Staff supporting the management of SIHIS are currently discussing SDOH prioritization to guide interventions that will have the greatest impact across all SIHIS population health priority areas. Staff conducted an initial shared risk and protective factors analysis and identified a list of SDOHs that impact most or all of the SIHIS population health priority areas: housing instability, economic and financial stability, access to health care (e.g. provider access, transportation), community-based financial and economic stability, and structural racism. Transportation and food insecurity are additional SDOH that were recommended to be added to the initial list of shared risk and protective factors.
5. How should applicants be required to demonstrate the genuine engagement of the community in the shared decision-making processes of the grant?
In the HSCRC Regional Partnership Catalyst Program RFP, applicants were required to explain their governance structure and decision making process. In some cases, Regional Partnerships provided organization charts in their proposals that illustrated where community partners had the greatest influence on decisionmaking or were participants in committees. Staff found these helpful in determining the significance of community partners as part of the broader program design.
Additionally, applicants were required to fill out a table with information on each community partner. Regional Partnerships were required to provide the following on each community partner:
1. Name of Collaborator
2. Type of Organization (e.g., non-profit, faith-based organization, local health improvement coalition)
3. Amount and Purpose of Direct Financial Support (if any)
4. Type and Purpose of In-Kind Support (if any)
5. Type and purpose of Resource Sharing Arrangements (if any)
6. Roles and Responsibilities
6. What should be the review/selection criteria for the Pathways Call for Proposals?
1. Alignment with the population health priority areas under SIHIS
2. Meaningful collaboration with community partners
3. Potential impact on key SDOH
1. Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?
Either could be beneficial.
2. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
FQHCs, or community health centers, are required to submit performance metrics to the federal government annually. Each year, HRSA makes efforts to ensure measures are collected in a meaningful way, aligned with eCQMs, and annual training is provided to all providers.
Measures include:
- Diabetes Control (HbA1C > 9%)
- Hypertension BP Control (BP < 140/90)
- Access to Prenatal Care (First Prenatal Visit in 1st Trimester)
- Childhood Immunizations
- Cervical Cancer Screening
- Colorectal Cancer Screening
- Dental Sealants for Children
- Low Birth Weight
3. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
Answer clarifying questions seems fine, but it seems like all applicants should receive the benefits of any assistance the committee would give to one applicant. Possibly publicly post Q&As or update guidance as questions arise to ensure a level playing field.
4. Should Pathways applicants develop strategies to address non-medical Social Determinants of Health (SDOH)? If so, are there specific SDOH to highlight in the Call for Proposals?
Seems reasonable to have SDOH as part of the proposals. I don't think there is a need to highlight specific ones as it should come out as part of the program proposal. For example, in the description of how applicants reach different patient populations, an applicant may discuss their plans of using mobile vans to expand reach to screening services.
5. How should applicants be required to demonstrate the genuine engagement of the community in the shared decision-making processes of the grant?
Possibly by measuring number of outreaches to the public, number of attendees and/or comments submitted. Surveys could help too.
6. What should be the review/selection criteria for the Pathways Call for Proposals?
1. Data that supports a significant vulnerable patient population need
2. Identified point of entry where the applicant can influence delivery of social or medical services
3. Use of evidence-based practices and/or a new intervention with measurable goals
By submitting a response to the public comments requested, you understand that your responses may be used by the Maryland Community Health Resources Commission (CHRC) and/or the Health Equity Resource Communities (HERC) Advisory Committee. Additionally, the responses may be used in public meetings and will be made part of the official record. You also consent to be placed on the Health Equity Resource Communities mailing list. To unsubscribe, please email firstname.lastname@example.org.
1. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
FQHCs, or community health centers, are required to submit performance metrics to the federal government annually. Each year, HRSA makes efforts to ensure measures are collected in a meaningful way, aligned with eCQMs, and annual training is provided to all providers.
Measures include:
- Diabetes Control (HbA1C > 9%)
- Hypertension BP Control (BP < 140/90)
- Access to Prenatal Care (First Prenatal Visit in 1st Trimester)
- Childhood Immunizations
- Cervical Cancer Screening
- Colorectal Cancer Screening
- Dental Sealants for Children
- Low Birth Weight
4. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
Answer clarifying questions seems fine, but it seems like all applicants should receive the benefits of any assistance the committee would give to one applicant. Possibly publicly post Q&As or update guidance as questions arise to ensure a level playing field.
5. How should program evaluation focus on the effectiveness of the interventions on: (1) health outcomes of the population/community served; and (2) Social Determinants of Health (SDOH)/other barriers experienced by the population/community served?
More controlled chronic conditions, access to essential screenings such as cancer, behavioral health, etc. and connections to services that could address social needs. eCQMs would be helpful where appropriate. Baseline and performance data should be stratified along race, income, and other variables where a disparity has been identified to show improvement over time.
By submitting a response to the public comments requested, you understand that your responses may be used by the Maryland Community Health Resources Commission (CHRC) and/or the Health Equity Resource Communities (HERC) Advisory Committee. Additionally, the responses may be used in public meetings and will be made part of the official record. You also consent to be placed on the Health Equity Resource Communities mailing list. To unsubscribe, please email email@example.com.
September 9, 2021
Mark Luckner
Executive Director
Community Health Resources Commission
PO Box 2347
Annapolis, MD 21404
Dear Mr. Luckner and Data and Evaluation Subcommittee Members:
On behalf of the Maryland Hospital Association’s (MHA) 60 member hospitals and health systems, we appreciate the opportunity to respond to the Subcommittee’s questions.
MHA’s priority legislation, the Maryland Health Equity Resource Act, recognizes the immediate need to improve longstanding health disparities exacerbated by the COVID-19 pandemic, while creating a sustainable effort to meaningfully improve the lives of the most underserved and under-resourced Marylanders. As the subcommittees, advisory group, and the Community Health Resources Commission (CHRC) establish the Pathways program, it is important to ensure these grants align with the broader Health Equity Resource Communities (HERC) strategy.
The Health Enterprise Zone Pilot program was successful, yet one missed opportunity was the inability to plan and evaluate interventions prior to the program start. Due to the short nature of the grants, it also was challenging to pivot when interventions were less fruitful. The Health Equity Resource Act helps overcome that barrier by establishing the initial Pathways program. The purpose of the program is “to provide the foundation and guidance for a permanent Health Equity Resource Community program.” While Pathways grants are shorter, and likely smaller than future HERC awards, successful grantees should be well positioned to transition into a Health Equity Resource Community. Pathways grants should enable potential HERC coalitions to create the infrastructure to meet the goals of the HERC program, test innovative approaches to improve the health of communities, and focus on the immediate needs of the population with a plan for long-term and sustainable change.
Below are answers to the specific questions outlined in the request for public comment.
**Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?**
Applicants should be empowered to focus on improving the lives of their communities based on the competencies of the coalition. Inevitably a coalition will be required to focus on both chronic diseases and broader health disparities, as the focus on one will lead to the discovery of another.
What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
Maryland hospitals and health systems utilize multiple sources of data for strategic planning in quality improvement and population health management. These include patient level data from electronic medical records; hospital aggregate data available through CRISP, like hospital readmissions; and other publicly available data sets, such as disease prevalence.
CHRC and the Advisory Committee should consider all available statewide data sources, as well as data from public sources when considering the data infrastructure for Health Equity Resource Communities programs. Like what was made available for Health Enterprise Zones, we recommend creating a public use file that all applicants can access, which shows standard data down to the ZIP code level.
Overall we encourage CHRC to prioritize alignment of HERC data strategy with the Maryland Department of Health’s efforts to build a health equity data set as part of the [Maryland Commission on Health Equity](#) legislation.
What forms of technical assistance should the CHRC provide to potential applicants and grantees?
CHRC should consider building a statewide data dashboard with the elements outlined in the legislation establishing the [Maryland Commission on Health Equity](#). The Commission should also consider the feasibility of providing analytical support to potential applicants to help interpret statewide data and synthesize statewide data with the applicant’s data.
Should Pathways applicants develop strategies to address non-medical social determinants of health (SDOH)? If so, are there specific SDOH to highlight in the call for proposals?
Yes, applicants should develop strategies to address non-medical social determinants of health. The SDOH domains the applicants choose to focus on should be determined by the needs of their specific community and capacity of the coalition.
How should applicants be required to demonstrate the genuine engagement of the community in the shared decision-making processes of the grant?
Applicants could be encouraged to include letters of support from community leaders. The HERC legislation requires the inclusion of community-based organizations (CBO) that provide wrap around services to be considered for a HERC award. The Pathways program could require engagement of specific CBOs that would become full members of the coalition if the Pathways award converts to a HERC.
What should be the review/selection criteria for the Pathways call for proposals?
Review and selection criteria should evaluate components of a proposal that can be meaningfully improved within the two-year grant period. The selection committee should also evaluate the
proposal’s potential to evolve into a full HERC. Lastly, the selection criteria should consider innovative approaches to address health disparities and improve health equity.
MHA appreciates the Commission’s leadership to strengthen health equity in our state—a key priority for the state’s hospitals and health systems. Please contact us if you need additional information.
Sincerely,
Erin Dorrien
Director, Government Affairs & Policy
Brian Sims
Director, Quality & Health Improvement
1. Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?
2. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
3. What statewide measures should be used to demonstrate health disparities?
In the long-term, it is helpful to reflect on the Health Enterprise Zone (HEZ) Program on which the pathways and HERC programs are based. Rather than selecting outcomes measures to assess all of the zones across the board based on specific conditions, they used global measures of hospitalizations and ED visits for a number of diseases/conditions (preventable conditions using the PQI overall composite and an ‘HEZ-related conditions’ composite) at the zip code level. This makes sense because one of the goals that all of the communities will have in common is working to bring health providers (for example, primary care, dental, behavioral health) and community health workers into the community, thus helping people get care in their communities instead of in hospitals, and to improve the quality and scope of care by providing wrap-around and other services to address social determinants of health. This is exactly what we saw happen during the HEZ Program, which resulted in millions of dollars of cost savings. Making these kinds of measures part of the evaluation of all of the communities in the long term would help us get data on important outcomes without being overly prescriptive on what the communities should focus.
To be clear, the global measures will be most helpful in the long-term as the HERC program gets underway. Two years is likely not enough time to significantly move the needle on these measures, which is why process measures will be so important for the Pathways Grantees (see next question).
4. What measures should be used to establish a baseline to assess impact and monitor/evaluate performance of the Pathways grantees?
The Pathways grants are for only two years, and it will take time for programs to get off the ground and then more time to impact outcomes in a measurable way. Therefore process measures will be important during this time, and those process measures should include measuring capacity-building on data collection within the communities so that they are ready for more robust data collection when/if they become Health Equity Resource Communities.
5. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
Communities need to know what kind of high-quality data already exists, at the zip code level and at the program level for ‘touched’ populations, which they can use to choose their priorities and measure outcomes. Perhaps CHRC, in collaboration with CRISP, MDH, and other state agencies can create a “menu” of the kinds of data that exist to help empower communities to create their data collection methodologies. Communities also need to know what data does not currently exist because they may need to come up with their own methodologies to collect some of this data, again with technical assistance from the state. State researchers with strong public health experience collecting qualitative data and using community-based participatory research methods should be tapped to provide technical assistance.
6. How should program evaluation focus on the effectiveness of the interventions on: (1) health outcomes of the population/community served; and (2) Social Determinants of Health (SDOH)/other barrier experience by the population/community served.
7. Should Pathways applicants develop strategies to address non-medical Social Determinants of Health (SDOH)? If so, are there specific SDOH to highlight in the Call for Proposals?
8. How should applicants be required to demonstrate the genuine engagement of the community in the shared decision-making processes of the grant?
Applicants should include a community advisory board in their application that has decision-making power.
9. What should be the review/selection criteria for the Pathways Call for Proposals?
Additional Comments / Response to Previous Questions:
Notice: By submitting a response to the public comments requested, you understand that your responses may be used by the Maryland Community Health Resources Commission (CHRC) and/or the Health Equity Resource Communities (HERC) Advisory Committee. Additionally, the responses may be used in public meetings, posted on the CHRC/HERC websites and will be made part of the official record.
1. Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?
NO. We know that health outcomes in the communities most in need of equity are 50% dependent on social determinants of health. If we only focus on a chronic disease without including the bigger picture that is required for system change, any long term benefits will not be sustainable. In order to get to health equality we need to redesign the systems that have brought us here and this is done through comprehensive project design. AN example of this is the program Por nuestra salud y Bienestar (Montgomery County’s response). Latino’s did not become the second most vaccinated group in the country because we increased access to vaccines but by designing a project that included, information, case management for social determinants of health, pilot design of a hospital at home program, testing and data driven decision making. IF we are to change the health of minority communities it needs to be through comprehensive efforts and not single disease initiatives.
2. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
I cannot answer the second question but ensuring there is funding for the training and creation of data collection and analysis is important for any project that aims to change the health of communities.
3. What statewide measures should be used to demonstrate health disparities?
Any is better than none but I particularly care for mortality and years of life lost. As an outcome measure it goes at the core of the loss created by health disparities.
4. What measures should be used to establish a baseline to assess impact and monitor/evaluate performance of the Pathways grantees?
The above mentioned data talks to the overall outcome of the project. Any decrease on that is however long term so by necessity you will require process measure that will be dependent on the design of the specific project. I would encourage grantees to collect data on outcomes even if they can only change the process measures with a short funded project.
5. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
Data management
Social determinants of health
System change
6. How should program evaluation focus on the effectiveness of the interventions on: (1) health outcomes of the population/community served; and (2) Social Determinants of Health (SDOH)/other barrier experience by the population/community served.
The main problem with these projects is that they are too short to have a real impact on system change and they are not sustainable when the funding ends. It would be interesting to see if you could build upon previously funded initiative and have a long term arch. Given the impact of SDH I would really like to see them incorporated into any future effort (even if changing them is very difficult).
7. Should Pathways applicants develop strategies to address non-medical Social Determinants of Health (SDOH)? If so, are there specific SDOH to highlight in the Call for Proposals?
Absolutely. If they don't they will really not change health inequity in the long term. Regarding the follow up question I would not be specific. Let people be creative in how these are tackled. Organizations that know the communities they work for, should be allowed to tackle these as they see fit. I believe we don't allow communities to come up with their own responses because we make requests too focused and they may not apply.
8. How should applicants be required to demonstrate the genuine engagement of the community in the shared decision-making processes of the grant?
This is an interesting questions and here are a couple of thoughts:
- the principles of community participatory research (CPR) when used loosely are helpful.
- however picking organizations that are embedded in the community and were designed to serve the community may require to be a bit flexible since using the whole framework of CPR may be a bit beyond them.
- having a way where the initial design is allowed to changed based on the feedback of the community is an important element and sometimes is not possible given your commitment to the funding stream.
9. What should be the review/selection criteria for the Pathways Call for Proposals?
Select people that work in these communities even if they would traditionally be seen as likely to fail and then offer them mentorship through the project. A lot of small organizations do this work on a daily basis but would need funding to think bigger.
Additional Comments / Response to Previous Questions:
Thanks for the work you put into trying to solve health inequity.
Notice: By submitting a response to the public comments requested, you understand that your responses may be used by the Maryland Community Health Resources Commission (CHRC) and/or the Health Equity Resource Communities (HERC) Advisory Committee. Additionally, the responses may be used in public meetings, posted on the CHRC/HERC websites and will be made part of the official record.
Question 1 - Should Pathways applicants focus on specific chronic disease(s) or be permitted to focus on broader health disparities that exist, as defined in the Maryland Health Equity Resource Act?
In support of the following comment:
Ms. Spencer noted that opportunities beyond chronic disease exist, and that the Committee should not limit applicants.
2. What sources of data do programs/applicants currently access? What data metrics currently reported by programs are most relevant for the future Pathways grantees?
In support of the continued involvement of CRISP, Maryland’s state-designated Health Information Exchange, and other sources, such as the Community Health Needs Assessment, to provide Technical Assistance and access to publicly accessible data.¹
3. What statewide measures should be used to demonstrate health disparities?
4. What measures should be used to establish a baseline to assess impact and monitor/evaluate performance of the Pathways grantees?
The state of Maryland has a diverse population mix. Demographics of Montgomery County Public Schools, for example, referenced students from more than 157 countries speaking 138 languages. In informing residents about COVID-19 vaccinations, the state provided translations in languages to account for the population diversity. Community Demographics will be an important focus for how a proposed project will specially serve vulnerable population groups? As an example,
| Category |
|-----------------------------------------------|
| Hispanic |
| Black/African-American |
| Asian |
| Native American or Native Alaskan |
| Native Hawaiian or Pacific Islander |
| Other specific Ethnic populations |
| English as Second Language (ESL) |
| Disabled |
| Low Income |
| Unemployed |
| Senior Citizen (55 and over) |
| Youth |
| Other |
5. What forms of Technical Assistance should the CHRC provide to potential applicants and grantees?
A number of grant programs will establish an Expert Roster of consultants to provide technical assistance to grantees in up to 5 categories: 1) program development and implementation; 2) capacity building; 3) information technology management; 4) financial management; and 5) fundraising.
Noting that promoting long-term financial sustainability of grant programs is a key priority of the Maryland Health Resource Commission, the CHRC has encouraged grantees to obtain additional, non-state funding. The Pathways Proposal might include a matching funds requirement and/or award points for applications that identify additional/potential funding sources to match or sustain the project beyond the conclusion of the Pathways grant period. The following indicate other potential funding sources that could be leveraged to support the project.
6. How should program evaluation focus on the effectiveness of the interventions on: (1) health outcomes of the population/community served; and (2) Social Determinants of Health (SDOH)/other barrier experience by the population/community served.
The Pathways Grant Application will no doubt reference the current Grant Monitoring and Performance Measurement section, calling attention to the CHRC Grantee Milestones & Deliverables. The application should encourage potential applicants to articulate project goals: the anticipated outcomes of the projects and how the project will measure success. The following is an example:
| Anticipated Outcomes | Measurements of Success | Evaluation Tool |
|----------------------|-------------------------|-----------------|
| **Improved health outcomes and healthy behaviors** | 75% of participants will present improved health readings in comparison to baseline readings
75% of participants will self-report improved self-management habits and preventive care behaviors | Medical Records/EMR
Bi-lingual written or oral surveys upon project completion; Medical records/EMR |
| **Increased internet use among a vulnerable populations to access health information** | 60% of participants will self-report that they have increased their use of internet at the end of the project in comparison to the assessment at the beginning of the project period;
60% of participants will self-report that they know more about the Internet and its capabilities or feel more comfortable regarding its use in comparison to how they felt at the | Bi-lingual written or oral surveys upon project completion |
7. Should Pathways applicants develop strategies to address non-medical Social Determinants of Health (SDOH)? If so, are there specific SDOH to highlight in the Call for Proposals?
8. How should applicants be required to demonstrate the genuine engagement of the community in the shared decision-making processes of the grant?
9. What should be the review/selection criteria for the Pathways Call for Proposals?
The Subcommittee has begun to identify components of the review and selection criteria. The following review/selection criteria might be helpful.
**Project Purpose | Project Goals:** What are the goals for the project?
**Project Design:** What strategies are required to meet the project goals?
**Management Plan and Partners:**
Regarding Partners, the role of each partner? Partners might include: Medical Provider(s); Institution of Higher Education; Small Business; Non-profit organization
**Evaluation:** What are the outcome measures to evaluate program goals? Are there services or products that can be replicated?
**Budget and Budget Narrative:** Grant applications typically require a standard budget and budget narrative format that is included in the Appendix. The budget section in the text of the application provides the rationale and highlights of the budget.
A page limit should be included to encourage applicants to address the review criteria in a limited number of pages. The following is a guide that recommends a page limit for each section to ensure that each section of the applicant is addressed in line with the importance the Committee is placing on sections of the application.
| Evaluation Factors | Evaluation Points / % | Anticipated Page Limit |
|-------------------------------------|-----------------------|------------------------|
| Project Purpose | 20% | 4 |
| Quality of project design | 25% | 5 |
| Management Plan | 15% | 3 |
| Project Evaluation | 15% | 3 |
| Budget / Budget Narrative | 10% | 2 |
| | 100% | 20 |
With respect to the EVALUATION, some federal grant programs encourage applicants to retain the services of an independent evaluator, often affiliated with a university and will
encourage the applicant to include sufficient funds in the budget to cover the cost of the evaluator. Early decisions about how the goals of a project will be measured will be helpful to identifying and engaging the evaluator as a part of the application team involved in assisting with the draft of evaluation section. The qualifications and responsibilities of the evaluator are referenced in the grant application with a resume included in the appendix along with the resumes of the management team.
\footnote{Some years ago, the United Way for the Greater New Orleans Area and partners Tulane University and Xavier University received federal funding for The Greater New Orleans Community Data Center (GNOCDC) to create an online interactive information platform for local nonprofit organizations to identify neighborhood assets to improve local planning and decision-making. Value-added: During Hurricane Katrina in 2005 the gnocdc.org website served as a resource for information for rescue operations and the website also provided demographic information for news organizations, including the New York Times and the Brookings Metropolitan Policy Program report, \textit{New Orleans After the Storm: Lessons from the Past, a Plan for the Future}. The website later served as a resource on the rebuilding of New Orleans.}
September 14, 2021
The Honorable Edward Kasemeyer
Chair, HERC Advisory Committee
Community Health Resources Commission
100 Community Place, Room 4.507
Crownsville, MD 21032
Sent via email: firstname.lastname@example.org
RE: Comments on Pathways to Health Equity Program and Data & Program Evaluation Design Subcommittees
Dear Chair Kasemeyer:
CareFirst BlueCross BlueShield appreciates the opportunity to provide comments to both the Pathways Call for Proposals/Design subcommittee and the Data & Program Evaluation subcommittee under the Health Equity Resource Communities Advisory Committee.
CareFirst offers the following initial thoughts on the subcommittees’ questions for public comment:
- **Data** – It is critical that the subcommittees leverage the right data in the right way to evaluate Pathway grantee proposals and measure program success. Innovative data analytics has given CareFirst never before seen insights into the community at-large. Using the CDC’s Social Vulnerability Index (SVI) as the foundation, CareFirst is able to identify pockets of vulnerable populations and deploy outreach and aid to these communities. The SVI uses U.S. Census data to determine the social vulnerability of each census tract by assigning a rank on 15 social factors. The SVI rank serves as an indicator for communities that are most likely to need support before, during and after an emergency event. By using SVI, CareFirst was able to assess populations by census tract – a measurement even smaller than zip code. This allowed CareFirst to gain insights into pockets of vulnerable communities that otherwise would not have been identified at the zip code level. CareFirst recommends that the subcommittees explore use of census tract level data to obtain a micro-level understanding of vulnerable communities within a zip code.
• **Funding and CHRC Support** – CareFirst urges the subcommittees to ensure that evaluation costs are not built into the grants awarded under this program. It is CareFirst’s experience that 10-15% of grant costs are needed for evaluation. This should be considered in discussions about grant dollar amounts – evaluation costs should not be included in the grants awarded; rather, grants should go to vulnerable communities in their entirety. Further, CHRC should support applicants however it can, including creating a cohort for applicants and subsequent grantees who can lean on each other for some questions and support.
• **Community Feedback on Priorities** - Community partnerships are essential to standing up the Pathways to Health Equity Program. Programs and proposals must work with and for the community partners, rather than make decisions to them. No one knows the health of individuals in a community better than those working the front lines. We urge the subcommittees to establish a framework for proposal evaluation that reflects feedback and insights received from community partners.
• **Social Determinants of Health and Qualitative Data** – Often, quantitative data is preferred in measuring the success of a program. However, qualitative data, specifically as it relates to social determinents of health, is essential. The conditions in the environments where people are born, live, learn, work, play, and worship greatly impact things like access to affordable housing, quality education, public safety and local health services. We urge the subcommittees to build qualitative metrics into program evaluation, to ensure that grantee projects are comprehensively reviewed for success.
We want to thank you for this opportunity to provide our comments, and we look forward to continuing this important conversation.
Sincerely,
Deborah R. Rivkin
Cc: Mark Luckner, Executive Director, Community Health Resources Commission |
The Southern Jewish Weekly
An Independent Weekly Serving American Citizens of Jewish Faith
Combining the Florida Jewish News and The Jewish Citizen
"The Oldest and Most Widely Circulated Jewish Publication in this Territory"
Owned and Published by ISADORE MOSCOVITZ, B.S.J.
In the absence of Capt. Moscovitz, now in the military service, the paper is being edited by Mrs. Moscovitz.
Printed Weekly at 406 Broad St.
P. O. Box 903 Phone 9-4044 Jacksonville, Florida
This weekly is opposed to Communism, Fascism, and Nazism and is dedicated to the ideals of American democracy.
For the convenience of those wishing to make cash remittances for subscriptions and advertising, an office is maintained at 381 Main Street, where proper receipts will be issued.
Entered as Second-Class Matter, at the Post Office, Jacksonville, Florida, Under the Act of March 3, 1879
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Diamond Jubilee
From five Southern states they came—to speak, to listen, and to plan. From the nation's capital, and the states along the Atlantic Seaboard to Florida came 500 representatives of B'nai B'rith to Jacksonville to meet in convention last week-end. They listened to the best the state had to offer, its governor, Spessard Holland, and the attorney general, J. Tom Watson. They listened to the best that B'nai B'rith had to offer: Dr. Abram L. Sachar, head of Hillel, Philip Katzman, national head of A. Z. A., Max Baer, director of Vocational Guidance, Edward Grusd, from the National Jewish Monthly, and the district and state leaders.
The speeches of the Governor and Attorney General might well have been the opening gun of the convention. In speaking of the esteem in which they held their Jewish countrymen they raised high as examples the type of Jewish citizen who is the pride of this country in peace and in war: Justice Frankfurter and Judge Brandeis, both of whom from our own state Dean Joseph Weil, of the University of Florida, and a German refugee student at the University who is serving as an example for American youth today. They lauded the Jewish people for their steadfast devotion to their ancient tradition, and expressed respect for that tradition which has helped mold the type of Jewish citizen who has contributed so much to the progress of the democratic ideal and to America.
If Governor Holland was the opening gun of the convention then Dr. Sachar was the big gun. His understanding and insight into the problem of Jewish existence and Jewish life is complete. With vision born of knowledge Dr. Sachar was able to bring before the convention the marriage of positive and negative aspects of the B'nai B'rith program.
To continue the development of the kind of citizen of which the Governor and Attorney General spoke and to assist the Jewish citizen to make his utmost contribution to his country in time of war and peace is the aim of B'nai B'rith, as expressed by Dr. Sachar and the other convention speakers.
That too many of our youths do not have a steadfast devotion to the Jewish tradition is understood by B'nai B'rith and its Hillel foundations of the college campuses throughout the country. Through Hillel B'nai B'rith is striving and succeeding in bringing them to an awareness of the dignity of Judaism. It has filled branches out into fraternal women and vocational guidance under the leadership of outstanding men who addressed the delegates and visitors and made them aware of the magnitude of the program. But if the national office had sent these men and no record of the work they had accomplished it would have been enough, for their sincerity and understanding, coupled with their integrity and inner nobility was sufficient to inspire any audience.
In order to permit the Jewish youth of today and tomorrow to find a more friendly world in which to live B'nai B'rith is fighting anti-Semitism through the Anti-Defamation League. Presented in that light as the guests were assisted through one phase of the B'nai B'rith program to the other a purely defensive measure becomes a constructive one.
The excellent work which is being done by B'nai B'rith in public relations work was evidenced by the attractive posters and displays which were exhibited throughout the convention rooms. No other Jewish organization has been able to come near the mark set by B'nai B'rith in public relations work both with the Jewish and non-Jewish public.
It is hoped that the delegates and the officers of the fifth district returned to their homes imbued with the inspiration to carry to greater heights the national program. Jacksonville thanks the district for the privilege of being host to it. Its inspiration was an injection we badly needed.
Heard In The Lobbies
BY DAVID DEUTSCH
PRESSURE
Pressure is being brought to bear on the granddaughter of Jacob Schiff to stop hammering away at the Senator Walsh case which her New York Post first uncovered... Those applying the pressure—the same kind who thought that Morgenthau should not be a member of either of the Treasury or Frankfurt's Supreme Court Justices—point out that Mrs. George Backer, publisher of the Post, is Jewish; and so is Judge Samuel Leibowitz, who was assailed by the isolationist Senators merely because he happened to conduct the hearings on the draft. They also argued that Senator Walsh visited his place, and so is Morris Ernst, attorney for the Post; and so is Leonard Lyons, columnist for the Post, who first wrote about Walsh; and so is Walter Winchell, who patted the Post on the back and got blasted in the Senate; and so is Harry Hopkins, the helper for the man who accused Walsh. Can't you see you're making anti-Semitism, they tell Mrs. Backer, who is an honest journalist, enterprising, unselfish and a decent American, she keeps challenging the Senate to conduct an open hearing to find out the truth. She went off to see Mrs. Backer refusing to knuckle under to a group of Jews who want to disenfranchise 4,500,000 Americans from expressing their convictions merely because they're Jews.
THE POST WAY
The statement Saturday evening, which I, without dropping the first two words, may not accept articles answering the Mayer article—but its first issue of the new year, which shows up by Richard Wormser, an article by Eric Kaufman, a story by Maurice Zolotow on Harry Franklin, "Singing Sam," a postscript to the "Farewell" Memorial Day poem by Robert D. Abrahams—not to mention a vigorous editorial denouncing isolationism. After all, it's better to give Jews jobs than to discuss what Jews don't get them.
IT COULD HAPPEN TO YOU
The New York Daily News, with a half-Jewish circulation, has a Washington correspondent, John O'Donnell, who was accused several years ago of an anti-Semitic slant by Edmund Taylor, former Chicago bureau chief, correspondent, and now attached to the Donovan Committee... In attacking the MacLeish Office of Facts, the FDR's O'Donnell attested to the fact that Leo C. Rosten is getting $8,000 from the OFF. O'Donnell ignores that Rosten turned down the pro-Jewish OFF in order to help the OFF... He also attacks Philip Henry Cohen, ex-director of New York radio activities for the Federal Office of Education as "anti-Semitic." Fuller story. And how Congressman Claire E. Hoffman of Michigan lapped up the stuff as he read it to Congress to shift attention from his own pre-and post-FDR Harlem record.
USEFUL
Among those who shed a tear when Graham McNamee died was Bill Stern, air and screen sports announcer... Stern remembers that the late dean of announcers was his first teacher on the big-time and taught him how to do a job... Ten years ago Bill hung around NBC until he found a home that it would be allowed twenty minutes on the air in an opening game between Navy and William and Mary... It was no surprise going to the line quarters McNamee watched until Navy went on the two-yard line, then punched Stern in front of the mike.
"It was a clinch," says... "Navy scored the touchdown, the crowd yelled and everything was great. Anybody would have sounded swell and Graham knew it..." But that's how Bill got started.
RELIGIOUS REMARKABLES
TALMUDIC RIDDLE:
*WHAT ANIMAL HAS ONE VOICE LIVING AND SEVEN VOICES DEAD?*
(ANSWER NEXT WEEK)
BLIND PEOPLE THROUGHOUT THE WORLD REACHING OUT FOR HELP
REPLICA OF BIBLE, 7'X 4' X 2'
USED BY KANSAS CITY, KANS., PASTOR IN LECTURE ON BIBLE:
Thumbs Up — Heads Up
This week a brighter light glows in the eyes of our local friends. Their chins are up a little more—their shoulders are straighter. They seem to walk differently. The inspiration and purpose of the B'nai B'rith convention and its work fills them with justifiable pride.
75 YEARS YOUNG
Over 6,000 B'nai B'rits through their delegates were represented at the 75th anniversary of District Lodge No. 5. This convention was dedicated to the members in Uncle Sam's armed forces.
The spirit of friendship and Goodwill pervaded the dynamic atmosphere of the convention. Delegates mingled together with noticeable friendliness and rare good humor.
AMERICA'S VICTORY EFFORT
Philip Klutznick, head of the AZA and Edward Grusd, editor of the National Jewish Monthly, opened our eyes to the tremendous opportunity that we in Jacksonville have in sharing actively with the National B'nai B'rith war effort. They told us of the many AZA members who are serving in the army and navy, even some of whom have made the supreme sacrifice. The blood of 17,000 members of our order was donated in love to blood banks.
MAX BAER'S CHART — VOCATIONAL GUIDANCE
This young man astonished us with the depth of his understanding and knowledge of the all-important economic conditions—how our people make their living. To his tireless research efforts many of our people owe a richer, a more successful place in the workaday business and professional world. Especially are we grateful to Max Baer's genius in such fluidly chaotic and complex times. We look for vocational guidance services to contribute to our boys and girls economic security and realization as time passes on.
ADL CO-OPERATES WITH GOVERNMENT
It was revealing to learn from William Boxerman how anti-Semitic tendencies always emanated from anti-American sources. And he told how much the Federal authorities appreciated the fine organized work of the ADL in exposing subversive aims.
Various speakers eloquently placed that the general welfare of American Jewry lay with each individual like you and me in conducting our public and personal affairs as if we represented Israel itself, the entirety of the Jewish group.
OLD GLORY AND THE TABLETS OF THE LAW
The spotlight played on the American Flag as it hung as a protecting canopy over the Tablets of the Ten Commandments during the initiation of the local Sidney Stern class. The union of the Flag representing America with the Tablets symbolized the highest ideals of civilized man, seems excessively symbolic of B'nai B'rith.
Philip Selber, Nat Shorstein, Abe Newman and Joe Mirrachi who conducted the impressive initiation ceremonies cannot be appreciated too greatly. The audience were entranced during this solemn and beautiful ceremony. And Sydney J. Stern spoke, for this class was in his honor. We couldn't help but respond with overflowing hearts to the soul stirring words that this noble gentleman uttered in appreciation and praise of the benevolent and humanitarian work of our beloved order.
LET THIS NOT PASS AWAY
History was being written during this memorable convention even as it was announced that the 1,000 planes of the United Nations were bombing Cologne.
Let us not rejoice vicariously in the sacrifice of Jewish warriors, in the eminence of our leaders or in the labor of our creative workers. Let us here in Jacksonville rather, bind ourselves resolutely and wholeheartedly to the supreme life struggle of our enlightened civilization. Let us join hands in Brotherhood here in Jacksonville that our history and future memories shall testify that you and I—all of us, have done our part. We were called and we answered.
Morris Ansbacher |
The MIDDLE EAST in Prophecy
The MIDDLE EAST in Prophecy
by Herbert W. Armstrong
This booklet is not to be sold. It is a free educational service in the public interest, published by the Worldwide Church of God.
© 1948, 1954, 1972 Worldwide Church of God
All Rights Reserved
Printed in U.S.A.
The astounding background to the crisis in the Middle East—and how it will be resolved!
The Middle East is seething with crisis after crisis. Few people realize the true significance of this turmoil. They seem to have no conception of the danger it threatens—eventual danger to the whole world.
It’s time we woke up to the facts! It’s time we knew what prophecy reveals. It’s time we knew the background—the vital factors that have led up to this world danger—the significance of this series of crises!
There is only one way to know the answer. The God who made the world—who makes and unmakes nations—he reveals the future before it happens so we can know and take warning!
The time has now come to reveal a most amazing prophecy!
Unveiling the Future!
What is the real significance of this seething unrest? To understand it, we must study a marvelous prophecy, never before understood—a prophecy that has been closed and sealed until now—a prophecy that foretold, 2,500 years ago, this very series of crises and the war that shall finally draw in all the nations of the world!
It is one of the most amazing prophecies in the Bible. It is most specific, describing historical events, up to the present, in more detail than any other prophecy. It is the longest prophecy in the Bible. It is found in Daniel, chapter 11. It describes the impending war!
The prelude is found in the 10th chapter of the book of Daniel. The prophecy came to Daniel in the third year of the reign of Cyrus, king of the Persian Empire (Dan. 10:1). A “man,” apparently the archangel Gabriel (Dan. 9:21), appears before Daniel, to make him understand what shall befall God’s people in these present “latter days” (10:14).
The “King of the North” and the “King of the South”
The first verse of the 11th chapter is a continuation from the last verse of the 10th chapter. The angel says to Daniel, “Behold, there shall stand up yet three kings in Persia; and the fourth shall be far richer than they all: and by his strength through his riches he shall stir up all against the realm of Grecia. And a mighty king shall stand up, that shall rule with great dominion, and do according to his will” (Dan. 11:2-3).
Actually there were 12 more kings in the Persian Empire, but only the first four following Cyrus were of importance for the purpose of this prophecy. They were Cambyses, pseudo-Smerdis, Darius and Xerxes. It was the last, or Xerxes, who was the richest of all and stirred up war with Greece.
Then King Philip of Macedonia planned a great war to conquer the Persian Empire, with an army made up mostly of Grecians. He died before the plans were completed. But his son, Alexander the Great, took over his plans, and invaded Persia. He met the Persian army at the Battle of Issus, 333 B.C. (Dan. 8:2, 5-6). Then he swept down into Egypt, and then to a final crushing defeat of the Persian Empire at the Battle of Arbella, 331 B.C., after which Alexander marched on a conquest clear to India, sweeping all before him.
Notice now verse 4 of the prophecy: “And when he shall stand up, his kingdom shall be broken, and shall be divided toward the four winds of heaven; and not to his posterity, nor according to his dominion which he ruled: for his kingdom shall be plucked up, even for others beside those.”
How marvelously—how accurately—that came to pass.
We quote from one of the authoritative English-language histories published in the last century, *A Manual of Ancient History* (Student Series) by Rawlinson: “Cut off unexpectedly in the vigor of early manhood [the 33rd year of his age, June, 323 B.C.], he [Alexander] left no inheritor, either of his power or of his projects” (p. 237). The Empire was left leaderless and in confusion, but out of this emerged, by the year 301 B.C., four divisions, just as prophesied, as a result of a division of the Empire into four divisions by Alexander’s generals. They were:
1. Ptolemy (Soter), ruling Egypt, part of Syria and Judea.
2. Seleucus (Nicator), ruling Syria, Babylonia and territory east to India.
3. Lysimachus, ruling Asia Minor.
4. Cassander, ruling Greece and Macedonia.
Thus was the prophecy of verse 4 fulfilled to the letter.
Now notice what follows. From here the prophecy foretells the activities only of two of these four divisions: Egypt, called “king of the south,” because it is south of Jerusalem; and the Syrian kingdom, the king of the north, just north of Judea. It is because the Holy Land passed back and forth between those two divisions, and because their different wars were principally over possession of Judea, that the prophecy is concerned with them. Here is verse 5:
“And the king of the south [Egypt] shall be strong, and one of his princes; and he shall be strong above him, and have dominion; his dominion shall be a great dominion.” In history, we learn that the original Ptolemy I, called Soter, became strong and powerful, developing Egypt beyond the greatest dreams of Alexander. One of his princes, or generals, Seleucus Nicator, also became strong and powerful. And, in 312 B.C., taking advantage of Ptolemy’s being tied up in a war, he established himself in Syria, and assumed the diadem as king.
Verse 6 says, “And in the end of years they shall join themselves together; for the king’s daughter of the south shall come to the king of the north to make an agreement [margin, “rights” or “equitable conditions,” or “marriage union”]: but she shall not retain the power of the arm; neither shall he
stand, nor his arm: but she shall be given up, and they that brought her, and he that begat her, and he that strengthened her in these times.”
**Fulfilled to the Letter!**
At the end of 50 years, this occurred exactly as described!
Syria’s ruler, the king of the north, at this time was Antiochus II, called Theos. His wife was named Laodice. And, says Rawlinson’s *Ancient History*, page 251, “Her influence . . . engaged him in a war with Ptolemy Philadelphus [king of the south], B.C. 260, which is terminated, B.C. 252, by a marriage between Antiochus and Bernice, Ptolemy’s daughter.”
The prophecy says “he that begat her” shall be given up. Also that she shall not retain the power of the arm, neither shall the king of the north, whom she married, stand. All three are to come to their end. Notice how accurately this came to pass.
Says Rawlinson’s *History*, pages 251 and 252: “On the death of Philadelphus [he that begat her], B.C. 247, Antiochus repudiated Bernice, and took back his former wife, Laodice, who, however, doubtful of his constancy, murdered him to secure the throne for her son Seleucus (II) B.C. 246 . . . Bernice . . . had been put to death by Laodice.”
Nowhere in all the Bible is there so literal a prophecy, giving so many details of future history. And to read an ancient history of these kingdoms is simply to see unfolded before your eyes, step by step, verse by verse, this marvelous prophecy. There can be no doubt of its right application!
**The Holy Land Changes Hands**
Next let us notice verse 7: “But out of a branch of her roots shall one stand up in his estate [margin, “in his office”], which shall come with an army, and shall enter into the fortress of the king of the north, and shall deal against them, and shall prevail.”
“Out of a branch,” or “shoot,” of her roots. Her parents were her roots. Hence, this must be her brother, who next should occupy the throne of king of the south and fulfill this
prophecy. Now listen to this accurate fulfillment, quoted word for word from the same page of Rawlinson’s work (p. 252):
“Ptolemy Euergetes [the III, eldest son of Philadelphus (p. 272) and therefore Bernice’s brother, a branch of her roots] invaded Syria, B.C. 245, to avenge the murder of his sister, Bernice.... In the war which followed, he carried everything before him.”
The eighth verse of Daniel 11 says this king of the south would carry captives and vessels of silver and gold into Egypt, and continue to reign more years than the king of the north, who at that time was Seleucus II, and verse 9 says he shall return into Egypt. As verse 7 said he should “enter into the fortress of the king of the north,” Ptolemy III did seize the fortress of Syria, Seleucia, the port of Antioch, capital of the kingdom! Then he carried back to Egypt immense booty and 2,500 molten images and idolatrous vessels which, in 526 B.C. Cambyses had carried away from Egypt. He continued to rule until 222 B.C., while the king of the north, Seleucus II, died in 226 B.C.
When he died, his two sons took over the kingdom of the north; first Seleucus III, 226-223 B.C., who ruled only three years, and then his brother Antiochus III, called “the Great,” 223-187 B.C. Both of these two sons of Seleucus II assembled immense forces to war against Egypt, avenge their father, and recover their port and fortress, Seleucia.
And this was accurately prophesied in verse 10: “But his sons shall be stirred up, and shall assemble a multitude of great forces: and one shall certainly come, and overflow, and pass through: then shall he return and be stirred up [margin, “be stirred up again”], even to his fortress.”
“And,” continues verse 11, “the king of the south shall be moved with choler, and shall come forth and fight with him, even with the king of the north: and he shall set forth a great multitude; but the multitude shall be given into his hand.”
In fulfillment of the latter part of verse 10, Antiochus the Great, after 27 years, recovered his fortress, Seleucia, and he also conquered the territory of Syria, as far as Gaza, including Judea. But the young Egyptian king, now Ptolemy IV (Philopater), was roused, and with an army of 20,000 inflicted
severe defeat on Antiochus the Great; and fulfilling verse 12, he killed tens of thousands and again annexed Judea to Egypt. But he was not strengthened, for he made a rash and speedy peace with Antiochus, and returned to dissipation, throwing away the fruits of victory. Says verse 12, “And when he hath taken away the multitude, his heart shall be lifted up; and he shall cast down many ten thousands: but he shall not be strengthened by it.”
“For,” as verse 13 continues, “the king of the north shall return, and shall set forth a multitude greater than the former, and shall certainly come after certain years with a great army and with much riches.” It was “after certain years,” or 12 years later, 205 B.C., that Ptolemy Philopator died, leaving his throne to an infant son, Ptolemy Epiphanes. Then Antiochus assembled a greater army, and won great victories.
He then made a treaty allying Philip of Macedonia with him, and others, against Egypt, and they wrested Phoenicia and southern Syria from the king of the south. In this they were assisted by some of the Jews. Josephus’ Jewish history says many Jews helped Antiochus. But notice how accurately Almighty God had foretold this, hundreds of years before it happened!—
“And in those times there shall many stand up against the king of the south: also the robbers of thy people shall exalt themselves to establish the vision; but they shall fall” (v. 14).
Read It in Your Own Bible!
To save space, the reader is asked from this point to read each verse of the prophecy from his own Bible, thus saving us reprinting the prophecy in full here. We give here only the facts in history.
Verses 15-16—“the glorious land,” of course, refers to Judea, the Holy Land. Antiochus the Great besieged and took Sidon from Egypt, ruined the interests of Egypt in Judea at the Battle of Mount Panium, 198 B.C., and then Antiochus took possession of Judea.
Verse 17—“upright ones” (see margin) in Hebrew means “equal conditions, or marriage,” but the one he marries will
not stand on his side. In 198 B.C., Antiochus arranged a marriage between his daughter, Cleopatra (not the Cleopatra of 31 B.C. in Egypt) and young Ptolemy Epiphanes, king of the south, by which he hoped subtly to gain complete possession of Egypt; but the plan failed.
Says Rawlinson, page 254, “Coele-Syria and Palestine promised as a dowry, but not delivered.” Cleopatra did not truly stand on the side of Antiochus, for it was only a trick to gain possession of Egypt.
Verse 18—and so Antiochus turned his attention in another direction and tried to conquer, 197 to 196 B.C., the islands and coasts of Asia Minor. But the Roman general, Lucius Cornelius Scipio Asiaticus, utterly defeated him at the Battle of Magnesia, 190 B.C.
Verse 19—Antiochus next turned his attention to the fortresses of his own land, in the east and west. But, attempting to recruit his dissipated wealth by the plunder of the Oriental Temple of Belus, in Elymais, he was killed, 187 B.C.
Verse 20—Seleucus IV Philopator (187-176), his son, in an effort to raise money, sent a tax collector, Heliodorus, through Judea. But he reigned only 11 years, when Heliodorus poisoned him.
Verse 21—he left no heir. But his brother, a younger son of Antiochus the Great, named Epiphanes (Antiochus IV), a contemptible reprobate, came by surprise and through flattery took the kingdom. To his aid came his assistant, Eumenes. Rawlinson says, page 255, “Antiochus [Epiphanes], assisted by Eumenes, drives out Heliodorus, and obtains the throne, B.C. 176. He astonishes his subjects by an affectation of Roman manners” and “good-natured profuseness [flattery].”
**Antiochus Epiphanes**
Verse 22—"the prince of the covenant" does not refer to Christ. This was the attempt of Antiochus to replace the Jewish high priest by another who would be subservient to him.
Verses 23-24—although only a few were with him at first, yet by this "Roman manner," by deceit and flattery, he crept
into power and prospered. He also invaded Galilee and Lower Egypt. His fathers, the former kings of Syria, had favored the Jews, but says Rawlinson, page 255, they “were driven to desperation by the mad project of this self-willed monarch.”
Verse 25—Rawlinson, pages 255-256, says, “Threatened with war by the ministers of Ptolemy Philometor [now king of the south], who claim Coele-Syria and Palestine as the dowry of Cleopatra, the late queen-mother, Antiochus marches against Egypt . . . B.C. 171” (pp. 277-278). But he was met by his nephew, Ptolemy Philometor, king of the south, with another immense army. But the Egyptian king was defeated through the treachery of his own officers and was outwitted by Antiochus.
Verses 26-27—continuing in Rawlinson, page 278: “After his victory at Pelusium, Antiochus advanced to Memphis, and having obtained possession of the young king’s person [Ptolemy Philometor, king of the south], endeavored to use him as a tool for effecting the entire reduction of the country.” In 174 B.C., the uncle of the king of the south sat at a banquet. Antiochus pretended to ally himself with the young Ptolemy, against his brother, Euergetes II, but each was trying to deceive the other.
The Abomination of Desolation
Verse 28—in 168 B.C., returning from Egypt with great plunder, Antiochus set himself against the Jews, massacred many, and then returned to Antioch with golden vessels from the Temple at Jerusalem.
Verse 29—the same year, he again invaded Egypt, but with none of his former success, because Philometor, king of the south, got help from Rome.
Verse 30—the Roman fleet came against Antiochus, he was forced to surrender to the terms of Popillius, commander of the Roman fleet, and retire from Egypt and restore Cyprus to Egypt. Returning through Judea, smarting under the defeat, he vented his exasperation against the Jews, and extended special favors to those Jews who would turn from their religion.
Verse 31—then, 167 B.C., the next year, came the climax of the horror. Antiochus sent troops to the Holy
Land, who desecrated the Temple and sanctuary, abolished the daily sacrifice (see also Daniel 8:11, 24) and (Kislev 15, Hebrew calendar) placed the abomination—an image—on the altar in the Temple precincts, making it desolate (Rawlinson, p. 255). Many who claim to teach the Bible try to apply the prophecy of this verse to Moslems in the 7th century A.D., building the Dome of the Rock on the supposed site of the ancient Temple at Jerusalem! But every verse of this prophecy, step by step, verse by verse, unfolded in actual history, just as here recounted, so there can be not the slightest shadow of doubt as to this abomination that “maketh desolate”—it was an idol set up in 167 B.C., by Antiochus Epiphanes.
The Prophecy Comes to Christ and the Apostles
Verse 32—Antiochus tried to end the religion of the Jews. He took away the daily sacrifice, forbade the ministration at the Temple. He perverted by flatteries the Jews who were willing to forsake their religion.
But—right here, the prophecy cuts off from the continuation of events in the history of those ancient north and south kingdoms. Up to this point, the prophecy was unfolded, step by step, in the actual history of the northern kingdom of the Seleucidae, or Syria, and the southern kingdom of Egypt. But, say most commentaries, all accurate details seem suddenly to stop short with this verse.
Now let us notice verse 32 in detail, and particularly the last part:
“And such as do wickedly against the covenant shall he corrupt by flatteries.” This, Antiochus Epiphanes did do. But now notice the last part of the verse: “but the people that do know their God shall be strong, and do exploits.”
So our question now is, when, beginning with, and following, 167 B.C., did people begin to know God, and to be spiritually strong, and to do exploits in the Lord’s service? The answer is, at the time of the Maccabees, beginning in 166 B.C., and, two centuries later, at the first appearing of Jesus Christ and in the days of the apostles!
Verse 33—“And they that understand among the people shall instruct many: yet they shall fall by the sword, and
by flame, by captivity, and by spoil, many days.”
Jesus and the apostles did instruct many. But Jesus was put to death, and history indicates that all the early apostles were martyred, except John. And this continued, many days, even into the Middle Ages, when millions were martyred for their faith.
Verse 34—“Now when they shall fall, they shall be holpen with a little help: but many shall cleave to them with flatteries. And [verse 35] some of them of understanding shall fall, to try them, and to purge, and to make them white, even to the time of the end: because it is yet for a time appointed.”
Here is described in general the whole course of God’s people, from the days of Christ to the present. Compare with such passages as Rev. 12:6, 11, 13-17. And notice the vision carries on down to this present time of the end.
Verse 36—The king of the north—who is he, now, in the early and middle New Testament times, to which our prophecy has come? In 65 B.C., Syria was swallowed up by the Roman Empire, and became a Roman province. The Roman emperor now controlled Judea, and therefore the king of the north, here referred to, is, at this time, the emperor of the Roman Empire. This verse says he should do according to his will, and he did—exalt himself, and magnify himself above every god, and he did; for the Roman emperors required all to worship them and sacrifice to them, as a god. He was as a god. He was to speak against the true God, and he did and persecuted all Christians.
Verse 37—his fathers had worshiped idols, but the Roman emperors set themselves up as gods.
Verse 38—the Roman emperors honored the god of forces, or (margin) munitions, and developed the greatest war-making power the world ever knew. “And a god whom his fathers knew not shall he honour with gold, and silver, and with precious stones, and pleasant things.” After setting themselves up as gods, before A.D. 476, the emperors who followed, beginning with Justinian, A.D. 554, began to honor with gold, silver and power a god in a high religious office never known to their fathers. (Compare this prophecy of Daniel with Revelation 17:4, 5, and 18:3, 16.)
Verse 39—the emperors did acknowledge the supremacy of religion, increased it with material glory and caused it to rule over many.
**Prophecy Skips to Present**
Now we come to the very present century.
Verse 40—"And at the time of the end shall the king of the south push at him. . . ." Who is today the "king of the south"?
It cannot be the king of Egypt, for in 31 B.C. Egypt became a province of the Roman Empire, swallowed up by the king of the north. Today Egypt is a republic ruled by native Arabs. It has no king of its own.
But, in the reign of Ptolemy III Euergetes (verse 7), 247-222 B.C., Egypt annexed part of Ethiopia, immediately south of Egypt (Rawlinson, pp. 272, 273). Since that time, the 11th edition of the *Encyclopaedia Britannica* says (article "Ethiopia") Egypt and Ethiopia were two or three times under the same government. Thus, the two were as one land. And the only portion of that land of the "king of the south" that remained independent until the 20th century is Ethiopia!
**Ethiopia, the King of the South**
Ethiopia was the only country in all East Africa that continued independent, and had a government and kingdom dating back before the Roman Empire. It was the southern part of the kingdom of the south. So it is the only possible government that could be the king of the south.
At the time of the end—our time—this king of the south was to push at the king of the north, now at Rome!
In 1895 King Menelik, of Ethiopia, sent an army of 9,000 to 10,000 men against General Baratieri's Italian army.
North of Ethiopia was Eritrea, belonging to Italy. And southeast was Italian Somaliland.
In 1896 General Baratieri with 13,000 men tried to defend Eritrea against the Ethiopians. They lost 4,600 whites and 3,000 native troops, and more than 3,500 were taken prisoner.
In a later engagement the Italians were cut to pieces
because of their inexperience in fighting in mountainous country and because they were greatly outnumbered. This defeat was disastrous to Italian expansion in Africa.
Ever since, Italy demanded revenge! In 1927 Mussolini set the time, at just 40 years from that defeat, or 1935, when he would be ready “finally to make our voice heard, and see our rights recognized!”
1935 came. The hour struck! Mussolini attacked! Now notice verse 40: “...and the king of the north shall come against him like a whirlwind, with chariots, and with horsemen, and with many ships; and he shall enter into the countries, and shall overflow and pass over.”
A whirlwind comes in the air, sweeping all before it. Mussolini did send a great air force into Africa! Also many modern “chariots”—trucks, tanks, etc.—and ships, loaded with soldiers. More than 100,000 sailed to Ethiopia.
And, notice it, Mussolini’s forces were to pass over—in the air! It is at this precise point in this astounding prophecy that Mussolini’s struggle in Ethiopia and in World War II ended. Mussolini did not finish the prophecy. There is yet another leader to arise in Europe! Notice what will next happen!
Verse 41—“He shall enter also into the glorious land . . .”—the Holy Land. This is yet to be fulfilled.
When the coming revival of the Roman Empire takes the Holy Land, then the nations will be plunged into the initial phase of the great, last and final crisis at the close of this age! Other prophecies reveal that this revival of the Roman Empire will bring into subjection the U.S. and Britain! (Request our free book *The United States and Britain in Prophecy.*)
“And,” continues verse 41, “many countries shall be overthrown: but these shall escape out of his hand, even Edom, and Moab, and the chief of the children of Ammon”—the modern land of the Hashemite Kingdom of Jordan. The coming dictator will unite many others with him—10 in all (Rev. 17:12)—reviving the ancient Roman Empire.
Verse 42 says Egypt shall not escape, proving Egypt is not now the “king of the south.”
Verse 43 says the Libyans and Ethiopians (observe that
after its conquest by Mussolini, Ethiopia is not again referred to as the king of the south) shall be at his steps—and he will then control them. Italy lost control of Libya and Ethiopia after the war.
Verse 44—but news out of the east and out of the north—Russia and the Orient—shall trouble the revived Roman Empire. Russia will enter the war!
Verse 45—the coming Roman Empire shall establish its palace, as capital of the revived Roman Empire, and eventually its religious headquarters, at Jerusalem! Zechariah 14:2 says the city shall be taken! “Yet he shall come to his end, and none shall help him”! This language signifies the end of the “beast” and the “false prophet” at the hand of God! You will find this end described in Revelation 19:19-20 and Zechariah 14:12.
And now what is the time of this end, at the close of this marvelous prophecy? The next verse, Daniel 12:1, says at the time of the resurrection of the just—at the Second Coming of Jesus Christ!
This prophecy begins with the kingdoms of Syria and Egypt, soon after the death of Alexander the Great—2,300 years ago. But it ends at the time of the resurrection and the Second Coming of Christ to bring peace at last to the region—and to the entire world! It is so plain, there can be no doubt of its right application!
Are you ready for that event? It is fast approaching. Now is the time to get ready, for Jesus said, “Be ye also ready”!
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Development of rosuvastatin flexible lipid-based nanoparticles: promising nanocarriers for improving intestinal cells cytotoxicity
Tarek A. Ahmed1,2*
Abstract
Background: Rosuvastatin (RSV) is a poorly water-soluble drug that has an absolute oral bioavailability of only 20%. The aim of this work was to prepare a positively charged chitosan coated flexible lipid-based vesicles (chitosomes) and compare their characteristics to the corresponding negatively charged flexible liposomal nanoparticles (NPs) in order to develop new RSV nanocarrier systems.
Methods: Three formulation factors affecting the development of chitosomes nano-formulation were optimized for their effects on the particles size, entrapment efficiency (EE) and zeta potential. The optimized flexible chitosomes and their corresponding liposomal NPs were characterized for morphology, in vitro release, flexibility and intestinal cell viability. The half maximum inhibitory concentrations (IC50) for both formulations were calculated.
Results: The drug to lipid molar ratio, edge activator percent and the chitosan concentration were significantly affecting the characteristics of NPs. The optimized chitosomes nano-formulation exhibited larger size, higher EE and greater zeta potential value when compared to the corresponding liposomal NPs. Both formulations showed a spherical shape nanostructure with a marked outer shell for the chitosomes nano-formulation. Chitosomes illustrated an extended drug release profile when compared with the corresponding liposomal NPs and the prepared drug suspension. Flexibility of both vesicles was confirmed with superiority of liposomal NPs over chitosomes. RSV loaded chitosomes nano-formulation exhibited lower IC50 values and higher therapeutic window while liposomal NPs were compatible with the intestinal cells.
Conclusions: RSV loaded chitosomes nano-formulation could be considered as a promising nanocarrier system with a marked cytotoxic activity while, RSV loaded liposomal NPs are suitable nanocarrier to improve RSV activity in treatment of cardiovascular disorders.
Keywords: Rosuvastatin, Optimization, Chitosomes, Liposomes, cell viability, Cytotoxicity
Background
Rosuvastatin (RSV), a member of statins, is used to prevent cardiovascular disorders by decreasing the low-density lipoprotein (LDL) cholesterol. It is the most effective hypolipidemic agent of the statins group and has been assigned the name super-statin [4, 6]. Similar to other statins, the mechanism of action of RSV is attributed to competitive inhibition of the enzyme 3-hydroxy-3-methyl-glutaryl-CoA (HMG-CoA) reductase [30]. RSV has a low water solubility and exhibits a limited solubility in the gastrointestinal fluids [11]. The drug is subjected to extensive first pass metabolism after oral administration. Accordingly, the oral bioavailability of RSV is approximately 20%. The maximum RSV plasma concentration is reached in about 3 to 5 h. The drug is 88% bound to plasma protein mainly to serum albumin. It is probable that about 25% of the orally administered...
dose is absorbed [27, 45]. RSV is mainly metabolized by the liver CYP2C9. It is 90% excreted in feces and the drug elimination half-life is nearly 19 h.
Different pharmaceutical formulation strategies have been used to enhance the bioavailability of drugs that are suffering from poor aqueous solubility. These include size reduction, the use of cosolvents and surfactants, solid dispersion and inclusion complexation techniques, salt formation and prodrug approaches. Moreover, formation of colloidal drug delivery systems such as solid lipid nanoparticles (NPs), polymeric based NPs, lipid based NPs, microemulsion formation and self-microemulsifying drug delivery systems has been reported [26, 31]. Flexible liposomes have been assigned the name “Transfersonomes” and these NPs constitute a class of the lipid based NPs which consist of phospholipid(s) and a single chain surfactant [12]. The presence of surfactant (edge activator) promotes flexibility of these NPs by reducing the rigidity of the phospholipid bilayer and so render these nanocarriers ultra-deformable vesicles [1]. Due to their successful delivery of a wide variety of pharmacologically active agents, these ultra-deformable NPs have attracted too much research interest [1, 9, 12, 13, 18, 20, 22, 25, 39].
Chitosan is a linear polysaccharide polymer that is obtained from chitin shells of shrimp and other crustaceans after treatment with an alkaline substance such as sodium hydroxide. It is consists of a randomly distributed β-(1→4)-linked D-glucosamine unit and N-acetyl-D-glucosamine unit. The former unit is the deacetylated part while the latter is the acetylated portion in the chitosan structure. It is the only naturally occurring alkaline polysaccharide polymer with good biocompatibility and biodegradability [43]. Different chitosan based NPs have been developed and reported to be an effective drug delivery systems due to their efficient drug encapsulation, protection against enzymatic degradation, enhanced drug permeation and controlled release action [2]. Moreover, NPs coated with chitosan have been reported in the literature to enhance stability and drug loading, controlling the drug release and maximizing the efficacy. Chitosan-coated poly (lactic-co-glycolic acid) NPs, magnetic NPs coated with chitosan, chitosan-coated cobalt ferrite NPs, chitosan-coated solid lipid NPs and chitosan-coated liposomes are common examples [5, 8, 14, 17, 21, 24, 42].
In this study, a promising RSV flexible lipid-based nanocarriers, liposomal NPs and chitosomes nanoformulation, were successfully prepared and characterized for vesicles size, zeta potential, entrapment efficiency, morphology, flexibility, in vitro drug release, cell viability and cytotoxicity. The half maximum inhibitory (IC50) concentrations for both nanocarrier systems were calculated to investigate their therapeutic window. The stability, pharmacokinetic and pharmacodynamic activity of these drug loaded flexible lipid-based NPs will be investigated, in our upcoming work, after loading into the suitable drug delivery system.
**Materials and methods**
Rosuvastatin (RSV) was obtained as a gift from the Saudi Arabian Japanese Pharmaceuticals Co. Ltd. (SAJA) (Jeddah, KSA). Dicetyl phosphate (DCP) and methanol were purchased from Fisher Scientific (Pittsburgh, PA, USA). Tween 80, low molecular weight chitosan and glacial acetic acid were procured from Sigma-Aldrich (St. Louis, MI, USA). L-α phosphatidylcholine (95%) (soy), molecular weight = 775.037 (average based on fatty acid distribution in product) was purchased from Avanti polar lipids, INC. (Alabaster, Alabama, USA). All other materials used were of analytical grade.
**Box-Behnken experimental design**
StatGraphics Centurion XV version 15.2.05 software, StatPoint Technologies, Inc., (Warrenton, VA, USA) was employed to study the effect of three independent factors affecting the development of RSV chitosan-coated flexible lipid-based nanocarrier (chitosomes nanoformulation). The drug to phospholipid molar ratio ($X_1$), the surfactant (edge activator) concentration ($X_2$) and the chitosan coating solution concentration ($X_3$) were studied for their effect on vesicle size ($Y_1$), entrapment efficiency ($Y_2$) and zeta potential ($Y_3$). Fifteen formulations were proposed, and their composition is illustrated in Table 1. The studied independent factors namely; $X_1$, $X_2$ and $X_3$ were used at 1:1–1:4 drug to phospholipid molar ratios, 0.01–0.04% (w/v) based on the total formulation volume and 0.2–0.6% (w/v), respectively. The goal was to minimize $Y_1$ and maximize both $Y_2$ and $Y_3$.
**Preparation of RSV flexible-lipid based NPs**
Lipid film hydration technique was used to prepare the NPs formulations according to the method previously reported in our previously published work but with little modifications [1]. Briefly, 100 mg of RSV and the calculated amount of phospholipid, edge activator (tween 80) and DCP (15% w/w of the total lipid) were dispersed in 100 mL methanol in a Buchi rotavapor evaporating flask. The mixture was subjected to sonication using Ultrawave Ltd., CF3 2EY water bath sonicator (Cardif, UK) until homogenous dispersion was obtained. The organic solvent, methanol, was evaporated at a temperature of 50 °C under reduced pressure and continuous rotation using Buchi Rotavapor R-200, Buchi labortechnik AG, CH-9230 (Flawi, Switzerland). The obtained lipid film deposited inside the flask wall was kept for 24 h in a vacuum oven of Thermo Fisher Scientific, model 6505 (Oakwood Village, OH, USA) to ensure complete
Table 1 Composition of rosuvastatin chitosomes nanoparticles formulations and the obtained values for the studied responses
| Run | $X_1$ (MR) | $X_2$ (%) | $X_3$ (%) | Size (nm) | PDI | $Y_1$ (%) | $Y_2$ (%) | $Y_3$ (mV) |
|-----|------------|-----------|-----------|-----------|-----|-----------|-----------|-----------|
| 1 | 1.0 | 0.01 | 0.4 | 239.48 ± 5.33 | 0.344 ± 0.065 | 90.88 ± 1.65 | 12.66 ± 1.58 |
| 2 | 4.0 | 0.04 | 0.4 | 225.27 ± 6.59 | 0.425 ± 0.095 | 86.94 ± 4.94 | 18.10 ± 3.38 |
| 3 | 2.5 | 0.04 | 0.2 | 112.19 ± 2.90 | 0.288 ± 0.009 | 85.14 ± 5.04 | −1.83 ± 0.55 |
| 4 | 2.5 | 0.01 | 0.6 | 554.33 ± 11.06 | 0.573 ± 0.045 | 94.59 ± 1.62 | 26.74 ± 0.26 |
| 5 | 2.5 | 0.04 | 0.6 | 507.40 ± 18.14 | 0.581 ± 0.051 | 91.97 ± 4.89 | 26.07 ± 1.90 |
| 6 | 4.0 | 0.01 | 0.4 | 295.40 ± 5.11 | 0.258 ± 0.023 | 88.75 ± 3.99 | 10.70 ± 0.16 |
| 7 | 4.0 | 0.025 | 0.6 | 547.33 ± 20.09 | 0.511 ± 0.024 | 92.79 ± 1.76 | 28.87 ± 1.39 |
| 8 | 2.5 | 0.01 | 0.2 | 163.13 ± 3.29 | 0.391 ± 0.053 | 87.94 ± 2.04 | −8.14 ± 0.51 |
| 9 | 1.0 | 0.025 | 0.6 | 535.33 ± 43.12 | 0.543 ± 0.053 | 93.22 ± 1.24 | 27.23 ± 0.31 |
| 10 | 1.0 | 0.025 | 0.2 | 132.77 ± 4.46 | 0.439 ± 0.061 | 87.61 ± 2.07 | −10.07 ± 1.26 |
| 11 | 1.0 | 0.04 | 0.4 | 219.53 ± 6.36 | 0.354 ± 0.071 | 90.63 ± 2.15 | 13.15 ± 0.75 |
| 12 | 4.0 | 0.025 | 0.2 | 132.97 ± 2.11 | 0.318 ± 0.022 | 84.78 ± 3.09 | −6.92 ± 0.16 |
| 13 | 2.5 | 0.025 | 0.4 | 255.83 ± 8.37 | 0.394 ± 0.128 | 85.44 ± 2.21 | 11.26 ± 2.04 |
| 14 | 2.5 | 0.025 | 0.4 | 252.30 ± 3.84 | 0.318 ± 0.088 | 86.38 ± 3.03 | 11.83 ± 2.67 |
| 15 | 2.5 | 0.025 | 0.4 | 259.77 ± 3.69 | 0.382 ± 0.043 | 85.15 ± 4.07 | 14.87 ± 1.89 |
Abbreviations: $Y_1$: Drug to phospholipid, $X_2$: Surfactant concentration, $X_3$: Coating solution concentration, $Y_1$: Particle size (nm), $Y_2$: Entrapment efficiency (%), $Y_3$: Zeta potential (mV), MR Molar ratio, PDI Poly dispersity index
evaporation of methanol. The hydration medium, 50 mL of phosphate buffer pH 7, was added to the flask that was kept shaking in the rotavapor for 30 min at 50 °C. The obtained flexible liposomal dispersion was subjected to probe sonication using Sonics Vibra cell, VCX 750; Sonics & Materials, Inc. (Newtown, CT, USA) for 10 min at an amplitude of 60%.
For the coating step, three chitosan solutions (0.4, 0.8 and 1.2% w/v) were prepared by dissolving the calculated amount of chitosan in 0.5% v/v acetic acid solution. According to the formulation composition, 50 mL of the specified chitosan solution was added dropwise to an equal volume of the prepared flexible liposomal dispersion over a magnetic stirrer at 1200 rpm for 2 h at room temperature. The prepared chitosan-coated flexible liposomal NPs (chitosomes nano-formulation) of 0.2, 0.4 or 0.6% w/v chitosan were left over night in the refrigerator for complete curing of the NPs.
A specified volume of the obtained flexible liposomal NPs was separated and characterized, as will described in the following section, to compare their features with the corresponding chitosomes nano-formulation.
Characterization of the flexible lipid-based nanoparticles
Particle size distribution and zeta potential
The particle size, polydispersity index (PDI) and zeta potential for the prepared fifteen NPs formulations were determined ($n = 3$) using Malvern Zetasizer Nano ZSP, Malvern Panalytical Ltd. (Malvern, United Kingdom). Dynamic light scattering with non-invasive backscatter optics was the technique utilized in the measurement.
Entrapment efficiency (EE)
The obtained RSV loaded flexible lipid-based nanocarriers (liposomal NPs and chitosomes nano-formulation) were centrifuged at 20000 rpm for 1 h at 4 °C using 3 K30 Sigma Laboratory centrifuge (Ostrode, Germany) to separate the free unentrapped drug. The supernatant was filtered through 0.2 μm Millipore filter and the drug concentration was estimated spectrophotometrically at 242 nm using 6705 UV/Vis spectrophotometer, Jenway (Stone, UK). The EE (%) for each formulation was calculated indirectly using the following equation.
$$EE\ (\%) = \frac{\text{Total amount of drug used} - \text{Calculated amount of free drug}}{\text{Total amount of drug used}} \times 100$$
Accuracy of the spectrophotometric method and its freedom from any possible interference by the formulation components were verified. Recovery testing for RSV concentration in different drug solutions containing the studied excipients was verified.
Box-Behnken experimental design statistical analysis
Data obtained for particle size, EE and zeta potential for the prepared flexible chitosomes nano-formulation were statistically analyzed to identify the main, interaction and quadratic effects significantly affecting each response. The effect was considered significant at $p$-value less than 0.05. An optimized formulation that achieve the study goal was proposed.
Preparation and characterization of the optimized formulation
The proposed optimized NPs formulation was prepared and characterized for size, PDI, EE and zeta potential as described above. The observed values were compared to the predicted ones and the residual was calculated.
Morphological study
Few drops of the optimized flexible-chitosomes nano-formulation was mounted on a carbon coated grid and left for 5 min to allow better adsorption of the NPs on the carbon film. Excess liquid was removed by a filter paper. Few drops of 1% phosphotungstic acid was added and the sample was examined under the transmission electron microscopy (TEM), Model JEM-1230, JOEL (Tokyo, Japan). Morphology of the corresponding liposomal NPs formulation was also studied and compared to the chitosomes nano-formulation.
Fourier transforms infrared (FT-IR)
The FT-IR spectra of pure RSV, phospholipid and chitosan samples were studied using a Nicolet iS10 of Thermo Scientific, Inc., (Waltham, MA). The spectra of the prepared liposomal NPs and chitosomes nano-formulation were also investigated to identify any possible changes in the drug physicochemical characteristics following development of the flexible lipid-based NPs formulations. The FT-IR spectra of all the studied samples were recorded in the range of 4000–400 Cm$^{-1}$.
In vitro release study
The in vitro release of RSV from the prepared liposomal NPs, chitosomes nano-formulation and pure drug suspension was studied as previously reported [5]. A quantity of each preparation containing 9 mg of drug was placed in a firmly sealed dialysis bag (Sigma-Aldrich Inc.) of a molecular weight cut-off 14 kDa. The dialysis bag was immersed in a glass bottle containing 400 mL of pH 7.4. The bottles were kept in a shaking water bath (Model 1031; GFL Corporation, Burgwedel, Germany) at 37 °C and 100 rpm. The parameters of the in vitro release study were selected to achieve the sink condition. Aliquots of 2 mL were taken from the receptor compartment at predetermined time intervals with immediate replacement. The quantity of RSV in the withdrawn samples was determined spectrophotometrically at 242 nm. The experiment was done in triplicate for each formulation and mean values were calculated.
Nanoparticles flexibility
To evaluate the flexibility of the prepared NPs, the extrusion method was used [3]. Concisely, the optimized chitosomes nano-formulation and the corresponding liposomal NPs were separately extruded through 0.1 mm pore size membrane filter under reduced pressure. The size of both NPs was measured before and after the extrusion process. The flexibility was estimated as the percent change in the NPs size according to the following equation:
$$\text{Flexibility} = \frac{\text{Size of the NPs before extrusion} - \text{Size of the NPs after extrusion}}{\text{Size of the NPs before extrusion}} \times 100$$
Cell viability and cytotoxicity assay
This test aimed to determine the effect of the prepared RSV lipid-based NPs formulations on the intestinal cell viability and cytotoxicity. The potential effects of both formulations on the human colorectal (HCT-116) cells were assessed by 3-(4,5-dimethylthiazol-2-yl)2,5-diphenyl tetrazolium bromide (MTT) assay. Cells were seeded on 96-well plates ($1 \times 10^4$ cells/well) and incubated at 37 °C under a humidified atmosphere of 5% CO$_2$ for 24 h. The cell medium was then changed to serum free medium (SFM) alone or SFM containing RVS loaded liposomal NPs and chitosomes nano-formulation in different drug concentrations (1.95, 3.91, 7.81, 15.63, 31.21, 62.5, 125 and 250 μM) and incubated for 72 h at 37 °C. Each formulation was compared with a drug-free carrier as a negative control. After incubation, SFM in the control and test wells were replaced by 100 μL/well of MTT solution (0.5 mg/ml) in PBS and incubated at 37 °C for another 3 h. The MTT solution was removed and the purple formazan crystals formed at the bottom of the wells were dissolved using 100 μL DMSO/well with shaking for 2 h at room temperature. The intensity of the color obtained was measured at 549 nm using a microplate reader (ELX 800; Bio-Tek Instruments, Winoski, VT, USA). Data, expressed as the percentages of viable cells, were compared to the survival of a control group. Values of the half maximal inhibitory concentration (IC$_{50}$) were also estimated. Cells treated with DMSO only were defined as 100%.
Results
A great number of pharmacologically active compounds do not reach the commercialization step simply because of their limited oral bioavailability that is attributed to inadequate dissolution rate. A substantial problem that is currently confronting the pharmaceutical industry for drugs of limited aqueous solubility is mainly attributed to their limited dissolution rate [7]. Also, during the first-pass metabolism phenomenon, the fraction of drug administered is lost during the absorption process due to the liver and/or gut wall metabolism. Accordingly, the drug concentration is greatly reduced before reaching the systemic circulation [35].
Chitosan-based NPs have been successfully developed and reported to have wide applications especially in oral
drug delivery [15, 19, 28, 41]. The reported benefits include: enhancing transport of active pharmaceutical ingredients across the intestinal epithelial cell layer, protection of insulin against degradation in the gastrointestinal fluid, enhancement of bioavailability and improvement of aqueous drug solubility. In this study, flexible liposomal NPs and their corresponding chitosomes nano-formulation loaded with RSV were prepared to develop new nanocarrier systems suitable to investigate their role in intestinal cells cytotoxicity and improving RSV bioavailability.
**Characterization of the flexible lipid-based NPs formulations**
Flexible liposomal NPs were prepared using the lipid film hydration technique utilizing L-α phosphatidylcholine, dicetyl phosphate and tween 80 as the main component of the liposomes membrane, negative charge inducing agent and edge activator, respectively. These flexible liposomal NPs were subsequently coated with chitosan to produce chitosan-coated flexible liposomes that have been assigned the name chitosomes nano-formulation. Both NPs formulations have been characterized for size, PDI, EE and zeta potential. Results for these parameters are illustrated in Table 1. The diameter size of the obtained chitosomes nano-formulation was in the range of $112.19 \pm 2.90–554.33 \pm 11.06$ nm, the PDI was between $0.258 \pm 0.023–0.581 \pm 0.051$, the EE was ranged between $84.78 \pm 3.09–94.59 \pm 1.62\%$ and the obtained zeta potential value, which indicates surface charge of the particles, was in the range of $(-10.07 \pm 1.26)–(+28.87 \pm 1.39)$ mV. Characterization of the corresponding flexible liposomal NPs revealed a vesicle size between $96.73 \pm 2.45–282.33 \pm 10.22$ nm, PDI values in the range $0.3213 \pm 0.0290–0.5423 \pm 0.0236$, an EE between $71.44 \pm 2.48–79.57 \pm 1.27\%$ and negative zeta potential values of $(-8.84 \pm 0.66)–(-12.73 \pm 0.81)$.
**Experimental design statistical analysis results**
Statistical analysis for the effect of the independent factors ($X_1$, $X_2$ and $X_3$) on the dependant responses ($Y_1$, $Y_2$ and $Y_3$) was accomplished by multiple regression analysis and two-way analysis of variance (ANOVA) using the StatGraphics software. Regression analysis is a statistical processes that estimate and analyze the relationships between a **dependent variable** and one or more of the **independent variables**. The two-way ANOVA aims to assess the main, interaction and quadratic effect of the independent variable on one **dependent response**. Accordingly, estimated effect of factors, F-ratios, and associated $P$-values were calculated and the obtained data are presented in Table 2. The sign of the estimated effect is an indication of a synergistic (positive sign) or antagonistic (negative sign) effect of this factor on the studied response. F-ratio is used to compare between the observed and expected averages. An F-ratio greater than 1 specifies a location effect and hence the $P$-value is used to report the significant level. If the obtained results for the $P$-value, for an independent factor, differs from zero and is less than 0.05, this factor is significantly affecting the studied response.
**Table 2** Estimated effects of factors, F-ratios, and associated $P$-values for the studied responses $Y_1$-$Y_3$
| Factor | $Y_1$ | $Y_2$ | $Y_3$ |
|--------|-------|-------|-------|
| | Estimated effect | F-ratio | $P$-Value | Estimated effect | F-ratio | $P$-Value | Estimated effect | F-ratio | $P$-Value |
| $X_1$ | 21.415 | 6.68 | 0.0492$^a$ | $-1.67$ | 6.08 | 0.0569 | 1.568 | 0.75 | 0.4262 |
| $X_2$ | $-45.985$ | 30.80 | 0.0026$^b$ | $-1.825$ | 7.26 | 0.0431$^b$ | 1.638 | 0.82 | 0.4073 |
| $X_3$ | 714.315 | 2252.15 | 0.00001$^a$ | 14.160 | 132.45 | 0.0001$^a$ | 35.187 | 114.48 | 0.0001$^a$ |
| $X_1X_2$ | $-8.209$ | 0.68 | 0.4472 | 3.333 | 16.76 | 0.0094$^a$ | 0.067 | 0.00 | 0.9767 |
| $X_1X_2$ | $-25.09$ | 6.88 | 0.0470$^a$ | $-0.78$ | 0.99 | 0.3645 | 3.455 | 2.73 | 0.1593 |
| $X_1X_3$ | 7.375 | 0.38 | 0.5644 | 1.5 | 2.35 | 0.1856 | $-0.944$ | 0.13 | 0.7328 |
| $X_2X_3$ | $-13.884$ | 1.94 | 0.2220 | 3.953 | 23.58 | 0.0047$^a$ | 1.932 | 0.79 | 0.4154 |
| $X_3X_3$ | 2.506 | 0.04 | 0.8423 | 0.113 | 0.01 | 0.9129 | $-4.363$ | 2.79 | 0.1559 |
| $X_1X_2X_3$ | 266.368 | 293.08 | 0.00001$^a$ | 7.115 | 31.27 | 0.0025$^a$ | $-0.902$ | 7.15 | 0.0442$^a$ |
| $R^2$ (%) | 99.87 | | | 97.99 | | | 99.09 | | |
| Adj.$R^2$ (%) | 99.64 | | | 94.38 | | | 97.47 | | |
| SE of Est. | 9.57 | | | 0.782 | | | 2.091 | | |
| Mean AE | 4.82 | | | 0.406 | | | 1.058 | | |
**Abbreviations:** $X_1$: Drug to phospholipid, $X_2$: Surfactant concentration, $X_3$: Coating solution concentration, $Y_1$: Particle size (nm), $Y_2$: Entrapment efficiency (%), $Y_3$: Zeta potential (mV), $X_1X_2$, $X_1X_3$ and $X_2X_3$ are the interaction effects of the studied factors, $X_1X_1$, $X_2X_2$ and $X_3X_3$ are the quadratic effects of factors, SE Standard error, AE Absolute error
**Note:** * indicates significant effect of this factor on the studied response
Effect of the drug to phospholipid molar ratio (X₁) on the studied responses (Y₁-Y₃)
Results of the statistical analysis illustrated in Table 2, indicated that the drug to phospholipid molar ratio (X₁) was significantly affecting the particle size (Y₁₁) at P-values of 0.0492. The pareto chart, displayed in Fig. 1, also confirmed this finding. A reference line is displayed in this chart. Any bar that extends after this line confirms the significant effect of this factor on the studied response. As indicated from the sign of the estimated effect and the pareto chart, X₁ exhibited an agonistic effect on Y₁.
Effect of the surfactant concentration (X₂) on the studied responses (Y₁-Y₃)
The surfactant concentration (X₂) was significantly affecting the particle size (Y₁₁) and the EE (Y₂) at P-values of 0.0026 and 0.0431, respectively as indicated by the pareto (Fig. 1) and the values of the estimated factors effects. X₂ was antagonistically affecting Y₁ and Y₂. Hence, increasing the surfactant concentration decreased the particle size and the EE of the prepared NPs.
Effect of the chitosan solution concentration (X₃) on the studied responses (Y₁-Y₃)
It was noticed that the concentration of the chitosan solution (X₃) was significantly affecting all the studied response (Y₁-Y₃). This factor illustrated a synergistic, positive, effect on Y₁, Y₂ and Y₃. Bars in the pareto chart, Fig. 1, confirmed this finding.
It was noticed from the ANOVA that the interaction effect of X₂X₃ significantly affected all the studied variables. X₁X₁₁ and X₂X₂₂ were significantly affecting Y₂, while X₁X₂ was affecting Y₁.
The mathematical model for the studied responses was generated and the polynomial equations that best fit the models are:
\[ Y_1 = 167.497 + 25.282X_1 + 1236.66X_2 \]
\[ - 735.615X_3 - 1.82426X_1^2 - 557.556X_1X_2 \]
\[ + 9.83333X_1X_3 - 30853.7X_2^2 + 334.167X_2X_3 \]
\[ + 2130.95X_3^2. \]
\[ Y_2 = 102.625 - 4.82704X_1 - 464.259X_2 - 33.9708X_3 \]
\[ + 0.740741X_1^2 - 17.3333X_1X_2 + 2.0X_1X_3 \]
\[ + 8785.19X_2^2 + 15.0X_2X_3 + 56.9167X_3^2. \]
Table 3 The optimum levels and values, and desirability levels and values for the studied factors and responses
| Factors | Low | High | Optimum level for each response | Optimum desirability level |
|---------|-------|-------|---------------------------------|----------------------------|
| | | | $Y_1 = 99.12$ nm | $Y_2 = 95.99\%$ | $Y_3 = 28.85$ mV | |
| $X_1$ (MR) | 1.0 | 4.0 | 1.0 | 1.0 | 1.0 | 1.0 |
| $X_2$ (%) | 0.01 | 0.04 | 0.04 | 0.01 | 0.01 | 0.01 |
| $X_3$ (%) | 0.2 | 0.6 | 0.2 | 0.6 | 0.59 | 0.47 |
Responses Goal
Optimum desirability
| Predicted values | Observed values | Residual |
|------------------|-----------------|----------|
| $Y_1$ (nm) | Minimize | 331.09 | 342.33 | 11.24 |
| $Y_2$ (%) | Maximize | 92.31 | 94.01 | 1.7 |
| $Y_3$ (mV) | Maximize | 19.39 | 21.22 | 1.83 |
Abbreviations: $X_1$: Drug to phospholipid, $X_2$: Surfactant concentration, $X_3$: Coating solution concentration, $Y_1$: Particle size, $Y_2$: Entrapment efficiency, $Y_3$: Zeta potential, MR: Molar ratio
$$Y_3 = -36.8913 - 0.841852 \ X_1 - 61.1574 \ X_2 + 160.79 \ X_3 + 0.0148148 \ X_1^2 + 76.7778 \ X_1X_2 - 1.25833 \ X_1X_3 + 4292.59 \ X_2^2 - 581.667 \ X_2X_3 - 72.7292 \ X_3^2.$$
Figure 1 also illustrates the three-dimensional estimated response surface plots that demonstrate the effect of two independent factors on a studied response when the value of the third factor was kept at intermediate level. Individual analysis for the effect of the studied variables on the $Y_1$ indicated that to prepare flexible chitosomes nano-formulation of 99.12 nm, the optimum levels for $X_1$, $X_2$ and $X_3$ should be 1.0, 0.04 and 0.2, respectively as illustrated in Table 3. To obtain vesicles of 95.99% EE, the optimum levels for $X_1$, $X_2$ and $X_3$ should be 1.0, 0.01 and 0.6, respectively. Flexible chitosomes nano-formulation with a zeta potential value of 28.85 mV could be obtained at 1.0, 0.01 and 0.59 of $X_1$, $X_2$ and $X_3$, respectively. After analyzing the multiple effect of the studied variables on $Y_1$, $Y_2$ and $Y_3$, it was assumed that the optimum desirability that achieve the smallest particle size, highest EE and highest zeta potential values could be achieved at $X_1$, $X_2$ and $X_3$ levels of 1.0, 0.01 and 0.47, respectively. An optimized chitosomes nano-formulation formulation that contains these values was prepared, characterized and the values for predicted and observed values and their residuals are depicted in Table 3. The corresponding flexible liposomal NPs showed an average size of 230.34 ± 8.73 nm, PDI value of 0.508 ± 0.075, zeta potential value of −10.29 ± 0.46 mV and EE of 78.13 ± 0.54%.
Morphological characterization
The vesicular nature of the liposomal NPs and chitosomes nano-formulation was confirmed after investigation of their morphological characteristics as depicted in Fig. 2. Both formulations showed spherical shape particles with a marked outer shell for chitosomes nano-
Fig. 2 TEM images of rosuvastatin liposomal NPs (a) and chitosomes nano-formulation (b)
formulation. Addition of chitosan during preparation of the lipid-based vesicles resulted in deposition of this cationic polymer on the particles outer surface, the effect that lead to formation of thick outer membrane. Moreover, chitosomes nano-formulation exhibited larger size compared to the corresponding liposomal NPs which is in a good agreement with the results obtained from the particle size analysis.
**Fourier transforms infrared (FT-IR)**
In this work, we have studied the FT-IR spectrum for RSV loaded into different lipid-based nano-dispersed formulation without drying. We aimed to identify the drug physicochemical changes in the developed liposomal NPs and chitosomes nano-formulation without any further modifications in the formulation nature.
The FT-IR spectrum of pure RSV (Fig. 3) illustrated a broad band for O–H stretching at 3380 cm\(^{-1}\) and a band at 2920 cm\(^{-1}\) for =C–H stretching. Another two drug peaks were detected at 1550 cm\(^{-1}\) and 1515 cm\(^{-1}\) corresponding to C–C stretching and N–H bending, respectively. Asymmetric and symmetric bending vibration of the drug CH\(_3\) group were noticed at 1485 cm\(^{-1}\) and 1380 cm\(^{-1}\), respectively. The asymmetric vibration of S=O was observed at 1330 cm\(^{-1}\). The bending vibrations for C–H and C–F stretching were identified at 1230 cm\(^{-1}\) and 1155 cm\(^{-1}\), respectively.
The spectrum of the L-\(\alpha\) phosphatidylcholine illustrated a broad peak at 3354 cm\(^{-1}\) corresponding to the stretching vibration of the hydroxyl (OH) group. A sharp characteristic band between 2700 and 2950 cm\(^{-1}\) was originated from the C–H stretching vibration of the aliphatic methyl group. Another peak at 1735 cm\(^{-1}\) that assigned to C=O stretching was also detected. The PO\(_2\) antisymmetric double bond stretching bands was noticed at 1250 cm\(^{-1}\).
Chitosan showed a broad band in the range of 3300–2900 cm\(^{-1}\) corresponded to the amine and hydroxyl groups. A peak at 2876 cm\(^{-1}\) that is attributed to –OH stretching; a characteristic band of the carbonyl (C=O) stretching of the secondary amide was detected at 1655 cm\(^{-1}\), and the bending vibrations of the N–H (N-acetylated residues, amide II band) was observed at 1599 cm\(^{-1}\) [38] [38] [38] [38] [38]. Other peaks at 1423 and 1381 cm\(^{-1}\) that belong to the N–H stretching of the amide and ether, respectively were also detected.
The spectrum of the liposomal NPs and chitosomes nano-formulation confirmed the physical interaction between the studied components and effective encapsulation of RSV in the prepared nanovesicles. Broadening, overlapping, weak and/or disappearance of some bands in the spectra of the NPs formulation were noticed. These changes were observed for phospholipid bands between 2700 and 2950 cm\(^{-1}\), and at 1735 cm\(^{-1}\); for drug peaks at 1515 and 1330 cm\(^{-1}\); for chitosan peaks at 1599, 1423 and 1381 cm\(^{-1}\). Phosphatidyl choline is a neutral or zwitterionic substance over a wide pH range from strongly acid to strongly alkaline.
**In vitro release study**
The in vitro release of RSV from the prepared liposomal NPs and chitosomes nano-formulation was studied and compared to that of a pure drug suspension using the dialysis bag technique. As depicted in Fig. 4, the release of RSV from the liposomal NPs illustrated a biphasic drug release pattern. An initial rapid drug release rate that was followed by a slow drug release pattern. The optimized flexible chitosomes nano-formulation exhibited a lower initial drug release, compared to the corresponding liposomal NPs, the effect that is explained by the high EE (chitosomes nano-formulation EE = 94.01%). A second
sustained release stage was observed for both liposomal NPs and chitosomes nano-formulation. Drug suspension demonstrated an overall low drug release pattern, when compared to lipid-based NPs formulations, and smaller cumulative drug release due to the presence of the suspended drug particles in a coarse dispersion state.
**NPs flexibility**
The ability of the prepared nanovesicles to pass through 0.1 mm pore size membrane filter under reduced pressure was considered as a measurement of NPs flexibility. The prepared liposomal NPs and chitosomes nano-formulation revealed a flexibility value of 44.43 and 40.16%, respectively.
**Cell viability and cytotoxicity assay**
Statins possess anticancer activity, against many cancer cells, under in vitro conditions in a time- and dose-dependent manner [29]. Previous studies mentioned that RSV demonstrated a cytotoxic activity against thyroid, hepatic, breast, cervical and prostate cancer cell lines [10, 44]. Another study illustrated the anti-melanoma properties of RSV [29]. The anticancer activity of statins is attributed to their ability to inhibit the mevalonate pathway, which leads to reduction of cholesterol synthesis, and to their ability to decrease the cellular levels of non-steroidal isoprenoids, geranylgeranyl pyrophosphate and farnesyl pyrophosphate. These effects result in failure of protein prenylation which affects carcinogenesis [29]. As far as we know, RSV activity against intestinal cells has not been studied to date.
To examine the biocompatibility and cytotoxic effects of plain and drug loaded liposomal NPs or chitosomes nano-formulation, HCT-116 cells were treated with different concentrations of these samples for 3 days and the MTT assay was performed to investigate the effect of these formulation on the viability of living cells. This test depends on the production of a colored formazan by the action of the viable cells’ mitochondrial enzymes on MTT. Cells were exposed to increasing RSV concentrations of drug loaded liposomal NPs and chitosomes nano-formulation standardized at certain RSV concentrations. Cells were also incubated with blank liposomal NPs and chitosomes nano-formulation to exclude the effect of RSV. As shown in Fig. 5, cellular proliferation was inhibited in a dose-dependent manner of RVS. The inhibition difference between plain (drug free) chitosomes and liposomes treated with 250 μM at 24 h was...
much less than its drug-loaded counterpart, the effect that could be attributed to the prominent drug cytotoxic effect at this concentration.
Interestingly, the IC50 values of chitosomes nano-formulation were found to be smaller than the corresponding liposomal NPs. The calculated IC50 values for chitosomes nano-formulation were about 142.5, 98.6 and 43.9 μM after 24, 48 and 72 h respectively, while that of liposomal NPs were 234.8, 218.8 and 131.7 μM respectively, after the same.
**Discussion**
As the drug to phospholipid molar ratio was increased from 1: 1 to 1: 4, the particle size of the prepared NPs increased. At higher phospholipid load, the formation of multilamellar vesicles is favored, the effect that results in increasing the size of the prepared NPs. This explanation was previously mentioned by Harbi et al. during development of sertraline liposomes [23].
The effect of the surfactant concentration on the particle size could be attributed to the reduction of the surface tension of the media at higher surfactant concentration and so arrangement of the phospholipid in small vesicles as previously reported [5]. The decrease in the EE of the prepared vesicles that was observed at higher surfactant concentration could be attributed to the formation of micelles molecules that compete for the drug molecules with the lipid vesicles. This finding is in a good agreement with the work done by Patel et al., who reported a decrease in the EE of curcumin loaded transfersomes with increasing the surfactant concentration [33].
The particle size, EE and zeta potential of the drug loaded NPs were increased as the concentration of chitosan (coating) solution was increased. Addition of chitosan to the flexible liposomal vesicles resulted in coating of the NPs outer surface by an electrostatic interaction between the positively charged chitosan and the negatively charged NPs surface. This coating process resulted in an enlargement of the vesicles as previously stated [32, 46]. Deposition of more chitosan on the NPs surface was achieved at higher polymeric concentration, the effect that results in increasing the zeta potential value and promotion of more drug entrapment in the coated NPs. The electrostatic interaction between the negatively charged drug and the positively charged chitosan, that deposited on the NPs surface, may be another cause for the increase in drug EE at higher chitosan concentration.
Encapsulation of RSV in the phospholipid molecules, adsorption of the DCP at the phospholipid molecules and chitosan coating of the flexible liposomal NPs may result in electrostatic interaction by weak van der Waals force of attraction or dipole–dipole and hydrogen bond formation. This finding was confirmed after FTIR characterization and was previously reported by Rudra et al., during development and characterization of nanoliposomes loaded with doxorubicin [36].
The amount of drug that was released from the liposomal NPs during the early stage is mainly attributed to the un-encapsulated drug (liposomal NPs EE = 78.13 ± 0.54%), drug adsorbed on the NPs surface and to the drug permeated from the prepared NPs. Chitosomes nano-formulation illustrated an extended drug release pattern due to the presence of chitosan in the outer shell which delayed the diffusion of RSV into the release medium. This effect was previously reported by Chen et al., who illustrated the role of chitosan coating on the behavior of flurbiprofen-loaded chitosan-coated deformable liposomes [16]. The second sustained release stage that was observed for both liposomal NPs and chitosomes nano-formulation could be attributed to encapsulation of RSV within the lipid shell that allows slow drug release from the lipid matrix. This finding is in a good agreement with that reported by Perez et al., during development of amphotericin B ultra-deformable liposomes [34]. After 24 h, the values for drug release from liposomal NPs, chitosomes nano-formulation and pure drug suspension were 97.54 ± 3.37, 59.98 ± 3.47 and 37.28 ± 2.86%, respectively.
The flexibility values of both formulations indicated the elasticity of the prepared NPs. The effect that is attributed to the presence of the edge activator component. The presence of the edge activator weakens the phospholipid bilayer and render the nano-vesicle ultra-deformable. Chitosomes nano-formulation demonstrated less flexibility than the corresponding liposomal NPs, the effect that is attributed to the chitosan coating process.
The cellular proliferation was inhibited in a dose-dependent manner of RVS which is an indication for the reduction in cell viability upon increasing the drug concentration in the prepared liposomal NPs and chitosomes nano-formulation. This finding is in a good agreement with earlier studies for other statins such as lovastatin [40] and simvastatin [37]. The smaller IC50 values of chitosomes nano-formulation when compared to the corresponding liposomal NPs indicate a gradual release of RSV from the NPs phospholipid bilayers and the significant effect of chitosan layer on cell viability, when compared to liposomal NPs. Positivity of the NPs outer shell demonstrated a marked cytotoxic effect which was also obvious with plain (drug free) chitosomes nano-formulation but to a lesser extent. This finding indicates the higher therapeutic window of RSV chitosomes nano-formulation. Accordingly, chitosomes nano-formulation could be considered as a good nanocarrier for RSV cytotoxic activity while drug loaded liposomal NPs could be considered as a suitable carrier to enhance the activity of RSV in treatment of cardiovascular diseases, but more investigations are required.
Conclusions
The optimization design was successfully used to develop RSV lipid-based nanocarriers of spherical shape. Chitosomes nano-formulation illustrated a distinct outer shell membrane and larger size vesicles when compared to the corresponding liposomal NPs. Both formulations illustrated a biphasic drug release profile. Chitosomes nano-formulation exhibited a lower initial and more extended drug release pattern when compared to liposomal NPs. Chitosomes nano-formulation demonstrated smaller IC50 values than the corresponding liposomal NPs. Both NPs formulations exhibited an anticancer activity in a time- and dose-dependent manner. Chitosomes nano-formulation are a promising nanocarrier for RSV cytotoxicity while liposomal NPs are appropriate carrier to enhance RSV bioavailability in treatment of hyperlipidemia.
Abbreviations
ANOVA: Analysis of variance; DCP: Dietyl phosphate; EE: Entrapment efficiency; FT-HR: Fourier transforms infrared; HMG-CoA: 3-hydroxy-3-methylglutaryl-CoA; IC50: The half maximum inhibitory concentrations; IOD: Low-density lipoprotein; MITT: 3-(4,5-dimethylthiazol-2-yl)2,5-diphenyl tetrazolium bromide; NPs: Nanoparticles; PDI: Polydispersity index; RSV: Rosuvastatin; TEM: Transmission electron microscopy; X1: Drug to phospholipid, X2: Surfactant concentration; X3: Coating solution concentration; Y1: Particle size (nm); Y2: Entrapment efficiency (%); Y3: Zeta potential (mV); X1X2, X1X3, and X2X3 are the interaction effects of the studied factors; X1X2, X1X3, and X2X3 are the quadratic effects of factors
Acknowledgments
The authors, therefore, acknowledge with thanks DSR for technical and financial support.
Declarations
Author declares that there is no conflict of interests.
Author’s contributions
TAA designed the study, analyzed the data obtained and wrote the manuscript. The author read and approved the final manuscript.
Funding
This project was funded by the Deanship of Scientific Research (DSR) at King Abdulaziz University, Jeddah, under grant no. G: 102–166-1440.
Availability of data and materials
All data obtained and analyzed during this work are included in this article. Extra information is available upon reasonable request from the corresponding author.
Ethics approval
No animal or clinical studies are applicable in this work.
Consent for publication
Not applicable.
Competing interests
Rosuvastatin (RSV) was obtained as a gift from the Saudi Arabian Japanese Pharmaceuticals Co. Ltd. (SAJJA) (Jeddah, KSA).
Received: 29 November 2019 Accepted: 12 February 2020 Published online: 21 February 2020
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The Book That Gave Iowa Its Name
A Reprint
IOWA STATE LIBRARY
GENERAL DEPARTMENT
Class 977.7
Book T46
Volume
IOWA AUTHOR
The Book that Gave to Iowa its Name
A Reprint
Published at Iowa City Iowa in 1935 by the State Historical Society of Iowa
Iowa
977.7
L46
Explanation
This reprint of the little book that gave to Iowa its name is published by the State Historical Society of Iowa in commemoration of the one hundredth anniversary of the travels and explorations of Albert M. Lea in the Iowa country in 1835 while serving as Lieutenant in the First United States Dragoons.
The book, privately published by the author, was printed in Philadelphia by Henry S. Tanner in 1836. It was designed by its author "to place within the reach of the public, correct information in regard to a very interesting portion of the Western country, especially of that part of it known as the 'Iowa District'." The information which it contains was largely gathered by Lieutenant Lea during his travels through the Iowa country with the Dragoons in 1835. (See The Palimpsest for March, 1935.)
While the information which it records on the Iowa country in 1835 is invaluable to students of Iowa history, the supreme historical significance of Lieutenant Lea's book is the fact that it fixed the name Iowa upon the country that was to become the Territory of Iowa in 1838 and the State of Iowa in 1846. (Read the second paragraph of Ch. I of this reprint, p. 7, and The Naming of Iowa, by Benj. F. Shambaugh in The Palimpsest for March, 1935.)
Explanation
Bound in bluish green paper covers, the original copies of the book contain fifty-three printed pages. On the front cover the title reads: "Notes on the Wisconsin Territory; particularly with reference to the Iowa District, or Black Hawk Purchase." The inside title is briefly: "Notes on Wisconsin Territory, with a map." In size the original book measures approximately five and three-fourths by three and one-half inches.
Concerning the original edition, Lieutenant Lea says: "One thousand copies with the map were put up by my friend H. S. Tanner, to whom I paid thirty-seven and a half cents per copy, and put them on sale at a dollar. Being quite ignorant of the book trade, I assumed the sales myself, sent a few copies by mail, and five hundred in a trunk as freight to Arthur Bridgman, of Burlington, an accomplished merchant. The last I heard of them was on a little steamboat stranded on a sand bank in the Ohio."
The reprint which is here published by the State Historical Society of Iowa follows the original, page for page, line for line, and in type as nearly as possible like the original in size and style.
Benj. F. Shambaugh
Office of the Superintendent and Editor
The State Historical Society of Iowa
Iowa City Iowa
NOTES
ON
THE WISCONSIN TERRITORY;
PARTICULARLY WITH REFERENCE TO
THE IOWA DISTRICT,
OR
Black Hawk Purchase.
BY
LIEUTENANT ALBERT M. LEA,
UNITED STATES DRAGOONS.
WITH THE ACT FOR ESTABLISHING THE TERRITORIAL GOVERNMENT OF WISCONSIN,
AND AN ACCURATE MAP OF THE DISTRICT.
PHILADELPHIA:
H. S. TANNER—SHAKSPEARE BUILDINGS.
1836.
[Front Cover]
NOTES
ON
WISCONSIN TERRITORY,
WITH A MAP.
BY
LIEUTENANT ALBERT M. LEA,
UNITED STATES DRAGOONS.
PHILADELPHIA.
HENRY S. TANNER—SHAKESPEAR BUILDINGS.
1836.
[Inside Title Page]
ENTERED according to the Act of Congress, in the year 1836,
By H. S. TANNER,
In the Clerk's Office of the District Court of the Eastern District of Pennsylvania.
PREFACE.
In the following Notes, the Author designs to place within the reach of the public, correct information in regard to a very interesting portion of the Western country, especially of that part of it known as the "Iowa District," one of the divisions of the new Territory of Wisconsin.
That the reader may know what degree of confidence he may place in these Notes, he ought first to be made acquainted with the means of information possessed by the Author.
He has been employed in his professional duties for more than a year, within the limits of the country represented by the accompanying map. During that time, he has travelled extensively, and has been sedulous in collecting information from surveyors, traders, explorers, and residents. The whole route of the dragoons during the summer of 1835, as designated on the map, was meandered with a compass, and the distances estimated by the time and rate of travelling them; and in like manner, the Des Moines river was reconnoitred from Racoon river to the mouth, and the route thence to Rock-Island, by the west side of the Mississippi. In addition to these sources of information, he has procured from the proper bureaus at Washington, the maps sent in by the surveyors of the several Indian boundaries laid down, and of the far-famed Half-Breed Tract of the Sauk and Fox Indians.
The author is under obligation to several gentlemen for valuable information: among the number are Captain Boone, of the Dragoons; Major William Gordon, of Iowa District; and Hon. George W. Jones of Wisconsin. They will please accept his thanks for their kindness.
The reader will perceive that the following "Notes," are confined to such subjects only as are interesting, particularly to the emigrant, the speculator, and the legislator. The author reserves for another work, the notice of such topics connected with that country, as are better suited to the more general reader.
Baltimore, Md. April, 1836.
LETTER
To the Author, from the Hon. Geo. W. Jones,
Delegate in Congress from the Territory of Wisconsin.
HOUSE OF REPRESENTATIVES,
Washington City, April 26th, 1836.
LIEUT. A. M. LEA,
My Dear Sir,
The perusal of your "Notes on the Iowa District of Wisconsin Territory," which you had the kindness to lend me, has afforded me much pleasure, and I cannot but offer you, at least, my thanks for the favour.
Your account of the country is certainly interesting and candid, as I was confident it would be, when I heard that you were writing on the subject, from the fact of your having explored the country in person, from your liberal and just views of the "far north-west," and from the ample means which you have had of obtaining information.
Your Map, too, accompanying the "Notes," gives so correct a view of the situation of the rivers, towns, &c. that I should have said it was taken from actual survey, if I had not known that no survey had ever been made, except that of the Indian boundary lines.
The country which you have described, is undoubtedly not surpassed as a farming and mining country, by any in the known world; and the manner in which you have set forth its advantages, must ensure to your work an extensive circulation. The numerous applicants that have come to me from the east, the south, and the west, for information in relation to this country, I take pleasure in
referring to your Notes, with the hope that you will very soon publish them to the world. You have said much for the country, but I do not believe that you could have said too much in commendation of its fertility and natural resources.
I am, with very great regard,
Your obliged humble servant,
GEO. W. JONES,
Of Sinsinawa Mound, Wisconsin Territory.
IOWA DISTRICT
OF
WISCONSIN TERRITORY.
CHAPTER I.
General Description.
The Iowa District lies between 40°20' and 43° north latitude, and 18° 10' and 15° 15' west from Washington; and is bounded by the Neutral Grounds between the Sauks and Sioux Indians on the north; by the lands of the Sauks and Foxes on the west; by the state of Missouri on the south; and by the Mississippi river on the east. It is about 190 miles in length, 50 miles wide near each end, and 40 miles wide near the middle, opposite to Rock-Island; and would make a parallelogram of 180 by 50 miles, equivalent to 9000 square miles, or 5,760,000 acres, including Keokuk's Reserve of 400 square miles.
This country has been alternately in the possession of various tribes of Indians, but last in that of the Sauks and Foxes, of whom it was obtained by treaty at the close of the Black-Hawk War, in 1832. General Scott was one of the commissioners appointed by the President to make this treaty; hence the District under review has been often called "Scott's Purchase," and it is sometimes called the "Black-Hawk Purchase;" but from the extent and beauty
of the Iowa river which runs centrally through the District, and gives character to most of it, the name of that stream being both euphonic and appropriate, has been given to the District itself.
In the year 1832, immediately after the treaty above named, several families crossed the Mississippi and settled on the Purchase; but as the time provided for the Indians to give possession, was the 1st of June, 1833, these settlers were dispossessed by order of government, and hence the first permanent settlement of whites in the Iowa District, did not take place until the summer of 1833. Since then, nothing has happened to mar the peace, happiness, and prosperity of a rapidly increasing population, which has already given to many portions of the District the impress of a cultivated people. It is true, that a few whites had been living somewhat longer on the tract of land belonging to certain half-breeds; but as they were very few, and were living there only by sufferance, they need not be ranked as settlers of the District.
The Climate is such as would be naturally expected in this latitude. The thermometer does not range more widely here than in similar latitudes east of the Allegheny mountains; nor perhaps as much so, as in those districts beyond the influence of the sea-breeze; for here, we have every day a breeze, from some quarter of our broad prairies almost as refreshing as that from the ocean. We are exempt, too, from the effects of the easterly winds, so chilling and so annoying along the Atlantic sea-board; but in lieu of them, we have frequently cold blasts from the prairies, sufficiently annoying to the traveller, when the mercury is at zero. The prevailing winds are from the south-west. I have known the wind at Rock-Island, to remain constant in that quarter for three weeks successively, and it is said to have so remained during six weeks at Prairie du Chien.
The salubriousness of this climate varies according to locality. Along the Mississippi, where there are marshy grounds, especially from the Des Moines to the vicinity of
Rock-Island, there will of course be much bilious disease. But even what we call much here, is little compared with that on the river below the Des Moines Rapids. As we ascend the river, in fact, the causes of disease diminish, and the atmosphere becomes purer; and when we arrive at the Rapids at Rock-Island, we enter upon a country as healthy as the Allegheny mountains. There are some diseases, common in other parts of the United States, not known here; and pulmonary consumption is one of them. But whether above or below the Upper Rapids, the country at a distance from the swamps of the Mississippi, is elevated, and is as healthy as any can be, where there is a free circulation of air, good water and rolling grounds; but where there is also much vegetable matter to decay. This evil is incident to all new countries; and the richer the country in point of soil, the greater is the evil; but it is one that is continually diminishing with the progress of cultivation.
The Winter is generally dry, cold, and bracing; the waters are all bridged with ice; the snow is frequently deep enough to afford good sleighing, and it is considered the best season for travelling, by those who are able to bear exposure to a cold atmosphere. The winter usually commences about the 1st of December, and ends early in March; though in the southern part of the District, we often have fine pleasant weather in mid-winter. There is never so much snow, even as far north as Prairie du Chien, as to interrupt the travelling; and as every prairie is a high road, we scarcely feel the obclusion of the icy season.
The Spring is any thing but what we have been taught to expect from that usually delightful season. It is a succession of rains, blows, and chills: and if the sun happen to shine, it does so gloomily, as if boding a coming storm. The whole country becomes saturated with water; the low lands are overflowed; the streams are swollen: and locomotion is rendered difficult except by water. But as this means of travelling is greatly facilitated and extended by the floods, we even contrive to pass comfortably enough the six weeks of rain, and fog, and wind that changes the freezing winter into the warm and genial summer. We have no gradual gliding from cold to warm; it is snowy—then stormy—then balmy and delightful. There is great difficulty in planting and sowing the grains of the Spring; and sometimes even after the seeds are in the earth, the rains are too great to admit of proper culture. But with experience in the climate, the agriculturists will learn to adapt themselves to its requirements, and be able to assure themselves of crops worthy of the soil they have to cultivate.
The Summer is generally of sufficient warmth to produce rapid vegetation; and yet it is seldom oppressively hot. I have, in fact, ridden through grass six feet high, in the month of July, when, for weeks together, I scarcely experienced the sensation of excessive heat. During this season, the appearance of the country is gay and beautiful, being clothed in grass, foliage, and flowers.
Of all the seasons in the year, the Autumn is the most delightful. The heat of the summer is over by the middle of August; and from that time till December, we have almost one continuous succession of bright clear delightful sunny days. Nothing can exceed the beauty of Summer and Autumn in this country, where, on one hand, we have the expansive prairie strewed with flowers still growing; and on the other, the forests which skirt it, presenting all the varieties of colour incident to the fading foliage of a thousand different trees.
The Soil is generally about two feet deep, and is composed of clay, sand, and vegetable mould. Much of it is too tenacious of water for the most convenient production of such grains as are planted in the Spring. It is of a dark brown colour near the surface, and gradually becomes lighter and lighter in descending, till it imperceptibly passes into a yellowish clay, which, in turn, is based upon a blue marl, containing pebbles, and which always affords good water when penetrated. This latter stratum is found from fifteen to thirty feet below the surface in the upland
prairies, so that it is only necessary to sink a well to that depth to obtain excellent water wherever it may be wanted. This is the general character of the soil of the higher prairies.
In the bottom lands along the rivers, the soil is more sandy, and is little affected by excessive rains, except such portions as are liable to be overflowed. The low grounds are peculiarly adapted to the growth of Indian corn, and the elevated lands to the growth of small grain; though the yellow maize of the North succeeds remarkably well on the coldest soils of our dry prairies.
The General Appearance of the country is one of great beauty. It may be represented as one grand rolling prairie, along one side of which flows the mightiest river in the world, and through which numerous navigable streams pursue their devious way towards the ocean. In every part of this whole District, beautiful rivers and creeks are to be found, whose transparent waters are perpetually renewed by the springs from which they flow. Many of these streams are connected with lakes; and hence their supply of water is remarkably uniform throughout the seasons. All these rivers, creeks, and lakes, are skirted by woods, often several miles in width, affording shelter from intense cold or heat to the animals that may there take refuge from the contiguous prairies. These woods also afford the timber necessary for building houses, fences, and boats. Though probably three-fourths of the District is without trees, yet so conveniently and admirably are the water and the woods distributed throughout, that nature appears to have made an effort to arrange them in the most desirable manner possible. Where there is no water, isolated groves are frequently found to break the monotony of the prairie, or to afford the necessary timber for the enclosure of the farmer. No part of the District is probably more than three miles from good timber; and hence it is scarcely any where necessary to build beyond the limits of the woods to be convenient to farming lands the most distant from them, as the trouble of hauling the
the timber necessary for farming purposes, a distance of one, two or three miles, is trifling. Taking this District all in all, for convenience of navigation, water, fuel, and timber; for richness of soil; for beauty of appearance; and for pleasantness of climate, it surpasses any portion of the United States with which I am acquainted.
Could I present to the mind of the reader that view of this country that is now before my eyes, he would not deem my assertion unfounded. He would see the broad Mississippi with its ten thousand islands, flowing gently and lingeringly along one entire side of this District, as if in regret at leaving so delightful a region; he would see half a dozen navigable rivers taking their sources in distant regions, and gradually accumulating their waters as they glide steadily along through this favoured region to pay their tribute to the great "Father of Waters;" he would see innumerable creeks and rivulets meandering through rich pasturages, where now the domestic ox has taken the place of the untamed bison; he would see here and there neat groves of oak, and elm, and walnut, half shading half concealing beautiful little lakes, that mirror back their waiving branches; he would see neat looking prairies of two or three miles in extent, and apparently enclosed by woods on all sides, and along the borders of which are ranged the neat hewed log cabins of the emigrants with their fields stretching far into the prairies, where their herds are luxuriating on the native grass; he would see villages springing up, as by magic, along the banks of the rivers, and even far in the interior; and he would see the swift moving steam-boats, as they ply up and down the Mississippi, to supply the wants of the settlers, to take away their surplus produce, or to bring an accession to this growing population, anxious to participate in the enjoyment of nature's bounties, here so liberally dispensed.
The Products of this District are chiefly mineral and agricultural, though manufactures will undoubtedly take their place in due time.
Bituminous Coal, the oxides and the sulphurets of iron,
limestone, sandstone, and fire-clay, are found in numerous places; and some of these minerals occur in great abundance. But the chief mineral wealth of this region consists in its Lead Mines. The finest mines in the United States are those near Du Baque, in the northern part of the District. The galena has been found throughout an extensive tract; and I have little doubt that it will be found extending entirely across the District, running in a southwest direction towards the mines of Missouri.
The agricultural productions consist chiefly of maize, wheat, rye, oats, and potatoes. The large white corn of the south may be produced as far north as Rock-Island, and yields from fifty to one hundred bushels per acre; but the yellow flint-corn grows well anywhere, and yields from forty to seventy-five bushels per acre; the latter is the more certain crop. Wheat is produced with a facility unknown except in the west. I have known the sod of the prairie to be simply turned over, the seed harrowed in, and thirty bushels per acre to be harvested. But the usual crop, after the first, is from twenty-five to forty bushels per acre with negligent farming. Oats yield usually from sixty to seventy bushels per acre, and seventy-five bushels have been cut at Du Baque. Potatoes grow abundantly, and are famous throughout the west for their fine quality.
The growing of stock of various kinds will doubtless be extensively pursued, as few countries afford more facilities for such purposes; and in consequence of the abundance of excellent timber along the smaller rivers and creeks, those towns on the Mississippi, even as low down as Saint Louis, will probably in a great measure be supplied with that article from the forests of Iowa. Already numerous mills have been put in operation; but lumber for exportation has not yet been thought of by the settlers.
The larger GAME will, of course, soon disappear from the settlement; but at present there is a great deal of deer, some bear, and some buffalo within reach. Turkies,
grouse, and ducks will long be abundant; and of Fish there can never be any scarcity. Every stream is filled with them; and among them may be found the pike, the pickerel, the catfish, the trout, and many other varieties. Immense quantities are taken about the several Rapids, where they may be easily speared.
The Population of the whole District, exclusive of Indians, was about sixteen thousand, at the end of 1835, a time little more than two years after the first settlement was made. During the year 1835, the chief part of this population arrived; and there is every indication of a vast accession during the year 1836. Indeed large portions of the States of Ohio, Indiana, Illinois, Kentucky and Missouri seem to be about to emigrate to this region. There are now here emigrants from all these States, and every other State in the Union, as well as many foreigners. Whole neighbourhoods are moving from Indiana and Illinois to this land of promise. During a ride of 150 miles through the District, in the month of January, 1836, I was surprised at the number of improvements then being made, for occupation as soon as the warm season should set in.
The character of this population is such as is rarely to be found in our newly acquired territories. With very few exceptions, there is not a more orderly, industrious, active, pains-taking population west of the Alleghenies, than is this of the Iowa District. Those who have been accustomed to associate the name of Squatter with the idea of idleness and recklessness, would be quite surprised to see the systematic manner in which every thing is here conducted. For intelligence, I boldly assert that they are not surpassed, as a body, by an equal number of citizens of any country in the world.
It is matter of surprise that, about the Mining Region, there should be so little of the recklessness that is usual in that sort of life. Here is a mixed mass of English, French, German, Irish, Scotch, and citizens of every part of the United States, each steadily pursuing his own business without interrupting his neighbour. This regularity
and propriety is to be attributed to the preponderance of well-informed and well-intentioned gentlemen among them, as well as to the disposition of the mass of the people. It is but within a few years past that persons of high and cultivated character have emigrated, in great numbers, to our frontiers. Formerly, it was, with some notable exceptions, the reckless in character, the desperate in fortune, or the bold hunter, that sought concealment, wealth, or game, in the "wilds of the west." Now, it is the virtuous, the intelligent, and the wealthy that seek, in the favoured and flowery regions beyond these "wilds," a congenial abode for themselves and their posterity.
This District, being north of the State of Missouri, is forever free from the institution of slavery, according to the compact made on the admission of that State into the Union. So far as the political wealth and strength of the country is concerned, this is a very great advantage; for the region is too far north for negroes to be profitable. Besides, all experience teaches us that, ceteris paribus, free States grow far more rapidly than slave States. Compare, for example, the States of Ohio and Kentucky; and, what would not Missouri have now been, had she never have admitted slavery within her borders?
The population of the surrounding country is very various, whites on one side, and Indians on the other. That of Wisconsin and Illinois, being immediately east of the northern part of the District, is very similar to that already described as belonging to the District itself. These people take their tone from the active and enterprising people of the northern and eastern States; whilst those of the more southern part of Illinois and of Missouri, partake much more of the character of the Middle States.
On the west and north, are the Sauk and Fox, and the Sioux tribes of Indians. These people have become so much reduced in number, and are so perfectly convinced of their utter inferiority, that they will never have an idea of again making war upon our settlements. Their proximity will indeed be rather an advantage to the District
than otherwise, as a profitable trade may be carried on with them.
The Trade of this District is confined almost entirely to the grand thorough-fare of the Mississippi. By it, the produce of the mines is carried away, and all the wants of a new population are supplied. Saint Louis is the port through which all the exchanges are at present effected; though the town of Alton, on the east side of the Mississippi, just above the mouth of Missouri river, is now setting up a rivalship for this trade. The only important article of export, as yet, is lead; the amount of which is not correctly ascertained, even for one year, and as it is daily increasing, and capable of indefinite extension, it is enough to say that it is a profitable—a very profitable—source of trade. The town of Quincy, forty miles below the mouth of the Des Moines, derives its supply of coal from the banks of that river; and it is almost certain that a large trade will be carried on in that article, as the demand for it increases.
All kinds of agricultural products have heretofore found ready consumers in the increasing population of every neighbourhood; and this cause will continue to afford a market at every man’s door for years to come. After the emigration shall have abated, the mines will afford always a ready market for whatever can be produced within reach of them. But should this market fail, there are numerous navigable rivers intersecting the District, and leading into the broad Mississippi, an ample highway to any part of the world.
There are ten or twelve steamboats continually plying between Saint Louis and the various ports on the Upper Mississippi, as far up as the Falls of Saint Anthony. The usual trip is from Saint Louis to the Lead Mines, a distance of 450 miles, to make which requires about three days, and an equal time to load and return. This would give an average of more than a boat daily each way, after making allowance for the casualties of trade. But whilst I am now writing, this thing is all changing; for such is
the rapidity of growth of this country, and such is the facility with which these people accommodate the wants of the public, that I would not be surprised to find the number of boats doubled within the current year.
The Mississippi is, and must continue to be, the main avenue of trade for this country; but there is a reasonable prospect of our soon having a more direct and speedy communication with our brethren of the east. New York is now pushing her rail road from the Hudson to Lake Erie, where it will be met by another from Pennsylvania; thence the united rail road will be continued around the southern shore of Lake Erie, and cross the States of Ohio, Indiana, and Illinois, to the Mississippi, near the mouth of Rock River, touching upon the southern end of Lake Michigan in its route, and receiving the tribute of the various local works which it will intersect. This work would place the centre of the Iowa District within sixty hours of the city of New York; and if any of the "down-easters" think this project chimerical, let them take a tour of a few weeks to the Upper Mississippi, and they will agree with me, that it is already demanded by the interests of the country.
GOVERNMENT. From the first of June, 1833, to the thirtieth of June, 1834, the settlers in this District were without any municipal law whatever. At the latter date Congress passed a law attaching it to the Territory of Michigan, "for judicial purposes;" and under that law, the Legislative Council of Michigan extended her laws over the District, dividing it into two counties, and providing for the regular administration of justice. But when Michigan determined to assume her place as one of the States of the Union, she could no longer govern any district as a Territory. Accordingly, she cast off what was then called Wisconsin, together with this District, directing them to form a government for themselves, and providing that her own laws should continue in force, until superseded by others. Under this provision, the authorities of Iowa District have continued to act; and all the
ordinary local business has been regularly transacted under the laws of Michigan, though the Judge of the District Court of the United States has refused to consider any cases of appeal taken to his court from the west side of the Mississippi. It is a matter of some doubt, in fact, whether there be any law at all among these people; but this question will soon be put at rest by the organization of the TERRITORY of WISCONSIN, within which the Iowa District is by law included.
Though this District may be considered, for a time, as forming a part of the Wisconsin Territory, yet the intelligent reader will have little difficulty in foreseeing that a separate government will soon be required for Iowa. Already it has a population of nearly twenty thousand, which will swell to thirty thousand by the close of 1836. By casting an eye on the map, it will be seen that some of the most beautiful country in the world is lying immediately along this District on the west side. From this country, the Indians are now moving over to the Des Moines; and finding the country on the Wabesapinica, the Iowa, the Bison, and the Chacagua rivers, of no use to them, they are already anxious to sell; and the press of population along the border has already created a demand for its purchase. A short time, then, will cause the western boundary of the District to be extended; and with this extension, will come a corresponding increase of population. It is hazarding little to say, that this District will have population sufficient to entitle it to a place among the States of the Union by the time that the census of 1840 shall have been completed.
LAND TITLES. In that portion of the District known as the Half-Breed Tract, the titles to lands are thus situated: In 1824, by treaty with the Sauk and Fox tribe of Indians, this tract was set apart for the use of the Half-Breeds of that tribe, said tract to be held by the same right and in the same manner as other Indian lands are held. In February, 1834, Congress released to the Half-Breeds, the reversionary rights of the Government to these
lands, vesting in them the *fee simple* title. But it was an undivided interest: and the number of claimants, even, was not then, and is not yet, known. Each of these Half-Breeds is entitled to his equal portion of these lands, whenever they may be divided; or he may live upon them unmolested until the division; but when this division may take place, is a matter of great uncertainty, as it is difficult to ascertain who the claimants are, and as it will involve the necessity of troublesome legal processes.
In the District generally, the land titles are in an anomalous condition. The country was freed from its Indian occupants in 1833; hundreds immediately flocked in, each selecting such place as suited him best, and each respecting the premises of those who had preceded him. It is now clearly understood what improvement it takes to constitute a *claim* to any portion of these lands; and a claim to a farm, regularly established, is just as good, for the time being, as if the occupant had the Government patent for it. An emigrant comes into the country; he looks around him, and finds a situation that pleases him; here, he says, "I will make an improvement;" and forthwith he goes to work, builds a house, fences a piece of ground, ploughs and plants it; he stakes out his half a section of land, one quarter section probably being woodland, and the other quarter being prairie; and then his home is secure from trespass by any one whatever, until the Government shall think proper to prefer its claims. If he think proper to sell his claim, he is at perfect liberty to do so; and the purchaser succeeds to all the rights of the first settler. It is usual in such sales, for the purchaser to take a bond of the previous occupant, to transfer any right that the latter may acquire, in consequence of his previous occupancy, under the operation of the laws of the United States relative to occupant titles.
Where towns are laid out, as it is not expected that each holder of a lot would be able to obtain a separate title from Government, it is arranged that the proprietor shall secure the fee simple title, in his own name, for the whole site, by the best means in his power; and he gives his
bond to make a title to the purchaser, whenever he shall have secured it to himself.
The people of this whole District have entered into an agreement to support each other in their claims, against any unjust action of the Government, or against any attempt at improper speculation by capitalists at a distance. And those who know the potency of such leagues, will feel perfectly assured, that whatever is protected by this one, will be safe from molestation. They say that it has been the uniform policy of the Government, for many years past, to extend to actual settlers on the public domain, the right of pre-emption, as it is termed. By this is understood, the privilege, given to one who has settled upon, and cultivated a piece of land, before it be brought into market, to purchase 160 acres, (one quarter section,) at the Government price, ($1.25 per acre,) without having it exposed to public sale. This privilege has been considered as justly due to the settler, in consideration of the increased value given to other lands around him, at the expense of great toil and privation to himself. The pioneers of every country are necessarily subjected to many privations; often they are the barrier between a savage foe and the peaceful citizens of the older countries, as has actually been the case with some of the settlers in this District. The privilege of retaining possession of lands which they have peacefully occupied and cultivated for years, is what these settlers now claim of their Government, on condition of paying for them just as much as that Government asks for untilled lands, equally fertile, around them: nor do they claim the privilege of thus buying unreasonably large bodies of land; they only ask to have extended to them the same advantages as have been granted to all pioneers before them; they expect the privilege of entering each one quarter section. For, whatever more they may respectively want, they are ready to come forward, and compete for it in the open market; though they cannot but deem it a want of liberality to make them pay an enhanced price for a piece of land, when that very enhancement has been alone produced by
the labour of their own hands. The liberality of the Government will probably make some provision for securing, in the possession of their own labour, those whose improvements have extended beyond the narrow limits of a quarter of a mile.
As this country has not yet been surveyed, it might be supposed that much confusion would result from the new arrangement of boundaries, when the lands shall be regularly surveyed, as public lands usually are. But this difficulty is easily obviated; for instance,—the claims of A. and B. join each other; when the section lines shall be run, it may be found that a portion of A.'s land is within the quarter section including B.'s improvement, and vice versa; but in the meantime, A. and B. have entered into an agreement, that if any such awkward lines should be run, they would mutually relinquish lands to each other, so that the lines of their several tracts shall be the same after, as before the survey and sale. This want of surveys is an actual advantage in some respects. The farms are all now arranged, with reference to the localities, with the woods, prairies, water, flat and rolling lands, as well disposed as it is possible; whereas, when the country is surveyed before being settled, that very fact forces the emigrants to confine themselves to the arbitrary, north and south, east and west, lines of the public surveyor. The little inconvenience produced by this absence of survey, is more than compensated by its advantages.
CHAPTER II.
Water Courses and Local Divisions.
The Mississippi River, washes one half of the entire circumference of the District, no part of which, from its peculiar shape, is more than fifty miles from the river. In a country so open as this, where no artificial roads are necessary, this common contiguity to such a river as the Mississippi, places every part of it within convenient reach of the balance of the world.
The Mississippi is continually navigated, except when obcluded by ice, by steam-boats drawing three feet water, as far up as Prairie du Chien; and frequently they run up to the Falls of Saint Anthony, a distance of 800 miles above Saint Louis. There are only two permanent obstructions to its easy navigation, except at very low water, throughout this whole distance; and they occur opposite to different points in the District. The first is the Des Moines Rapids, beginning a few miles above the outlet of the river of that name, and extending up about 14 miles, to a point nearly opposite the town of Commerce. In this distance there is a fall of 25 feet; but the current is never too rapid for boats to stem it; and there is seldom less than three feet of depth in the channel. When the water becomes very low, it is the practice to unload the steam-boats, pass them light over the Rapids, and take the freight over in keel-boats of less draught. These keel-boats, when ascending, are towed up along the western shore, by horses moving along the natural beach. This rapid is a source of great annoyance, expense and delay; and yet it is susceptible of being so easily improved, as to be matter of surprise that it has not already been done.
The second obstruction is the Rock-Island Rapids, very
similar in character to those below; but I am not aware that any minute survey has been made of them with a view to their improvement. It is said, that by damming the narrower sluice at Rock-Island, the difficult bar on these shoals may be overcome.
The river is generally from three quarters of a mile to one mile in width, and is filled with islands of every size. From the flatness of the general bed of the river, the channel runs frequently from one shore to the other, rendering the navigation intricate at low water; but there is not perhaps a stream in the world more beautiful, in itself, or naturally more free from dangerous obstructions, than is the Upper Mississippi.
The general character of this part of the river is very different from that below the mouth of the Missouri. Here, the water is limpid, the current is gentle, and the banks are permanent; there, the water is muddy, the current impetuous, and the banks are continually changing. The annual freshets in this part of the river do not usually rise more than ten feet above low water mark; and in this feature, it has greatly the advantage of the Ohio, with which it is often compared. Even in the highest freshets, the colour of its water remains unchanged, and its current easy; and there is about the whole river a calmness, a purity, and a peacefulness of expression, perfectly enchanting.
Rocky cliffs sometimes present themselves along the shore, either surmounted with forest trees, or covered with a rich coating of prairie grass; frequently, low and wet prairies skirt along the river, and stretch far back to the bluffs, over ground from which the water has gradually receded; and sometimes, the highlands slope down to the water's edge, covered with waving grass and clusters of trees, grouped here and there, or set about at intervals, presenting an orchard-like appearance.
From the vicinity of Rock-Island downward, the shores are, with a few exceptions, either very abrupt and rocky, or low and marshy: but thence upward, to the highlands above Prairie du Chien, the beautiful sloping shores, just mentioned, are almost continuous. Those who have seen
this part of the country need no description of it; and those who have not seen it, would think me painting from imagination, were I to describe it true to the life.
The lands bordering on the Mississippi are not generally so productive as those retired from it. The hills are more exposed to have the soil washed from them into the basin of the river; and the low grounds are apt to be too wet or too sandy; yet the lands lying on the river will always be the most valuable, in consequence of their superior advantages of market.
The Des Moines River and its Tributaries afford fine lands, well diversified with wood and prairie, as far up as I am acquainted with them, some fifty miles above the "Upper Forks." There is much that is inviting in the general character of the country bordering on the Des Moines; level meadows, rolling woodlands, and deep forests, present themselves by turns. The soil is usually rich and productive; and when there are no natural springs, there is no difficulty in obtaining water, by digging, at almost any point in the highland-prairies.
Having specially reconnoitred the Des Moines river during the summer of 1835, I can speak of it more confidently than of any of the other smaller rivers watering the District.
From Racoon river to the Cedar, the Des Moines is from 80 to 100 yards in width, shallow, crooked, and filled with rocks, sand-bars, and snags, and is impetuous in current at high water; yet it is certain that keel-boats may navigate this portion of the river, being 96 miles, during a great part of the spring and fall; and it is not impossible that even steam-boats may run there.
But from the Cedar river to the Mississippi, except a few miles near the mouth, there is no obstruction to the navigation of the Des Moines in a tolerable stage of water. For four months of the year, boats of two and a half feet draught, will perform this distance of 170 miles without difficulty. The width is from 150 to 250 yards except a few miles above the mouth, where it is only from 80 to
100 yards wide; its bed is perfectly smooth and flat; and the bottom is generally a thin coating of sand and gravel over a blue limestone rock, until you descend within the influence of the back water from the Mississippi, where there is much alluvial deposit with many snags. By the removal of a part of these snags and a few loose rocks above, every thing will be done for the navigation that can be done without augmenting the supply of water. The first rapids that occur in the river, above the mouth, are those near the lower end of the Great Bend. There is a ledge of limestone rock running across the river here; but the chief obstruction is caused by loose rocks lodged upon this ledge. The chief rapids between the Raccoon and the mouth, are some 40 miles above Cedar river. Here is considerable fall for several miles, a sudden pitch of several inches, many large loose rocks, and a very sudden bend, altogether making a difficult pass in the river.
The mineral productions of this river are interesting. Sandstone, suitable for building, occurs frequently, as far down as Tollman's, 14 miles from the mouth. Limestone is found along the whole distance, from a point 15 miles above Cedar river, to the Mississippi bottom. Bituminous coal of excellent quality occurs abundantly at many points between Raccoon and Cedar rivers, and also near the Missouri line. I also found large masses of the oxide, sulphuret and native sulphate of iron, lignite, and the earths usually found in coal formations.
It is about seventy-five miles from the mouth, by water, to the Indian boundary. The lands, on both sides of the river, throughout the greater part of this distance, are exceedingly fertile, and many of them are covered with forests of the finest walnut, oak, ash, elm, and cherry; and back of these wooded bottoms are extensive prairies, both flat and rolling. The settlements have long since, that is in the fall of 1835, extended along the river entirely up to the line, and are beginning to spread out on either side, especially towards the head waters of Sugar creek. There are already some extensive farms along this river, and others are in rapid progress.
The Half-Breed Tract, which lies in the angle between the Des Moines and Mississippi, has attracted much attention on account of the speculations which have been made in those lands. Their history has been already given in the remarks upon Land Titles, except that most of these claims have passed from the hands of the original owners into those of speculators. There are about 136,000 acres in this tract, which it was formerly supposed was to be divided amongst about 40 claimants; but recently many others have preferred claims to shares; and it is not yet known with any tolerable certainty how many will ultimately establish them.
This tract contains much good land, and some good timber; but it is not nearly so valuable for agricultural purposes as it has been represented to be. Much of it is occupied by the broken grounds along the rivers; a good deal of it is sandy prairie; and much of it is too low and wet. Still, the larger portion of it is very fine land, especially that bordering on Sugar creek. This creek, though running a great distance in the rainy season, affords little water in the summer and autumn, as is the case with most of the smaller streams of the Des Moines. It affords no mill site.
Manitou creek rises in a most productive section, a little to the north of the Half-Breed Line, and affords fine lands and timber entirely to its mouth. It is said that there is a tolerable site for a mill on this stream. It takes its name of Manitou, or Devil creek, from its impetuosity in freshet, and from its quicksands and rafts which render it frequently difficult of passage. It is very uneven in its supply of water, having almost no current in dry weather.
But few persons have yet settled upon this Half-Breed Tract, owing to the unsettled condition of Titles. Nobody knows yet where his particular share is to lie, and consequently nobody is willing to improve any part.
An attempt has been made to extend the northern boundary of this Tract, so as to make it to include about three or four times as much as at present; but it is a fruitless
attempt: it can never be done without the most unblushing corruption of public men.
The position of this Tract between two navigable rivers, its own fertility, and its excellent landing places, must render it a very valuable section of the country.
CHACAGUA RIVER is generally swift in current, rises and falls rapidly, seldom overflows the alluvial lands along its borders, and furnishes much excellent timber. There are many fine springs along its bluffs, and along the tributary creeks: and the whole body of its soil may be said to be of excellent quality. Large settlements have already been made upon the river, and its tributaries. In the autumn of 1835, there were about 120 families in the vicinity of Crookshank's Point; and arrangements have been made for as many more to settle on Cedar creek, this spring. The improvements have extended up the river and up Crooked creek to the line. The lands on Richland and Crooked creeks are said to be peculiarly fine.
To what extent this river may be navigated, it is difficult to say. A small keel-boat has frequently ascended it, even at low water, a distance of 60 miles; and it is probable that it may be navigated much further. Steam-boats have not yet been upon it; but there appears to be no reason that they should not perform upon it to advantage.
Owing to the rapidity of its current, it affords great water-power. A large mill, both for sawing and grinding has been established about 10 miles above the mouth. To effect this, a dam has been thrown across the river; thus creating an obstruction to navigation, which must be abated as soon as the settlements above shall call for it. There are also a few snags in the mouth of the river, which will require removal.
FLINT CREEK is supplied chiefly by springs, and is consequently never very low. As it has great fall near where it passes from the high prairie to the level of the Mississippi bottom, and affords at all times a good supply of water, it is considered a stream well adapted to move machinery. Two saw-mills are already erected upon it, and more machinery will probably follow. There is some excellent land about the head of this creek, and good timber throughout its length. There is no navigation in it, except where it connects with a slue of the river, one or two miles long. Extensive settlements have been made on this creek, and a town has been laid out near its source. It was one of the first sections in attracting the attention of emigrants.
Iowa River has been usually much less esteemed than its advantages deserve. It is the largest tributary of the Mississippi above the Illinois, and probably affords more water than that river. It takes its rise among the innumerable lakes in the high flat country which divides the waters which run north-west into the Saint Peter's river, from those which run south-east into the Mississippi. This high country is a continuation of that which, being intersected by the action of the current, overhangs the Mississippi below Lake Pepin, and is there called "The Highlands." Having its source in these lakes, the river is perennially supplied with pure and limpid water, and as it meanders its way for 300 miles to the Father of Waters, receiving large tributary streams, as it moves along through rich meadows, deep forests, projecting cliffs, and sloping landscapes, it presents to the imagination the finest picture on earth of a country prepared by Providence for the habitation of man.
There are two principal branches of this river. That marked on the map as "Iowa or Red-Cedar," is by far the largest of the two. It is usually called "Red-Cedar Fork," and is so designated in the treaty of purchase of the District; but as that part of the river below the junction of this fork with the other is universally called Iowa; and as there is some confusion about the name of Red-Cedar, other streams being called by the same name, I have affixed the name of the united stream to the main tributary. The river marked on the map as "Bison R. usually called Iowa River," is sometimes called Horse River, and
sometimes Buffalo River. It is little known, and therefore I can say nothing of that part of it above the District line, except that tourists report the country along it, as well as all that between the Des Moines and Mississippi, as exceedingly beautiful and fertile. Major Gordon, who passed through it in August, 1835, and who has travelled extensively, says that "In point of beauty and fertility it is unsurpassed by any portion of the United States."
About the mouth of the Iowa, the country is flat, and is frequently flooded. It is two miles from the mouth to the bluffs, on one side, and about seven miles on the other side; and for a long way up both the forks, far above the line of the District, the river runs through a deep valley which it has gradually hollowed out for itself. From the mouth to the forks, this valley is full a mile in width, and above that, it is divided between the two streams. The river oscillates from side to side of this low ground, presenting alternately flats and bluffs. The high grounds in rear of the bottoms are sometimes precipitous and sometimes sloping, but uniformly about 200 feet high, and are frequently crowned with fine forests of oak and hickory. The current is rapid; sand-bars and snags are frequent; and the channel often changes position. In these respects, it is said much to resemble the Missouri river. It is believed that the main river can be easily navigated, during three or four months of the year, by steam-boats of light draught, as far up as some rapids near Poiskeik's village, a distance of 100 miles. These rapids are caused by the same ledge of rocks which makes the rapids of the Mississippi at Rock-Island: and the same ledge probably affects the Bison River. This obstruction once passed, boats will run with ease about 100 miles further to the mouth of Shell-Rock river, near the Neutral Grounds. By reference to the map, the reader will see where the dragoons crossed it last summer. At the lower crossing on a rocky rapid, it was two and a half feet deep; and at the upper crossing, not far from the lakes where it rises, it was 45 yards wide and four and a half feet deep: but here the current is very sluggish, and the size of the stream here does not indicate
its size below. It is probable that the lower crossing is about the smallest part of the river; and if so, keel-boats may ascend it to its very source.
The Bottoms along the river are usually prairie, and somewhat inclined to be sandy; but they are said to be admirably adapted to the growing of maize. The uplands are rich and dry. Extensive forests skirt the river and all its tributaries; fine springs are abundant; the smaller creeks afford good mill-sites; and there appears to be little left to be desired. The advantages of this region are marked by the fact, that the whole tribe of the Sauks and Foxes was congregated here, until after the sale of the District in 1832, although, as is shown by the map, they had almost a boundless region from which to select the sites for their villages, and their hunting grounds.
The Indian Reserve, designated on the map, contains 400 square miles, and was laid off to include Keokuk's old village. The Indians, finding themselves uncomfortable so near the whites, are all moving over to the Des Moines; and deeming this Reserve of no use to them, they are anxious to sell it. The Government has already taken measures to make the necessary treaty; and the Reserve may now be regarded as subject to settlement; in fact, many have already gone upon it; and every day adds to their number. But this Reserve has heretofore prevented many from settling upon the Iowa, as it was uncertain where the boundaries would be, and it was not known that it would soon be purchased. Now, however, the tide of emigration seems to be running chiefly towards the Iowa country.
The Muscatine Slue is about 80 yards wide, except where it spreads out, here and there, into small lakes; its current is gentle, and it affords a channel of about 4 feet in depth. And as the land around the exterior of the curve is exceedingly fertile, boats will probably run along the slue to carry off its rich productions. The island is a continuous marsh, and of course must give rise to much
malaria; but it is well adapted to the grazing of cattle during the summer and autumn. The point at the head of this sluice may be considered the *ultima thule* of the sickly region of the Mississippi; above this, the atmosphere is as pure and wholesome as that of any other climate in the world.
**PINE RIVER.** Instead of a large stream and a great forest of pines, as one would expect from this name, there is only a small creek and about twenty trees to be found. Though the creek be small, being fed by springs, it is constant; and having great fall, it affords good sites for machinery; and it has also good land and good timber upon its borders. The bluff, which is to be found all along the Mississippi, either overhanging the water, or separated from it by flat grounds, or sloping down to the water’s edge, here assumes the latter character; and on one side of the Pine is a fine sloping prairie, and on the other an open grove of oak. In this general slope, time has worn a wide and deep ravine, through which Pine River finds its way to the Mississippi. About one mile above the mouth, the Pine meets the back water from the Mississippi, and grows deeper and wider to the mouth; 600 yards above which, it is fifty yards wide, and five and a half feet deep; it affords a most excellent harbour for boats; the banks are sloping, and the landings on either side are convenient.
From the Pine up to the Wabesapinica, there are numerous creeks that empty into the Mississippi; some of them afford good water power; all of them have more or less timber along them; and as they rise far back in the prairie, and interlock with others running into the Iowa and Wabesapinica, there is no part of the large and fertile tract, lying between these three rivers, that is not conveniently supplied with timber. It is from the mouth of Pine river upward, that the beautiful country of the Mississippi begins to show itself.
WABESAPINICA RIVER. Of this stream I can only speak in the most general manner. About 30 miles above its mouth, it is 70 yards wide; and as it is unusually deep for its width, and no obstructions are known in it, it is probable that it will be navigated for many miles. Two men ascended it last summer about 200 miles in a canoe. It is said that there are very fine lands upon it; but that here, the timber begins to grow scarcer than on the Iowa; and that between it and the Great Mequoquetois, the soil is less productive.
GREAT MEQUOQUETOIS. This stream may be considered as the southern boundary of the mineral lands. I have a specimen of the ore of copper from this river, supposed to be valuable; and it is asserted that a very large body of it has been found, some days march up the river. There is a large swamp between this stream and the Wabesapinica; but what may be the particular character of the soil upon the Mequoquetois itself, I know not. It would be difficult, however, to find inferior soil over any large portion of this country. On a branch of this stream, within a short distance of navigable water, there is said to be very great water power, which is yet unoccupied.
TETES DES MORTS RIVER. Again the good farming land re-appears upon this stream. The timber also is found in sufficient quantities for agricultural purposes; and there is good water power at various places along it. Lead ore is abundant on both sides of it, though the mining operations have not yet been extended thus far from Du Baque.
CATICHE CREEK. This is a beautiful little stream, affording fine woods, rich lands, good water-power, and is very desirable for residences, on account of the numerous springs of fine water by which it is supplied.
CATFISH CREEK. The same remarks will apply to this creek as to the preceding, with the addition, that it is
much larger, and possesses the same advantages in a greater degree.
LITTLE MEQUOQUETOIS. This stream has been a favourite among the enterprising people who have settled on the west side of the Mississippi. Its stream is clear and rapid, affording several good sites for machinery, throughout the greater part of its course. It affords a depth of fifteen feet for two and a half miles above the mouth, and is wide enough to admit that far the largest boats that navigate the Upper Mississippi. The fertile lands on its borders are said to be extensive; and it affords large forests, also, composed chiefly of oak, walnut, ash, and cherry.
PENACA OR TURKEY RIVER. The Turkey river is navigable about thirty miles, for any steam-boat on the Upper Mississippi. The finest soil, the finest timber, and the finest mines are to be found on this river of all that lie within the mining region. For agricultural purposes alone, it is highly desirable; but if the mineral wealth beneath the soil be considered, it is not wonderful that crowds of emigrants should be hastening to it, as they now are.
This stream and its tributaries traverse the north-western part of the region heretofore ascertained to afford galena; but from observations made by myself and others as far north as Wabashaw’s Village, I have no doubt that this mineral will be found to extend over a portion of the territory vastly larger than has heretofore been supposed.
CHAPTER III.
Remarks upon Towns, Landings, and Roads.
In this embryo State, those interested are anxiously looking out for places where are to be the future cities to do the trade and manufacturing of the country. I propose making a few remarks upon places that have attracted most attention.
WARSAW, situated in Hancock County, Illinois, on the east bank of the Mississippi, immediately opposite the mouth of the Des Moines, is destined to do all the forwarding trade of that river. There is no place on the Des Moines itself, within less than 14 miles of the mouth, where a town can be built. On the west side of the Mississippi, below the mouth, the ground is too low and subject to be flooded; and above the mouth, on the same side, it is three or four miles before you can reach suitable ground for building. As the current of the river is very strong, this distance would effectually prevent the ascent of flat boats to that point; whereas, they might easily cross the river to the opposite town. Warsaw will be a place of considerable business, derived from its own back country, and being so conveniently situated for the trade of the Des Moines, the two together must make it an important town.
It is situated in part under, and in part upon the bluff, which is abrupt and about 200 feet high. The convenient space for building near the water is quite limited; but there is ample room for the town to spread upon the hill, and the ascent from the river is easy. Few buildings are yet erected; but the public attention has been recently much directed to the place, and it is beginning to grow
rapidly. Water lots sold there, in the autumn of 1835, at the rate of ten dollars per foot; but the building lots on the hill are yet sold at very low rates. The proprietors are men of character and respectability, and give indisputable titles to lots.
Keokuk is situated on the west bank of the Mississippi, near the foot of the Lower Rapids, and derives its chief importance from that obstruction. Boats stop here to change their freight; and sometimes they store their cargoes to await a rise in the water. When the Half-Breed lands were surveyed, a mile square was laid off here for a town-site, and it is understood that this is to be held in common by all the claimants to these lands. It was expected that large storages would be made at this place for all the trade of that part of the Mississippi lying above these rapids; but as the means of obviating the difficulties caused by them are improved, the less will this trade contribute to the growth of this town. It has a small back country along the Mississippi opposite the rapids, and on the Des Moines and Sugar creek. No fee-simple titles to lots can yet be procured, as the town site is subject to the same difficulties as the Half-Breed tract generally.
Fort Des Moines. There is a good landing here, a fine site for a town, and some good farming lands around. Being situated just at the head of the rapids, it is the most convenient place for the larger boats to change their freight to and from the smaller boats that take it over the rapids. It is said to have been the site of an old French village; and there are some remains of such a settlement. This spot is at present occupied by a detachment of the United States Dragoons; but it is probable that the post will soon be abandoned; and then it will be subject to occupation, as are other Half-Breed lands.
Madison. This is the site of old Fort Madison, which was abandoned by its garrison and burnt during the last war with Britain. Nature seems to have designed this
place for the trade of an extensive back country. It has an excellent landing, the only good one from Fort Des Moines to Burlington; and the locality is well adapted to an extensive city. By casting the eye on the map, it will be perceived that all that fine country between the Des Moines and Chacaqua rivers must do its import and export business at this point. This place was laid out in lots in November, 1835; the lots were immediately sold out, and building is now rapidly progressing.
BURLINGTON. This place has a good landing, and a tolerable site for building. There is a fine quarry of sandstone within the town. The first settlement was made here in 1833, and the town was laid out in 1834. It contained about 400 inhabitants at the close of 1835, and lots of 60 feet front in the best situations, were then selling as high as fifteen hundred dollars. The country back of this town of yesterday, has the appearance of an old settled region. Here are farms containing as much as 350 acres under cultivation, in places where a plough had never been a year before. As there is no other convenient site for a town on the Mississippi, between the Chacaqua and Iowa rivers, an inspection of the map will show a large and fertile region that must necessarily do all its trading at Burlington. It is at present the seat of justice of Des Moines County.
There are several sites for towns spoken of about the mouth of the Iowa; but none of these places can have any importance; as I deem it certain that there can be no town of magnitude near the Mississippi, unless it be on the Mississipi, except in very peculiar cases, such as that of Galena in the Lead Mines.
NEW BOSTON, situated on the Illinois shore, opposite to the mouth of the Iowa, will do the forwarding business of that river, as Warsaw will that of the Des Moines, and for similar reasons. This place has a good landing and a fine harbour; but its site is excessively sandy, and the stagnant water in the vicinity renders it unhealthy.
KASEY'S. A gentleman of this name intends laying out a town at the head of the Muscatine Slue. The place possesses the advantages of an excellent landing, and of a fine back country; but the bluff, probably 200 feet high, approaches the river very abruptly, allowing little room for building below it, and rendering difficult the ascent to the level ground above. The contiguity of the swamps of the Muscatine Island and of Sturgeon Bay, will have a tendency to create much disease at this point. Notwithstanding these disadvantages, it must be a place of considerable trade; as it is the first place above Burlington, where a town can be built on the west bank of the Mississippi, thus leaving an interval between these two places of forty miles on the river.
IOWA. This is the name of a town to be laid out at the mouth of Pine river, about 330 miles above Saint Louis. From its situation at the apex of a great bend in the Mississippi, it is central to a large district of country; and the near approach of the Iowa river just back of it, brings all the settlements along a great part of that stream, within a short distance of this place. It possesses the most convenient landing from Burlington to the head of the Upper Rapids; and no place could be better adapted to the erection of buildings. The harbour of Pine river runs through the town, affording good landings on both sides; and boats may land anywhere on the Mississippi shore, for a mile and a half above the mouth of Pine. This will be the point of deposit for the trade of the country included between the Iowa, Wabesapinica, and Mississippi; and for the disembarkation of emigrants going to that region. But a simple inspection of the map is sufficient to show its general advantages of position. Its local conveniences are, its landing, its harbour, its fine sloping grounds, its good water, its water-power, its timber, and its building-stone.
As soon as the Legislative Council of Wisconsin shall be assembled, the District will be re-divided into counties; and Madison and Iowa will probably be made county
towns. Should the seat of Government of the future State of Iowa be located on the Mississippi, it would probably be fixed at Iowa, owing to the central position and commercial advantages of that place; and if it be located in the interior, it must be near the Iowa river, as the weight of population will be there; and then the town of Iowa will be the nearest port on the Mississippi to the Capital of the State. There are some of the most beautiful sites for private residences between this and Rock Island, that can be desired; Nature here has made her finest display of gay and cheerful beauty.
Throckmorton's Landing. About six miles above Iowa is the next landing; and it is said to be a very convenient one. This point is stated by the surveyor of the boundary line of the purchase, to be just forty miles from the angle of that line on the Iowa river. It is a handsome place, and belongs to a worthy man, who knows how to prize its value.
Clark's Ferry. This is the most convenient place to cross the Mississippi, that I have seen any where between the Balize and Prairie du Chien. Nature seems to have designed it for a great crossing place, by arranging good banks just opposite to an opening in the islands, and at a point where a good ferry would naturally be much wanted. All persons coming from the direction of the Illinois river to the great Mining Region of the Iowa District, or passing toward the Capital of the future State of Iowa, would naturally cross the Mississippi at this ferry. Were the landing good on the west side, there would certainly be a large town there, instead of the site at the mouth of Pine river.
Davenport. This is a town just laid out on a Reserve belonging to Antoine Leclair; and as he has the fee-simple title to his Reserve, the titles to lots sold here are subject to no difficulty whatever. It is nearly opposite to the lower end of Rock-Island, about 350 miles by water,
above Saint Louis, and is situated on high ground, with a beautiful range of sloping hills running in the rear of it. The town of Stephenson, the mouth of Rock river, the picturesque works on Rock-Island, and Leclair's house and plantation, are all within full view of this point. Its situation is certainly delightful, so far as beauty and health are concerned; but there is doubt as to the convenience of landing. Its position, near the foot of the Rapids, where navigation is much obstructed, will cause it to be resorted to as a place of shipment, both for persons and freight. Water-power, building stone, and bituminous coal are convenient, and abundance of excellent timber is to be found on the hills and creeks of the vicinity.
The town has been laid out on a liberal scale, with a view to its becoming a large city. Three public squares have been reserved from sale, one of which, it is supposed by the proprietors, will be occupied by the public buildings of the future State of Iowa; for they confidently predict that the seat of Government of this forth-coming commonwealth will be no other than the city of Davenport itself. *Nous verrons.*
**Parkhurst.** Of this place, not yet laid out, it is sufficient to say that the site is beautiful, the landing good, building material convenient, and the back country fine. There is nothing wanting to make it a town but the people and the houses, and these will soon be there. Its position at the head of the Rapids will throw a little more trade and storage there, than it would otherwise have. A good deal of the trade of the Wabesapinica will find a port at Parkhurst; and many persons, emigrating from Illinois and the Lakes, will pass by this route.
**Bellevue.** This place has a good landing, where boats approach close to shore for one and a half miles above the mouth of the Tetes des Morts. There is no room for building near the water's edge, in consequence of the proximity of the bluff to the river; but an easy ascent may be effected from the landing to the heights, where there
is no want of space for a town of any magnitude. The prairie runs back from the river about one mile; and in rear of that again there is open woods for several miles. Fine white limestone, approaching marble, is found abundantly in this bluff; and a saw-mill at hand affords lumber convenient for building. There is a good ferry already established; and the mineral and agricultural resources of the contiguous region are attracting many emigrants. The town was laid out in 1835, and immediately after several houses were erected, and lots sold at prices varying from one to two dollars per foot. It must soon be a place of much trade.
**Catfish.** This is a little place laid out in 1832, on a piece of flat ground, containing about fifteen acres, and hemmed in on all sides by a precipitous rocky bluff, the Mississippi, and the creek of the same name. It possesses great advantages in the richness of the contiguous mines, has a good landing, a mill near at hand, and is withal a very busy little place. It takes its name from the quantities of catfish that are found in the sluggish water at the mouth of the creek.
**Riprow.** Here are mines along the sloping hill side; where, as you sweep along the Mississippi on the noisy steamer, you may see the hardy miners, as they tear the lead from the bowels of the earth. Here, too, are some of the finest smelting establishments in the world. The landing is good, and fuel and building materials are convenient. Several stores are already established about the furnaces, though no grounds have yet been laid off for sale as town lots.
**Du Buque.** This is the centre of the Mining Region of the Iowa District. The operations in these mines were commenced in the year 1832, when the country was still in the possession of the Indians; and in 1833, after the acquisition of the District by the United States, the town was laid out, and permanently settled. It contained in the
autumn of 1835, about twenty-five dry good stores, numerous groceries, four taverns, a court-house, a jail, and three churches. One of these, the Catholic, is a beautiful little building. Ten steam-boats, which run between this and Saint Louis, are partly owned here; and there is also here a steam-ferry-boat. The site of the town is very handsome, and building materials and fuel are convenient. The surrounding country is as fertile in grain and grass as productive in mineral.
In the autumn of 1835, the population was about 1,200, and was rapidly increasing. The people of this town are exceedingly active and enterprising, carrying on an extensive trade in the products of their mines, and in supplying the miners with the necessaries and comforts of life. Every thing here is in a flourishing condition, for all labour is well paid.
As the lands yet belong to the United States, and no regulations have been made in relation to the working of the mines, they are subject to the occupation of any one who may think proper to take possession. New deposits are discovered daily, and there are doubtless others yet to be found as rich as any already explored. The miners here pay no tribute, as they do at the mines about Galena; nor will they be called on to do so, until the country shall be surveyed and brought into market; and in the meantime, the settler may make money enough to pay for many quarter sections of land.
The Art of Mining is said to be more skilfully practised at these mines than in any other part of the world. Here are capital, western enterprise, foreign experience, and Yankee ingenuity combined; and they have brought to their assistance the powers of both water and steam. The smelting establishments have recently been much improved, and are now conducted with scientific accuracy, yielding seventy or eighty per cent. of lead from the native sulphuret.
Peru. On the south side of the Little Nequoquetois, a
strip of low ground, about a mile wide and covered with timber, separates the high ground from the Mississippi; but boats readily run up the stream to the heights, where is beautifully situated, on rolling ground, the town of Peru, so named from the richness of the mines by which it is surrounded. It has beauty of situation, richness of surrounding soil, great mineral wealth in its vicinity, convenience of wood, stone and lumber, and every thing that could be desired for a town in this climate, except that it is not exactly on the Mississippi. Nevertheless, Peru must be a place of much trade in the products of the contiguous mines.
There are many smaller towns, and sites for towns in expectation, not mentioned in these notes. Some of these places deserve a particular description; but it is not in the power of the author to give it, for want of sufficient information.
Roads. The natural surface of the ground is the only road yet to be found in Iowa District; and such is the nature of the soil, that in dry weather we need no other. The country being so very open and free from mountains, artificial roads are little required. A few trees taken out of the way, where the routes much travelled traverse the narrow woods, and a few bridges thrown over the deeper creeks, is all the work necessary to give good roads in any direction.
A post-route has been established from Saint Louis to Du Buque, passing by the west side of the Mississippi; and it is quite probable, that by the first of September next, post coaches, drawn by four horses, will be running regularly through that route.
It may appear to some unacquainted with the character of our western people, and not apprized of the rapid growth of this country, that some of my descriptions and predictions are fanciful; but if there be error in them, it is rather that the truth is not fully expressed than that it is transcended.
AN ACT
For establishing the Territorial Government of Wisconsin.
SECTION 1. Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled, That from and after the third day of July next, the country included within the following boundaries shall constitute a separate Territory, for the purposes of temporary government, by the name of Wisconsin; that is to say: Bounded on the east, by a line drawn from the north-east corner of the State of Illinois, through the middle of Lake Michigan, to a point in the middle of said lake, and opposite the main channel of Green Bay, and through said channel and Green Bay to the mouth of the Menomonee river; thence through the middle of the main channel of said river, to that head of said river nearest to the Lake of the Desert; thence in a direct line, to the middle of said lake; thence through the middle of the main channel of the Montreal river, to its mouth; thence with a direct line across Lake Superior, to where the territorial line of the United States touches said lake north-west; thence on the north, with the said territorial line, to the White-earth river; on the west, by a line from the said boundary line following down the middle of the main channel of White-earth river, to the Missouri river, and down the middle of the main channel of the Missouri river to a point due west from the north-west corner of the state of Missouri; and on the south, from said point, due east to the north-west corner of the state of Missouri; and thence with the boundaries of the States of Missouri and Illinois, as already fixed by act of Congress. And after the said third day of
July next, all power and authority of the Government of Michigan in and over the territory hereby constituted, shall cease: Provided, That nothing in this act contained shall be construed to impair the rights of person or property now appertaining to any Indians within the said Territory, so long as such rights shall remain unextinguished by treaty between the United States and such Indians, or to impair the obligations of any treaty now existing between the United States and such Indians, or to impair or anywise to affect the authority of the Government of the United States to make any regulations respecting such Indians, their lands, property, or other rights, by treaty, or law, or otherwise, which it would have been competent to the Government to make if this act had never been passed: Provided, That nothing in this act contained shall be construed to inhibit the Government of the United States from dividing the territory hereby established into one or more other Territories, in such manner, and at such times, as Congress shall in its discretion, deem convenient and proper, or from attaching any portion of said Territory to any other State or Territory of the United States.
SEC. 2. And be it further enacted, That the Executive power and authority in and over the said Territory shall be vested in a Governor, who shall hold his office for three years, unless sooner removed by the President of the United States. The Governor shall reside within the said Territory, shall be commander-in-chief of the militia thereof, shall perform the duties and receive the emoluments of superintendent of Indian affairs, and shall approve of all laws passed by the Legislative Assembly before they shall take effect; he may grant pardons for offences against the laws of the said Territory, and reprieves for offences against the laws of the United States, until the decision of the President can be made known thereon; he shall commission all officers who shall be appointed to office under the laws of the said Territory, and shall take care that the laws be faithfully executed.
SEC. 3. And be it further enacted, That there shall
be a Secretary of the said Territory, who shall reside therein, and hold his office for four years, unless sooner removed by the President of the United States; he shall record and preserve all the laws and proceedings of the Legislative Assembly hereinafter constituted; and all the acts and proceedings of the Governor in his executive department; he shall transmit one copy of the laws and one copy of the Executive proceedings, on or before the first Monday in December in each year, to the President of the United States; and at the same time, two copies of the laws to the Speaker of the House of Representatives, for the use of Congress. And in case of the death, removal, resignation, or necessary absence of the Governor from the Territory, the Secretary shall have and he is hereby authorized and required to execute and perform, all the powers and duties of the Governor during such vacancy or necessary absence.
SEC. 4. And be it further enacted, That the Legislative power shall be vested in the Governor and a Legislative Assembly. The Legislative Assembly shall consist of a Council and House of Representatives. The Council shall consist of thirteen members, having the qualifications of voters as hereinafter described, whose term of service shall continue four years. The House of Representatives shall consist of twenty-six members, possessing the same qualifications as prescribed for the members of the Council, and whose term of service shall continue two years. An apportionment shall be made, as nearly equal as practicable, among the several counties, for the election of the Council and Representatives, giving to each section of the Territory representation in the ratio of its population, Indians excepted, as nearly as may be. And the said members of the Council and House of Representatives shall reside in and be inhabitants of the district for which they may be elected. Previous to the first election, the Governor of the Territory shall cause the census or enumeration of the inhabitants of the several counties in the Territory to be taken and made by the sheriffs of the said counties, respectively, and returns thereof made by said sheriffs to
the Governor. The first election shall be held at such time and place, and be conducted in such manner, as the Governor shall appoint and direct; and he shall, at the same time, declare the number of members of the Council and House of Representatives to which each of the counties is entitled under this act. The number of persons authorized to be elected having the greatest number of votes in each of the said counties for the Council, shall be declared, by the said Governor, to be duly elected to the said Council; and the person or persons having the greatest number of votes for the House of Representatives, equal to the number to which each county may be entitled, shall also be declared, by the Governor, to be duly elected: Provided, The Governor shall order a new election when there is a tie between two or more persons voted for, to supply the vacancy made by such tie. And the persons thus elected to the Legislative Assembly shall meet at such place on such day as he shall appoint; but thereafter, the time, place, and manner of holding and conducting all elections by the people, and the apportioning the representation in the several counties to the Council and House of Representatives, according to population, shall be prescribed by law, as well as the day of the annual commencement of the session of the said Legislative Assembly; but no session, in any year, shall exceed the term of seventy-five days.
SEC. 5. And be it further enacted, That every free white male citizen of the United States, above the age of twenty-one years, who shall have been an inhabitant of said Territory at the time of its organization, shall be entitled to vote at the first election, and shall be eligible to any office within the said Territory; but the qualifications of voters at all subsequent elections shall be such as shall be determined by the Legislative Assembly: Provided, That the right of suffrage shall be exercised only by citizens of the United States.
SEC. 6. And be it further enacted, That the Legislative power of the Territory shall extend to all rightful subjects of legislation; but no law shall be passed interfering with the primary disposal of the soil; no tax shall be imposed upon the property of the United States; nor shall the lands or other property of non-residents be taxed higher than the lands or other property of residents. All the laws of the Governor and Legislative Assembly shall be submitted to, and if disapproved by the Congress of the United States, the same shall be null and of no effect.
SEC. 7. And be it further enacted, That all township officers, and all county officers, except judicial officers, justices of the peace, sheriffs, and clerks of courts, shall be elected by the people, in such manner as may be provided by the Governor and Legislative Assembly. The Governor shall nominate, and by and with the advice and consent of the Legislative Council, shall appoint, all judicial officers, justices of the peace, sheriffs, and all militia officers, except those of the staff, and all civil officers not herein provided for. Vacancies occurring in the recess of the Council shall be filled by appointments from the Governor, which shall expire at the end of the next session of the Legislative Assembly; but the said Governor may appoint, in the first instance, the aforesaid officers, who shall hold their offices until the end of the next session of the said Legislative Assembly.
SEC. 8. And be it further enacted, That no member of the Legislative Assembly shall hold or be appointed to any office created, or the salary or emoluments of which shall have been increased, whilst he was a member, during the term for which he shall have been elected, and for one year after the expiration of such term; and no person holding a commission under the United States, or any of its officers, except as a militia officer, shall be a member of the said Council, or shall hold any office under the Government of the said Territory.
SEC. 9. And be it further enacted, That the Judicial power of the said Territory shall be vested in a supreme court, district court, probate courts, and in justices of the peace. The supreme court shall consist of a chief justice
and two associate judges, any two of whom shall be a quorum, and who shall hold a term at the seat of Government of the said Territory, annually, and they shall hold their offices during good behaviour. The said Territory shall be divided into three judicial districts; and a district court or courts shall be held in each of the three districts, by one of the judges of the supreme court, at such times and places as may be prescribed by law. The jurisdiction of the several courts herein provided for, both appellate and original, and that of the probate courts, and of the justices of the peace, shall be as limited by law: Provided, however, That justices of the peace shall not have jurisdiction of any matter of controversy, when the title of boundaries of land may be in dispute, or where the debt or sum claimed exceeds fifty dollars. And the said supreme and district courts, respectively, shall possess chancery as well as common law jurisdiction. Each district court shall appoint its clerk, who shall keep his office at the place where the court may be held, and the said clerks shall also be the registers in chancery; and any vacancy in said office of clerk happening in the vacation of said court, may be filled by the judge of said district, which appointment shall continue until the next term of said court. And writs of error, bills of exception, and appeals in chancery causes, shall be allowed in all cases from the final decisions of said district courts to the supreme court, under such regulations as may be prescribed by law; but in no case removed to the supreme court, shall a trial by jury be allowed in said court. The supreme court may appoint its own clerk, and every clerk shall hold his office at the pleasure of the court by which he shall have been appointed. And writs of error and appeals from the final decisions of the said supreme court shall be allowed and taken to the Supreme Court of the United States, in the same manner, and under the same regulations, as from the circuit courts of the United States, where the value of the property, or the amount in controversy, to be ascertained by the oath or affirmation of either party, shall exceed one thousand dolAnd each of the said district courts shall have and exercise the same jurisdiction, in all cases arising under the constitution and laws of the United States, as is vested in the circuit and district courts of the United States. And the first six days of every term of the said courts, or so much thereof as shall be necessary, shall be appropriated to the trial of causes arising under the said constitution and laws. And writs of error, and appeals from the final decisions of the said courts, in all such cases, shall be made to the supreme court of the Territory, in the same manner as in other cases. The said clerks shall receive, in all such cases, the same fees which the clerk of the district court of the United States in the northern district of the State of New York receives for similar services.
SEC. 10. And be it further enacted, That there shall be an attorney for the said Territory appointed, who shall continue in office four years, unless sooner removed by the President, and who shall receive the same fees and salary as the attorney of the United States for the Michigan Territory. There shall also be a marshal for the Territory appointed, who shall hold his office for four years, unless sooner removed by the President, who shall execute all process issuing from the said courts when exercising their jurisdiction as circuit and district courts of the United States. He shall perform the same duties, be subject to the same regulations and penalties, and be entitled to the same fees, as the marshal of the district court of the United States for the northern district of the State of New York; and shall, in addition, be paid the sum of two hundred dollars, annually, as a compensation for extra services.
SEC. 11. And be it further enacted, That the Governor, Secretary, Chief Justice and Associate Judges, Attorney, and Marshal, shall be nominated, and, by and with the advice and consent of the Senate, appointed by the President of the United States. The Governor and Secretary, to be appointed as aforesaid, shall, before they act as such, respectively take an oath or affirmation before some judge or justice of the peace in the existing Territory of Michigan, duly commissioned and qualified to administer an oath or affirmation, to support the Constitution of the United States, and for the faithful discharge of the duties of their respective offices; which said oaths, when so taken, shall be certified by the person before whom the same shall have been taken, and such certificate shall be received and recorded by the said Secretary among the Executive proceedings. And, afterwards, the Chief Justice and Associate Judges, and all other civil officers in said Territory, before they act as such, shall take a like oath or affirmation before the said Governor or Secretary, or some judge or justice of the Territory who may be duly commissioned and qualified, which said oath or affirmation shall be certified and transmitted by the person taking the same to the Secretary, to be by him recorded as aforesaid; and, afterwards, the like oath or affirmation shall be taken, certified, and recorded, in such manner and form as may be prescribed by law. The Governor shall receive an annual salary of two thousand five hundred dollars for his services as Governor, and as superintendent of Indian Affairs. The said Chief Justice and Associate Judges shall each receive an annual salary of eighteen hundred dollars. The Secretary shall receive an annual salary of twelve hundred dollars. The said salaries shall be paid quarter-yearly, at the Treasury of the United States. The members of the Legislative Assembly shall be entitled to receive three dollars each per day, during their attendance at the sessions thereof; and three dollars each for every twenty miles' travel in going to, and returning from, the said sessions, estimated according to the nearest usually travelled route. There shall be appropriated, annually, the sum of three hundred and fifty dollars, to be expended by the Governor to defray the contingent expenses of the Territory; and there shall also be appropriated, annually, a sufficient sum, to be expended by the Secretary of the Territory, and upon an estimate to be made by the Secretary of the Treasury of the United States, to defray the expenses of the Legislative Assembly, the printing of the laws, and other incidental expenses;
and the Secretary of the Territory shall annually account to the Secretary of the Treasury of the United States for the manner in which the aforesaid sum shall have been expended.
SEC. 12. And be it further enacted, That the inhabitants of the said Territory shall be entitled to, and enjoy, all and singular the rights, privileges, and advantages, granted and secured to the people of the Territory of the United States north-west of the river Ohio, by the articles of the compact contained in the ordinance for the government of the said Territory, passed on the thirteenth day of July, one thousand seven hundred and eighty-seven; and shall be subject to all the conditions and restrictions and prohibitions in said articles of compact imposed upon the people of the said Territory. The said inhabitants shall also be entitled to all the rights, privileges, and immunities heretofore granted and secured to the Territory of Michigan, and to its inhabitants, and the existing laws of the Territory of Michigan shall be extended over said Territory, so far as the same be not incompatible with the provisions of this act, subject, nevertheless, to be altered, modified, or repealed, by the Governor and Legislative Assembly of the said Territory of Wisconsin; and further, the laws of the United States are hereby extended over, and shall be in force in, said Territory, so far as the same, or any provisions thereof, may be applicable.
SEC. 13. And be it further enacted, That the Legislative Assembly of the Territory of Wisconsin shall hold its first session at such time and place in said Territory as the Governor thereof shall appoint and direct; and at said session, or as soon thereafter as may by them be deemed expedient, the said Governor and Legislative Assembly shall proceed to locate and establish the seat of Government for said Territory, at such place as they may deem eligible, which place, however, shall thereafter be subject to be changed by the said Governor and Legislative Assembly. And twenty thousand dollars, to be paid out of any money in the Treasury not otherwise appropriated, is hereby given to the said Territory, which shall be applied
by the Governor and Legislative Assembly to defray the expenses of erecting public buildings at the seat of Government.
SEC. 14. And be it further enacted, That a delegate to the House of Representatives of the United States, to serve for the term of two years, may be elected by the voters qualified to elect members of the Legislative Assembly, who shall be entitled to the same rights and privileges as have been granted to the delegates from the several Territories of the United States to the said House of Representatives. The first election shall be held at such time and place, or places, and be conducted in such manner, as the Governor shall appoint and direct. The person having the greatest number of votes shall be declared by the Governor to be duly elected, and a certificate thereof shall be given to the person so elected.
SEC. 15. And be it further enacted, That all suits, process, and proceedings, and all indictments and informations, which shall be undetermined on the third day of July next, in the courts held by the additional judge for the Michigan Territory, in the counties of Brown and Iowa; and all suits, process, and proceedings, and all indictments and informations, which shall be undetermined on the said third day of July, in the county courts of the several counties of Crawford, Brown, Iowa, Dubuque, Milwalke, and Desmoines, shall be transferred to be heard, tried, prosecuted, and determined in the district courts hereby established, which may include the said counties.
SEC. 16. And be it further enacted, That all causes which shall have been, or may be removed from the courts held by the additional judge for the Michigan Territory, in the counties of Brown and Iowa, by appeal or otherwise, into the supreme court for the Territory of Michigan, and which shall be undetermined therein on the third day of July next, shall be certified by the clerk of the said supreme court, and transferred to the supreme court of said Territory of Wisconsin, there to be proceeded in to final determination, in the same manner that they
might have been in the said supreme court of the Territory of Michigan.
SEC. 17. And be it further enacted, That the sum of five thousand dollars be, and the same is hereby, appropriated, out of any money in the Treasury not otherwise appropriated, to be expended by and under the direction of the Legislative Assembly of said Territory, in the purchase of a library for the accommodation of said Assembly, and of the supreme court hereby established.
JAMES K. POLK,
Speaker of the House of Representatives.
M. VAN BUREN,
Vice-President of the United States,
and President of the Senate.
Approved: 20th April, 1836.
ANDREW JACKSON.
H. S. TANNER,
GEOGRAPHER AND MAP PUBLISHER,
Shakspeare Buildings, Philadelphia,
(North-west corner of Sixth and Chesnut Streets,)
Is preparing, and will publish on the 20th of June, 1836, a new, and greatly improved, edition of his four sheet
MAP OF THE UNITED STATES,
and contiguous British Possessions.
This map is projected on a scale of 30 miles to the inch, is 5 feet 4 inches long, and 4 feet 2 inches high. It exhibits all the Counties in each State, new Towns, Roads, Canals, Rail Roads—many of which have never been shown on any similar map. In it are embodied all Government Surveys up to the present time, comprising an aggregate area of more than 400,000 square miles of actual and accurate surveys. In addition to these important accessions to the stock of knowledge on the general Geography of the United States, the Map contains, in supplementary sections, plans of Boston, New York, Philadelphia, Baltimore, Washington, Charleston, New Orleans, and Cincinnati, besides Maps of the environs of those cities on extensive scales; Maps of the Western Territory, extending to the shores of the Pacific Ocean; the Outlet of the Oregon River are also included within the border of the map, together with copious Statistical Tables, which exhibit the Area, Capital, Metropolis, Date of Constitution, Time of Stated Meetings of the Legislature, Day of General Election, and Population of each State and Territory of the Union.
Maps of the World and different quarters of the Globe, corresponding in size and style of execution with the above, together with an extensive variety of pocket travelling Maps and Guide Books, have also been published, and are for sale by the Publisher and his Agents.
[Back Cover]
| Date | Location | Event Description |
|------------|-----------|-------------------|
| 1900-01-01 | New York | First meeting |
| 1900-02-01 | London | Second meeting |
| 1900-03-01 | Paris | Third meeting |
| 1900-04-01 | Berlin | Fourth meeting |
| 1900-05-01 | Moscow | Fifth meeting |
| 1900-06-01 | Tokyo | Sixth meeting |
| 1900-07-01 | Sydney | Seventh meeting |
| 1900-08-01 | Rio de Janeiro | Eighth meeting |
| 1900-09-01 | Cairo | Ninth meeting |
| 1900-10-01 | Buenos Aires | Tenth meeting |
| 1900-11-01 | Cape Town | Eleventh meeting |
| 1900-12-01 | Jakarta | Twelfth meeting |
*Note: The dates are placeholders and should be replaced with actual dates.*
Map showing the location of the proposed dam site on the Mississippi River near Memphis, Tennessee.
MAP OF PART OF THE CHIPPENWAY TERRITORY
COMPILED FROM TENNENT'S MAP OF CEDILS, FROM SURVEYS OF PUBLIC LANDS AND ANCESTRAL BOUNDARIES, FROM PERSONAL RECOGNITIONS, AND FROM ORIGINAL INFORMATION OBTAINED FROM EXPLORERS AND TRADERS.
SCALE OF 16 MILES TO 1 INCH
Longitude West from Washington City
REFERENCES
State and Territorial Boundaries
Boundary of Indian Tribes
Quinn's Line
Tract
Roads
Towns
Counties
Villages
Rapids
MADE BY JAMES D. WAGGONER
CEDED TO UNITED STATES FOR INDIAN PURPOSES
STATE LIBRARY OF IOWA
3 1723 02046 5969 |
The continental intraplate volcanism of Syria: Rift-related or plume-induced
Dissertation zur Erlangung des Doktorgrades der Mathematisch-Naturwissenschaftlichen Fakultät der Christian-Albrechts-Universität zu Kiel
vorgelegt von Marc-Sebastian Krienitz
Kiel 2004
Referent/in: ..........................................................................................................
Korreferent/in: ..........................................................................................................
Tag der mündlichen Prüfung: .....................................................................................
Zum Druck genehmigt: Kiel, ...................................................................................
Der Dekan
Ich versichere an Eides statt, dass die vorliegende Abhandlung ausschließlich unter Verwendung der angegebenen Hilfsmittel entstanden ist und, abgesehen von der Beratung durch meine akademischen Lehrer, nach Inhalt und Form meine eigene Arbeit darstellt.
Kiel, den ............................................ .......................................................
Marc-Sebastian Krienitz
CHAPTER ONE
Constraints on Continental, Intra-Plate Volcanism in Northwestern Syria: Crustal Contamination Versus Subcontinental Lithospheric Mantle Sources
Abstract 1
1.1 Introduction 2
1.2 Geological framework 2
1.3 Analytical methods 4
1.4 Results 14
1.4.1 Classification 14
1.4.2 Petrography 14
Alkali basalts and basanite 14
Tholeiites and basaltic andesites 15
Hawaiites and mugearites 15
1.4.3 Chemical alteration 16
1.4.4 Major and trace elements 16
1.4.5 Sr-, Nd- and Pb-isotopes 19
1.5 Discussion 24
1.5.1 Major and trace element behaviour during fractional crystallisation 24
1.5.2 Crustal contamination 26
1.5.3 Mantle sources and partial melting 30
1.6 Concluding comments 33
Acknowledgments 33
References 34
CHAPTER TWO
The Harrat Ash Shamah Volcanic Field in Southern Syria: Magmatic Sources, Magma Genesis and Indications for Plume-Asthenosphere Interaction
Abstract 37
2.1 Introduction 38
2.2 Geological setting 38
2.3 Sample preparation and analytical methods 41
2.4 Classification 50
2.5 Petrographic and geochemical results 51
2.5.1 Petrography 51
2.5.2 Geochemistry 51
2.5.3 Major and trace element content 55
2.5.4 Isotopic correlations 55
2.6 Discussion 59
2.6.1 Effects of alteration 59
2.6.2 Control of fractional crystallisation and crystal accumulation on HAS lavas 59
2.6.3 Crustal contamination of the HAS magmas 60
2.6.4 Parental magma composition 60
2.6.5 Partial melting processes beneath the HAS 62
2.6.6 Mantle sources of the Syrian HAS magmas 68
2.6.7 Temporal variations in the melting regime 69
2.7 Conclusions 71
Acknowledgements 72
References 72
CHAPTER THREE
The Afro-Arabian Connection: Volcanism in Syria and the Role of the Afar Plume
Abstract 77
3.1 Introduction 78
3.2 Geological setting 80
3.3 Analytical procedures 80
3.4 Results 92
3.4.1 $^{40}$Ar/$^{39}$Ar mineral and whole rock ages and spectra 92
3.4.2 Sr, Nd, and Pb isotopes 93
3.5 Discussion 97
3.5.1 Temporal implications on volcanism 97
3.5.2 Mantle sources contributing to the continental Afro-Arabian volcanism 99
3.5.3 The melting regime in the Afro-Arabian region 103
3.6 Conclusion 105
Acknowledgements 106
References 106
Vorwort
Die vorliegende Dissertation besteht aus drei Kapiteln, die zwar unabhängig voneinander publiziert werden können, die in Umfang und innerer Kohärenz aber auch einer monographischen Dissertation entsprechen und denen eine Einführung und Zusammenfassung vorangestellt ist.
Meinem Betreuer Dr. habil. Karsten Haase, auf dessen Anregung hin dieses Projekt zustande kam, möchte ich für seine gute Betreuung meinen herzlichsten Dank aussprechen, ebenso für seinen Enthusiasmus, die vielen Denkanstösse und ausgiebigen Diskussionen während der Entstehung dieser Arbeit. Darüber hinaus bin ich ihm sehr dankbar, daß er mir die Möglichkeit zur Promotion gab, wofür ich ebenfalls Herrn Prof. Peter Stoffers herzlichst danke. Insbesondere gilt mein Dank Prof. Klaus Mezger für die Möglichkeit zur Durchführung der Isotopen-Messungen in Münster sowie für seine hervorragende Betreuung und all die kleinen Kniffe und Tricks bei den Aufschlüssen und während der Messungen. Prof. M. A. Shaikh-Mashail von der Universität Aleppo in Syrien sei für seine Organisation und seine Unterstützung während des Geländeaufenthaltes gedankt, ohne die wahrscheinlich nie eine so ausführliche Beprobung hätte durchgeführt werden können.
Bei Dieter Garbe-Schönberg und dem gesamten Team aus dem fünften Stock möchte ich mich für ihre Unterstützung während der ICP-MS Analytik und für die Messungen bedanken. Peter Appel, Barbara Mader sowie Astrid Weinkauf bin ich für Ihre Hilfe während der RFA und Mikrosondenanalytik dankbar. Paul van den Boogard sei für seine Hilfe und für die Durchführung der Altersdatierungen bedankt. All den Münsteranern, die mir während meines Aufenthaltes zur Seite standen, möchte ich ebenfalls meinen Dank aussprechen, insbesondere Heidi Baier aufgrund ihres Wissens im Labor und ihrer Hilfsbereitschaft.
Gerade im Anfangsstadium der Arbeit gilt mein Dank den „Old Guys“ Helge Möller und Gerald Maroske für Ihre eingehende Unterstützung bei der Internetrecherche, ebenso Christoph Beier und Martin Schodlok für aufmunternden Konversationen.
Außerdem möchte ich all jenen danken, die mir, sei es direkt oder indirekt, geholfen haben, das Projekt zum Abschluß zu bringen.
Für ihr Verständnis und Ihre Unterstützung sowie für das mir entgegen gebrachte Vertrauen und für ihre Liebe danke ich den wichtigsten Menschen in meinem Leben, Nicole und meinen Eltern.
Die vorliegende Arbeit wurde von der Deutschen Forschungsgemeinschaft im Rahmen des Projektes „Der kontinentale Intraplattenvulkanismus Syriens: Einblicke in 170 Millionen Jahre andauernde Magmengenese und Lithosphärenentwicklung“ gefördert (HA 2568/5-1 und HA 2568/5-4).
Einführung und Zusammenfassung
Syrien liegt am nordwestlichen Rand der Arabischen Halbinsel und ist von einer Vielzahl von Miozänen bis rezenten Vulkanfeldern bedeckt. Die Ursache dieses extensiven, intrakontinentalen Vulkanismus ist bis heute nicht geklärt. Im allgemeinen gibt es zwei Modelle zur Erklärung des intrakontinentalen Vulkanismus: (1) das passive Rifting und (2) das aktive Rifting Model. Im Falle des passiven Riftings wird der Vulkanismus durch Lithosphäreendehnung, die zur adiabatischen Dekompression und Aufschmelzung von Mantel Material führt, verursacht (Sengör und Burke, 1978). Die Dehnung der Lithosphäre ist durch die an den Plattengrenzen auftretenden Zugkräfte bedingt. Der Vulkanismus beim aktiven Rifting hingegen wird durch Mantleplumes initiiert. Mantleplumes bewirken eine regionale Aufdornung der Asthenosphäre, gefolgt von Vulkanismus und Rifting (Sengör und Burke, 1978). Im Detail sind folgende Modelle zur Erklärung der vulkanischen Aktivität im nördlichen Arabien vorgeschlagen worden: (1) die Existenz einer Mantleplume unter der nördlichen Arabischen Halbinsel (Camp and Roobol, 1992), (2) eine nordwestwärts gerichtete Strömung von heißem asthenosphärischem Material vom Afar Mantelplume entlang der westlichen Arabischen Halbinsel (Camp and Roobol, 1992), (3) durch Lithosphärenrifting verursachte Mobilisierung von Material aus einem fossilen Plumekopf unterhalb der Lithosphäre (Stein and Hofmann, 1992), (4) eine fortschreitende Lithosphärenausdünnung durch die lithosphärische (fossiles Plumematerial) und asthenosphärische Mantelquellen angezapft werden (Bertrand et al., 2003; Shaw et al., 2003). In diesem Zusammenhang ist das Hauptziel dieser Arbeit, die Prozesse zu bestimmen, die den Vulkanismus in Syrien kontrollieren. Im Folgenden werden wir anhand von Haupt-, Spurenelement-, Isotopen- und Altersdaten sowie Aufschmelz-, Fraktionierungs- und Assimilationsmodellierungen zeigen, daß der syrische Vulkanismus hauptsächlich durch einen pulsierenden Mantelplume verursacht wird.
Das erste Kapitel behandelt hauptsächlich die Kontamination primärer Schmelzen durch Material der kontinentalen Kruste. Das Zusammenspiel zwischen Assimilation, fraktionierender Kristallisation (AFC) sowie Variationen in den Aufschmelzgraden führte zur Eruption von zwei verschiedenen Lavasuiten mit unterschiedlicher Haupt- und Spurenelementzusammensetzung und unterschiedlichen Isotopensignaturen. Anhand der P₂O₅ Gehalte konnten die untersuchten Magmen in zwei verschiedene Suiten eingeteilt werden. Die erste Suite ist durch hohe P₂O₅ Gehalte gekennzeichnet im Gegensatz zur zweiten Suite, die durch niedrige P₂O₅ Gehalte gekennzeichnet ist. Die AFC Prozesse, die zur Bildung dieser Suiten führte, sind durch unterschiedliche Isotopensignaturen während der Differentiation sowie durch erniedrigte Ce/Pb und Nb/U Verhältnisse und die Fraktionierung variabler Mengen an Olivin, Klinopyroxen, Plagioklas und Fe-Ti Oxiden in den beiden Suiten charakterisiert. AFC Modellierungen zeigen, daß die Laven mit hohen P₂O₅ Gehalten bis zu 50% an mafischer Unterkruste assimiliert haben, wohingegen die Laven mit niedrigen P₂O₅ Gehalten lediglich bis zu 10% einer mafischen Krustenkomponente assimilierten, die entweder zur Unterkruste oder zum mafischen Teil der Oberkruste gehört. Desweiteren hat die Modellierung der Aufschmelzprozesse gezeigt, daß die primitiven, unkontaminierten Laven mit hohen P₂O₅ Gehalten durch 8 bis 10% Aufschmelzung einer granathaltigen Mantelquelle entstanden sind, wohingegen die Laven mit geringen P₂O₅ Gehalten wahrscheinlich lediglich durch 2 bis 4% Aufschmelzung entstanden sind. Im zeitlichen Zusammenhang gesehen ist eine Abnahme des Aufschmelzgrades mit der Zeit zu beobachten,
wobei zuerst die Laven mit den niedrigen $P_2O_5$ Gehalten und danach die Laven mit den hohen $P_2O_5$ Gehalten gefördert wurden.
Im zweiten Kapitel wird die zeitlichen Entwicklung der eruptierten Magmen und damit der Mantelquellen im syrischen Teil des Harrat Ash Shamah, dem größten Vulkanfeld auf der Arabischen Halbinsel, eingehend untersucht. Die Hauptelementzusammensetzung dieser Magmen ist überwiegend durch die fraktionierende Kristallisation von Olivin, Klinopyroxen ±Plagioklas und ±Fe-Ti Oxide kontrolliert, wobei die höchst entwickelten Vulkanite zusätzlich Feldspat und Apatit fraktioniert haben. Neben der fraktionierenden Kristallisation ist die Genese der Harrat Ash Shamah Vulkanite durch Variationen in den Aufschmelzgraden und –tiefen sowie durch Unterschiede in der Quellzusammensetzung und durch Krustenkontamination beeinflusst worden. Die Assimilation von kontinentalem Krustenmaterial läßt sich anhand der hohen Sr und niedrigen Nd Isotopenverhältnisse gekoppelt mit niedrigen Ce/Pb und Nb/U Verhältnissen in den untersuchten Laven nachweisen. Die Fraktionierung der schweren Seltenen Erden sowie Unterschiede in den Spurenelement und SiO$_2$ Gehalten der unkontaminierten, primitiven Magmen zeigt, daß die Harrat Ash Shamah Vulkanite durch unterschiedliche Aufschmelzgrade von Granat Peridotit in verschiedenen Tiefen entstanden sind. Zusätzlich zeigt die relativ heterogene Isotopen- und Spurenelementzusammensetzung der untersuchten Laven, daß diese aus einer an Volatilen und inkompatiblen Elementen angereicherten lithosphärischen oder asthenosphärischen Mantelquelle stammen müssen. Desweiteren spricht die isotopische Zusammensetzung dieser Magmen für die Beteiligung eines Mantelplumes, mit einer maximalen Überschußtemperatur von circa 180°C, an deren Genese. Die zeitliche Entwicklung der Aufschmelzprozesse und der chemischen und isotopischen Zusammensetzung, die sich in den untersuchten Laven widerspiegelt sowie die diskontinuierliche vulkanische Aktivität zeigen, daß der Harrat Ash Shamah Vulkanismus durch einen unter nordwest Arabien liegenden, pulsierenden Mantelplume entstanden sein muß.
Im dritten Kapitel wird der Vulkanismus in Syrien unter Einbezug der vulkanischen Aktivität entlang der gesamten Arabischen Halbinsel und in Äthiopien/Djibuti betrachtet, um Rückschlüsse auf sowohl räumliche und zeitliche wie auch auf dynamische Mantelprozesse ziehen zu können. $^{40}$Ar/$^{39}$Ar Alter von Mineralseparaten und Gesamtgesteinen bestätigen den Miozänen bis rezenten Vulkanismus in Syrien. Altersdaten von der gesamten Afro-Arabischen Region zeigen eine nach Norden gerichtete Progression des Vulkanismus seit der frühesten Aktivität des Afar Mantelplumes vor etwa 30 Millionen Jahren an. Die Zusammensetzung der arabischen und Afar Laven deutet auf signifikante Änderungen sowohl in der Aufschmelztiefe als auch im Aufschmelzgrad der Magmen, wobei relativ flaches Aufschmelzen bei hohen Aufschmelzgraden im Süden und geringe Aufschmelzung in größeren Tiefen im Norden stattfindet. Die Sr, Nd und Pb Isotopenzusammensetzung der syrischen Laven weisen sowohl auf eine relativ verarmte, asthenosphärische als auch auf eine lithosphärische Mantelquelle und einen Mantelplume hin, die in deren Magmengenese involviert sind. Die Plumemantelquelle repräsentiert wahrscheinlich mitgerissesnes Material aus dem oberen Mantel, welches aus dem Afar Mantelplume stammt. Der Trend zu höheren $^{206}$Pb/$^{204}$Pb Verhältnissen, der in den syrischen Laven in den letzten 13 Millionen Jahren zu beobachten ist, deutet auf den verstärkten Einfluß des Afar Plumes. Die Verteilung der Laven mit hohen $^{206}$Pb/$^{204}$Pb Verhältnissen zeigt, daß der Einfluß des Afar
Mantelplumes über 2.500 km in nördlicher Richtung reicht.
**Introduction and Summary**
Syria, being situated on the northwestern edge of the Arabian peninsula, is covered by several volcanic fields of Miocene to recent age. The definite causes of volcanism being responsible for this extensive volcanic coverage still remain, up to now, unclear. In general, rift related volcanism in continental regions is explained by two different models, one including passive rifting and the other including active rifting of the continental lithosphere. In the case of passive rifting volcanism is induced by lithospheric extension being caused by plate boundary forces resulting in adiabatic decompression and melting of mantle material (Sengör and Burke, 1978). In the active rifting model volcanism is initiated by mantle plumes resulting in regional doming of the asthenosphere followed by volcanism and rifting (Sengör and Burke, 1978). In detail, the following models have been proposed to explain the Syrian intraplate volcanism: (1) a mantle plume existing underneath northern Arabia (Camp and Roobol, 1992), (2) northwestward channelling of material from the Afar plume along western Arabia (Camp and Roobol, 1992), (3) lithospheric rifting mobilising old fossil plume head material beneath the subcontinental lithosphere (Stein and Hofmann, 1992) and (4) progressive lithospheric thinning tapping lithospheric (fossil-plume material) to asthenospheric sources (Bertrand et al., 2003; Shaw et al., 2003). In this context the aim of this study is to deduce the processes, including mantle melting, fractionation and crustal assimilation, being responsible for the Syrian volcanism. Based on major and trace element compositions of lavas and their isotope geochemistry as well as on the modelling of melting, fractionation and assimilation processes we are going to show that the volcanic activity in Syria is caused by a pulsing mantle plume.
The first chapter of this thesis treats the processes of crustal contamination during magma genesis. The combined effects of assimilation and crystal fractionation (AFC) as well as different degrees of partial melting lead to the eruption of two lava suites being characterised by different major and trace element contents as well as variable isotope compositions. Based on their P$_2$O$_5$ concentrations lavas have been divided into a high-P and a low-P suite. The AFC process is indicated by variable isotopic compositions throughout the differentiation trend, by decreasing Ce/Pb and Nb/U ratios as well as variations in the amount of olivine, clinopyroxene, plagioclase and Fe-Ti oxides. AFC modelling shows that the high-P suite has assimilated up to 50% of mafic continental crust. In contrast, lavas of the low-P suite have assimilated only maximal 10% of a mafic crustal component being part of either lower crust or of a mafic upper crustal section. During the period of volcanism the degree of partial melting was reduced producing first low-P lavas followed by the eruption of high-P lavas. As shown by modelling of the partial melting processes the primitive uncontaminated lavas of the low-P suite can be produced by 8 to 10% melting of a garnet-bearing mantle source, whereas those of the high-P suite were probably formed by 2 - 4% melting.
The second chapter focuses on the temporal evolution of lavas and their magmatic sources in the Syrian part of the Harrat Ash Shamah, the largest volcanic field on the Arabian peninsula. The lavas have undergone fractional crystallisation of olivine, clinopyroxene, ±plagioclase, and
±Fe-Ti oxides. The most differentiated lavas have also fractionated alkali feldspar and apatite. High $^{87}\text{Sr}/^{86}\text{Sr}$ and low $^{143}\text{Nd}/^{144}\text{Nd}$ ratios of some lavas coupled with low Ce/Pb and Nb/U ratios indicate assimilation of continental crust during their genesis. Crustally uncontaminated, primitive lavas were formed by variable degrees of partial melting of a garnet peridotite at different depths, as indicated by major element variations and variably fractionated heavy rare earth elements. The large range of isotopic compositions and the variable trace element enrichment of the lavas imply that the magmas were generated in a volatile- and incompatible element-enriched lithospheric or asthenospheric mantle source and that a mantle plume with an maximum excess temperature of about 180°C also contributed to their origin. The temporal changes being observed in the partial melting process and in the chemical and isotopic compositions as well as the discontinuous volcanic activity suggest that volcanism was triggered by a pulsing mantle plume situated underneath northwestern Arabia.
In the third chapter Syrians volcanism is related to the magmatic activity in the whole Arabian peninsula and in Ethiopia/Djibouty in order to evaluate the spatial, temporal and dynamic implications for magmatism in the Afro-Arabian region. $^{40}\text{Ar}/^{39}\text{Ar}$ dating of mineral separates and whole rock samples establish Miocene to recent volcanic activity in Syria. The age data of lavas from the Afro-Arabian region suggest a northward progression of volcanism since the arrival of the Afar plume beneath Ethiopia/Djibouti some 30 Ma ago. The compositions of lavas from western Arabia and the Afar region indicate significant variations in both the depth and the extent of partial melting, varying from relatively shallow and high degree melting in the south to increasingly deeper regions coupled with lower extents of partial melting in the north. Sr, Nd, and Pb isotope compositions of Syrian lavas indicate that a relatively depleted asthenospheric mantle source, a lithospheric source, and a mantle plume have been involved in their formation. The plume end member contributing to Syrian volcanism may represent an entrained upper mantle component related to the Afar plume. Increasing $^{206}\text{Pb}/^{204}\text{Pb}$ ratios observed in the last 13 Ma in Syrian lavas point to an increasing influence of this plume component with time. The distribution of the high $^{206}\text{Pb}/^{204}\text{Pb}$ lavas in Arabia indicates a spatial influence of the Afar plume of about 2,500 km in northward direction.
**References**
Bertrand, H., Chazot, G., Blichert-Toft, J. and Thoral, S., 2003. Implications of widespread high-$\mu$ volcanism on the Arabian Plate for Afar mantle plume and lithosphere composition. Chemical Geology, 198: 47-61.
Camp, V.E. and Roobol, M.J., 1992. Upwelling asthenosphere beneath western Arabia and its regional implications. Journal of Geophysical Research, 97: 15,255-15,271.
Sengör, A.M.C. and Burke, K., 1978. Relative timing of rifting and volcanism on Earth and its tectonic implications. Geophysical Research Letters, 5: 419-421.
Shaw, J.E., Baker, J.A., Menzies, M.A., Thirlwall, M.F. and Ibrahim, K.M., 2003. Petrogenesis of the Largest Intraplate Volcanic Field on the Arabian Plate (Jordan): a Mixed Lithosphere-Asthenosphere Source Activated by Lithospheric Extension. Journal of Petrology, 44: 1657-1679.
Stein, M. and Hofmann, A.W., 1992. Fossil plume head beneath the Arabian lithosphere? Earth and Planetary Science Letters, 114: 193-209.
XIV
Constraints on Continental, Intra-Plate Volcanism in Northwestern Syria: Crustal Contamination Versus Subcontinental Lithospheric Mantle Sources
M.-S. Krienitz\textsuperscript{1*}, K. M. Haase\textsuperscript{1}, K. Mezger\textsuperscript{2}, V. Eckardt\textsuperscript{2}, M. A. Shaikh-Mashail\textsuperscript{3}
\textsuperscript{1} Institut für Geowissenschaften der Universität Kiel, Olshausenstr. 40, 24118 Kiel, Germany
\textsuperscript{2} Institut für Mineralogie der Universität Münster, Corrensstr. 24, 48149 Münster, Germany
\textsuperscript{3} Faculty of Civil Engineering, University of Aleppo, PO-Box 5427, Aleppo, Syria
* Corresponding author. Telephone +49 (0) 431 880 3694. Fax +49 (0) 431 880 4376. E-mail: firstname.lastname@example.org
Abstract
Miocene to Quaternary lavas from northwestern Syria consist of basanites, alkali basalts and tholeiites as well as hawaiites, mugearites and basaltic andesites. Based on their P$_2$O$_5$ concentrations the lavas can be divided into two suites, a high-P and a low-P suite. The high-P lavas exhibit variable contents in major and trace element compositions, i.e. high TiO$_2$, Na$_2$O, K$_2$O, P$_2$O$_5$ and low SiO$_2$, Cr and Ni compared to the low-P lavas. The geochemical differences between both suites are caused by the combined effects of assimilation and crystal fractionation (AFC) as well as different degrees of partial melting of the mantle source. The AFC process is indicated by decreasing Ce/Pb and Nb/U ratios as well as variable isotopic compositions throughout the differentiation trend and variations in the amount of olivine, clinopyroxene, plagioclase and Fe-Ti oxides fractionation between the two suites. Only primitive lavas of both suites are free of contamination. AFC modelling shows that the high-P suite has assimilated up to 50% of mafic continental crust, whereas lavas belonging to the low-P suite have assimilated only maximal 10% of a mafic crustal component being a part of either lower crust or of a mafic upper crustal section. Even though plume material has been recognised in the investigated samples, indicating an enriched mantle source compared to the depleted mantle source of average mid-ocean ridge basalts being responsible for the generation of the NW Syrian lavas, influence of the Afar plume source with characteristically high $^3$He/$^4$He ratios can be ruled out. During the period of volcanic activity the degree of partial melting was reduced producing first low-P lavas and high-P lavas at a later stage. Partial melting occurred in the garnet stability field and about 8 - 10% melting of the mantle source can have produced the primitive, uncontaminated tholeiites, whereas 2 - 4% melting can have lead to the formation of uncontaminated basanite and alkali basalts.
1.1 Introduction
The characterisation of magmatic sources of lavas erupting in intracontinental settings and potential processes of contamination during the ascent of the magmas are still a matter of debate in magmatic geochemistry. In general, rift related continental volcanism is induced by upwelling of the mantle, either due to a mantle plume (active rift model), or by the extension of the continental lithosphere triggered by plate boundary forces (passive rift model; Sengör and Burke, 1978). In both cases mantle material melts due to adiabatic ascent. Consequently, the geochemical composition of the magmas should be either characteristic for a mantle plume or for an asthenospheric/lithospheric source.
Trace element and isotope compositions of continental volcanic rocks often differ from lavas erupted in oceanic settings indicating that their petrogenesis does not only include mantle material. During the ascent of magmas, the primary geochemical signatures of the mantle sources, either plume-derived, asthenospheric, or lithospheric, may be modified by the assimilation of crustal wall rocks as well as by crystal fractionation processes. Several thermodynamic formulations have been developed to model these processes (DePaolo, 1981; Aitcheson and Forrest, 1994; Spera and Bohrson, 2001). Magmas originating in the asthenosphere may be contaminated by lithospheric melts or by crustal material as the magma rises to the surface. This crustal contamination may result in geochemical signatures similar to lavas originating directly in the subcontinental lithosphere. Magmas emanating from lithospheric sources may also assimilate continental crust.
The aim of this study is to evaluate the importance of crustal contamination during the magma genesis of the volcanic rocks of northwestern Syria and to characterise the potential mantle sources of the Syrian volcanic rocks.
1.2 Geological framework
Large parts of western Arabia are covered by Cenozoic alkali basalts belonging to different magmatic provinces (e.g., Coleman et al., 1983; Camp and Roobol, 1989; Camp et al., 1991). The widespread magmatic activity is related to the two-stage formation of the Red Sea, beginning in Miocene times and the development of the Miocene/Pliocene Dead Sea fault (DSF) system, running from the Red Sea/Gulf of Aqaba region in the south to the Taurus collision zone in the north (Bohannon et al., 1989; Nasir and Safarjalani, 2000). The evolution of the western Arabian rift system is accompanied by widespread magmatism, but the causes of the extensive intraplate volcanism in Syria, Israel, Jordan, and southern Turkey are unknown and several models have been proposed to account for this magmatic activity. For example, Stein and Hofmann (1992) suggested that an old plume head, not strong enough to reach the surface, was stored beneath the subcontinental lithosphere and that volcanism was triggered during subsequent periods of
lithospheric extension. In contrast, Camp and Roobol (1992) proposed that the volcanism was caused by hot asthenospheric material either channeled northwards from the Afar plume or that another mantle plume exists beneath western Arabia.
The territory of Syria is located at the northwestern flank of the Arabian peninsula and is covered by several volcanic fields of Miocene to Quaternary age (Fig. 1.1). Volcanic rocks are concentrated in the western part of Syria in the vicinity of the Dead Sea fault, but other volcanic fields are spread across the whole country. The present tectonic situation in Syria is the result of the interaction of the Cenozoic plate boundaries with older intraplate features (McBride et al., 1990). Based on Bouguer gravity anomalies Syria can be divided into three major areas: the Rutbah Uplift in the south is separated by the Palmyride Fold Zone from the northern Aleppo Plateau (Searle, 1994), which is covered by relatively undeformed Palaeozoic and Mesozoic sedimentary rocks (Best et al., 1990; Searle, 1994; Sharkov et al., 1994;). Seismic studies have shown that the depth to metamorphic basement beneath the plateau is about 6 km and that a crustal thickness of about 40 km is reached in Syria similar to Jordan and Saudi Arabia (Best et al., 1990; El-Isa et al., 1987; Sandvol et al., 1998; Walley, 1998; Kumar et al., 2002). Furthermore, geophysical and geochemical data indicate an upper crustal layer of presumably granitic rocks, ranging in depths from about 5 to 20 km and a lower crust, composed of mafic rocks with high feldspar contents, at depths of about 20 to 27 km for the northwestern Arabian plate and southern Syria (Nasir, 1992; Nasir and Safarjalani, 2000).
Fig. 1.1. Location map of northwest Syria showing volcanic fields from which samples were collected. The inset shows the northwestern part of the Arabian peninsula with Syria and surrounding countries. Numbers beneath sample locations refer to samples names listed in Table 2. The simplified map based on geological maps of Ponikarov et al. (1963).
The largest volcanic field located in the investigated area of NW Syria forms the mountain range Jabal El-Hass, with a maximum relief of 300 m and reaches altitudes of 640 m (Fig. 1.1). The volcanic field consists of several lava flows of Miocene age, reaching a total thickness of about
50 m and lying on Paleogene and Neogene sediments (Ponikarov et al., 1963). Single flows vary in thickness from one to ten metres and in some places are separated by thick layers of limestone. Other major volcanic fields, composed of several lava flows, are situated near the villages of Qirata on the eastern side of the Euphrates and around Aazaz and El Wakif. Detailed sampling of single flow units took place on a minor volcanic outcrop located north of the town of Bulbul (Fig. 1.1). Ponikarov et al. (1963) suggested that most of these volcanic units are of upper Pliocene age, but lower Quaternary volcanism occurs around Qirata as well and newly obtained Ar-Ar age determinations yield Miocene ages for volcanic rocks from the Bulbul region Krienitz et al. (Chapter III).
### 1.3 Analytical methods
After cutting the freshest parts from each sample, the pieces were washed with deionised water in an ultrasonic bath for 15 minutes, crushed to coarse sand size with a screw press and washed again. For chemical analysis samples containing fresh glass were handpicked under a binocular microscope. Whole rock samples were reduced to powder in an agate ball mill for major, trace, and isotope analyses. Several samples were studied petrographically in thin section and mineral phases were analysed with a JEOL JXA 8900 electron microprobe running in wavelength dispersive mode at a beam current of 15 mA (10 mA for glass measurements) and an accelerating voltage of 15 kV. The beam diameter for most analyses was 2 µm but was defocused for feldspar and glass analyses. The measurements were calibrated with mineral standards for the specific elements. Standard as well as representative mineral and glass analyses are listed in Table 1.
Major and selected trace (Cr, Ni, Zn, Rb, Sr) element analyses were carried out at the Universität Kiel with a Philips PW 1400 XRF using international rock standards for calibration and data quality control. 0.6g of sample powder were mixed with 3.6g of flux (lithiumtetraborate) and melted to glass tablets. The accuracy of standard analyses relative to reference values is generally better than 3% for most of the major and trace elements. Only Na₂O and P₂O₅ show higher deviations (8% and 3%, respectively). Replicate analyses of the BHVO-1 standard gave a precision better than 0.30% (SD) for all major elements and generally better than 7.5% (SD) for trace elements (Table 2).
100 mg of sample material were used for trace and rare earth element (REE) analyses. Measurements were made at the Universität Kiel with an upgraded PlasmaQuad PQ1 ICP-MS following the method of Garbe-Schönberg (1993). Comparison of duplicate digestions of the same sample yielded a precision generally better than 1% (SD). The accuracy of the data based on the international rock standard BHVO-1 is better than 7% except for Nb, Ta (<9%), Sc, Cs and Th (>9%) and can be estimated from the standard analyses given in Table 2.
Most analyses of Sr, Nd, and Pb isotopic ratios (Table 3) were made at the Zentraallaboratorium
Table 2. Coordinates, rock type, major (XRF) and trace element (XRF, ICP-MS) analyses of the Syrian samples. Averages of analyses of the standard BHVO-1 (XRF n = 7; ICP-MS n = 9) are also given.
| Sample | NE 16 | SY 01/05 | SY 01/08 | SY 01/09 | SY 01/10 | SY 01/11 | SY 01/12 | SY 01/14 | SY 01/15 | SY 01/23 | SY 01/24 | SY 01/25 |
|--------|-------|----------|----------|----------|----------|----------|----------|----------|----------|----------|----------|----------|
| Lat. [°N] | 35°56' 55" | 36°47' 28" | 36°47' 34" | 36°47' 29" | 36°47' B | 36°48' 58" | 36°46' 52" | 36°47' 01" | 36°47' 08" | 36°47' 20" | 36°47' 26" | 36°47' 26" |
| Long. [°E] | 38°22' 50" | 36°48' 41" | 36°49' 04" | 36°49' 23" | 36°49' 27" | 36°49' 44" | 36°49' 48" | 36°49' 51" | 36°49' 01" | 36°49' 52" | 36°48' 56" | 36°48' 52" |
| Elevation [m] | 454 | 189 | 163 | 146 | 989 | 901 | 897 | 888 | 893 | 875 | 1004 | 110 |
| Rock type | AB | M | BA | H | H | M | M | H | T | T | H | T |
| SiO₂ | 47.00 | 50.06 | 50.54 | 49.84 | 49.43 | 50.86 | 50.80 | 49.85 | 50.67 | 49.96 | 49.41 | 49.44 |
| TiO₂ | 1.96 | 2.01 | 1.93 | 1.90 | 2.23 | 1.97 | 2.02 | 2.20 | 1.97 | 1.90 | 2.21 | 2.17 |
| Al₂O₃ | 13.06 | 15.56 | 15.52 | 15.14 | 14.73 | 15.99 | 16.16 | 16.20 | 15.91 | 15.79 | 16.27 | 14.76 |
| Fe₂O₃ T | 11.57 | 10.58 | 10.75 | 11.70 | 12.03 | 11.11 | 11.37 | 11.63 | 11.02 | 11.63 | 11.55 | 12.05 |
| MnO | 0.15 | 0.13 | 0.14 | 0.14 | 0.14 | 0.15 | 0.14 | 0.17 | 0.15 | 0.16 | 0.15 | 0.15 |
| MgO | 8.54 | 5.66 | 5.05 | 5.52 | 5.82 | 4.73 | 4.11 | 4.51 | 5.85 | 5.22 | 4.58 | 5.34 |
| CaO | 10.80 | 8.04 | 8.32 | 8.49 | 8.47 | 8.29 | 8.12 | 8.28 | 8.21 | 8.42 | 8.03 | 8.42 |
| Na₂O | 2.86 | 3.59 | 3.64 | 3.75 | 3.61 | 3.82 | 3.66 | 3.59 | 3.38 | 3.77 | 3.76 | 3.38 |
| K₂O | 1.09 | 1.36 | 1.24 | 1.26 | 1.33 | 1.28 | 1.31 | 1.36 | 1.22 | 1.00 | 1.49 | 1.27 |
| P₂O₅ | 0.29 | 0.54 | 0.48 | 0.48 | 0.49 | 0.36 | 0.35 | 0.60 | 0.35 | 0.29 | 0.61 | 0.57 |
| L.O.I. | 1.06 | 1.39 | 0.72 | 0.48 | 0.75 | 0.33 | 0.70 | 0.37 | 0.76 | 0.51 | 0.15 | 1.31 |
| Total | 98.38 | 98.90 | 98.33 | 98.70 | 99.03 | 98.89 | 98.74 | 98.76 | 99.49 | 98.65 | 98.21 | 98.82 |
| Mg-no. | 0.61 | 0.53 | 0.50 | 0.50 | 0.50 | 0.47 | 0.43 | 0.45 | 0.53 | 0.48 | 0.45 | 48.2 |
| Li | - | - | - | 8.88 | 8.06 | - | 9.34 | - | - | 9.56 | - | 8.41 |
| Sc | - | - | - | 19.3 | 19.8 | - | 20.9 | - | - | 20.6 | - | 19.8 |
| V | - | - | - | 217 | 221 | - | 223 | - | - | 220 | - | 216 |
| Cr | 339 | 107 | 144 | 198 | 266 | 157 | 162 | 58 | - | 215 | 47 | 241 |
| Co | - | - | - | 40.7 | 40.0 | - | 35.6 | - | - | 38.2 | - | 39.6 |
| Ni | 259 | 8 | 44 | 97.1 | 114 | 33 | 40.9 | 17 | - | 63.8 | 10 | 94.3 |
| Cu | - | - | - | 31.2 | 35.4 | - | 26.2 | - | - | 32.9 | - | 36.3 |
| Zn | 97 | 102 | 109 | 113 | 126 | 103 | 111 | 117 | - | 113 | 116 | 118 |
| Ga | - | - | - | 37.0 | 35.2 | - | 34.1 | - | - | 30.5 | - | 36.3 |
| Rb | 18 | 49 | 50 | 28.5 | 28.6 | 38 | 26.5 | 47 | - | 14.1 | 46 | 29.0 |
| Y | - | - | - | 23.3 | 23.7 | - | 25.4 | - | - | 23.3 | - | 26.1 |
| Cs | - | - | - | 0.265 | 0.360 | - | 0.412 | - | - | 0.187 | - | 0.232 |
| Sr | 424 | 566 | 541 | 554 | 612 | 501 | 505 | 657 | - | 423 | 633 | 605 |
| Ba | - | - | - | 388 | 355 | - | 298 | - | - | 237 | - | 384 |
| Zr | - | - | - | 147 | 164 | - | 161 | - | - | 137 | - | 168 |
| Hf | - | - | - | 3.95 | 4.36 | - | 4.30 | - | - | 3.81 | - | 4.41 |
| Nb | - | - | - | 24.6 | 29.6 | - | 22.6 | - | - | 16.2 | - | 32.8 |
| Ta | - | - | - | 1.22 | 1.59 | - | 1.21 | - | - | 0.910 | - | 1.73 |
| Pb | - | - | - | 5.16 | 5.02 | - | 5.07 | - | - | 3.93 | - | 5.10 |
| Th | - | - | - | 4.59 | 4.48 | - | 4.03 | - | - | 2.97 | - | 4.65 |
| U | - | - | - | 1.18 | 1.06 | - | 1.02 | - | - | 0.646 | - | 1.12 |
| La | - | - | - | 31.1 | 30.8 | - | 24.9 | - | - | 16.8 | - | 34.9 |
| Ce | - | - | - | 63.1 | 60.4 | - | 48.3 | - | - | 35.5 | - | 66.7 |
| Pr | - | - | - | 7.56 | 7.65 | - | 6.37 | - | - | 4.57 | - | 8.92 |
| Nd | - | - | - | 30.1 | 31.3 | - | 26.4 | - | - | 19.6 | - | 36.4 |
| Sm | - | - | - | 6.39 | 6.81 | - | 6.06 | - | - | 4.90 | - | 7.81 |
| Eu | - | - | - | 1.96 | 2.13 | - | 1.91 | - | - | 1.62 | - | 2.42 |
| Gd | - | - | - | 6.08 | 6.48 | - | 6.12 | - | - | 5.14 | - | 7.36 |
| Tb | - | - | - | 0.900 | 0.953 | - | 0.943 | - | - | 0.817 | - | 1.07 |
| Dy | - | - | - | 5.04 | 5.20 | - | 5.37 | - | - | 4.76 | - | 5.83 |
| Ho | - | - | - | 0.943 | 0.953 | - | 1.03 | - | - | 0.923 | - | 1.06 |
| Er | - | - | - | 2.41 | 2.42 | - | 2.68 | - | - | 2.41 | - | 2.68 |
| Tm | - | - | - | 0.338 | 0.318 | - | 0.364 | - | - | 0.336 | - | 0.353 |
| Yb | - | - | - | 2.07 | 2.00 | - | 2.30 | - | - | 2.09 | - | 2.19 |
| Lu | - | - | - | 0.299 | 0.276 | - | 0.330 | - | - | 0.303 | - | 0.306 |
Major elements in wt.%, trace elements in ppm; gl - glass analyses, major elements determined by electron microprobe (cp. Table 1).
BAS - basanite, AB - alkali basalt, BA - basaltic andesite, BAS - basanite, H - haw allite, M - mugearite, T - tholeiite, LC - low crust.
Mg-no. = Mg/(Mg + Fe²⁺), assuming FeO = 0.85Fe²⁺.
| Sample | SY-016 | SY-017 | SY-018 | SY-019 | SY-021 | SY-023gl | SY-024gl | SY-025 | SY-026 | SY-027 | SY-028 | SY-029 | SY-030 |
|--------|--------|--------|--------|--------|--------|----------|----------|--------|--------|--------|--------|--------|--------|
| Lat. [°N] | 36°34'20" | 36°34'20" | 36°34'40" | 36°34'40" | 36°34'11" | 36°34'11" | 36°34'11" | 36°34'11" | 36°34'11" | 36°34'11" | 36°34'11" | 36°34'11" | 36°34'11" |
| Long. [°E] | 36°59'36" | 36°59'36" | 36°58'44" | 36°58'44" | 36°57'38" | 36°57'38" | 36°57'38" | 36°57'38" | 36°57'38" | 36°57'38" | 36°57'38" | 36°57'38" | 36°57'38" |
| Elevation [m] | 580 | 580 | 600 | 600 | 700 | 700 | 700 | 680 | 680 | 1125 | 1105 | 1087 |
| Rock type | AB | T | T | T | BA | BA | BA | BAS | M | H | T |
| SiO₂ | 46.65 | 48.29 | 49.69 | 50.16 | 50.68 | 55.26 | 55.28 | 51.39 | 49.98 | 44.23 | 51.08 | 51.06 | 49.26 |
| TiO₂ | 2.32 | 2.48 | 1.80 | 1.82 | 1.56 | 2.05 | 2.04 | 1.60 | 1.86 | 2.52 | 1.93 | 1.89 | 2.18 |
| Al₂O₃ | 15.87 | 16.59 | 13.90 | 13.90 | 13.53 | 14.67 | 14.65 | 14.03 | 15.28 | 14.23 | 16.02 | 15.85 | 15.05 |
| Fe₂O₃ | 11.73 | 12.35 | 12.31 | 12.24 | 11.55 | 11.45 | 11.46 | 11.69 | 11.95 | 13.45 | 11.72 | 11.56 | 12.58 |
| MnO | 0.16 | 0.16 | 0.15 | 0.14 | 0.14 | 0.12 | 0.12 | 0.14 | 0.15 | 0.18 | 0.14 | 0.13 | 0.14 |
| MgO | 5.51 | 4.97 | 8.76 | 8.47 | 8.46 | 4.72 | 4.74 | 8.26 | 6.70 | 9.34 | 4.85 | 5.83 | 5.64 |
| CaO | 9.40 | 9.43 | 8.00 | 8.07 | 7.69 | 8.07 | 8.02 | 7.93 | 8.74 | 9.35 | 8.14 | 8.28 | 8.92 |
| Na₂O | 3.35 | 3.30 | 2.95 | 2.96 | 2.86 | 3.26 | 3.40 | 2.84 | 3.51 | 3.48 | 3.82 | 3.71 | 3.62 |
| K₂O | 1.18 | 1.21 | 0.67 | 0.71 | 0.74 | 0.97 | 0.97 | 0.84 | 1.20 | 1.55 | 1.35 | 1.29 | 1.24 |
| P₂O₅ | 0.50 | 0.53 | 0.27 | 0.28 | 0.19 | 0.32 | 0.31 | 0.19 | 0.47 | 1.10 | 0.49 | 0.51 | 0.59 |
| L.O.I. | 1.97 | 1.00 | 2.14 | 2.12 | 2.10 | - | - | 2.01 | 0.69 | 1.17 | 1.20 | 0.79 | 1.05 |
| Total | 98.62 | 100.31 | 100.64 | 100.87 | 99.50 | 99.91 | 100.00 | 100.92 | 100.53 | 100.60 | 100.74 | 100.90 | 100.27 |
| Mg-no. | 0.52 | 0.48 | 0.62 | 0.62 | 0.63 | 0.49 | 0.49 | 0.62 | 0.57 | 0.62 | 0.49 | 0.54 | 0.51 |
| Li | - | - | - | 4.88 | 11.5 | 11.1 | - | - | 8.20 | 6.72 | - | 8.48 |
| Sc | - | - | - | 18.1 | 20.3 | 19.5 | - | - | 17.7 | 20.4 | - | 16.2 |
| V | - | - | - | 166 | - | - | - | - | 185 | 205 | - | - |
| Cr | 33 | 40 | 284 | 280 | 264 | 257 | 286 | 281 | 221 | 242 | 171 | 188 | 268 |
| Co | - | - | - | 50.1 | 37.9 | 39.6 | - | - | 48.7 | 36.2 | - | 37.3 |
| Ni | 38 | 45 | 262 | 252 | 216 | 106 | 142 | 236 | 109 | 179 | 70.5 | 90 | 101 |
| Cu | - | - | - | 63.4 | 69.5 | 67.4 | - | - | 67.6 | 25.9 | - | 32.3 |
| Zn | 132 | 115 | 110 | 112 | 105 | 107 | 106 | 109 | 113 | 105 | 109 | 107 | 117 |
| Ga | - | - | - | 20.6 | - | - | - | - | - | 24.2 | - | 22.0 |
| Rb | 16 | 16 | 10 | 9 | 15.6 | 19.8 | 19.8 | 12 | 22 | 19.9 | 30.9 | 28 | 25.1 |
| Y | - | - | - | 19.3 | 20.1 | 19.7 | - | - | 21.8 | 24.5 | - | 24.5 |
| Cs | - | - | - | 0.572 | 0.706 | 0.683 | - | - | 0.328 | 0.470 | - | 0.313 |
| Sr | 633 | 652 | 348 | 354 | 263 | 280 | 276 | 259 | 551 | 980 | 589 | 558 | 680 |
| Ba | - | - | - | 124 | 176 | 154 | - | - | 458 | 371 | - | 331 |
| Zr | - | - | - | 104 | 105 | 105 | - | - | 230 | 158 | - | 150 |
| Hf | - | - | - | 2.42 | 3.11 | 3.09 | - | - | 5.93 | 3.48 | - | 3.56 |
| Nb | - | - | - | 10.7 | 11.0 | 10.9 | - | - | 59.7 | 23.8 | - | 30.0 |
| Ta | - | - | - | 0.627 | 0.521 | 0.709 | - | - | 3.51 | 1.18 | - | 1.66 |
| Pb | - | - | - | 2.61 | 2.99 | 3.00 | - | - | 4.43 | 5.10 | - | 5.27 |
| Th | - | - | - | 1.83 | 2.33 | 2.32 | - | - | 9.60 | 4.50 | - | 4.00 |
| U | - | - | - | 0.516 | 0.677 | 0.679 | - | - | 2.69 | 1.15 | - | 0.971 |
| La | - | - | - | 10.1 | 11.7 | 11.4 | - | - | 69.6 | 31.0 | - | 32.3 |
| Ce | - | - | - | 22.0 | 25.4 | 24.9 | - | - | 122 | 62.6 | - | 64.4 |
| Pr | - | - | - | 2.76 | 3.21 | 3.18 | - | - | 12.8 | 7.16 | - | 7.93 |
| Nd | - | - | - | 11.8 | 14.1 | 13.9 | - | - | 46.7 | 28.0 | - | 32.0 |
| Sm | - | - | - | 3.20 | 3.87 | 3.80 | - | - | 8.65 | 5.88 | - | 6.72 |
| Eu | - | - | - | 1.21 | 1.31 | 1.29 | - | - | 2.66 | 1.95 | - | 2.09 |
| Gd | - | - | - | 3.58 | 4.34 | 4.26 | - | - | 8.11 | 5.71 | - | 6.34 |
| Tb | - | - | - | 0.575 | 0.697 | 0.690 | - | - | 1.05 | 0.807 | - | 0.885 |
| Dy | - | - | - | 3.27 | 4.20 | 4.10 | - | - | 5.42 | 4.41 | - | 4.84 |
| Ho | - | - | - | 0.620 | 0.796 | 0.774 | - | - | 0.944 | 0.815 | - | 0.881 |
| Er | - | - | - | 1.61 | 2.06 | 2.02 | - | - | 2.31 | 2.16 | - | 2.17 |
| Tm | - | - | - | 0.246 | 0.282 | 0.277 | - | - | 0.297 | 0.320 | - | 0.288 |
| Yb | - | - | - | 1.48 | 1.75 | 1.70 | - | - | 1.79 | 1.93 | - | 1.76 |
| Lu | - | - | - | 0.198 | 0.247 | 0.245 | - | - | 0.254 | 0.264 | - | 0.242 |
| Sample | SY-031 | SY-032 | SY-033 | SY-034 | SY-035 | SY-036 | SY-037 | SY-038 | SY-039 | SY-040 | SY-041 | SY-042 | SY-044 |
|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|
| Lat. [°N] | 36°48'44" | 36°46'44" | 36°46'39" | 36°46'39" | 36°46'39" | 36°46'39" | 36°46'39" | 36°46'39" | 36°46'39" | 36°46'39" | 36°46'39" | 36°46'39" | 36°11'37" |
| Long. [°E] | 36°48'53" | 36°48'53" | 36°48'52" | 36°48'52" | 36°48'52" | 36°48'52" | 36°48'52" | 36°48'52" | 36°48'52" | 36°48'52" | 36°48'52" | 37°08'18" |
| Elevation [m] | 1056 | 1039 | 1023 | 1037 | 992 | 988 | 988 | 977 | 976 | 969 | 938 | 924 | - |
| Rock type | H | T | H | H | T | T | T | H | H | BA | T | T | BA |
| SiO₂ | 49.78 | 49.72 | 49.38 | 50.63 | 48.58 | 47.93 | 48.20 | 49.90 | 50.12 | 50.97 | 49.95 | 50.06 | 51.28 |
| TiO₂ | 2.22 | 2.16 | 2.33 | 2.16 | 1.86 | 1.88 | 1.84 | 2.22 | 2.26 | 1.86 | 1.93 | 1.91 | 1.48 |
| Al₂O₃ | 15.01 | 14.82 | 14.95 | 15.41 | 15.00 | 14.49 | 14.66 | 16.12 | 16.55 | 16.07 | 15.53 | 15.41 | 14.25 |
| Fe₂O₃ | 12.47 | 11.96 | 11.91 | 11.87 | 12.88 | 12.88 | 12.57 | 11.74 | 12.02 | 11.63 | 11.48 | 13.33 | 11.48 |
| MnO | 0.17 | 0.15 | 0.14 | 0.14 | 0.15 | 0.16 | 0.16 | 0.15 | 0.14 | 0.13 | 0.14 | 0.16 | 0.14 |
| MgO | 5.48 | 6.55 | 5.96 | 5.73 | 7.55 | 8.74 | 9.10 | 4.31 | 4.37 | 4.88 | 6.70 | 5.61 | 7.05 |
| CaO | 8.82 | 8.80 | 8.51 | 8.06 | 8.12 | 8.51 | 8.49 | 8.25 | 8.21 | 8.06 | 8.42 | 7.21 | 8.77 |
| Na₂O | 3.67 | 3.46 | 3.78 | 3.75 | 3.25 | 3.22 | 3.11 | 3.85 | 3.76 | 3.24 | 3.53 | 3.10 | - |
| K₂O | 1.33 | 1.35 | 1.47 | 1.43 | 0.89 | 0.88 | 0.87 | 1.48 | 1.48 | 1.03 | 0.99 | 1.04 | 0.41 |
| P₂O₅ | 0.61 | 0.53 | 0.48 | 0.44 | 0.27 | 0.27 | 0.26 | 0.57 | 0.58 | 0.27 | 0.26 | 0.28 | 0.16 |
| L.O.I. | 1.00 | 0.49 | 0.67 | 0.99 | 1.43 | 0.00 | 1.65 | 1.15 | 1.31 | 1.81 | 1.95 | 2.27 | 1.62 |
| Total | 100.56 | 99.99 | 99.58 | 100.61 | 99.98 | 98.96 | 100.91 | 99.74 | 100.80 | 100.47 | 100.59 | 100.81 | 99.74 |
| Mg-no. | 0.51 | 0.56 | 0.54 | 0.53 | 0.58 | 0.61 | 0.63 | 0.46 | 0.46 | 0.49 | 0.58 | 0.50 | 0.59 |
| Li | 7.58 | 6.52 | 11.6 | - | 6.31 | - | 6.58 | 9.82 | 11.3 | 7.59 | - | 7.69 | - |
| Sc | 16.5 | 15.9 | 17.6 | - | 18.6 | - | 16.7 | 13.9 | 16.1 | 18.3 | - | 16.2 | - |
| V | - | - | - | - | - | - | - | - | - | - | - | - | - |
| Cr | 258 | 263 | 304 | 246 | 321 | 315 | 317 | 63.0 | 64.0 | 230 | 218 | 291 | 287 |
| Co | 42.5 | 40.3 | 37.1 | - | 46.2 | - | 46.9 | 29.3 | 30.5 | 37.4 | - | 45.3 | - |
| Ni | 91 | 102 | 95.0 | 95 | 216 | 198 | 201 | 33.0 | 35.0 | 86.0 | 70 | 179 | 265 |
| Cu | 32.7 | 33.5 | 38.0 | - | 45.4 | - | 40.7 | 23.1 | 24.4 | 29.5 | - | 45.0 | - |
| Zn | 121 | 106 | 114 | 117 | 116 | 117 | 115 | 115 | 117 | 108 | 111 | 133 | 109 |
| Ga | 22.5 | 21.9 | 24.6 | - | 22.2 | - | 20.5 | 23.7 | 24.8 | 23.4 | - | 22.5 | - |
| Rb | 27.8 | 26.7 | 29.5 | 28 | 15.0 | 14 | 13.5 | 26.6 | 30.2 | 19.6 | 19 | 18.3 | 12 |
| Y | 26.6 | 24.3 | 25.2 | - | 22.2 | - | 19.3 | 24.4 | 27.3 | 24.8 | - | 21.1 | - |
| Cs | 0.293 | 0.389 | 0.254 | - | 0.134 | - | 0.284 | 0.286 | 0.243 | 0.325 | - | 0.304 | - |
| Sr | 670 | 626 | 632 | 586 | 399 | 399 | 387 | 670 | 656 | 412 | 388 | 411 | 280 |
| Ba | 360 | 318 | 351 | - | 185 | - | 153 | 333 | 366 | 207 | - | 203 | - |
| Zr | 164 | 155 | 180 | - | 115 | - | 107 | 159 | 169 | 125 | - | 119 | - |
| Hf | 4.04 | 3.96 | 4.49 | - | 3.08 | - | 2.77 | 4.06 | 4.29 | 3.38 | - | 3.15 | - |
| Nb | 31.7 | 30.5 | 31.6 | - | 17.7 | - | 16.5 | 29.6 | 30.9 | 15.1 | - | 14.9 | - |
| Ta | 1.76 | 1.76 | 1.82 | - | 1.10 | - | 1.01 | 1.57 | 1.66 | 0.909 | - | 0.950 | - |
| Pb | 4.88 | 4.73 | 6.13 | - | 2.31 | - | 2.33 | 5.29 | 6.53 | 3.49 | - | 3.16 | - |
| Th | 4.43 | 4.08 | 4.59 | - | 2.23 | - | 2.03 | 4.47 | 4.85 | 2.84 | - | 2.53 | - |
| U | 1.09 | 1.04 | 1.00 | - | 0.622 | - | 0.580 | 0.753 | 0.947 | 0.716 | - | 0.621 | - |
| La | 33.4 | 29.0 | 29.1 | - | 15.1 | - | 13.6 | 31.8 | 34.9 | 16.4 | - | 15.3 | - |
| Ce | 67.5 | 59.7 | 58.7 | - | 29.8 | - | 28.8 | 64.3 | 67.7 | 33.2 | - | 31.1 | - |
| Pr | 8.23 | 7.25 | 7.13 | - | 3.95 | - | 3.61 | 7.64 | 8.44 | 4.22 | - | 4.00 | - |
| Nd | 33.2 | 29.5 | 29.6 | - | 16.8 | - | 15.2 | 30.8 | 33.8 | 18.0 | - | 16.9 | - |
| Sm | 7.12 | 6.36 | 6.55 | - | 4.18 | - | 3.78 | 6.42 | 7.05 | 4.45 | - | 4.15 | - |
| Eu | 2.16 | 1.97 | 2.03 | - | 1.45 | - | 1.29 | 1.94 | 2.17 | 1.48 | - | 1.34 | - |
| Gd | 6.73 | 6.04 | 6.22 | - | 4.47 | - | 4.00 | 5.99 | 6.67 | 4.74 | - | 4.36 | - |
| Tb | 0.937 | 0.856 | 0.885 | - | 0.692 | - | 0.617 | 0.841 | 0.951 | 0.730 | - | 0.666 | - |
| Dy | 5.16 | 4.75 | 4.92 | - | 4.13 | - | 3.64 | 4.72 | 5.32 | 4.30 | - | 3.85 | - |
| Ho | 0.939 | 0.866 | 0.891 | - | 0.791 | - | 0.693 | 0.884 | 0.982 | 0.840 | - | 0.744 | - |
| Er | 2.35 | 2.20 | 2.28 | - | 2.07 | - | 1.82 | 2.26 | 2.54 | 2.20 | - | 1.89 | - |
| Tm | 0.312 | 0.298 | 0.302 | - | 0.284 | - | 0.250 | 0.302 | 0.342 | 0.297 | - | 0.256 | - |
| Yb | 1.91 | 1.81 | 1.85 | - | 1.77 | - | 1.53 | 1.87 | 2.13 | 1.86 | - | 1.62 | - |
| Lu | 0.265 | 0.255 | 0.265 | - | 0.253 | - | 0.217 | 0.265 | 0.300 | 0.271 | - | 0.229 | - |
| Sample | SY-060 | SY-067 | SY-069 | SY-072 | SY-073 | SY-074 | SY-075 | SY-077 | SY-078 | SY-080 | SY-081 | SY-082 | SY-083 |
|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|
| Lat. [°N] | 36°12'32" | 36°06'56" | 36°07'00" | 36°06'55" | 36°06'54" | 35°58'43" | 35°55'43" | 35°53'18" | 35°52'58" | 35°49'29" | 35°49'29" | 35°49'26" |
| Long. [°E] | 37°12'11" | 37°13'40" | 37°13'40" | 37°13'39" | 37°13'39" | 37°17'49" | 37°17'49" | 37°19'32" | 37°19'33" | 37°19'34" | 37°19'35" | 37°19'36" | 37°19'37" |
| Elevation [m] | - | 538 | 538 | 526 | 522 | 424 | 424 | 474 | 518 | 479 | 505 | - | 526 |
| Rock type | T | BA | T | T | T | T | T | T | T | BA | T | T | AB |
| SiO₂ | 50.35 | 50.16 | 49.62 | 49.31 | 50.22 | 49.62 | 48.98 | 50.03 | 50.30 | 51.39 | 49.83 | 49.84 | 48.94 |
| TiO₂ | 1.77 | 1.66 | 1.68 | 1.70 | 1.73 | 1.62 | 1.82 | 1.86 | 1.94 | 1.87 | 1.74 | 1.66 | 1.67 |
| Al₂O₃ | 14.08 | 13.87 | 13.34 | 13.72 | 13.62 | 14.04 | 14.07 | 13.42 | 14.44 | 15.36 | 13.68 | 13.89 | 13.70 |
| Fe₂O₃ | 11.88 | 11.55 | 11.61 | 11.79 | 11.45 | 12.03 | 11.99 | 11.68 | 12.22 | 11.62 | 11.54 | 11.65 | 11.87 |
| MnO | 0.15 | 0.15 | 0.14 | 0.15 | 0.15 | 0.14 | 0.15 | 0.15 | 0.15 | 0.14 | 0.16 | 0.15 | 0.15 |
| MgO | 8.46 | 6.31 | 8.66 | 7.26 | 8.80 | 5.92 | 6.32 | 8.06 | 6.97 | 4.55 | 7.26 | 8.08 | 7.58 |
| CaO | 8.46 | 9.99 | 9.54 | 9.76 | 8.88 | 10.26 | 10.09 | 9.48 | 8.75 | 9.41 | 10.17 | 9.64 | 10.63 |
| Na₂O | 3.04 | 3.27 | 2.80 | 3.04 | 3.09 | 2.66 | 3.34 | 3.41 | 3.31 | 3.17 | 3.26 | 3.14 | 3.24 |
| K₂O | 0.62 | 0.45 | 0.64 | 0.57 | 0.68 | 0.50 | 0.66 | 0.68 | 0.86 | 0.41 | 0.69 | 0.62 | 0.63 |
| P₂O₅ | 0.23 | 0.20 | 0.23 | 0.23 | 0.23 | 0.17 | 0.29 | 0.27 | 0.29 | 0.22 | 0.25 | 0.22 | 0.24 |
| L.O.I. | 1.55 | 2.47 | 1.39 | 2.02 | 1.21 | 3.55 | 2.15 | 1.39 | 1.16 | 1.76 | 1.79 | 1.27 | 2.02 |
| Total | 100.59 | 100.08 | 99.65 | 99.55 | 100.06 | 100.51 | 99.82 | 100.43 | 100.29 | 99.90 | 100.37 | 100.16 | 100.67 |
| Mg-no. | 0.62 | 0.56 | 0.63 | 0.59 | 0.64 | 0.53 | 0.55 | 0.62 | 0.57 | 0.48 | 0.59 | 0.62 | 0.60 |
| Li | - | 10.1 | - | - | - | 4.63 | 8.05 | - | - | - | - | 8.90 | - |
| Sc | - | 15.0 | - | - | - | 21.2 | 18.1 | - | - | - | - | 19.7 | - |
| V | - | - | - | - | - | 186 | - | - | - | - | - | - | - |
| Cr | 261 | 279 | 343 | 340 | 346 | 270 | 266 | 311 | 333 | 162 | 298 | 321 | 321 |
| Co | - | 44.5 | - | - | - | 45.0 | 47.2 | - | - | - | - | 47.5 | - |
| Ni | 252 | 233 | 296 | 318 | 288 | 193 | 202 | 278 | 296 | 111 | 216 | 233 | 252 |
| Cu | - | 74.2 | - | - | - | 88.7 | 77.3 | - | - | - | - | 71.7 | - |
| Zn | 106 | 112 | 109 | 108 | 111 | 104 | 102 | 109 | 111 | 110 | 108 | 100 | 113 |
| Ga | - | 20.4 | - | - | - | 20.7 | - | - | - | - | - | - | - |
| Rb | 5.0 | 6.74 | 10 | 11 | 8 | 6.43 | 11.8 | 13 | 10 | 9 | 11 | 12.2 | 11 |
| Y | - | 20.5 | - | - | - | 19.1 | 16.6 | - | - | - | - | 18.1 | - |
| Cs | - | 0.155 | - | - | - | 0.125 | 0.342 | - | - | - | - | 0.418 | - |
| Sr | 320 | 293 | 327 | 339 | 330 | 292 | 365 | 394 | 403 | 364 | 349 | 340 | 348 |
| Ba | - | 1533 | - | - | - | 120 | 156 | - | - | - | - | 216 | - |
| Zr | - | 86.7 | - | - | - | 97.4 | 107 | - | - | - | - | 106 | - |
| Hf | - | 2.43 | - | - | - | 2.36 | 3.19 | - | - | - | - | 3.13 | - |
| Nb | - | 9.97 | - | - | - | 8.71 | 13.6 | - | - | - | - | 11.7 | - |
| Ta | - | 0.608 | - | - | - | 0.519 | 0.945 | - | - | - | - | 0.792 | - |
| Pb | - | 1.69 | - | - | - | 1.57 | 2.08 | - | - | - | - | 2.82 | - |
| Th | - | 1.04 | - | - | - | 1.16 | 1.73 | - | - | - | - | 1.76 | - |
| U | - | 0.331 | - | - | - | 0.364 | 0.566 | - | - | - | - | 0.630 | - |
| La | - | 8.13 | - | - | - | 8.00 | 12.1 | - | - | - | - | 11.5 | - |
| Ce | - | 18.1 | - | - | - | 18.3 | 27.0 | - | - | - | - | 25.4 | - |
| Pr | - | 2.39 | - | - | - | 2.43 | 3.52 | - | - | - | - | 3.33 | - |
| Nd | - | 10.9 | - | - | - | 10.9 | 15.6 | - | - | - | - | 14.7 | - |
| Sm | - | 3.32 | - | - | - | 3.13 | 4.00 | - | - | - | - | 3.94 | - |
| Eu | - | 1.26 | - | - | - | 1.23 | 1.40 | - | - | - | - | 1.39 | - |
| Gd | - | 3.92 | - | - | - | 3.61 | 4.26 | - | - | - | - | 4.34 | - |
| Tb | - | 0.642 | - | - | - | 0.584 | 0.655 | - | - | - | - | 0.682 | - |
| Dy | - | 3.89 | - | - | - | 3.38 | 3.73 | - | - | - | - | 3.99 | - |
| Ho | - | 0.730 | - | - | - | 0.640 | 0.693 | - | - | - | - | 0.745 | - |
| Er | - | 1.85 | - | - | - | 1.68 | 1.74 | - | - | - | - | 1.87 | - |
| Tm | - | 0.244 | - | - | - | 0.248 | 0.233 | - | - | - | - | 0.253 | - |
| Yb | - | 1.48 | - | - | - | 1.50 | 1.43 | - | - | - | - | 1.56 | - |
| Lu | - | 0.203 | - | - | - | 0.202 | 0.204 | - | - | - | - | 0.226 | - |
| Sample | SY-084 | SY-086 | SY-088 | SY-116 | SY-120 | SY-123 | SY-124 | SY-125 | SY-127 | SY-129 | SY-94-30 | SY-94-31 | SY-94-32 |
|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|----------|----------|----------|
| Lat. [°N] | 35°49'26" | 35°50'54" | 36°08'55" | 36°38'51" | 36°40'11" | 36°40'10" | 36°40'09" | 36°40'09" | 36°37'35" | 36°37'18" | 32°56'43" | 32°56'43" | 32°56'43" |
| Long. [°E] | 37°19'38" | 37°19'39" | 37°19'40" | 37°19'41" | 37°19'42" | 37°19'43" | 37°19'44" | 37°19'45" | 37°19'46" | 37°19'47" | 36°42'48" | 36°42'48" | 36°42'48" |
| Elevation [m] | - | 406 | 387 | 443 | 564 | 562 | 548 | 525 | 392 | 440 | 1066 | 1066 | 1066 |
| Rock type | T | BA | T | H | T | T | T | T | AB | LC xenolith | LC xenolith | LC xenolith |
| SiO₂ | 49.52 | 51.00 | 48.47 | 45.43 | 48.35 | 49.94 | 49.55 | 49.58 | 44.29 | 43.79 | 41.49 | 45.72 | 46.1 |
| TiO₂ | 1.72 | 1.71 | 1.86 | 2.61 | 2.09 | 2.05 | 2.11 | 2.06 | 2.68 | 2.66 | 1.5 | 1.65 | 3.43 |
| Al₂O₃ | 14.13 | 13.77 | 13.04 | 13.21 | 14.73 | 15.71 | 15.16 | 15.00 | 12.59 | 12.30 | 15.25 | 15.7 | 16 |
| Fe₂O₃ | 11.79 | 11.86 | 11.82 | 12.63 | 11.17 | 11.45 | 12.09 | 11.57 | 13.21 | 13.06 | 15.33 | 9.85 | 11.56 |
| MnO | 0.15 | 0.15 | 0.12 | 0.16 | 0.15 | 0.15 | 0.16 | 0.15 | 0.18 | 0.17 | 0.25 | 0.13 | 0.17 |
| MgO | 7.04 | 7.05 | 9.36 | 7.70 | 5.43 | 5.97 | 6.34 | 5.75 | 9.72 | 10.16 | 9.52 | 8.9 | 5.47 |
| CaO | 10.11 | 9.20 | 8.65 | 10.29 | 10.76 | 9.18 | 9.41 | 9.81 | 10.61 | 10.49 | 10.57 | 13.44 | 10.14 |
| Na₂O | 3.13 | 3.06 | 3.03 | 3.67 | 3.20 | 3.53 | 3.04 | 3.25 | 2.68 | 2.34 | 2.57 | 2.95 | 4.16 |
| K₂O | 0.59 | 0.59 | 0.81 | 1.24 | 0.82 | 0.86 | 0.59 | 0.85 | 1.38 | 1.43 | 0.3 | 0.28 | 0.62 |
| P₂O₅ | 0.24 | 0.23 | 0.27 | 0.49 | 0.27 | 0.28 | 0.27 | 0.27 | 0.52 | 0.51 | 0.51 | 0.15 | 1.19 |
| L.O.I. | 1.93 | 1.49 | 2.28 | 1.84 | 3.04 | 0.44 | 1.37 | 1.74 | 1.95 | 2.10 | 1.88 | 0.55 | 1.27 |
| Total | 100.35 | 100.11 | 99.71 | 99.27 | 100.01 | 99.56 | 100.09 | 100.03 | 99.81 | 99.01 | 99.17 | 99.32 | 99.11 |
| Mg-no. | 0.58 | 0.58 | 0.65 | 0.59 | 0.53 | 0.55 | 0.55 | 0.54 | 0.63 | 0.64 | 58.91 | 67.8 | 52.4 |
| Li | 9.45 | - | 5.69 | - | 6.93 | - | - | 6.09 | 8.49 | 10.4 | 4.37 | 4.27 |
| Sc | 19.8 | - | 15.0 | - | 16.1 | - | - | 21.2 | 15.4 | 30.4 | 43.9 | 19.5 |
| V | - | - | - | - | - | - | - | 239 | - | - | - | - |
| Cr | 312 | 269 | 330 | 248 | 180 | 201 | 265 | 239 | 283 | 289 | 360 | 145 | 14 |
| Co | 46.4 | - | 48.9 | - | 37.9 | - | - | 56.4 | 53.6 | 58 | 35.7 | 36.4 |
| Ni | 221 | 236 | 301 | 217 | 82 | 86.0 | 131 | 111 | 211 | 221 | 112 | 58.9 | 72.4 |
| Cu | 67.6 | - | 80.9 | - | 38.2 | - | - | 57.8 | 55.8 | 9.87 | 13.7 | 62.4 |
| Zn | 98.1 | 107 | 108 | 119 | 104 | 102 | 114 | 109 | 108 | 113 | 165 | 55.8 | 83.1 |
| Ga | - | 20.3 | - | - | 22.5 | - | - | 21.9 | 22.2 | - | - | - |
| Rb | 13.3 | 13 | 11.3 | 23 | 16 | 9.26 | 8 | 14 | 19.3 | 17.0 | 2.38 | 1.75 | 2.31 |
| Y | 18.6 | - | 19.3 | - | 21.6 | - | - | 19.6 | 20.7 | 22.5 | 13.7 | 27.2 |
| Cs | 0.456 | - | 0.120 | - | 0.160 | - | - | 0.200 | 0.114 | 0.045 | 0.036 | 0.018 |
| Sr | 339 | 366 | 366 | 666 | 418 | 413 | 408 | 396 | 691 | 707 | 315 | 768 | 1327 |
| Ba | 204 | - | 123 | - | 171 | - | - | 308 | 1174 | 152 | 160 | 683 |
| Zr | 109 | - | 106 | - | 124 | - | - | 182 | 176 | 113 | 53.6 | 126 |
| Hf | 3.22 | - | 2.85 | - | 3.35 | - | - | 4.22 | 4.34 | 3.04 | 1.58 | 3.97 |
| Nb | 12.2 | - | 17.4 | - | 13.1 | - | - | 41.7 | 41.3 | 4.12 | 8.9 | 21.4 |
| Ta | 0.838 | - | 1.12 | - | 0.844 | - | - | 2.71 | 2.74 | 0.384 | 0.539 | 1.23 |
| Pb | 2.64 | - | 1.82 | - | 2.19 | - | - | 2.39 | 2.62 | 0.83 | 0.444 | 2.24 |
| Th | 1.85 | - | 1.62 | - | 1.90 | - | - | 2.96 | 2.99 | 0.318 | 0.275 | 0.307 |
| U | 0.847 | - | 0.502 | - | 0.462 | - | - | 0.789 | 0.897 | 0.125 | 0.057 | 0.163 |
| La | 11.9 | - | 12.6 | - | 13.2 | - | - | 25.6 | 25.4 | 13.7 | 12.1 | 40.2 |
| Ce | 26.4 | - | 26.9 | - | 28.8 | - | - | 54.1 | 52.3 | 33.7 | 25 | 83.3 |
| Pr | 3.46 | - | 3.43 | - | 3.76 | - | - | 6.35 | 6.36 | 4.73 | 3.1 | 10.4 |
| Nd | 15.1 | - | 15.2 | - | 16.5 | - | - | 25.9 | 26.7 | 21.5 | 13.5 | 43.5 |
| Sm | 4.04 | - | 3.93 | - | 4.23 | - | - | 5.84 | 6.02 | 4.96 | 3.21 | 8.81 |
| Eu | 1.41 | - | 1.39 | - | 1.42 | - | - | 2.01 | 1.97 | 1.7 | 1.4 | 2.91 |
| Gd | 4.46 | - | 4.28 | - | 4.52 | - | - | 5.65 | 5.73 | 5.18 | 3.46 | 8.38 |
| Tb | 0.706 | - | 0.654 | - | 0.708 | - | - | 0.799 | 0.812 | 0.788 | 0.512 | 1.138 |
| Dy | 4.08 | - | 3.78 | - | 4.17 | - | - | 4.20 | 4.34 | 4.75 | 3 | 6.23 |
| Ho | 0.754 | - | 0.705 | - | 0.787 | - | - | 0.737 | 0.762 | 0.96 | 0.578 | 1.16 |
| Er | 1.91 | - | 1.75 | - | 2.05 | - | - | 1.77 | 1.84 | 2.63 | 1.5 | 2.98 |
| Tm | 0.259 | - | 0.226 | - | 0.281 | - | - | 0.232 | 0.237 | 0.376 | 0.205 | 0.399 |
| Yb | 1.61 | - | 1.36 | - | 1.70 | - | - | 1.40 | 1.39 | 2.47 | 1.25 | 2.49 |
| Lu | 0.226 | - | 0.189 | - | 0.235 | - | - | 0.185 | 0.189 | 0.375 | 0.182 | 0.366 |
| Sample | SY-94-34 | SY-94-36 | SY-94-38 | BHVO-1 (XRF) | BHVO-1 (ICP-MS) |
|--------|----------|----------|----------|--------------|----------------|
| **Lat. [°N]** | 32°56′43″ | 32°56′43″ | 32°56′43″ | | |
| **Long. [°E]** | 36°42′48″ | 36°42′48″ | 36°42′48″ | | |
| **Elevation [m]** | 1066 | 1066 | 1066 | | |
| **Rock type** | LC xenolith | LC xenolith | LC xenolith | standard | standard |
| SiO₂ | 48.26 | 42.09 | 40.54 | 50.00 | - |
| TiO₂ | 0.59 | 4.54 | 1.09 | 2.79 | - |
| Al₂O₃ | 17.99 | 15.15 | 14.08 | 13.86 | - |
| Fe₂O₃ | 7.89 | 16.39 | 14.9 | 12.26 | - |
| MnO | 0.11 | 0.18 | 0.21 | 0.17 | - |
| MgO | 9.77 | 6.83 | 16.15 | 7.23 | - |
| CaO | 11.53 | 9.87 | 10.17 | 11.54 | - |
| Na₂O | 2.38 | 3.06 | 1.02 | 2.43 | - |
| K₂O | 0.15 | 0.56 | 0.11 | 0.53 | - |
| P₂O₅ | 0.08 | 0.13 | 0.21 | 0.28 | - |
| L.O.I. | 1.76 | 0.83 | 0.25 | - | - |
| Total | 98.51 | 99.63 | 98.73 | 101.09 | - |
| Mg-no. | 74.3 | 49.3 | 71.6 | - | - |
| Li | 4.83 | 6.76 | 6.8 | - | 4.45 |
| Sc | 33.4 | 28.2 | 33 | - | 28.7 |
| V | - | - | - | - | 332 |
| Cr | 305 | 11 | 367 | 291 | 293 |
| Co | 56.2 | 52.6 | 74.1 | - | 43.9 |
| Ni | 240 | 57.2 | 339 | 119 | 115 |
| Cu | 56.1 | 17.2 | 22.4 | - | 132 |
| Zn | 62.9 | 105 | 118 | 104 | 101 |
| Ga | - | - | - | - | 22.2 |
| Rb | 0.904 | 4.33 | 1.54 | 11 | 9.56 |
| Y | 12 | 20.4 | 17 | - | 24.7 |
| Cs | 0.012 | 0.059 | 0.025 | - | 0.094 |
| Sr | 2376 | 1076 | 105 | 401 | 390 |
| Ba | 171 | 192 | 25 | - | 133 |
| Zr | 41.9 | 47.7 | 31.3 | - | 168 |
| Hf | 1.13 | 1.91 | 1.12 | - | 4.50 |
| Nb | 1 | 10 | 1.72 | - | 17.7 |
| Ta | 0.1 | 0.682 | 0.132 | - | 1.13 |
| Pb | 0.607 | 0.836 | 0.362 | - | 2.10 |
| Th | 0.098 | 0.025 | 0.08 | - | 1.22 |
| U | 0.052 | 0.04 | 0.036 | - | 0.425 |
| La | 4.63 | 3.31 | 4.38 | - | 15.2 |
| Ce | 8.86 | 12.8 | 12.6 | - | 37.9 |
| Pr | 1.32 | 2.6 | 2.05 | - | 5.34 |
| Nd | 6.13 | 15.4 | 10.9 | - | 24.4 |
| Sm | 1.65 | 4.61 | 3.14 | - | 6.16 |
| Eu | 0.718 | 1.91 | 1.17 | - | 2.03 |
| Gd | 1.96 | 4.87 | 3.67 | - | 6.11 |
| Tb | 0.329 | 0.747 | 0.587 | - | 0.933 |
| Dy | 2.09 | 4.38 | 3.55 | - | 5.30 |
| Ho | 0.426 | 0.846 | 0.702 | - | 0.979 |
| Er | 1.16 | 2.19 | 1.83 | - | 2.47 |
| Tm | 0.166 | 0.294 | 0.246 | - | 0.323 |
| Yb | 1.07 | 1.84 | 1.56 | - | 1.98 |
| Lu | 0.153 | 0.263 | 0.225 | - | 0.273 |
Table 3. Sr, Nd and Pb isotopic compositions of selected samples of the Syrian lavas and of lower crustal xenoliths.
| Sample | $^{87}$Sr/$^{86}$Sr (2s) | $^{143}$Nd/$^{144}$Nd (2s) | $^{206}$Pb/$^{204}$Pb | $^{207}$Pb/$^{204}$Pb | $^{208}$Pb/$^{204}$Pb | $^{206}$Pb/$^{238}$U | $^{207}$Pb/$^{206}$Pb | $^{208}$Pb/$^{206}$Pb | $^{143}$Nd/$^{144}$Nd$_{T}$ | $^{87}$Sr/$^{86}$Sr$_{T}$ | $^{143}$Nd/$^{144}$Nd$_{T}$ | $^{87}$Sr/$^{86}$Sr$_{T}$ |
|------------|--------------------------|---------------------------|----------------------|----------------------|----------------------|---------------------|---------------------|---------------------|--------------------------|--------------------------|--------------------------|--------------------------|
| SY 01/09 | 0.704749 (10) | 0.512732 (13) | 12.3 | 0.70472 | 0.512721 |
| SY 01/10 | 0.704592 (11) | 0.51249 (12) | 12.3 | 0.70457 | 0.512738 |
| SY 01/12 | 0.704882 (14) | 0.51269 (14) | 12.3 | 0.70486 | 0.512688 |
| SY 01/23 | 0.704878 (18) | 0.512706 (7) | 12.3 | 0.70486 | 0.512694 |
| SY 01/25 | 0.704526 (22) | 0.512752 (5) | 12.3 | 0.70450 | 0.512741 |
| SY 01/28 | 0.704378 (12) | 0.512819 (11) | 12.3 | 0.70436 | 0.512807 |
| SY 01/29 | 0.704955 (13) | 0.512732 (14) | 12.3 | 0.70483 | 0.512721 |
| SY 01/32 | 0.704745 (22) | 0.512749 (6) | 12.3 | 0.70472 | 0.512738 |
| SY-010 | 0.704166 (3) | 0.512803 (3) | 12.3 | 0.70406 | 0.512802 |
| SY-028 | 0.704843 (16) | 0.512703 (15) | 12.3 | 0.70482 | 0.512693 |
| SY-033 | 0.704570 (17) | 0.512721 (11) | 12.3 | 0.70455 | 0.512710 |
| SY-037 | 0.704310 (11) | 0.512895 (17) | 12.3 | 0.70429 | 0.512863 |
| SY-038 | 0.704600 (19) | 0.512789 (11) | 9.8 | 0.70458 | 0.512791 |
| SY-067 | 0.704215 (10) | 0.512899 (12) | 5.0 | 0.70421 | 0.512893 |
| SY-074 | 0.704747 (10) | 0.512781 (13) | 5.0 | 0.70474 | 0.512775 |
| SY-082 | 0.704276 (3) | 0.512786 (3) | 5.0 | 0.70427 | 0.512781 |
| SY-088 | 0.703847 (13) | 0.512899 (10) | 5.0 | 0.70384 | 0.512894 |
| SY-123 | 0.704223 (12) | 0.512795 (11) | 2.0 | 0.70422 | 0.512792 |
| SY-127 | 0.703897 (10) | 0.512909 (15) | 2.0 | 0.70370 | 0.512907 |
| SY-129 | 0.703862 (11) | 0.512940 (11) | 2.0 | 0.70388 | 0.512936 |
| SY-94-30 | 0.70355 (15) | 0.512758 (12) | 18.795 | 15.609 | 38.597 |
| SY-94-32 | 0.70446 (12) | 0.512709 (13) | 18.582 | 15.638 | 38.450 |
| SY-94-38 | 0.70329 (8) | 0.512850 (9) | 18.751 | 15.566 | 38.589 |
*Correction age depends on geological map of Poniakarov et al. (1963) and Ar-Ar data of Kibrizt et al. (in preparation).
für Geochronologie in Münster using a VG Sector 54 multicolonlector mass spectrometer. A few samples were analysed at the GEOMAR Forschungszentrum für marine Geowissenschaften in Kiel for Pb on a Finnigan MAT 262 RPQ2+ and for Sr and Nd on a Finnigan Triton mass spectrometer. For isotope determinations, 100 mg of powdered sample were used. Sr, Nd and Pb were separated from the matrix using standard ion exchange techniques. Sr and Nd isotope ratios were analysed in dynamic mode and corrected for isotope fractionation using $^{87}\text{Sr}/^{86}\text{Sr} = 0.1194$ and $^{146}\text{Nd}/^{144}\text{Nd} = 0.7219$, respectively. In Münster, standard runs for Sr isotopes gave NBS 987 (n = 16): 0.710299 (2SD = 0.000026) and all Sr isotope analyses were normalised to NBS 987 = 0.710250. Standard runs for $^{143}\text{Nd}/^{144}\text{Nd}$ gave La Jolla (n=14): 0.511862 (2SD = 0.000024). Pb isotopes were measured in static mode and the NBS 982 standard was used to correct Pb isotopic ratios for mass fractionation. Correction factors are $^{206}\text{Pb}/^{204}\text{Pb} = 0.02\%$, $^{207}\text{Pb}/^{204}\text{Pb} = 0.03\%$ and $^{208}\text{Pb}/^{204}\text{Pb} = 0.04\%$ and standard runs (n=10) gave $^{206}\text{Pb}/^{204}\text{Pb} = 36.646$, $^{207}\text{Pb}/^{204}\text{Pb} = 17.101$ and $^{208}\text{Pb}/^{204}\text{Pb} = 36.593$ with a precision of $\pm 0.022$, $\pm 0.014$ and $\pm 0.038$ (2SD) respectively. In Kiel, the NBS 987 (n=8) gave 0.710273 (2SD = 0.000010) and all Sr isotope analyses were normalised to NBS 987 = 0.710250. Standard runs for $^{143}\text{Nd}/^{144}\text{Nd}$ gave 0.511710 (2SD = 0.000010) for the Nd Spex standard (n=5) corresponding to a La Jolla value of 0.511828. The Nd isotope analyses were normalised to the La Jolla standard measured in Münster. The NBS 981 standard was used to correct Pb isotopic ratios for mass fractionation. Correction factors are $^{206}\text{Pb}/^{204}\text{Pb} = 0.02\%$, $^{207}\text{Pb}/^{204}\text{Pb} = 0.03\%$ and $^{208}\text{Pb}/^{204}\text{Pb} = 0.04\%$ and standard runs (n = 28) gave $^{206}\text{Pb}/^{204}\text{Pb} = 16.903$, $^{207}\text{Pb}/^{204}\text{Pb} = 15.447$ and $^{208}\text{Pb}/^{204}\text{Pb} = 36.558$ with a precision of $\pm 0.018$, $\pm 0.024$ and $\pm 0.075$ (2SD) respectively. Procedural blanks in both laboratories were generally better than 0.2ng, 0.1ng and 0.04ng for Sr, Nd and Pb. Isotopic compositions of all samples were age-corrected using the age of the different locations as defined by the geological maps of Ponikarov et al. (1963) and new Ar-Ar data of Krienitz et al. (Chapter III). The age-corrected isotopic data were used in the figures.
### 1.4 Results
#### 1.4.1 Classification
According to the total alkali-silica diagram samples of NW Syria can be classified as basalts, one basanite, basaltic andesites, hawaiites and mugearites (Fig. 1.2). Basaltic samples include both nepheline- and hypersthene-normative compositions and thus can be further classified as alkali basalts and tholeiites.
#### 1.4.2 Petrography
**Alkali basalts and basanite**
All studied undersaturated samples have porphyritic textures and phenocrysts make up to 20 vol.%. The groundmass of alkali basalts and the basanite consists of plagioclase ($\text{An}_{65-44}$),
clinopyroxene (Wo$_{50-47}$-En$_{41-36}$), olivine (Fo$_{60-56}$) and Ti-magnetite. Some samples show calcite vesicle fillings and quartz xenocrysts were observed in sample SY-028. Olivine is the most common phenocryst phase and dominates over clinopyroxene. Olivine phenocrysts are often subhedral to skeletal and always show iddingsite rims or are totally altered. One sample includes a clinopyroxene cumulate with resorbed and abundant broken crystals. An agglomerate of rounded olivine crystals (Fo$_{85-82}$) occurs in sample SY-127 and is interpreted as xenocrysts.
**Fig. 1.2.** Total-alkali-silica diagram of Le Bas et al. (1986) with rock type discrimination after Le Maitre et al. (1989) for the classification of northwestern Syrian samples. Filled symbols refer to high-P suite and open symbols to low-P suite samples (see text for details).
**Tholeiites and basaltic andesites**
Plagioclase (An$_{64-(12)}$), clinopyroxene (Wo$_{44-30}$-En$_{52-41}$), Ti-magnetite and rarely olivine (Fo$_{75-73}$) occur in the groundmass of tholeiites and basaltic andesites. Occasionally calcite fillings are found. Samples contain varying amounts of olivine (Fo$_{82-55}$), clinopyroxene (tholeiite Wo$_{45-44}$-En$_{44-46}$) and plagioclase (An$_{65-29}$) phenocrysts. Olivines are often altered and make up to 10 vol.% and are the most abundant phenocryst phase in the tholeiites. Olivine phenocrysts, occurring up to 5 vol.% in basaltic andesites, are altered and often show resorption. Plagioclase phenocrysts (5-10 vol.%) are more common in basaltic andesites and dominate in most cases over olivine. Aggregates of plagioclase, clinopyroxene and minor amounts of olivine are observed in both the tholeiites and the basaltic andesites.
**Hawaiites and mugearites**
The groundmass of hawaiites and mugearites is composed of plagioclase laths (An$_{62-20}$), clinopyroxene (Wo$_{45-42}$-En$_{41-38}$), Ti-magnetite and rare olivine (Fo$_{60-42}$). Resorbed quartz
crystals occur as xenocrysts in a few samples. Plagioclase phenocrysts (An$_{65-48}$) are euhedral to subhedral laths and make up 5-20 vol.% and in most samples dominate over olivine (Fo$_{83-50}$) and clinopyroxene (Wo$_{46-41}$-En$_{48-38}$), both 5-10 vol.%. The subhedral to skeletal olivine phenocrysts always show iddingsite rims or are totally altered. Rare calcite fillings are observed as well and in some cases aggregates of clinopyroxene and plagioclase crystals.
### 1.4.3 Chemical alteration
Weathering causes chemical alteration of rocks affecting especially the mobile elements (Cs, Rb, K, and U) leading to a loss of these elements and to elevated H$_2$O (i.e. LOI) contents. The concentrations of mobile elements of the whole sample suite show no correlation with their respective MgO and LOI contents. Some alkali basalts, tholeiites and basaltic andesites have LOI values >2wt.% (up to 3.55wt.%) and show the lowest K$_2$O and U concentrations. If alteration processes have affected these samples, they should have high Nb/U ratios compared to fresh lavas. However, samples with low U concentrations are indistinguishable from the rest of the samples suite. Thus, chemical alteration plays no important role and generally did not affect the mobile elements of the analysed rocks and has no significant influence on variations of other major and trace elements.
### 1.4.4 Major and trace elements
Based on their P$_2$O$_5$ contents (Fig. 1.3a) the samples can be divided into two suites: (1) a high-P$_2$O$_5$ suite containing most of the alkali basalts and mugearites, the basanite, hawaiites and some of the tholeiites, and (2) a low-P$_2$O$_5$ suite consisting of most of the tholeiites and basaltic andesites and some of the alkali basalts and mugearites (cp. Fig. 1.2). Samples of the high-P suite are enriched in TiO$_2$ and K$_2$O, but most have lower SiO$_2$ and Ni at similar MgO concentrations with compared to the low-P suite (Fig. 1.3).
MgO concentrations of the samples range from 10.2 to 4.1 wt.%. TiO$_2$, Al$_2$O$_3$ and Na$_2$O in the low-P suite exhibits clear negative correlations with MgO (Fig. 1.3). FeOT concentrations are approximately constant over the whole MgO range. Positively correlated with decreasing MgO are the compatible trace elements Cr and Ni (Figs. 1.3i and f). CaO scatters widely and shows no correlation with MgO. K$_2$O and P$_2$O$_5$ are constant over the whole MgO range and Cr contents decreases sharply at 6 wt.% MgO (Fig. 1.3i). Samples of the high-P suite show similar trends with respect to most of the major elements, but display a distinct positive correlation between TiO$_2$ and MgO.
Samples of the high-P suite are relatively enriched in highly incompatible elements and, for example, Ba, Nb, and Zr concentrations are twice as high in high-P lavas compared to the low-P suite (Figs. 1.4a - c). Both suites contain some samples enriched to variable amounts in Ba. Heavy rare earth element contents are similar in the high and low-P suite and increase with decreasing MgO (Fig. 1.4d). Samples of the high-P suite show chondrite-normalised La/Sm
Fig. 1.3. (a - j) Selected major and compatible trace element variation diagrams versus MgO for the Syrian lavas. Also shown are the results for fractional crystallisation modeling using the software program MELTS of Ghiorso and Sack (1995) with input values listed in Table 4. Fractional crystallisation trends for high-P suite samples are given by continuous lines and for low-P suite samples by dashed lines.
Fig. 1.3. continued
Fig. 1.4. (a – f) Variations in trace element contents and ratios with MgO for the Syrian lavas.
[(La/Sm)$_N$] ratios between 3.3 and 2.6 (basanite 5.0) and (Tb/Yb)$_N$ ratios from 2.6 - 1.9. In contrast, the low-P suite has (La/Sm)$_N$ between 2.6 and 1.5 and (Tb/Yb)$_N$ ratios in the range of 2.1-1.7 (Figs. 1.4e and f).
Ce/Pb ratios (28-8) of the northwestern Syrian sample suite show a positive correlation with Nb/U (53-16), but are negatively correlated with SiO$_2$ and $^{87}$Sr/$^{86}$Sr$_T$ (Figs. 1.5 and 1.6), whereas Sr isotope ratios become more radiogenic with decreasing MgO contents (Fig. 1.6a). Most of the primitive samples have high Ce/Pb (28-19) and Nb/U (53-22) ratios, have low SiO$_2$ contents and unradiogenic Sr isotopes similar to compositions of oceanic basalts, whereas basaltic andesites show the lowest incompatible element ratios and high SiO$_2$ concentrations trending to compositions displayed by average upper and lower continental crust (Figs. 1.5 and 1.6).
### 1.4.5 Sr-, Nd- and Pb-isotopes
As illustrated in Figure 1.7a the $^{87}$Sr/$^{86}$Sr$_T$ (0.7037 - 0.7049) and $^{143}$Nd/$^{144}$Nd$_T$ (0.51294 - 0.51269) compositions of the Syrian lavas are negatively correlated, whereby the basaltic samples of the low-P suite have the least radiogenic Sr and the most radiogenic Nd isotope compositions. Mugearites have high $^{87}$Sr/$^{86}$Sr$_T$ and show the least radiogenic $^{143}$Nd/$^{144}$Nd$_T$. The
array displayed by the northwestern Syrian samples trends towards radiogenic $^{87}\text{Sr}/^{86}\text{Sr}$ and unradiogenic $^{143}\text{Nd}/^{144}\text{Nd}$ as observed in crustal samples from Jordan (Jarrar et al., 2003) and Saudi Arabia (Hegner and Pallister, 1989) (Fig. 1.7a). In a plot of $^{206}\text{Pb}/^{204}\text{Pb}$ versus $^{87}\text{Sr}/^{86}\text{Sr}$ the array formed by most of the Syrian lavas do overlap with compositions attributed to the Afar plume and trends to compositions characteristically for upper crustal rocks of Saudi Arabia, whereby a few Syrian samples show isotope compositions similar to Syrian lower crust (Fig. 1.
**Fig. 1.5.** Plots of (a) $\text{SiO}_2$ versus Ce/Pb and (b) Nb/U versus Ce/Pb. Grey fields display Ce/Pb and Nb/U arrays for uncontaminated mantle-derived magmas (Hofmann et al., 1986). Average continental crustal compositions of lower (LCC) and upper crust (UCC) are from Rudnick and Fountain (1995).
The Pb isotopes do not define a trend but rather show significant scatter with $^{206}\text{Pb}/^{204}\text{Pb}_T$ ranging from 19.0 to 18.6 and $^{207}\text{Pb}/^{204}\text{Pb}_T$ from 15.7 to 15.6 (Fig. 1.8a). The field of northwestern Syrian lavas as defined by $^{206}\text{Pb}/^{204}\text{Pb}_T$ and $^{207}\text{Pb}/^{204}\text{Pb}_T$ ratios overlaps with arrays representative for samples from the Arabian lithospheric mantle and southern Syria, but
Fig. 1.6. Plots of (a) MgO versus $^{87}\text{Sr}/^{86}\text{Sr}_{\text{T}}$ and (b) Ce/Pb versus $^{87}\text{Sr}/^{86}\text{Sr}_{\text{T}}$. Data sources for average lower and upper continental crust and mantle array as in Figure 1.5.
Fig. 1.7. Diagrams of (a) $^{87}\text{Sr}/^{86}\text{Sr}_{\text{T}}$ versus $^{143}\text{Nd}/^{144}\text{Nd}_{\text{T}}$ and (b) $^{206}\text{Pb}/^{204}\text{Pb}_{\text{T}}$ versus $^{87}\text{Sr}/^{86}\text{Sr}_{\text{T}}$ for Syrian samples analysed in this study compared with Arabian crustal data, clinopyroxene analyses representative of Arabian lithospheric mantle, lavas with high $^3\text{He}/^4\text{He}$ ratios, which are influenced by the Afar plume, lavas from the Red Sea region and Saudi Arabia. Data sources: Afar plume (Pik et al., 1999), Arabian lithospheric mantle (Henjes-Kunst et al., 1990; Altherr et al., 1990; Blusztajn et al., 1995), Red Sea (Dupre et al., 1988; Eissen et al., 1989; Schilling et al., 1992; Rogers, 1993), Saudi Arabia and southern Syria (Bertrand et al., 2003), Saudi Arabian upper crust (Hegner and Pallister, 1989), Jordanian upper crust (Jarrar et al., 2003), and Syrian lower crust (this work).
Fig. 1.8. (a) and (b) Pb isotope systematics for investigated Syrian samples (fields and data sources as in Figure 1.7).
has more radiogenic $^{207}\text{Pb}/^{204}\text{Pb}_T$ ratios compared to lavas influenced by the Afar plume (Fig. 1.8a). $^{206}\text{Pb}/^{204}\text{Pb}_T$ and $^{208}\text{Pb}/^{204}\text{Pb}_T$ ratios show a poorly defined positively correlation and similar isotope compositions as the Afar plume and Red Sea samples as well, but lie outside the range representative for the Arabian lithospheric mantle (Fig. 1.8b).
### 1.5 Discussion
#### 1.5.1 Major and trace element behaviour during fractional crystallisation
Samples of the two different rock suites are most likely related by crystal fractionation processes affecting major and compatible trace element compositions. Primitive, mantle derived magmas in equilibrium with mantle olivine have Mg-numbers of 0.68 - 0.72 and Ni concentrations in the range of 300 - 500 ppm (Frey et al., 1978). Although some tholeiites and alkali basalts have relatively primitive Mg-numbers, ranging from 0.65 to 0.60, and Ni concentrations of about 300 ppm (Fig. 1.3j), most of the rocks show lower values. The decrease of Mg-number in combination with decreasing Ni and Cr content implies olivine, clinopyroxene and spinel fractionation. Clinopyroxene extraction is evident in the increasing $\text{Al}_2\text{O}_3$ (Fig. 1.3d) and the positive correlation of CaO/$\text{Al}_2\text{O}_3$ ratios with decreasing MgO (not shown). The inflection of Cr at 6 wt.% MgO supports the stronger influence of spinel as fractionating phase. Positive Sr anomalies (average Sr/Sr* = 1.34), the lack of Eu anomalies (average Eu/Eu* = 1.00) and uniformly rising $\text{Al}_2\text{O}_3$ concentrations indicate that low pressure plagioclase fractionation did not play a major role throughout the fractionation sequence, but may account for the slight increase of SiO$_2$ at 5 wt.% MgO displayed by hawaiites, mugearites and basaltic andesites. Although titanomagnetite is observed in samples from both suites, its fractionation is only obvious in the high-P suite, as shown by the positive correlation of TiO$_2$ with MgO (Fig. 1.3c).
For quantitative modeling of fractionation processes the software MELTS from Ghiorso and Sack (1995) was used (Table 4, Fig. 1.3). As a first approximation the modeling results show that most of the Syrian samples can be related to crystal fractionation, but modeling fails to account for all major element variations even within the single suites. The most evolved lavas from the high-P suite have fractionated about 37% clinopyroxene, 6% olivine, 3% plagioclase, and 7% spinel to evolve from an alkali basalt to a mugearite (Table 4). In contrast, the observed mineral modes of mugearites and basaltic andesites of the low-P suite suggest extraction of olivine, clinopyroxene, spinel, and plagioclase to evolve from a tholeiitic parent. However, quantitative modeling using MELTS indicates 22% clinopyroxene and 8% plagioclase removal (Table 4, Fig. 1.3). The results are consistent with the occurrence of all mineral phases in the rock samples with the exception of olivine. The discrepancy between modeling results and the occurrence of olivine as a major phenocryst phase in primitive samples may be due to high pressure conditions for olivine crystallisation. A loss of olivine even at greater depth may account for the generation of the primitive alkali basalts. Furthermore, the results for high-P lavas are similar to results obtained for Pleistocene volcanic rocks from Israel which have undergone up to 30% of mainly clinopyroxene
Table 4. Fractional crystallisation modelling for lavas of NW Syria using MELTS.
| Input values | Initial values recalculated by MELTS |
|--------------|-------------------------------------|
| **low P-group** | **high P-group** | **low P-group** | **high P-group** |
| T range | 1300-850 °C | 1300-850 °C | T<sub>liquidus</sub> | 1239 °C | 1268 °C |
| P | 3 kbar | 3 kbar | P | 3 kbar | 3 kbar |
| log<sub>(10)</sub> fO<sub>2</sub> | 0 | 0 | log<sub>(10)</sub> fO<sub>2</sub> | -6.87 | -6.57 |
| QFM | +1 | +1 | ?QFM | +1 | +1 |
| [wt.%] | [wt.%] | [wt.%] | [wt.%] |
|--------|--------|--------|--------|
| SiO<sub>2</sub> | 49.62 | 43.79 | SiO<sub>2</sub> | 50.57 | 45.78 |
| TiO<sub>2</sub> | 1.68 | 2.50 | TiO<sub>2</sub> | 1.71 | 2.61 |
| Al<sub>2</sub>O<sub>3</sub> | 13.34 | 12.30 | Al<sub>2</sub>O<sub>3</sub> | 13.59 | 12.86 |
| FeO<sup>T</sup> | 10.45 | 11.50 | FeO<sup>T</sup> | 10.88 | 12.29 |
| MnO | 0.14 | 0.17 | MnO | 0.14 | 0.18 |
| MgO | 8.66 | 10.16 | MgO | 8.83 | 10.62 |
| CaO | 9.54 | 10.49 | CaO | 9.72 | 10.97 |
| Na<sub>2</sub>O | 2.80 | 2.34 | Na<sub>2</sub>O | 2.85 | 2.45 |
| K<sub>2</sub>O | 0.64 | 1.00 | K<sub>2</sub>O | 0.65 | 1.05 |
| P<sub>2</sub>O<sub>5</sub> | 0.23 | 0.35 | P<sub>2</sub>O<sub>5</sub> | 0.23 | 0.37 |
| H<sub>2</sub>O | 0.50 | 0.50 | H<sub>2</sub>O | 0.51 | 0.52 |
| CO<sub>2</sub> | 0.30 | 0.30 | CO<sub>2</sub> | 0.31 | 0.31 |
| Total | 97.90 | 95.40 | Total | 99.99 | 100.01 |
**low P-group**
| Fractionated phases at: | Phase | [wt.%] | Composition |
|-------------------------|-------|--------|-------------|
| T | cpx | 21.56 | Di 29, En 22, He 22, Jd 3.0 |
| MgO | plag | 8.43 | Ab 38, An 61, Sa 1.1 |
| | Total | 29.99 | |
**high P-group**
| Fractionated phases at: | Phase | [wt.%] | Composition |
|-------------------------|-------|--------|-------------|
| T | ol | 6.28 | Fo 79 |
| MgO | cpx | 36.96 | Di 36, En 18, He 17, Jd 3.1 |
| | plag | 2.93 | Ab 37, An 61, Sa 1.7 |
| | spinel| 6.86 | Usp 31, Mt 47, Sp 5.1 |
| | Total | 53.03 | |
and olivine fractionation and only minor amounts of other phases (Weinstein et al., 1994).
Pressure-temperature estimates for northwestern Syrian lavas based on clinopyroxene-melt equilibria using the approach of Putirka et al. (1996) yield a total pressure range of 7 - 2 kb. The pressure estimates for whole rock data of the Syrian lavas correspond to a total depth interval of 23 - 8 km. High-P suite samples indicate pressure conditions between 7 and 4 kb (23 - 13 km), but mostly give crystallisation pressures in the range of 5.5 to 5 kb (18 - 16 km). Assuming a lower limit of the upper crust in depths of about 20 km (Nasir and Safarjalani, 2000) the pressure conditions during crystal fractionation producing high-P suite lavas suggest that the magmas stagnated already in lower crustal levels, whereas the main phase of crystallisation took place in upper crustal depths. In contrast, fractionation resulting in the formation of the low-P suite occurs at shallower depths of about 3 kb (~10 km) suggesting solely an upper crustal level for crystal formation. These calculations are similar to observations made by Baker et al. (1997) for lavas from western Yemen, which have undergone high-pressure (~30 - 8 kb) and/or polybaric fractionation of olivine, clinopyroxene, plagioclase, and Fe-Ti oxides and, at a later stage, apatite. The variable crystallisation depths of the two Syrian suites indicate rather magma stagnation in several small magma chambers than argue for long magma residence times in a single pronounced magma chamber. Even the presence of xenocrysts and cumulates observed in thin sections suggests a fast ascent of magmas.
1.5.2 Crustal contamination
The decrease of incompatible element ratios such as Ce/Pb or Nb/U and variations of isotope compositions during magmatic differentiation, i.e. increasing SiO$_2$ or decreasing MgO, cannot be achieved by crystal fractionation (Fig. 1.5a). Since the isotope composition of a magma is independent of crystal fractionation processes as well as of the degree of partial melting, increasing Sr isotopic ratios with decreasing MgO (Fig. 1.6a) are the result of crustal contamination. Thus, the observed correlations between incompatible element ratios and isotopic compositions throughout the differentiation trends are due to the combined effects of assimilation and fractionation (AFC). Hofmann et al. (1986) have shown that the Ce/Pb and Nb/U ratios of uncontaminated mantle-derived magmas are 25±5 and 47±10, respectively. These ratios will be significantly lowered as magmas react with continental crust (Fig. 1.5). The assimilation of continental crust during the evolution of the Syrian lavas is also suggested by the isotopic compositions of the sample suite because Sr and Nd isotope compositions of the evolved lavas fall outside the fields for Arabian lithospheric mantle and lavas from the Afar plume and Red Sea, but trend to crustal compositions with the most evolved samples exhibiting the lowest Nd, but the most radiogenic Sr compositions (Fig. 1.7a). These correlations are evidence for contamination of parental lavas with crustal material. In addition to the geochemical evidence for crustal assimilation, the presence of quartz xenocrysts in some samples supports assimilation processes.
Based on Sr and Nd isotope compositions AFC-processes were modeled using the energy-constrained assimilation-fractional crystallisation (EC-AFC) model of Spera and Bohrson (2001). Appropriate end-member compositions were defined on the basis of on the primitive samples SY-088 (low-P suite) and SY-127 (high-P suite) respectively (Fig. 1.6b). The low Sr and high Nd isotopic composition as well as the high Ce/Pb and Nb/U ratios of these samples ensure that these lavas are least or even uncontaminated (Figs. 1.5b, 1.6b, and 1.7a). Since the magmas stagnated at lower crustal levels (Figs. 1.7 and 1.8) it is reasonable to choose as a contaminant material with a composition akin to lower crust. Starting values are given in Table 5, assuming compositions of the contaminant similar to mafic lower crustal xenoliths of the Harrat As Shamah volcanic field in southern Syria (Nasir and Safarjalani, 2000) and an average Sr and Nd isotopic composition of lower crust as cited in Bohrson and Spera (2001) for the lower crustal case. Figure 1.9 shows that isotopic and incompatible element variations of the two different Syrian lava suites can be modeled by AFC processes using two different primary magma compositions. These two primary magmas have similar Sr and Nd isotopic compositions but very different Sr and Nd concentrations, i.e. the high-P suite is much more enriched than the low-P suite lavas. Evolved high-P suite lavas have assimilated between 10% and 50% of mafic lower crust and have fractionated between 30% and 55% to produce the isotopic variability observed in the samples. In contrast, only up to 10% assimilation and 5% to 35% fractionation are needed to change the isotopic composition of the low-P suite lavas (Figs. 1.9a and b). With respect to the amount of crystal fractionation the results are in accordance with quantitative modeling of the crystallisation.
**Table 5. Input parameters for EC-AFC computations*.
| Thermal parameters | T [°C] |
|--------------------|--------|
| Magma liquidus temperature | 1320 |
| Magma initial temperature | 1320 |
| Assimilant liquidus temperature | 1150 |
| Assimilant initial temperature | 650 |
| Solidus temperature | 900 |
| Equilibration temperature | 1085 |
| Isobaric specific heat of magma | 1484 J/kg K |
| Isobaric specific heat of assimilant | 1370 J/kg K |
| Crystallization enthalpy | 396000 J/kg |
| Fusion enthalpy | 270000 J/kg |
| Compositional parameters | Sr | Nd |
|--------------------------|----|----|
| Magma A | | |
| Magma initial concentration [ppm] | 600 | 22 |
| Magma isotope ratio | 0.7037 | 0.512907 |
| Magma trace element distribution coefficient | 0.7 | 0.25 |
| Magma B | | |
| Magma initial concentration [ppm] | 320 | 10 |
| Magma isotope ratio | 0.7037 | 0.512907 |
| Magma trace element distribution coefficient | 0.7 | 0.25 |
| Assimilant | | |
| Assimilant initial concentration [ppm] | 129 | 12.7 |
| Assimilant isotope ratio | 0.7100 | 0.5122 |
| Assimilant trace element distribution coefficient | 0.05 | 0.25 |
*computations were performed using the computer program EC-AFC as cited in Spera and Bohrson (2001)*
Fig. 1.9. Results for EC-AFC modeling. Continuous lines refer to calculated curves for high-P suite samples (Magma A, Table 5) and dashed lines to low-P suite samples (Magma B, Table 5). Italic numbers give the amount of fractional crystallisation and other numbers the percentage of anatectic melt assimilated.
processes using the MELTS software (Table 4; Fig. 1.3). Exact quantification of AFC processes is limited due to: (1) unknown incompatible element concentrations of the primary magmas, (2) the very heterogeneous geochemical nature of the crust, and (3) uncertainties of the bulk distribution coefficients of Sr during assimilation and fractional crystallisation.
Deep seismic refraction data of El-Isa et al. (1987) and geochemical studies of crustal rocks and xenoliths (Nasir, 1992; Nasir and Safarjalani, 2000; Jarrar et al., 2003) have shown that an upper crustal layer of mafic and intermediate to presumably felsic composition exists in northwestern Arabia followed by a mafic lower crustal layer at a depth of about 20 km. Even though the assimilation of felsic upper crustal rocks (Jarrar et al., 2003) could account for high SiO$_2$ concentrations in low-P suite lavas, the high K contents of the granitic upper crust (Jarrar et al., 2003) cannot produce the observed differences in K$_2$O with respect to the two Syrian suites (Fig. 1.3). Additionally, the EC-AFC model in fact leads to realistic results for the assimilation of mafic crustal components, it fails using felsic compositions of even local crust, e.g. Egypt (El-Sayed, 2003), resulting in unrealistically small amounts of assimilated melts (<1%) to produce the observed isotopic variations (Fig. 1.9). Thus, the possibility to generate low-P suite samples by addition of a felsic crustal component to primitive high-P suite magmas can be excluded. The results obtained in our study are different to those for Yemenian flood basalts, that have been shown to have assimilated up to 30% of felsic crust (Baker et al., 1996, Baker et al., 1997). Since the pressure range of crystal fractionation include at least depths below the 20 km boundary indicating magma residence time at lower crustal levels, it is likely that magmas have assimilated
**Fig. 1.10.** Plot of P$_2$O$_5$ versus elevation above sea level for Syrian rocks of known stratigraphic correlation, which were sampled near the town Bulbul (cp. Figure 1.1).
lower crustal melts. But the fact, that most of the high-P lavas as well as the low-P suite yield pressures of fractionation corresponding to upper crustal depths, a contamination with upper crustal material in shallow magma chambers cannot be excluded and it is likely that magmas have assimilated material corresponding to the mafic or intermediate upper crustal sections as found in Jordan (Jarrar et al., 2003).
Another explanation for the development of the low-P and high-P suite lavas could be the melting of an isotopically homogeneous mantle source with variable incompatible element compositions (Figs. 1.3 and 1.4). For example, $\text{P}_2\text{O}_5$ as well as Ba, Nb, and Zr concentrations are twice as high in the high-P suite compared to low-P lavas (Figs. 1.3 and 1.4), suggesting that low-P lavas may have formed from a depleted mantle source with respect to the high-P. This depletion event must be relatively young because the isotopes are not affected. A source evolution with time should result in a stratigraphic correlation of low and high-P lavas. Re-melting of a source depleted in incompatible elements due to an earlier melting event could explain the observations. However, in the volcanic succession sampled near Bulbul the high-P lavas lie above low-P lavas (Fig. 1.10) implying that increasing depletion of the mantle source with time cannot explain the generation of the magmas. Thus, the temporal distribution of the two lava suites rather indicates that the observed differences are controlled by variable degrees of partial melting. At Bulbul, high degrees of melting have produced lavas of the low-P suite at an early stage, subsequently the degree of melting was reduced resulting in the formation of high-P lavas (Fig. 1.10). Because the enrichment of incompatible elements increases by a factor of two the decrease of partial melting must be on the order of 50%.
Given the fact that only primitive samples of the two suites are free of crustal contamination and that all lavas originate from a common source, it seems most likely, that geochemical differences between high-P and low-P lavas were produced by assimilation of variable amounts of lower crust. In addition, differences in major and trace element compositions of primitive, uncontaminated lavas of both the high- and low-P suite are probably caused by variable degrees of partial melting of their source region.
### 1.5.3 Mantle sources and partial melting
As noted above, Sr, Nd and Pb isotopic compositions of the NW Syrian samples indicate a common mantle source for the two different rock suites and the source may be of lithospheric, asthenospheric, or mantle plume origin (Figs. 1.7 and 1.8). The enriched trace element patterns of even primitive, uncontaminated samples compared to lavas erupted at mid-ocean ridges are a feature typical for continental volcanism and ocean island basalts. Pik et al. (1999) proposed that an ocean island basalt-like mantle component, probably representing the initial material of the Afar plume, accounts for the trace element enrichment of high Ti magmas in the Ethiopian flood basalt province. This component is characterised by $^3\text{He}/^4\text{He}$ ratios higher than those suggested for upper mantle melts thus indicating its origin in the lower mantle (Marty et al., 1996).
(Figs. 1.7 and 1.8). Unradiogenic $^{87}\text{Sr}/^{86}\text{Sr}_{\text{T}}$ of primitive Syrian lavas compared to the rather high $^{87}\text{Sr}/^{86}\text{Sr}$ ratios of lavas affected by the Afar plume exclude an influence of Afar plume material on the mantle source of NW Syria (Baker et al., 1996; Baker et al., 1997; Pik et al., 1999). Thus, the northward channeling of hot asthenospheric material from the Afar region to northwestern Arabia as proposed by Camp and Roobol (1989) is inappropriate to account for the chemical variations observed in the Syrian lavas. As suggested in the model of Stein and Hofmann (1992), volcanism in Israel may be the result of lithospheric extension and melting of a fossil plume head beneath the base of the lithosphere. Magmas produced in such a setting should have plume characteristics in the earlier and asthenospheric signatures in the later stages.
Samples analysed by Stein and Hofmann (1992), which were proposed to originate from a fossil plume head, that were welded on the continental lithosphere and became a part of it, show lower $^{87}\text{Sr}/^{86}\text{Sr}$ and more radiogenic $^{206}\text{Pb}/^{204}\text{Pb}$ ratios compared to northwestern Syrian lavas. Thus, it is unlikely, that such a relic plume material does contribute to the mantle source of Syrian lavas. Primitive lavas from the Red Sea region, probably reflecting the asthenosphere of the Arabian area, might be a possible mantle source component for the NW Syrian lavas. Low $^{87}\text{Sr}/^{86}\text{Sr}$ and variable but high $^{207}\text{Pb}/^{204}\text{Pb}$ isotope ratios of Red Sea lavas indicating long time depletion in Rb and U and thus, argue against being a suitable source for the rather enriched mantle source of the NW Syrian lavas (Figs. 1.7 and 1.8).
Since the silica content of a magma is indicative for pressure conditions during partial melting (Hirose and Kushiro, 1993), $\text{SiO}_2$ concentrations of primitive, uncontaminated lavas can be used for pressure estimations. Thus, the $\text{SiO}_2$ content of samples in conjunction with the algorithm developed by Haase (1996) has been used to calculate melting pressures. Melting of primitive Syrian samples occurs at pressures of about 39 kb for high-P lavas and at about 19 kb for low-P lavas, indicating depths of about 120 km and 60 km, respectively. It is notable, that these lavas represent primitive but not primary compositions and have undergone minor extents of olivine fractionation as indicated by Mg-numbers of 0.65 (SY-088) to 0.63 (SY-127) and Ni < 200 ppm. Addition of olivine to primitive lavas generating compositions in equilibrium with mantle melts (i.e. with Mg-numbers of about 0.68 to 0.72; Frey et al., 1978) would lower the $\text{SiO}_2$ content of the lavas. Pressure estimates using such hypothetical parental magmas would therefore result in greater depths for the initiation of the partial melting process. Based on xenolith data McGuire and Bohannon (1989) suggested upwelling asthenospheric material beneath western Arabia and place the lithosphere-asthenosphere boundary at a depth of about 75 km. Assuming similar lithospheric thicknesses for NW Syria, the calculated depths of the Syrian lavas indicate that melting started at the lower boundary of the lithosphere and, with respect to high-P lavas, partial melting occurred below lithospheric depths. Given a normal potential mantle temperature of 1280°C, the lithosphere needs to be stretched by a factor of 2-5 to generate partial melts under dry conditions in the mantle region (McKenzie and Bickle, 1988). Due to the fact that there are no indications for extensional processes during the magmatic activity in NW Syria, it appears not
likely that volcanism is a consequence of lithospheric extension. In contrast, the elevated topography of the Aleppo plateau suggests hot material in the mantle region and thus may indicate the presence of an upwelling mantle plume beneath NW Syria. Given the fact, that all lavas were generated from a common source (Figs. 1.7 and 1.8), we conclude, that melting of a plume mantle begun below the lower lithosphere boundary, but incorporation of lithospheric material cannot be excluded.
Fig. 1.11. Diagram of chondrite-normalised Sm/Yb and Ce/Yb ratios and a melting curve for non-modal fractional melting of garnet lherzolite. Garnet lherzolite composition: 0.598 olivine, 0.076 clinopyroxene, 0.211 orthopyroxene, 0.115 garnet. Melting proportions: 0.05 olivine, 0.3 clinopyroxene, 0.2 orthopyroxene, 0.45 garnet. Enriched mantle source composition (relative to the mantle source composition of average mid-ocean ridge basalts from Hofmann (1988): Ce 1.56 ppm, Sm 0.39 ppm and Yb 0.41. Distribution coefficients used are from Kelemen et al. (1993) and Johnson (1998). Numbers give the degree of melting and chondrite values are from McDonough and Sun (1995). Average lower (LCC) and upper (UCC) crustal compositions are from Rudnick and Fountain (1995).
The fact that most of the samples are affected by crustal contamination and only primitive lavas of the two Syrian suites are not contaminated, makes an estimation of the degree of partial melting for the whole sample suite difficult. Since garnet has a large distribution coefficient for heavy rare earth elements (HREE), melting of a garnet-bearing mantle source would result in higher LREE/HREE ratios (e.g. Ce/Yb) compared to middle REE/HREE ratios (e.g. Sm/Yb). Therefore, REE ratios shown in Figure 1.11 suggest that melting occurred in the garnet stability field. Differences in the REE contents between the uncontaminated lavas of the two Syrian suites
depend either on variable amounts of garnet in the source region or on different degrees of partial melting or both. If the source contains variable amounts of garnet, the mantle residue of the low-P suite should roughly contain half the amount of garnet as it is suggested for high-P samples (Fig. 1.11). But variable contents of garnet cannot explain the observed differences between the high- and low-P suites with respect of their highly incompatible element contents (e.g. P$_2$O$_5$, Ba, Nb or Zr; Figs. 1.3 and 1.4). Thus, these differences rather appear to be a feature of variable degrees of partial melting. Melting calculations using the incompatible trace element ratios (Ce/Yb)$_N$ and (Sm/Yb)$_N$ indicate that the mantle source for lavas in NW Syria is garnet-bearing and should be enriched in incompatible elements relative to mantle sources of average mid-ocean ridge basalts (Fig. 1.11). The modeling results indicate that the primitive lavas of the high-P suite are produced by up to 2 - 4% partial melting, whereas primitive low-P samples are generated by 8 - 10% melting of the same mantle source (Fig. 1.11).
### 1.6 Concluding comments
A detailed geochemical and isotope study of Miocene to Quaternary volcanic rocks erupted in NW Syria indicates that the contamination with substantial amounts of crustal material plays an important role in the magma genesis of continental volcanism. During the plume influenced continental volcanic activity in northwestern Arabia the combination of crystal fractionation, partial melting and crustal assimilation results in the emplacement of two lava types with different geochemical characteristics. As indicated by the petrography and geochemistry and by the quantification of the fractionation processes such differentiated hawaiites and mugearites with high P$_2$O$_5$ contents have fractionated up to 6% olivine, 37% clinopyroxene, 3% plagioclase and 7% Fe-Ti oxides, whereas a removal of 22% clinopyroxene and 8% plagioclase produced basaltic andesites and mugearites with relative low P$_2$O$_5$ concentrations. From the REE contents in the primitive, uncontaminated basanite and basalts the degree of melting from a common mantle source can be estimated to vary between 2 and 4% for high P$_2$O$_5$ lavas and between about 8 and 10% in lavas of the low P$_2$O$_5$ suite. As shown by the stratigraphical distribution of the two different lava types the degree of partial melting decreases by about 50% during the period of eruption. Isotopic variations in the samples and AFC modeling suggest that evolved high P$_2$O$_5$ lavas assimilated between 10% and 50%, whereas the low P$_2$O$_5$ type lavas have assimilated up to 10% of a mafic crustal component. The mantle source of the lavas erupted in NW Syria is garnet-bearing and enriched in incompatible elements relative to mantle sources of mid-ocean ridge basalts, but appears not to be affected by Afar plume material with its characteristically high $^3$He/$^4$He.
### Acknowledgments
This study is part of M.-S.K.’s dissertation and was funded by the Deutsche Forschungsgemeinschaft under grant HA 2568/5. We thank D. Garbe-Schönberg and A. Weinkauf for performing the ICP-MS and XRF analyses and P. Appel and B. Mader for help with
the microprobe. M.-S.K. thanks H. Baier for help with the sample preparation for isotopic measurements and Mr. Zaghiel Ali for the excellent “catering service” during field work.
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The Harrat Ash Shamah Volcanic Field in Southern Syria: Magmatic Sources, Magma Genesis and Indications for Plume-Asthenosphere Interaction
M.-S. Krienitz\textsuperscript{1*}, K.M. Haase\textsuperscript{1}, K. Mezger\textsuperscript{2}, and M.A. Shaikh-Mashail\textsuperscript{3}
\textsuperscript{1} Institut für Geowissenschaften der Universität Kiel, Olshausenstr. 40, 24118 Kiel, Germany
\textsuperscript{2} Institut für Mineralogie der Universität Münster, Corrensstr. 24, 48149 Münster, Germany
\textsuperscript{3} Faculty of Civil Engineering, University of Aleppo, PO-Box 5427, Aleppo, Syria
* Corresponding author. Telephone +49 (0) 431 880 3694. Fax +49 (0) 431 880 4376. E-mail: email@example.com
Abstract
The geochemical and isotope composition of Miocene to recent lavas of the Harrat Ash Shamah volcanic field in southern Syria provide important constraints on their source characteristics and magma genesis. The lava suite comprises alkali basalts, basanites, hawaiites and mugearites as well as trachytes and phonolites. The lavas have undergone fractional crystallisation of olivine, clinopyroxene, \pm plagioclase, and \pm Fe-Ti oxides, the most differentiated lavas have also fractionated alkalifeldspar and apatite. The low Ce/Pb and Nb/U ratios in conjunction with high $^{87}$Sr/$^{86}$Sr and low $^{143}$Nd/$^{144}$Nd ratios of some lavas are characteristic for the assimilation of variable amounts of continental crust. Major element variations and variable fractionated heavy rare earth elements of crustaly uncontaminated primitive lavas indicate that they formed by variable degrees of melting of a garnet peridotite at different depths. The large range of isotopic compositions and the variable trace element enrichment of the lavas imply that the magmas were generated in both a volatile- and incompatible element-enriched lithospheric or asthenospheric mantle and in a mantle plume as indicated by a maximum excess temperature of about 180°C. The discontinuous volcanic activity, the temporal changes in the partial melting process as well as in the chemical and isotopic compositions of the Syrian lavas suggest that volcanism was triggered by a pulsing mantle plume situated underneath northwestern Arabia.
2.1 Introduction
Continental volcanic rocks exhibit large variations in chemical and isotopic compositions and their geochemical signatures can be used to constrain the dynamic processes of the Earth’s interior and its continental crust. Magmatism in continental regions is often accompanied by thinning and rifting of the continental lithosphere resulting in upwelling of the underlying mantle. Thus, decompressional melting of the rising mantle and the volume of melt produced depends on the stretching factor of the lithosphere as well as on the temperature and composition of the mantle (McKenzie and Bickle, 1988). The cause of lithospheric thinning often remains unclear but magmatism may be initiated by a mantle plume resulting in regional doming of the asthenosphere followed by volcanism and rifting (active rift hypothesis). In contrast, plate boundary forces may lead to breaking and rifting of the lithosphere due to transtensional stresses resulting in regional uplift and finally in volcanism (passive rift hypothesis; Sengör and Burke, 1978). In this context White and McKenzie (1989) suggest that lithospheric stretching without any influence of a hot mantle (i.e. a mantle plume) cannot account for extensive magma generation. In their model continental flood volcanism is restricted to the development of extreme lithospheric thinning coinciding with the arrival of the head of a mantle plume and an onset of volcanism by passive upwelling of the mantle as the lithosphere thins. In contrast, Campbell and Griffiths (1990) consider that extensive volcanism results from a starting mantle plume, but that both continental rifting and an ascending mantle plume are not necessarily required to generate large igneous provinces. The model developed by Campbell and Griffiths (1990) predicts first uplift of the affected regions followed by subsidence prior to volcanism as the new mantle plume rises and spreads out laterally on the base of the lithosphere. During volcanism a period of enhanced subsidence is predicted in response to the escape of magma from the mantle and to the volcanic load on the Earth’s surface. As the thermal plume anomaly gradually decays with time, ongoing but slow subsidence of the region may occur (Campbell and Griffiths, 1990). Subcontinental lithospheric as well as asthenospheric and plume mantle may all contribute to magma genesis during rifting processes.
This study investigates the geochemistry and isotopic signature of lavas from the largest Cenozoic intraplate volcanic field of western Arabia, the Harrat Ash Shamah in Syria, with the following objectives: (1) to determine the processes controlling the major and trace element chemistry as well as the isotopic composition of the volcanic rocks, (2) to determine the geochemical characteristics of the magmatic sources, and (3) to constrain the temporal evolution of lavas and their mantle sources during at least 24 million years of magmatic activity.
2.2 Geological setting
Voluminous Cenozoic alkali basaltic volcanism occurs in western Arabia, extending from Yemen over a distance of 2,500 km to southeastern Turkey (Fig. 2.1a). These volcanic fields, the socalled Harrats, cover an area of approximately 200,000 km$^2$ and exhibit an average thickness of about 100 m (Coleman et al., 1983; Nasir, 1994; Tarawneh et al., 2000). The tectonomagmatic history of the Harrat volcanism has been discussed by several authors (e.g. Pallister, 1987; Bohannon et al., 1989; Camp and Robool, 1989; Camp and Roobol, 1992; Nasir, 1994). Rifting, faulting and volcanism in Arabia is generally linked to the two-stage evolution of the Red Sea and the Dead Sea rift systems in Miocene and Pliocene times. In addition, volcanism in southwestern Arabia is associated with the activity of the Afar mantle plume with a well-defined centre in the vicinity of the Afro-Arabian triple junction (Schilling, 1973; Baker et al., 1997; Debayle et al., 2001). The composition of the Afar plume magmas is characterised by relatively high $^{206}\text{Pb}/^{204}\text{Pb}$ (Schilling et al., 1992) and high $^3\text{He}/^4\text{He}$ ratios (Marty et al., 1996). Whereas the magma genesis and the magma sources (i.e. crust, lithospheric mantle, asthenosphere and plume mantle) in southwestern Arabia are well characterised, the causes and sources of volcanism in northern Arabia are less clear. The following models have been proposed to explain this
volcanic activity: (1) lithospheric rifting mobilising old fossil plume head material beneath the subcontinental lithosphere (Stein and Hofmann, 1992), (2) a separate mantle plume existing underneath northern Arabia (Camp and Roobol, 1992), (3) progressive lithospheric thinning tapping lithospheric (fossil-plume material) to asthenospheric sources (Bertrand et al., 2003; Shaw et al., 2003), or (4) northwestward channelling of hot Afar plume material (Camp and Roobol, 1992).
The Harrat Ash Shamah (or Harrat Ash-Shaam: HAS) is the largest volcanic field (Fig. 2.1) and lies at the northwestern margin of the Afro-Arabian dome as outlined by Camp and Roobol (1992). The Harrat strikes parallel to the Red Sea and extends some 500 km from northeast Israel through southern Syria, Jordan to Saudi Arabia covering more than 50,000 km$^2$ (Ilani et al., 2001). The volcanic field varies in width between 200 and 300 km (Tarawneh et al., 2000) and the lava pile reaches a maximum thickness of 1.5 km and an altitude of approximately 1800 m in Syria (Guba and Mustafa, 1988). Two NE-SW striking late Cretaceous rifts, the Wadi Sirhan and the Khor Umm Wial grabens lie south and north of the HAS, respectively (Almond, 1986). The main types of volcanic rocks and volcanic structures found in this area are massive lava flows, which are often separated by sedimentary layers and red lateritic weathering crust (Sharkov et al., 1994; Snyder et al., 1993), feeder dikes, strato and shield volcanoes as well as cinder cones. The cinder cones are the youngest eruption type and are situated on top of older flow units. The northern part of the HAS field, also known as the Hauran-Druze Plateau in Syria (Ponikarov, 1969), lies on the so-called Rutbah uplifted region (Best et al., 1990; McBride et al., 1990) and can be divided into four major areas ranging in age from Miocene to historical times (Fig. 2.1). K-Ar ages of volcanic rocks range from 24 Ma to subrecent, with a volcanic hiatus between 13 Ma and 7 Ma (Mouty et al., 1992; Sharkov et al., 1994). The oldest flow units are of early Miocene age (24-16 Ma) and cover an area of about 200 km$^2$ in the northwestern part of the HAS plateau (Fig. 2.1). This volcanic sequence is composed of 20 to 22 lava flows and is up to 400 m thick (Snyder et al., 1993). The lavas unconformably overlie Cretaceous and Paleogene sediments and are overlain by younger Pliocene to Quaternary lavas (Tarawneh et al., 2000). Mostly Pliocene (7-3.5 Ma) volcanic rocks are concentrated in the southeast, whereas the southwestern area, near the Jordan border, is covered by Quaternary units (Fig. 2.1). The youngest lavas of Holocene age form the northeastern part of the HAS. Volcanic cones up to 100 m high are the products of the youngest volcanic activity of each period and cover the surfaces of the lava plateaus. These cones often form chains trending in NW-SE direction and seem to trace faults that probably provided conduits for the magmas (Giannerini et al., 1988). Crustal as well as mantle xenoliths occur in several young cones (Sharkov et al., 1989; Nasir, 1992), but Precambrian crystalline basement of the Arabian-Nubian shield crops out only in southern Jordan and dips to the northeast. The basement in Syria is overlain by predominantly flat lying Phanerozoic marine and continental sediments (Sharkov et al., 1994). Seismic reflection data as well as refraction profiling have shown that the metamorphic basement lies generally deeper than 6 km (Seber et al., 1993; Brew et al., 1997; Brew et al., 2001a) and varies beneath the
Rutbah uplifted region between 6 km and >8 km (McBride et al., 1990; Searle, 1994). Gravity models of the crust in southern Syria suggest a thickness of 40±4 km similar to crustal thicknesses interpreted from seismic refraction data in Jordan and Saudi Arabia (El-Isa et al., 1987; Best et al., 1990; McBride et al., 1990).
2.3 Sample preparation and analytical methods
During a field trip in the year 2000 large parts of the Syrian Harrat Ash Shamah volcanic field were sampled and lavas of each volcanic period were obtained (Fig. 2.1). Hand specimens were sawn into pieces and weathered surfaces and cracks were removed. After washing with deionised water in an ultrasonic bath the samples were crushed with a screw press and washed again. The crushed material was powdered in an agate ball mill for major, trace and isotope analyses. Four samples contain fresh glass, which was handpicked under a binocular for chemical analysis.
Mineral phases and the glassy samples were analysed with a JEOL Superprobe 8900 electron microprobe (EMP) at the Institut für Geowissenschaften, Universität Kiel, using standard wavelength dispersive techniques. The instrument was operated at an accelerating voltage of 15 kV and a beam current of 15 nA. The beam diameter during calibration and measurement was set at 5 µm for feldspars and glasses and at 1 µm for the remaining phases. Counting times on peaks were set at 15 s, whereas background counting times were always set to half of peak counting times. The quality of the data was checked by repeated measurement of a set of mineral standards. The results of representative mineral analyses are presented in Table 1 and of glass analyses in Table 2.
Major and selected trace (Cr, Ni, Zn, Rb, Sr, Zr) element analyses of whole rock samples were performed at the Universität Kiel with a Philips PW 1400 XRF using international rock standards for calibration and data quality control. Sample powders (0.6 g) were mixed with lithiumtetraborate (3.6 g) serving as flux and fused to glass tablets. Replicate measurements of the BHVO-1 standard gave a precision better than 0.30% (SD) for all major elements and generally better than 8% (SD) for trace elements. The accuracy of standard analyses relative to reference values is generally better than 4% for most of the major and trace elements and only Na$_2$O, P$_2$O$_5$ and Ni (<7%) show higher deviations (Table 2).
Trace and rare earth element analyses were carried out at the Universität Kiel with an upgraded PlasmaQuad PQ1 ICP-MS using 100 mg of sample material. Sample preparation was performed following the method of Garbe-Schönberg (1993). Comparison of duplicate analyses of sample SY-234 gave a precision generally better than 1% (SD) except for V, Zr (<2% SD), Sr and Ba (<4% SD). The accuracy of the data based on the international rock standard BR is better than 9% except for Cs, Nb (<10%) and Li (14%; Table 2).
| Phase | plagioclase | alkali feldspar | matrix | matrix | matrix | matrix | matrix | matrix | matrix | matrix | matrix | matrix |
|-------|-------------|-----------------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|
| Sample | SY-256 | SY-267 | SY-256 | SY-223 | SY-229 | SY-272 | SY-218 | SY-267 | SY-180 | basanite | trachyite | basanite | trachyte | basalt | alk. basalt |
| Host rock | basanite | trachyte | basanite | basanite | hawaiite | phonolite | basanite | basanite | basanite | basanite | basanite | basanite | basanite | basanite | basanite |
| SiO₂ | 52.48 | 63.73 | 69.81 | 66.23 | 46.67 | 48.73 | 51.42 | 39.73 | 38.46 | 40.02 | 39.21 | 38.90 | 37.33 | 30.51 | 0.10 | 0.05 |
| TiO₂ | - | - | - | - | 3.12 | 2.30 | 0.23 | - | 0.02 | 0.01 | 0.05 | 0.02 | 0.01 | 0.03 | 22.95 | 23.13 |
| Al₂O₃ | 30.32 | 21.96 | 18.94 | 20.30 | 5.96 | 4.58 | 0.80 | 0.02 | 0.03 | 0.04 | 0.05 | 0.06 | 0.06 | 0.04 | 1.31 | 1.90 |
| FeO | 0.48 | 0.18 | 0.44 | 0.35 | 6.01 | 7.27 | 15.42 | 15.58 | 20.03 | 13.53 | 17.84 | 20.39 | 27.62 | 64.05 | 69.09 | 69.20 |
| MnO | - | - | 0.20 | 0.11 | 0.49 | 0.22 | 0.38 | 0.22 | 0.22 | 0.33 | 0.37 | 0.37 | 3.48 | 0.77 | 0.64 |
| MgO | - | - | - | - | 12.88 | 13.66 | 8.85 | 44.02 | 39.95 | 45.53 | 41.81 | 38.46 | 34.07 | 1.50 | 2.14 | 2.64 |
| CaO | 12.13 | 2.89 | 0.06 | 0.92 | 21.98 | 22.07 | 20.83 | 0.04 | 0.13 | 0.10 | 0.27 | 0.29 | 0.40 | 1.18 | 0.11 | 0.05 |
| Na₂O | 4.20 | 8.03 | 6.53 | 8.40 | 0.50 | 0.53 | 0.53 | 0.03 | 0.04 | 0.03 | - | - | - | 0.02 | 0.04 | 0.03 |
| K₂O | 0.24 | 2.40 | 7.36 | 3.53 | - | 0.01 | - | - | - | - | - | - | - | - | - | - |
| P₂O₅ | - | - | - | - | - | - | - | - | - | - | - | - | - | - | - | - |
| Cr₂O₃ | - | - | - | - | 0.02 | 0.03 | - | - | - | - | - | - | - | - | - | - |
| NiO | - | - | - | - | - | - | - | - | - | - | - | - | - | - | - | - |
| Total | 99.19 | 100.14 | 99.72 | 99.64 | 99.29 | 99.26 | 99.64 | 99.04 | 99.48 | 99.50 | 99.46 | 99.88 | 100.79 | 96.62 | 97.85 |
| Ab | 38.0 | 71.8 | 57.7 | 75.1 | - | - | - | - | - | - | - | - | - | - | - | - |
| An | 1.4 | 13.9 | 42.0 | 20.4 | - | - | - | - | - | - | - | - | - | - | - | - |
| Or | 60.6 | 14.3 | 0.3 | 4.5 | - | - | - | - | - | - | - | - | - | - | - | - |
| En | - | - | - | - | 36.8 | 40.7 | 27.3 | - | - | - | - | - | - | - | - | - |
| Fs | - | - | - | - | 47.6 | 47.2 | 46.1 | - | - | - | - | - | - | - | - | - |
| Wo | - | - | - | - | 13.5 | 12.1 | 26.6 | - | - | - | - | - | - | - | - | - |
| Fo | - | - | - | - | 83 | 78 | 86 | 81 | 78 | 69 | 4 | - | - | - | - | - |
| Usp | - | - | - | - | 64.8 | 67.1 | - | - | - | - | - | - | - | - | - | - |
* xenolith
Table 2. Coordinates, rock type, major (XRF) and trace element (XRF, ICP-MS) analyses of the Syrian samples. Averages of analyses of the standard BHVO-1 (XRF n = 9) and BR (ICP-MS n = 3) are also given.
| Sample | SY-175 | SY-177 | SY-179 | SY-180 | SY-184 | SY-186 | SY-189 | SY-190 | SY-191 | SY-192gl | SY-193 | SY-194 |
|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|----------|--------|--------|
| Lat. [°N] | 33°19'37" | 33°10'47" | 33°10'16" | 33°08'54" | 32°42'13" | 32°42'13" | 32°42'14" | 32°42'07" | 32°42'07" | 32°42'07" | 32°42'28" |
| Long. [°E] | 36°23'05" | 36°29'04" | 36°30'00" | 36°31'08" | 36°36'44" | 36°36'44" | 36°37'03" | 36°37'13" | 36°37'13" | 36°37'13" | 36°38'31" |
| Elevation [m] | - | 637 | 661 | 1324 | 1314 | 1296 | 1306 | 1306 | 1306 | 1306 | 1450 |
| Rock type | alk. basalt | alk. basalt | alk. basalt | alk. basalt | basanite | basanite | mugearite | basanite | basanite | basanite | mugearite | alk. basalt |
| Element | SY-175 | SY-177 | SY-179 | SY-180 | SY-184 | SY-186 | SY-189 | SY-190 | SY-191 | SY-192gl | SY-193 | SY-194 |
|---------|--------|--------|--------|--------|--------|--------|--------|--------|--------|----------|--------|--------|
| SiO₂ | 46.15 | 46.03 | 46.26 | 45.37 | 43.63 | 43.92 | 49.28 | 43.00 | 43.44 | 46.16 | 49.39 | 46.75 |
| TiO₂ | 2.75 | 2.43 | 2.35 | 2.55 | 3.35 | 3.32 | 2.14 | 3.51 | 3.21 | 2.13 | 2.59 |
| Al₂O₃ | 14.61 | 14.89 | 14.75 | 15.43 | 15.18 | 15.05 | 17.82 | 14.77 | 14.74 | 17.47 | 16.29 |
| Fe₂O₃ | 13.13 | 13.61 | 13.69 | 13.08 | 14.30 | 14.08 | 12.50 | 13.62 | 13.69 | 10.37 | 12.22 | 12.69 |
| MnO | 0.13 | 0.17 | 0.17 | 0.16 | 0.17 | 0.18 | 0.17 | 0.17 | 0.18 | 0.15 | 0.18 | 0.17 |
| MgO | 5.90 | 9.07 | 9.69 | 6.98 | 6.78 | 7.22 | 2.60 | 8.40 | 9.06 | 3.84 | 3.24 | 5.80 |
| CaO | 8.43 | 9.06 | 8.95 | 10.37 | 7.89 | 8.02 | 5.68 | 8.79 | 9.02 | 10.40 | 5.89 | 10.41 |
| Na₂O | 3.08 | 3.55 | 3.40 | 3.06 | 4.71 | 4.40 | 4.11 | 4.00 | 3.86 | 5.07 | 5.34 | 3.59 |
| K₂O | 1.59 | 0.79 | 0.80 | 0.42 | 1.31 | 1.92 | 2.10 | 1.79 | 1.86 | 2.42 | 2.17 | 1.01 |
| P₂O₅ | 0.70 | 0.45 | 0.45 | 0.45 | 0.79 | 0.74 | 1.02 | 0.61 | 0.64 | 0.89 | 1.00 | 0.45 |
| L.O.I. | 3.72 | 0.00 | 0.00 | 1.89 | 1.05 | 0.93 | 1.99 | 0.31 | 0.58 | - | 0.28 | 0.00 |
| Total | 100.19 | 100.05 | 100.51 | 99.76 | 99.16 | 99.78 | 99.41 | 98.97 | 100.28 | 100.47 | 99.30 | 99.75 |
| Mg-no. | 0.51 | 0.61 | 0.62 | 0.55 | 0.52 | 0.54 | 0.33 | 0.59 | 0.61 | 0.44 | 0.38 | 0.52 |
| Li | - | - | 4.81 | - | 2.97 | - | - | - | - | 7.62 | - | 3.59 |
| Sc | - | - | 15.6 | - | 10.1 | - | - | - | - | 18.7 | - | 25.5 |
| V | - | - | - | - | 122 | - | - | - | - | - | - | 255 |
| Cr | 167 | 253 | 253 | 172 | 68.9 | 107 | - | 130 | 155 | 131 | - | 106 |
| Co | - | - | 55.4 | - | 38.4 | - | - | - | - | 54.8 | - | 44.1 |
| Ni | 169 | 199 | 209 | 61 | 78.7 | 118 | 9 | 161 | 170 | 2 | 44.7 |
| Cu | - | - | 59.0 | - | 29.1 | - | - | - | - | 55.4 | - | 67.5 |
| Zn | 146 | 113 | 112 | 100 | 106 | 122 | 97 | 97 | 103 | 110 | 95 | 105 |
| Ga | - | - | 21.3 | - | 33.4 | - | - | - | - | - | - | 24.3 |
| Rb | 18 | 9 | 9.79 | 3 | 22.3 | 32 | 22 | 34 | 31 | 38.9 | 31 | 12.5 |
| Y | - | - | 21.0 | - | 22.3 | - | - | - | - | 22.0 | - | 24.9 |
| Cs | - | - | 0.079 | - | 0.469 | - | - | - | - | 0.385 | - | 0.079 |
| Sr | 258 | 539 | 530 | 560 | 1016 | 977 | 945 | 802 | 861 | 812 | 943 | 641 |
| Ba | - | - | 198 | - | 401 | - | - | - | - | 396 | - | 263 |
| Zr | 444 | 186 | 152 | 192 | 312 | 359 | 355 | 269 | 387 | 248 | 3 | 172 |
| Hf | - | - | 3.70 | - | 8.16 | - | - | - | - | 5.89 | - | 3.43 |
| Nb | - | - | 24.1 | - | 48.0 | - | - | - | - | 50.8 | - | 30.6 |
| Ta | - | - | 1.47 | - | 3.11 | - | - | - | - | 1.58 | - | 1.64 |
| Pb | - | - | 1.55 | - | 2.85 | - | - | - | - | 2.82 | - | 1.77 |
| Th | - | - | 1.83 | - | 4.13 | - | - | - | - | 4.41 | - | 1.66 |
| U | - | - | 0.413 | - | 1.15 | - | - | - | - | 1.27 | - | 0.464 |
| La | - | - | 20.2 | - | 41.8 | - | - | - | - | 36.2 | - | 20.1 |
| Ce | - | - | 44.0 | - | 88.1 | - | - | - | - | 73.9 | - | 44.5 |
| Pr | - | - | 5.54 | - | 11.2 | - | - | - | - | 8.83 | - | 5.53 |
| Nd | - | - | 23.7 | - | 45.5 | - | - | - | - | 35.4 | - | 23.6 |
| Sm | - | - | 5.40 | - | 9.52 | - | - | - | - | 7.35 | - | 5.53 |
| Eu | - | - | 1.85 | - | 3.06 | - | - | - | - | 2.35 | - | 2.01 |
| Gd | - | - | 5.28 | - | 8.40 | - | - | - | - | 6.85 | - | 5.27 |
| Tb | - | - | 0.755 | - | 1.193 | - | - | - | - | 0.938 | - | 0.777 |
| Dy | - | - | 4.19 | - | 5.99 | - | - | - | - | 4.92 | - | 4.29 |
| Ho | - | - | 0.763 | - | 0.995 | - | - | - | - | 0.861 | - | 0.807 |
| Er | - | - | 1.90 | - | 2.38 | - | - | - | - | 2.11 | - | 2.10 |
| Tm | - | - | 0.248 | - | 0.290 | - | - | - | - | 0.276 | - | 0.313 |
| Yb | - | - | 1.53 | - | 1.74 | - | - | - | - | 1.66 | - | 1.82 |
| Lu | - | - | 0.210 | - | 0.244 | - | - | - | - | 0.235 | - | 0.242 |
Major elements in wt.%, trace elements in ppm.
gl. = glass analyses (EMP)
n.c. = not detected
Mg-no. = \( \frac{Mg}{(Mg + Fe^{2+})} \), assuming \( FeO = 0.85Fe^3 \).
| Sample | SY-196 | SY-197 | SY-198 | SY-199 | SY-200 | SY-201 | SY-202 | SY-203 | SY-205 | SY-206 | SY-210 | SY-211 |
|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|
| Lat. [°N] | 32°41'29" | 32°41'29" | 32°41'29" | 32°41'20" | 32°41'20" | 32°41'25" | 32°41'20" | 32°40'20" | 32°39'52" | 32°38'34" | 32°40'04" | 32°40'04" |
| Long. [°E] | 36°39'43" | 36°39'43" | 36°39'43" | 36°42'14" | 36°42'14" | 36°42'14" | 36°42'12" | 36°43'59" | 36°44'35" | 36°48'19" | 36°50'00" | 38°50'00" |
| Elevation [m] | 1603 | 1603 | 1603 | 1741 | 1741 | 1741 | 1660 | 1763 | 1797 | 1555 | 1445 | 1447 |
| Rock type | alk. basalt | alk. basalt | alk. basalt | alk. basalt | basanite | basanite | basanite | basanite | hawaiite | hawaiite | alk. basalt | alk. basalt |
| SiO₂ | 46.01 | 46.47 | 45.88 | 44.17 | 44.95 | 44.77 | 44.30 | 45.12 | 45.10 | 46.96 | 46.10 | 46.16 |
| TiO₂ | 2.60 | 2.53 | 2.65 | 2.78 | 2.83 | 2.84 | 2.85 | 3.04 | 3.13 | 2.83 | 2.25 | 2.23 |
| Al₂O₃ | 16.17 | 16.55 | 16.76 | 15.23 | 15.81 | 15.64 | 15.31 | 14.75 | 15.16 | 17.31 | 15.45 | 15.48 |
| Fe₂O₃ | 12.58 | 12.52 | 13.05 | 12.77 | 12.93 | 13.00 | 12.83 | 12.06 | 12.09 | 11.91 | 13.25 | 12.96 |
| MnO | 0.17 | 0.17 | 0.17 | 0.18 | 0.18 | 0.18 | 0.18 | 0.16 | 0.16 | 0.16 | 0.16 | 0.17 |
| MgO | 5.62 | 5.80 | 5.95 | 7.69 | 7.69 | 7.51 | 7.47 | 6.56 | 5.82 | 4.12 | 7.63 | 7.69 |
| CaO | 10.17 | 10.25 | 10.08 | 8.46 | 8.53 | 8.43 | 8.39 | 10.27 | 10.10 | 9.10 | 9.48 | 9.79 |
| Na₂O | 3.56 | 3.70 | 2.95 | 4.91 | 4.63 | 3.50 | 4.49 | 3.77 | 3.65 | 4.23 | 2.72 | 3.11 |
| K₂O | 1.07 | 1.01 | 0.80 | 1.05 | 1.28 | 2.04 | 0.86 | 1.46 | 1.51 | 1.50 | 0.76 | 0.73 |
| P₂O₅ | 0.51 | 0.49 | 0.45 | 0.77 | 0.76 | 0.77 | 0.75 | 1.10 | 1.19 | 0.53 | 0.38 | 0.37 |
| L.O.I | 0.00 | 0.00 | 1.20 | 0.36 | 0.51 | 0.10 | 0.77 | 0.68 | 0.52 | 0.39 | 1.18 | 0.25 |
| Total | 98.46 | 99.49 | 99.94 | 98.37 | 100.10 | 98.78 | 98.20 | 98.97 | 98.43 | 99.04 | 99.36 | 98.94 |
| Mg-no. | 0.51 | 0.52 | 0.52 | 0.58 | 0.58 | 0.57 | 0.58 | 0.56 | 0.53 | 0.45 | 0.57 | 0.58 |
| Li | - | - | - | 2.03 | - | 2.23 | - | 5.04 | 8.95 | 3.82 | - | - |
| Sc | - | - | - | 14.7 | - | 14.6 | - | 18.1 | 14.3 | 23.1 | - | - |
| V | - | - | - | 134 | - | 130 | - | - | - | 237 | - | - |
| Cr | 106 | 101 | 100 | 134 | 93.3 | 143 | 83.7 | 157 | 119 | 39.0 | 281 | 279 |
| Co | - | - | - | 35.0 | - | 34.4 | - | 42.1 | 31.9 | 47.0 | - | - |
| Ni | 42 | 46 | 52 | 139 | 92.6 | 126 | 79.3 | 83 | 61.0 | 34.0 | 120 | 126 |
| Cu | - | - | - | 30.8 | - | 26.3 | - | 49.2 | 33.0 | 52.0 | - | - |
| Zn | 97 | 103 | 106 | 89 | 77.4 | 86 | 76.7 | 116 | 111 | 103 | 100 | 104 |
| Ga | - | - | - | 29.0 | - | 28.4 | - | 26.6 | 25.4 | 21.3 | - | - |
| Rb | 15 | 15 | 8 | 36 | 39.5 | 28 | 27.2 | 20 | 17.6 | 25.0 | 8.41 | 6 |
| Y | - | - | - | 25.4 | - | 25.3 | - | 25.7 | 26.7 | 19.2 | - | - |
| Cs | - | - | - | 0.354 | - | 0.343 | - | 0.148 | 0.418 | 0.046 | - | - |
| Sr | 586 | 613 | 638 | 833 | 883 | 884 | 858 | 1634 | 1711 | 733 | 530 | 577 |
| Ba | - | - | - | 375 | - | 362 | - | 662 | 276 | 217 | - | - |
| Zr | 195 | 185 | 196 | 329 | 289 | 339 | 287 | 330 | 257 | 216 | 130 | 161 |
| Hf | - | - | - | 7.48 | - | 7.30 | - | 5.82 | 5.14 | 3.16 | - | - |
| Nb | - | - | - | 53.0 | - | 51.4 | - | 52.8 | 41.9 | 23.6 | - | - |
| Ta | - | - | - | 3.77 | - | 3.62 | - | 3.06 | 2.73 | 1.46 | - | - |
| Pb | - | - | - | 2.70 | - | 3.02 | - | 2.79 | 2.79 | 1.62 | - | - |
| Th | - | - | - | 4.02 | - | 4.01 | - | 2.91 | 3.31 | 1.89 | - | - |
| U | - | - | - | 1.23 | - | 1.24 | - | 0.882 | 1.13 | 0.531 | - | - |
| La | - | - | - | 40.1 | - | 38.9 | - | 51.2 | 27.8 | 18.9 | - | - |
| Ce | - | - | - | 83.2 | - | 80.9 | - | 107 | 58.7 | 39.6 | - | - |
| Pr | - | - | - | 10.3 | - | 10.0 | - | 13.2 | 7.25 | 4.92 | - | - |
| Nd | - | - | - | 40.8 | - | 40.0 | - | 54.1 | 29.8 | 20.4 | - | - |
| Sm | - | - | - | 8.49 | - | 8.29 | - | 10.6 | 6.57 | 4.68 | - | - |
| Eu | - | - | - | 2.75 | - | 2.67 | - | 3.54 | 2.13 | 1.67 | - | - |
| Gd | - | - | - | 7.63 | - | 7.47 | - | 8.86 | 6.36 | 4.67 | - | - |
| Tb | - | - | - | 1.142 | - | 1.120 | - | 1.117 | 0.926 | 0.695 | - | - |
| Dy | - | - | - | 6.18 | - | 6.11 | - | 5.81 | 5.26 | 3.94 | - | - |
| Ho | - | - | - | 1.12 | - | 1.11 | - | 0.948 | 0.976 | 0.734 | - | - |
| Er | - | - | - | 2.87 | - | 2.85 | - | 2.25 | 2.51 | 1.87 | - | - |
| Tm | - | - | - | 0.387 | - | 0.379 | - | 0.280 | 0.341 | 0.249 | - | - |
| Yb | - | - | - | 2.39 | - | 2.41 | - | 1.67 | 2.14 | 1.52 | - | - |
| Lu | - | - | - | 0.345 | - | 0.342 | - | 0.225 | 0.298 | 0.213 | - | - |
| Sample | SY-227 | SY-228 | SY-229 | SY-230 | SY-234 | SY-236 | SY-238 | SY-241n | SY-243 | SY-245 | SY-253 | SY-256 |
|--------|--------|--------|--------|--------|--------|--------|--------|---------|--------|--------|--------|--------|
| Lat. [°N] | 32°42'34" | 32°34'58" | 32°33'50" | 32°28'43" | 32°25'53" | 32°50'43" | 32°50'43" | 32°51'40" | 32°53'46" | 32°57'11" | 32°56'02" | 32°57'51" |
| Long. [°E] | 36°55'25" | 36°51'38" | 36°53'39" | 36°50'36" | 36°48'07" | 36°37'01" | 36°37'01" | 36°37'00" | 36°41'12" | 36°42'33" | 36°46'39" | 36°48'09" |
| Elevation [m] | 1052 | 1436 | - | 1374 | - | - | - | - | - | 1050 | 1050 | 954 |
| Rock type | alk. basalt | mugearite | phonolite | alk. basalt | basanite | hawaiite | hawaiite | basanite | basanite | basanite | basanite | basanite |
| Element | SY-227 | SY-228 | SY-229 | SY-230 | SY-234 | SY-236 | SY-238 | SY-241n | SY-243 | SY-245 | SY-253 | SY-256 |
|---------|--------|--------|--------|--------|--------|--------|--------|---------|--------|--------|--------|--------|
| SiO₂ | 47.12 | 49.36 | 55.80 | 47.89 | 44.55 | 46.46 | 46.17 | 46.17 | 45.49 | 43.52 | 42.12 | 43.66 |
| TiO₂ | 2.07 | 2.37 | 0.41 | 2.04 | 2.33 | 3.21 | 3.18 | 3.25 | 2.45 | 2.87 | 2.73 | 3.18 |
| Al₂O₃ | 14.86 | 17.05 | 19.33 | 16.34 | 14.76 | 16.42 | 16.31 | 17.16 | 14.71 | 15.13 | 13.74 | 14.47 |
| Fe₂O₃ | 12.11 | 11.08 | 6.64 | 11.75 | 13.88 | 12.15 | 12.09 | 11.18 | 12.78 | 12.67 | 12.78 | 13.37 |
| MnO | 0.16 | 0.18 | 0.12 | 0.16 | 0.21 | 0.16 | 0.16 | 0.18 | 0.17 | 0.17 | 0.18 | 0.18 |
| MgO | 8.75 | 2.92 | 0.88 | 6.61 | 6.73 | 5.05 | 4.98 | 3.76 | 8.66 | 7.27 | 9.82 | 8.10 |
| CaO | 9.59 | 7.18 | 2.05 | 9.69 | 8.06 | 9.67 | 9.60 | 9.20 | 7.99 | 9.59 | 10.46 | 8.62 |
| Na₂O | 3.13 | 5.16 | 8.84 | 3.24 | 4.86 | 4.31 | 4.44 | 5.24 | 4.70 | 4.87 | 3.86 | 4.45 |
| K₂O | 1.02 | 2.18 | 3.44 | 0.84 | 2.10 | 1.52 | 1.54 | 2.24 | 1.72 | 0.83 | 0.73 | 1.45 |
| P₂O₅ | 0.31 | 0.90 | 0.35 | 0.33 | 0.91 | 0.67 | 0.68 | 1.02 | 0.70 | 0.90 | 0.74 | 0.84 |
| L.O.I. | 0.03 | 0.58 | 1.38 | 0.14 | 0.83 | 0.14 | 0.35 | - | 0.00 | 1.43 | 1.73 | 1.81 |
| Total | 99.15 | 98.96 | 99.24 | 99.03 | 99.22 | 99.76 | 99.50 | 99.60 | 99.37 | 99.35 | 98.89 | 100.13 |
| Mg-no. | 0.63 | 0.38 | 0.24 | 0.57 | 0.53 | 0.49 | 0.49 | 0.41 | 0.61 | 0.57 | 0.64 | 0.59 |
| Li | 8.51 | - | - | - | 3.22 | 4.58 | - | 8.80 | - | - | - | - |
| Sc | 20.6 | - | - | - | 12.0 | 21.8 | - | 17.5 | - | - | - | - |
| V | - | - | - | - | 149 | 255 | - | - | - | - | - | - |
| Cr | 323 | 1 | n.d. | 170 | 124 | 55.2 | 55 | 107 | 245 | 185 | 267 | 205 |
| Co | 47.8 | - | - | - | 43.6 | 40.3 | - | 55.6 | - | - | - | - |
| Ni | 175 | n.d. | n.d. | 74 | 126 | 31.6 | 26 | 148 | 205 | 117 | 200 | 163 |
| Cu | 62.7 | - | - | - | 38.3 | 54.4 | - | 47.1 | - | - | - | - |
| Zn | 93.0 | 114 | 154 | 98 | 125 | 117 | 105 | 118 | 105 | 99 | 103 | 115 |
| Ga | 21.1 | - | - | - | 24.3 | 26.0 | - | - | - | - | - | - |
| Rb | 22.4 | 39 | 42 | 9 | 26.6 | 20.8 | 26 | 38.9 | 24 | 8 | 7 | 16 |
| Y | 24.2 | - | - | - | 26.3 | 25.1 | - | 23.9 | - | - | - | - |
| Cs | 0.443 | - | - | - | 0.477 | 0.174 | - | 0.375 | - | - | - | - |
| Sr | 483 | 698 | 846 | 496 | 1288 | 902 | 815 | 850 | 798 | 963 | 917 | 1133 |
| Ba | 189 | - | - | - | 459 | 386 | - | 391 | - | - | - | - |
| Zr | 150 | 328 | 574 | 160 | 384 | 251 | 270 | 279 | 308 | 320 | 300 | 378 |
| Hf | 3.70 | - | - | - | 6.67 | 4.69 | - | 6.44 | - | - | - | - |
| Nb | 23.9 | - | - | - | 70.2 | 52.5 | - | 46.7 | - | - | - | - |
| Ta | 1.61 | - | - | - | 3.90 | 2.77 | - | 2.43 | - | - | - | - |
| Pb | 2.41 | - | - | - | 4.70 | 2.48 | - | 2.52 | - | - | - | - |
| Th | 2.50 | - | - | - | 6.01 | 2.56 | - | 4.00 | - | - | - | - |
| U | 0.891 | - | - | - | 1.72 | 0.669 | - | 1.18 | - | - | - | - |
| La | 17.7 | - | - | - | 60.8 | 31.9 | - | 37.7 | - | - | - | - |
| Ce | 38.3 | - | - | - | 121 | 68.8 | - | 79.2 | - | - | - | - |
| Pr | 4.85 | - | - | - | 13.3 | 8.29 | - | 9.59 | - | - | - | - |
| Nd | 20.6 | - | - | - | 49.6 | 34.1 | - | 38.2 | - | - | - | - |
| Sm | 4.93 | - | - | - | 9.47 | 7.30 | - | 7.93 | - | - | - | - |
| Eu | 1.57 | - | - | - | 3.28 | 2.72 | - | 2.53 | - | - | - | - |
| Gd | 4.98 | - | - | - | 8.02 | 6.54 | - | 7.33 | - | - | - | - |
| Tb | 0.766 | - | - | - | 1.074 | 0.890 | - | 0.998 | - | - | - | - |
| Dy | 4.49 | - | - | - | 5.19 | 4.60 | - | 5.26 | - | - | - | - |
| Ho | 0.857 | - | - | - | 0.862 | 0.816 | - | 0.935 | - | - | - | - |
| Er | 2.27 | - | - | - | 2.02 | 2.04 | - | 2.34 | - | - | - | - |
| Tm | 0.312 | - | - | - | 0.265 | 0.291 | - | 0.302 | - | - | - | - |
| Yb | 1.95 | - | - | - | 1.45 | 1.71 | - | 1.83 | - | - | - | - |
| Lu | 0.278 | - | - | - | 0.177 | 0.222 | - | 0.263 | - | - | - | - |
| Sample | SY-258 | SY-261 | SY-267 | SY-269 | SY-271 | SY-272 | SY-273gl | SY-274 | SY-278 | SY-279 | SY-280 | SY-281 |
|--------|--------|--------|--------|--------|--------|--------|----------|--------|--------|--------|--------|--------|
| **Lat. [°N]** | 33°00'25" | 33°02'59" | 32°37'41" | 32°37'41" | 32°34'53" | 32°21'28" | 32°21'28" | 32°24'03" | 32°54'42" | 32°57'19" | 32°59'00" | 33°03'30" |
| **Long. [°E]** | 36°50'20" | 36°58'16" | 36°40'08" | 36°40'25" | 36°49'38" | 36°49'38" | 36°50'52" | 36°29'25" | 36°24'53" | 36°19'07" | 36°18'24" |
| **Elevation [m]** | 912 | 641 | 1143 | 1448 | 1375 | 1260 | 1260 | 1278 | 905 | 731 | 648 | 651 |
| **Rock type** | alk. basalt | alk. basalt | trachyte | trachyte | alk. basalt | basanite | alk. basalt | basanite | alk. basalt | alk. basalt | alk. basalt | alk. basalt |
| **SiO₂** | 45.35 | 46.43 | 60.22 | 59.48 | 47.60 | 42.53 | 46.57 | 43.29 | 47.08 | 47.02 | 44.99 | 45.92 |
| **TiO₂** | 2.05 | 2.04 | 0.30 | 0.29 | 2.47 | 2.56 | 3.26 | 3.24 | 2.26 | 2.31 | 2.45 | 2.60 |
| **Al₂O₃** | 14.40 | 15.95 | 18.02 | 17.70 | 16.35 | 13.05 | 16.95 | 14.98 | 15.86 | 16.16 | 14.09 | 14.51 |
| **Fe₂O₃** | 12.48 | 12.20 | 5.24 | 5.43 | 12.09 | 13.19 | 11.58 | 13.11 | 12.20 | 12.21 | 13.66 | 13.76 |
| **MnO** | 0.16 | 0.17 | 0.14 | 0.18 | 0.16 | 0.18 | 0.14 | 0.17 | 0.16 | 0.16 | 0.17 | 0.18 |
| **MgO** | 8.99 | 7.22 | 0.23 | 0.25 | 6.19 | 11.40 | 5.06 | 8.70 | 6.43 | 6.37 | 9.26 | 9.39 |
| **CaO** | 10.42 | 10.05 | 1.54 | 1.64 | 9.34 | 9.17 | 10.77 | 8.95 | 9.77 | 9.94 | 9.41 | 9.44 |
| **Na₂O** | 3.08 | 3.15 | 7.37 | 7.17 | 3.62 | 3.64 | 2.57 | 4.14 | 3.33 | 3.49 | 3.28 | 3.13 |
| **K₂O** | 0.75 | 0.72 | 4.93 | 4.84 | 1.10 | 0.65 | 2.29 | 1.99 | 1.00 | 0.88 | 0.87 | 0.83 |
| **P₂O₅** | 0.32 | 0.37 | 0.12 | 0.14 | 0.42 | 0.77 | 0.99 | 0.67 | 0.45 | 0.39 | 0.48 | 0.48 |
| **L.O.I.** | 0.69 | 2.68 | 0.41 | 0.74 | 0.26 | 1.84 | - | 0.03 | 0.03 | 0.00 | 0.00 | 0.00 |
| **Total** | 98.69 | 100.98 | 98.52 | 102.69 | 99.60 | 98.98 | 100.33 | 99.27 | 98.57 | 98.93 | 98.66 | 100.24 |
| **Mg-no.** | 0.63 | 0.58 | 0.09 | 0.10 | 0.54 | 0.67 | 0.48 | 0.61 | 0.55 | 0.55 | 0.61 | 0.61 |
| **Li** | 1.72 | 5.01 | 24.6 | 19.9 | - | - | 1.91 | - | 1.95 | 1.96 | 1.63 | - |
| **Sc** | 16.4 | 20.4 | 2.32 | 2.32 | - | - | 24.3 | - | 15.7 | 16.1 | 14.8 | - |
| **V** | 139 | - | - | - | - | - | - | - | 148 | 145 | 138 | - |
| **Cr** | 254 | 185 | > 1 | > 1 | 113 | 363 | 307 | 164 | 109 | 119 | 189 | 246 |
| **Co** | 42.4 | 45.2 | 1.26 | 1.22 | - | - | 52.9 | - | 33.7 | 33.5 | 44.5 | - |
| **Ni** | 145 | 86.0 | > 1 | > 1 | 67 | 387 | 183 | 161 | 53.7 | 53.9 | 154 | 210 |
| **Cu** | 36.9 | 55.5 | 8.27 | 8.74 | - | - | 5.41 | - | 38.0 | 38.5 | 48.0 | - |
| **Zn** | 81.0 | 98.0 | 110 | 110 | 97 | 97 | 99.1 | 93 | 84.8 | 85.4 | 93.7 | 119 |
| **Ga** | 30.3 | 22.1 | - | - | - | - | - | - | 25.3 | 25.7 | 24.5 | - |
| **Rb** | 10.6 | 8.42 | 59.7 | 52.5 | 17 | 7 | 29.6 | 22 | 16.0 | 11.4 | 11.4 | 15 |
| **Y** | 17.2 | 24.3 | 32.4 | 32.5 | - | - | 22.7 | - | 22.0 | 22.1 | 20.6 | - |
| **Cs** | 0.059 | 0.066 | 0.877 | 0.637 | - | - | 0.431 | - | 0.188 | 0.106 | 0.106 | - |
| **Sr** | 561 | 463 | 109 | 240 | 692 | 944 | 739 | 881 | 545 | 563 | 559 | 549 |
| **Ba** | 473 | 204 | 765 | 757 | - | - | 351 | - | 232 | 232 | 235 | - |
| **Zr** | 122 | 159 | 848 | 866 | 205 | 281 | 234 | 302 | 187 | 185 | 165 | 192 |
| **Hf** | 3.60 | 3.86 | 19.5 | 19.8 | - | - | 5.60 | - | 5.25 | 5.15 | 4.69 | - |
| **Nb** | 20.2 | 22.0 | 93.3 | 94.0 | - | - | 46.1 | - | 27.0 | 27.0 | 26.4 | - |
| **Ta** | 1.37 | 1.35 | 7.09 | 7.13 | - | - | 2.91 | - | 1.82 | 1.82 | 1.77 | - |
| **Pb** | 1.52 | 1.54 | 11.8 | 11.6 | - | - | 2.46 | - | 1.98 | 1.91 | 1.93 | - |
| **Th** | 1.40 | 1.33 | 13.0 | 13.3 | - | - | 3.73 | - | 2.13 | 2.01 | 2.24 | - |
| **U** | 0.381 | 0.301 | 3.58 | 2.72 | - | - | 1.19 | - | 1.23 | 0.557 | 0.615 | - |
| **La** | 47.7 | 18.3 | 69.5 | 67.8 | - | - | 36.1 | - | 26.6 | 25.7 | 24.5 | - |
| **Ce** | 38.6 | 40.6 | 129 | 126 | - | - | 75.0 | - | 56.9 | 55.2 | 53.6 | - |
| **Pr** | 5.06 | 5.16 | 13.7 | 13.4 | - | - | 9.00 | - | 7.30 | 7.14 | 7.04 | - |
| **Nd** | 21.5 | 22.1 | 46.1 | 45.3 | - | - | 36.3 | - | 30.2 | 29.9 | 29.8 | - |
| **Sm** | 5.02 | 5.07 | 7.96 | 7.90 | - | - | 7.50 | - | 6.71 | 6.70 | 6.82 | - |
| **Eu** | 1.78 | 1.72 | 1.69 | 1.65 | - | - | 2.35 | - | 2.19 | 2.25 | 2.31 | - |
| **Gd** | 4.90 | 5.13 | 7.28 | 7.26 | - | - | 6.99 | - | 6.35 | 6.41 | 6.44 | - |
| **Tb** | 0.753 | 0.775 | 1.107 | 1.097 | - | - | 0.961 | - | 0.972 | 0.973 | 0.955 | - |
| **Dy** | 4.24 | 4.60 | 6.68 | 6.61 | - | - | 5.10 | - | 5.41 | 5.40 | 5.14 | - |
| **Ho** | 0.782 | 0.891 | 1.36 | 1.36 | - | - | 0.911 | - | 0.995 | 0.987 | 0.927 | - |
| **Er** | 1.96 | 2.34 | 3.99 | 4.01 | - | - | 2.27 | - | 2.52 | 2.51 | 2.28 | - |
| **Tm** | 0.262 | 0.321 | 0.630 | 0.628 | - | - | 0.295 | - | 0.337 | 0.337 | 0.301 | - |
| **Yb** | 1.61 | 2.01 | 4.46 | 4.49 | - | - | 1.82 | - | 2.12 | 2.10 | 1.83 | - |
| **Lu** | 0.232 | 0.289 | 0.703 | 0.701 | - | - | 0.254 | - | 0.301 | 0.303 | 0.262 | - |
| Sample | BHVO-1 (XRF) | BR (ICP-MS) |
|--------|-------------|-------------|
| Lat. [°N] | | |
| Long. [°E] | | |
| Elevation [m] | | |
| Rock type | standard | standard |
| SiO$_2$ | 49.68 | - |
| TiO$_2$ | 2.74 | - |
| Al$_2$O$_3$ | 13.72 | - |
| Fe$_2$O$_3$ | 12.03 | - |
| MnO | 0.17 | - |
| MgO | 7.26 | - |
| CaO | 11.34 | - |
| Na$_2$O | 2.37 | - |
| K$_2$O | 0.53 | - |
| P$_2$O$_5$ | 0.28 | - |
| L.O.I. | - | - |
| Total | 100.13 | - |
| Mg-no. | | |
| Li | - | 11.4 |
| Sc | - | 19.9 |
| V | - | 217 |
| Cr | 286 | 353 |
| Co | - | 54.6 |
| Ni | 108 | 249 |
| Cu | - | 65.9 |
| Zn | 102 | 149 |
| Ga | - | 18.1 |
| Rb | 11 | 27.4 |
| Y | - | 45.6 |
| Cs | - | 0.743 |
| Sr | 396 | 1365 |
| Ba | - | 1058 |
| Zr | 184 | 267 |
| Hf | - | 5.90 |
| Nb | - | 105 |
| - | - | 5.58 |
| Pb | - | 4.42 |
| Th | - | 10.6 |
| U | - | 2.48 |
| La | - | 79.8 |
| Ce | - | 151 |
| Pr | - | 16.8 |
| Nd | - | 64.3 |
| Sm | - | 12.0 |
| Eu | - | 3.55 |
| Gd | - | 9.94 |
| Tb | - | 1.29 |
| Dy | - | 6.37 |
| Ho | - | 1.07 |
| Er | - | 2.53 |
| Tm | - | 0.307 |
| Yb | - | 1.80 |
| Lu | - | 0.241 |
Table 3. Sr, Nd and Pb isotopic compositions of selected Syrian lavas.
| Sample | $^{87}\text{Sr}/^{86}\text{Sr}$ (2s) | $^{143}\text{Nd}/^{144}\text{Nd}$ (2s) | $^{206}\text{Pb}^{204}\text{Pb}$ | $^{207}\text{Pb}^{204}\text{Pb}$ | $^{208}\text{Pb}^{204}\text{Pb}$ | $^{206}\text{Pb}^{207}\text{Pb}$ | $^{206}\text{Pb}^{208}\text{Pb}$ |
|--------|----------------------------------|---------------------------------|-----------------|-----------------|-----------------|-----------------|-----------------|
| SY-179 | 0.70314 (9) | 0.512837 (13) | 19.122 | 15.634 | 39.020 | 0.5 | 0.70331 | 0.512837 | 19.412 | 15.63 | 39.02 |
| SY-184 | 0.703259 (2) | 0.512834 (2) | | | 2.0 | 0.70326 | 0.512932 | | | | |
| SY-200 | 0.703094 (3) | 0.512940 (2) | | | 2.0 | 0.70309 | 0.512938 | | | | |
| SY-202 | 0.703048 (3) | 0.512944 (2) | | | 2.0 | 0.70305 | 0.512942 | | | | |
| SY-213 | 0.703413 (11) | 0.512810 (12) | 19.102 | 15.622 | 38.996 | 4.0 | 0.70341 | 0.512906 | 19.09 | 15.62 | 38.98 |
| SY-216 | 0.703298 (13) | 0.512973 (12) | 19.107 | 15.627 | 38.938 | 4.0 | 0.70330 | 0.512910 | 19.09 | 15.63 | 38.92 |
| SY-221 | 0.703559 (14) | 0.512887 (10) | 19.443 | 15.649 | 38.829 | 4.0 | 0.70335 | 0.512883 | 19.43 | 15.65 | 38.82 |
| SY-224 | 0.703425 (10) | 0.512895 (10) | 19.046 | 15.615 | 38.839 | 4.2 | 0.70342 | 0.512892 | 19.04 | 15.61 | 38.82 |
| SY-227 | 0.703962 (11) | 0.512861 (14) | 19.276 | 15.646 | 38.729 | 4.2 | 0.70395 | 0.512857 | 19.26 | 15.64 | 38.72 |
| SY-234 | 0.703118 (10) | 0.512899 (7) | 19.046 | 15.586 | 38.778 | 2.0 | 0.70312 | 0.512887 | 19.04 | 15.59 | 38.77 |
| SY-261 | 0.703318 (9) | 0.512840 (12) | 13.854 | 15.613 | 38.687 | 0.5 | 0.70332 | 0.512840 | 18.85 | 15.61 | 38.69 |
| SY-279 | 0.703313 (3) | 0.512843 (3) | | | 0.5 | 0.70331 | | | | | |
| SY-280 | 0.703301 (3) | 0.512843 (3) | | | 0.5 | 0.70330 | 0.512843 | | | | |
*Correction age depends on geological map of Ponikarov et al. (1983), and K-Ar ages of Shatkov et al. (1994), Moujir et al. (1992) and Giannini et al. (1988a) and Ar-Ar data of Krienitz et al. (In preparation).*
Most of the Sr, Nd, and Pb isotopic analyses were performed at the Zentrallaboratorium für Geochronologie in Münster using a VG Sector 54 multicolonlector mass spectrometer. A few Sr and Nd isotope analyses were made at the Leibnitz Institut für Meereswissenschaften in Kiel on a Finnigan Triton mass spectrometer. Isotopic analyses were carried out with 100 mg of powdered sample material and standard ion exchange techniques were used to produce clean Sr, Nd, and Pb separates. Isotope fractionation was corrected using $^{86}\text{Sr}/^{88}\text{Sr} = 0.1194$ and $^{146}\text{Nd}/^{144}\text{Nd} = 0.7219$. In Münster, standard runs for Sr isotopes gave NBS987 ($n = 16$): 0.710299 (2SD = 0.000026) and all Sr isotope analyses were normalised to NBS987 = 0.710250. Standard runs for $^{143}\text{Nd}/^{144}\text{Nd}$ gave La Jolla ($n = 14$): 0.511862 (2SD = 0.000024). In Kiel, the NBS 987 ($n=4$) gave 0.710252 (2SD = 0.000002) and all Sr isotope analyses were normalised to NBS 987 = 0.710250. Standard runs for $^{143}\text{Nd}/^{144}\text{Nd}$ gave 0.511711 (2SD = 0.000012) for the Nd Spex standard ($n=7$) corresponding to a La Jolla value of 0.511855. All Nd isotope analyses were corrected to the La Jolla standard measured in Münster. The NBS982 standard was used to correct Pb isotopic ratios for mass fractionation. Correction factors are $^{206}\text{Pb}/^{204}\text{Pb} = 0.002$, $^{207}\text{Pb}/^{204}\text{Pb} = 0.003$ and $^{208}\text{Pb}/^{204}\text{Pb} = 0.004$ and standard runs ($n = 10$) gave $^{206}\text{Pb}/^{204}\text{Pb} = 36.646$, $^{207}\text{Pb}/^{204}\text{Pb} = 17.101$ and $^{208}\text{Pb}/^{204}\text{Pb} = 36.593$ with a precision of ±0.022, ±0.014 and ±0.038 (2SD), respectively. Procedural blanks at this time were generally better than 0.2 ng, 0.1 ng and 0.04 ng for Sr, Nd and Pb. All isotopic data were age-corrected using the ages from the geological maps of Ponikarov et al. (1963) and on K-Ar and Ar-Ar data of Giannerini et al. (1988), Mouty et al. (1992), Sharkov et al. (1994), and Krienitz et al. (CHAPTER III) (Table 3). The age-corrected isotopic data were used in the figures.
### 2.4 Classification
In the total alkali versus silica diagram the HAS samples show a bimodal distribution, but evolved lavas are rare. All basaltic rocks fall into the alkaline field using the division line of MacDonald (1968) and, except for four samples all basalts are nepheline-normative and thus can be classified as alkali basalts. The entire dataset is grouped into four different series on the basis of their stratigraphic occurrence and age (Figs. 2.1 and 2.2). The oldest lavas (>13 Ma, series IV) in the NW of the HAS have been previously dated and sampled by Mouty et al. (1992) and we use these published data to determine the composition of the parental series IV magma. Whereas series I comprises lavas younger than <1 Ma, volcanic rocks of series II erupted between 1 and 3.5 Ma and lavas of series III between 3.5 and 7 Ma. Series IV comprises lavas yielding ages older than 13 Ma. Generally, the oldest lavas of series IV are alkali basalts, series III ranges from alkali basalts to basanites and evolved lavas, most series II lavas are basanitic and tephritic while the youngest series I lavas are alkali basalts (Fig. 2.2). The major element composition of the series IV lavas generally resembles that of series III alkali basalts (Figs. 2.2 and 2.3).
2.5 Petrographic and geochemical results
2.5.1 Petrography
Hand specimen of the investigated volcanic rocks are generally fresh with only a few samples showing evidence of alteration. Almost all samples have porphyritic textures and contain variable amounts of phenocrysts with olivine and clinopyroxene being most abundant, feldspars are rare. Most olivines show iddingsite rims and some are completely altered. The predominant feldspar is plagioclase but in trachytic and phonolitic lavas mainly alkalifeldspars occur (Table 1). The mostly fine-grained groundmass consists of olivine, clinopyroxene, plagioclase, and Fe-Ti oxides. Rare calcite-filled vesicles are visible in hand specimen. Some lavas contain agglomerates of clinopyroxene and olivine. Sample SY-272 contains a cumulate composed of olivine and orthopyroxene with strong resorbed rims and thus these phases are interpreted as xenocrysts (Table 1).
Fig. 2.2. Classification of the lava samples in the TAS diagram after Le Bas et al. (1986) with rock type discrimination after Le Maitre et al. (1989). Division into alkaline and sub-alkaline rocks is from MacDonald (1968). The sample set of series IV lavas is supplemented with data from Mouty et al. (1992) (small black squares).
2.5.2 Major and trace element content
The lavas span a range of MgO concentrations between 11.4 and 0.2 wt.% with Mg-numbers varying from 0.67 to 0.09. Lavas with MgO contents below 4 wt.% are restricted to the series III lavas (Fig. 2.3). Relatively primitive lavas show slight increases in SiO$_2$, Na$_2$O and K$_2$O concentrations with decreasing MgO, but these elements strongly increase in lavas with MgO contents <5 wt.%. Whilst TiO$_2$, FeOT, CaO and P$_2$O$_5$ concentrations are relatively constant or increase slightly down to a MgO content of 5 wt.%, they sharply decrease below 5 wt.% MgO. Al$_2$O$_3$ increases throughout the whole differentiation sequence. The series II lavas with MgO >6 wt.%
Fig. 2.3. Diagrams of major elements versus MgO for the Syrian sample suites. For a better comparison of the single HAS groups series IV lavas were completed with data taken from Mouty et al. (1992). Additionally shown are regression lines for SiO$_2$, TiO$_2$, FeOT and Na$_2$O which were used to correct for fractionation (cp. Fig. 2.7).
Fig. 2.4. (a) Plot of Cr concentrations versus MgO content of the Syrian lavas. (b) Chondrite-normalised Ce/Yb ratios of the HAS lavas versus MgO. Chondrite values are taken from McDonough and Sun (1995).
generally have much lower SiO$_2$ and higher TiO$_2$, Na$_2$O, K$_2$O as well as high P$_2$O$_5$ contents compared to the other Syrian lava series (Fig. 2.3). Series IV basalts form a relatively consistent group and resemble most mafic series III samples. However, series III is heterogeneous with several samples resembling the basanitic/tephritic series II. Series I is slightly more alkaline than series IV having higher Na$_2$O and TiO$_2$ and lower SiO$_2$ contents at a given MgO concentration. These striking chemical differences indicate that the petrogenesis of the Syrian HAS lavas changed with time.
Compatible trace elements, such as Cr are positively correlated with MgO (Fig. 2.4a). Series II lavas exhibit the lowest Cr concentrations at a given MgO content compared to the other groups (Figs. 2.4a). The HAS lavas show a large variation in (Ce/Yb)$_N$ which do not correlate with MgO contents (Fig. 2.4b). Lavas from series I are relatively homogeneous and have consistently low (Ce/Yb)$_N$ of 5 to 8 while series II and III lavas are highly variable ranging from 5 to 24 pointing to variable melting conditions during magma genesis. The samples show a rough positive correlation between Ce/Pb and Nb/U ratios and most samples have compositions similar to oceanic basalts but a few lavas tend to lower values resembling average continental crust (Fig. 2.5a). At constant (Ce/Yb)$_N$ of ~7 we find a significant variation of Nb/La ratios with series I lavas having the lowest Nb/La ratios at relatively low (Ce/Yb)$_N$, which could be caused by variable compositions of the mantle source(s) at similar degrees of partial melting. At (Ce/Yb)$_N$ higher than 8 several series III and most series II samples form a negative trend (Fig. 2.5b). Except for the trachytes all Syrian volcanic rocks lie on a negative correlation trend of Nb and K/Nb ratios probably indicating heterogeneities of the mantle source(s) of the lavas (Fig. 2.5c). Whereas series II lavas have the highest and series I have consistently low Nb contents, the Nb concentrations of series III samples are variable and lie between the other two series.
Fig. 2.5. (a) Diagram of Nb/U versus Ce/Pb ratios. Average compositions of upper (UCC) and lower (LCC) continental crust are from Rudnick and Fountain (1995). Grey fields are defined by mantle-like compositions of oceanic basalts (Hofmann et al., 1986). (b) (Ce/Yb)$_N$ versus Nb/La and (c) Nb versus K/Nb of the Syrian lavas. Chondrite values are from McDonough and Sun (1995).
2.5.3 Isotopic correlations
The Syrian HAS volcanic rocks show a negative correlation between Sr and Nd isotope ratios. The one series II sample has the highest $^{143}\text{Nd}/^{144}\text{Nd}$ ratio, while the series I samples have the lowest ratios (Fig. 2.6a). Series III samples have intermediate Nd isotope ratios and define a shallow negative trend towards high $^{87}\text{Sr}/^{86}\text{Sr}$. The isotopic compositions of the Syrian HAS lavas largely overlap with the volcanic rocks of the Jordanian HAS part with the exception of the series III lavas with the highest $^{87}\text{Sr}/^{86}\text{Sr}$, that also show the highest Pb isotope ratios. In terms of Sr and Nd isotope ratios the Syrian HAS lavas also overlap with the field of enriched Arabian lithospheric mantle peridotites and the series II sample resembles the Red Sea lavas in terms of Pb isotopes. However, most Syrian HAS lavas show higher $^{207}\text{Pb}/^{204}\text{Pb}$ ratios than the Red Sea lavas and they also have lower $^{87}\text{Sr}/^{86}\text{Sr}$ ratios for a given $^{143}\text{Nd}/^{144}\text{Nd}$ ratio than the Afar plume lavas with high $^3\text{He}/^4\text{He}$ (Fig. 2.6a). $^{206}\text{Pb}/^{204}\text{Pb}$ is generally positively correlated with...
Fig. 2.6. (a) Age-corrected Sr versus Nd isotopic compositions of the HAS lavas. Fields are representative of Jordan volcanic rocks (Bertrand et al., 2003; Shaw et al., 2003), for Red Sea lavas (Eissen et al., 1989; Haase et al., 2000), and for Afar plume lavas yielding high $^3$He/$^4$He ratios (Pik et al., 1999) as well as for cpx analyses representing Arabian lithospheric mantle (ALM; Henjes-Kunst et al., 1990; Blusztajn et al., 1995). Additional data of the Syrian HAS field are taken from Bertrand et al. (2003). The line represents a bulk mixing curve between sample “SY-234” and average Proterozoic crust (data from Hegner and Pallister, 1989). (b and c) $^{206}\text{Pb}/^{204}\text{Pb}_T$ versus $^{207}\text{Pb}/^{204}\text{Pb}_T$ and $^{208}\text{Pb}/^{204}\text{Pb}_T$ ratios of the HAS lavas. Compositions of Late Proterozoic crustal rocks are taken from Baker et al. (2000).
Fig. 2.7. (a) Age-corrected $^{206}\text{Pb}/^{204}\text{Pb}$ versus Sr isotopic composition of the Syrian HAS lavas and (b) versus $^{143}\text{Nd}/^{144}\text{Nd}_T$. Data sources as in Figure 2.6.
$^{87}\text{Sr}/^{86}\text{Sr}$ in the Syrian HAS lavas and they lie between the fields representative for Afar plume material and Red Sea lavas (Fig. 2.7a). As shown in Figure 2.7b the Syrian volcanic rocks also display higher $^{206}\text{Pb}/^{204}\text{Pb}$ for a given $^{143}\text{Nd}/^{144}\text{Nd}$ ratio to the Afar lower mantle plume material with high $^3\text{He}/^4\text{He}$. In Figure 2.8a the Ba/Nb ratios and $^{87}\text{Sr}/^{86}\text{Sr}$ isotopic composition of the Syrian HAS series form a triangular array similar to lavas from the Jordanian part of the HAS field. In lavas with $^{87}\text{Sr}/^{86}\text{Sr} < 0.7035$ a positive correlation between Ba/Nb and $^{87}\text{Sr}/^{86}\text{Sr}$ is observed. Series II lavas exhibit low incompatible element ratios with respect to series I lavas, Ba/Nb of series III lavas is highly variable comprising the highest and the lowest values of the whole Syrian data set (Fig. 2.8a). Series III lavas with the most radiogenic $^{87}\text{Sr}/^{86}\text{Sr}$ show intermediate compositions in terms of Ba/Nb. In Figure 2.8b the Nd isotopic compositions of the HAS lavas are plotted against the $(\text{Ce/Yb})_N$ ratios. Compared to Red Sea lavas and Arabian lithospheric mantle xenoliths (IA) the investigated samples have generally higher $(\text{Ce/Yb})_N$, but are similar to the Jordanian HAS lavas. Whereas series I and III lavas overlap with the arrays
---
**Fig. 2.8.** (a) $^{87}\text{Sr}/^{86}\text{Sr}$ versus Ba/Nb ratios. (b) $^{143}\text{Nd}/^{144}\text{Nd}$ versus chondrite-normalised Ce/Yb ratios of the Syrian lavas and of two groups of xenoliths analyses representative for Arabian lithospheric mantle (Blusztajn et al., 1995). Chondrite composition is taken from McDonough and Sun (1995). Data sources for additional fields as in Figure 2.6.
spanned by the ALM xenoliths (IB) and by the Afar plume, lavas of series II show significantly higher \((\text{Ce/Yb})_{\text{N}}\).
### 2.6 Discussion
#### 2.6.1 Effects of alteration
During weathering of rocks a negative correlation between LOI (loss on ignition) and mobile elements such as K, Rb, Cs or U is expected because alteration results in a loss of these elements and in increasing \(H_2O\) and/or \(CO_2\) contents as it is expressed by elevated LOI values. Despite the fact that some HAS lavas contain minor amounts of calcite and that the olivines are often partially or completely altered to iddingsite the investigated lavas generally appear fresh and no correlation is observed between mobile elements and LOI values. Except for two samples with high LOI values (2.7 and 3.7 wt.\%) the LOI content generally lies below 2 wt.\% which is typical for alkaline lavas (Table 2). The majority of the lavas have Nb/U ratios similar to or lower than oceanic basalts (Fig. 2.5a) thus they have not been affected by alteration because U is usually quite mobile during alteration compared to Nb, resulting in elevated Nb/U ratios. Thus, alteration processes have a minimal effect even on mobile element contents and did not affect the geochemistry of the HAS lavas significantly.
#### 2.6.2 Control of fractional crystallisation and crystal accumulation on HAS lavas
Differences in the major and compatible trace element contents in particular between the primitive lavas of the HAS series can be caused by different source compositions, variable degrees of partial melting or by contamination processes, whereby variations within each of the Syrian HAS series are probably due to fractionational crystallisation of different mineral phases. The abundance of phenocryst phases as well as the wide range of MgO contents and Mg-numbers of the samples imply crystal fractionation during magmatic ascent (Figs. 2.3 and 2.4). Throughout the differentiation sequence the volcanic series is influenced by crystallisation of olivine, clinopyroxene, and spinel and, at later stages, feldspar and apatite. Olivine is one of the major fractionating phases and its extraction is indicated by decreasing Ni and MgO contents. On the other hand, the most primitive sample SY-272, with a Mg-number of 0.67, has a high Ni content and a high Ni/Cr ratio, but shows compatible and major element concentrations similar to other lavas (Table 2), suggesting olivine accumulation. This assumption is also confirmed by the occurrence of olivine xenocrysts in thin section. Decreasing Cr contents at a MgO of about 9 wt.\% indicate the beginning of clinopyroxene fractionation and the removal of spinel. The combination of olivine, clinopyroxene and spinel fractionation accounts for the constant CaO contents (Figs. 2.3 and 2.4a). The increasing \(Al_2O_3\) and Sr concentrations show that plagioclase fractionation has played no major role in the early stages of differentiation. Feldspar removal in the differentiated rocks is indicated by inflections of Sr and SiO\(_2\) and decreasing CaO between 6 and 5 wt.\% MgO. The crystallisation of titanomagnetite is responsible for the lower FeO\(^T\) and TiO\(_2\)
contents in samples with MgO concentrations below 5 wt.%. The P$_2$O$_5$ decrease starting at 5 wt.% MgO is caused by apatite fractionation and is restricted to the evolved lavas belonging to series III (Fig. 2.3).
### 2.6.3 Crustal contamination of the HAS magmas
Magmas rising through the continental lithosphere often stagnate at crustal levels and assimilate crustal material. Mid-ocean ridge and ocean island basalts have average Nb/U ratios of 47±10 and average Ce/Pb ratios of 25±5 reflecting the composition of the Earth’s mantle, while the continental crust has characteristically low Ce/Pb and Nb/U ratios (Hofmann et al., 1986). Most HAS lavas have high Nb/U and Ce/Pb implying negligible crustal contamination, but the low Ce/Pb and Nb/U ratios of several lavas from series III imply crustal contamination (Fig. 2.5a). The trachytes show the most significant contamination suggesting that assimilation-fractional crystallization processes affected the ascending magmas. Isotopic compositions are neither influenced by crystal fractionation nor by the degree of partial melting and the isotopic array of the HAS lavas in the Sr versus Nd isotope diagram implies that at least three isotopically distinct end members are involved in their magma genesis (Fig. 2.6a). Shaw et al. (2003) postulated that lavas of the Jordan HAS part have assimilated up to 20% of Late Proterozoic crust during their ascent to the surface. These crustal basement rocks are highly variable in their $^{206}$Pb/$^{204}$Pb and $^{207}$Pb/$^{204}$Pb compositions but have comparatively low $^{208}$Pb/$^{204}$Pb ratios for a given $^{206}$Pb/$^{204}$Pb when compared with the Syrian lavas (Fig. 2.6c). The Syrian HAS lavas display a similar isotopic trend to the Jordan HAS lavas suggesting crustal assimilation. Bulk mixing calculations of Syrian lavas with average Proterozoic crust confirm this assumption (continuous line, Fig. 2.6a) and the lavas with the highest $^{87}$Sr/$^{86}$Sr have crust-like Ce/Pb and Nb/U ratios and trend to $^{208}$Pb/$^{204}$Pb compositions observed in crustal rocks from Yemen (Figs. 2.5 and 6). Thus, akin to the Jordan HAS lavas, some of the Syrian lava series III rocks have assimilated crustal material leading to high $^{87}$Sr/$^{86}$Sr and $^{206}$Pb/$^{204}$Pb isotope ratios and to low $^{208}$Pb/$^{204}$Pb (Figs. 2.6 and 2.7).
### 2.6.4 Parental magma composition
The combined processes of crustal assimilation and crystal fractionation modified the Syrian lavas and thus no primary magmas from the mantle have been sampled. In order to determine the mantle melting processes and the mantle sources involved in the formation of the HAS volcanic rocks we compare fractionation-corrected compositions of uncontaminated lavas, i.e. those within the range of mantle compositions in terms of Nb/U and Ce/Pb (Fig. 2.5a). Lavas with MgO concentrations below 5 wt.% are not included in the fractionation correction because they do not lie on linear trends (olivine control lines) thus indicating a complex crystallisation history. First, the effects of fractional crystallisation on the major elements SiO$_2$, FeOT, Na$_2$O, and TiO$_2$ have been corrected to MgO contents of 9 wt.% (Fig. 2.9) similar to the approach of Klein and Langmuir (1987). While Si, Na and Ti show relatively clear fractionation trends for each series, Fe is highly variable (Fig. 2.3). The fractionation-corrected lava compositions do not represent
primary magma compositions because they have average Mg# of 0.62 compared to Mg# of 0.68-0.72 of mantle melts (Frey et al., 1978). To determine the primary magma compositions of the HAS lavas, the fractionation-corrected FeOT data were recalculated to compositions having a Mg# of 0.72, which is characteristic for a melt that is in equilibrium with mantle olivine having Fo89, by adding olivine with Fo88 found in sample SY-272 (Table 1, Fig. 2.9). The variable FeOT contents in the HAS lavas suggest a significant range of primary magma compositions with MgO contents of 13 to 15 wt.% MgO (Fig. 2.9). Hypothetical parental liquid concentrations of the different series of HAS lavas are listed in Table 4 and it appears that the lavas series I, II, and IV have higher FeOT contents than the series III samples. These differences in primary magma compositions suggest significant changes in the processes of magma genesis in the last 24 Ma.
**Fig. 2.9.** Plot of MgO versus FeOT concentrations showing the fractionation-correction scheme for the Syrian lavas. Samples with MgO concentrations below 5 wt.% and crustaly contaminated samples were rejected from regression (see text for discussion). Open circles give FeOT concentrations at 9 wt.% MgO (Fe9.0) for representative lavas of the single volcanic suites. Dashed lines refer to addition of Fo88 olivine (olivine control lines) as found in the most primitive sample “SY-272” and numbers give the amount of olivine added. Left tilted line shows composition of constant Mg-number of 0.72 which is in equilibrium with Fo89 olivine, assuming $K_d^{Fe-Mg} = 0.3$. Hypothetical representative primary magma compositions for the single HAS series are listed in Table 4. Data for series IV are from Mouty et al. (1992).
since the eruption of series IV lavas.
2.6.5 Partial melting processes beneath the HAS
As apparent from Figure 2.10 the Ti$_{9,0}$ and Na$_{9,0}$ contents in the HAS lavas are positively correlated, whereby negative correlations can be observed when Si$_{9,0}$ contents of lavas are plotted versus Na$_{9,0}$, and (Tb/Yb)$_N$. Thus the lavas with high Si$_{9,0}$ contents (>45 wt.%) have lower Ti$_{9,0}$ and Na$_{9,0}$ concentrations compared to lavas yielding relatively low Si$_{9,0}$ contents in the range between 45 and 42 wt.%. Such differences can be generated by variable mantle source compositions or could reflect variations in the pressure-temperature regime as well as in the extent of partial melting. Thus, the variation in Ti$_{9,0}$ and Na$_{9,0}$ suggests that the HAS magmas formed by 4 to 11 % of partial melting of a slightly enriched garnet peridotite source (Fig. 2.10a). The series II lavas formed by the lowest degrees of melting while the oldest series III and IV magmas represent the highest degree melts. The youngest lavas of series I indicate an increasing degree of melting during the past 1 Ma. Since garnet possesses significantly higher distribution coefficients for heavy rare earth elements (REE) than for the middle and light REEs, melting in the presence of residual garnet retains the HREE over the middle and light ones.
Fig. 2.10. (a) Fractionation compensated Ti and Na concentrations of the Syrian lavas. Shown also is the melting curve for non-modal batch melting of a garnet lherzolite, whereby the numbers give the degree of melting (F). Garnet lherzolite composition: 0.598 olivine, 0.076 clinopyroxene, 0.211 orthopyroxene, 0.115 garnet. Assumed mantle source concentrations: Ti 0.37 wt.%, Na 0.33 wt.%. Distribution coefficients used are from, Onuma et al. (1968), Hart and Dunn (1993), Leeman and Scheidegger (1977) and Suzuki et al. (2000). PRIMA and chondrite values are from McDonough and Sun (1995). (b) Plot of Si$_{9,0}$ vs Na$_{9,0}$. Grey fields with numbers correspond to the amount of melting (F) calculated on the basis of Na concentrations using experimental data from peridotite KLB-1 conducted by Hirose and Kushiro (1993). A regression through the data from their experimental study gives the relationship: F [%] = -0.1568*ln(Na$_2$O) + 0.2818 with a correlation factor $R^2 = 0.9180$. This algorithm was used to calculate the extent of melting of the HAS lavas. (c) Si$_{9,0}$ versus chondrite-normalised Tb/Yb ratios for the HAS lava series.
Table 4. Hypothetical compositions of primary liquids
| Sample | Series I (SY-197) | Series II (SY-190) | Series III (SY-218) | Series IV (SY-175) |
|----------|-------------------|--------------------|---------------------|--------------------|
| SiO₂ | 45.25 | 42.13 | 46.01 | 44.87 |
| TiO₂ | 2.42 | 2.89 | 1.78 | 1.80 |
| Al₂O₃ | 12.61 | 11.97 | 12.95 | 11.51 |
| FeO⁺ | 11.88 | 12.55 | 11.22 | 12.59 |
| MnO | 0.18 | 0.18 | 0.17 | 0.16 |
| MgO | 14.59 | 15.39 | 13.75 | 15.45 |
| CaO | 8.10 | 7.22 | 8.25 | 7.08 |
| Na₂O | 2.94 | 3.30 | 2.65 | 2.30 |
| K₂O | 0.90 | 1.45 | 0.89 | 0.94 |
| P₂O₅ | 0.37 | 0.50 | 0.26 | 0.41 |
| Mg-no. | 0.72 | 0.72 | 0.72 | 0.72 |
Table 5. Calculated pressures and depths for fractionation-corrected HAS lava series and parental compositions during partial melting.
| | P_range [kbar] | P_parental [kbar] | Depth_range [km] | Depth_parental [km] |
|----------|----------------|-------------------|------------------|---------------------|
| Series I | 35 - 25 | 34 | 111 - 80 | 107 |
| Series II| 48 - 30 | 48 | 150 - 95 | 149 |
| Series III| 46 - 26 | 31 | 145 - 83 | 97 |
| Series IV| 31 - 20 | 36 | 101 - 66 | 112 |
displayed in Figures 2.10c and 2.12 therefore suggest that partial melting occurs in depths where garnet is present. This is consistent with our depth estimates placing the melting process within the garnet lherzolite stability field (Table 5, Fig. 2.11). The calculations assume a mantle source enriched relative to a primitive mantle (PRIMA) composition (McDonough and Sun, 1995). The range of REE ratios described by the uncontaminated HAS lavas indicates that the most primitive lavas of series II were formed by about 3-5% melting of a garnet lherzolite, whereas most of the primitive lavas of series I and III were generated by larger degrees of partial melting of about 8-10% (Fig. 2.12). Differences within the HAS series may be either due to variable amounts of garnet in the source or to different degrees of partial melting or both. If the source region contains variable amounts of garnet, the mantle source of series I and III lavas must contain less garnet than the source of series II magmas (Fig. 2.12). However, results of the two approaches used in this study (based on Na contents and REE calculations) are similar within the errors of
---
**Fig. 2.10. continued**
the methods. Nonetheless, differences in the degree of melting at different depths can account for variable incompatible element concentrations of primitive and fractionation-corrected samples (e.g. Ti, P; Figs. 2.3 and 2.10).
Melting experiments with natural dry lherzolites have shown that the SiO$_2$ contents of primary melts mainly reflect the pressure of melt formation rather than the degree of partial melting and increasing pressures lead to decreasing SiO$_2$ in the melt (Hirose and Kushiro, 1993). Consequently, if the mantle source of the HAS magmas is dry then the large variability in Si$_{9.0}$ may suggest different melting depths throughout the period of magmatic activity (Fig. 2.11, Table
**Fig. 2.11.** Pressure-temperature (p-T) diagram. p-T estimates depend on primary liquid compositions (black circles) of the single HAS series. Additionally illustrated are the solidi for CO$_2$-saturated mantle peridotite (Falloon and Green, 1990) and dry mantle (McKenzie and Bickle, 1988) as well as an asthenospheric mantle adiabat (McKenzie and Bickle, 1988) and different potential mantle temperatures. Open stars are melting experiments of peridotite + CO$_2$ from Mysen and Kushiro (1977) and filled stars from Hirose (1997). The spinel to garnet transition is shown as dotted line and amphibole (amph), and phlogopite (phlog) stability boundaries as continuous curved lines based on experimental data (Mengel and Green, 1989; Wallace and Green, 1991; Robinson and Wood, 1998). Temperature estimates are based on the empirical relation: T [°C] = 2000*(MgO/SiO$_2$*MgO) + 969 (Albarède, 1992) and pressure calculations based on melting experiments using the equation P [GPa] = 23.217-0.4381*SiO$_2$ with a correlation factor R = 0.878 as cited in Haase (1996). Pressure-depth conversion is made by the relationship: Depth [km] = 3.02*P [kbar] + 5. Crustal thickness is based on geophysical data of Best et al. (1990) and McBride et al. (1990) and the lower lithosphere boundary (LLB, grey field) is adopted from McGuire and Bohannon (1989).
4) and the correlation between Na and Si could imply a link between the degree and depth of melting. In this case, the relatively low degree series II magmas were generated at high pressures whereas the rest of the investigated lavas probably are the result of larger melting proportions at shallower depth (Fig. 2.11). Applying the algorithm developed by Haase (1996) to calculate the average pressures of melting of the HAS magmas that series I, III, and IV are derived from similar depths of about 110-100 km (Fig. 2.11) while the low SiO$_2$ contents of the series II lavas implies a deeper region (~150 km) of melting (Table 5). On the basis of a dry peridotite solidus McKenzie and Bickle (1988) and White and McKenzie (1989) pointed out that decompressional melting of the asthenosphere with a potential temperature of 1280°C requires a stretching factor (i.e. the ratio of initial to thinned lithospheric thicknesses) of the lithosphere in the range of 2 to 5. Assuming an initial lithospheric thickness of about 100-120 km underneath northwestern Arabia (Mooney et al., 1985; Shaw et al., 2003) and a thinned lithospheric thick-
**Fig. 2.12.** Diagram of chondrite-normalised La/Sm and Sm/Yb ratios for uncontaminated HAS lavas. Additionally shown are melting curves for non-modal batch melting of garnet and spinel lherzolites. Garnet lherzolite composition: 0.598 olivine, 0.076 clinopyroxene, 0.211 orthopyroxene, 0.115 garnet. Melting proportions of garnet lherzolite: 0.05 olivine, 0.3 clinopyroxene, 0.2 orthopyroxene, 0.45 garnet. Spinel lherzolite composition: 0.578 olivine, 0.119 clinopyroxene, 0.27 orthopyroxene, 0.033 spinel. Melting proportions of spinel lherzolite: 0.10 olivine, 0.50 clinopyroxene, 0.27 orthopyroxene, 0.13 spinel. Assumed mantle source concentrations: La 0.95ppm, Sm 0.41ppm and Yb 0.44ppm. Distribution coefficients used are from Kelemen et al. (1993) and Johnson (1998). Numbers give the degree of melting (F). PRIMA and chondrite values are from McDonough and Sun (1995).
ness of <80 km beneath Syria (Nasir and Safarjalani, 2000), which is similar to the thickness proposed by McGuire and Bohannon (1989) for Saudi Arabia (~75-80 km), a stretching factor of about 1.3 to 1.6 can be calculated. This calculated stretching factor is too low to explain the voluminous magma formation in southern Syria suggesting that the mantle must be hotter beneath the HAS to allow significant partial melting at great depth. We conclude that the series IV, III and I magmas most likely formed in a relatively dry mantle with significant excess temperature, i.e. a mantle plume. Following the empirical algorithm cited by Albarède (1992) formation temperatures of the hypothetical parental magmas are calculated to be 1457°C, 1504°C, 1429°C, and 1484°C (Fig. 2.11). These temperatures are approximately 130-200°C higher than average potential mantle temperature of 1300°C (McKenzie and Bickle, 1988) and fall into the range of excess temperatures thought to be characteristic for the presence of mantle plumes (e.g. White and McKenzie, 1989).
However, magmas with SiO₂ <45 wt.% may form in the presence of CO₂ (e.g. Eggler, 1978; Wyllie, 1978) requiring relatively high CO₂ contents in the mantle source of the series II magmas. For example, Hirose (1997) concluded on the basis of diamond aggregate melting experiments that nephelinitic to basanitic magmas form at 3 GPa and >1475°C in the presence of CO₂ rather than being the product of high temperature melting above 3 GPa (Fig. 2.11). Thus, the pressure estimates for the HAS series II could be lower if minor amounts of volatiles occur in the source (Fig. 2.11). Volatiles are stored in either amphibole or phlogopite in the upper mantle and thus melting may occur at lower pressures when these phases were involved in the melting process. On the other hand, those minerals, if they occur as residual phases, may leave a characteristic chemical signature in melts. High Nb/La ratios accompanied by low K/Nb ratios of uncontaminated series II lavas imply a mantle component relatively enriched in Nb compared to the rather depleted samples of series I and III (Figs. 2.5b and c). One could assume that the negative trend in Figure 2.5c is due to residual amphibole in the source region of the HAS lavas. Because amphibole has a high distribution coefficient for K, melting in the presence of residual amphibole in the mantle would retain K over Nb. Thus, the comparatively low K/Nb ratios of series II lavas suggest that amphibole might be present in the melting region. However, this argument is contrary to the depth estimates for series II lavas, which were formed deep in the mantle at temperatures, where amphibole is not stable (Fig. 2.11). In this context Le Roex et al. (2001) and Class and Goldstein (1997) note that amphibole is neither a stable phase under asthenospheric mantle nor under mantle plume conditions. Also the isotopic variability of the HAS series cannot be explained by variable amounts of amphibole in the source (Figs. 2.6 and 2.7). Instead, the negative correlation between Nb contents and K/Nb ratios (Fig. 2.5c) can be explained by the mixing of two, variably highly incompatible element enriched and isotopically distinct mantle sources that were melted at variable degrees (Fig. 2.12).
The discrepancy of projected surface heat flow measurements conducted by Gettings et al. (1981) and Gettings et al. (1986) and temperatures calculated based on xenolith data from Saudi
Arabia (McGuire and Bohannon, 1989) has been interpreted as evidence for hot upwelling asthenosphere beneath western Arabia (McGuire and Bohannon, 1989). Snyder et al. (1993) come to similar conclusions in their interpretation of HAS mantle xenoliths. Nasir (1992) and Nasir and Safarjalani (2000) note that the elevated geotherms below the Cenozoic basalt fields are a widespread phenomenon on the Arabian peninsula. Hot upwelling material beneath the lithosphere would result in regional doming as suggested in the active rift hypothesis of Sengör and Burke (1978). The Rutbah uplifted region beneath the HAS volcanic field is elevated by approximately 2000 m and supports hot upwelling material underneath the lithosphere. Paleogene sediments are unconformably overlain by the HAS lavas suggesting that the process of mantle upwelling is probably young, starting in Miocene times, similar to or sometime before the onset of volcanic activity. Moreover, seismic tomography studies show a region with diminished shear-wave velocities due to a roughly horizontal layer of hot material at upper mantle depths of 100 km beneath northwestern Arabia (Daradich et al., 2003; Debayle et al., 2001). We conclude that the youngest lavas of series I as well as the lavas older than 3.5 Ma from series III and IV are derived by relative large degrees of melting from deep mantle plume material with a significant excess temperature. In contrast, the series II lavas with ages between 3.5 and 1 Ma probably formed by relative low degrees melting from a volatile- and incompatible element-enriched asthenospheric or lithospheric mantle source.
2.6.6 Mantle sources of the Syrian HAS magmas
Although the HAS lavas show a large range of isotopic compositions and highly ratios of incompatible elements it is possible to define three distinct mantle end members and one crustal contaminant (Figs. 2.5 to 2.7). The crustal contaminant was discussed above and has high Sr and Pb isotope ratios together with low Ce/Pb and probably represents Proterozoic upper crustal rocks. One mantle end member is represented by series II lavas and has a high $^{143}\text{Nd}/^{144}\text{Nd}$ of 0.5130, $^{87}\text{Sr}/^{86}\text{Sr}$ of 0.7031 and relatively unradiogenic Pb isotope ratios (Figs. 2.6 and 7). The second mantle end member has low $^{143}\text{Nd}/^{144}\text{Nd}$ at relatively low Sr isotope ratios similar to series I lavas. However, this end member has very variable Pb isotope ratios ranging from $^{206}\text{Pb}/^{204}\text{Pb}$ of about 19.1 to the lowest $^{206}\text{Pb}/^{204}\text{Pb}$ observed in the lavas and thus this mantle end member could also reflect a mixture of different mantle sources. Nonetheless, in terms of their Sr and Nd isotopic compositions crustally uncontaminated series III lavas could represent a mixture between the two mantle end member compositions, but they have slightly higher $^{87}\text{Sr}/^{86}\text{Sr}$ and Ba/Nb than the series I lavas (Fig. 2.8a). Consequently, either all series III samples are crustally contaminated or they formed from a third mantle source. The similar Sr, Nd, and Pb isotopic compositions of the HAS series II and the Red Sea lavas suggest that the series II lavas formed from an asthenospheric source (Figs. 2.6 and 2.7). However, the mantle source of series II lavas is much more enriched in incompatible elements and has slightly higher Sr isotope ratios implying a higher Rb/Sr compared to the Red Sea mantle source. Because the Nd and Pb isotopic ratios of the HAS series II lavas are similar to Red Sea basalts this enrichment must have occurred recently probably shortly before or during the eruption of series III lavas. In
agreement with the melting model described above we suggest that the source of the series II lavas resides largely in the asthenosphere but may have been enriched either by mixing with plume material or by metasomatic processes at the base of the thermal boundary layer.
The Afro-Arabian dome may have formed by northward flow of material from the Afar plume which is supported by the low shear wave velocities beneath western and northern Arabia (Debayle et al., 2001). It has been proposed that composition of the Afar mantle plume is reflected in Ethiopian lavas with high $^3$He/$^4$He ratios (Marty et al., 1996). Even though the HAS lavas have enriched trace element compositions an influence of Afar plume material from the lower undegassed mantle can be eliminated because of the higher $^{87}$Sr/$^{86}$Sr for a given $^{143}$Nd/$^{144}$Nd and $^{206}$Pb/$^{204}$Pb of this Afar plume material (Figs. 2.6 and 2.7). Furthermore, the Ethiopian lavas have lower $^{206}$Pb/$^{204}$Pb but a similar range of $^{208}$Pb/$^{204}$Pb compared to the HAS lavas, additionally supporting the fact that the Afar plume source with high $^3$He/$^4$He does not play a role in Syrian HAS volcanism, in agreement with the conclusions of Shaw et al. (2003). However, a component with radiogenic Pb isotopic compositions occurs in lavas from Afar, southwestern Arabia and, most importantly, from the Gulf of Aden, i.e. from oceanic crust (e.g. Schilling et al., 1992; Baker et al., 1996; Stewart and Rogers, 1996). The presence of this component beneath the HAS can explain the generation of the series I and III magmas and it has been suggested to reside either in the Afar plume or in the Arabian subcontinental lithosphere (Vidal et al., 1991; Deniel et al., 1994; Bertrand et al., 2003). However, we propose that this component must have relatively high excess temperatures to explain the increased degree of melting at great pressure of the series III and I magmas and thus represents material from a deep mantle plume. Furthermore, the fact that this component occurs in oceanic lithosphere also rules out a continental lithospheric origin. Finally, the presence of relatively hot mantle material beneath large parts of Arabia is known from the seismic tomography (Daradich et al., 2003) and it appears likely that this abundant material is represented by the component with high Pb isotope ratios.
2.6.7 Temporal variations in the melting regime
The variable rare earth element ratios and the fractionation corrected major element contents in relation with the different ages of the HAS series indicate that the melting processes varied considerably with time underneath the HAS region (Figs. 2.10 and 2.12). These variations could be caused by variations in lithospheric thickness or by variations of the temperature or composition of the mantle source. Initially, relatively large degrees of melting produced the series IV and III magmas, then melting decreased between 3.5 to 1 Ma ago and then increased again producing the series I magmas. Continued lithospheric thinning can be ruled out as cause for the observed variations because this should lead to increasingly shallower melt generation in the mantle as it is observed in the Basin and Range province (DePaolo and Daley, 2000). The variable degrees of melting observed in the HAS lavas could be due to a pulsing mantle plume that is rising further in the south. Lateral plume flux is well known in the ocean basins and the occurrence of Vshaped ridges along the Reykjanes spreading axis south of Iceland has been interpreted to reflect the pulsing of the Iceland plume influence (White et al., 1995). Consequently, the inflowing plume material beneath the HAS may have been pulsing during the last 13 Ma with a decreasing influx between 3.5 and 1 Ma when apparently mainly asthenospheric material was molten at lower degrees of partial melting. A first period of volcanic activity occurred during the eruption of the series IV lavas between 25 and 19 Ma and this may also point to long-term pulsing with a major break in plume influx between 19 and 13 Ma, when no volcanic activity occurred in the HAS.
A variation in magma genesis is also observed on a shorter time period in a stratigraphic section of lava flows sampled along the Wadi Ash-Sham (Fig. 2.1). These lava flows represent a temporal sequence where the heights of the lavas correlate with age. Two Ar-Ar ages of the lowermost and uppermost section yield ages of 4.2 Ma and 3.3 Ma, respectively (Krienitz et al., Chapter III).
Fig. 2.13. Diagrams of lavas of known stratigraphic correlation sampled in the region of Wadi Ash-Sham (Figure 2.1). Elevation of lavas is plotted versus (a) Si$_{9,0}$ and (b) chondrite-normalised La/Sm ratios. Ar-Ar ages of the samples are from Krienitz et al. (Chapter III).
suggesting that about 800 m of lavas erupted within about 900,000 years. Except two samples that have low $\text{Si}_{\text{O}_2}$ and variable $(\text{La/Sm})_{\text{N}}$ generally suggesting low degrees of partial melting, the series III lavas of the lower section show high silica contents accompanied by relatively low $(\text{La/Sm})_{\text{N}}$ thus reflecting high degrees of partial melting (Fig. 2.13). Because most of the lavas show no evidence for crustal contamination the increasing $(\text{La/Sm})_{\text{N}}$ and decreasing $\text{Si}_{\text{O}_2}$ towards the top of the sequence indicate a decreasing degree of partial melting from series III to series II. This rapidly changing degree of melting cannot be due to lithospheric dynamics, but must be due to the variable influx of mantle with different temperatures and compositions as indicated by the distinct isotope compositions of the two series. No extensional tectonic features (e.g. the formation of graben structures) can be related to the volcanism in this time interval and tectonic movements are limited to the Dead Sea fault system (e.g. Heimann and Ron, 1993; Brew et al., 2001b) supporting our model of magma genesis by mantle plume activity. This assumption is further supported by the interpretation of seismic data suggesting a layer of hot material at a depth of about 100 km (Debayle et al., 2001) and by elevated geotherms underneath southern Syria as indicated by xenolith data (Nasir, 1992) and heat flow measurements (McGuire and Bohannon, 1989).
### 2.7 Conclusions
1. The investigated lava set of the Harrat Ash Shamah volcanic field in southern Syria comprises alkali basalts, basanites, tephrites, hawaiites, mugearites, and rare trachytes and phonolites.
2. The major and compatible trace element geochemistry indicates that the lavas have undergone fractional crystallisation of olivine, clinopyroxene, plagioclase and Fe-Ti oxides. The highly differentiated lavas show evidence for the fractionation of alkalifeldspar and apatite.
3. Low Ce/Pb and Nb/U ratios as well as high $^{87}\text{Sr}/^{86}\text{Sr}$ ratios in some lavas indicate the assimilation of continental crustal material.
4. The variable range of fractionation-corrected compositions and REE ratios of crustally uncontaminated primitive Syrian lavas are the result of different degrees of partial melting of garnet peridotites at variable depths, i.e. ~8-10% melting at depths of about 100-110 km for series I, III, and IV lavas and 3-5% melting at 150 km for series II lavas.
5. Isotopic and incompatible trace element ratios imply that lavas of series I, III, and IV are derived from a mantle plume source yielding significant excess temperatures, whereas series II lavas, which were erupted between 3.5 and 1 Ma, probably were generated in a volatile- and incompatible element-enriched lithospheric or asthenospheric mantle.
6. The discontinuous volcanism found throughout the HAS volcanic field, the temporal variations in the melting regime and in the compositions of the lavas are consistent with a model of a pulsing mantle plume underneath southern Syria.
Acknowledgements
This study was funded by the Deutsche Forschungsgemeinschaft (grant HA 2568/5) and is part of M.-S.K.’s dissertation. The “field team” is deeply indebted to the University of Aleppo for the support in Syria. H. Blaschek, D. Garbe-Schönberg, and K. Kißling be thanked for help with the ICP-MS analyses. P. Appel, H. Baier, B. Mader, P. Rengers and A. Weinkauf are acknowledged for their help during analytical work. M.-S.K. would like to thank N. A. Stroncik for helpful comments on the paper.
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The Afro-Arabian Connection: Volcanism in Syria and the Role of the Afar Plume
M.-S. Krienitz\textsuperscript{1*}, K.M. Haase\textsuperscript{1}, K. Mezger\textsuperscript{2}, M.A. Shaikh-Mashaij\textsuperscript{3}, P. van den Bogaard\textsuperscript{4} and V. Thiemann\textsuperscript{2}
\textsuperscript{1} Institut für Geowissenschaften der Universität Kiel, Olshausenstr. 40, 24118 Kiel, Germany
\textsuperscript{2} Institut für Mineralogie der Universität Münster, Corrensstr. 24, 48149 Münster, Germany
\textsuperscript{3} Faculty of Civil Engineering, University of Aleppo, PO-Box 5427, Aleppo, Syria
\textsuperscript{4} Leibniz-Institut für Meereswissenschaften, Wischhofstr. 1-3, 24148 Kiel, Germany
* Corresponding author. Telephone +49 (0) 431 880 3694. Fax +49 (0) 431 880 4376. E-mail: firstname.lastname@example.org
Abstract
New geochemical and isotope data as well as radiometric age data of the continental intraplate lavas from Syria provide important constraints on large scale mantle dynamics beneath western Arabia. $^{40}$Ar/$^{39}$Ar dating of mineral separates and whole rock samples establish Miocene to recent volcanic activity in Syria. These age data in conjunction with radiometric ages of lavas from the Afro-Arabian region suggest a northward progression of volcanism since the arrival of the Afar plume beneath Ethiopia/Djibouti some 30 Ma ago. The compositions of lavas from western Arabia and the Afar region indicate significant variations in both the depth and the extent of partial melting, varying from relatively shallow but high degree melting in the south to increasingly deeper regions and lower extents of partial melting in the north. Sr, Nd, and Pb isotope characteristics of the Syrian volcanic rocks indicate that crustal assimilation is involved in their magma genesis, but also that different mantle sources, a relatively depleted asthenospheric mantle source, a lithospheric source, and a mantle plume, have been involved in their formation. Whereas an influence of the undegassed Afar mantle plume source can be ruled out, the plume end member contributing to Syrian volcanism may represent an entrained upper mantle component related to the Afar plume. Increasing $^{206}$Pb/$^{204}$Pb ratios observed in the last 13 Ma in Syrian lavas imply an increasing influence of this plume component with time. The distribution of the high $^{206}$Pb/$^{204}$Pb lavas in Arabia indicates a spatial influence of the Afar plume of about 2,500 km in northward direction, significantly exceeding previous predictions.
3.1 Introduction
The emplacement of continental flood basalts is generally explained by the arrival of new mantle plumes which provide the most likely source of required heat to induce such massive melting events (White and McKenzie, 1989; Campbell and Griffiths, 1990; Griffiths and Campbell, 1990). According to the active rift hypothesis of Sengör and Burke (1978) the impinging plume on the base of the lithosphere leads to thermal erosion, thinning, rifting, and continental breakup, finally resulting in the formation of new ocean basins. Rifting of the lithosphere may be accompanied by decompression allowing extensive melting to occur (passive rifting). The wide compositional range in terms of trace element and isotope compositions of flood basalts suggest that not only plume-type mantle sources are involved but indicate that different crustal and mantle components contribute to the magma genesis. The identification of magma sources and melting processes as well as their spatial and temporal distribution provide important constraints on magmatic processes and mantle dynamics during flood basalt volcanism and evolution of continental rift systems.
The Red Sea area is the best example of the development of a continental rift system into a young ocean basin being accompanied by extensive magmatism (Fig. 3.1a). Large alkali basaltic provinces cover the western edge of Arabia extending from Turkey in the north over a distance of 2,500 km to Yemen in the south, whereby in eastern Africa large parts of Eritrea, Ethiopia, and Djibouti are covered by the Ethiopian flood basalt province (Fig. 3.1a). One model suggests that the widespread volcanism on the Arabian plate since the Miocene has been linked to the formation of the Red Sea and to movements along the Dead Sea fault system (Bohannon et al., 1989; Nasir and Safarjalani, 2000). On the other hand the extensive volcanism has also been linked to the impact of the Afar plume beneath the lithosphere about 30 Ma ago (Hofmann et al., 1997). Several authors (e.g. Vidal et al., 1991; Schilling et al., 1992; Deniel et al., 1994; Baker et al., 1996a) proposed that the arrival of the Afar plume caused the late Oligocene to early Miocene volcanism in Ethiopia and Djibuti and contributed to volcanism in Yemen, the Gulf of Aden and the southern Red Sea area (Fig. 3.1a). Nonetheless, the cause for the volcanic activity in the northern part of the Arabian peninsula, far-off the Afar region, is not well understood and existing models are contradictory. Stein and Hofmann (1992) introduced the model of a fossil plume head below the sub-continental lithosphere and argued that magmas were generated in times of lithospheric thinning by tapping this reservoir. In contrast, Camp and Robool (1992) speculated about the existence of a separate mantle plume underneath northern Arabia or whether asthenospheric material was channeled from the Afar region in a northwestward direction accounting for the volcanism in northern Arabia. In the view of Bertrand et al. (2003) and Shaw et al. (2003) volcanism has been triggered by ongoing extension of the lithosphere leading to the involvement of lithospheric (fossil plume material) to asthenospheric sources in volcanism.
Here we present new $^{40}\text{Ar}/^{39}\text{Ar}$ data and geochemical as well as Sr, Nd, and Pb isotope data.
of Syrian volcanic rocks in order to relate the volcanic activity of northwestern Arabia to the widespread volcanism along the western Arabian edge and to the magmatic activity in the Afar region (i.e. in Ethiopia and Djibouti). We will discuss the compositional characteristics of the magmatic sources contributing to the magmas and focus on the melting regime in order to evaluate the spatial, temporal and dynamic implications for magmatism in the Afro-Arabian region.
Fig. 3.1. (a) Distribution of volcanic fields along western Arabia and the Gulf of Aden region modified after Bertrand et al. (2003) and Pik et al. (1998). The presumed area of the flattened Afar plume head is after Schilling et al. (1992) and the dimension of the Afro-Arabian dome after Camp and Roobol (1992). (b) Generalised map of Syria and surrounding countries showing the distribution of Miocene to recent volcanism in Syria modified after geological maps of Ponikarov (1963). Small black circles denote locations of which samples were collected. Location of volcanic rocks used for Ar-Ar dating are shown by large black circles together with sample names. Numbers in brackets give Ar-Ar ages of the volcanic rocks in Ma. Complete lists of available chemical data for the samples SY-028, SY-038, SY-041, and SY-060 are given in Krienitz et al. (Chapter I) and for the samples SY-203, SY-224, and SY-267 in Krienitz et al. (Chapter II).
3.2 Geological setting
Syria is located at the northwestern end of the Arabian peninsula close to the continent-continent collision zone where Arabia is converging on Eurasia (Fig. 3.1b). On the basis of Bouguer gravity anomalies Syria can be divided into the SW-NE striking mountain range of the Palmyride Fold Zone, which is bounded in the north by the Aleppo plateau and by the Rutbah uplifted region in the south (Best et al., 1990; McBride et al., 1990; Searle, 1994). The main “tectonic zones” in the eastern parts of the country are the Abd el Aziz-Sinjar uplifted area and the Euphrates Fault system (Brew et al., 2001). Refraction profiling, seismic reflection data, and gravity models of the crust of the uplifted regions of Syria indicate that the metamorphic basement generally lies more than 6 km deep and that the crustal thickness is about 40 km, i.e. similar to crustal thicknesses in Jordan and Saudi Arabia (El-Isa et al., 1987; Best et al., 1990; McBride et al., 1990; Seber et al., 1993; Brew et al., 1997; Sandvol et al., 1998; Walley, 1998; Brew et al., 2001; Kumar et al., 2002).
Syria is covered by numerous volcanic centres with a concentration of the volcanism in western Syria close to the Dead Sea transform fault (Figs. 3.1a and b). However, the most prominent volcanic field, the Harrat Ash Shamah (HAS), covers large parts of southern Syria extending about 500 km from Israel through Syria and Jordan to Saudi Arabia reaching a maximum thickness of 1,500 m (Guba and Mustafa, 1988; Ilani et al., 2001). Whereas a few K-Ar ages of volcanic rocks suggest an Cretaceous phase of magmatic activity, ranging from 130 Ma to 90 Ma (Mouty et al., 1992), most of the age data show that volcanism is younger, starting at about 26 Ma and probably lasting to the Holocene (Giannerini et al., 1988; Mouty et al., 1992; Sharkov et al., 1994; Sharkov et al., 1998).
3.3 Analytical procedures
The sample material was recovered during a field trip in the year 2000 (Fig. 3.1b). Weathered surfaces of lavas were cut off and hand specimens were cut into pieces for analyses and thin section preparation. After washing with deionised water in an ultrasonic bath lavas were crushed with a screw press and washed again. The crushed material was powdered in an agate ball mill for major, trace and isotope analyses.
Major and selected trace element analyses of whole rock samples were obtained with a Philips PW 1400 XRF at the Universität Kiel, Germany, using international rock standards for calibration and data quality control. The accuracy of standard analyses relative to reference values is better than 4% for most of the major and trace elements and can be estimated from average values of the BHVO-1 standard listed in Table 1. Except for SiO$_2$ (0.25%) the replicate measurements of the BHVO-1 standard gave a precision better than 0.20% (SD) for major elements and generally better than 8% (SD) for trace elements.
Trace and rare earth elements were determined at the Universität Kiel with an upgraded PlasmaQuad PQ1 ICP-MS. Details of the analytical procedure have been described by Garbe-Schönberg (1993). Duplicate analyses gave a precision generally better than 1% (SD) except for V, Zr (<2% SD), Sr and Ba (<4% SD; Table 1). The accuracy of the data based on the international rock standard BR is better than 9% except for Cs, Nb (<10%) and Li (14%).
Isotope analyses were performed at the Zentrallaboratorium für Geochronologie in Münster, Germany, using a VG Sector 54 multicolonlector mass spectrometer and Standard ion exchange techniques to produce Sr, Nd and Pb separates. Pb isotopes were measured in static mode and the NBS982 standard was used to correct Pb isotope ratios for mass fractionation. Correction factors are $^{206}\text{Pb}/^{204}\text{Pb} = 0.02\%$, $^{207}\text{Pb}/^{204}\text{Pb} = 0.03\%$ and $^{208}\text{Pb}/^{204}\text{Pb} = 0.04\%$ and standard runs ($n = 10$) gave $^{206}\text{Pb}/^{204}\text{Pb} = 36.646$, $^{207}\text{Pb}/^{204}\text{Pb} = 17.101$ and $^{208}\text{Pb}/^{204}\text{Pb} = 36.593$ with a precision of $\pm 0.022$, $\pm 0.014$ and $\pm 0.038$ (2SD), respectively. Sr and Nd isotope ratios were analysed in dynamic mode. Isotope fractionation was corrected using $^{86}\text{Sr}/^{88}\text{Sr} = 0.1194$ and $^{146}\text{Nd}/^{144}\text{Nd} = 0.7219$. Standard runs for Sr isotopes gave NBS987 ($n = 16$): 0.710299 (2SD = 0.000026) and all Sr isotope analyses were normalised to NBS987 = 0.710250. Standard runs for $^{143}\text{Nd}/^{144}\text{Nd}$ gave La Jolla ($n = 14$): 0.511862 (2SD = 0.000024). Procedural blanks at this time were generally better than 0.2 ng, 0.1 ng and 0.04 ng for Sr, Nd, and Pb. Based on the newly obtained Ar-Ar ages presented herein (Table 3) as well as on geological maps of Ponikarov (1963) and K-Ar ages of Giannerini et al. (Giannerini et al., 1988; Mouty et al., 1992; Sharkov et al., 1994) the isotope data were age-corrected and used in figures (Table 2).
Based on thin section investigation and on K contents samples with unaltered groundmass and considerable amounts of plagioclase phenocrysts were chosen and prepared for Ar-Ar dating. For analyses the crushed sample material were sieved. The 250-500 µm fraction was used to separate 50 mg of groundmass and/or 5-10 mg of feldspars by picking under a binocular microscope, whereby single grain analyses were performed with feldspar minerals of the 500-1000 µm fraction. Prior to irradiation and analysis the mineral separates were leached for 15 minutes with diluted HF in an ultrasonic bath, were washed efficiently with ultraclean water and dried at <50°C for 12 hours to make sure that only such mineral grains were used for dating, which are unaltered and free of inclusions. Matrix and mineral samples were irradiated using the FRG2 reactor at the GKSS Research Center (Geesthacht) for 7 days (Cd-liner). Irradiated groundmass and feldspar samples were reloaded into aluminum trays with multiple pans holding between 5 and 8 mg of matrix material, single plagioclase crystals respectively. The matrix samples were heated by incrementally increasing laser power output from 0.15 to 20 Watt from <350°C to >1800 °C until complete fusion. Software has controlled the scanning across the samples with preset patterns and a defocused laser beam, to more evenly heat the material. Automated step-heating was followed by final fusion at ~25 Watt with a focused beam to ensure complete degassing (m/z 40 and m/z 39 signals at blank level), and essentially evaporating the residual melt/glass sphere.
Table 1. Major (XRF) and trace element (XRF, ICP-MS) analyses of the Syrian samples.
| Sample | SY-049 | SY-050 | SY-052 | SY-053 | SY-054 | SY-057 | SY-091 | SY-092 | SY-093 | SY-094 | SY-100 | SY-101 |
|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|
| **Lat. [°N]** | 35°43′28″ | 35°43′26″ | 35°43′26″ | 35°43′26″ | 35°43′11″ | 35°43′11″ | 35°45′22″ | 35°45′22″ | 35°45′22″ | 35°45′22″ | 35°45′26″ | 35°45′29″ |
| **Long. [°E]** | 37°03′44″ | 37°03′44″ | 37°03′30″ | 37°03′30″ | 37°03′26″ | 37°03′26″ | 36°24′25″ | 36°24′25″ | 36°24′25″ | 36°24′25″ | 36°24′35″ | 36°24′38″ |
| **Elevation [m]** | 294 | 294 | - | 289 | 289 | 360 | 360 | 360 | 360 | 346 | 369 |
| **Rock type** | AB | AB | AB | AB | AB | AB | B | B | B | B | H | B |
| **SiO₂ [wt.%]** | 45.49 | 45.34 | 46.19 | 46.39 | 42.85 | 44.19 | 40.10 | 41.12 | 40.96 | 40.82 | 46.71 | 44.42 |
| **TiO₂** | 2.47 | 2.22 | 2.40 | 2.17 | 2.02 | 2.10 | 3.10 | 3.04 | 3.01 | 3.12 | 2.62 | 2.92 |
| **Al₂O₃** | 13.65 | 13.73 | 13.87 | 13.99 | 12.84 | 13.55 | 12.96 | 13.40 | 12.91 | 13.53 | 13.94 | 13.74 |
| **Fe₂O₃** | 14.18 | 13.12 | 13.44 | 13.06 | 12.36 | 12.91 | 13.53 | 13.94 | 14.31 | 12.82 | 14.30 |
| **MnO** | 0.19 | 0.17 | 0.17 | 0.17 | 0.16 | 0.16 | 0.18 | 0.21 | 0.20 | 0.21 | 0.19 | 0.20 |
| **MgO** | 7.51 | 7.84 | 6.90 | 8.65 | 7.86 | 6.63 | 7.69 | 7.76 | 8.28 | 8.28 | 7.20 | 6.88 |
| **CaO** | 9.98 | 11.10 | 9.97 | 10.20 | 12.74 | 12.71 | 10.99 | 11.27 | 10.97 | 11.37 | 8.34 | 8.93 |
| **Na₂O** | 2.85 | 3.39 | 3.21 | 3.35 | 2.97 | 2.77 | 4.42 | 4.46 | 4.40 | 4.00 | 4.15 | 4.88 |
| **K₂O** | 0.90 | 0.98 | 1.06 | 0.98 | 0.89 | 0.91 | 0.80 | 1.05 | 0.97 | 0.82 | 2.30 | 0.99 |
| **P₂O₅** | 0.42 | 0.41 | 0.43 | 0.40 | 0.41 | 0.42 | 2.16 | 2.18 | 2.09 | 2.16 | 0.97 | 1.02 |
| **L.O.I.** | 2.92 | 2.18 | 2.23 | 1.14 | 5.23 | 4.29 | 2.44 | 2.05 | 1.43 | 2.72 | 1.57 | 1.94 |
| **Total** | 100.56 | 100.48 | 99.87 | 100.50 | 100.33 | 100.64 | 98.37 | 100.48 | 98.96 | 100.92 | 99.65 | 100.87 |
| **Mg-no.** | 0.55 | 0.58 | 0.54 | 0.61 | 0.60 | 0.54 | 0.57 | 0.56 | 0.58 | 0.57 | 0.57 | 0.53 |
| **Li [ppm]** | - | - | - | 14.7 | 16.0 | - | 2.53 | - | - | - | - | 6.04 |
| **Sc** | - | - | - | 18.6 | 18.0 | - | 11.1 | - | - | - | - | 16.4 |
| **V** | - | - | - | - | - | - | 135 | - | - | - | - | 190 |
| **Cr** | 283 | 276 | 261 | 302 | 270 | 264 | 125 | 215 | 216 | 209 | 204 | 122 |
| **Co** | - | - | - | 55.1 | 50.3 | - | 36.7 | - | - | - | - | 50.5 |
| **Ni** | 233 | 233 | 234 | 227 | 195 | 218 | 97.5 | 146 | 149 | 138 | 107 | 105 |
| **Cu** | - | - | - | 60.7 | 76.0 | - | 32.6 | - | - | - | - | 43.4 |
| **Zn** | 125 | 108 | 119 | 103 | 97.6 | 107 | 104 | 132 | 133 | 138 | 141 | 138 |
| **Ga** | - | - | - | - | - | - | - | - | - | - | - | 26.4 |
| **Rb** | 12 | 13 | 14 | 12.7 | 11.7 | 10 | 8.05 | 13 | 14 | 10 | 33 | 9.33 |
| **Y** | - | - | - | 17.5 | 17.0 | - | 28.2 | - | - | - | - | 26.9 |
| **Cs** | - | - | - | 0.211 | 0.151 | - | 0.434 | - | - | - | - | 0.325 |
| **Sr** | 631 | 592 | 626 | 979 | 813 | 626 | 2216 | 2228 | 2133 | 2232 | 1085 | 1986 |
| **Ba** | 474 | 302 | - | 203 | 1089 | 436 | 1413 | 932 | - | 884 | - | 417 |
| **Zr** | 254 | 240 | 199 | 142 | 133 | 244 | 325 | 729 | 468 | 739 | 390 | 354 |
| **Hf** | - | - | - | 4.10 | 3.92 | - | 7.82 | - | - | - | - | 6.48 |
| **Nb** | - | - | - | 26.8 | 24.1 | - | 114 | - | - | - | - | 75.5 |
| **Ta** | - | - | - | 1.83 | 1.64 | - | 5.84 | - | - | - | - | 4.33 |
| **Pb** | - | - | - | 2.35 | 2.80 | - | 4.84 | - | - | - | - | 3.52 |
| **Th** | - | - | - | 2.70 | 2.72 | - | 9.65 | - | - | - | - | 5.05 |
| **U** | - | - | - | 0.883 | 1.30 | - | 2.79 | - | - | - | - | 1.53 |
| **La** | - | - | - | 21.7 | 21.6 | - | 115 | - | - | - | - | 53.6 |
| **Ce** | - | - | - | 44.6 | 43.9 | - | 216 | - | - | - | - | 107 |
| **Pr** | - | - | - | 5.44 | 5.31 | - | 24.2 | - | - | - | - | 11.9 |
| **Nd** | - | - | - | 22.8 | 22.0 | - | 89.0 | - | - | - | - | 46.0 |
| **Sm** | - | - | - | 5.30 | 5.05 | - | 15.4 | - | - | - | - | 9.22 |
| **Eu** | - | - | - | 1.77 | 1.65 | - | 4.66 | - | - | - | - | 3.29 |
| **Gd** | - | - | - | 5.29 | 5.03 | - | 12.3 | - | - | - | - | 7.84 |
| **Tb** | - | - | - | 0.757 | 0.728 | - | 1.62 | - | - | - | - | 1.04 |
| **Dy** | - | - | - | 4.13 | 4.01 | - | 7.63 | - | - | - | - | 5.20 |
| **Ho** | - | - | - | 0.739 | 0.726 | - | 1.26 | - | - | - | - | 0.890 |
| **Er** | - | - | - | 1.85 | 1.81 | - | 2.93 | - | - | - | - | 2.14 |
| **Tm** | - | - | - | 0.241 | 0.241 | - | 0.351 | - | - | - | - | 0.296 |
| **Yb** | - | - | - | 1.49 | 1.49 | - | 2.02 | - | - | - | - | 1.66 |
| **Lu** | - | - | - | 0.208 | 0.210 | - | 0.278 | - | - | - | - | 0.209 |
*Rock type after TAS: B – basanite, AB – alkali basalt, T – tholeiite, H – hawaiite, PT – phonolitephrite, F – foidic, std. – standard.
*Mg-no. = Mg/(Mg + Fe2+), assuming FeO = 0.85Fe²⁺, n.d. – not detected.*
| Sample | SY-103 | SY-104 | SY-105 | SY-106 | SY-107 | SY-108 | SY-109 | SY-111 | SY-112 | SY-113 | SY-114 | SY-134 |
|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|
| **Lat. [°N]** | 35°45'24" | 35°45'40" | 35°45'40" | 35°45'40" | 35°45'50" | 35°47'29" | 35°47'29" | 35°46'01" | 35°35'46" | 35°35'56" | 34°45'36" |
| **Long. [°E]** | 36°24'31" | 36°21'38" | 36°21'38" | 36°21'42" | 36°21'42" | 36°19'30" | 36°19'30" | 36°21'36" | 36°23'45" | 36°24'19" | 36°40'14" |
| **Elevation [m]** | 337 | 381 | (381) | 264 | (264) | 150 | 150 | 250 | 224 | 385 | 502 |
| **Rock type** | B | B | B | AB | B | B | B | B | B | B | B | AB |
| **SiO₂ [wt. %]** | 41.12 | 42.42 | 43.40 | 44.10 | 43.27 | 43.42 | 41.92 | 42.90 | 42.27 | 42.73 | 41.87 | 46.15 |
| **TiO₂** | 3.35 | 3.11 | 3.00 | 2.93 | 2.94 | 2.79 | 3.28 | 3.24 | 3.19 | 3.52 | 3.05 | 2.25 |
| **Al₂O₃** | 13.30 | 13.65 | 13.91 | 14.03 | 13.47 | 13.34 | 13.43 | 13.92 | 13.37 | 13.65 | 13.12 | 15.21 |
| **Fe₂O₃** | 14.21 | 13.79 | 13.55 | 13.61 | 13.31 | 12.93 | 13.08 | 13.04 | 13.70 | 14.12 | 13.84 | 13.09 |
| **MnO** | 0.18 | 0.19 | 0.17 | 0.18 | 0.17 | 0.17 | 0.19 | 0.18 | 0.18 | 0.20 | 0.17 |
| **MgO** | 8.40 | 8.34 | 8.32 | 8.40 | 8.28 | 8.73 | 7.84 | 7.71 | 8.59 | 8.05 | 9.27 | 6.77 |
| **CaO** | 10.70 | 10.46 | 10.05 | 9.91 | 9.95 | 10.21 | 9.60 | 9.56 | 10.36 | 9.71 | 10.48 | 11.17 |
| **Na₂O** | 4.54 | 4.39 | 3.64 | 3.08 | 3.19 | 3.62 | 3.52 | 3.96 | 4.55 | 3.89 | 3.96 | 2.83 |
| **K₂O** | 1.75 | 0.97 | 1.64 | 1.57 | 1.60 | 1.56 | 1.31 | 1.30 | 1.09 | 1.54 | 1.67 | 0.65 |
| **P₂O₅** | 1.98 | 1.81 | 1.48 | 1.41 | 1.37 | 1.24 | 1.54 | 1.58 | 1.91 | 1.24 | 1.63 | 0.31 |
| **L.O.I.** | 1.15 | 1.17 | 1.20 | 0.96 | 1.21 | 1.97 | 4.56 | 3.38 | 1.03 | 1.28 | 0.89 | 0.97 |
| **Total** | 100.68 | 100.30 | 100.38 | 100.18 | 98.76 | 99.98 | 100.27 | 100.77 | 100.24 | 99.91 | 99.98 | 99.57 |
| **Mg-no.** | 0.58 | 0.58 | 0.59 | 0.59 | 0.59 | 0.61 | 0.58 | 0.58 | 0.59 | 0.57 | 0.61 | 0.55 |
| **Li [ppm]** | 5.22 | - | - | 3.04 | - | - | 5.4 | - | - | 5.69 | 2.56 | - |
| **Sc** | 16.1 | - | - | 18.5 | - | - | 15.0 | - | - | 17.1 | 12.1 | - |
| **V** | 208 | - | - | 180 | - | - | 178 | - | - | 209 | 131 | - |
| **Cr** | 173 | 194 | 193 | 190 | 219 | 195 | 132 | 137 | 177 | 140 | 147 | 210 |
| **Co** | 51.2 | - | - | 51.2 | - | - | 42.9 | - | - | 47.0 | 38.2 | - |
| **Ni** | 141 | 162 | 171 | 163 | 158 | 190 | 111 | 132 | 156 | 140 | 118 | 100 |
| **Cu** | 44.4 | - | - | 44.8 | - | - | 36.9 | - | - | 33.9 | 44.3 | - |
| **Zn** | 125 | 123 | 114 | 114 | 125 | 117 | 123 | 127 | 124 | 120 | 101 | 105 |
| **Ga** | 24.0 | - | - | 22.7 | - | - | 23.3 | - | - | 24.3 | - | - |
| **Rb** | 13.1 | 12 | 21 | 18.6 | 30 | 24 | 20.8 | 22 | 22 | 15.0 | 20.3 | 5 |
| **Y** | 27.3 | - | - | 26.5 | - | - | 25.4 | - | - | 25.0 | 27.6 | - |
| **Cs** | 0.301 | - | - | 0.372 | - | - | 0.468 | - | - | 0.401 | 0.326 | - |
| **Sr** | 2122 | 1797 | 1615 | 1631 | 1542 | 1496 | 1923 | 1617 | 1906 | 1230 | 1610 | 469 |
| **Ba** | 776 | 767 | 788 | 662 | - | - | 643 | 741 | 755 | 477 | 677 | - |
| **Zr** | 337 | 598 | 540 | 252 | 335 | 322 | 298 | 568 | 634 | 296 | 265 | 152 |
| **Hf** | 5.75 | - | - | 4.51 | - | - | 6.11 | - | - | 6.04 | 6.84 | - |
| **Nb** | 107 | - | - | 79.7 | - | - | 88.9 | - | - | 77.2 | 81.1 | - |
| **Ta** | 4.64 | - | - | 3.58 | - | - | 4.78 | - | - | 4.24 | 4.86 | - |
| **Pb** | 5.20 | - | - | 4.46 | - | - | 4.52 | - | - | 3.99 | 5.39 | - |
| **Th** | 6.90 | - | - | 5.86 | - | - | 5.43 | - | - | 5.93 | 6.62 | - |
| **U** | 1.97 | - | - | 1.67 | - | - | 1.54 | - | - | 1.59 | 1.87 | - |
| **La** | 96.3 | - | - | 71.5 | - | - | 65.3 | - | - | 56.8 | 75.4 | - |
| **Ce** | 184 | - | - | 136 | - | - | 132 | - | - | 110 | 147 | - |
| **Pr** | 19.3 | - | - | 14.5 | - | - | 14.6 | - | - | 12.0 | 17.3 | - |
| **Nd** | 70.6 | - | - | 53.5 | - | - | 55.8 | - | - | 45.6 | 67.2 | - |
| **Sm** | 12.2 | - | - | 9.67 | - | - | 10.5 | - | - | 8.96 | 12.6 | - |
| **Eu** | 3.99 | - | - | 3.24 | - | - | 3.61 | - | - | 3.10 | 4.04 | - |
| **Gd** | 9.60 | - | - | 8.10 | - | - | 9.02 | - | - | 8.03 | 10.7 | - |
| **Tb** | 1.17 | - | - | 1.04 | - | - | 1.15 | - | - | 1.05 | 1.47 | - |
| **Dy** | 5.42 | - | - | 5.01 | - | - | 5.47 | - | - | 5.24 | 7.29 | - |
| **Ho** | 0.894 | - | - | 0.871 | - | - | 0.899 | - | - | 0.879 | 1.24 | - |
| **Er** | 2.11 | - | - | 2.12 | - | - | 2.09 | - | - | 2.10 | 2.93 | - |
| **Tm** | 0.276 | - | - | 0.294 | - | - | 0.276 | - | - | 0.275 | 0.360 | - |
| **Yb** | 1.52 | - | - | 1.68 | - | - | 1.56 | - | - | 1.57 | 2.12 | - |
| **Lu** | 0.192 | - | - | 0.222 | - | - | 0.202 | - | - | 0.205 | 0.286 | - |
| Sample | SY-135 | SY-138 | SY-139 | SY-141 | SY-142 | SY-143 | SY-144 | SY-145 | SY-150 | SY-151 | SY-152 | SY-154 |
|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|
| Lat. [°N] | 34°43'02" | 34°42'21" | 34°41'25" | 34°41'04" | 34°43'21" | 34°45'21" | 34°46'00" | 34°47'21" | 34°48'02" | 34°48'40" | 34°50'29" | |
| Long. [°E] | 36°37'27" | 36°34'58" | 36°31'55" | 36°28'02" | 36°27'56" | 36°26'59" | 36°26'22" | 36°24'45" | 36°24'28" | 36°24'28" | 36°23'25" | 36°22'02" |
| Elevation [m] | (503) | 557 | 526 | 562 | 628 | 785 | 731 | 947 | 823 | (840) | 974 | 1022 |
| Rock type* | AB | AB | AB | AB | B | H | B | H | AB | B | B | PT |
| Element | SY-135 | SY-138 | SY-139 | SY-141 | SY-142 | SY-143 | SY-144 | SY-145 | SY-150 | SY-151 | SY-152 | SY-154 |
|---------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|
| SiO₂ [wt.%] | 44.97 | 46.05 | 47.21 | 46.94 | 42.84 | 44.87 | 44.94 | 46.64 | 44.00 | 44.43 | 43.24 | 48.35 |
| TiO₂ | 2.94 | 2.91 | 2.18 | 2.58 | 3.74 | 3.19 | 3.13 | 2.32 | 3.19 | 3.08 | 2.72 | 2.16 |
| Al₂O₃ | 15.53 | 16.11 | 15.97 | 16.34 | 13.95 | 15.15 | 16.03 | 15.37 | 14.53 | 14.30 | 13.78 | 17.94 |
| Fe₂O₃ | 13.72 | 12.84 | 12.96 | 13.75 | 14.82 | 13.57 | 13.21 | 12.56 | 13.81 | 13.39 | 13.60 | 11.64 |
| MnO | 0.18 | 0.16 | 0.17 | 0.16 | 0.17 | 0.18 | 0.18 | 0.18 | 0.17 | 0.17 | 0.18 | 0.23 |
| MgO | 5.67 | 4.87 | 6.86 | 5.56 | 8.77 | 7.21 | 6.13 | 7.24 | 8.52 | 8.64 | 10.87 | 3.00 |
| CaO | 10.89 | 10.24 | 10.12 | 10.45 | 9.09 | 9.14 | 9.59 | 9.36 | 9.05 | 8.61 | 10.91 | 6.65 |
| Na₂O | 2.75 | 2.66 | 3.11 | 3.02 | 3.67 | 4.16 | 3.87 | 3.94 | 3.28 | 3.86 | 3.31 | 5.34 |
| K₂O | 1.00 | 1.10 | 0.63 | 0.73 | 0.75 | 0.87 | 1.87 | 1.26 | 0.94 | 1.74 | 1.02 | 1.98 |
| P₂O₅ | 0.73 | 0.65 | 0.29 | 0.40 | 0.66 | 0.65 | 0.79 | 0.49 | 0.71 | 0.68 | 0.84 | 1.62 |
| L.O.I. | 1.69 | 1.51 | 0.11 | 0.35 | 1.20 | 1.65 | 0.22 | 0.07 | 1.45 | 0.23 | 0.00 | 1.37 |
| Total | 100.07 | 99.10 | 99.61 | 100.28 | 99.66 | 100.64 | 99.96 | 99.43 | 99.65 | 99.13 | 100.47 | 100.28 |
| Mg-no.** | 0.49 | 0.47 | 0.55 | 0.49 | 0.58 | 0.55 | 0.52 | 0.57 | 0.59 | 0.60 | 0.65 | 0.38 |
| Element | SY-135 | SY-138 | SY-139 | SY-141 | SY-142 | SY-143 | SY-144 | SY-145 | SY-150 | SY-151 | SY-152 | SY-154 |
|---------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|
| Li [ppm] | - | 5.91 | - | - | - | 5.30 | - | 6.27 | - | 5.60 | 9.60 | |
| Sc | - | 17.4 | - | - | - | 18.8 | - | 14.3 | - | 20.0 | 5.05 | |
| V | - | - | - | - | - | 209 | - | - | - | - | - | - |
| Cr | 148 | 73.0 | 197 | 166 | 244 | 209 | 104 | 152 | 188 | 187 | 366 | n.d. |
| Co | - | 37.9 | - | - | - | 44.8 | - | 48.3 | - | 56.2 | 18.6 | |
| Ni | 67 | 40.0 | 74 | 70 | 226 | 153 | 67.3 | 103 | 166 | 173 | 212 | 11.0 |
| Cu | - | 45.9 | - | - | - | 55.2 | - | 41.6 | - | 62.4 | 7.56 | |
| Zn | 119 | 109 | 98 | 105 | 106 | 101 | 105 | 102 | 100 | 97 | 103 | 130 |
| Ga | - | 24.1 | - | - | - | 24.9 | - | 20.3 | - | 20.9 | 25.0 | |
| Rb | 13 | 11.4 | 7 | 8 | 15 | 40 | 19.0 | 13 | 14.7 | 15 | 12.1 | 19.3 |
| Y | - | 28.8 | - | - | - | 22.5 | - | 22.6 | - | 25.9 | 32.2 | |
| Cs | - | 0.087 | - | - | - | 0.212 | - | 0.502 | - | 0.262 | 0.378 | |
| Sr | 861 | 848 | 485 | 569 | 857 | 847 | 980 | 690 | 904 | 858 | 835 | 1967 |
| Ba | - | 290 | 314 | 259 | 392 | 422 | 326 | 325 | 318 | 445 | 356 | 724 |
| Zr | 259 | 186 | 142 | 222 | 342 | 374 | 259 | 280 | 185 | 336 | 160 | 434 |
| Hf | - | 4.60 | - | - | - | 5.17 | - | 4.48 | - | 3.79 | 7.85 | |
| Nb | - | 36.9 | - | - | - | 47.9 | - | 38.7 | - | 47.8 | 123 | |
| Ta | - | 2.12 | - | - | - | 2.69 | - | 2.14 | - | 2.40 | 6.64 | |
| Pb | - | 2.06 | - | - | - | 3.13 | - | 3.10 | - | 2.95 | 1.96 | |
| Th | - | 2.64 | - | - | - | 3.29 | - | 3.25 | - | 4.54 | 6.73 | |
| U | - | 0.600 | - | - | - | 1.03 | - | 0.942 | - | 1.26 | 2.05 | |
| La | - | 31.2 | - | - | - | 35.4 | - | 33.0 | - | 42.2 | 89.7 | |
| Ce | - | 62.9 | - | - | - | 74.1 | - | 64.8 | - | 77.5 | 183.0 | |
| Pr | - | 8.16 | - | - | - | 8.55 | - | 7.65 | - | 8.81 | 19.2 | |
| Nd | - | 34.1 | - | - | - | 34.4 | - | 31.0 | - | 34.9 | 70.5 | |
| Sm | - | 7.47 | - | - | - | 7.29 | - | 6.71 | - | 7.21 | 11.9 | |
| Eu | - | 2.44 | - | - | - | 2.57 | - | 2.23 | - | 2.35 | 3.75 | |
| Gd | - | 7.08 | - | - | - | 6.66 | - | 6.33 | - | 6.80 | 9.71 | |
| Tb | - | 1.00 | - | - | - | 0.903 | - | 0.878 | - | 0.953 | 1.24 | |
| Dy | - | 5.50 | - | - | - | 4.58 | - | 4.75 | - | 5.15 | 6.43 | |
| Ho | - | 1.00 | - | - | - | 0.783 | - | 0.830 | - | 0.914 | 1.13 | |
| Er | - | 2.54 | - | - | - | 1.89 | - | 2.03 | - | 2.28 | 2.86 | |
| Tm | - | 0.335 | - | - | - | 0.258 | - | 0.259 | - | 0.289 | 0.375 | |
| Yb | - | 2.00 | - | - | - | 1.48 | - | 1.52 | - | 1.74 | 2.28 | |
| Lu | - | 0.281 | - | - | - | 0.194 | - | 0.209 | - | 0.239 | 0.320 | |
| Sample | SY-155 | SY-156 | SY-157 | SY-158 | SY-160 | SY-161 | SY-163 | SY-165 | SY-170 | SY-173 | SY-174 | SY-282 |
|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|
| **Lat. [°N]** | 34°52'07" | 34°53'11" | 34°55'16" | 34°55'31" | 34°55'17" | 34°55'17" | 34°55'17" | 34°56'13" | 34°57'03" | 34°55'16" | 34°42'28" | 35°05'46" |
| **Long. [°E]** | 36°20'46" | 36°20'37" | 36°21'51" | 36°21'56" | 36°28'22" | 36°28'22" | 36°28'22" | 36°33'29" | 36°44'49" | 36°44'32" | 36°37'53" | 36°14'41" |
| **Elevation [m]** | 997 | 931 | (500) | 688 | 439 | 455 | - | 400 | 405 | 447 | 528 | 1118 |
| **Rock type** | AB | AB | B | B | AB | AB | B | AB | AB | T | AB | B |
| **SiO₂ [wt.%]** | 45.30 | 46.35 | 46.67 | 42.33 | 46.32 | 46.54 | 41.58 | 47.40 | 47.47 | 47.94 | 44.87 | 39.70 |
| **TiO₂** | 2.41 | 2.45 | 2.80 | 3.39 | 2.50 | 2.44 | 3.56 | 2.15 | 2.07 | 2.31 | 2.10 | 2.89 |
| **Al₂O₃** | 14.19 | 16.07 | 16.75 | 13.63 | 14.79 | 14.57 | 13.72 | 16.00 | 14.73 | 14.37 | 15.16 | 11.76 |
| **Fe₂O₃** | 13.50 | 13.92 | 12.68 | 13.82 | 13.87 | 13.80 | 13.63 | 13.01 | 13.63 | 11.78 | 12.44 | 13.68 |
| **MnO** | 0.18 | 0.17 | 0.18 | 0.17 | 0.17 | 0.17 | 0.17 | 0.16 | 0.17 | 0.16 | 0.16 | 0.20 |
| **MgO** | 11.11 | 7.66 | 5.57 | 10.13 | 7.71 | 7.96 | 7.07 | 5.57 | 8.92 | 5.77 | 6.55 | 9.83 |
| **CaO** | 9.29 | 9.57 | 7.53 | 10.19 | 9.55 | 9.43 | 10.23 | 10.56 | 9.07 | 10.40 | 12.29 | 11.71 |
| **Na₂O** | 3.44 | 3.46 | 4.56 | 3.02 | 3.22 | 3.06 | 4.14 | 3.38 | 3.11 | 2.73 | 2.94 | 4.12 |
| **K₂O** | 0.90 | 0.75 | 2.07 | 1.37 | 1.05 | 1.06 | 1.77 | 0.71 | 0.69 | 0.71 | 0.67 | 1.14 |
| **P₂O₅** | 0.59 | 0.45 | 0.95 | 0.82 | 0.46 | 0.44 | 0.96 | 0.35 | 0.28 | 0.34 | 0.31 | 2.27 |
| **L.O.I.** | 0.00 | 0.00 | 0.10 | 0.13 | 0.05 | 0.09 | 1.93 | 0.59 | 0.00 | 2.02 | 1.81 | 0.90 |
| **Total** | 100.91 | 100.85 | 99.86 | 99.00 | 99.69 | 99.56 | 98.76 | 99.88 | 100.14 | 98.53 | 99.30 | 98.20 |
| **Mg-no.** | 0.66 | 0.56 | 0.51 | 0.63 | 0.56 | 0.57 | 0.55 | 0.50 | 0.60 | 0.53 | 0.55 | 0.63 |
| **Li [ppm]** | 5.55 | - | 5.60 | - | 5.00 | - | - | 5.26 | - | 5.99 | 8.34 |
| **Sc** | 21.1 | - | 15.9 | - | 16.4 | - | - | - | 17.5 | - | 20.1 | 12.1 |
| **V** | - | - | 161 | - | - | - | - | - | - | - | - | - |
| **Cr** | 364 | 127 | 65.7 | 259 | 284 | 267 | 122 | 164 | 328 | 151 | 193 | 326 |
| **Co** | 56.7 | - | 40.9 | - | 48.2 | - | - | - | 55.3 | - | 44.3 | 47 |
| **Ni** | 255 | 96 | 61.3 | 161 | 151 | 167 | 113 | 62 | 224 | 58 | 83.0 | 195 |
| **Cu** | 91.5 | - | 41.2 | - | 43.6 | - | - | - | 56.2 | - | 50.1 | 47.4 |
| **Zn** | 92.4 | 107 | 104 | 101 | 111 | 116 | 114 | 101 | 107 | 97 | 95.0 | 123 |
| **Ga** | - | - | 23.3 | - | 21.8 | - | - | - | 21.0 | - | 21.1 | 21.5 |
| **Rb** | 7.86 | 9 | 19.9 | 14 | 13.5 | 14 | 21 | 10 | 8.33 | 8 | 7.69 | 32.6 |
| **Y** | 20.7 | - | 26.4 | - | 21.4 | - | - | - | 22.4 | - | 22.4 | 34.6 |
| **Cs** | 0.120 | - | 0.232 | - | 0.186 | - | - | - | 0.067 | - | 0.137 | 0.536 |
| **Sr** | 634 | 623 | 1148 | 1001 | 560 | 554 | 1082 | 488 | 393 | 488 | 428 | 2593 |
| **Ba** | 198 | 213 | 365 | 659 | 243 | 446 | 810 | 342 | 169 | - | 146 | 753 |
| **Zr** | 147 | 236 | 327 | 235 | 134 | 168 | 336 | 166 | 124 | 165 | 119 | 334 |
| **Hf** | 4.00 | - | 5.93 | - | 3.53 | - | - | - | 3.22 | - | 3.09 | 6.17 |
| **Nb** | 25.4 | - | 60.5 | - | 27.3 | - | - | - | 16.3 | - | 16.4 | 118 |
| **Ta** | 1.55 | - | 3.29 | - | 1.72 | - | - | - | 0.985 | - | 0.960 | 5.52 |
| **Pb** | 2.32 | - | 3.53 | - | 1.55 | - | - | - | 1.23 | - | 1.70 | 5.51 |
| **Th** | 2.52 | - | 4.24 | - | 2.07 | - | - | - | 1.37 | - | 1.39 | 11.0 |
| **U** | 0.796 | - | 1.36 | - | 0.583 | - | - | - | 0.271 | - | 0.370 | 3.25 |
| **La** | 27.6 | - | 44.3 | - | 21.3 | - | - | - | 13.7 | - | 13.5 | 114 |
| **Ce** | 54.7 | - | 89.3 | - | 42.9 | - | - | - | 30.6 | - | 30.0 | 217 |
| **Pr** | 6.51 | - | 10.0 | - | 5.30 | - | - | - | 4.06 | - | 4.00 | 22.3 |
| **Nd** | 26.5 | - | 38.8 | - | 22.6 | - | - | - | 18.0 | - | 17.4 | 82.3 |
| **Sm** | 5.79 | - | 7.80 | - | 5.19 | - | - | - | 4.58 | - | 4.47 | 14.7 |
| **Eu** | 1.96 | - | 2.72 | - | 1.76 | - | - | - | 1.54 | - | 1.53 | 4.40 |
| **Gd** | 5.79 | - | 6.87 | - | 5.22 | - | - | - | 4.79 | - | 4.70 | 12.2 |
| **Tb** | 0.828 | - | 0.946 | - | 0.763 | - | - | - | 0.721 | - | 0.721 | 1.52 |
| **Dy** | 4.65 | - | 4.91 | - | 4.27 | - | - | - | 4.29 | - | 4.27 | 7.52 |
| **Ho** | 0.858 | - | 0.894 | - | 0.782 | - | - | - | 0.812 | - | 0.814 | 1.25 |
| **Er** | 2.17 | - | 2.24 | - | 1.95 | - | - | - | 2.07 | - | 2.11 | 2.92 |
| **Tm** | 0.287 | - | 0.318 | - | 0.256 | - | - | - | 0.277 | - | 0.286 | 0.358 |
| **Yb** | 1.81 | - | 1.88 | - | 1.57 | - | - | - | 1.69 | - | 1.78 | 2.05 |
| **Lu** | 0.258 | - | 0.251 | - | 0.216 | - | - | - | 0.239 | - | 0.251 | 0.274 |
| Sample | SY-283 | SY-284 | SY-285 | SY-286 | SY-287 | SY-288 | SY-290 | SY-291 | SY-294 | SY-296 | SY-298 | SY-300 |
|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|
| **Lat. [°N]** | 36°05'46" | 35°05'34" | 35°05'34" | 35°05'56" | 35°05'58" | 35°36'16" | 35°36'37" | 35°36'37" | 35°34'35" | 35°34'48" | 35°39'01" | 35°55'23" |
| **Long. [°E]** | 36°14'41" | 36°12'33" | 36°12'33" | 36°11'22" | 36°11'22" | 36°48'22" | 36°53'21" | 36°53'21" | 37°02'07" | 37°03'17" | 36°55'10" | 39°16'20" |
| **Elevation [m]** | 1118 | 1043 | 1043 | (1042) | (1042) | 532 | (500) | (500) | 431 | 453 | (388) | 371 |
| **Rock type** | B | B | B | B | B | AB | H | AB | AB | H | AB | F |
| Element | SY-283 | SY-284 | SY-285 | SY-286 | SY-287 | SY-288 | SY-290 | SY-291 | SY-294 | SY-296 | SY-298 | SY-300 |
|---------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|
| SiO₂ [wt. %] | 39.03 | 42.06 | 42.52 | 41.68 | 40.50 | 45.11 | 45.02 | 44.87 | 47.41 | 47.12 | 45.01 | 38.84 |
| TiO₂ | 2.88 | 2.87 | 2.71 | 2.65 | 2.57 | 2.17 | 2.60 | 1.91 | 2.34 | 2.59 | 1.97 | 3.24 |
| Al₂O₃ | 11.52 | 13.15 | 13.14 | 12.78 | 12.67 | 13.52 | 13.94 | 13.57 | 13.93 | 15.60 | 13.73 | 10.24 |
| Fe₂O₃ | 13.76 | 12.40 | 12.49 | 12.88 | 12.33 | 12.30 | 12.88 | 12.60 | 12.80 | 11.67 | 12.67 | 14.08 |
| MnO | 0.20 | 0.16 | 0.17 | 0.17 | 0.16 | 0.16 | 0.15 | 0.16 | 0.16 | 0.18 | 0.16 | 0.18 |
| MgO | 10.67 | 10.01 | 10.02 | 10.32 | 10.60 | 7.26 | 7.02 | 7.22 | 6.76 | 5.24 | 7.29 | 14.04 |
| CaO | 11.80 | 10.84 | 10.51 | 10.83 | 12.78 | 10.90 | 9.53 | 11.05 | 9.97 | 10.09 | 11.25 | 11.14 |
| Na₂O | 3.57 | 3.85 | 3.93 | 4.03 | 2.98 | 3.51 | 4.05 | 3.35 | 3.32 | 3.68 | 3.14 | 4.04 |
| K₂O | 0.90 | 1.74 | 1.57 | 1.11 | 0.65 | 1.20 | 1.64 | 0.90 | 1.03 | 1.27 | 0.88 | 1.34 |
| P₂O₅ | 2.18 | 1.08 | 1.30 | 1.46 | 1.45 | 0.49 | 0.50 | 0.37 | 0.45 | 0.59 | 0.47 | 1.03 |
| L.O.I. | 2.25 | 0.72 | 0.40 | 0.42 | 2.07 | 2.10 | 1.51 | 2.91 | 2.02 | 0.57 | 2.18 | 0.88 |
| Total | 98.76 | 98.88 | 98.76 | 98.33 | 98.76 | 98.72 | 98.84 | 98.91 | 100.19 | 98.60 | 98.75 | 99.05 |
| Mg-no. | 0.64 | 0.65 | 0.65 | 0.65 | 0.67 | 0.58 | 0.56 | 0.57 | 0.55 | 0.51 | 0.57 | 0.70 |
| Element | SY-283 | SY-284 | SY-285 | SY-286 | SY-287 | SY-288 | SY-290 | SY-291 | SY-294 | SY-296 | SY-298 | SY-300 |
|---------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|
| Li [ppm] | - | - | 5.62 | 6.45 | - | - | 9.79 | 7.26 | - | 6.82 | - | 2.50 |
| Sc | - | - | 12.2 | 19.2 | - | - | 12.8 | 13.3 | - | 19.3 | - | 13.1 |
| V | - | - | 207 | - | - | - | - | - | - | - | - | 163 |
| Cr | 301 | 280 | 298 | 284 | 251 | 259 | 188 | 267 | 290 | 72.3 | 256 | 323 |
| Co | - | - | 47.4 | 56.6 | - | - | 48.8 | 52 | - | 37.7 | - | 51.1 |
| Ni | 222 | 215 | 228 | 247 | 237 | 229 | 181 | 248 | 187 | 47.7 | 228 | 260 |
| Cu | - | - | 53.7 | 56.4 | - | - | 52.6 | 52.5 | - | 54.3 | - | 42.5 |
| Zn | 127 | 106 | 114 | 112 | 102 | 106 | 127 | 106 | 116 | 101 | 109 | 111 |
| Ga | - | - | 21.8 | 22.2 | - | - | 24.6 | 20.1 | - | - | - | - |
| Rb | 17 | 34 | 16.7 | 25.6 | 33 | 19 | 17.4 | 9.93 | 14 | 17.5 | 17 | 11.6 |
| Y | - | - | 24.3 | 24.8 | - | - | 19.5 | 17.9 | - | 23.9 | - | 23.5 |
| Cs | - | - | 0.195 | 0.557 | - | - | 0.294 | 0.124 | - | 0.380 | - | 0.276 |
| Sr | 1772 | 1190 | 1362 | 1527 | 1522 | 593 | 711 | 534 | 693 | 810 | 627 | 1029 |
| Ba | 966 | 779 | 634 | 722 | 946 | 711 | 369 | 584 | - | 353 | 752 | 338 |
| Zr | 394 | 306 | 265 | 278 | 346 | 187 | 193 | 122 | 193 | 173 | 167 | 278 |
| Hf | - | - | 5.39 | 5.50 | - | - | 4.89 | 3.14 | - | 5.09 | - | 7.50 |
| Nb | - | - | 83.1 | 95.2 | - | - | 35.4 | 22.6 | - | 34.2 | - | 66.3 |
| Ta | - | - | 4.29 | 4.72 | - | - | 2.20 | 1.35 | - | 2.37 | - | 4.39 |
| Pb | - | - | 4.32 | 4.21 | - | - | 2.57 | 2.12 | - | 2.99 | - | 5.96 |
| Th | - | - | 7.35 | 9.06 | - | - | 2.34 | 1.83 | - | 2.86 | - | 6.05 |
| U | - | - | 2.22 | 2.70 | - | - | 0.511 | 0.538 | - | 0.925 | - | 2.05 |
| La | - | - | 69.2 | 84.8 | - | - | 23.4 | 17.6 | - | 30.3 | - | 57.3 |
| Ce | - | - | 125 | 156 | - | - | 50.1 | 36.9 | - | 66.1 | - | 118 |
| Pr | - | - | 13.4 | 16.1 | - | - | 6.30 | 4.58 | - | 8.37 | - | 14.6 |
| Nd | - | - | 49.8 | 58.6 | - | - | 26.8 | 19.2 | - | 35.4 | - | 58.8 |
| Sm | - | - | 9.11 | 10.5 | - | - | 6.28 | 4.53 | - | 7.72 | - | 12.1 |
| Eu | - | - | 2.83 | 3.33 | - | - | 2.09 | 1.49 | - | 2.49 | - | 3.79 |
| Gd | - | - | 7.80 | 8.78 | - | - | 5.95 | 4.42 | - | 7.36 | - | 10.3 |
| Tb | - | - | 1.01 | 1.12 | - | - | 0.823 | 0.651 | - | 1.03 | - | 1.41 |
| Dy | - | - | 5.13 | 5.55 | - | - | 4.23 | 3.65 | - | 5.48 | - | 6.73 |
| Ho | - | - | 0.877 | 0.933 | - | - | 0.716 | 0.667 | - | 0.988 | - | 1.08 |
| Er | - | - | 2.11 | 2.25 | - | - | 1.66 | 1.67 | - | 2.46 | - | 2.40 |
| Tm | - | - | 0.267 | 0.287 | - | - | 0.203 | 0.218 | - | 0.324 | - | 0.279 |
| Yb | - | - | 1.56 | 1.67 | - | - | 1.20 | 1.34 | - | 1.96 | - | 1.57 |
| Lu | - | - | 0.215 | 0.223 | - | - | 0.161 | 0.186 | - | 0.281 | - | 0.208 |
| Sample | SY-301 | SY-303 | SY-305 | SY-307 | SY-311 | SY-312 | SY-314 | SY-315 | SY-316 | SY-317 | SY-318 | SY-319 |
|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|
| **Lat. [°N]** | 35°55'31" | 35°55'31" | 35°45'12" | 35°49'14" | 36°31'34" | 36°32'19" | 36°31'44" | 36°31'16" | 36°34'56" | 36°37'09" | 35°23'58" | 35°24'47" |
| **Long. [°E]** | 39°16'12" | 39°16'12" | 40°45'23" | 40°49'27" | 40°51'19" | 40°51'38" | 40°49'04" | 40°48'12" | 40°32'00" | 40°24'14" | 40°04'07" | 40°02'01" |
| **Elevation [m]** | 346 | 346 | - | 306 | 430 | - | 357 | 310 | 386 | 406 | 280 | - |
| **Rock type** | F | F | AB | AB | AB | F | AB | AB | AB | AB | AB | AB |
| Element | SY-301 | SY-303 | SY-305 | SY-307 | SY-311 | SY-312 | SY-314 | SY-315 | SY-316 | SY-317 | SY-318 | SY-319 |
|---------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|
| SiO₂ [wt. %] | 39.08 | 39.15 | 44.34 | 44.95 | 45.87 | 39.55 | 45.17 | 45.25 | 44.14 | 43.51 | 43.65 | 44.29 |
| TiO₂ | 3.19 | 3.19 | 2.83 | 2.53 | 2.53 | 3.48 | 2.59 | 2.57 | 2.46 | 2.28 | 2.62 | 2.62 |
| Al₂O₃ | 10.15 | 10.13 | 13.14 | 12.60 | 11.86 | 10.34 | 12.08 | 11.98 | 13.85 | 13.77 | 11.51 | 11.50 |
| Fe₂O₃ | 14.04 | 14.07 | 12.18 | 12.81 | 13.11 | 15.41 | 13.35 | 13.30 | 13.68 | 13.09 | 13.31 | 13.19 |
| MnO | 0.19 | 0.19 | 0.16 | 0.16 | 0.17 | 0.19 | 0.17 | 0.17 | 0.18 | 0.17 | 0.17 | 0.17 |
| MgO | 14.62 | 14.73 | 8.56 | 10.82 | 10.76 | 11.68 | 10.75 | 11.11 | 9.15 | 8.78 | 11.38 | 10.91 |
| CaO | 11.01 | 10.92 | 11.37 | 10.34 | 9.99 | 10.59 | 10.08 | 10.17 | 9.69 | 10.70 | 10.49 | 10.33 |
| Na₂O | 4.48 | 4.47 | 2.82 | 2.93 | 2.86 | 4.28 | 3.18 | 3.09 | 3.17 | 2.41 | 3.09 | 3.53 |
| K₂O | 1.49 | 1.36 | 1.28 | 0.98 | 1.06 | 1.76 | 1.16 | 1.16 | 1.06 | 0.83 | 1.21 | 1.18 |
| P₂O₅ | 1.01 | 1.00 | 0.48 | 0.40 | 0.58 | 1.12 | 0.60 | 0.57 | 0.48 | 0.44 | 0.64 | 0.65 |
| L.O.I. | 0.00 | 0.00 | 1.70 | 0.55 | 1.54 | 0.51 | 0.47 | 0.32 | 0.75 | 2.85 | 0.36 | 0.15 |
| Total | 99.26 | 99.21 | 98.86 | 99.07 | 100.33 | 98.91 | 99.60 | 99.69 | 98.61 | 98.83 | 98.43 | 98.52 |
| Mg-no. | 0.71 | 0.71 | 0.62 | 0.66 | 0.66 | 0.64 | 0.65 | 0.66 | 0.61 | 0.61 | 0.67 | 0.66 |
| Element | SY-301 | SY-303 | SY-305 | SY-307 | SY-311 | SY-312 | SY-314 | SY-315 | SY-316 | SY-317 | SY-318 | SY-319 |
|---------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|
| Li [ppm] | 5.63 | 6.94 | 7.62 | - | - | 8.00 | - | - | 6.69 | 7.39 | 9.16 | 6.10 |
| Sc | 17.9 | 13.0 | 22.4 | - | - | 13.9 | - | - | 21.1 | 20.1 | 17.7 | 14.6 |
| V | 252 | - | 270 | - | - | - | - | - | 237 | - | - | - |
| Cr | 427 | 493 | 303 | 381 | 334 | 285 | 325 | 348 | 250 | 294 | 358 | 361 |
| Co | 64.7 | 65.9 | 54.1 | - | - | 62.3 | - | - | 61.0 | 55.0 | 59.1 | 56.1 |
| Ni | 344 | 386 | 175 | 264 | 298 | 292 | 282 | 312 | 236 | 227 | 312 | 276 |
| Cu | 59.5 | 52.0 | 67.2 | - | - | 59.3 | - | - | 63.2 | 58.5 | 65.6 | 58.2 |
| Zn | 117 | 126 | 101 | 107 | 129 | 158 | 129 | 123 | 110 | 99.3 | 120 | 112 |
| Ga | 22.3 | 23.5 | 23.3 | - | - | 27.7 | - | - | 22.9 | - | 22.8 | 22.0 |
| Rb | 14.7 | 11.8 | 16.3 | 11 | 12 | 12.3 | 13 | 15 | 9.28 | 8.70 | 15.2 | 13.1 |
| Y | 21.3 | 22.9 | 17.2 | - | - | 26.8 | - | - | 19.2 | 16.9 | 23.3 | 20.9 |
| Cs | 0.214 | 0.175 | 0.327 | - | - | 0.206 | - | - | 0.123 | 0.217 | 0.446 | 0.265 |
| Sr | 1114 | 1085 | 798 | 637 | 706 | 1253 | 781 | 713 | 696 | 650 | 814 | 761 |
| Ba | 295 | 293 | 320 | 320 | 320 | 248 | - | - | 1048 | 207 | 248 | 222 |
| Zr | 266 | 300 | 168 | 178 | 225 | 410 | 245 | 236 | 197 | 182 | 202 | 191 |
| Hf | 5.92 | 6.16 | 4.14 | - | - | 8.53 | - | - | 4.20 | 4.96 | 5.00 | 4.68 |
| Nb | 66.4 | 68.3 | 31.9 | - | - | 67.9 | - | - | 21.3 | 20.4 | 43.1 | 41.0 |
| Ta | 3.96 | 4.02 | 2.07 | - | - | 4.30 | - | - | 1.30 | 1.53 | 2.58 | 2.44 |
| Pb | 1.94 | 2.94 | 3.04 | - | - | 3.84 | - | - | 2.30 | 2.34 | 3.57 | 3.04 |
| Th | 4.28 | 4.83 | 2.86 | - | - | 5.46 | - | - | 1.71 | 2.04 | 4.01 | 3.46 |
| U | 1.79 | 1.60 | 0.491 | - | - | 1.99 | - | - | 0.600 | 0.791 | 1.05 | 1.23 |
| La | 50.9 | 50.8 | 26.8 | - | - | 57.3 | - | - | 23.4 | 21.6 | 34.4 | 31.8 |
| Ce | 107 | 104 | 57.8 | - | - | 121 | - | - | 52.9 | 48.1 | 70.8 | 65.8 |
| Pr | 12.3 | 12.4 | 6.85 | - | - | 14.7 | - | - | 6.41 | 6.01 | 8.65 | 7.93 |
| Nd | 48.7 | 49.5 | 27.8 | - | - | 60.0 | - | - | 26.3 | 25.1 | 35.3 | 32.5 |
| Sm | 9.96 | 10.0 | 5.98 | - | - | 12.4 | - | - | 5.76 | 5.55 | 7.79 | 7.12 |
| Eu | 3.22 | 3.11 | 2.04 | - | - | 3.89 | - | - | 2.00 | 1.81 | 2.49 | 2.30 |
| Gd | 8.61 | 8.69 | 5.43 | - | - | 10.6 | - | - | 5.57 | 5.34 | 7.13 | 6.54 |
| Tb | 1.11 | 1.10 | 0.746 | - | - | 1.35 | - | - | 0.751 | 0.758 | 0.966 | 0.880 |
| Dy | 5.29 | 5.43 | 3.88 | - | - | 6.47 | - | - | 3.91 | 4.07 | 5.02 | 4.58 |
| Ho | 0.846 | 0.874 | 0.672 | - | - | 0.990 | - | - | 0.690 | 0.732 | 0.855 | 0.772 |
| Er | 1.89 | 1.92 | 1.64 | - | - | 2.12 | - | - | 1.71 | 1.78 | 2.00 | 1.81 |
| Tm | 0.223 | 0.220 | 0.211 | - | - | 0.234 | - | - | 0.234 | 0.236 | 0.250 | 0.223 |
| Yb | 1.23 | 1.20 | 1.26 | - | - | 1.23 | - | - | 1.36 | 1.47 | 1.45 | 1.29 |
| Lu | 0.156 | 0.159 | 0.169 | - | - | 0.152 | - | - | 0.184 | 0.206 | 0.196 | 0.173 |
| Sample | SY-321 | SY-324 | NE 01 | NE 02 | NE 03 | NE 05 | NE 06 | NE 07 | NE 08 | NE 09 | NE 10 | NE 11 |
|--------|--------|--------|-------|-------|-------|-------|-------|-------|-------|-------|-------|-------|
| **Lat. [°N]** | 35°38'10" | 35°39'09" | 36°39'30" | 36°39'37" | 36°41'29" | 36°50'48" | 37°01'15" | 37°00'44" | 36°59'57" | 36°58'12" | 36°59'17" | 37°05'35" |
| **Long. [°E]** | 39°48'02" | 39°28'20" | 40°24'37" | 40°24'43" | 40°25'07" | 40°31'45" | 41°35'01" | 41°37'59" | 41°44'19" | 41°48'24" | 41°50'32" | 42°05'26" |
| **Elevation [m]** | 239 | - | 388 | 386 | 399 | 533 | 456 | 453 | 437 | 431 | 441 | 581 |
| **Rock type** | B | B | AB | AB | AB | AB | AB | AB | AB | AB | AB | AB |
| **SiO₂ [wt.%]** | 42.67 | 43.80 | 44.54 | 44.96 | 44.71 | 45.09 | 46.63 | 46.06 | 45.63 | 47.55 | 47.86 |
| **TiO₂** | 3.56 | 3.15 | 2.37 | 2.37 | 2.40 | 1.61 | 1.81 | 1.82 | 2.22 | 1.79 | 2.10 |
| **Al₂O₃** | 12.21 | 12.52 | 13.59 | 13.75 | 13.69 | 13.90 | 14.30 | 14.38 | 13.38 | 14.87 | 14.60 |
| **Fe₂O₃** | 14.86 | 13.94 | 13.29 | 13.34 | 13.38 | 12.99 | 12.73 | 12.32 | 12.89 | 13.01 | 11.92 |
| **MnO** | 0.17 | 0.18 | 0.17 | 0.17 | 0.17 | 0.16 | 0.16 | 0.16 | 0.16 | 0.16 | 0.15 |
| **MgO** | 10.40 | 10.08 | 9.75 | 9.85 | 9.62 | 7.21 | 8.78 | 8.27 | 8.81 | 8.34 | 6.58 |
| **CaO** | 9.84 | 10.80 | 9.72 | 9.68 | 9.71 | 11.32 | 9.99 | 10.85 | 9.96 | 8.74 | 10.32 |
| **Na₂O** | 3.02 | 3.16 | 2.81 | 3.02 | 3.16 | 3.05 | 3.13 | 3.28 | 3.37 | 3.44 | 3.32 |
| **K₂O** | 1.23 | 1.16 | 1.07 | 1.06 | 1.09 | 0.57 | 0.77 | 0.77 | 1.09 | 0.92 | 0.90 |
| **P₂O₅** | 0.55 | 0.53 | 0.45 | 0.43 | 0.45 | 0.24 | 0.30 | 0.33 | 0.34 | 0.25 | 0.31 |
| **L.O.I.** | 0.09 | 0.77 | 0.51 | 0.43 | 0.29 | 2.69 | 0.42 | 0.98 | 1.04 | 0.11 | 0.76 |
| **Total** | 98.60 | 100.09 | 98.27 | 99.06 | 98.66 | 98.83 | 99.02 | 99.22 | 98.89 | 99.18 | 98.82 |
| **Mg-no.** | 0.62 | 0.63 | 0.63 | 0.63 | 0.63 | 0.56 | 0.62 | 0.61 | 0.61 | 0.60 | 0.56 |
| **U [ppm]** | 7.80 | - | - | 7.75 | 7.67 | 6.17 | 9.77 | 7.97 | 8.80 | 10.4 | 8.90 | - |
| **Sc** | 19.2 | - | - | 20.5 | 20.9 | 19.5 | 20.1 | 20.1 | 19.9 | 17.5 | 17.9 | - |
| **V** | - | - | - | 246 | 253 | 276 | 219 | 203 | 214 | 216 | 181 | - |
| **Cr** | 311 | 358 | 273 | 280 | 278 | 307 | 284 | 270 | 288 | 267 | 236 | 249 |
| **Co** | 60.3 | - | - | 58.5 | 59.1 | 62.8 | 54.3 | 56.6 | 51.7 | 55.5 | 54.5 | - |
| **Ni** | 243 | 266 | 264 | 257 | 255 | 234 | 210 | 215 | 196 | 238 | 215 | 122 |
| **Cu** | 70.0 | - | - | 61.0 | 61.0 | 61.7 | 67.1 | 61.4 | 61.9 | 70.2 | 69.6 | - |
| **Zn** | 112 | 115 | 106 | 109 | 111 | 109 | 110 | 109 | 99.1 | 117 | 117 | 101 |
| **Ga** | - | - | - | 28.2 | 27.2 | 29.0 | 30.7 | 24.5 | 44.4 | 34.9 | 28.9 | - |
| **Rb** | 12.2 | 18 | 10 | 10.2 | 10.5 | 10.8 | 9.48 | 7.43 | 7.97 | 17.7 | 13.4 | 13 |
| **Y** | 16.5 | - | - | 18.4 | 18.5 | 17.7 | 17.7 | 15.8 | 16.9 | 18.1 | 17.0 | - |
| **Cs** | 0.120 | - | - | 0.147 | 0.249 | 0.217 | 0.195 | 0.080 | 0.161 | 0.694 | 0.478 | - |
| **Sr** | 797 | 777 | 629 | 633 | 623 | 560 | 502 | 460 | 534 | 543 | 525 | 482 |
| **Ba** | 185 | - | 1113 | 185 | 155 | 196 | 244 | 135 | 564 | 305 | 156 | 376 |
| **Zr** | 194 | 228 | 228 | 200 | 200 | 159 | 133 | 104 | 130 | 172 | 165 | 167 |
| **Hf** | 5.56 | - | - | 5.00 | 4.96 | 4.39 | 3.56 | 2.92 | 3.44 | 4.62 | 4.45 | - |
| **Nb** | 32.5 | - | - | 22.2 | 22.2 | 25.0 | 20.6 | 8.74 | 18.2 | 31.7 | 28.6 | - |
| **Ta** | 2.47 | - | - | 1.37 | 1.36 | 1.50 | 1.00 | 0.521 | 0.865 | 1.84 | 1.73 | - |
| **Pb** | 2.52 | - | - | 1.98 | 2.00 | 1.51 | 2.38 | 1.46 | 1.98 | 2.63 | 2.24 | - |
| **Th** | 2.86 | - | - | 2.00 | 1.99 | 1.91 | 2.46 | 1.33 | 2.60 | 2.69 | 2.25 | - |
| **U** | 0.897 | - | - | 0.662 | 0.754 | 0.649 | 0.594 | 0.464 | 0.619 | 0.802 | 0.672 | - |
| **La** | 28.3 | - | - | 22.8 | 22.8 | 18.6 | 19.2 | 12.1 | 20.2 | 20.2 | 15.9 | - |
| **Ce** | 61.9 | - | - | 51.1 | 50.9 | 41.7 | 38.6 | 27.5 | 39.1 | 42.8 | 34.5 | - |
| **Pr** | 7.74 | - | - | 6.45 | 6.45 | 5.50 | 4.66 | 3.61 | 4.62 | 5.39 | 4.43 | - |
| **Nd** | 32.7 | - | - | 27.0 | 26.9 | 23.8 | 19.3 | 15.7 | 19.1 | 22.7 | 19.0 | - |
| **Sm** | 7.14 | - | - | 6.01 | 6.02 | 5.70 | 4.58 | 3.97 | 4.45 | 5.34 | 4.58 | - |
| **Eu** | 2.39 | - | - | 1.99 | 1.99 | 1.90 | 1.55 | 1.39 | 1.54 | 1.77 | 1.54 | - |
| **Gd** | 6.56 | - | - | 5.57 | 5.57 | 5.34 | 4.59 | 4.09 | 4.47 | 5.13 | 4.55 | - |
| **Tb** | 0.863 | - | - | 0.803 | 0.816 | 0.785 | 0.700 | 0.626 | 0.671 | 0.768 | 0.689 | - |
| **Dy** | 4.35 | - | - | 4.33 | 4.34 | 4.15 | 3.97 | 3.55 | 3.76 | 4.17 | 3.84 | - |
| **Ho** | 0.721 | - | - | 0.769 | 0.774 | 0.736 | 0.727 | 0.661 | 0.700 | 0.748 | 0.701 | - |
| **Er** | 1.67 | - | - | 1.88 | 1.89 | 1.83 | 1.85 | 1.70 | 1.78 | 1.85 | 1.77 | - |
| **Tm** | 0.207 | - | - | 0.244 | 0.244 | 0.231 | 0.249 | 0.220 | 0.234 | 0.249 | 0.237 | - |
| **Yb** | 1.18 | - | - | 1.45 | 1.46 | 1.43 | 1.51 | 1.41 | 1.44 | 1.51 | 1.46 | - |
| **Lu** | 0.161 | - | - | 0.204 | 0.205 | 0.201 | 0.218 | 0.205 | 0.205 | 0.204 | 0.207 | - |
| Sample | NE 12 | NE 13 | NE 14 | NE 15 | BHVO-1 | BR |
|--------|-------|-------|-------|-------|--------|----|
| **Lat. [°N]** | 37°07'15" | 37°12'10" | 37°16'56" | 36°59'25" | | |
| **Long. [°E]** | 42°07'23" | 42°09'34" | 42°11'42" | 41°53'35" | | |
| **Elevation [m]** | 510 | 475 | 506 | 446 | | |
| **Rock type** | AB | AB | AB | AB | std. | std. |
| SiO$_2$ [wt.%] | 46.18 | 45.97 | 47.67 | 47.05 | 49.67 | |
| TiO$_2$ | 1.75 | 1.72 | 1.92 | 1.67 | 2.77 | |
| Al$_2$O$_3$ | 14.37 | 14.19 | 14.40 | 14.25 | 13.70 | |
| Fe$_2$O$_3$ | 12.85 | 13.20 | 12.96 | 12.83 | 12.35 | |
| MnO | 0.16 | 0.16 | 0.16 | 0.16 | 0.17 | |
| MgO | 7.32 | 8.11 | 9.68 | 8.35 | 7.21 | |
| CaO | 10.68 | 10.02 | 10.03 | 9.81 | 11.38 | |
| Na$_2$O | 2.79 | 3.24 | 3.40 | 3.33 | 2.41 | |
| K$_2$O | 0.65 | 0.84 | 0.93 | 0.74 | 0.53 | |
| P$_2$O$_5$ | 0.24 | 0.28 | 0.32 | 0.25 | 0.28 | |
| L.O.I. | 1.13 | 0.76 | 1.24 | 0.43 | | |
| Total | 98.12 | 98.49 | 102.71 | 98.87 | 100.34 | |
| Mg-no. | 0.57 | 0.59 | 0.64 | 0.60 | | |
| **Li [ppm]** | 9.52 | 10.2 | 8.23 | 8.89 | - | 11.4 |
| Sc | 21.7 | 18.4 | 18.7 | 19.8 | - | 19.9 |
| V | 232 | 185 | 203 | 208 | - | 217 |
| Cr | 282 | 235 | 294 | 266 | 292 | 353 |
| Co | 53.9 | 55.8 | 57.2 | 53.2 | - | 54.6 |
| Ni | 178 | 214 | 236 | 198 | 155 | 249 |
| Cu | 53.7 | 66.2 | 51.7 | 55.0 | - | 65.9 |
| Zn | 107 | 115 | 109 | 106 | 105 | 149 |
| Ga | 26.8 | 30.4 | 30.9 | 26.1 | - | 34.9 |
| Rb | 9.55 | 10.4 | 11.4 | 11.6 | 10 | 45.6 |
| Y | 18.1 | 17.4 | 16.9 | 16.8 | - | 27.4 |
| Cs | 0.128 | 0.219 | 0.238 | 0.080 | - | 0.743 |
| Sr | 438 | 498 | 571 | 412 | 400 | 1229 |
| Ba | 165 | 219 | 233 | 168 | 285 | 1058 |
| Zr | 118 | 145 | 148 | 110 | 202 | 267 |
| Hf | 3.23 | 3.82 | 3.94 | 3.07 | - | 5.90 |
| Nb | 12.0 | 23.0 | 25.2 | 10.5 | - | 105 |
| Ta | 0.671 | 1.25 | 1.28 | 0.576 | - | 5.58 |
| Pb | 1.93 | 2.02 | 2.17 | 2.37 | - | 4.42 |
| Th | 1.70 | 2.04 | 2.54 | 1.92 | - | 10.6 |
| U | 0.554 | 0.533 | 0.634 | 0.325 | - | 2.48 |
| La | 13.5 | 16.8 | 20.5 | 14.1 | - | 79.8 |
| Ce | 29.9 | 36.1 | 41.0 | 30.6 | - | 151 |
| Pr | 3.88 | 4.60 | 4.99 | 3.89 | - | 16.8 |
| Nd | 16.8 | 19.6 | 20.4 | 16.6 | - | 64.3 |
| Sm | 4.20 | 4.68 | 4.73 | 4.01 | - | 12.0 |
| Eu | 1.46 | 1.55 | 1.61 | 1.41 | - | 3.55 |
| Gd | 4.35 | 4.59 | 4.60 | 4.13 | - | 9.94 |
| Tb | 0.677 | 0.705 | 0.693 | 0.646 | - | 1.29 |
| Dy | 3.91 | 3.89 | 3.85 | 3.71 | - | 6.37 |
| Ho | 0.744 | 0.720 | 0.694 | 0.689 | - | 1.07 |
| Er | 1.92 | 1.82 | 1.72 | 1.79 | - | 2.53 |
| Tm | 0.258 | 0.240 | 0.231 | 0.245 | - | 0.307 |
| Yb | 1.62 | 1.49 | 1.40 | 1.52 | - | 1.80 |
| Lu | 0.232 | 0.215 | 0.196 | 0.215 | - | 0.241 |
### Table 2. $^{87}$Sr, Nd, and Pb isotopic compositions of selected Syrikan lavas.
| Sample | $^{87}$Sr/$^{86}$Sr (2s) | $^{143}$Nd/$^{144}$Nd (2s) | $^{206}$Pb/$^{204}$Pb | $^{207}$Pb/$^{206}$Pb | $^{208}$Pb/$^{206}$Pb | $^{206}$Pb/$^{204}$Pb | $^{207}$Pb/$^{206}$Pb | $^{208}$Pb/$^{206}$Pb |
|--------|--------------------------|---------------------------|---------------------|---------------------|---------------------|---------------------|---------------------|---------------------|
| SY-053 | 0.76508 (9) | 0.52920 (9) | 18.955 | 38.745 | 5.00 | 0.70508 | 0.519857 | 18.93 | 15.60 | 38.73 |
| SY-103 | 0.70588 (11) | 0.52960 (9) | 19.032 | 38.799 | 3.50 | 0.70359 | 0.519257 | 19.07 | 15.60 | 38.78 |
| SY-109 | 0.703158 (10) | 0.52934 (6) | 19.054 | 38.816 | 3.50 | 0.70316 | 0.519201 | 19.04 | 15.61 | 38.80 |
| SY-113 | 0.703159 (11) | 0.52982 (12) | 18.806 | 38.611 | 1.84 | 0.7034 | 0.519281 | 18.80 | 15.61 | 38.60 |
| SY-138 | 0.703231 (10) | 0.52904 (6) | 18.988 | 38.758 | 1.84 | 0.70316 | 0.519287 | 18.98 | 15.60 | 38.75 |
| SY-150 | 0.703095 (10) | 0.52929 (13) | 19.030 | 15.652 | 39.016 | 5.14 | 0.70332 | 0.519269 | 19.07 | 15.65 | 39.00 |
| SY-152 | 0.703149 (11) | 0.52927 (13) | 18.715 | 15.604 | 3.8522 | 5.14 | 0.70308 | 0.519224 | 18.70 | 15.60 | 38.51 |
| SY-157 | 0.703034 (9) | 0.52948 (7) | 18.946 | 15.607 | 3.732 | 5.14 | 0.70314 | 0.519232 | 18.93 | 15.61 | 38.71 |
| SY-160 | 0.702356 (10) | 0.52910 (13) | 18.863 | 15.601 | 3.655 | 5.14 | 0.70301 | 0.519244 | 18.85 | 15.60 | 38.64 |
| SY-174 | 0.703454 (15) | 0.52874 (13) | 18.965 | 15.631 | 38.847 | 8.00 | 0.70325 | 0.519203 | 18.94 | 15.63 | 38.81 |
| SY-285 | 0.702321 (9) | 0.52901 (12) | 18.844 | 15.649 | 38.826 | 5.14 | 0.70345 | 0.519269 | 18.84 | 15.65 | 38.81 |
| SY-286 | 0.702219 (11) | 0.52934 (4) | 19.352 | 15.627 | 39.139 | 5.37 | 0.70323 | 0.519287 | 19.33 | 15.63 | 39.11 |
| SY-290 | 0.70323 (11) | 0.52938 (16) | 19.403 | 15.617 | 39.126 | 5.37 | 0.70322 | 0.519293 | 19.37 | 15.62 | 39.09 |
| SY-291 | 0.706851 (11) | 0.52986 (6) | 18.880 | 15.611 | 38.694 | 5.00 | 0.70332 | 0.519233 | 18.87 | 15.61 | 38.68 |
| SY-296 | 0.70482 (13) | 0.51981 (15) | 18.822 | 15.620 | 38.761 | 5.00 | 0.70365 | 0.519261 | 18.91 | 15.62 | 38.75 |
| SY-303 | 0.703040 (12) | 0.52971 (13) | 19.024 | 15.631 | 38.814 | 5.00 | 0.70348 | 0.519257 | 18.83 | 15.63 | 38.80 |
| SY-305 | 0.703838 (9) | 0.52870 (38) | 18.920 | 15.621 | 38.771 | 5.00 | 0.70304 | 0.519270 | 19.02 | 15.69 | 38.71 |
| SY-312 | 0.703019 (9) | 0.52981 (12) | 19.073 | 15.600 | 38.749 | 4.40 | 0.70302 | 0.519260 | 19.07 | 15.60 | 38.76 |
| SY-316 | 0.70370 (10) | 0.51939 (15) | 18.905 | 15.609 | 38.722 | 2.00 | 0.70370 | 0.519217 | 19.05 | 15.61 | 38.72 |
| SY-319 | 0.706874 (11) | 0.51946 (5) | 18.994 | 15.635 | 38.820 | 1.22 | 0.70367 | 0.519245 | 18.99 | 15.63 | 38.82 |
| NE-02 | 0.703385 (11) | 0.51929 (13) | 18.971 | 15.602 | 38.696 | 1.22 | 0.70338 | 0.519298 | 18.97 | 15.60 | 38.69 |
| NE-03 | 0.70476 (10) | 0.51961 (15) | 19.216 | 15.609 | 38.861 | 2.00 | 0.70348 | 0.519245 | 19.21 | 15.61 | 38.85 |
| NE-05 | 0.70323 (23) | 19.270 | 15.628 | 38.919 | 2.00 | 0.70332 | 0.519238 | 19.21 | 15.63 | 38.91 |
| NE-06 | 0.703378 (13) | 19.246 | 15.610 | 38.996 | 2.00 | 0.70338 | 0.519238 | 19.24 | 15.61 | 38.99 |
| NE-07 | 0.704143 (13) | 18.824 | 15.629 | 38.785 | 2.00 | 0.70414 | 0.519238 | 18.82 | 15.63 | 38.78 |
| NE-08 | 0.704949 (15) | 18.900 | 15.605 | 38.915 | 2.00 | 0.70395 | 0.519235 | 18.97 | 15.60 | 38.91 |
| NE-09 | 0.704092 (10) | 18.986 | 15.608 | 38.946 | 2.00 | 0.70394 | 0.519234 | 18.98 | 15.61 | 38.94 |
| NE-10 | 0.704357 (11) | 18.975 | 15.645 | 38.955 | 2.00 | 0.70409 | 0.519245 | 18.97 | 15.64 | 38.95 |
| NE-12 | 0.70470 (12) | 19.071 | 15.655 | 39.025 | 2.00 | 0.70427 | 0.519245 | 19.07 | 15.69 | 39.02 |
| NE-13 | 0.704071 (12) | 19.003 | 15.613 | 38.839 | 2.00 | 0.70407 | 0.519245 | 19.00 | 15.61 | 38.89 |
| NE-14 | 0.704072 (16) | 19.050 | 15.607 | 38.979 | 3.92 | 0.70407 | 0.519245 | 19.04 | 15.61 | 38.96 |
| NE-15 | 0.704230 (13) | 18.973 | 15.716 | 39.094 | 2.00 | 0.70428 | 0.519245 | 18.97 | 15.72 | 39.09 |
*Correction age depends on geological map of Porikarov et al. (1963), K-Ar ages of Shatkov et al. (1992), and Gannarelli et al. (1988).*
### Table 3. Incremental heating and single-particle total fusion $^{40}$Ar/$^{39}$Ar analyses on groundmass separates and plagioclase phenocrysts from Syrian volcanic rocks.
#### Matrix step-heating
| Sample | Mass [µg] | Analysis type | Age ± 1s [%] | $^{39}$Ar MSWD | n (N) | Age ± 1s [Ma] | Total gas age [Ma] | Inverse isochron analysis |
|----------|-----------|---------------|--------------|----------------|-------|---------------|--------------------|--------------------------|
| SY-028 | 6658 | HR-HA | 11.84 ± 0.12 | 57.2 | 1.0 | 9(20) | 12.20 ± 0.11 | 12.15 ± 0.16 |
| | | | | | | | | 299.3 ± 4.2 |
| SY-041 | 4912 | HR-HA | 12.27 ± 0.16 | 53.9 | 0.52 | 15(20) | 15.0 ± 0.2 | 12.56 ± 0.42 |
| | | | | | | | | 305.3 ± 2.1 |
| SY-060 | 5075 | HR-HA | 19.41 ± 0.49 | 83.4 | 1.01 | 14(20) | 20.80 ± 0.43 | 18.74 ± 0.33 |
| | | | | | | | | 300.7 ± 1.2 |
| SY-113 | 7350 | HR-HA | 1.84 ± 0.09 | 79.1 | 0.57 | 14(20) | 1.80 ± 0.11 | 1.09 |
| | | | | | | | | 307.4 ± 1.0 |
| SY-151 | 5248 | HR-HA | 5.14 ± 0.08 | 70.1 | 1.8 | 11(20) | 5.18 ± 0.11 | 5.06 ± 0.14 |
| | | | | | | | | 296.9 ± 2.1 |
| SY-203 | 5704 | HR-HA | 3.40 ± 0.09 | 100 | 1.0 | 20(20) | 3.37 ± 0.11 | 3.28 ± 0.15 |
| | | | | | | | | 299.4 ± 3.3 |
| SY-203 (pal.) | 6690 | HR-HA | 3.21 ± 0.08 | 100 | 1.5 | 20(20) | 3.28 ± 0.11 | 3.03 ± 0.23 |
| | | | | | | | | 300.5 ± 5.0 |
| SY-224 | 4852 | HR-HA | 3.30 ± 0.06 | 100 | | | | |
| SY-234 | 7173 | HR-HA | 4.19 ± 0.12 | 83.7 | 0.92 | 14(20) | 4.61 ± 0.16 | 3.83 ± 0.32 |
| | | | | | | | | 298.4 ± 1.7 |
| SY-263 | 6239 | HR-HA | 4.27 ± 0.25 | 35.9 | 1.8 | 7(20) | 5.99 ± 0.57 | 7.20 ± 0.37 |
| | | | | | | | | 307.3 ± 0.5 |
| SY-284 | 7697 | HR-HA | 11.70 ± 1.40 | 38.1 | 1.4 | 5(20) | 10.7 ± 0.8 | 10.7 ± 2.6 |
| | | | | | | | | 304.7 ± 2.7 |
| SY-305 | 4810 | HR-HA | 5.36 ± 0.15 | 93.5 | 0.85 | 15(20) | 6.52 ± 0.19 | 3.79 ± 0.21 |
| | | | | | | | | 299.2 ± 0.3 |
| SY-314 | 7416 | HR-HA | 2.86 ± 0.15 | 70.1 | 1.2 | 12(20) | 3.26 ± 0.17 | 3.12 ± 0.25 |
| | | | | | | | | 295.5 ± 2.7 |
| NE-14 | 7038 | HR-HA | 0.40 ± 0.10 | 95.3 | 1.4 | 14(20) | 0.73 ± 0.15 | 0.02 ± 0.19 |
| | | | | | | | | 298.6 ± 0.9 |
#### Feldspar single-crystal total fusion
| Sample | Analysis type | Age ± 1s [Ma] | $^{39}$Ar MSWD | n (N) | Age ± 1s [Ma] | Total gas age [Ma] | Inverse isochron analysis |
|----------|---------------|---------------|----------------|-------|---------------|--------------------|--------------------------|
| SY-038 | MSP-TF | 11.14 ± 0.43 | 1.4 | 13(13)| 11.12 ± 0.46 | 9.81 ± 2.02 | 298.8 ± 4.8 |
| | | | | | | | 1.19 |
| SY-206 | MSP-TF | 1.82 ± 0.54 | 0.40 | 11(11)| 2.30 ± 0.72 | 0.58 ± 2.26 | 299.0 ± 6.0 |
| | | | | | | | 0.40 |
| SY-267 | MSP-TF | 5.67 ± 0.05 | 1.08 | 12(12)| 5.67 ± 0.05 | 5.55 ± 0.15 | 303.1 ± 7.4 |
| | | | | | | | 1.07 |
HR-HA = High-resolution incremental heating analyses; MSP-TF = multiple single-crystal total fusion; Rep. = duplicate step-heating analyses on same sample.
Combined = weighted average of step-heating data. Recovered 40Ar/39Ar dates are unweighted mean estimates and errors (1σ) including uncertainties in the $^40$Ar/$^39$Ar ratio ($\pm 0.04\%$). MSWD = Mean Square Weighted Deviates for plateau ages and inverse isochrons calculated for $R^2 \geq 0.9$. N = total number of heating steps; n = number of heating steps in plateau comprising percent fraction of cumulative 39Ar release. Boldface accepted ages based on single incremental heating analysis plateaus or weighted means from two duplicate runs. Oblique results (italic) because of plateau size deficiency or disturbed equilibria.
Incremental heating $^{40}\text{Ar}/^{39}\text{Ar}$ age determinations were carried out on microcrystalline ground-mass separates and plagioclase phenocrysts using an Ar-ion laser combined with a MAP-216 mass spectrometer at the Leibnitz Institut für Meereswissenschaften in Kiel, Germany. The mass spectrometer is equipped with a Baur-Signer-type ion source, a Johnston electron multiplier, and an ultra-clean gas cleanup line (~600 cc; Zr-Al getters; liquid nitrogen cold trap). Ion beam currents were measured with the electron multiplier at m/z = 36 to 40 and half-mass baselines with an 7.5 digit integrating HP multimeter. Peak heights were regressed to inlet time. The peak decay typically being less than 10% during the analyses. Average extraction line blanks are determined as $2 \times 10^{17}$ mol at m/z = 36 and $4 \times 10^{16}$ mol at m/z = 40. Mass discrimination was monitored using air-fused zero age basaltic glass and pipette air samples (1.0083 ± 0.0006 amu). Correction factors for interfering neutron reactions on Ca and K were determined from co-irradiated CaF$_2$ and K$_2$SO$_4$ salt crystals ($^{36}\text{Ca}/^{39}\text{Ca} = 0.445 \pm 0.005$, $^{37}\text{Ca}/^{39}\text{Ca} = 1006 \pm 7$, $^{38}\text{K}/^{39}\text{K} = 0.0168$, $^{40}\text{K}/^{39}\text{K} = 0.004 \pm 0.002$). $^{40}\text{Ar}/^{39}\text{Ar}$ ages were measured relative to the flux monitor standard TCR sanidine (27.92 Ma; Duffield and Dalrymple, 1990), uncertainties for the J-values being estimated as ± 0.08% (1Sigma). Incremental heating plateau ages (and single-particle mean apparent ages) were calculated as weighted mean (Taylor, 1982) and initial $^{40}\text{Ar}/^{36}\text{Ar}$ isotope ratios and isochron ages as least squares fit with correlated errors (York, 1969) applying the decay constants of Steiger and Jäger (1977). We analysed 13 samples from Syria using $^{40}\text{Ar}/^{39}\text{Ar}$ incremental heating techniques. From three more samples (SY-206, SY-267 and SY-038) plagioclase feldspar phenocrysts were analysed by single-crystal fusion. Results are compiled in Table 3 and are displayed in age plateau diagrams in Figure 3.2.
### 3.4 Results
#### 3.4.1 $^{40}\text{Ar}/^{39}\text{Ar}$ mineral and whole rock ages and spectra
Most of the high-resolution incremental heating analyses yield well-defined age plateaus, with numerous consecutive gas release steps in the mid temperature range comprising a significant fraction (>50%) of the cumulative $^{39}\text{Ar}$ yield and apparent ages identical within error (2Sigma; excluding uncertainties in the J-value, Fig. 3.2). Frequently, elevated apparent ages at the edges of the spectra and systematically higher total gas (“K-Ar”) ages demonstrate the efficiency of the incremental heating procedure in selectively releasing low-, medium-, and high-temperature argon reservoirs (alteration products with or without $^{39}\text{Ar}$ recoil, Ar release from primary K-bearing mineral phases (i.e. plagioclase), and mafic high-temperature mineral phases with inherited excess $^{40}\text{Ar}$, i.e. clinopyroxene and olivine, respectively).
Matrix analyses SY-234, SY-283, and SY-314 and feldspar analysis SY-206 show not well defined spectra but are included to demonstrate the limits of the analytical approach (Fig. 3.2; SY-206 not shown). Matrix analyses SY-234 and SY-283 display acceptable single-step precisions, but the overall spectra are strongly disturbed in the high-temperature gas release region,
which yields apparent ages ($^{40}$Ar/$^{39}$Ar ratios) significantly higher than the small medium-temperature plateau intervals, being most likely derived from groundmass clinopyroxene with initial $^{40}$Ar/$^{36}$Ar ratios >295.5 (Fig. 3.2). Matrix SY-314 and feldspars SY-206, in turn, are very young (several 100,000 years), and neither sample mass (K-content) nor irradiation parameters are suitable for argon isotope analyses with decent precisions.
Inverse isochron analysis of the entire incremental heating data sets yields isochrons with acceptable mean square weighted deviates for all samples except SY-041 and SY-283 (Table 3). Isochron ages that are generally identical to the plateau ages within 1? or 2? uncertainties, but also yield virtual initial $^{40}$Ar/$^{36}$Ar ratios slightly higher than atmosphere (296 to 305), reflecting either (a) systematically elevated initial $^{40}$Ar/$^{36}$Ar ratios in most samples, or (b) counterclockwise tilting of the isochron (mixing) lines from low-temperature, high-atmosphere gas releases due to secondary mineral and $^{39}$Ar recoil. Isochron ages, however, are not systematically younger than the plateau ages, as would be expected from counterclockwise rotation (Table 3). Moreover, the flatness and extent of the plateau regions reflect homogeneous Ar sources with respect to radiogenic and other Ar isotope components throughout most spectra. Therefore, the virtual initial $^{40}$Ar/$^{36}$Ar ratios >295.5 are considered to be artifacts and the plateau ages are considered superior to isochron ages.
A duplicate incremental heating analysis with varied sample mass and heating schedule was carried out on matrix sample SY-203. The analysis gave plateau ages identical within error (3.40±0.09 Ma vs. 3.21±0.08 Ma), which are combined into an inverse-variance weighted mean age of 3.30±0.06 Ma (Fig. 3.2, Table 3).
### 3.4.2 Sr, Nd, and Pb isotopes
In the following our data of the Syrian part of the Harrat Ash Shamah (HAS) will be combined with published data (Barberi et al., 1980; Giannerini et al., 1988; Altherr et al., 1990; Mouty et al., 1992; Stein and Hofmann, 1992; Mor, 1993; Nasir, 1994; Sharkov et al., 1994; Weinstein et al., 1994; Tarawneh et al., 2000; Ilani et al., 2001; Bertrand et al., 2003; Shaw et al., 2003;) from the remaining parts of this large volcanic field. The Syrian samples recovered further north than the HAS are also supplemented by published volcanic data (Giannerini et al., 1988; Mouty et al., 1992; Sharkov et al., 1994; Butler et al., 1997; Sharkov et al., 1998; Bertrand et al., 2003) (Fig. 3.1b). The northern Syrian lavas display large variations in $^{87}$Sr/$^{86}$Sr and $^{143}$Nd/$^{144}$Nd isotope compositions with most of them lying on a negative correlation. Only a few lavas trend to high $^{87}$Sr/$^{86}$Sr, whereby $^{143}$Nd/$^{144}$Nd ratios remain constant at around 0.5129 (Fig. 3.3a). Compared with the northern Syrian group the HAS lavas show less extreme isotopic variation. Both groups overlap with volcanic rocks from Yemen and Saudi Arabia and largely with lavas from the Afar region (i.e. lavas erupted in Ethiopia and Djibouti). However, the Afar lavas with the highest $^3$He/$^4$He isotope composition have significantly higher $^{87}$Sr/$^{86}$Sr and lower...
Fig. 3.2. Microcrystalline groundmass $^{40}\text{Ar}/^{39}\text{Ar}$ incremental heating analyses. Reported $^{40}\text{Ar}/^{39}\text{Ar}$ dates are weighted age determinates and errors of the plateau fractions at the 1σ confidence level including 0.08% standard deviation in the J-value. Plateau ranges and $^{39}\text{Ar}$ fractions as indicated. All samples were analysed using Taylor Creek Rhyolite TCR sanidine (27.92 Ma; Duffield and Dalrymple, 1990) as irradiation standard.
Fig. 3.3. Sr, Nd, and Pb isotope correlations of volcanic rocks from Syria and the HAS field including volcanic samples from Israel and Jordan. Crustally uncontaminated lavas are shown as black circles and contaminated lavas as grey circles. Additionally shown are isotope compositions of volcanic rocks representative for the Afar region including lavas from Ethiopia and Djibouti and such high $^{3}$He/$^{4}$He samples described by Marty et al. (1996). Also shown are fields of lavas from Saudi Arabia and Yemen as well as from the Gulf of Aden region (including lavas from Gulf of Tadjoura and the Ardoukoba Rift) and for upper crustal rocks of Jordan. Data sources: Northern Syria: Bertrand et al. (2003), Krienitz et al. (Chapter I); Harrat Ash Shamah: Stein and Hofmann (1992), Bertrand et al. (2003), Shaw et al. (2003), Krienitz et al. (Chapter II); Saudi Arabia and Yemen: Hegner and Pallister (1989), Altherr et al. (1990), Manetti et al. (1991), Baker et al. (1996a), Baker et al. (1997), Bertrand et al. (2003); Afar: Hart et al. (1989), Vidal et al. (1991), Deniel et al. (1994), Pik et al. (1998), Pik et al. (1999); Gulf of Aden: Schilling et al. (1992); Jordanian crustal rocks: Jarrar et al. (2003).
$^{207}\text{Pb}/^{204}\text{Pb}$ compared to all Syrian lavas whereas volcanic rocks of the Gulf of Aden region generally trend to higher $^{143}\text{Nd}/^{144}\text{Nd}$ (Fig. 3.3a).
All Syrian lavas yield a restricted range of $^{206}\text{Pb}/^{204}\text{Pb}$ between 18.60 and 19.50 when compared to lavas from other Afro-Arabian regions but they exhibit significant scatter in $^{207}\text{Pb}/^{204}\text{Pb}$ at a constant $^{206}\text{Pb}/^{204}\text{Pb}$ of about 19.00 (Fig. 3.3b). In contrast, the Syrian lavas show a relatively small variation in $^{208}\text{Pb}/^{204}\text{Pb}$ and a broad positive correlation can be observed with $^{206}\text{Pb}/^{204}\text{Pb}$ in the HAS and Syrian lavas (Fig. 3.3c). The Syrian lavas overlap with samples from Saudi Arabia and Yemen, the Gulf of Aden, and the Afar region but generally range to higher $^{206}\text{Pb}/^{204}\text{Pb}$ compositions and some have significantly higher $^{207}\text{Pb}/^{204}\text{Pb}$ than the lavas form the other regions. The HAS lavas trend to slightly higher $^{206}\text{Pb}/^{204}\text{Pb}$ compared to the northern Syrian lavas (Fig. 3.3c). In a plot of $^{206}\text{Pb}/^{204}\text{Pb}$ versus $^{87}\text{Sr}/^{86}\text{Sr}$ most of the north Syrian lavas as well as the HAS lavas show a large range of Sr isotopic compositions at $^{206}\text{Pb}/^{204}\text{Pb}$ between 18.80 and 19.10 (Fig. 3.4a). North Syrian lavas with $^{87}\text{Sr}/^{86}\text{Sr} < 0.7035$ exhibit a positive correlation between Sr and Pb isotopic compositions. Syrian lavas with high $^{206}\text{Pb}/^{204}\text{Pb}$ have relatively high $^{143}\text{Nd}/^{144}\text{Nd}$ whereas lavas with low Nd isotope ratios also have low $^{206}\text{Pb}/^{204}\text{Pb}$. A negative correlation of some of the Syrian samples is also observed in the HAS group trending from most radiogenic $^{206}\text{Pb}/^{204}\text{Pb}$ to compositions characterised by Gulf of Aden lavas with highest $^{143}\text{Nd}/^{144}\text{Nd}$ but lowest $^{206}\text{Pb}/^{204}\text{Pb}$ ratios (Fig.
**Fig. 3.4.** Diagrams of (a) $^{87}\text{Sr}/^{86}\text{Sr}$ and (b) $^{143}\text{Nd}/^{144}\text{Nd}$ versus $^{206}\text{Pb}/^{204}\text{Pb}$. Data sources as in Figure 3.3.
3.3 Discussion
3.3.1 Temporal implications on volcanism
The new $^{40}\text{Ar}/^{39}\text{Ar}$ ages of Syrian lavas recovered from locations nearby previous dated regions (Mouty et al., 1992) yield explicit younger ages. We interpret that these old K-Ar ages of 130 Ma and 90 Ma (Mouty et al., 1992) are probably caused by the analysis of altered sample material. In the following discussion we will focus on the episodes of volcanic activity occurring during the last 35 Ma in the Afro-Arabian region.
The oldest volcanism (<16 Ma) in Syria is restricted to the western part of the country near the Dead Sea transform fault, whereas at later times volcanic activity in the vicinity of the Dead Sea fault system and in the region of the HAS volcanic has been rather periodic (Figs. 3.1 and 3.5a). Krienitz et al. (Chapter II) have shown that volcanism in the HAS is consistent with magma generation in a pulsing mantle plume regime. The temporal and spatial distribution of volcanic activity in Syria can be attributed to minor extension at the Dead Sea transform fault system accompanied by the inflow of plume material along preexisting weak zones of the continental lithosphere. Interestingly the magmatic activity in the northeastern parts of the country is restricted to the youngest magmatic phase (4 Ma – 0 Ma) and thus may indicate the northward migration of the plume mantle material (Fig. 3.5a).
Figure 3.3b shows a compilation of K-Ar and Ar-Ar ages of lavas from the Afro-Arabian area together with major tectonic events. Considering the whole Afro-Arabian region, the timing of volcanism reveals a progressive south to north decrease for the commencing volcanic activity.
Fig. 3.5. (a) Sketch of Syria. Grey fields denote the spatial distribution of volcanic rocks together with age information. Numbers give ages in Ma. (b) Radiometric ages of volcanic rocks of the Afar region and the western Arabian edge correlated with major tectonic events in the Afro-Arabian area. K-Ar ages are given by rectangles and Ar-Ar ages are denoted by diamonds. Data sources: Harrat Ash Shamah and northern Syria: as noted in the text; Turkey: Capan et al. (1987), Notsu et al. (1995), Rojay et al. (2001); Lebanon: Mor (1993); Israel: Heimann and Ron (1993), Heimann et al. (1996); Jordan: Barberi et al. (1980), Heimann et al. (1996); Saudi Arabia: Camp and Roobol (1989), Hegner and Pallister (1989), Altherr et al. (1990), Camp et al. (1991), du Bray et al. (1991), Sebai et al. (1991); Yemen: Manetti et al. (1991), Baker et al. (1996a); Afar: Hart et al. (1989), Hofmann et al. (1997).
Accompanied by first continental rifting volcanism started in Ethiopia and Yemen circa 31 Ma ago (Ukstins et al., 2002) indicating the arrival of the Afar plume head (Hofmann et al., 1997). The northward migration of volcanism with time appears to be a reflection of the flattening of the Afar plume head and indicate continuing plume flow underneath Arabia. These observations support the model of Camp and Roobol (1992) about the northward channelling of hot mantle material. With respect to the more precise Ar-Ar ages of lavas and assuming that the Afar plume contributed to the earliest volcanism which is recognised along the western Arabian plate from Yemen (~31 Ma) over 2,500 km to northern Syria (~19 Ma) an average flow velocity of the plume material of about 21 cm/a can be calculated (Fig. 3.5b). This calculated mantle flow velocity of the plume material is somewhat lower compared to the Hawaiian plume with vertical upwelling rates of up to 34 cm/a on the plume axis (Watson and McKenzie, 1991). After a phase of relative volcanic quietness between roughly 16 Ma and 13 Ma, the renewal of volcanic activity comprises the whole Afro-Arabian area, whereby a northward migration of volcanism cannot be observed. The similarity of the onset of volcanism is taken as evidence for the relation of this volcanism to movements along the Red Sea and the beginning of Gulf of Aden sea floor spreading (Cochran, 1981; Hempton, 1987; Brew et al., 2001) (Fig. 3.5b). Since the last 5 to 6 Ma enhanced volcanism in the Afro-Arabian area can also be recognised corresponding to the second phase of movements along the Dead Sea fault and the commencing ocean floor spreading in the Red Sea (Girdler and Styles, 1974; Hempton, 1987; Girdler, 1990) (Fig. 3.5b). However, although the volcanic activity is, in some respects, passively induced by extensional processes due to movements along major plate boundaries, the spatial and temporal variations of volcanism imply a plume influence in the northern Arabian region (Fig. 3.5b).
The contribution of the Afar plume northwards over a distance more than 2,500 km exceeds the predicted dimensions (~2,000 km in diameter) of flattened plume heads (Griffiths and Campbell, 1990) and also the distribution of the Afar plume with a radius of 1,000 km as proposed by Schilling et al. (1992) and Marty et al. (1996) based on Sr, Nd, Pb, and He isotopes in lavas (Fig. 3.1a). On the other hand Hopp et al. (2004) argued on the basis of Ne and He isotopes that the influence of the Afar plume can be traced to the northern parts of the Red Sea and thus over a distance of about 1,800 km (Fig. 3.1a). This dimension resembles our suggested range of the plume influence and agrees with the model of Camp and Roobol (1992) that the evolution of the Afro-Arabian dome is a consequence of northwards directed flow of hot mantle material probably generated in the Afar region (Fig. 3.1a).
3.5.2 Mantle sources contributing to the continental Afro-Arabian volcanism
Since magmas in continental regions can be affected by the assimilation of crustal material the evaluation of primary mantle source characteristics has to include the elimination of these contamination effects. To identify crustally contaminated magmas the Ce/Pb and Nb/U ratios of lavas can be used. Average Ce/Pb ratios of 25±5 and Nb/U ratios of 47±10 are characteristic for lavas
erupted at mid-ocean ridges and for ocean island basalts (Hofmann et al., 1986), and, in fact, appear typically for lavas directly derived from the Earth's mantle. In contrast, crustal rocks exhibit significantly lower Ce/Pb and Nb/U ratios, but generally are characterised by high SiO$_2$ contents, radiogenic $^{87}$Sr/$^{86}$Sr and unradiogenic Nd isotopic compositions. As illustrated in figure 3.4a the broad negative correlation of Sr and Nd isotopes, most notably shown by the northern Syrian rocks, trend to crustal compositions exemplarily displayed by Jordanian upper crustal rocks with high $^{87}$Sr/$^{86}$Sr and low $^{143}$Nd/$^{144}$Nd (Jarrar et al., 2003). In the following discussion we will disregard the Nb/U ratios, because of the mobile behaviour of U, and the Sr isotope compositions, because of its sensitivity to possible alteration processes. Instead we will focus on those lavas yielding Ce/Pb ratios >20 and $^{143}$Nd/$^{144}$Nd compositions that lie above 0.51280.
The variable isotope compositions of uncontaminated Syrian lavas imply that three mantle sources were involved in magma genesis (Figs. 3.3 and 3.4). One mantle component identified has low $^{143}$Nd/$^{144}$Nd (~0.51280) at relatively low Sr isotope ratios (<0.702) and high Pb isotope compositions ($^{206}$Pb/$^{204}$Pb ~19.5, $^{207}$Pb/$^{204}$Pb ~15.65, $^{208}$Pb/$^{204}$Pb ~39.75) (Figs. 3.3 and 3.4). The low $^{143}$Nd/$^{144}$Nd ratios indicate a time integrated enrichment of Nd relative to Sm in the source region and thus this end member is relatively enriched in light rare earth elements with respect to an asthenospheric mantle source represented by Gulf of Aden lavas with low Sr and high Nd isotope ratios (Schilling et al., 1992) (Figs. 3.3a and 3.4b). The slightly higher Sr isotope ratios of the Syrian lavas relative to asthenospheric magmas imply higher Rb/Sr ratios of the source region for this mantle component. The component with radiogenic Pb isotopic composition occurs in lavas from north- and southwestern Arabia and from Afar and is also present in lavas from the Gulf of Aden, i.e. from oceanic crust (Schilling et al., 1992; Baker et al., 1996b; Stewart and Rogers, 1996) (Figs. 3.3 and 3.4). Based on oxygen isotope variations in mineral separates of Yemen lavas that exceed the range observed in peridotites from the continental lithospheric mantle Baker et al. (2000) take into consideration that crustal contamination was an important process in the magma genesis and call the inferred role of an enriched lithospheric mantle contributing to volcanism at the Afro-Arabian triple junction into question (Hart et al., 1989; Vidal et al., 1991; Chazot and Bertrand, 1993; Deniel et al., 1994). As we can rule out crustal contamination this end member probably reflects either a lithospheric component or represent a mantle plume. Based on the spatial distribution of lavas with high $^{206}$Pb/$^{204}$Pb ratios in western Arabia and due to the absence of this high Pb signature in lavas erupted in the central Red Sea area, these lavas being directly derived from the astenosphere, this mantle component could reflect plume mantle. In our opinion, the fact that this mantle component can be observed in oceanic magmas rules out a continental lithospheric origin. Moreover, the elevated topography in the region of the Aden ridge, where lavas with high $^{206}$Pb/$^{204}$Pb were erupted, indicates that hot material is present underneath the Aden region, causing uplift. This is contrary to the hypothesis of Bertrand et al. (2003) attributing this mantle component to the subcontinental lithosphere and interpreting its occurrence in the Gulf of Aden as a remnant part of this lithosphere, which was isolated during extension. Our assumption, however, is supported by seismic
tomography indicating hot mantle material in the Aden region (Daradich et al., 2003) and thus preferentially points to a mantle plume origin of the high Pb signature.
In the Arabian area there are no indications for other mantle plumes but the Afar plume, thus this plume may account for the high Pb isotope ratios in lavas (Fig. 3.1a). Based on Sr, Nd, and Pb isotope compositions the high $^{206}\text{Pb}/^{204}\text{Pb}$ isotope end member has been attributed to the Afar plume (Schilling et al., 1992; Vidal et al., 1991; Deniel et al., 1994). In contrast, Baker et al. (1996b) and Pik et al. (1999) propose a less radiogenic $^{206}\text{Pb}/^{204}\text{Pb}$ composition for the plume than the observed high $^{206}\text{Pb}/^{204}\text{Pb}$ ratios of about 19.5 and attribute this end member to another mantle component. However, the composition of the Afar plume is better constrained considering $^3\text{He}/^4\text{He}$ ratios. Marty et al. (1996) stated that Ethiopian lavas with high $^3\text{He}/^4\text{He}$ ratios probably reflect undegassed material of the lower mantle. This assumption is assisted by seismic tomography, whereby the Afar hotspot may represent a deep seated mantle plume (Ritsema and Allen, 2003; Montelli et al., 2004). Strikingly the high $^3\text{He}/^4\text{He}$ lavas have $^{206}\text{Pb}/^{204}\text{Pb}$ compositions of about 18.8 (Pik et al., 1999), too low to account for the observed isotopic variations in the Syrian lavas (Figs. 3.3b, 3.3c and 3.4). Moreover, the Ethiopian lavas also have higher $^{87}\text{Sr}/^{86}\text{Sr}$ for a given $^{143}\text{Nd}/^{144}\text{Nd}$ (Pik et al., 1999) compared to lavas from Syria (Fig. 3.3a). Thus, this lower mantle component of the Afar plume is cannot contribute to Syrians volcanism.
Griffiths and Campbell (1990) noticed that mantle plumes originating from the core/mantle boundary contain a high percentage of entrained material of the overlying upper mantle. If recycled enriched components were stored at upper mantle depths, as it is proposed in the model of Marty et al. (1996) for the evolution of the Ethiopian plume (i.e. the Afar plume), the entrainment process would lead to distinct isotopic signatures in magmas when compared to the initial material rising from the lower mantle. Thus, the plume composition would be heterogeneous and the radiogenic Pb isotope compositions in lavas could be explained by this entrained proportion of the upper mantle. Thus, in our opinion the relatively enriched mantle end member with high $^{206}\text{Pb}/^{204}\text{Pb}$ ratios represents plume mantle and is associated with the Afar mantle plume. The increasing $^{206}\text{Pb}/^{204}\text{Pb}$ ratios of the HAS lavas over the past 13 Ma therefore imply an increasing Afar plume influence in the northern Arabian region (Fig. 3.6). This agrees with the proposal of Camp and Roobol (1992) that a period of uplift and magmatism is controlled by active mantle upwelling concentrated along the major axis (MMN line) of the Arabian dome in Saudi Arabia (Fig. 3.1a).
The second end member involved in magma genesis of northern Arabian lavas has low $^{87}\text{Sr}/^{86}\text{Sr}$ ($\sim 0.7030$), high $^{143}\text{Nd}/^{144}\text{Nd}$ ($\sim 0.5130$) and is characterised by relative unradiogenic Pb isotope ratios (Figs. 3.3 and 3.4). It has been shown that mid ocean ridge tholeiites erupted in the Gulf of Aden and also in the central parts of the Red Sea probably represent the asthenosphere in these regions (Altherr et al., 1988; Eissen et al., 1989; Schilling et al., 1992; Haase et
Based on the similar Sr, Nd, and Pb isotope compositions of the Syrian HAS lavas and Red Sea basalts, Krienitz et al. (Chapter II) proposed that the HAS lavas could have been formed from an incompatible element-enriched asthenospheric source. The trend of the Syrian lavas towards isotopic compositions of the Gulf of Aden lavas with high $^{143}\text{Nd}/^{144}\text{Nd}$ and low $^{87}\text{Sr}/^{86}\text{Sr}$ as well as the similar isotope composition of the northern Syrian and the HAS lavas therefore suggests that the second end member probably reflects an asthenospheric mantle component in northern Arabia (Figs. 3.3 and 3.4).
A third mantle component identified is defined by Sr isotope ratios of $\sim0.7038$ and $^{143}\text{Nd}/^{144}\text{Nd}$ of about 0.5129 (Figs. 3.3 and 3.4). This mantle component has $^{207}\text{Pb}/^{204}\text{Pb}$ ratios of $\sim15.6$ for a given $^{206}\text{Pb}/^{204}\text{Pb}$ of $\sim18.7$ and is present in those Gulf of Aden regions that were interpreted by Schilling et al. (1992) to be in a nascent state of extension (i.e., Gulf of Tadjoura and Ardoukoba rift zone). Because of the low $^{207}\text{Pb}/^{204}\text{Pb}$ ratios for a given $^{206}\text{Pb}/^{204}\text{Pb}$ and high $^{87}\text{Sr}/^{86}\text{Sr}$ ratios of the high $^3\text{He}/^4\text{He}$ Afar lavas a contribution of this Afar plume component can be ruled out. Furthermore, the entrained upper mantle proportion of the Afar plume has too radiogenic $^{206}\text{Pb}/^{204}\text{Pb}$ compared to this end member. Both high $^{143}\text{Nd}/^{144}\text{Nd}$ ratios and low Sr isotope ratios of Gulf of Aden lavas, which represent the asthenosphere in the Afro-Arabian region, and the absence of the third component in the central parts of the Gulf of Aden argue against an asthenospheric origin of this mantle component. Based on Sr, Nd, and Pb isotope signatures Schilling et al. (1992) interpreted that this end member probably represents a continental lithospheric component. Because the northern Syrian and HAS lavas trend to compositions similar to these lithosphere influenced lavas of the Gulf of Aden region, the third component probably reflects a continental lithospheric signature in northern Arabian magmatism.
3.3.3 The melting regime in the Afro-Arabian region
In order to determine the mantle melting processes in the Afro-Arabian region we compare fractionation-corrected compositions of uncontaminated lavas, i.e. those within the range of mantle compositions in terms of Ce/Pb and with $^{143}\text{Nd}/^{144}\text{Nd} > 0.51280$. The used fractionation correction scheme based on the $\text{SiO}_2$ contents is similar to the approach of Klein and Langmuir (1987).
Fig. 3.7. Diagrams of (a) $\text{Si}_{\text{Q},0}$, (b) chondrite-normalised Ce/Yb, (c) Sm/Yb ratios of lavas versus latitude, and (d) chondrite-normalised Sm/Yb versus Ce/Yb ratios of Arabian and Afar lavas. Exemplarily shown are melting curves of garnet and spinel lherzolites. The compositions of lavas considered include only such samples with MgO >5 wt.%, Ce/Pb >20, and/or $^{143}\text{Nd}/^{144}\text{Nd} > 0.51280$. The fractionation correction scheme on the $\text{SiO}_2$ contents is similar to the approach of Klein and Langmuir (1987). Chondrite composition used for normalising is from McDonough and Sun (1995). Data sources as in Figure 3.4.
and includes only lavas with MgO > 5 wt.%. It is apparent from figure 3.7a that the SiO$_2$ concentrations of the Syrian lavas are lower than most of the Saudi Arabian and Afar lavas. Since the SiO$_2$ concentrations of primitive melts are mainly controlled by melting pressure - decreasing pressures resulting in increasing SiO$_2$ (Hirose and Kushiro, 1993) - rather than by the degree of melting, the variations in Si$_{9.0}$ suggests that the maximum depths at which melting occurred decreases southward along western Arabia. Moreover, if only Afar lavas with high $^3$He/$^4$He ratios are taken into account (Marty et al., 1996) this gradient in melting depths can be traced further into the Afar region (Fig. 3.7a).
The chondrite normalised Ce/Yb and Sm/Yb ratios of northern Arabian lavas show large variations and trend to higher ratios compared to Saudi Arabian, Yemen and Afar lavas with low chondrite-normalised Ce/Yb (<10) and Sm/Yb (<6) (Figs. 3.7b and c). These differences may depend on variable mantle source compositions and/or variations in the degree of melting. Since distribution coefficients in garnet are higher for the heavy REEs than for the middle and light ones, melting of a garnet facies mantle results in a strong fractionation of the HREEs and can produce large variations in the LREE/HREE ratios and also in the MREE/LREE ratios. In contrast, melting of a spinel-peridotite would not produce such a strong fractionation of the HREEs and thus would lead to minor variations. The highly variable REE ratios of northern Arabian lavas displayed in Figures 3.7b to 3.7d therefore indicate residual garnet in the source region and thus the generation from a garnet peridotite at high pressures. Krienitz et al. (Chapter II) calculated pressures of melt formation corresponding to depths of 100 to 150 km and have shown that the wide range of REE ratios in the lavas from the Syrian part of the HAS field are caused by melting of garnet bearing mantle sources. Lavas from southern Arabia and Afar have fractionated HREEs being generally lower than northern Arabian lavas indicating either relative minor amounts of garnet in their source regions or larger degrees of melting or both. Baker et al. (1997) have pointed out that the REE patterns of Yemen lavas are produced by mixing of small melt fractions generated in a predominantly garnet peridotite facies mantle with larger degree melts of a spinel peridotite mantle source. We interpret the REE ratios to be to a minor extent controlled by source compositions, i.e. by variable amounts of garnet in the mantle source regions of the Arabian and Afar lavas, whereby the amount of garnet generally should be larger in the north than in the south (Figs. 3.7b to d).
The low SiO$_2$ contents in lavas are coupled with high Ce/Yb and Sm/Yb ratios suggesting a relation between the extent and depths of melt formation (Figs. 3.7a to c). The commencing melting process probably took place at greater depths with minor degrees of melting in the northern Arabia region compared to other Afro-Arabian regions. This assumption agrees with the conclusions of Shaw et al. (2003) that melt formation in Jordan took place at deeper levels than in Yemen where intraplate volcanism clearly displays the influence of a mantle plume (Baker et al., 1997).
Extensive melting of mantle material at a potential temperature of 1280°C can only occur when the stretching factor of the lithosphere is in the range between 2 and 5 (McKenzie and Bickle, 1988; White and McKenzie, 1989). Camp and Roobol (1992) calculated a local stretching factor for the lithosphere beneath Saudi Arabia of only ~1.0 and Krienitz et al. (Chapter II) calculated stretching factors for the lithosphere in northwestern Arabia of 1.3 to 1.6. These factors are too low to account for melt generation and cannot explain the observed differences in the melting regime in the Afro-Arabian region. Alternatively, melting may occur if the source region contains minor amounts of volatiles lowering the solidus or if the temperature is hotter than the average potential mantle temperature of 1280°C. Volatiles are stored in mineral phases such as amphibole or phlogopite in the upper mantle, whereby Le Roex et al. (2001) noticed that amphibole is neither a stable phase under mantle plume nor under asthenospheric mantle conditions. Based on similar isotopic and incompatible trace element signatures of Yemen lavas and amphibole-bearing lithospheric mantle xenoliths Baker et al. (1997) proposed that volcanism in western Yemen appears to be induced by lithospheric extension resulting in melting of shallow mantle that was hydrated due to the influence of the Afar plume. In this context and on the basis of variable isotope and trace element compositions of Syrian HAS lavas Krienitz et al. (Chapter II) proposed that the magmas were generated by both a volatile- and incompatible element-enriched mantle and by a mantle plume with a maximum excess temperature of 180°C. However, the melt formation rather appears to be controlled by elevated mantle temperatures in a mantle plume beneath the Arabian region. This is supported by the elevated topography of these regions, by elevated geotherms calculated on the basis of mantle xenoliths (McGuire and Bohannon, 1989; Snyder et al., 1993; Nasir and Safarjalani, 2000; Al-Mishwat and Nasir, 2004) and heat flow measurements (Gettings, 1981) as well as by seismic tomography (Daradich et al., 2003). The isotopic relations observed in the lavas also suggest that a mantle plume is involved in the magma genesis of northern Arabian lavas enforcing our hypothesis. In summary, the data are consistent with a mainly temperature-controlled melting regime that varies from deep mantle melting with low extents of partial melting in northern Arabia to relatively shallower melt formation with larger melt proportions in southern Arabia and Afar.
### 3.6 Conclusion
The new geochemical and isotope data as well as $^{40}\text{Ar}/^{39}\text{Ar}$ ages of lavas from the northwestern Arabian plate in Syria and their relation to volcanism along western Arabia and the Afar region demonstrate the far-scale influence of the Afar mantle plume to the north. The isotopic record of crustally uncontaminated Syrian lavas implies that asthenospheric, lithospheric, and plume mantle sources contribute to their magma genesis, whereby the plume end member can be related to an entrained upper mantle component of the Afar plume containing recycled and enriched material. Variable fractionation-corrected $\text{SiO}_2$ contents and REE ratios of crustally uncontaminated Arabian and Afar lavas indicate variations in the extent of melting as well as in
the depths of melt formation varying from relatively shallow but high degree melting in the south to increasingly deeper regions and lower extents of partial melting in the north. This is consistent with a northward directed plume flow regime from the Afar region, where the continuing plume inflow resulted in relatively shallow melt generation accompanied by large extents of melt formation. Further support of this model is given by the age progressive onset of volcanic activity to the north since the arrival of the Afar plume in Ethiopia and Djibouti some 30 Ma ago.
Acknowledgements
This study is part of M.-S.K.’s dissertation and was funded by the Deutsche Forschungsgemeinschaft (DFG) under grant HA 2568/5. We thank H. Baier, H. Blaschek, D. Garbe-Schönberg, K. Kißling, and P. Rengers for their help during the analytical work.
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Proceedings of the PolEval 2020 Workshop
Maciej Ogrodniczuk, Łukasz Kobyliński (eds.)
Institute of Computer Science, Polish Academy of Sciences
Warszawa, 2020
ISBN 978-83-63159-29-0
© Copyright by Institute of Computer Science, Polish Academy of Sciences
Jana Kazimierza 5
01-248 Warszawa
The publication is available under Creative Commons Attribution 4.0 International (CC BY 4.0) license. The licence text is available at https://creativecommons.org/licenses/by/4.0/deed.en.
Warszawa 2020
## Contents
**PolEval 2020: Introduction**
Maciej Ogrodniczuk, Łukasz Kobyliński ................................................................. 5
**Results of the PolEval 2020 Shared Task 1: Post-editing and Rescoring of Automatic Speech Recognition Results**
Danijel Korżinek ........................................................................................................... 9
**t-REx: The Rescorer-Extender Approach to ASR Improvement**
Adam Kaczmarek, Tomasz Syposz, Michał Martusewicz, Jan Chorowski,
Paweł Rychlikowski .................................................................................................... 15
**Post-editing and Rescoring of ASR Results with Edit Operations Tagging**
Tomasz Ziętkiewicz ..................................................................................................... 23
**Post-editing and Rescoring of Automatic Speech Recognition Results with OpenNMT-APE**
Dominika Wnuk, Krzysztof Wołk .................................................................................. 33
**Results of the PolEval 2020 Shared Task 2: Morphosyntactic Tagging of Middle, New and Modern Polish**
Marcin Woliński, Witold Kieraś, Dorota Komosińska, Włodzimierz Gruszczyński .... 39
**KFTT: Polish Full Neural Morphosyntactic Tagger**
Krzysztof Wróbel ........................................................................................................ 47
**Simple yet Effective Baseline for Morphosyntactic Tagging of Middle, New and Modern Polish**
Piotr Rybak, Agnieszka Rybak .................................................................................... 55
**CMC Tagger in the Task of Tagging Historical Texts**
Wiktor Walentynowicz, Tomasz Kot .......................................................................... 59
**Results of the PolEval 2020 Shared Task 3: Word Sense Disambiguation**
Arkadiusz Janz, Joanna Chlebus, Agnieszka Dziob, Maciej Piasecki ....................... 65
Polbert: Attacking Polish NLP Tasks with Transformers
Dariusz Kłeczek ................................................................. 79
Results of the PolEval 2020 Shared Task 4: Information Extraction from Long Documents with Complex Layouts
Filip Graliński, Anna Wróblewska ........................................... 89
CLEX — Information Extraction from Documents with Complex Layouts
Michał Marcińczuk, Michał Olek, Marcin Oleksy, Jan Wieczorek ............... 95
BiLSTM Recurrent Neural Networks in Heterogeneous Ensemble Models for Named Entity Recognition Problem in Long Polish Unstructured Documents
Aleksandra Świętlicka, Adam Iwaniak, Mateusz Piwowarczyk .................. 109
PolEval is an evaluation campaign focused on Natural Language Processing tasks for Polish, intended to promote research on language and speech technologies, create objective evaluation procedures and improve state-of-the-art.
Since the beginnings we are glad to observe a steady growth of interest in our initiative — thank you! We started in 2017 with only 2 tasks which already attracted 20 submissions. In 2018 we have received 24 systems competing in 3 tasks and in 2019 — 34 systems in 6 tasks. 2020 brought 42 submissions in 4 tasks (see Figure 1).
Figure 1: Number of PolEval submissions and average submissions per task in 2017–2020
This volume consists of proceedings of the online workshop session organized during the AI & NLP Day conference\(^1\) on October 26th, 2020, presenting the results of the 2020 edition of the shared task.\(^2\)
In 2020 the systems competed in the following tasks:
- Task 1: Post-editing and rescoring of automatic speech recognition results
- Task 2: Morphosyntactic tagging of Middle, New and Modern Polish
- Task 3: Word Sense Disambiguation
- Task 4: Information extraction and entity typing from long documents with complex layouts
The number of submissions per each task has varied greatly (see Figure 2): this year it was the post-editing and rescoring of ASR results task which has attracted the most submissions.
We are very sorry that we could not meet in person this time due to the COVID situation but we hope we will be able to do it next year. Please join us to celebrate the fifth edition of PolEval in 2021!
At all times, please feel free to share your ideas for improving this competition or willingness to help in organizing your own NLP tasks.
---
\(^1\)https://2020.nlpday.pl
\(^2\)http://2020.poleval.pl
Organizers
Concept and administrative issues
Maciej Ogrodniczuk (Institute of Computer Science, Polish Academy of Sciences)
Łukasz Kobylański (Institute of Computer Science, Polish Academy of Sciences and Sages)
Task 1: Post-Editing and Rescoring of Automatic Speech Recognition Results
Danijel Korżinek (Polish-Japanese Academy of Information Technology)
Task 2: Morphosyntactic Tagging of Middle, New and Modern Polish
Włodzimierz Gruszczyński (SWPS University of Social Sciences and Humanities)
Witold Kieraś, Marcin Woliński, Dorota Komosińska (Institute of Computer Science, Polish Academy of Sciences)
Task 3: Word Sense Disambiguation
Arkadiusz Janz, Maciej Piasecki (Wrocław University of Science and Technology)
Task 4: Information Extraction and Entity Typing from Long Documents with Complex Layouts
Anna Wróblewska, Filip Graliński, Dawid Lipiński (Applica.ai)
Paweł Rzepiński, Ryszard Szymański, Tymon Czarnota (Data Science students at Warsaw University of Technology, Faculty of Mathematics and Information Science)
Results of the PolEval 2020 Shared Task 1: Post-editing and Rescoring of Automatic Speech Recognition Results
Danijel Koržinek (Polish-Japanese Institute of Information Technology)
Abstract
This paper describes a challenge during the 2020 Poleval competition regarding the topic of post-editing in the context of automatic speech recognition (ASR). The task was to create a system which corrects common language mistakes made by an ASR system. The input to the system could be either a single-best output, an n-best output or a lattice generated by the ASR system. Most contestants used modern NLP and deep learning approaches. The best system achieved an improvement of 13% relative WER.
Keywords
automatic speech recognition, natural language processing, post-editing, rescoring
1. Introduction
Automatic speech recognition (ASR) systems are used to convert audio recordings of speech into text. Just like most machine learning systems, ASR makes mistakes. A common way of expressing this is through the Word Error Rate (WER), which is equivalent to the ratio number of words mistakenly substituted, deleted or inserted with regard to the number of words in the correct transcript of a particular utterance. One of the most often used research goals is the reduction of this value within specific contexts.
This error can be reduced either by improving the internal mechanisms and models of the system itself, but a very popular method used in various problems involving a text output is post-editing (see e.g. Bassil and Alwani 2012, Lee et al. 2019, Lopes et al. 2019, Shterionov et al. 2019, Vu and Haffari 2018). This means using various external techniques to convert the raw text output of the system into a more correct version. A few motivating factors for the post-editing approach are given below.
A typical ASR system is usually created using a combination of an acoustic and a language model, where the language model is often based on a basic statistical n-gram approach. Errors produced by such a system are often trivial and easy to spot. One might argue that using a better language model could fix this problem, but this is often intractable as the system is expected to produce a language score of many hundreds of acoustic-level hypotheses at any given time. Even the more modern end-to-end ASR systems often suffer from this same issue, as the model size is already extremely large in order to contain both the acoustic and language parts in the same deep neural network.
Given the lack of constraints of the typical ASR system, a post-editing solution can take any design approach into account. It can be as simple as using a larger n-gram language model or as complicated as a combination of several NLP-oriented subsystems targeted at fixing specific language problems. It would be especially interesting to explore the new recurrent neural network based language models like BERT or other similar seq2seq approaches.
Finally, it turns out that a form of post-editing is actually a common approach used in many state-of-the-art results (e.g. Xiong et al. 2018, Xu et al. 2018), as a way of getting around the limitations of online speech recognition process. This technique is commonly referred to as re-scoring and it utilized more than just a single best output of the ASR system. It relies either on the N-best outputs (usually $\approx 100$ per utterance) or a more efficient data structure known as the lattice. The N-best approach works by simply taking the new model and re-scoring each hypothesis of the N-best hypotheses, which leads to a new ordering and a new sentence ending up as the best result.
The lattice approach is a bit more involved. A lattice is a connected graph where each arc emits a word with a specific weight attached to it. A path starting from a specific state in the graph and ending up in another specified state has a score calculated as the combination of the consecutive weights of the arcs used to traverse it. It is equivalent to the sequence and initial score of the N-best approach discussed above, but much more compact and efficient. Furthermore, each weight can be decomposed into its acoustic and language model components, which makes the re-scoring even better, by saving the acoustic model information in the final score. A lattice oracle is the path within the lattice that is closest to the reference output. A lattice will not contain every possible word sequence, so the lattice oracle error rate is usually $> 0\%$.
## 2. Task definition
The goal of this task was to create a system for converting a sequence of words from a specific ASR system into another sequence of words that more accurately describes the actual spoken utterance. The training data consisted of utterance pairs – each pair containing an utterance generated by the output of the ASR and an utterance containing the correct transcription of the utterance.
The ASR system used to create the training data was the same one used during the evaluation procedure. That means that the solution to this task had to be able to correct the errors that particular one specific system makes. It didn’t need to fix errors in any system that it hasn’t seen.
Table 1: Contents of the training data
| Data set | WER % | Lattice oracle WER % |
|---------------------------|-------|----------------------|
| Clarin-PL training set | 9.59 | 3.75 |
| Clarin-PL test set | 12.08 | 4.72 |
| Clarin-PL dev set | 12.39 | 4.93 |
| Polish Parliamentary Corpus | 45.57 | 30.71 |
For simplicity, the output of both the ASR and the required reference was in normalized form: no punctuation, no capitalization and no digits, symbols or abbreviations. Just a simple sequence of words.
3. Data
The ASR system used to generate the transcripts was trained on the Clarin-PL studio corpus using the *tri3b* model from the ClarinStudioKaldi setup available online and in (Korżinek et al. 2017). The same system was applied to a larger Polish Parliamentary Corpus\(^1\) from the last year’s competition described in (Korżinek 2019).
Each provided set contained the following files:
- 1-best output – each utterance containing a single best transcript of the ASR output
- n-best output – each utterance containing up to 100 best alternative hypotheses of the ASR output
- lattice output – each utterance containing a list of arcs forming a lattice of the ASR output; each line contains the following fields: start node, end node, words, language weight, acoustic weight, list of phonetic-level states
- reference – file similar to the 1-best output, but containing the actual reference transcript
The contestants were encouraged to use other resources to train their systems such as the Polish Sejm Corpus (Ogrodniczuk 2012, 2018) for language modeling. There was also a similar task completed a year prior by a different research team described by Kubis et al. (2020).
4. Evaluation
The evaluation was carried out on a newly created dataset of sessions of the European Parliament in Polish, unavailable to the participants, but soon to be published online and described by Chmiel et al. (2020). Participants were provided with a file containing a collection of ASR outputs in the format described in the training section. They had to create a
\(^1\)http://clip.ipipan.waw.pl/PPC
file containing the final corrected output, one line per utterance in the similar format as the 1-best output. The participants were allowed any number of submissions and the best one was counted to the final ordering.
The evaluation was carried out using the NIST SCLITE package to determine the Word Error Rate (WER) of the individual submissions. Word error rate is defined as the number of edit-distance errors (deletions, substitutions, insertions) divided by the length of the reference:
\[
WER = \frac{N_{del} + N_{sub} + N_{ins}}{N_{ref}}
\]
The task of creating an interesting competition turned out to be more difficult than anticipated. If the ASR system used was too good, the post-editing problem would be too minor and unimpressive. A very bad system, on the other hand, would make the language too difficult to analyze. A compromise was made and the chosen system had a somewhat average word-error-rate (from the tested systems) amounting to 27.6%. For those that decided to use the lattice as their input, they could count on the oracle word-error-rate of 17.7%, presenting a sort of floor for the error rate of the given ASR system. That means that the system likely made many errors which were unrecoverable from the post-editing perspective, therefore an improvement of even a few absolute percentage points made a significant difference.
5. Participating systems and results
There were 20 submissions from 8 different teams. The results were very close in a few cases. To make the assessment a bit more interesting we calculated both the error rate compared to the reference (which was not known to the submitters), as well as the single best output (which was known to the submitters). The latter shows the number of changes the submission made to the original.
The submission titled “MLM+bert_base_polish” only had 171 out of 462 files submitted and cannot be directly compared with others. The result for only the present files was 26.8%. If we extract these 171 files from the winning submission, its result would yield 23.4%, so this submission would have lost in this comparison as well.
The winning submission by the Wrocław University team titled “flair-bigsmall” was submitted twice (both submissions were identical) and it also lacked the output for 2 files. The result in the table is calculated assuming these two files were completely incorrect. If we didn’t account for these files, the result would be 24.0%. It was a close call with between the Wrocław University and Adam Mickiewicz University teams, but ultimately the former team won.
Acknowledgements
The creation of the training corpora was funded by the Clarin-PL project. The test corpus was funded by the UMO-2018/30/E/HS2/00035 (SONATA BIS 8) research grant funded by the National Science Centre (2019-2024).
Table 2: Results of the submissions to Task 1
| Submitter | Submission | Affiliation | WER % | Changes |
|----------------------------|-----------------------------------|---------------|-------|---------|
| Krzysztof Wróbel | KRS + spaces | UJ, AGH | 25.9 | 3.6% |
| Krzysztof Wróbel | KRS | UJ, AGH | 26.9 | 1.6% |
| Dariusz Kleczek | Polbert | skok.ai | 26.9 | 2.1% |
| Tomasz Ziętkiewicz | BiLSTM-CRF edit-operations tagger | AMU | 24.7 | 6.2% |
| Kornel Jankowski | base-4g-rr | Samsung | 27.7 | 2.0% |
| Adam Kaczmarek | t-REx_k10 | UWr | 24.9 | 14.2% |
| Adam Kaczmarek et al. | t-REx_k5 | UWr | 25.0 | 14.2% |
| Adam Kaczmarek et al. | t-REx_fbs | UWr | 24.0 | 17.2% |
| Krzysztof Wołk | PJA_CLARIN_1k | PJAIT | 33.5 | 9.1% |
| Krzysztof Wołk | PJA_CLARIN_10k | PJAIT | 32.0 | 9.6% |
| Krzysztof Wołk | PJA_CLARIN_20k | PJAIT | 31.8 | 9.9% |
| Krzysztof Wołk | PJA_CLARIN_40k | PJAIT | 31.8 | 10.3% |
| Krzysztof Wołk | PJA_CLARIN_50k | PJAIT | 31.8 | 10.2% |
| Krzysztof Wołk | CLARIN_SEJM_40k | PJAIT | 33.7 | 19.1% |
| Krzysztof Wołk | CLARIN_SEJM_50k | PJAIT | 32.5 | 17.7% |
| Jim O’Regan | MLM+bert_base_polish | n/a | 26.8 | 2.1% |
| Tomasz Syposz et al. | tR-Ex_xk | UWr | 25.7 | 18.1% |
| Tomasz Syposz et al. | tR-Ex_fbs | UWr | 24.0 | 17.2% |
| Tomasz Syposz et al. | tR-Ex_fx | UWr | 25.0 | 23.3% |
| Tomasz Syposz et al. | tR-Ex_kxv2 | UWr | 25.5 | 17.1% |
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t-REx: The Rescorer-Extender Approach to ASR Improvement
Adam Kaczmarek (VoiceLab.AI)
Tomasz Syposz, Michał Martusewicz, Jan Chorowski, Paweł Rychlikowski (Institute of Computer Science, University of Wrocław)
Abstract
This paper presents our contribution\(^1\) to PolEval 2020\(^2\) Task 1: Post-editing and rescoring of automatic speech recognition results. Our system was scored first and achieved WER 24.3% (compared to 27.6% for original ASR system).
Keywords
natural language processing, computational linguistics, linguistic engineering, lattice, flair, word2vec, n-grams
1. Introduction
Automatic Speech Recognition is one of the standard natural language processing tasks for which the input is a recording and the output is a transcription of that recording. Most often, first the input waveform is transformed to feature vectors sequence (MFCC, or spectrogram), and then the ASR system tries to find the most likely sequence of words for these features. Nevertheless, it is interesting to ask whether, for a specific speech recognition system, looking only at its results (presented as the most likely sequence of words, a set of top-N sequences, or a lattice describing many variants of the recognition together with their costs), we will be able to significantly improve the performance of the original system.
\(^1\)Code and models are available at: https://github.com/adamjankaczmarek/poleval2020
\(^2\)http://2020.poleval.pl
2. Task description
The goal of PolEval 2020 Task 1. *Post-editing and rescoring of automatic speech recognition results* is to create a system for converting a sequence of words from a specific automatic speech recognition (ASR) system into another sequence of words that more accurately describes the actual spoken utterance. In the training data for every utterance we have its correct transcription, as well as the output of an ASR system (top N word sequences, and the full lattice containing acoustic and language model costs).
3. Our system
We have decided to implement our system based on the following ideas:
1. Use several Language Models trained on various text corpora including large parts of the Polish Parliamentary Corpus (Ogrodniczuk 2012, 2018) and the reference transcriptions given as training data.
2. Experiment both with standard n-gram models, and with modern deep neural networks architectures (including recurrent models defined in Flair library, and BERT transformer model).
3. Implement our own beam search on lattices which can handle the above mentioned language models.
4. Extend the original lattice with extra words, by adding new nodes and edges.
3.1. Lattice extending
The idea behind lattice extensions is fairly simple: when an ASR creates a lattice it may miss some words from the real sentence. These words cannot be recovered with regular lattice rescoring. We can counteract it by adding new edges to the lattice. The first step was to find for each word in the lattice a set of possible extensions which are words within a small edit (Levenshtein) distance. For this we used a structure called “BK-tree” filled with unigrams\(^3\) from the NKJP corpus (Przepiórkowski et al. 2012). The search range was dependent on the chosen word’s length. There were a few assumptions and restrictions. We did not want to extend short words, because almost all of them are in the shortest range. We also knew the longer the word, the smaller the set of words in a given edit distance. For computational reasons, the set of possible extending words and the search radius had to be rather small. We experimentally established that it’s better to use the distance between words converted to phonemes.
\(^3\)http://zil.ipipan.waw.pl/NKJPGrams
The final search radius was given by the formula:
\[ x = \text{length of phonemes form of a word} \]
\[
\text{search radius (x)} = \begin{cases}
0, & \text{if } x < 4 \\
1, & \text{if } 4 \leq x < 8 \\
2, & \text{if } x \geq 8
\end{cases}
\]
After this we need to cut down the lattice because it is much too big — 30 times bigger than the original one. Our idea is loosely inspired by graph-based text summarization (Mihalcea and Tarau 2004). We create a directed graph describing the relationship between words in the lattice. The intuition is as follows: nodes are connected by an edge if it is natural that they can appear in the same utterance.
We create edges between two nodes if the following score is bigger than 1:
\[
\nu * \cosine_distance(\text{parent}, \text{child}) + b * \log_{10} \frac{\text{bi-gram}[\text{parent}, \text{child}]}{\text{uni-gram}[\text{parent}]}
\]
where cosine_distance is equal to one minus cosine similarity between word2vec vectors for given words, uni-gram[w] is the unigram count for word w, bi-gram[w1,w2] is the 2-gram count for w1 and w2, and \(b\) and \(\nu\) are constants. We, again, used n-grams with their respective counts collected on NKJP. During experiments, we set \(b\) to \(-40\) and \(\nu\) to 333. These constant have been chosen such that only about 30% of edges have a score above 1, which results in a sparse graph. The next step is to perform a PageRank algorithm (Brin and Page 1998) on the resulting graph. When the Page Rank iterations are done, we keep up to 15 possible extensions of each word by selecting the candidates with the biggest page rank value.
**Lattice extending results**
The average oracle WER on extended lattices from our train set was 9.8%. After reducing it with PageRank algorithm by more than 3 times we achieved 11.3% (while oracle WER on original lattice set is equal to 15.4%). Of course bigger lattices (with smaller Oracle-WER) give a bigger chance of substantial WER decrease, however, they also make finding the correct path much more difficult. We believe that the PageRank reduced version of the lattice is a good trade-off.
### 3.2. Lattice rescoring
Our system performs two lattice rescoring runs. First, we find a set of paths using a n-gram language model. We then rescore the top paths from the second stage using neural language models.
Beam search
The first lattice rescoring run is a beam search-based rescorer. We investigate two variants of language models to calculate the total rescored cost according to the equation:
\[
\text{cost} = \text{cost}_{\text{language}} + 0.02 \times \text{cost}_{\text{acoustic}}
\]
The first variant uses beams of size 5000 and 10000 with KenLM (Heafield 2011) language model trained on a large part of the Polish Parliamentary Corpus. The second beam search variant uses a beam of size 1000 with Flair (Akbik et al. 2018) language model. We used a pre-trained model pl-opus primarily based on the Wikipedia and OPUS corpus (Tiedemann 2012). The model was then fine-tuned on the Polish Parliamentary Corpus and its subcorpus of transcriptions provided in training data.
Beam rescoring
Second lattice rescoring run is a pure language model based rescoring using PolBert\(^4\) model. Language model score is computed as the sum of per-token scores of BERT model. Total score of an utterance is calculated according to the equation above.
3.3. Results
We present results of our system, along with other submissions to the PolEval 2020 Task 1 in Table 4. Systems named as \(t\text{-REx}_k5\) and \(t\text{-REx}_k10\) show results from beam search decoder with KenLM language model and beams of respective size 5000 and 10000. System \(t\text{-REx}_fbs\) denotes the winning solution with beam search decoder with beam size 1000 and the fine-tuned Flair language model. Additionally, we provide scores for systems evaluated out of the competition. Due to a technical issue, the winning solution did not contain results for all utterances. We have corrected it, and here we provide the score for the winning system with missing transcripts taken from original 1best file from the test dataset. Next systems are: \(t\text{-REx}_bert\) — results from \(t\text{-REx}_fbs\) additionally rescored with PolBert model and two variants of the system with lattice extending — \(t\text{-REx}_fbsx\).
3.4. Future works
There are many possible future directions to extend our work. We enumerate a few of them.
Text corpora
To train a language model we have used two corpora: a large part of Polish Parliamentary Corpus and a reference transcription from PolEval training data. These two corpora have several drawbacks when treated as a base for training language models: the small one is
\(^4\)https://github.com/kldarek/polbert
Table 1: Results of PolEval 2020 Task 1
| System name | Affiliation | WER % | Changes % |
|------------------------------|------------------------------------|-------|-----------|
| KRS + spaces | UJ. AGH | 25.9 | 3.6 |
| KRS | UJ. AGH | 26.9 | 1.6 |
| Polbert | https://skok.ai/ | 26.9 | 2.1 |
| BiLSTM-CRF edit-operations tagger | Adam Mickiewicz University | 24.7 | 6.2 |
| base-4g-rr | Samsung R&D Institute Poland | 27.7 | 2.0 |
| t-REx_k10 | University of Wrocław | 24.9 | 14.2 |
| t-REx_k5 | University of Wrocław | 25.0 | 14.2 |
| t-REx_fbs | University of Wrocław | 24.31 | 17.2 |
| PJA_CLARIN_1k | Polish-Japanese Academy of IT | 33.5 | 9.1 |
| PJA_CLARIN_10k | Polish-Japanese Academy of IT | 32.0 | 9.6 |
| PJA_CLARIN_20k | Polish-Japanese Academy of IT | 31.8 | 9.9 |
| PJA_CLARIN_40k | Polish-Japanese Academy of IT | 31.8 | 10.3 |
| PJA_CLARIN_50k | Polish-Japanese Academy of IT | 31.8 | 10.2 |
| CLARIN_SEJM_40k | Polish-Japanese Academy of IT | 33.7 | 19.1 |
| CLARIN_SEJM_50k | Polish-Japanese Academy of IT | 32.5 | 17.7 |
| MLM+bert_base_polish | — | 73.9 | 2.1 |
Non-competitive results
| System name | Affiliation | WER % | Changes % |
|------------------------------|------------------------------------|-------|-----------|
| t-REx_fbs (with 2 from 1best) | University of Wrocław | 23.93 | 16.6 |
| t-REx_bert (with 8 from 1best)| University of Wrocław | 23.4 | 17.0 |
| t-REx_fbsx_50 | University of Wrocław | 25.09 | 23.3 |
| t-REx_fbsx_150 | University of Wrocław | 23.67 | 19.1 |
simply too small (it has only 5 MB of text), while the large one is not a real transcription: text contains some abbreviations, numbers are written with digits not words (so we lose the actual form of them), maybe some times text is corrected. It is possible to create a version of these corpora which is more suitable for speech recognition. It can be done by applying the text normalization procedures similar to the first pass of a TTS system. Of course it is quite easy to train a neural network solving this task, and one can produce the training data from unannotated corpora.
**Acoustic information**
In this task we had access only to the limited acoustic information: in lattices for every edge we had an LM cost and acoustic cost (which was a mixture of HMM cost and emission cost). Moreover, this information was restricted to phonemes occurring in words present in a lattice. It makes it difficult to expand a lattice (because for many phonemes we don’t have any information about their acoustic costs). Our assumption, that the cost of new edges is a sum of an acoustic cost from the closest path in the lattice, and the cost connected with phonemes insertions, deletions and replacement is in general false: the new version in fact can have smaller acoustic costs. One can overcome these problems by slight modification of the task. There are two possibilities for doing this. First one is to record raw acoustic costs,
ie. probabilities of every phoneme in every 10 ms of speech signal. The second option is to add to the input data the lattices containing phonemes (the result of the recognition with a vocabulary containing only phonemes, with a very simple phoneme bigram language model).
**More careful lattice extensions**
When expanding the lattice we can see the trade-off between bigger lattices which can substantially reduce the Oracle WER and the ease of beam search: with larger lattices there are more options to consider. Maybe it is worth concentrating only on very typical errors (as changing the word into the other word with the same lemma, joining some very short words with their neighbours, and so on).
**Language models with holes**
Standard language models give a probability distribution over the word $w_T$ given its predecessors $w_1 \ldots w_{T-1}$, and they are trained only with the correct prefixes. When the ASR system results are of a low quality, then, even in wide lattices, there are no perfect paths. Nevertheless, we use the pretrained LM for the data which is substantially different from the data used during training. We believe that careful consideration of this issue can yield further WER reduction.
**Acknowledgements**
Jan Chorowski and Paweł Rychlikowski were partially supported from the NCN OPUS 2019/35/B/ST6/04379 grant. The authors also thank the PL-Grid consortium for computational resources.
**References**
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Brin S. and Page L. (1998). *The Anatomy of a Large-Scale Hypertextual Web Search Engine*. In *Proceedings of the 7th International World-Wide Web Conference (WWW 1998)*. http://ilpubs.stanford.edu:8090/361/.
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Mihalcea R. and Tarau P. (2004). *TextRank: Bringing Order into Text*. In *Proceedings of the 2004 Conference on Empirical Methods in Natural Language Processing*, pp. 404–411. Association for Computational Linguistics.
Ogrodniczuk M. (2012). *The Polish Sejm Corpus*. In *Proceedings of the 8th International Conference on Language Resources and Evaluation (LREC 2012)*, pp. 2219–2223. European Language Resources Association.
Ogrodniczuk M. (2018). *Polish Parliamentary Corpus*. In Fišer D., Eskevich M. and de Jong F (eds.), *Proceedings of the LREC 2018 Workshop ParlaCLARIN: Creating and Using Parliamentary Corpora*, pp. 15–19. European Language Resources Association.
Przepiórkowski A., Bańko M., Górski R. L. and Lewandowska-Tomaszczyk B., editors (2012). *Narodowy Korpus Języka Polskiego*. Wydawnictwo Naukowe PWN.
Tiedemann J. (2012). *Parallel Data, Tools and Interfaces in OPUS*. In *Proceedings of the 8th International Conference on Language Resources and Evaluation (LREC 2012)*, pp. 2214–2218. European Language Resources Association.
Post-editing and Rescoring of ASR Results with Edit Operations Tagging
Tomasz Ziętkiewicz
(Adam Mickiewicz University, Samsung Research Poland)
Abstract
This paper presents a system developed at Adam Mickiewicz University and Samsung Research Poland for submission to PolEval 2020 Task 1: Post-editing and rescoring of ASR results.\(^1\) The goal of the task was to “create a system for converting a sequence of words from a specific automatic speech recognition (ASR) system into another sequence of words that more accurately describes the actual spoken utterance.” The paper describes a novel approach to the problem of correcting speech recognition errors, by tagging with edit operations tags. We show that the proposed system can achieve results comparative with other approaches while providing a high level of control over how the system works, which make it suitable for production settings. Beside the detailed description of the method, the paper presents related works, task and data description, data augmentation techniques and results analysis.
Keywords
natural language processing, speech processing, ASR, speech recognition, error correction, rescoring, error correction
1. Introduction
Automatic speech recognition is a computer science problem which both academia and industry have been working on for more than six decades now. Thanks to constant progress in the field, automatic speech recognition performance in some use cases approaches human level (Spille et al. 2018).
Still, even state-of-the-art speech recognition systems make mistakes, especially in difficult conditions or in unknown domains. These mistakes can be addressed in the ASR system itself, by training or adapting the ASR model with additional data or modifying its parameters.
\(^1\)http://2020.poleval.pl/tasks/task1/
This approach, however, is not always possible – it requires large amounts of training data and computing power. In the case of cloud-based speech recognition services, it can be just impossible to modify the model used by the ASR at all. Even if one can modify the ASR model itself and have sufficient resources to do so, the learning capacity of the chosen ASR system architecture can limit performance achieved by the system in some specific cases (Guo et al. 2019).
To further improve speech recognition results in the above scenarios we can try to fix mistakes made by an ASR system on its output, in a post-processing step. In this approach hypothesis returned by the speech recognition system is processed by an error correction model. The model is trained on previous mistakes of the ASR system and tries to detect and correct mistakes present in ASR hypotheses.
## 2. Related work
Errattahi et al. (2018) present a comprehensive overview of speech recognition errors correction methods. In a more recent paper Guo et al. (2019) propose machine translation-inspired sequence-to-sequence approach which learns to “translate” hypotheses to reference transcripts. To augment training data authors use all N-best hypotheses to form pairs with reference sentences, generate audio data using speech synthesis and add noise to the source recordings. The resulting training set consist of 640M reference-hypothesis pairs. The proposed system achieves 18.6% relative WER (Word Error Rate) reduction. Zhang et al. (2019) use a similar approach for Mandarin speech recognition, but propose Transformer model for spelling correction. Authors report the result of 22.9% relative CER (Character Error Rate) improvement. Hrinchuk et al. (2019) developed a transformer-based sequence to sequence model, trained on a training set consisting of 2.5M examples which achieved relative WER reduction of around 12% on English datasets. More recently, Mani et al. (2020) applied machine translation techniques for the same problem but for a specific domain of medical reports. Depending on the ASR system used they achieved relative WER reduction of around 16% (41 to 34) and 3% (35,8 to 34,5).
To our best knowledge, there was only one shared task on ASR error correction before PolEval 2020: “Open Challenge for Correcting Errors of Speech Recognition Systems” (Kubis et al. 2020). This challenge also focused on ASR error correction for Polish speech recognition but in a slightly different setting. Dataset consisted of just 1-best hypotheses and reference sentences and the ASR system being used was not open-sourced.
Malmi et al. (2019) use edit operation tagging for sentence fusion, sentence splitting, abstractive summarization, and grammar correction tasks. Transformer architecture is used for the tagger. For the grammatical error correction task which is most similar to the problem discussed in this paper, authors report competitive results for small training datasets and very short inference times compared with sequence to sequence approach.
One can also find research on a closely related topic of grammatical error correction: see e.g. (Grundkiewicz and Junczys-Dowmunt 2018) for sequence-to-sequence approach or (Omelianchuk et al. 2020) for tagging approach. There are also shared tasks for grammatical correction, like (Bryant et al. 2019) or (Ng et al. 2014).
3. Data
Data provided by organizers consisted of:
- reference transcriptions of utterances (except for evaluation dataset)
- hypotheses returned by speech recognition system in 3 different forms:
- 1-best output – each utterance containing a single best transcript of the ASR output
- n-best output – each utterance containing up to 100 best alternative hypotheses of the ASR output
- lattice output – each utterance containing a list of arcs forming a lattice of the ASR output
The speech recognition system used to produce the hypotheses was trained using Kaldi (Povey et al. 2011) ASR toolkit on CLARIN-PL studio corpus\(^2\) (Marasek et al. 2015). Recordings and references used to create data came from 3 different corpora:
- CLARIN-PL studio corpus (Marasek et al. 2015) (the same used to train the ASR model)
- Polish Parliamentary Corpus (PPC)\(^3\)
- subset of Polish interpreting corpus (PINC)\(^4\)
Sizes of the resulting datasets are shown in Table 1.
Table 1: Statistics of datasets provided by organizers
| | CLARIN-PL studio Train | CLARIN-PL studio Test | CLARIN-PL studio Dev | PPC Train | PELCRA-PARL Train | PINC Eval |
|------------------|------------------------|-----------------------|----------------------|-----------|-------------------|-----------|
| Sentences | 11,222 | 1362 | 1229 | 6752 | 8066 | 462 |
| WER | 9.59 | 12.08 | 12.39 | 45.57 | 59.95 | 27.6 |
| Oracle WER | 3.75 | 4.72 | 4.93 | 30.71 | – | 17.7 |
| Avg. length | 22 | 21 | 21 | 104 | 12 | 169 |
| Min. length | 3 | 6 | 7 | 1 | 2 | 70 |
| Max. length | 55 | 53 | 49 | 341 | 47 | 435 |
3.1. Data augmentation
Because task description allowed using external data, we decided to prepare an additional corpus of ASR hypotheses to augment the training set. Aim of the task was to create ASR error correction model tailored for specific ASR system. What follows – train, test and development datasets provided by organizers were produced by the same ASR system as the evaluation data used for the final assessment of submissions. Therefore, to obtain optimal results, the
\(^2\)https://clarin-pl.eu/dspace/handle/11321/236
\(^3\)http://mowa.clarin-pl.eu/korpusy/parlament/parlament.tar.gz (Ogrodniczuk 2018)
\(^4\)https://pincproject2020.wordpress.com/
additional training data should also be prepared using the same speech recognition model. To achieve it, we trained the model using Kaldi recipe mentioned in task description\(^5\) (Korżinek et al. 2017) and the same training data as used by organizers (CLARIN-PL studio corpus). We used the ASR to decode PELCRA-PARL corpus (Pęzik 2018), which similarly to CLARIN-PL studio corpus, contains recordings of Polish Parliament speeches. We chose this corpus because of a similar domain to the one used in the training and evaluation datasets. By adding the corpus, which consisted of 8066 sentences, we extended the number of training examples from 11 222 to 19 288. For statistics of the corpus see Table 1. To achieve a larger data set covering wider variety of errors generated by the ASR system, we used up to 10-best hypotheses to generate more reference-hypothesis pairs. As a result, the training set finally consisted of 110 059 hypothesis-reference pairs. This is still quite a small dataset in comparison with training sets used by Guo et al. (2019) (640M) or Hrinchuk et al. (2019) (2.4M), but as shown by Malmi et al. (2019), tag-apply models (see Section 2) requires much smaller datasets then sequence-to-sequence models used for the same tasks.
4. Method
Contrary to the sequence-to-sequence approach which learns the hypothesis-reference mapping directly, we propose a tag-apply approach. Training of a model in this approach consists of the following steps: input and expected output sequences are compared. Based on differences found, edit operation tags are added to the input, describing how to transform it into expected output. This way a corpus of input sequences tagged with operation tags is created. The corpus is then used to train a tagging model. On inference time, the input sequences are tagged with edit operations by the model. The edit operations are then applied to the input sentence.
Below, we describe in detail how training of the model and correction of errors are performed. Given a corpus of pairs of (potentially incorrect) ASR hypotheses and corresponding reference transcriptions, a corpus of ASR hypotheses tagged with edit operation tags is prepared (see *Labeler* block in Figure 2) Every pair of hypothesis and reference sentences is compared using Ratcliff-Obershelp algorithm (Ratcliff and Metzener 1988)\(^6\) for approximate string matching. As a result, for every such pair a list of operation codes ("insert", "delete", "replace" or "equal") is obtained, describing how to transform sequences of tokens from the hypothesis into corresponding sequences of reference tokens.
Edit operations codes "replace" and "insert" returned by string matching algorithm need to be combined with tokens from the reference sentence to contain enough information for transforming hypothesis into a corresponding reference sentence. For example, given reference sentence: *cats are cute* and hypothesis: *cat are cute* the returned opcodes would be *replace equal equal*. To make edit operation tag from the operation code "replace" and reference token *cats* we concatenate them with _ separator to get *replace_cats*. Resulting operation tags for the given example would be: *replace_cats equal equal*.
\(^5\)https://github.com/danijel3/ClarinStudioKaldi
\(^6\)https://docs.python.org/3/library/difflib.html
Because we want the trained tagging model to be able to generalize into unseen words, we decided to extend the set of available edit operations to include more fine-grained operations. To do so, we analyze differences within the mismatched tokens and whenever possible we try to use more fine-grained operations. In the above example, `replace_cats` would be changed into `append_s` – an edit operation that appends letter s to the word being tagged. For complete example of processing hypothesis-reference pair, see Figure 1.
**Figure 1:** Example of creating a tagged hypothesis sentence from hypothesis-reference pair
Edit operations are chosen in a deterministic manner from a predefined set of edit operation classes. Examples of edit operations classes can be found in Table 2.
Having prepared a corpus of hypothesis sentences labeled with edit operations, a tagger model can be learned (see. *Tagger trainer* block in Figure 2). We train the tagger using Flair\(^7\) Sequence Tagger (Akbik et al. 2019) with Polish Flair word embeddings (Borchmann et al. 2018).
During the inference stage, when the system is used to correct ASR output, without knowing the corresponding reference sentence, the tagging model is used to insert edit operation tags (see. *Tagger* block in Figure 2). Edit operations are then applied to words in hypothesis (see *Editor* block in Figure 2) to correct potential errors. Using taggers score values returned
\(^7\)https://github.com/flairNLP/flair
Table 2: Examples of edit operations
| Name | Description | Example |
|--------------------|--------------------------------------------------|------------------|
| del | deletes a token | "a" → "" |
| append_s | appends given suffix to the token | "cat" → "cats" |
| add_prefix_ | prepends given prefix to the token | "owl" → "howl" |
| remove_suffix_1 | removes 1 character from the end of the token | "cats" → "cat" |
| remove_prefix_1 | removes 1 character from the beginning of the token | "howl" → "owl" |
| join | joins token with previous one | "book store" → "bookstore" |
| join_- | joins token with previous one using given separator | "long term" → "long-term" |
| replace_ | replaces token with given string | "cat" → "hat" |
together with tag labels, one can also control precision of the system by performing only these edit operations which were returned with score value above some threshold.
5. Evaluation
The only metric used to officially compare submissions to the task was average Word Error Rate (WER) of hypotheses corrected by the proposed system. WER is given by following formula:
\[
WER = \frac{N_{del} + N_{sub} + N_{ins}}{N_{ref}}
\]
where \(N_{sub}\) – number of substitutions, \(N_{del}\) – number of deletions, \(N_{ins}\) – number of insertions, \(N_{ref}\) – length of reference sentence.
Results achieved by the proposed system are shown in Table 4.
Table 3: Word Error Rates for input data and the proposed system
| | CLARIN Train | CLARIN Test | PPC Dev | PINC Eval |
|--------------------------------|--------------|-------------|---------|-----------|
| Raw ASR 1best | 9.59 | 12.08 | 12.39 | 45.64 |
| Lattice oracle WER | 3.75 | 4.72 | 4.93 | 30.71 |
| Edit operation tagger (from 1best) | – | 10.7 | – | 24.7 |
| Absolute WER Reduction | – | 11.42% | – | 10.50% |
| Relative WER Reduction | – | 11.42% | – | 10.50% |
According to official Poleval 2020 results, our submission to the shared task scored second best result in terms of WER level.\(^8\) We believe that by further increasing the training dataset and experimenting with tagger architecture the result could be even further improved. Organizers also report percentages of changes introduced by proposed systems into input sentences. In this respect, our submission (6.2\%) is fairly more “conservative” than the winning one (17.2\%) while achieving only slightly higher WER (24.70 vs 24.31). This is especially important in a commercial setting where error correction systems are expected to prefer precision over recall.
6. Conclusion
We presented a novel approach to correcting speech recognition errors in a post-processing step. Instead of learning transformation from hypothesis to reference directly, we propose to
\(^8\)http://poleval.pl/results/
learn tags that describe how to turn the hypothesis into reference. A similar approach has been proved to be valuable in other, yet similar tasks. Achieved results suggest its applicability to the ASR error correction problem. We showed that the proposed solution has advantages over sequence-to-sequence systems inspired by machine translation. It offers precise control over how the error correction model works and it requires smaller training sets. When compared with competitive PolEval submissions our approach shows a low percentage of introduced changes. These features suggest applicability of the solution in a production setting.
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Marasek K., Korźinek D., Brocki Ł. and Jankowska-Lorek K. (2015). *Clarin-PL Studio Corpus (EMU)*. CLARIN-PL digital repository, http://hdl.handle.net/11321/236.
Ng H. T., Wu S. M., Briscoe T., Hadiwinoto C., Susanto R. H. and Bryant C. (2014). *The CoNLL-2014 Shared Task on Grammatical Error Correction*. In *Proceedings of the 18th Conference on Computational Natural Language Learning: Shared Task*, pp. 1–14. Association for Computational Linguistics.
Ogrodniczuk M. (2018). *Polish Parliamentary Corpus*. In Fišer D., Eskevich M. and de Jong F (eds.), *Proceedings of the LREC 2018 Workshop ParlaCLARIN: Creating and Using Parliamentary Corpora*, pp. 15–19. European Language Resources Association.
Omelianchuk K., Atrasevych V., Chernodub A. and Skurzhanskyi O. (2020). *Gector – Grammatical Error Correction: Tag, Not Rewrite*. arXiv:2005.12592.
Povey D., Ghoshal A., Boulianne G., Burget L., Glembek O., Goel N., Hannemann M., Motlicek P., Qian Y., Schwarz P., Silovsky J., Stemmer G. and Vesely K. (2011). *The Kaldi Speech Recognition Toolkit*. In *IEEE 2011 Workshop on Automatic Speech Recognition and Understanding*. IEEE Signal Processing Society. IEEE Catalog No.: CFP11SRW-USB.
Pęzik P. (2018). *PELCRA PARL corpus*. CLARIN-PL digital repository, http://hdl.handle.net/11321/545.
Ratcliff J. W. and Metzener D. (1988). *Pattern Matching: the Gestalt Approach*. https://www.drdobbs.com/database/pattern-matching-the-gestalt-approach/184407970?pgno=5. Dr. Dobb's Journal.
Spille C., Kollmeier B. and Meyer B. T. (2018). *Comparing Human and Automatic Speech Recognition in Simple and Complex Acoustic Scenes*. „Computer Speech & Language”, 52, p. 123–140.
Zhang S., Lei M. and Yan Z. (2019). *Automatic Spelling Correction with Transformer for CTC-based End-to-End Speech Recognition*. arXiv:1904.10045.
Post-editing and Rescoring of Automatic Speech Recognition Results with OpenNMT-APE
Dominika Wnuk, Krzysztof Wołk
(Polish-Japanese Academy of Information Technology)
Abstract
This paper presents our submission to Task 1 of PolEval 2020 contest. OpenNMT-APE system was applied in post-editing and rescoring of ASR output for Polish language. The system trained on Clarin-PL and Polish Parliament corpora was then evaluated with Word Error Rate metric. The experiments performed differed in dataset size and training steps, and even though the results fell behind the average WER, the proposed system is novel and worth further experimenting.
Keywords
Polish, natural language processing, automatic post-editing, APE, Word Error Rate, WER, speech recognition
1. Introduction
Automatic post-editing (APE) is a supervised learning method of automatically correcting errors in the output of a machine translation (MT) algorithm (Negri et al. 2018). Post-editing was traditionally performed by a human editor correcting mistakes in machine translation (Correia and Martins 2019). The present paper describes the solution proposed to Task 1 of PolEval 2020, an annual contest regarding natural language processing of Polish. In the submitted solution, the automatic post-editing method was applied to the results of an automatic speech recognition system. Hence, both the source and the target data being the same language, and not a language pair.
2. Task description and data
Task 1 was meant to refine the results of automatic speech recognition (ASR; Levis and Suvorov 2012) through post-editing and rescoring. The created system was supposed to convert utterances generated by an ASR (transcriptions of oral utterances) into the new ones which would better reflect the actually spoken phrases. As the ASR used to generate the training data was also used in the evaluation stage, the created system had to be tailored to the meet the specifics of this particular ASR only, and not create a global solution. In order to simplify the task, all reference and output files were simple sequences of words, without capitalization, digits, punctuation, symbols nor abbreviations.
There were four data sets provided, each consisting of four files: the actual record transcript for reference, 1-best output with a sole best transcript of the ASR system, n-best output with up to 100 optimal transcripts, and lattice output in form of a graph representing different hypotheses for the utterance. Three data sets: training, test and development came from on from the Clarin-PL studio corpus (Marasek et al. 2015), and the fourth – the Polish parliament corpus (Ogrodniczuk 2012, 2018).
For the purpose of training, two data sets were prepared: one consisting only of Clarin-PL sets, and the second combining the Clarin-PL and the Polish parliament corpora.
3. Post-editing system
For the training OpenNMT-APE, part of the open source toolkit for neural machine translation system (Klein et al. 2017) was selected. Full code is available on Github.\(^1\) OpenNMT-APE applies transfer learning by implementing the pretrained BERT model (Devlin et al. 2019). The novelty of this approach is the use of BERT both as encoder and decoder in a seq2seq (sequence to sequence) model (Correia and Martins 2019, Lopes et al. 2019).
As per OpenNMT-APE documentation (available on Github), the following parameters had their optimal values set:
- Validation steps: 1000
- Checkpoint: 30
- Warmup steps: 5000
- Learning rate: 0.00005
- Average decay: 0.0001
Source and target sequence length was defined as 200, while train steps and start decay steps were adjusted per each experiment (as shown in Table 1).
Additionally, as advised by Correia and Martins (2019), the self-attention was shared between encoder and decoder, and the context attention had the same weights as the self-attention. The dropout rate and the label soothing were both set as 0.1.
\(^1\)https://github.com/deep-spin/OpenNMT-APE
Table 1: Task 1 corpora and training iterations
| Submission | Corpora | Iterations |
|---------------------|--------------------------------|------------|
| PJA_CLARIN_1k | Clarin-PL | 1 thousand |
| PJA_CLARIN_10k | Clarin-PL | 10 thousand|
| PJA_CLARIN_20k | Clarin-PL | 20 thousand|
| PJA_CLARIN_40k | Clarin-PL | 40 thousand|
| PJA_CLARIN_50k | Clarin-PL | 50 thousand|
| CLARIN_SEJM_40k | Clarin-PL and Polish parliament| 40 thousand|
| CLARIN_SEJM_50k | Clarin-PL and Polish parliament| 50 thousand|
The whole process had three principal steps: pre-processing, training and translation, and two additional steps including the clean-up of missing lines and reprocessing of missed lines. In the pre-processing step model dimensionality was configured with 12 self-attention layers, 12 attention head, the RNN and word vector size of 768, and feed-forward inner layer of 3072. Correia and Martins (2019) also suggest the use of Moses tokenizer in the pre-processing stage; however, this method was not used.
Interestingly, unlike in the previous approaches APE was not used for machine translation post-editing, but it was applied to refine the transcriptions of Polish language, hence improving the quality of ASR dedicated for Polish language (Ziółko et al. 2011).
4. Evaluation
The evaluation process has been performed with the use of Word Error Rate (WER), which measures the number of substitutions, deletions and insertions in the hypothesis utterance, divided by the length of the reference utterance (Popović and Ney 2007).
\[
WER = \frac{N_{del} + N_{sub} + N_{ins}}{N_{ref}}
\]
\(N_{del}\) refers to the number of deletions, \(N_{sub}\) refers to the number of substitutions, \(N_{ins}\) refers to the number of insertions, and \(N_{ref}\) refers to the reference length.
WER was calculated using NIST SCLITE (Score lite) package which is part of the Scoring Toolkit developed by the National Institute of Standards and Technology (NIST).\(^2\) Reference data was generated by the same ASR system as the training data.
5. Results
Table 2 below presents the results obtained by each of the submissions made. Word Error Rate score of the ASR system used was 27.6%, hence any result below this score would indicate
\(^2\)https://www.nist.gov/about-nist
a successful solution to the question of refining ASR output. Additionally, *Changes* column shows the percentage of changes made by the submission to the original transcription.
**Table 2: Submission results**
| Submission | WER % | Changes % |
|---------------------|-------|-----------|
| PJA_CLARIN_1k | 33.5 | 9.1 |
| PJA_CLARIN_10k | 32.0 | 9.6 |
| PJA_CLARIN_20k | 31.8 | 9.9 |
| PJA_CLARIN_40k | 31.8 | 10.3 |
| PJA_CLARIN_50k | 31.8 | 10.2 |
| CLARIN_SEJM_40k | 33.7 | 19.1 |
| CLARIN_SEJM_50k | 32.5 | 17.7 |
As can be observed in Table 2, the best score was achieved with the use of Clarin-PL dataset and 20 thousand iterations – 31.8% WER. The use of additional iterations (respectively 40 and 50 thousand) did change the original output yet did not improve the WER score. The use of combined dataset (Clarin-PL and Polish Parliament corpora) had an even higher percentage of change made to the original, yet again the WER score was not satisfactory. Although, it is worth noting that 50 thousand iterations improved the result, compared to 40 thousand iterations.
## 6. Conclusions
We have presented our submission to the PolEval 2020 contest for Task 1. With the use of open source APE system, the optimal score of 31.8% WER was achieved. It falls behind the average word error rate; nevertheless, the system applied has great potential thanks to the novelty application of encoder-decoder architecture with BERT language model (Lopes et al. 2019), and it would be worth experimenting further to optimize the parameters, in order to refine the results. Nonetheless, it adds a new perspective to the question of automatic post-editing models applied to the natural language understanding systems and sets an interesting path for further research.
## References
Correia G. M. and Martins A. F. T. (2019). *A Simple and Effective Approach to Automatic Post-Editing with Transfer Learning*. In *Proceedings of the 57th Annual Meeting of the Association for Computational Linguistics*, pp. 3050–3056. Association for Computational Linguistics.
Devlin J., Chang M.-W., Lee K. and Toutanova K. (2019). *BERT: Pre-training of Deep Bidirectional Transformers for Language Understanding*. arXiv:1810.04805.
Klein G., Kim Y., Deng Y., Senellart J. and Rush A. (2017). *OpenNMT: Open-Source Toolkit for Neural Machine Translation*. In *Proceedings of ACL 2017, System Demonstrations*, pp. 67–72. Association for Computational Linguistics.
Levis J. and Suvorov R. (2012). *Automatic Speech Recognition*. In Chapelle C. A. (ed.), *The Encyclopedia of Applied Linguistics*. Blackwell Publishing Ltd.
Lopes A. V., Farajian M. A., Correia G. M., Trenous J. and Martins A. F. (2019). *Unbabel’s Submission to the WMT2019 APE Shared Task: BERT-based Encoder-Decoder for Automatic Post-Editing*. arXiv:1905.13068.
Marasek K., Korżinek D., Brocki L. and Jankowska-Lorek K. (2015). *Clarin-PL Studio Corpus (EMU)*. CLARIN-PL digital repository, http://hdl.handle.net/11321/236.
Negri M., Turchi M., Bertoldi N. and Federico M. (2018). *Online Neural Automatic Post-editing for Neural Machine Translation*. In Cabrio E., Mazzei A. and Tamburini F. (eds.), *Proceedings of the 5th Italian Conference on Computational Linguistics (CLiC-it 2018)*, pp. 288–293.
Ogrodniczuk M. (2012). *The Polish Sejm Corpus*. In *Proceedings of the 8th International Conference on Language Resources and Evaluation (LREC 2012)*, pp. 2219–2223. European Language Resources Association.
Ogrodniczuk M. (2018). *Polish Parliamentary Corpus*. In Fišer D., Eskevich M. and de Jong F. (eds.), *Proceedings of the LREC 2018 Workshop ParlaCLARIN: Creating and Using Parliamentary Corpora*, pp. 15–19. European Language Resources Association.
Popović M. and Ney H. (2007). *Word Error Rates: Decomposition over POS Classes and Applications for Error Analysis*. In *Proceedings of the 2nd Workshop on Statistical Machine Translation (StatMT 2007)*, pp. 48–55. Association for Computational Linguistics.
Ziółko M., Galka J., Ziółko B., Jadczyk T., Skurzok D. and Masior M. (2011). *Automatic Speech Recognition System Dedicated for Polish*. In *Proceedings of the 12th Annual Conference of the International Speech Communication Association (INTERSPEECH 2011)*, pp. 3315–3316.
Results of the PolEval 2020 Shared Task 2: Morphosyntactic Tagging of Middle, New and Modern Polish
Marcin Woliński, Witold Kieraś, Dorota Komosińska
(Institute of Computer Science, Polish Academy of Sciences)
Włodzimierz Gruszczyński
(Institute of Polish Language, Polish Academy of Sciences)
Abstract
In the paper we present the objectives, dataset, evaluation and results of the PolEval 2020 Shared Task 2 devoted to the morphosyntactic tagging of historical texts representing three periods of the development of Polish: Middle, New and Modern. Our dataset is spanned between early 17th and early 21st c., covering grammatical and lexical changes of the last four centuries of the history of Polish. Thus the data are much more diverse and allow for testing morphosyntactic taggers in a slightly new environment.
Keywords
morphosyntactic disambiguation, tagging, historical language processing
1. Introduction
Morphosyntactic disambiguation is one of the most classic NLP problems. For nearly ten years the development and evaluation of morphosyntactic taggers for Polish were focused on the same dataset, namely NKJP1M. Our shared task was aimed at providing an opportunity to build new systems or tune existing ones to test them in a slightly different environment of more diverse and less standardised historical data. Although the data may seem to be unusual and atypical for everyday applications of NLP tools, the best performing solutions may be deployed in a growing number of projects aimed at building historical corpora of various periods of Polish.
2. Task definition
The data for this year’s task covers 400 years of the development of the Polish language. Text samples were drawn from three manually annotated corpora: KorBa — a corpus of the 17th and 18th century (Gruszczyński et al. 2013, Kieraś et al. 2017, Gruszczyński et al. 2020), a corpus of the 19th century (Kieraś and Woliński 2018), and 1M subcorpus of the National Corpus of Polish NKJP (Przepiórkowski et al. 2012). The corpora represent three different periods of development of Polish: Middle, New and Modern.
All the texts were marked using a historical tagset, which is similar to the tagset of Morfeusz SGJP (Woliński 2019) with some differences, e.g.:
— the gender system is reduced to three basic genders: masculine, feminine and neuter, however some masculine forms are marked for animacy distinction (*manim1* and *manim2*);
— there are three values for the number category: singular, dual (*Dwie żabie upragnione po polach biegały*), and plural;
— there are special flexemes *adjb*, *ppasb* and *pactb* for historical “short” (non-compound) forms of adjectives and participles (*rówien*, *pogrzebion*, *pięknę*, *swoję*, *chcęcy…*);
— additional flexeme for past participle (*ppraet*) was introduced (*wyłysiały*, *przybyły*);
— separate flexeme classes of so called adjectival and adverbial numerals (*adjnum* and *advnum*) were introduced;
— there are two flexemes *fut* and *plusq* for auxiliary forms of *BYĆ* for future and pluperfect tenses.
The tagset used in the task isn’t native for any of the source corpora sampled for the shared task. It is rather a blend of all source tagsets, which was primarily developed for the purpose of Chronofleks web application (Woliński and Kieraś 2020) aimed at visualization of Polish inflectional phenomena over time.\(^1\)
The goal of Task 2 is to disambiguate morphosyntactic interpretations and to guess the interpretation for unknown words — exactly as in Subtask 1A of PolEval 2017 (Kobyliński and Ogrodniczuk 2017). The text provided as input for taggers is represented as a directed acyclic graph of morphosyntactic interpretations, as returned by Morfeusz.
What we find interesting in this task is that the texts are not homogenous since the language changes. In fact, 17th century texts can be considered to represent a different (yet closely related) language than contemporary Polish. Thus, information on the date of creation was provided for each text.
\(^1\)http://chronofleks.nlp.ipipan.waw.pl
3. The data
Proportions of the data sampled from the source corpora vary in training, development and testing data. In training data the proportions are as follows: approx. 28% represent the Baroque corpus, 63% represent the 19th century corpus and 29% represent contemporary data (NKJP1M). However, the development and testing sets are more biased towards the oldest data in the overall dataset with 50% from the Baroque corpus, 30% from the 19th century corpus and only 20% from NKJP1M. The test set was used for scoring presented taggers, while the development set is meant to provide a preview of what to expect from the test set. Both are guaranteed to have similar distribution of texts in time. The training set contains the data intended for learning. In this set we provide as much data from each period as we have available. The details of the data split are presented in Table 1.
Table 1: Data split between three periods of time for train, devel and test datasets
| | train | | devel | | test | |
|----------------|-------------|----------|-----------|----------|-----------|----------|
| | # segm. | % | # segm. | % | # segm. | % |
| Baroque | 408 248 | 28.32% | 20 005 | 49.99% | 20 026 | 50.00% |
| 19th century | 613 914 | 42.59% | 12 001 | 29.99% | 12 001 | 29.97% |
| Contemporary | 419 346 | 29.08% | 8 010 | 20.02% | 8 018 | 20.03% |
| Total | 1 441 508 | 100.00% | 40 016 | 100.00% | 40 045 | 100.00% |
Motivations for such data split is straightforward – annotation of historical data is much more time and labour consuming and requires rarer skills from the annotators comparing to the contemporary Polish. The same applies to automatic morphosyntactic tagging (or disambiguation). Yet the growing number of projects aimed at building historical corpora cause a constant need for more accurate tagging systems. Thus in the shared task our goal was to encourage researchers to improve their systems towards tagging more diverse historical language while taking advantage of the more resource-rich contemporary Polish.
Each file available at the task page\(^2\) corresponds to a particular text from one of the corpora. The first line of the file contains a time marker for the text. It may be a single number denoting the year on which the text was written (e.g. \#1651) or a range (e.g. \#1651:1675, meaning that the text was written between 1651 and 1675). Sometimes only the lower limit of the range is known (e.g. \#1651: meaning after 1651). A file may contain several text samples separated by empty lines.
Each line contains one interpretation for a segment in 7 column format:
- start position for the segment,
- end position for the segment,
- the segment,
- lemma for the corresponding lexeme,
\(^2\)http://2020.poleval.pl/tasks/task2/
— morphosyntactic tag,
— the string nps if there is no preceding space,
— the string disamb if this is the correct interpretation selected among variants provided by the morphological analyzer or disamb_manual if the corrected interpretation was added by a human. In the case of manually added segmentation variants all added segments are marked as “manual” even if some of them could be recognised by the analyser in other contexts.
Each dataset exists in two variants. In the “disamb” variant exactly one interpretation for each segment is marked as correct (in 7th column). The “plain” variant has this column removed together with all manual interpretations and segmentation variants. The train and devel data sets are provided in both variants. The test set was provided only in the plain variant during the competition and participants were expected to send the results of processing these files. Evaluation against an undisclosed “disamb” variant was performed by the organisers.\(^3\)
Example of a manual interpretation in both variants:
--- in disamb variant ---
36 37 inaczy inaczy adv disamb_manual
36 37 inaczy inaczyć fin:sg:ter:imperf
--- in plain variant ---
36 37 inaczy inaczyć fin:sg:ter:imperf
Example of a manual segmentation in both variants:
--- in disamb variant ---
271 272 większy większy adj:sg:nom:m:pos
271 272 większy większy adj:sg:voc:m:pos
271 273 większym większy adj:sg:inst:m:pos disamb_manual
271 273 większym większym ign
272 273 m być aglt:sg:pri:imperf:nwok nps
--- in plain variant ---
271 272 większy większy adj:sg:nom:m:pos
271 272 większy większy adj:sg:voc:m:pos
272 273 m być aglt:sg:pri:imperf:nwok nps
Besides the data provided by us, the participants were free to use any auxiliary data available to the public and released on an open license.
\(^3\)The gold standard for test part was made public after the competition.
4. Scoring
A tagger is expected to split the text into a continuous stream of tokens and provide single morphological interpretation for each token. The solutions were scored against a gold standard corpus, which provides its own stream of tokens and interpretations. The tagger’s answer for a given gold standard token is considered correct only if it contains a token with the same span in the text. The interpretation for this token will be assessed correct if segment and tag (columns 3, 5) are the same as in the corresponding interpretation marked as gold standard. This means that the choice of the lemma is not scored (and in fact most taggers did not produce any meaningful lemmas).
Please note that this setup means that the tagger is expected to provide exactly one interpretation for each token, otherwise the solution is rejected by the evaluation script. In other words, the tagger is not allowed to leave any tokens without an interpretation nor to allow tokens to remain ambiguous by marking more than one possibility (some contemporary taggers do that).
Overall accuracy against gold standard corpus was assumed as the evaluation metric for the contest. In the following section we show also some interesting partial marks: accuracy achieved on tokens which are known to the morphological analyser, accuracy on unknown (“ign”) tokens, and accuracy on tokens which are known to the analyser, yet annotators decided to provide a different interpretation in the gold standard corpus. This last case is often not taken into account by contemporary taggers as marginal (0.25% in NKJP1M). In historical texts this situation is more common (1.45% of test data in this task).
Some of the taggers do not use the provided morphological graph at all nor do they work by choosing from provided interpretations. Yet, differences between these dictionary based categories are clearly visible.
5. Results
Eight solutions for this task were submitted by four teams representing both academic and industrial research groups. Three variants of the KFTT tagger were construed by Krzysztof Wróbel (Jagiellonian University). Two models disguised under the name of “Simple baselines” are a work of Piotr Rybak and Agnieszka Ciepielewska (Allegro.pl, Melodice.org). The author of “CMC Graph Heuristics” is Wiktor Walentynowicz (Wrocław University of Science and Technology). Alium was submitted by Marcin Bodziak (no affiliation given).
The results achieved (Table 2) are far better than we anticipated. Tagging of historical Polish can be expected to be more difficult than tagging contemporary language: the tagset includes more features, some of them describing very rare phenomena; the number of tokens unknown to the morphological analyser is larger (2.25% vs. 1.26%); the word order is less stable (with many discontinuous constructions). Yet, the results compare favourably to the results of PolEval 2017 Task 1(A) for contemporary language.\(^4\) The best overall accuracy is 95.7%
\(^4\)http://2017.poleval.pl/index.php/results/
Table 2: Competition results for Task 2 sorted by overall accuracy
| System | Accuracy |
|-------------------------------|-------------------|
| | overall | on known | on unknown | manual not ign |
| KFTT train+devel | 0.9573 | 0.9607 | 0.8102 | 0.6781 |
| KFTT train | 0.9564 | 0.9600 | 0.7991 | 0.6661 |
| KFTT train+devel wo_morf | 0.9563 | 0.9595 | 0.8191 | 0.6730 |
| Simple Baselines: XLM-R | 0.9499 | 0.9562 | 0.6770 | 0.6850 |
| Simple Baselines: COMBO | 0.9284 | 0.9363 | 0.5838 | 0.5232 |
| CMC Graph Heuristics | 0.9121 | 0.9214 | 0.5072 | 0.1670 |
| Alium-1000 | 0.8880 | 0.8985 | 0.4306 | 0.2427 |
| Alium-1.25 | 0.8880 | 0.8985 | 0.4295 | 0.2427 |
compared to 94.6% of PolEval 2017. The most striking improvement lays in tagging tokens unknown to the morphological analyser: 81.9% compared to 67% in PolEval 2017.
Table 3 shows accuracies of each solution on parts of the test set drawn from respective historical periods. As can be seen, variants of KFTT win in most categories. In overall accuracy “KFTT train+devel” wins on texts from all periods. However, the variant not using tokenisation provided by Morfeusz (wo_morf) has better results in guessing tags for unknown tokens of historical text.
KFTT and “Simple baselines: XLM-R” show rather similar results, which is understandable, since both are based on the XLM-R model. The two solutions differ mainly in the method for tokenisation (see authors’ texts in this volume). The difference in results is the largest for oldest texts. KFTT is also much better at guessing unknown tags. Strikingly, “Simple baselines: XLM-R” is better at guessing out-of-dictionary tags for known tokens. There is one category in which “XML-R” actually won: accuracy on known tokens of contemporary text (but the difference is just one more segment done correctly by “XML-R”).
A very thrilling element in Table 3 is the accuracy over 0.97 for contemporary texts both in the case of KFTT and “Simple baselines: XLM-R”. The contemporary part of the test set is admittedly tiny, yet we see here definite progress in tagging contemporary Polish.
6. Conclusions
These results require a further study, which will hopefully lead to interesting discussions during the PolEval 2020 conference session, but generally we can conclude that the presented systems not only improve on tagging historical texts, but provide better taggers also for contemporary Polish, which is a substantial achievement. The best performing systems have crossed the barrier of 97% accuracy for contemporary data which leaves very little (if any) room for further improvement and leads us to conclusion that the problem of morphosyntactic tagging for the contemporary Polish language may be in fact successfully solved at last.
Table 3: Results by historical period
| System | Period | overall | known | unknown | manual not ign |
|-------------------------------|----------|---------|----------|----------|----------------|
| KFTT train+devel | Baroque | 0.9435 | 0.9483 | 0.7943 | 0.6574 |
| | 19th c. | 0.9694 | 0.9715 | 0.8324 | 0.6316 |
| | Contemp. | 0.9737 | 0.9748 | 0.8778 | 0.8043 |
| KFTT train | Baroque | 0.9422 | 0.947 | 0.7943 | 0.6574 |
| | 19th c. | 0.9692 | 0.9718 | 0.7933 | 0.5789 |
| | Contemp. | 0.9727 | 0.9741 | 0.8444 | 0.7609 |
| KFTT train+devel wo_morf | Baroque | 0.942 | 0.9464 | 0.8054 | 0.6505 |
| | 19th c. | 0.969 | 0.9709 | 0.8436 | 0.6316 |
| | Contemp. | 0.9733 | 0.9745 | 0.8667 | 0.8043 |
| Simple baselines: XLM-R | Baroque | 0.9302 | 0.9392 | 0.6535 | 0.6620 |
| | 19th c. | 0.9672 | 0.9715 | 0.6816 | 0.6667 |
| | Contemp. | 0.9733 | 0.9749 | 0.8333 | 0.8043 |
| Simple baselines: COMBO | Baroque | 0.9091 | 0.92 | 0.5744 | 0.5139 |
| | 19th c. | 0.9452 | 0.951 | 0.5587 | 0.4561 |
| | Contemp. | 0.9514 | 0.9542 | 0.7 | 0.6087 |
| CMC Graph Heuristics | Baroque | 0.8837 | 0.8973 | 0.4636 | 0.1806 |
| | 19th c. | 0.9354 | 0.9412 | 0.5531 | 0.01754 |
| | Contemp. | 0.9482 | 0.9508 | 0.7222 | 0.1957 |
| Alium-1000 | Baroque | 0.8659 | 0.8804 | 0.4209 | 0.2616 |
| | 19th c. | 0.9087 | 0.9159 | 0.4302 | 0.1404 |
| | Contemp. | 0.9123 | 0.917 | 0.5 | 0.2174 |
| Alium-1.25 | Baroque | 0.8662 | 0.8804 | 0.4304 | 0.2616 |
| | 19th c. | 0.9085 | 0.9159 | 0.419 | 0.1404 |
| | Contemp. | 0.9117 | 0.917 | 0.4444 | 0.2174 |
Acknowledgements
The work was financed as part of the investment in the CLARIN-PL research infrastructure funded by the Polish Ministry of Science and Higher Education.
References
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Kieraś W. and Woliński M. (2018). *Manually Annotated Corpus of Polish Texts Published between 1830 and 1918*. In Calzolari N., Choukri K., Cieri C., Declerck T., Goggi S., Hasida K., Isahara H., Maegaard B., Mariani J., Mazo H., Moreno A., Odijk J., Piperidis S. and Tokunaga T. (eds.), *Proceedings of the 11th International Conference on Language Resources and Evaluation (LREC 2018)*, pp. 3854–3859. European Language Resources Association.
Kieraś W., Komosińska D., Modrzejewski E. and Woliński M. (2017). *Morphosyntactic Annotation of Historical Texts. The Making of the Baroque Corpus of Polish*. In Ekštein K. and Matoušek V. (eds.), *Proceedings of the 20th International Conference Text, Speech, and Dialogue (TSD 2017)*, number 10415 in Lecture Notes in Computer Science, pp. 308–316. Springer International Publishing.
Kobylański Ł. and Ogrodniczuk M. (2017). *Results of the PolEval 2017 Competition: Part-of-Speech Tagging Shared Task*. In Vetulani Z. and Paroubek P (eds.), *Proceedings of the 8th Language & Technology Conference: Human Language Technologies as a Challenge for Computer Science and Linguistics*, pp. 362–366. Fundacja Uniwersytetu im. Adama Mickiewicza.
Przepiórkowski A., Bańko M., Górski R. L. and Lewandowska-Tomaszczyk B., editors (2012). *Narodowy Korpus Języka Polskiego*. Wydawnictwo Naukowe PWN.
Woliński M. (2019). *Automatyczna analiza składnikowa języka polskiego*. Wydawnictwa Uniwersytetu Warszawskiego.
Woliński M. and Kieraś W. (2020). *Analiza fleksyjna tekstów historycznych i zmienność fleksji polskiej z perspektywy danych korpusowych*. „Poradnik Językowy”, 8, p. 66–80.
KFTT: Polish Full Neural Morphosyntactic Tagger
Krzysztof Wróbel
(Department of Computational Linguistics, Jagiellonian University)
Abstract
This paper presents winning solution to PolEval 2020\(^1\) morphosyntactic tagging of Middle, New and Modern Polish task. The goal of the task is to disambiguate morphologic analysis. The solution has a full neural network pipeline (tokenization and morphosyntactic tagging) from raw text to annotated text. It does not require any external dependencies. However, the output from morphological analyzer can be exploited to increase the scores. Finally, the tagger exceeds the threshold of 97% obtaining the score of 97.3% for contemporary texts.
Keywords
natural language processing, part-of-speech tagging, tokenization, Polish
1. Introduction
Manning (2011) reports that the state-of-the-art part-of-speech taggers for English have obtained 97.3% of accuracy, which is similar to a human inter-annotator agreement (97%). In 2016, for Polish taggers “reaching the goal of 97% seemed very distant” (Kobyliński and Kieraś 2016). However, the next year thanks to PolEval competition (Kobyliński and Ogrodniczuk 2017) new deep learning approaches arose reaching 94% of accuracy (Krasnowska-Kieraś 2017, Wróbel 2017). Kobylański et al. (2018) used meta-algorithm to achieve 94.7%.
The above scores are not directly comparable because of different procedures of preparing training and test data and the corpus itself. English POS tagging problem is simpler because there are several dozen tags and in Polish about 1000 is used.
The lemmatization problem was not properly tackled so far. The most common solution is to randomly pick a lemma from interpretations from a morphological analyzer consistent with the predicted tag. KRNNT (Wróbel 2017) improves this process by learning the most common lemma for text form and tag pair.
\(^1\)http://2020.poleval.pl
Most of the taggers tokenize text by finding the shortest path in the output of the morphological analyzer. Waszczuk et al. (2018) solve this problem by using a conditional random field directly on directed acyclic graphs (DAG) representing possible tokenizations.
In this work, finally, we exceeded the score of 97% accuracy for modern texts. The tokenization is tackled by a character language model and recurrent neural networks (RNN) allowing scores higher than oracle on DAGs. The tagging process is performed by a multilingual transformer model XLM-RoBERTa (Conneau et al. 2020).
Trained models and code needed for result reproduction are available online.\footnote{https://github.com/kwrobel-nlp/kftt/}
\section{Data}
The manually annotated corpus was created by sampling three corpora representing three periods of development of Polish (Middle, New, and Modern): KorBa — a corpus of 17th and 18th century, a corpus of 19th century, and 1M subcorpus of the National Corpus of Polish.
The texts were annotated using a historical tagset similar to Morfeusz SGJP (Woliński 2014, Kieraś et al. 2017). The texts are represented as directed acyclic graphs of interpretations, as returned by Morfeusz. Each text is also annotated by the date of creation.
In comparison to other corpora, e.g. National Corpus of Polish (NKJP), texts are not split into sentences. Table 1 presents the number of texts, tokens, the average number of tokens in texts, and the number of unique tags. NKJP has a similar number of unique tags: 926. Table 2 shows the distribution of tokens regarding time in training, development, and testing dataset. The development and testing datasets have a similar distribution of texts in time.
Table 1: Number of texts, tokens, the average number of tokens in texts, and the number of unique tags for training, development, and test data
| | train | dev | test |
|--------------------------------|---------|--------|--------|
| number of texts | 10 755 | 244 | 280 |
| number of tokens | 1 441 508 | 40 016 | 40 045 |
| average number of tokens in text| 134 | 164 | 143 |
| unique tags | 994 | 571 | 582 |
Table 2: Distribution of texts by time in training, development, and test data
| Subcorpus | Period | train | dev | test |
|------------------------------------------------|--------|-------|------|------|
| KorBa — a corpus of 17th and 18th century | Middle | 28.3% | 50.0%| 50.0%|
| A corpus of 19th century | New | 42.6% | 30.0%| 30.0%|
| 1M subcorpus of the National Corpus of Polish | Modern | 29.1% | 20.0%| 20.0%|
3. Methods
The solution consists of two separate modules: tokenization and tagging. Tokenization can be performed on raw texts (without information from morphological analysis) or using a graph of interpretations from Morfeusz.
The tokenization module has been implemented using recurrent neural networks operating on characters. The first layer is a character-based language model working forward and backward using RNNs. The second layer is bidirectional RNN with a conditional random field (CRF) on top. The network answers a question if after every character should be the end of the token.
In the first version, on the input of the tokenization network are only characters. The second version exploits information from Morfeusz by appending to each character additional information, i.e. potential end of token, potential tags, and time of creation.
Table 3 presents output from Morfeusz with Baroque dictionary for word *zaś*. It can be tokenized as one token *zaś* or two tokens *za* and *ś*. Table 4 shows features generated for each character of this word. For example for character *ś* the joined tags feature is constructed from tags of every segment ending with this character: *zaś* and *ś*.
| start | end | segment | lemma | tag |
|-------|-----|---------|-------|--------------|
| 1 | 2 | za | za | part |
| 1 | 3 | zaś | zaś | conj |
| 1 | 3 | zaś | zaś | part |
| 2 | 3 | ś | być | aglt:sg:sec:imperf:nwok_nps |
Table 4: Additional features generated for characters in word *zaś*
| Features | z | a | ś |
|---------------------|----|----|----|
| is space before | True | False | False |
| joined tags | — | part | aglt:sg:sec:imperf:nwok_conj_part |
| joined POS | — | part | aglt_conj_part |
| century | 17 | 17 | 17 |
| is ambiguous | False | True | False |
The tagging module operates on tokenized texts. It is a transformer model with a token classification head on top. The transformer returns contextual embedding of each token, then a linear layer with softmax activation returns normalized scores for each tag seen in training.
4. Evaluation
Tokenization is evaluated using similar metrics as tagging. E.g. not splitting *zaś* to two tokens *za* and *ś* generates one false positive and two false negatives. Recall here is accuracy in tagging, so tagger accuracy cannot be higher than tokenization recall.
The metrics for tagging are consistent with Radziszewski and Acedański (2012) with Accuracy (accuracy lower bound), Acc on known (accuracy lower bound for known words), Acc on unknown (accuracy lower bound for unknown words). The main metric in the competition is accuracy – a percentage of all tokens that match tagger segmentation with the correct tag. The accuracy is also provided for known and unknown tokens for a morphological analyzer. Additionally, the organizers report Acc on manual – accuracy for manually tokenized words and manually appended correct interpretations to interpretations from the analyzer.
5. Experiments
The training was performed using only data provided by organizers.
The tokenization module uses Flair embeddings (Akbik et al. 2018). The training lasts 24 hours on GPU Tesla V100 with a learning rate of 0.1 and a hidden size of RNN 256.
For the tagging module, the transformer model has been chosen as a multi-language XLM-RoBERTa large version as it is one of the best models as stated in a leaderboard of KLEJ Benchmark\(^3\) (Rybak et al. 2020) – a set of nine evaluation tasks for the Polish language understanding. The model was fine-tuned for 20 epochs using learning rate 5e-5, maximum sequence length 512, max gradient norm 1.0, without warmup steps. The training takes 4 hours using GPU Tesla V100. Two versions were trained: using only training data (train) and using training and development data (train+devel).
Table 5 presents precision, recall and $F_1$ for tokenization. The proposed solution obtains better scores than the shortest path method, which is used in most of the taggers. In terms of recall and $F_1$, the solution is also better than oracle on Morfeusz analysis. The oracle is the best path in a DAG. From a practical point of view, the new solution deals correctly with frequent word *mialem* (eng. *I had*).
Table 5: Scores of two tokenization modules compared with shortest path strategy and oracle (the best path)
| Method | Precision | Recall | $F_1$ |
|--------------|-----------|----------|---------|
| with morf | 99.74% | 99.76% | 99.75% |
| without morf | 99.72% | 99.67% | 99.70% |
| shortest path| 99.48% | 99.23% | 99.35% |
| oracle | 99.83% | 99.63% | 99.73% |
\(^3\)https://klejbenchmark.com/leaderboard/
Table 6 shows possible interpretations where shortest path tokenization method forces rare interpretation *miałem* (eng. *coal dust*).
**Table 6: Output from Morfeusz for word miałem**
| start | end | segment | lemma | tag |
|-------|-----|---------|-------|----------------------|
| 1 | 2 | miał | mieć | praet:sg:m1.m2.m3:imperf |
| 1 | 3 | miałem | miał | subst:sg:inst:m3 |
| 2 | 3 | em | być | aglt:sg:pri:imperf:wok |
The test data is tokenized in 14s and tagged in 16s using GPU Tesla V100 (time for tagging is measured using batch size 1, so can be easily optimized). The full pipeline for KRNNT takes 18.4s using only CPU i7-7700HQ.
Table 7 shows official results for top 5 submissions. KFTT obtains the highest accuracy 95.7%. By using more training data the score increases by 0.1 percentage point (*train+devel* versus *train*). KFTT version that works on raw text without using morphological analysis (*wo_morf*) decrease accuracy by 0.1 percentage point. This version has the highest score on unknown words – because the tokenizer has no information whether a segment is known for analyzer and model did not focus on them.
**Table 7: Official results for the top 5 submissions**
| System | Accuracy |
|-------------------------------|-------------------|
| | overall | known | unknown | manual not ign |
| KFTT train+devel | 95.73% | 96.07%| 81.02% | 67.81% |
| KFTT train | 95.64% | 96.00%| 79.91% | 66.61% |
| KFTT train+devel wo_morf | 95.63% | 95.95%| 81.91% | 67.30% |
| Simple Baselines: XLM-R | 94.99% | 95.62%| 67.70% | **68.50%** |
| Simple Baseline: COMBO | 92.84% | 93.63%| 58.38% | 52.32% |
Table 8 presents the scores by the period of text creations. We can finally announce that there is a tagger that exceeded the threshold of 97% for contemporary Polish. The worst results are for Middle period Polish development. Unfortunately, the feature related to the time of text creation has not improved the tagging module.
**Table 8: KFTT train+devel scores for each period**
| Period | Accuracy |
|--------|-------------------|
| | overall | known | unknown | manual |
| Middle | 94.35% | 94.83%| 79.43% | 73.87% |
| New | 96.94% | 97.15%| 83.24% | 78.39% |
| Modern | 97.37% | 97.48%| 87.78% | 84.07% |
6. Conclusions
The paper presents state-of-the-art morphosyntactic tagger for Polish, the winner of PolEval 2020. It exceeds the threshold of 97% for contemporary Polish. The full neural network version (which accuracy drops by 0.1 percentage point) does not require any dependencies so it is easy to run on computer clusters.
In comparison to KRNNT, KFTT uses contextual embeddings, training and prediction are made not on separate sentences, so the context is much wider, tokenization is trainable, there are no dependencies to external libraries.
The future works may focus on using other transformer models, e.g. Polish RoBERTa (Dadas et al. 2020), which is adjusted to the Polish language and should perform faster. A transformer model may be further tuned on historical texts. Information from a morphological analyzer could be exploited also in the tagging module. A transformer model could be fine-tuned using other annotated corpora.
Acknowledgements
This research was supported in part by PLGrid Infrastructure.
References
Akbik A., Blythe D. and Vollgraf R. (2018). Contextual String Embeddings for Sequence Labeling. In Proceedings of the 27th International Conference on Computational Linguistics (COLING 2018), pp. 1638–1649. Association for Computational Linguistics.
Conneau A., Khandelwal K., Goyal N., Chaudhary V., Wenzek G., Guzmán F., Grave E., Ott M., Zettlemoyer L. and Stoyanov V. (2020). Unsupervised Cross-lingual Representation Learning at Scale. „Proceedings of the 58th Annual Meeting of the Association for Computational Linguistics”.
Dadas S., Perełkiewicz M. and Poświata R. (2020). Pre-training Polish Transformer-based Language Models at Scale. arXiv:2006.04229.
Kieraś W., Komosińska D., Modrzejewski E. and Woliński M. (2017). Morphosyntactic Annotation of Historical Texts. The Making of the Baroque Corpus of Polish. In Ekštein K. and Matoušek V. (eds.), Proceedings of the 20th International Conference Text, Speech, and Dialogue (TSD 2017), vol. 10415 of Lecture Notes in Computer Science, pp. 308–316. Springer International Publishing.
Kobyliński Ł. and Kieraś W. (2016). Part of Speech Tagging for Polish: State of the Art and Future Perspectives. In Proceedings of the 17th International Conference on Intelligent Text Processing and Computational Linguistics (CICLing 2016), pp. 307–319.
Kobyliński Ł. and Ogrodniczuk M. (2017). *Results of the PolEval 2017 Competition: Part-of-Speech Tagging Shared Task*. In Vetulani Z. and Paroubek P. (eds.), *Proceedings of the 8th Language & Technology Conference: Human Language Technologies as a Challenge for Computer Science and Linguistics*, pp. 362–366. Fundacja Uniwersytetu im. Adama Mickiewicza w Poznaniu.
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Manning C. D. (2011). *Part-of-Speech Tagging from 97% to 100%: Is It Time for Some Linguistics?* In Gelbukh A. F. (ed.), *Computational Linguistics and Intelligent Text Processing*, pp. 171–189. Springer Berlin Heidelberg.
Radziszewski A. and Acedański S. (2012). *Taggers Gonna Tag: An Argument against Evaluating Disambiguation Capacities of Morphosyntactic Taggers*. In Sojka P, Horák A., Kopeček I. and Pala K. (eds.), *Proceedings of the 15th International Conference on Text, Speech and Dialogue (TSD 2012)*, pp. 81–87. Springer Berlin Heidelberg.
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Waszczuk J., Kieraś W. and Woliński M. (2018). *Morphosyntactic Disambiguation and Segmentation for Historical Polish with Graph-Based Conditional Random Fields*. In Sojka P, Horák A., Kopeček I. and Pala K. (eds.), *Proceedings of 21st International Conference Text, Speech, and Dialogue (TSD 2018)*, vol. 11107 of *Lecture Notes in Artificial Intelligence*, pp. 188–196. Springer-Verlag.
Woliński M. (2014). *Morfeusz reloaded*. In Calzolari N., Choukri K., Declerck T., Loftsson H., Maegaard B., Mariani J., Moreno A., Odijk J. and Piperidis S. (eds.), *Proceedings of the 9th International Conference on Language Resources and Evaluation (LREC 2014)*, pp. 1106–1111. European Language Resources Association.
Wróbel K. (2017). *KRNNT: Polish Recurrent Neural Network Tagger*. In Vetulani Z. and Paroubek P (eds.), *Proceedings of the 8th Language & Technology Conference: Human Language Technologies as a Challenge for Computer Science and Linguistics*, pp. 386–391. Fundacja Uniwersytetu im. Adama Mickiewicza w Poznaniu.
Simple yet Effective Baseline for Morphosyntactic Tagging of Middle, New and Modern Polish
Piotr Rybak (ML Research at Allegro.pl)
Agnieszka Rybak (Melodice.org)
Abstract
This paper presents our solution of the PolEval 2020 task on Morphosyntactic Tagging of Middle, New and Modern Polish. The unique challenge posed by this task was to use the additional information about the year in which given text was written. We evaluated two approaches on how to tackle this problem. Additionally, we trained a BERT-based classifier which proved to perform much better than a solution based on LSTM networks and it ranked second in the official evaluation obtaining accuracy of 94.99%.
Keywords
natural language processing, tagging, pretrained language models, XLM-RoBERTa, COMBO
1. Introduction
The morphosyntactic tagging is one of the most classic and extensively researched tasks in Natural Language Processing (NLP). Over the years many different methods were used to solve it. Currently, the best results for English are achieved by the BERT-based (Devlin et al. 2019) models which use extensive pretraining to improve their quality.
In this work, we present our solution to the PolEval 2020 task on Morphosyntactic Tagging of Middle, New and Modern Polish. The rest of the paper is organized as follows. In Section 2, we describe our approach to solving the task. In Section 3, we conduct the evaluation of our method and finally we conclude our work in Section 7.
2. Method
The proposed task differs from a typical part-of-speech tagging. The goal is to find the correct interpretation of how given word should be tokenized into segments and then to assign the
correct morphosyntactic tag for each segment. To avoid building two separate models, we decided to transform the task into the classical part-of-speech tagging problem and use the off-the-shelf system to solve it.
2.1. Data processing
Data provided by organizers consists of a manually annotated subset of three corpora, a corpus of 17th and 18th century language (Kieraś et al. 2017), a corpus of 19th century language (Kieraś and Woliński 2018), and the National Corpus of Polish (Przepiórkowski et al. 2012). Each word is represented as its morphosyntactic interpretations, as returned by Morfeusz (Woliński 2014). Additionally, for most documents, the year when the text was written is provided.
To transform the morphosyntactic disambiguation task into morphosyntactic tagging we used the following approach. First, for each word we took all of its interpretations. Then, we found the minimal set of subwords from which it is possible to reconstruct all interpretations. For example the word ABCD with possible interpretations \{ (A, BCD), (ABC, D) \} will be transformed into [A, BC, D] subwords. Finally, morphosyntactic tag for each subword was taken from its true interpretation.
2.2. COMBO
As a first baseline, we used COMBO (Rybak and Wróblewska 2018) and train it with default parameters using the dataset described in the previous paragraph. We used the 256-dimensional hidden layer for the final classifier. Next, we evaluated two methods of including information about the year in which the given text was written. First, we encoded the decade in which the text was created as an 8-dimensional embedding and concatenated it with word embedding (later called Word-level Augmentation). Alternatively, we appended the decade in which the text was created to the document as an additional segment (later called Document-level Augmentation).
2.3. XLM-RoBERTa
According to the KLEJ Benchmark\(^1\) (Rybak et al. 2020) the two top-performing models for Polish language understanding are Polish RoBERTa (Dadas et al. 2020) and XLM-RoBERTa (Conneau et al. 2020). We used the latter and trained the tagger released within the transformer library (Wolf et al. 2019). We kept default parameters, except for number of epochs which we set to 50.
\(^1\)https://klejbenchmark.com/leaderboard/
Table 1: Evaluation results of described models on a validation set. We used accuracy as an evaluation metric. The best scores are in bold.
| Model | Accuracy |
|--------------------------------------------|----------------|
| | overall | known | unknown | manual not ign |
| COMBO | 92.82 | 93.59 | 56.87 | 57.66 |
| COMBO + Word-level Augmentation | 93.08 | 93.88 | 55.67 | 57.52 |
| COMBO + Document-level Augmentation | 92.99 | 93.78 | 55.79 | 57.80 |
| XLM-RoBERTa | 94.58 | 94.84 | 82.68 | 77.90 |
2.4. Postprocessing
During the inference, we needed to transform the results of the tagger back to the morphosyntactic interpretations. We used simple heuristic and merged subsequent subwords with the same predicted tag into a single segment. We didn’t verify if the resulting interpretation was one of the originally returned by Morfeusz.
3. Experiments
We evaluated all proposed models on the validation dataset. The results are summarized in Table 4. Both Word- and Document-level Augmentation increased the overall performance of the models. Interestingly, the improvement is only present for words which are known by the morphological analyser. The Word-level Augmentation obtained better scores than Document-level Augmentation (93.08 vs 92.99).
The XLM-RoBERTa model outperformed the COMBO model by a wide margin (94.58 vs 92.82). It was better for both known and unknown words. The difference is especially large for the latter (82.68 vs 56.87).
4. Conclusions
In this work, we described two simple morphosyntactic disambiguation systems for Polish language. The system based on XLM-RoBERTa proved to be more effective and ranked second in the official evaluation. We also evaluated two methods of including text creation year and showed its positive impact on tagger quality.
References
Conneau A., Khandelwal K., Goyal N., Chaudhary V., Wenzek G., Guzmán F., Grave E., Ott M., Zettlemoyer L. and Stoyanov V. (2020). Unsupervised Cross-lingual Representation Learning at
Scale. In *Proceedings of the 58th Annual Meeting of the Association for Computational Linguistics*, pp. 8440–8451. Association for Computational Linguistics.
Dadas S., Perełkiewicz M. and Poświata R. (2020). *Pre-training Polish Transformer-based Language Models at Scale*. arXiv:2006.04229.
Devlin J., Chang M.-W., Lee K. and Toutanova K. (2019). *BERT: Pre-training of Deep Bidirectional Transformers for Language Understanding*. In *Proceedings of the 2019 Conference of the North American Chapter of the Association for Computational Linguistics: Human Language Technologies, Volume 1 (Long and Short Papers)*, pp. 4171–4186.
Kieraś W. and Woliński M. (2018). *Manually Annotated Corpus of Polish Texts Published between 1830 and 1918*. In Calzolari N., Choukri K., Cieri C., Declerck T., Goggi S., Hasida K., Isahara H., Maegaard B., Mariani J., Mazo H., Moreno A., Odijk J., Piperidis S. and Tokunaga T. (eds.), *Proceedings of the 11th International Conference on Language Resources and Evaluation (LREC 2018)*, pp. 3854–3859. European Language Resources Association.
Kieraś W., Komosińska D., Modrzejewski E. and Woliński M. (2017). *Morphosyntactic Annotation of Historical Texts. The Making of the Baroque Corpus of Polish*. In Ekštein K. and Matoušek V. (eds.), *Proceedings of the 20th International Conference Text, Speech, and Dialogue (TSD 2017)*, vol. 10415 of *Lecture Notes in Computer Science*, pp. 308–316. Springer International Publishing.
Przepiórkowski A., Bańko M., Górski R. L. and Lewandowska-Tomaszyk B., editors (2012). *Narodowy Korpus Języka Polskiego*. Wydawnictwo Naukowe PWN.
Rybak P and Wróblewska A. (2018). *Semi-Supervised Neural System for Tagging, Parsing and Lematization*. In *Proceedings of the CoNLL 2018 Shared Task: Multilingual Parsing from Raw Text to Universal Dependencies*, pp. 45–54. Association for Computational Linguistics.
Rybak P, Mroczkowski R., Tracz J. and Gawlik I. (2020). *KLEJ: Comprehensive Benchmark for Polish Language Understanding*. In *Proceedings of the 58th Annual Meeting of the Association for Computational Linguistics*, pp. 1191–1201. Association for Computational Linguistics.
Wolf T., Debut L., Sanh V., Chaumond J., Delangue C., Moi A., Cistac P., Rault T., Louf R., Funtowicz M., Davison J., Shleifer S., von Platen P., Ma C., Jernite Y., Plu J., Xu C., Scao T. L., Gugger S., Drame M., Lhoest Q. and Rush A. M. (2019). *HuggingFace’s Transformers: State-of-the-art Natural Language Processing*. arXiv:1910.03771.
Woliński M. (2014). *Morfeusz Reloaded*. In Calzolari N., Choukri K., Declerck T., Loftsson H., Maegaard B., Mariani J., Moreno A., Odijk J. and Piperidis S. (eds.), *Proceedings of the 9th International Conference on Language Resources and Evaluation (LREC 2014)*, pp. 1106–1111. European Language Resources Association.
CMC Tagger in the Task of Tagging Historical Texts
Wiktor Walentynowicz, Tomasz Kot (Department of Computational Intelligence, Wrocław University of Science and Technology)
Abstract
In this paper, we present our approach to solving Task 2 from the PolEval 2020\(^1\) competition. We briefly present the architecture used and the process of preparing the submitted solution. In the summary of the paper, we present our ideas for the development of this solution.
Keywords
natural language processing, computational linguistics, morphosyntactic tagging, neural networks
1. Introduction
At this year’s edition of PolEval, Task 2 was “Morphosyntactic tagging of Middle, New and Modern Polish”. Morphosyntactic tagging is one of the most fundamental tasks in NLP, mainly because many other tasks use the result of morphosyntactic disambiguation. Over the past few years, Polish morphosyntactic tagging has focused on the development of taggers for contemporary language. The main training and test dataset was the one million word subcorpus of the National Corpus of Polish (Przepiórkowski et al. 2012), further NKJP. This task has been extended to historical texts from the corpus KorBa (17th and 18th century; Kieraś et al. 2017) and the 19th-century Polish language corpus (Kieraś and Woliński 2018).
Changing the standard task of morphosyntactic disambiguation requires also the need to choose token segmentation. The role of the method solving the task is therefore both to indicate the correct morphological interpretation and to select the appropriate token segmentation, from those proposed in the data. The dataset is in the form of acyclic graphs, consistent with the standard from the Morfeusz2 (Woliński 2014) analyzer.
\(^1\)http://2020.poleval.pl
2. CMC tagger
Our solution for the competition task was based on the CMC tagger (Walentynowicz et al. 2019). It combines the neural model based on multi-task learning, which is an input to a heuristic method of decision making from those proposed by the morphological analyzer. The code of our solution is available in the remote repository.\(^2\)
2.1. Computational part
The calculation part of the CMC tagger can be divided into two modules: an input module and a processing module. In the input module, the sequence of tokens is changed into floating-point vectors, which are then processed by the processing module. In the input module, the token receives four representations, which are concatenated to be one vector. These representations are made up of fastText (Bojanowski et al. 2017) vector from KGR10 model\(^3\) (Kocóń 2018), suffix character embedding vector, suffix embedding vector, and Brown cluster (Brown et al. 1992) representation vector.
2.2. Decision-making part
The decision-maker part has two roles – it checks the compliance with the tagset generated by the prediction network and makes the final tag selection. Tag validation is based on verifying the presence of attributes against the predicted grammar class. The superfluous attributes are set to NONE value. If the needed attribute does not have a value, no steps are taken as it will be selected from among the possible tags proposed by the analyzer. The corrected tag from the prediction is compared, based on the Levenshtein distance, to the tags given as a set of possible tags for the given token. The closest one is selected as the correct one.
2.3. Segmentation heuristics
We decided to take a heuristic approach to the task of selecting the token segmentation. Segmentation was about choosing the selection of paths in the graph representing the texts. We prepared heuristics, which work on simple principles. The first one was always choosing the shortest path in the graph, the second was choosing the longest path, and the third was based on the statistics from the training set. The statistical heuristics identified cases of ambiguity in tokenization, and then the decision was made based on the frequency of selected paths in a given case. In other words, the heuristics select those paths in tokenization that were more frequently encountered in the training set. If a given case did not occur in the training set, the longest possible path was selected.
\(^2\)https://gitlab.clarin-pl.eu/syntactic-tools/morphological/cmc-tagger/-/tree/cmc-heuristics
\(^3\)http://hdl.handle.net/11321/606
3. Experiments
During the experiments, we studied the effectiveness of the heuristics of segmentation selection and differences in the ways of teaching models. The models were trained in three variants: on specific period dataset only, on the whole dataset, and the trained model on all data for 7/12 of the learning time and fitted for 5/12 of the learning time on specific period data.
A summary of these experiments can be found in Tables 1–3. We do not include the results of statistical heuristic, because they came close to the results of long path heuristic, but always slightly worse. The measures were obtained using an evaluation script made available in the content of the task on the competition website. All models were trained on the training set and tested on the validation set according to the division given on the task website.
Table 1: Results for models with short path heuristic
| Measure | 17 | ALL_17 | 19 | ALL_19 | 20 | ALL_20 | COMB | ALL_CMB |
|-----------|--------|--------|--------|--------|--------|--------|---------|---------|
| Overall | 82.96% | 84.03% | 92.19% | 92.18% | 92.81% | 93.75% | 87.70% | 88.42% |
| Known | 84.15% | 85.07% | 92.81% | 92.76% | 93.47% | 94.38% | 88.64% | 89.27% |
| Unknown | 40.84% | 47.07% | 49.41% | 51.18% | 49.59% | 52.07% | 43.85% | 52.07% |
| Manual | 29.97% | 33.20% | 41.67% | 40.26% | 38.96% | 40.26% | 33.31% | 40.26% |
Table 2: Results for models with long path heuristic
| Measure | 17 | ALL_17 | 19 | ALL_19 | 20 | ALL_20 | COMB | ALL_CMB |
|-----------|--------|--------|--------|--------|--------|--------|---------|---------|
| Overall | 87.59% | 88.68% | 92.89% | 92.94% | 92.91% | 93.88% | 90.25% | 91.00% |
| Known | 88.90% | 89.85% | 93.52% | 93.54% | 93.57% | 94.52% | 91.24% | 91.91% |
| Unknown | 40.84% | 47.07% | 49.41% | 51.18% | 49.59% | 52.07% | 43.85% | 48.63% |
| Manual | 30.37% | 33.50% | 41.67% | 44.17% | 38.96% | 40.26% | 33.58% | 40.26% |
Table 3: Results for models with transfer learning
| Measure | Short 17 | Long 17 | Short 19 | Long 19 | Short 20 | Long 20 |
|-----------|----------|---------|----------|---------|----------|---------|
| Overall | 84.10% | 88.83% | 92.82% | 93.62% | 93.47% | 93.63% |
| Known | 85.14% | 90.00% | 93.41% | 94.22% | 94.09% | 94.28% |
| Unknown | 46.89% | 46.89% | 51.76% | 51.76% | 52.89% | 52.89% |
| Manual | 33.10% | 33.60% | 44.17% | 44.17% | 40.69% | 40.69% |
The *Overall* result refers to the categorical accuracy for all tokens. *Known* only for tokens that had possible morphological interpretations. *Unknown* is a measure for out-of-vocabulary tokens. *Manual* is a measure for tokens that lacked the correct morphological interpretation among those proposed by the analyzer.
In Tables 1 and 2, labels express the type of model and a subset of data on which it was trained and validated. *XX* – the model was trained and validated on a set of *XX* only. *ALL_XX* – the
model was trained on a whole dataset from all periods and validated on a set of XX. COMB is the result of a multitagger combined from models 17, 19, 20. ALL_CMB is the result of a tagger trained on all data and validated on the full set. In Table 3, the labels express the type of heuristics and the period of data on which the model was fitted and validated.
Models that have marked results by italic font have been selected as models forming a multitagger, which have generated results for the test set in the task. The results of this model obtained on the test set are presented in Table 4.
Table 4: Results for submission model in the test set
| Measure | Final multitagger |
|-----------|-------------------|
| Overall | 91.21% |
| Known | 92.14% |
| Unknown | 50.72% |
| Manual | 16.70% |
4. Conclusions
Our proposed method presents the possibility of extending the architecture from a standard morphosyntactic tagging task to a combined tagging and segmentation task. However, the results are not satisfying. The most sensitive element is the heuristics of segmentation selection – they do not use contextual information. We plan to change this in a future version. The second element we want to add is a graph reanalysis module to improve the results among known words for which there was a lack of interpretation and connect a morphological guesser so that out-of-vocabulary words have preliminary morphological analysis proposals.
Acknowledgements
The work was co-financed as part of the investment in the CLARIN-PL research infrastructure funded by the Polish Ministry of Science and Higher Education.
References
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Results of the PolEval 2020 Shared Task 3: Word Sense Disambiguation
Arkadiusz Janz, Joanna Chlebus, Agnieszka Dziob, Maciej Piasecki
(Wrocław University of Science and Technology)
Abstract
This paper reports on the results of the first edition of PolEval 2020 Shared Task focused on Word Sense Disambiguation (WSD). One of the main contributions of this shared task is the introduction of a new independent dataset prepared on the basis of an updated sense inventory compatible with plWordNet 3.2. A new wordnet-based sense inventory opens up a lot of opportunities for the methods that work in the open-domain setting where the texts usually are not limited to predefined domains and domain-specific knowledge. The design of our shared task follows mainly the style of the well-known SENSEVAL and SemEval competitions aiming at all-words WSD task. We present a general statistical view on available development and test data, describe the properties of a dedicated knowledge-base, and are officially announcing the results of the solutions submitted to the competition. We also highlight our future work on data unification for the task of WSD.
Keywords
natural language processing, word sense disambiguation, knowledge bases, wordnets, Polish language
1. Introduction
The Word Sense Disambiguation (WSD) has been proven to be an important part of Natural Language Processing (NLP) affecting many tasks, and especially in the area of computational semantics the lexical ambiguity problem. A word may express multiple lexical meanings (called also *word senses* or shortly *senses*) and these meanings can be either homonymous or polysemous. Lexical polysemy (Pustejovsky and Boguraev 1996) occurs when a word can be associated with multiple but semantically interrelated senses. On the other hand, homonymy is the accidental identity of word-forms with no semantic relatedness between senses. Homonyms have different etymology and should be treated as completely different
words despite having the same word form. Such a kind of ambiguity might be easier for automated disambiguation as homonymous meanings usually occur in significantly different linguistic contexts (e.g. frequently co-occurring words or topics).
Word Sense Disambiguation is still an open NLP problem mainly because of the lack of large-scale sense-annotated training corpora. The available training resources built for other languages (e.g. SemCor; Landes et al. 1998) have been usually accused of having scarce and imbalanced data to train a good supervised model mainly due to the most frequent sense bias. This directly arises from the natural sense distribution in textual corpora. On the other hand, the recent advances in the area of language modeling, especially with the help of deep neural networks and transfer learning suggest that there might be other solution to this problem.
Following the style and design of well-known SENSEVAL (Edmonds and Cotton 2001) and SemEval (Agirre et al. 2008) competitions we decided to propose the first shared task on Polish word sense disambiguation.
2. Previous research
WSD is often treated as a sequence classification problem solved by supervised Machine Learning techniques. However, as it was mentioned in the introduction, such an approach requires a heavy workload on handcrafting language resources, mainly sense-annotated corpora, in order to prepare a robust WSD system. The existing sense-annotated corpora do not usually cover less frequent senses which makes them less useful from the practical perspective.
In order to train a supervised WSD model hundreds of manually disambiguated training examples of word occurrences are needed for every single word sense. A typical corpus has a very imbalanced distribution of senses. Thus, it is very difficult to find usage examples of rare senses, even if we prepare a very large corpus.
In the last three decades, the researchers were looking for other solutions than supervised approaches trying to depart from the limitations of the latter. Such approaches as (Lesk 1986, Banerjee and Pedersen 2002, Agirre and Soroa 2009, Agirre et al. 2014, Moro et al. 2014) rely on linguistic knowledge sources like dictionaries or wordnets (lexical semantic networks) – also called *sense inventories* – that provide some insight about word senses and relations holding between them.
Many different Machine Learning algorithms with their problem-specific extensions have been already applied for WSD task. Decision tree (DT; Brown et al. 1991), decision list (DL; Yarowsky 1994), naive Bayes classifier (NB; Gale et al. 1992) and k-nearest-neighbour algorithm (kNN; Ng and Lee 1996), or support vector machines (SVM; Lee and Ng 2002) were initially used to train supervised models (e.g. Baś et al. 2008).
With the recent advances of neural language modeling and transfer learning new neural models were successfully applied to WSD task for English language (Kågebäck and Salomonsson 2016, Raganato et al. 2017, Luo et al. 2018, Huang et al. 2019, Kumar et al. 2019).
3. Task description
After analysing the previous research and recent word sense disambiguation trends, we decided to propose two distinct variants of our shared task. The first variant has been called *Fixed Competition*. This type of competition addresses mainly the weakly supervised methods and knowledge-based approaches. The main idea was to encourage the existing NLP community to design new disambiguation methods that do not require labour-intensive manual sense annotation of textual corpora. The supervised models are usually strongly correlated with most frequent senses and express low vocabulary coverage. Alternatively, one may use available sense-focused knowledge bases e.g. wordnets as knowledge sources for designing new word sense disambiguation algorithms. Thus, the *Fixed Competition* variant might be helpful for low-resource languages especially those, for which it is possible to build a word sense knowledge-base by using existing wordnets and also interlingual links. In this variant we restricted the usage of the available knowledge sources mainly to wordnets and raw unstructured textual corpora as they are relatively easy to obtain. We also did not allow to use domain-specific sense annotated data except the data available in the Polish wordnet. Summing up, the participants could use only the following resources:
- *plWordNet* (in Polish: *Słownik*) version 3.2 (Maziarz et al. 2016) – the Polish wordnet; its senses with their lexico-semantic structure as well as their glosses (short definition-like descriptions of senses) and usage examples,
- raw unstructured textual corpora with no sense annotations (e.g. for sense induction methods or semi-supervised learning).
The second type of competition called *Open Competition* was focused on designing the best possible solution for WSD using all available knowledge and data sources. In this variant, we also encouraged the participants to use plWordNet, but the main focus was put on available sense annotated corpora including the corpora prepared for other languages as well as any linking of plWordNet with Linked Open Data. We suggested the following development resources:
- sense annotated corpora, mainly *Składnica* (Hajnicz 2014) and *plWordNet* glosses and usage examples, but also other sense annotated corpora prepared for any language,
- *plWordNet* mapping to Linked Open Data, mainly those originating from Wikipedia\(^1\) and ontologies like SUMO ontology (Niles and Pease 2003) or YAGO ontology (Suchanek et al. 2008),
- existing thesauri, valency dictionaries and their mapping to wordnet prepared for any language e.g. Polish *Walenty* (Przepiórkowski et al. 2014), English *FrameNet* (Baker et al. 1998) or *VerbNet* (Schuler 2005).
The initial development data in a simplified format was published for the participants at https://gitlab.clarin-pl.eu/ajanz/poleval20-wsd.
\(^1\)https://pl.wikipedia.org/
4. Datasets
In this section we precisely describe the current state of the Polish language resources related to the WSD task with a simple statistical view on their properties.
4.1. Development data
The previous sense annotated corpora e.g. *Skladnica*, or *Polish Corpus of Wrocław University of Technology* (*KPWr*; Broda et al. 2012) prepared for WSD task were annotated with plWordNet 2.1 (Maziarz et al. 2014) sense inventory which makes them quite outdated. For the purpose of this competition, we decided to upgrade sense inventory to plWordNet 3.2 and suggest it\(^2\) as a dedicated development dataset and annotation resource. This decision was made due to significant differences between 2.1 and 3.2 versions. Table 1 presents a statistical analysis of the differences between old and new sense inventories.
Table 1: Statistical analysis of Polish wordnet-based sense inventories
| Feature | plWordNet 2.1 | plWordNet 3.2 |
|------------------------------------------------------------------------|---------------|---------------|
| number of distinct lexical units | 206 567 | 286 804 |
| number of distinct multi-word lexical units | 53 752 | 70 019 |
| number of distinct synsets | 151 252 | 221 101 |
| number of monosemous lemmas | 113 129 | 141 343 |
| number of polysemous lemmas | 33 507 | 49 049 |
| number of monosemous lemmas (multi-word only) | 43 906 | 56 415 |
| number of polysemous lemmas (multi-word only) | 3 898 | 5 171 |
| number of lexical units with definition or any usage example | 37 207 | 145 901 |
| number of lexical units without definition or any usage example | 169 360 | 140 903 |
| average length of utterance (definition or example) | 12.56 | 11.54 |
| average number of senses per lemma (polysemous only) | 2.79 | 2.96 |
The other part of our development data was based on a sense annotated corpus called *Skladnica* (Hajnicz 2014). This part of the development data was intended for the *Open Competition* variant only. The corpus was annotated with plWordNet 2.1 senses making it slightly incompatible with the current sense inventory and our evaluation data. Still, many of the plWordNet 2.1 senses occurring in *Skladnica* should be compatible to some extent with the plWordNet 3.2 senses. The existing compatibility issues will be solved in near future due to the work of CLARIN-PL\(^3\) – see Section 7.
\(^2\) We did not use the most contemporary version of that time, i.e. 4.1, due to existing mapping between plWordNet and Walenty which was not upgraded to the version 4.1.
\(^3\) [http://clarin-pl.eu](http://clarin-pl.eu)
4.2. Evaluation data
We introduced two distinct evaluation datasets for the purpose of the competition:
— “The Adventure of the Speckled Band”, henceforth SPEC corpus,\(^4\) the eighth Conan Doyle’s story about the adventures of the famous character named Sherlock Holmes – based on the modern translation of the original and expanded to an annotated language resource (Błaszczyk et al. 2019),
— KPWr-100 – a new fraction of 100 distinct documents existing in the Polish Corpus of Wrocław University of Science and Technology.
As it was mentioned earlier, the datasets were manually annotated using an updated sense inventory based on plWordNet 3.2. To annotate the data we trained three linguists as annotators. They were already familiar with the overall design and the structure of Polish wordnet because of their involvement in the process of plWordNet development from the very beginning. All the data was annotated independently and inner-annotator agreement was calculated. The Positive Specific Agreement (PSA) scores for SPEC and KPWr-100 corpora were 0.602 and 0.678, respectively.
**Annotation guidelines**
The guidelines presented here were designed in a way that takes into account the nature of Polish language resources and existing NLP tools. For instance, for the purpose of WSD task, we introduced several rules for handling multi-word expressions as they are an important contextual signal for disambiguation.
We assumed the following initial set of annotation rules:
— a gerund is always lemmatized to its initial bare infinitive form of its source verb and annotated by assigning a specific sense associated with this verb,
— participles are following the same rule as gerunds, i.e. annotated by assigning correct senses representing their source verbs,
— adjectives and adverbs in comparative and superlative forms are annotated by assigning the senses that represent their base positive forms e.g. najpiękniejszy ‘most beautiful’ → piękny ‘beautiful’ → piękny 1.adj.
In the case of multi-word expressions (MWE), e.g. czerwona kartka ‘red card’, each of its constituents should be annotated with a particular sense of recognized MWE ignoring the senses of these constituents. Only continuous MWE, i.e. such that all their component words occur in the text in one continuous sequence, were distinguished and annotated with their senses in the corpus. Specific verbs that are joined with agglutinate token się were also considered as multi-word expressions and annotated with correct senses.
To handle special expressions we decided to introduce a set of annotation tags to mark exceptional cases in a systematic and consistent way. The annotation tags were available
\(^4\)https://clarin-pl.eu/dspace/handle/11321/667
only for the annotators and not included in the version available during the competition. The following set of tags was used:
- **OtherSense** – the tag should be used when a word or expression being disambiguated cannot be annotated due to the lack of its specific senses in our sense inventory; this tag is very useful since it signals the need for extension of the initial sense inventory,
- **TaggingError** – used to handle cases when the disambiguated word has been assigned with a wrong morpho-syntactic tag, e.g. a noun instead of a verb etc. during initial corpus preprocessing,
- **NamedEntity** – handles the cases in which an analysed word or expression represents a named entity, so it cannot be directly linked with some specific sense (plWordNet contains a very limited number of named entities by default), but it might be still useful for disambiguation,
- **IdiomaticPhrase** – this tag was introduced mainly to handle multi-word idiomatic expressions since they might have a strong impact on the disambiguation process,
- **ForeignWord** – represents a non-Polish word or expression found in the corpus,
- **TextError** – marks a word or expression which has a typographical error.
Tokens annotated manually by the annotators as **OtherSense**, **TaggingError**, **NamedEntity**, **ForeignWord**, or **TextError** were excluded from counting during the evaluation procedure (i.e. not taken into account for the measures) since they are incompatible with our sense inventory and the participants would not be able to correctly disambiguate them.
### Properties of gold standard data
In this section we discuss the properties of our evaluation datasets – SPEC and KPWR-100. The overall distribution of all annotated tokens is presented in Figure 2. We also provide the statistics of annotated multi-word expressions with respect to their Part-of-Speech as shown in Table 3. The large part of annotated multi-word expressions consists of reflexive verbs with *się* pronoun. However, we can also notice some noun expressions and adverbs in both corpora.
Table 2: The overall distribution of annotated tokens in our evaluation corpora with respect to their initial Part-of-Speech
| Corpus | #Nouns | #Verbs | #Adject. | #Adverbs | #Total |
|----------|--------|--------|----------|----------|--------|
| KPWr-100 | 7 028 | 3 428 | 2 442 | 677 | 13 891 |
| SPEC | 1 617 | 1 182 | 487 | 219 | 3 689 |
Table 4 shows the number of annotated single words with respect to their Part-of-Speech excluding the ones that do not belong to any multi-word expression annotated in the corpora. We also analysed the distribution of senses and polysemy ratio in our evaluation datasets.
Table 3: The distribution of annotated multi-word expressions in our evaluation corpora with respect to their Part-of-Speech. The Part-of-Speech for particular MWE expressions might be different than the original Part-of-Speech of its constituents.
| Corpus | #Nouns | #Verbs | #Adject. | #Adverbs | #Total |
|----------|--------|--------|----------|----------|--------|
| KPWr-100 | 205 | 282 | 0 | 28 | 515 |
| SPEC | 14 | 154 | 0 | 20 | 188 |
Table 4: The distribution of annotated words excluding annotated multi-word expressions
| Corpus | #Nouns | #Verbs | #Adject. | #Adverbs | #Total |
|----------|--------|--------|----------|----------|--------|
| KPWr-100 | 6 769 | 3 140 | 2 271 | 673 | 13 891 |
| SPEC | 1 705 | 1 099 | 524 | 229 | 3 951 |
Figure 1 shows the distribution of senses for lemmas existing in the corpora. This distribution was determined by analysing our final manual annotations. The mean number of senses $\mu_{KPWr}$ and $\mu_{SPEC}$ was 1.24 and 1.11, respectively. This means, that for most of the lemmas their contexts were quite uniform in terms of their sense variation usually pointing to the same preferred sense. Figure 2 presents sense distribution of lemmas in our evaluation with respect to the underlying knowledge-base – plWordNet. This distribution shows that the algorithms had to choose between 3 to 4 meanings on average from our sense repository. These two observations, however, should not be treated as a clear indicator of task complexity.
Figure 1: The distribution of the number of distinct senses computed for multi-sense lemmas. Descriptive statistics of sense distributions for KPWR corpus $\mu_{KPWr} = 1.24$, $\sigma_{KPWr} = 0.64$, and SPEC corpus $\mu_{SPEC} = 1.11$, $\sigma_{SPEC} = 0.39$.
Figure 2: The distribution of the number of senses according to the underlying sense inventory. Descriptive statistics for KPWR corpus $\mu_{KPWr} = 3.45$, $\sigma_{KPWr} = 3.12$, and SPEC corpus $\mu_{SPEC} = 3.96$, $\sigma_{SPEC} = 3.68$.
5. Evaluation
The WSD task is usually seen as a classification problem. The standard classification metrics like precision and recall might be used to evaluate solutions. However, it is very difficult to compute a reliable recall score when we deal with highly imbalanced data and missing senses. The evaluation procedure proposed for this shared task was based on original metrics introduced by SENSEVAL and SemEval with precision and recall metrics adapted to the nature of WSD problem. This means that our precision and recall scores are defined as follows:
\[
precision = \frac{|N_A^+|}{|N_A|}
\]
(1)
\[
recall = \frac{|N_A^+|}{|N_G|}
\]
(2)
where the precision is defined here as a ratio of correct decisions of given disambiguation algorithm to all decisions that were made by this algorithm. \( N_A^+ \) is a set of words (tokens) with correctly predicted senses computed by algorithm \( A \), and \( N_A \) represents a set of all words for which decisions were made by algorithm \( A \). The recall score takes into account Gold Standard annotations, hence it is defined as a ratio of correct decisions of a given disambiguation algorithm to all Gold Standard decisions that were to be made by this algorithm \( N_G \). If a WSD algorithm misses some Gold Standard tokens or disambiguate them incorrectly, then the recall decreases.
Submitted algorithms had to be capable of inferring if a given word is a part of multi-word expression or not. In the case of detecting a MWE, all its words (corresponding to the MWE components) had to be annotated with the same sense. Otherwise, a given algorithm should separately annotate the words with their respective senses. It should be mentioned that during the evaluation process assigning different senses to the tokens of a MWE occurrence is treated as wrong disambiguation.
6. Submitted solutions and results
The first edition of the proposed shared task unfortunately did not attract many participants. In this edition we received only 5 unique submissions from 2 distinct participants which made it the least popular task of PolEval 2020. However, we believe that all the effort on preparing a uniform basis for further experiments and evaluation in the area of WSD will be a motivating factor for the community for future work on developing more sophisticated and effective WSD algorithms. Table 5 presents the performance of all solutions submitted by the participants but limited only to their best-performing submissions evaluated on our test data. The solutions submitted by participants were prepared only for Fixed Competition. The model submitted by Dariusz Kleczek (DK) outperformed the solution proposed by Arleta Juszczak (AJ). DK-v3 was the best solution submitted by participants attending the contest. However, when we
compared the submitted solutions with selected baselines we found that there is still some place for improvement.
Table 5: The submitted solutions evaluated on KPWr-100 and SPEC data. As a baseline we proposed a heuristic picking always (F)irst (W)ord(N)et (S)ense.
| Corpus | Submission | Precision | Recall | F₁ |
|----------|------------|-----------|--------|--------|
| KPWr-100 | DK-V3 | 0.599 | 0.589 | 0.594 |
| | AJ-V2 | 0.318 | 0.231 | 0.268 |
| | FWNS* | 0.563 | 0.556 | 0.559 |
| | WoSeDon* | **0.625** | **0.618** | **0.621** |
| SPEC | DK-V3 | 0.592 | 0.577 | 0.584 |
| | AJ-V2 | 0.292 | 0.201 | 0.238 |
| | FWNS* | 0.587 | 0.575 | 0.581 |
| | WoSeDon* | **0.607** | **0.594** | **0.600** |
The usual baseline solution for WSD is based on the Most Frequent Sense heuristic (MFS) that disambiguates a given text token by taking the most frequent sense of the corresponding word (lemma) as it is observed in sense-annotated corpora. This kind of heuristic appeared to be a tough-to-beat baseline for WSD solutions, but it actually requires large sense annotated corpora to collect data. In the Fixed Competition we did not allow to use any of the available sense annotated corpora.\(^5\) Thus, we decided to propose a heuristic that might be a good substitute for the MFS baseline. The First Wordnet Sense (FWNS) heuristic picks always a sense with the lowest sense variant number from all sense candidates of disambiguated word e.g. always prefers piękny 1.adj ‘beautiful’ than other senses of this word piękny, i.e. {piękny 2.adj, piękny 3.adj, …} and so on. Senses with lower variant numbers were mostly introduced to plWordNet earlier than the variants with higher numbers.\(^6\) As plWordNet was built by linguists, sense variants might be correlated with the human awareness of existing word senses and their natural ordering in our minds and be somehow positively correlated with sense frequencies.\(^7\) Application of the FWNS heuristic as a correcting factor significantly improves a WSD algorithm for Polish (cf. Janz and Piasecki 2019). FWNS heuristic appeared to perform quite well also in our task (see Table 5).
The second baseline uses WoSeDon (Kędzia et al. 2015, Janz and Piasecki 2019) – a Polish word sense disambiguation tool based on well-known Personalized PageRank algorithm (Page et al. 1999). This method was initially introduced for disambiguating English texts and included later in a tool called UKB (Agirre and Soroa 2009). In this work, WoSeDon was configured to operate only on raw plWordNet 3.2 knowledge-base without any extensions. As all participants declared their solutions as intended for Fixed Competition, we also did not use
\(^5\)That are also very small in the case of the Polish language and not representative at all.
\(^6\)Some exception might happen due to sense reorganisations resulting from wordnet editing and correcting over the years.
\(^7\)However, sense numbering is also influenced by the organisation of work on plWordNet construction over years. Thus the above outline hypothesis on possible positive correlation between the sense number and its salience for a given lemma is only an unverified hypothesis only, even if very likely one.
any additional heuristics (including FWNS) that could disqualify the model from the *Fixed Competition*.
The results clearly show that the proposed baselines are still tough-to-beat when the training data is quite limited. WoSeDon outperformed all submitted solutions including *DK-v3* based on BERT architecture.
7. Conclusions
This paper has briefly summarised the first edition of the WSD Shared Task at PolEval 2020. 5 submissions from 2 participants were registered for this task. A few promising results based on neural transformer architecture were presented. For comparison we also introduced two baseline solutions, including one state-of-the-art system for Polish, namely WoSeDon. Moreover, the performance of all solutions, submissions and baselines, was measured on a new test data just created for the task. New evaluation corpora and development data will be publicly available. We also plan to prepare an extended benchmark dataset for Polish WSD compatible with the dedicated sense inventory – plWordNet 3.2. We hope that the collected data and a uniform evaluation environment will facilitate further development of novel word sense disambiguation methods in the future.
Acknowledgements
This research was financed by the National Science Centre in Poland, grant number 2018/29/B/HS2/02919, and supported by the CLARIN-PL\(^8\) research infrastructure.
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Polbert: Attacking Polish NLP Tasks with Transformers
Dariusz Kłeczek (skok.ai)
Abstract
Different NLP tasks have required different solution architectures. This is especially true for Polish language, given its complexity. The recent trend of pretraining large, transformer-based language models, such as BERT, on large corpora, gives us an opportunity to consider a unifying architecture capable of solving these different tasks. Polbert is a Polish version of BERT language model, pretrained on a large Polish corpus. In this paper, I present Polbert, and discuss how it can be applied to solve a range of tasks from PolEval 2020 challenge, including the winning submission to PolEval 2020 Task 3: Word Sense Disambiguation.\footnote{http://2020.poleval.pl/tasks/task3/}
Keywords
BERT, Transformer, Polish, Natural Language Processing
1. Introduction
In the last 2 years, pretrained language models have conquered the NLP benchmarks (Howard and Ruder 2018, Radford et al. 2019). Especially the transformer (Vaswani et al. 2017) and BERT (Devlin et al. 2019) architecture proved very effective in solving various NLP tasks. Pretrained models were being made in monolingual and multilingual variants. When I trained and released Polbert in March 2020, it was the first Polish BERT model broadly available. In this article, I will describe my approach to training Polbert, and how I used it to solve a range of NLP tasks from the PolEval 2020 competition.
2. Polbert
2.1. Models
Polbert model follows bert-base-uncased model architecture (Devlin et al. 2019), with 12 layers, 768 hidden units embeddings, 12 attention heads, and 110M parameters in total. It is available in two variants: cased and uncased, and can be downloaded via HuggingFace library\(^2\) (Wolf et al. 2019).
2.2. Corpus
Polbert is trained on a large Polish-language corpus described in Table 1 (Tiedemann 2012, Ogrodniczuk 2018). The training corpora were divided into sentences with srxsegmenter,\(^3\) concatenated and tokenized with HuggingFace BERT Tokenizer. I initially trained the uncased model, and after working with it for a while I noticed issues that have been corrected in the cased model. First, some Polish characters and accents are not tokenized correctly through the BERT tokenizer when applying lowercase. This doesn’t impact sequence classification much, but may influence token classification tasks significantly. Second, I noticed a lot of duplicates in the Open Subtitles dataset, which dominates the training corpus. These duplicates were removed before training the cased model, which resulted in a smaller, but more balanced training corpus.
Table 1: Polbert training corpus
| Dataset | Uncased | Cased | Lines | Words |
|----------------------------------------------|---------|---------|----------------|------------------|
| Polish subset of Open Subtitles | x | | 236 635 408 | 1 431 199 601 |
| Polish subset of Open Subtitles (deduplicated)| x | | 41 998 942 | 213 590 656 |
| Polish subset of ParaCrawl | x | x | 8 470 950 | 176 670 885 |
| Polish Parliamentary Corpus | x | x | 9 799 859 | 121 154 785 |
| Polish Wikipedia (Feb 2020) | x | x | 8 014 206 | 132 067 986 |
| Total uncased | x | | 262 920 423 | 1 861 093 257 |
| Total cased | | x | 68 283 960 | 646 479 197 |
2.3. Training
Polbert was trained with code provided in Google BERT’s GitHub repository.\(^4\) The training setup is described in Table 2. While training the cased variant, I apply Whole Word Masking. Both models were trained on a single Google Cloud TPU v3-8.
\(^2\)https://huggingface.co/dkleczek
\(^3\)SRX rules file for sentence splitting in Polish, written by Marcin Milkowski: https://raw.githubusercontent.com/languagetool-org/languagetool/master/languagetool-core/src/main/resources/org/languagetool/resource/segment.srx
\(^4\)https://github.com/google-research/bert
Table 2: Polbert training approach
| Model | Steps | Sequence length | Training setup | Learning rate |
|-------|---------|-----------------|----------------|------------------------|
| Uncased | 100,000 | 128 | 512 | 1e-4 (10,000 steps warmup) |
| | 800,000 | 128 | 512 | 5e-5 |
| | 100,000 | 512 | 256 | 2e-5 |
| Cased | 100,000 | 128 | 2048 | 1e-4 (10,000 steps warmup) |
| | 100,000 | 128 | 2048 | 5e-5 |
| | 100,000 | 512 | 256 | 2e-5 |
2.4. Evaluation
KLEJ benchmark (Rybak et al. 2020) is a set of nine evaluation tasks for Polish language understanding. The results captured in Table 3 are achieved by running a standard set of evaluation scripts, utilizing both cased and uncased variants of Polbert. Can you see how the uncased model performs better than cased on some tasks? I hypothesize this is because of the oversampling of Open Subtitles dataset and its similarity to data in some of these tasks.
Table 3: Polbert results on KLEJ benchmark
| Result | Polbert cased | Polbert uncased |
|--------------|---------------|-----------------|
| NKJP-NER | 93.6 | 90.1 |
| CDSC-E | 93.4 | 93.9 |
| CDSC-R | 93.8 | 93.5 |
| CBD | 52.7 | 55.0 |
| PolEmo2.0-IN | 87.4 | 88.1 |
| PolEmo2.0-OUT| 71.1 | 68.8 |
| DYK | 59.1 | 59.4 |
| PSC | 98.6 | 98.8 |
| AR | 85.2 | 85.4 |
| Average | 81.7 | 81.4 |
3. Applications
3.1. Post-editing and rescoring of automatic speech recognition results
The goal of this task was to convert a sequence of words from an automatic speech recognition (ASR) system into another sequence of words that reflects the actual spoken utterance. The data provided by organizers consisted of the outputs from an ASR system: 1-best output (each utterance containing a single best transcript), n-best output (each utterance containing up
to 100 best alternative hypotheses of the ASR output), and lattice output (each utterance containing a list of arcs forming a lattice of the ASR output).
How do we frame this as a problem that can be solved by transformer-based language model? It would be interesting to attempt solving this as a sequence-to-sequence problem, similar to Machine Translation. Unfortunately, Polbert consists only of the encoder part, and hence cannot be used in this way.
Salazar et al. (2020) describe a method for using pretrained masked language models to score sentences. We mask tokens in a sentence one by one, then sum the log probability for each missing token to get the pseudo-log-likelihood score of that sentence. This score can be used to select alternative hypotheses among the ASR output (n-best or lattice) that are more likely to represent the actual utterance. As indicated by the authors, this method is computationally very expensive and exceeded my GPU budget to attempt it on the PolEval 2020 ASR task. Salazar et al. (2020) also propose a method to reduce the computational budget by training a network to match BERT’s scores without masked tokens, by finetuning the network via regression over the [CLS] token. That assumes, however, that we have already calculated a number of sentence scores which can be used as training examples.
In my solution to the PolEval 2020 ASR task, I developed a simple classification model, using Polbert as the encoder, with a single linear classification layer on top of the [CLS] token hidden state. The model is trained on Polish Parliamentary Corpus, taking all utterance transcripts as examples with True label, and the corresponding ASR 1-best output as examples with False label. I use this model to classify 100-best hypotheses for each utterance, and select the one with the highest logits. This solution improves the word-error rate on the test dataset from 27.6% to 26.9%.
3.2. Word Sense Disambiguation
The goal of WSD task was to identify the correct sense for each ambiguous word appearing in a text. Given the limited availability of training data, the organizers suggested focusing on knowledge-based approaches to the problem, by using available language resources such as WordNet, and weakly supervised approaches making use of small annotated data and the knowledge extracted from large unstructured textual corpora.
My solutions follow the rules of fixed competition, i.e. I didn’t use any data other than the provided Polish WordNet version 3.2 (Maziarz et al. 2016) data to train my model. The solution code is released on Github.\(^5\)
Previous research
My solution is primarily inspired by GlossBERT by Huang et al. (2020) who proposed to construct context-gloss pairs from all possible senses of the target word in WordNet, and then convert WSD to a sentence-pair classification task. Context is defined here as the sentence containing the target word to be disambiguated. Gloss is a brief definition of a sense associated
\(^5\)https://github.com/kldarek/poleval2020
with the target word. A binary classification layer indicates whether the context and gloss sentences in a pair correspond to the same word sense.
Huang et al. experiment with three approaches. In *Token-CLS*, the final hidden state of the token corresponding to the target word is the input to the classification layer. In *Sent-CLS*, the final hidden state corresponding to the first token [CLS] goes into the classification layer. *Sent-CLS-WS* also uses the [CLS] token, but additional weak supervision is added to the input: target word is surrounded by quotation marks in the context sentence, and it is also added at the beginning of the gloss sentence.
By comparing the context sentence, containing our target word, with the gloss sentence for each of the WordNet senses, we convert the original N-class classification task into N binary classification tasks, where N equals to the number of senses corresponding to the target word. See examples in Table 4.
**Table 4:** Construction of sentence pair examples: Glossbert (top), Polbert (bottom)
| Label: True | Context: Wszystkie trzy "pokoje" mają okna od strony parku |
|-------------|----------------------------------------------------------|
| | pokój: pomieszczenie mieszkalne, w którym się przebywa, także w hotelu |
| Label: False | Context: Wszystkie trzy "pokoje" mają okna od strony parku |
| | pokój: stan, gdy nie ma wojny |
| Label: True | Context: pokój: Wszystkie trzy **pokoje** mają okna od strony parku |
|-------------|----------------------------------------------------------|
| | pokój: Dwa **pokoje** z kuchnią w zupełności mi wystarczą... |
| Label: False | Context: pokój: Wszystkie trzy **pokoje** mają okna od strony parku |
|-------------|----------------------------------------------------------|
| | pokój: Za szczególny wkład w promowanie **pokoju** i praw człowieka... |
**Solution overview**
I made two modifications to the *GlossBERT Sent-CLS-WS* design. First, I use both gloss and examples sentences from WordNet to construct my sentence pairs. Second, I modify both sentences in a pair to have the same format (*target word lemma: sentence with emphasis around **target word***). I didn’t have time for experiments or ablation study, but I believe that structuring the paired sentences in a similar way, and using all examples available in WordNet, both help the model with the WSD task.
To create my training examples, I iterate over the list of WordNet lemmas with associated synsets and examples. If there are more examples associated with the same lemma and synset, I pick one at random and create a sentence pair with *True* label. If there are examples associated with the same lemma and other synsets, I pick one at random and create a sentence pair with *False* label. In this way, I create 443316 sentence pairs, using the last 20000 for validation and the remainder as my training dataset.
I use BERT as an encoder for the sentence-pair example, followed by dropout ($p=0.2$), and a linear binary classification layer on top of the pooled output, corresponding to the [CLS] token. I use HuggingFace library (Wolf et al. 2019), load the pretrained Polbert uncased model weights, and fine-tune it for 5 epochs with learning rate $2e^{-5}$, early stopping, max length of
64, batch size 32, AdamW optimizer and linear schedule with warmup. The accuracy for the best epoch (4) is 85.7% on my validation dataset.
**Disambiguation: the baseline**
In order to disambiguate words in a target text, I start by splitting the text into sentences and identifying the lemma associated with each word in a sentence (both of these are provided in the PolEval 2020 WSD Task). The lemma with the sentence containing it becomes the first element of the sentence pair provided to Polbert model. I then list all synsets associated with the lemma. For each synset, I list all examples associated with it and construct sentence pairs with those examples. I run the model on each of these sentence pairs and average the model outputs (scores) across all examples associated with a single synset. The synset with the highest average score is selected as the disambiguated sense for the target word.
**Disambiguation: Multi-Word Expressions**
One problem with the baseline solution is that it doesn’t account for multi-word expressions. To make up for this, I pre-process the sentences and check if there is a WordNet lemma associated with any bigram or trigram from that sentence. If I find a match, then I use the lemmas associated with the n-grams for disambiguation, instead of the original lemmas associated with the single words. For example, the trigram *w dużej mierze* has its own lemma in WordNet, and I use that lemma for disambiguation, instead of lemmas associated with the individual words (*w*, *duży*, *miara*).
**Disambiguation: missing sense examples**
Another problem with the baseline solution was that it couldn’t disambiguate senses if the corresponding synset lacked examples. For those synsets, I look up synsets connected via both hypernymy and hyponymy relationships and associated examples. I use these examples to score the synset that was missing examples.
To illustrate this, there isn’t a definition or example associated with the lemma *szczędzenie*. To disambiguate this word, I would use examples associated with its hipernyms and hyponyms (*oszczędzanie*).
**Results**
I prepared two solutions to the PolEval 2020 WSD Task. Both are based on the same model described above. The first solution *Baseline* refers to the disambiguation baseline. The second solution *Baseline +MWE +Rels* includes the modifications to address multi-word expressions and missing sense examples. Table 5 presents the results of both solutions on the competition dataset.
**Further work**
I believe the results on WSD task can be further improved. One way is to improve the sentence-pair classification model by adjusting the finetuning protocol and dataset. Another
Table 5: PolEval 2020 WSD Task Results
| Submission | KPWr Precision | KPWr Recall | Sherlock Precision | Sherlock Recall |
|----------------|----------------|-------------|--------------------|-----------------|
| Baseline+MWE+Rels | 0.599296 | 0.588727 | 0.592263 | 0.576850 |
| Baseline | 0.564432 | 0.550860 | 0.564384 | 0.542966 |
way is to improve the disambiguation algorithm, by considering how the related synsets are identified, scored and compared. It would be also interesting to compare Polbert with other transformer-based language models. Finally, this approach didn’t use any annotated sense data, which could give a further boost to the model’s performance.
### 3.3. Information extraction and entity typing from long documents with complex layouts
This challenge was about collecting information from real, long documents with complex page layouts by integrating entities found across multiple pages and text sections, tables, plots, forms, etc. This included recognising units with a standard name (NER) (e.g. person, location or organisation), but also the roles of units in whole documents (e.g. chairman of the board, date of signature).
For each document in this task, we get the raw pdf file and two files produced with an OCR tool: raw text and text with positional info. While Garncarek et al. (2020) show how the positional info may be useful for information extraction, I decided to use the raw text only. In my solution, I follow a procedure similar to the one described by Graliński et al. (2020).
My final solution was based on multilingual BERT encoder, NER architecture, and Random Forest postprocessing. It resulted in $0.44 F_1$ score on the test set. After the competition finished, I replicated the solution only changing the encoder, from multilingual BERT to Polbert. That resulted in $0.446 F_1$ score.
#### Preprocessing
One difficulty associated with this challenge is the length of documents. In order to deal with it, I start by tokenizing each document and then divide it into chunks. I experimented with chunks of length 128 and 512, and the latter led to better scores and is used in the final submission.
#### Autotagging
The training and validation datasets provided in this task consist of the documents and the final information extracted from those documents (entities and relationships). We are not given information about the location of these entities in the documents. I decided to use auto-tagging to create a training dataset for the model. For each target entity, I check if it’s contained in any of the document chunks, and tag the related tokens in case I find a match.
For some entities (such as period or date), I create several variants of the targets to reflect different ways these entities may be represented in the text, for example: *1 maja 2020*, *1.5.2020*, *1/5/2020* etc. I believe that this step is crucial to the quality of model outputs, and my final result could be improved by spending more time on tagging the training data.
A special case in this challenge is entity linking - people signing documents need to be linked with their role and date of the signature. I found that in most of the training and validation documents, the date of signature corresponds to the date of the document, and I apply this as a rule after identifying the document date. For linking people and roles, I experimented with two approaches. The first approach consists of identifying people and roles as separate entity types and then connecting them in the same order that they appear in a document chunk. This leads to some problems, for example when a model recognizes a different number of people and role entities in a single chunk. The second approach is based on the observation that majority of the role entities in the training and validation documents can be represented as three classes (*Prezes Zarządu*, *Wiceprezes Zarządu*, *Członek Zarządu*). I treat these classes as different entity types and tag the names of the people via their role, rather than a generic *PERSON* entity. Both approaches performed similarly in my experiments, and I used the first approach in my final submission.
**Model**
In this challenge, I experimented with different choices for the encoder and the head of the information extraction model. I used Polbert, multilingual BERT, and Polish Roberta (Dadas et al. 2020) as encoders. I experimented with two head architectures. In the NER architecture, I apply dropout to the sequence output from BERT encoder, and then a linear classification layer with 9 classes (entity types). In the QA architecture, I use the same sequence outputs followed by dropout, and then apply a linear classification layer to identify the span (start and end tokens) corresponding to each entity type. In my experiments, NER architecture performed better than QA, and I used it in my final submissions. Due to the time and resource constraints, I didn’t run a direct comparison of performance across various encoders.
**Postprocessing**
The first step of postprocessing is to standardize the entities extracted from the documents into the target format, which is essentially a reverse operation to the transform variants performed during auto-tagging. The next step is to aggregate the information extracted across multiple document chunks. Given that the chunks overlap, I assume that only one chunk per document contains the needed information, so for each entity type, I need to select the right chunk. I started by selecting the chunk with the maximum logits for each entity (averaged across the tokens corresponding to a given entity). Then I created a random forest for each entity type, trained on the validation chunks, taking into account the entity logits and other features, such as the logits of other entities identified in the same chunk.
### 4. Future work
There are many types of NLP problems and many ways to further use transformer-based language models such as Polbert. Beyond pursuing these applications, I believe two important
directions need further work, especially for the Polish language. First, we need smaller variants of the pretrained models, which would make it easier to broadly apply them in production. Second, we need to develop Polish variants of sequence-to-sequence models that can be used for example in translation or summarization.
5. Conclusions
Polbert is a transformer-based language model pretrained on a large Polish language corpus. It offers a universal sentence and token representation, which can be used, after finetuning, on a broad range of NLP tasks.
6. Acknowledgements
I’d like to thank the organizers of PolEval competition (Łukasz Kobylański, Maciej Ogrodniczuk), ASR Task (Danijel Koržinek), Information Extraction Task (Anna Wróblewska, Filip Graliński, Dawid Lipiński), and specifically the WSD Task (Arkadiusz Janz, Maciej Piasecki) for the opportunity to participate and the guidance.
References
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Garncarek Ł., Powalski R., Stanisławek T., Topolski B., Halama P and Graliński F. (2020). LAMBERT: Layout-Aware (Language) Modeling using BERT for Information Extraction. arXiv:2002.08087.
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Results of the PolEval 2020 Shared Task 4: Information Extraction from Long Documents with Complex Layouts
Filip Graliński (Adam Mickiewicz University, Faculty of Mathematics and Computer Science)
Anna Wróblewska (Warsaw University of Technology, Faculty of Mathematics and Information Science)
Abstract
In this paper, we present PolEval Task 4, the challenge for information extraction and entity typing from long documents with complex layouts. We give the rationale for the data set and compare the results obtained during the evaluation campaign.
Keywords
named entity recognition, document layout analysis
1. Introduction
Named Entity Recognition (NER) is a well-known type task in the Natural Language Recognition (NLP) community, as exemplified by, for instance, the CoNLL 2013 challenge (Tjong Kim Sang and De Meulder 2003) or, for Polish, the NKJP NER data set (Przepiórkowski et al. 2012) along with the PolEval 2018 Task 2. NER data sets usually contain entities labeled for general types: persons, organizations, locations, dates, amounts of money. The problem is that it does not reflect the real-world needs, when considering domain-specific legal and business-related documents.
The PolEval Task 4 was built on a novel Polish dataset for Information Extraction and NLP reasoning challenge. The dataset comprises long documents with complicated layouts. Our objective was to prepare a new data set for Polish, resembling business machine learning applications. The task was aimed to represent various challenges faced in business contexts, e.g. non-trivial 2D layouts, business logic, extracting information from long documents,
potentially noisy dataset. We hope that the data set will form a good benchmark for complex Information Extraction systems based on NLP.
2. Data set description
2.1. General description
Information gathering from real-life, long documents must deal with the complex layout of pages by integrating found entities along with multiple pages and text sections, tables, plots, forms etc. To encourage progress on more in-depth and more complex information extraction algorithms, we presented a dataset in which systems must extract the most important information about various types of entities from formal documents. These entities are not only classes from standard named entity recognition (NER) systems (e.g. person, localisation, or organisation), but also the roles of the entities in the whole documents (e.g. CEO, issue date).
The data set is based on reports in the PDF format submitted by companies to the ESPI (Elektroniczny System Przekazywania Informacji) system.\footnote{https://www.knf.gov.pl/dla_rynku/espi}
2.2. Basic statistics
The dataset consists of two sets (train and validate) and one test set. Each of these folders contains a .csv file with ground truth values for each report. For each report there are .pdf (raw input), .txt (text input) and .hocr (text input with positional info) files placed in the reports/report_id folder. The dataset (train and validate) contains 2216 unique records. The test set is composed of 555 documents. More data is given in Table 1.
Table 1: The data set in numbers
| | Train | Val | Test |
|----------------|---------|--------|--------|
| Documents | 1628 | 548 | 555 |
| Size in chars | 255.1M | 84.2M | 90.9M |
| Data points | 36519 | 12314 | 12700 |
The ground truth contains the following columns (see also Table 2):
— id – unique identifier of a specific financial report,
— company – name of the company,
— drawing_date – date which specifies when the financial report was submitted,
— period_from – start of the obligation period,
— period_to – end of the obligation period,
— **postal_code** – postal code of the company,
— **city** – the city where the company is registered,
— **street** – the name of the street where the company is registered,
— **street_no** – the number of the street at which the company is registered,
— **people** – members/chairpersons of the company management; a cell contains a list of tuples, where each tuple has the following form: (<date of signature>, <name and surname>, <position>) e.g. (‘2019-12-16’, ‘Jan Kowalski’, ‘Prezes Zarządu’).
Table 2: Sample ground truth of documents in the dataset
| id; company; drawing_date; period_from; period_to; postal_code; city; street; street_no; people |
|---|---|---|---|---|---|---|---|---|---|
| 208910; ZAKŁADY MAGNEZYTOWE ROPCZYCE SA; 2012-08-30; 2012-01-01; 2012-06-30; 39-100; Ropczyce; ul. Przemysłowa; 1; [(‘2012-08-30’, ‘Józef Siwiec’, ‘Prezes Zarządu’), (‘2012-08-30’, ‘Marian Darłak’, ‘Wiceprezes Zarządu’), (‘2012-08-30’, ‘Robert Duszkiewicz’, ‘Wiceprezes Zarządu’)] |
| 118734; PC GUARD S.A.; 2009-08-31; 2009-01-01; 2009-06-30; 60-467; Poznań; Jasielska 16; 16; [(‘2009-08-31’, ‘Dariusz Grześkowiak’, ‘Prezes Zarządu’), (‘2009-08-31’, ‘Mariusz Bławat’, ‘Członek Zarządu’)] |
For each column, no more than 15% of documents can have an incorrect ground-truth value (see Table 3). The table also presents the results of our baselines comprising regular expressions crafted to each entity individually.\(^2\)
Table 3: Coverage of entities in the whole dataset
| Entity | % of the documents in the dataset | Regex benchmark (accuracy on test set) |
|--------------|----------------------------------|----------------------------------------|
| company | 88.16 | 57 |
| street | 88.99 | 24 |
| drawing_date | 93.40 | 32 |
| postal_code | 94.70 | 39 |
| city | 98.85 | 34 |
| street_no | 98.92 | 38 |
| period_from | 99.57 | 64 |
| period_to | 99.75 | 66 |
| people | 100.00 | – |
\(^2\)https://github.com/wojciech1871/hocr_parser
3. Evaluation
$F_1$ was used as the evaluation metric, as implemented (as MultiLabel-F1) in the GEval evaluation tool (Graliński et al. 2019). This evaluation scheme was natural for ‘atomic’ data points, but the people values expressed as tuples posed a special difficulty. It was decided to use the following scheme for them:
1. The 3 elements of tuples (<date of signature>, <name and surname>, <position>) were added as ‘atomic’ values.
2. In order to check the actual relations, two data-point types were introduced: one for the person-date-of-signature relation, one for the person-position relation.
3. All these 5 types were treated within the $F_1$ just as the remaining types.
Also, some simple pre-processing was done as part of the evaluation procedure:
- all values were case-folded (hence, the metric was case-insensitive),
- the abbreviation ul. (street) was stripped (but not similar abbreviations), as it was used inconsistently (in gold standard vs actual documents).
The results are reported with bootstrap sampling with 200 samples (the –B 200 option in GEval) to calculate the 95% confidence intervals for $F_1$ (Koehn 2004).
For better presentation, the results are given as percentages (multiplied by 100).
4. Result summary
There were a total of 8 submissions by 3 unique submitters. The final overall results (on the test set) are presented in Table 4. As can be seen, the differences between the best solutions submitted by distinct submitters are substantial, values for precision and recall are quite similar, not much precision-recall trade-off was done.
| Submission | $F_1$ | $P$ | $R$ |
|----------------|---------|--------|--------|
| double_big | 60.6 ± 1.7 | 60.8 ± 1.7 | 60.4 ± 1.8 |
| double_small | 58.8 ± 1.8 | 60.0 ± 1.8 | 57.7 ± 1.9 |
| middle_big | 58.5 ± 1.6 | 59.9 ± 1.7 | 57.1 ± 1.7 |
| MBART+RF | 44.0 ± 1.4 | 49.1 ± 1.4 | 39.8 ± 1.7 |
| CLEX | 65.1 ± 1.9 | 63.8 ± 2.5 | 66.6 ± 1.7 |
| 100_RF | 58.4 ± 1.6 | 56.8 ± 1.6 | 60.0 ± 1.9 |
| 300_xgb | 59.2 ± 1.5 | 57.0 ± 1.6 | 61.4 ± 1.9 |
| 300_RF | 58.7 ± 1.5 | 56.9 ± 1.7 | 60.5 ± 1.8 |
The results for specific types of data points (limited to ‘pure’ extractions, i.e. extraction of atomic data points) are given in Table 5. The data-point types range from surprisingly hard
(drawing_date and person__signature_date) to practically solved (period_from/to). Interestingly, for some types the overall best submission was surpassed by other solutions (in particular for drawing_date).
Table 5: The results for pure information extraction
| Submission | pure IE | address | company | date | period | name | position |
|----------------|---------|---------|---------|--------|--------|---------|----------|
| double_big | 64.1±1.4| 67.1±2.2| 59.5±3.9| 46.5±4.4| 93.8±1.4| 69.4±2.4| 67.7±2.5 |
| double_small | 62.8±1.4| 65.9±2.3| 58.9±3.6| 43.2±4.3| 93.4±1.5| 67.4±2.5| 67.0±2.6 |
| middle_big | 62.6±1.4| 66.1±2.1| 59.6±3.6| 42.0±3.9| 94.0±1.5| 68.2±2.1| 65.6±2.6 |
| MBART+RF | 49.2±1.3| 64.3±2.4| 20.5±3.2| 19.5±2.6| 66.3±3.6| 56.9±3.1| 59.8±2.9 |
| CLEX | 69.7±1.6| 81.1±2.1| 79.7±3.3| 41.0±3.7| 97.2±1.2| 77.5±2.3| 67.8±3.0 |
| 100_RF | 61.7±1.3| 66.6±2.3| 59.9±3.9| 46.0±4.1| 82.7±2.1| 67.7±1.9| 64.7±2.4 |
| 300_xgb | 62.8±1.3| 67.6±2.1| 60.9±4.1| 46.3±4.0| 90.7±1.7| 67.2±2.1| 65.4±2.3 |
| 300_RF | 61.8±1.3| 66.7±1.9| 57.7±4.1| 46.3±4.2| 82.1±2.3| 68.6±2.1| 66.2±2.2 |
Finally, the results obtained for the ‘relational’ data points (i.e. originally expressed as tuples) are given in Table 6. They are not much different from the results for single data points, it might indicate that the relations did not introduce specific challenges.
Table 6: The results for relation extraction
| Submission | all relations | person-position | person-signature |
|----------------|---------------|-----------------|------------------|
| double_big | 46.4 ± 2.5 | 55.4 ± 2.9 | 37.4 ± 4.0 |
| double_small | 43.9 ± 2.8 | 52.8 ± 2.5 | 34.7 ± 4.3 |
| middle_big | 43.0 ± 2.3 | 52.9 ± 2.7 | 33.4 ± 3.7 |
| MBART+RF | 27.1 ± 2.1 | 45.5 ± 3.1 | 8.9 ± 2.4 |
| CLEX | 51.3 ± 2.9 | 63.8 ± 2.9 | 38.9 ± 4.1 |
| 100_RF | 45.2 ± 2.3 | 52.3 ± 2.5 | 38.0 ± 3.6 |
| 300_xgb | 44.7 ± 2.2 | 52.8 ± 2.4 | 36.8 ± 3.7 |
| 300_RF | 45.9 ± 2.3 | 53.9 ± 2.7 | 37.6 ± 3.6 |
5. Conclusions
PolEval Task 4 represents a new type of information extraction tasks, closer to business contexts. For some data points, it is still far from being resolved. It remains to be seen whether using the layout information can bring more improvement or whether a more challenging data set of this type should be produced.
6. Acknowledgements
We would like to give thanks to Dawid Lipiński from Applica.ai for his valuable analysis of available open documents and their description in the Web. Also, we are grateful to the Students of Warsaw University of Technology, named Paweł Rzepiński, Ryszard Szymanński, Tymon Czarnota, who worked on gathering the dataset and preparing ground truth. We are also thankful to other students of Data Science in WUT who worked on benchmarks.
References
Graliński F., Wróblewska A., Stanisławek T., Grabowski K. and Górecki T. (2019). *GEval: Tool for Debugging NLP Datasets and Models*. In *Proceedings of the 2019 ACL Workshop BlackboxNLP: Analyzing and Interpreting Neural Networks for NLP*, pp. 254–262. Association for Computational Linguistics.
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Przepiórkowski A., Bańko M., Górski R. L. and Lewandowska-Tomaszczyk B., editors (2012). *Narodowy Korpus Języka Polskiego*. Wydawnictwo Naukowe PWN.
Tjong Kim Sang E. F. and De Meulder F. (2003). *Introduction to the CoNLL-2003 Shared Task: Language-Independent Named Entity Recognition*. In *Proceedings of the 7th Conference on Natural Language Learning at HLT-NAACL 2003*.
CLEX — Information Extraction from Documents with Complex Layouts
Michał Marcińczuk, Michał Olek, Marcin Oleksy, Jan Wieczorek
(Wrocław University of Science and Technology)
Abstract
The paper presents a rule-based and knowledge-based system for extracting information from documents with a complex layout called CLEX. The system was designed to solve the PoEval 2020 Task 4. This task’s goal was to extract values for a given set of fields from financial reports in PDF format. The system utilizes document layout available in the form of HOCR files obtained from the PDF documents. The document processing workflow in CLEX consists of four stages: (1) document structure preprocessing, (2) annotation of relevant text fragments based on the local context, (3) extraction of the final value based on the global document view, and (4) lemmatization and/or normalization of the values if necessary. The presented approach obtained $F_1$ score of 0.651 on the test set and got first place in the task. The system is available under the GPL license at http://github.com/CLARIN-PL/clex.
Keywords
natural language processing, information extraction, knowledge-based systems, rule-based systems, complex layout, PDF, HOCR
1. Introduction
In recent years layout-aware information extraction from structured and partially structured text documents has gained importance in many fields. In robotic process automation (RPA) information extraction tools are used to process electronic invoices (Patel and Bhatt 2020) or to import data from forms and tables into computer systems (Yin et al. 2020). In the commercial world, the rule-based systems dominate the machine learning approaches (Chiticariu et al. 2013). At the same time, some of the layout-based tasks which are very similar between different domains (like table and form parsing and understanding) can be already processed
by fully automated systems — Amazon Textract\textsuperscript{1} or Microsoft Azure Form Recognizer.\textsuperscript{2} More complex tasks still need some level of supervision to obtain production-level results.
For tasks based on information extraction from plain text (recognition of named entities, temporal expressions, or semantic relations), the state of the art results are being obtained by systems utilizing different types of generic language models — BERT and its variants.\textsuperscript{3} This success was possible due to the presence of (1) generic language models trained on large volumes of text and (2) manually annotated datasets required for fine-tuning the downstream task. In 2020 several language models which are trained to jointly model interactions between text and layout information emerged — LayoutLM (Xu et al. 2020), LAMBERT (Garncarek et al. 2020) and TABERT (Wei et al. 2020). The models were tested on form and table understanding tasks and obtained, on average better results than the systems based on purely text-based language models. The improvement varied from 1–2 pp for TABERT and LAMBERT to 9 pp for LayoutLM.
2. Task description
2.1. Problem statement
The goal of the task is to extract values for a defined set of fields from documents with a complex layout. The documents’ layout is called complex because the document contains multiple pages and text sections, tables, plots, forms, etc. The set of fields includes the following categories:
— \textit{company} — name of the company
— \textit{drawing_date} — date which specifies when the financial report was submitted
— \textit{period_from} — start of the obligation period
— \textit{period_to} — end of the obligation period
— \textit{postal_code} — postal code of the company
— \textit{city} — the city where the company is registered
— \textit{street} — the name of the street where the company is registered
— \textit{street_no} — the number of the street at which the company is registered
— \textit{people} — members/chairmen of the company management. For each entry three values should be extracted: \textit{name} — person name, \textit{role} — role in the company, and \textit{sign} — signature date.
\textsuperscript{1}\url{https://aws.amazon.com/textract/features}
\textsuperscript{2}\url{https://azure.microsoft.com/en-us/services/cognitive-services/form-recognizer/}
\textsuperscript{3}\url{https://gluebenchmark.com/leaderboard}
2.2. Datasets
Task organizers provided three datasets: training (1662 documents), developer/validation (554 documents), and test (555 documents). Each document consists of three files: PDF — the original document, TXT — text extracted from the PDF file, and HOCR — text with positional information extracted from the PDF.
During the preliminary data analysis, we have identified the following features of the datasets:
1. There is no one standardized structure of the document. Each financial report may provide the same information in different locations (e.g., at the beginning, or the end of the document) or in different forms. For example, the *people* field may have a variety of structures (see Figure 1).
2. Field values may appear in many different formats and variants. For example, *date* can be presented in one of the following formats (the list does not contain all of the possible forms):
- 19 września 2020
- 19 września 2020 roku
- 19 września 2020 r.
- 19.09.2020
- 19-09-2020
- 19/09/2020
- 2020.09.19
- 2020-09-19
The same applies to periods. Moreover, there are various methods of expressing the beginning and end of the reporting period. It is not necessary to point the date literally, e.g., the expression *I półrocze 2013 r.* (En. ’first half of 2013’) refers to the specific period, but it doesn’t contain exact dates. Consequently, there was a need not only for the normalization of time expressions but also for interpreting some brief descriptions. The problem of different ways of expressing the same (or almost the same) information concerned also the names of the companies. There are full and short names, e.g. *Zakład Budowy Maszyn „ZREMB – CHOJNICE” S.A.*, *ZBM „ZREMB – CHOJNICE” S.A.* and *„ZREMB – CHOJNICE” S.A.*
3. The lack of a unified standard structure for reports resulted in many problems requiring normalization. The most common issues are listed below.
(a) Different variants of *city* — some listed companies have their headquarters in small towns that do not have their own post office. This minor detail results in unclear information about the city — the seat, e.g., *Fugasówka, ul. Reja 4 (street, street_no), 42-440 (postal_code) Ogrodzieniec* (name of the town where the post office is located).
Figure 1: Different layouts for the people field (marked with a dashed rectangle)
Incomplete or incorrect role — standard role names have been abbreviated several times to a single word, e.g., *Prezes zarządu* (Chairman of the Management Board) abbreviated to *Prezes* (Chairman) also *Członek zarządu* (Member of the Management Board) to *Member*. The developer/validation data set also included additional information on other functions of the board members, e.g., *Piotr Kaźmierczak, Członek Zarządu, Dyrektor Finansowy* (Piotr Kaźmierczak, Member of the Management Board, Financial Director).
(c) Inconsistent use of the middle name — in some cases, the middle name of a board member was used in the main text of the document, but in the final part (with signatures), there was only the first name, e.g., *Dariusz Krawiec* vs. *Dariusz Jacek Krawiec*.
3. **CLEX**
3.1. **Motivation**
We decided to use a rule-based and knowledge-base approach to solve the information extraction task. We found that machine learning methods for this task will not be effective enough, as we identified the following problems:
1. **Lack of annotated dataset for the downstream task.** The task’s goal is to extract values of a specified set of fields from the document content. The ground truth contained only the fields type and value without the information about the value position in the document. Datasets in this form could be used for the classification task but not the extraction task.
2. **Field values in ground truth were not present in the documents or had different form.** In order to prepare the dataset for the extraction task, we considered automatic annotation of documents based on the ground truth. We have analyzed 100 randomly selected documents and found the following problems:
— field value was not present in the document — 75% of documents did not contain a signature date,
— field value has a different value in the document and in the ground truth — 50% of documents had different drawing date,
— field value had a different form in the document than in the ground truth — for instance, the ground truth contained people middle names while in the documents there were only first and last names or *vice versa*.
3. **Field values were ambiguous.** Values from ground truth could appear in the document multiple times, and not every occurrence was valid. For instance, a person’s name could occur not only on the signature page but also on a list of board members or another context. The invalid matches could introduce noise to the training dataset.
Considering the quality of the ground truth and potential problems with generating a high-quality dataset for the information extraction task, we decide to use a rule-based and knowledge-based approach. This approach could be later used to create the training dataset for any machine learning approach.
3.2. System architecture
Although files in three formats are provided, we only use one format for recognition — HOCR. It contains the full text and spatial information about the relative position of text fragments to each other.
In Figure 2, we presented the system’s workflow. While loading the file, we decompose document to pages, lines, and tokens. Tokens are words or punctuation marks or words and punctuation marks together. There is a preprocessing step that separates trailing punctuation marks from words if they happen to be in the same token. There are more preprocessing steps while loading the document, and they are described in Section 3.4.
The actual processing is divided into three steps:
1. Local rules search for information of a specific type.
2. Global heuristics select the final information for each type of information based on all the premises.
3. If necessary, the field value is lemmatized and normalized.
All the processing stages are described in Section 3.4.
### 3.3. Resources
Throughout the processing, CLEX uses the following resources:
- company names in base form — the base forms were extracted from training and development sets.
- company addresses — extracted from training and development sets. The motivation was the assumption that company names and addresses change relatively infrequently. It is highly probable that the name and address used in one document are also correct for another document of a given company.
- person names — the names were obtained from NELexicon2 (Marciničzuk 2014),
- city names — the names were obtained from the Polish TERYT database. The data about towns and streets were combined, and only towns large enough to have named streets were selected. The underlying assumption was, for cities that are so small that they do not have named streets, that there is very little chance that they will be listed in the provided financial documents. In further processing, the list is even more shortened as it turned out that many cities have names identical to common words ("Dobra", "Ruda", "Szklana") leading to misclassifications. We sorted them by the number of streets they have (descending) and took only the first two thousand. Even further, cases where the name of the city coincided with the common personal name of a person (e.g., "Jarosław") have to be handled in a special way during processing documents.
### 3.4. Processing stages
#### Document preprocessing
The system performs the following preprocessing operations:
1. **Restoring order** — Generally, the order of tokens is not preserved in provided HOCR files. It means some tokens have spatial information indicating that they should be placed in the document after some other tokens that are actually placed after the first ones. Also, it happens that whole lines are not in order or incorrectly repeated multiple times. There are additional steps of preprocessing that reorganize all tokens and lines to have them stored in proper order.
2. **Separation punctuation marks** — Separate trailing punctuation marks from words if they happen to be in the same token.
3. **Handling empty leading pages** — Next, we detect the number of empty leading pages. By default, extractors prefer data from the first page of the document, and usually, it is enough even when there are leading empty pages in the document. But for fields `period_from` and `period_to` we needed to process precisely the real — not artificial and empty — first ('title') page of the document.
4. **Calculating line heights and its distribution** — Since we have spatial information in the HOCR file, it is possible to extract each line’s height in the document and calculate its distribution per page and document. Initially, it was meant to help find lines significantly higher than the average one and identify separate sections of documents and their titles. In the end, only row height data was used. It influenced the evaluation of the *date* tokens found: the higher the row, the higher the score. They were also used when cutting footers and headers from the actual content of the document.
5. **Separating headers and footers from the document** — Headers and footers span throughout many pages, and this repetition can lead to misclassification of some tokens they contain. However, they may also include relevant information, so simply dismissing them would not be the best solution. That is why an algorithm for cutting off headers and footers and creating a separate structure from them was developed. This has proved to be a non-trivial task as headers and footers can be multi-line, and some lines may vary between pages. The same procedure is deployed separately for headers and then for footers. In the further description, we focus on processing headers. There are two stages of this procedure:
(a) The first is to build a tree of lines that compose headers. The basic idea is that this procedure sets its range of activity as a whole document and then ‘walks’ from the start page to the last page of the range, checking the first line of each page. If the line of the current page is the same as the line from the previous page, it is very likely ‘in’ header. There is a parameter saying how many times the exact line must repeat for the procedure to decide it is ‘in’ header. If the line is not the same, it means it detected the end of the header processed so far. It then holds processing at the current level and ‘dives in’ to check if the newly found header line has some header lines below. It does it by cutting the first line from processed pages, narrowing the range of activity to contain only them, and invoking itself recursively with these parameters. It continues to ‘dive in’ as long as it finds new header lines on subsequent levels. If it does not find new header lines on the current level, it starts to continue its work from the last place it holds until the end of the document is reached. The actual implementation is slightly different, but the idea is kept.
(b) This stage exists only due to technical issues. All the complex pattern-matching machinery works with document pages and not with trees of lines, so we need to flatten and ‘linearize’ the tree from the previous step to create a list of artificial pages with just headers and footers, and only then we can apply annotators.
**Annotators — local context**
At the lowest level, we have a set of matchers that match the given text or the given regular expression. We can specify whether attention should be paid to the case of letters and — in the case of multi-member matches — what is the maximum distance in the text between these members. As we describe in the following paragraph, the results are processed by annotators, get labeled with type, and stored per page. There are also matchers that search inside these
stored values for a specific type of results or all results but specific types. This is used to create more sophisticated rules. There are also two more that work with set or sequences of words: the first compares each encountered token with the words in the given dictionary, the second compares a sequence of two or one words against sequences in the given dictionary. The latter is used to identify the names of cities in the text.
The matchers described in the previous paragraph are combined to define much more elaborated patterns. And then sets of these patterns are used by annotators to create even more sophisticated rules that allow extracting fragments of the text that are likely to contain words or phrases that the system is looking for. This layer can be considered as the heart of the whole system. Generally, each annotator corresponds to a type of a field that needs to be extracted and is mentioned in the task description (city, postal_code, drawing_date). However, there are some types of fields requiring a more subtle approach e.g., there are separate annotators searching for information about persons: one searches horizontal layouts, another searches vertical layouts. Also, there is a whole family of annotators dealing with the street and house number together. The results are stored per page.
Annotators can form chains. One annotator can utilize the output of the others. This mechanism allows to decompose the extraction problem, and share information required for different fields. In Figure 3 we present annotators and dependencies between them.
**Extractors — global view**
In this layer we have extractors that try to extract the best result from the ones found and stored so far. There are eight different extractors corresponding to fields that need to be extracted and listed in the task description. Fields period_from and period_to are combined together inside one extractor. Similarly fields street and street_no. There is one additional extractor that is responsible for finding the signature page.
Extractors have a defined behavior depending on the type of field they are trying to find. The simplest extractor tries to find if there are results found on the first page, and if they are, then only they are later considered. If there are no such results, all of them (from all document’s pages) are taken into account. These results are then sorted by score, and the first one in the document is chosen as the final result.
One extractor searches for a value that does not correspond to any field described in the task description. The extractor tries to find the page with signatures. It uses two ways to find the page. First is just by using matcher searching for the text "Podpisy" and then checking on the page that match. If the page is not selected, then the second way is used by using matcher that searches for the city's name and a string representing date positioned side by side. If the page is found, then this information is used by some other extractors that prefer results found on the page with signatures (e.g., people data).
**Lemmatization and normalization**
There is an additional step for fields company and street. Just before returning the result, the text is lemmatized. In the case of company field, first, each separate word is lemmatized,
then some of these separate words may be ignored (like 'DOMINUJACA', 'FIRMY'), and then the full company name is lemmatized. In the case of *street* field, first, we check if the actual street name is just one word. If not, the text is not changed. If yes, the word's ending is changed according to the records in a special table containing inflected and the basic versions of endings.
**Additional global heuristics**
The most different from the standard result extraction procedure described in the previous chapter is the one that selects information about people. First, it checks if the page with signatures was found. If yes, then it tries to process results found on that page. If there are no such results, then it tries to find them differently than it is done in the first step: first, it finds all tokens with words denoting a person role like "prezes", "wiceprezes", "prokurent", "księgowy" etc. And for each such token, it finds the first token above and below — that’s why we needed to reorganize lines and tokens properly. Then it scans patterns that match
first and last names in the nearest horizontal neighborhood of the newly found tokens. If something is found, we have a set of tokens with roles and a set of corresponding tokens with first and last names. Tokens with first and last names can be in the nearest horizontal neighborhood of two different tokens with roles. Then, disambiguation is done by comparing the Euclidean distance between geometric centers of tokens — exactly square of the distance to avoid floating-point processing overhead. In case still nothing is found, CLEX falls back to the default procedure described earlier — omitting checking results from the first page.
Not only can we introduce changes in choosing the final result by changing the algorithm but also by changing the score assigned to intermediate results. This possibility is not heavily used, but there are places taking advantage of it. When calculating the score for some types (city, company), a small alteration is introduced: if an intermediate result is found in the header or footer, its score is much higher than the ‘standard’ ones. When searching for period_from and period_to values, the highest score is assigned to intermediate results from the title page, and half of this score is assigned to result from the consecutive page. Further results are assigned significantly fewer scores — that corresponds to the height of the row in which the token was found.
### 3.5. Summary
The CLEX architecture itself is quite simple, but the approach’s strength lies in the two-tier system of patterns and rules, which are combined in sophisticated ways. They do most of the work. Additional heuristics and preprocessing add up to the result.
**Table 1:** Number of patterns and matchers used to extract field (total)
| Field | annotators | patterns | matchers |
|------------------------|------------|----------|----------|
| address | | | |
| – city | 1 | 1 | 1 |
| – postal_code | 1 | 1 | 1 |
| – street & street_no | 4 | 7 | 37 |
| company | 3 | 18 | 54 |
| dates | | | |
| – date | 1 | 4 | 14 |
| – drawing_date | 1 | 3 | 10 |
| – period_from & period_to | 1 | 7 | 29 |
| person | 2 | 5 | 26 |
| person_position | 1 | 2 | 4 |
At the lowest level, we have eleven types of matchers used to compose more complicated patterns. The patterns are created and used by annotators. Then, extractors select the final results. Table 1 shows how many annotators, patterns, and matchers were used to identify each type of field. The numbers are total numbers, it means that, for example, to identify company, we have three annotators that contain 18 patterns, and there are 54 instances of matchers
used to build up these 18 patterns. Annotator for *date* is used by annotator for *drawing_date* and *period_from* and *period_to*. Some annotators use results of other annotators e.g. annotator for *person* uses results produced by annotators dealing with *date* and *person_position*. The number of matchers might not be perfectly accurate as matchers automatically created from multi-word strings are counted as one.
4. Evaluation
Table 2 contains detailed evaluation results on the development set. Fields *address* and *person* are compound fields and consist of the following subfields: *address*={city, postal_code, street, street_no}, *person*={name and date, position}. Fields *person_name_position* and *person_name_sign* are also compound fields and consist of two out of three subfields for *person*, respectively {name, position} and {name, sign}.
| Field | F₁ | Precision | Recall |
|------------------------|----------|-----------|--------|
| address | 0.901 ± 0.016 | 0.901 ± 0.016 | 0.901 ± 0.016 |
| – city | 0.952 ± 0.017 | 0.955 ± 0.017 | 0.952 ± 0.017 |
| – postal_code | 0.907 ± 0.024 | 0.942 ± 0.019 | 0.876 ± 0.029 |
| – street | 0.900 ± 0.023 | 0.911 ± 0.023 | 0.888 ± 0.025 |
| – street_no | 0.907 ± 0.023 | 0.928 ± 0.022 | 0.889 ± 0.026 |
| company | 0.893 ± 0.027 | 0.904 ± 0.028 | 0.881 ± 0.029 |
| drawing_date | 0.437 ± 0.043 | 0.445 ± 0.042 | 0.428 ± 0.043 |
| period_from | 0.971 ± 0.013 | 0.974 ± 0.013 | 0.968 ± 0.014 |
| period_to | 0.967 ± 0.014 | 0.970 ± 0.014 | 0.964 ± 0.015 |
| person | 0.607 ± 0.024 | 0.597 ± 0.033 | 0.619 ± 0.023 |
| – person_name | 0.805 ± 0.023 | 0.792 ± 0.035 | 0.821 ± 0.024 |
| – person_position | 0.724 ± 0.030 | 0.712 ± 0.039 | 0.739 ± 0.031 |
| – person_sign_date | 0.427 ± 0.042 | 0.425 ± 0.046 | 0.432 ± 0.043 |
| – person_name_position | 0.695 ± 0.031 | 0.682 ± 0.039 | 0.707 ± 0.032 |
| – person_name_sign | 0.399 ± 0.042 | 0.394 ± 0.046 | 0.410 ± 0.043 |
$F_1$ (UC) 0.694 ± 0.017
$F_1$ 0.682 ± 0.018
CLEX obtained the highest scores for *period_from* and *period_to* — above 0.96. This field was the easiest to recognize, and the values were the most consistent between the ground truth and documents. The majority of errors are due to mistakes in the ground truth. Field *address* obtained the third-highest score of 0.90. The errors were equally distributed between system mistakes, ground truth mistakes, and differences in field forms (for instance, “Plac Trzech Krzyży” vs. “Pl. Trzech Krzyży”, “E. Plater” vs. “Emilli Plater”). Near the same score was obtained for *company* with a similar distribution of errors, including differences in field value forms (for instance, “BUDOPOL-WROCŁAW SA” vs. “BUDOPOL WROCŁAW SA”, “POLSKI KONCERN NAFTOWY ORLEN SA” vs. “ORLEN SA”).
The lowest scores were obtained for *person* and *drawing_date*. In case of *person* the most problematic was signature date which obtained 0.427 — near half the score for *name* and *position*. The main reason for the low score is that many documents were missing signature date, while in the ground truth, each record contains some value. For *position* most of the errors were related to value normalization, for example “Wice Prezes Zarządu” vs “Wiceprezes Zarządu”, “Prezes Zarządu” vs “Prezes”. For *drawing_date* CLEX obtained a significantly lower score than for the remaining fields, which is 0.437. The main problem with this filed was the large discrepancy between the documents’ values and the ground truth.
Table 3: Evaluation results on the test set
| Submission | $F_1$ (UC) on test |
|---------------------|--------------------|
| CLEX | **0.651 ± 0.019** |
| double_big | 0.606 ± 0.017 |
| 300_xgb | 0.592 ± 0.015 |
| double_small | 0.588 ± 0.018 |
| 300_RF | 0.587 ± 0.015 |
| middle_big | 0.585 ± 0.016 |
| 100_RF | 0.584 ± 0.016 |
| Multilingual BERT + Random Forest | 0.440 ± 0.014 |
On the test set, CLEX obtained a score of 0.651, which is higher by 0.045 than the second-best score. The full leaderboard for Task 4 is presented in Table 3.
5. Summary
In the paper, we presented a system for information extraction from a complex layout called CLEX. Based on the training dataset analysis, we decided to use the rule-based and knowledge-based approach instead of machine learning due to some dataset’s problems. Our system achieved a score of 0.651 on the test set, which was the highest score among the submitted solutions.
The system is available under the GPL license at http://github.com/CLARIN-PL/clex.
Acknowledgements
Work financed as part of the investment in the CLARIN-PL research infrastructure funded by the Polish Ministry of Science and Higher Education.
References
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BiLSTM Recurrent Neural Networks in Heterogeneous Ensemble Models for Named Entity Recognition Problem in Long Polish Unstructured Documents
Aleksandra Świętlicka (Institute of Automatic Control and Robotics, Poznań University of Technology; Wrocław Institute of Spatial Information and Artificial Intelligence)
Adam Iwaniak (Wrocław Institute of Spatial Information and Artificial Intelligence; Institute of Geodesy and Geoinformatics, Wrocław University of Environmental and Life Sciences)
Mateusz Piwowarczyk (Faculty of Computer Science and Management, Wrocław University of Science and Technology; Wrocław Institute of Spatial Information and Artificial Intelligence)
Abstract
In this paper we present a solution to the Task 4 of the PolEval 2020 evaluation campaign for natural language processing tools for Polish. This task was to extract information and type entities from long Polish documents with complex layouts. As a solution to this problem we propose two machine learning algorithms. The first one is an Artificial Neural Network (ANN) composed from LSTM (Long Short-Term Memory) and GRU (Gated Recurrent Unit) layers. The second one was an ensemble model based on ANN, random forests and XGBoost.
Keywords
natural language processing, named entity recognition, ensemble model, artificial neural network, BiLSTM, GRU, XGBoost, Random Forest
1. Introduction
Natural Language Processing (NLP) is one of the most interesting, developing and yet challenging area of research, which is undertaken by many scientists from around the world. Among the issues of NLP we can find text classification, named entity recognition (NER), sentiment analysis (usually based on tweets, IMDb film reviews, amazon products reviews, etc.), text generation including caption generation, language translations, etc.
Polish belongs to the group of inflectional languages, thus it is much more complicated and more difficult to machine processing than, for example, English. While for English there are many very well developed machine learning models, e.g. Transformers (Wolf et al. 2019), i.e. BERT (Vaswani et al. 2017), RoBERTa (Liu et al. 2019), XLNet (Yang et al. 2020) or SpaCy (Honnibal and Montani 2017), for Polish it is usually possible to use only multilingual options. SpaCy model for Polish has been actually developed in the past few years (Tuora and Kobyliński 2019), and there were unofficial versions of these models, but it was officially accepted in the SpaCy package only in July of 2020.
In this research we are facing a problem of information extraction and entity typing from long Polish documents with complex layouts, which was one of the PolEval 2020 tasks. Documents are financial reports of Polish corporations, which contain unstructured arrangement of text such as very long tables, space for signatures, headers and footers, two-column format, etc. For each of the reports there were three files available: PDF – the original report, TXT – optical character recognition (OCR) of the report and HOCR – data representation for formatted text obtained from OCR. In our solutions we have focused only on TXT files, which we have noticed were very “tidy” and quite easy to process and prepare for further analysis with machine learning algorithms. Additionally to each of the provided by organizers sets (except from the evaluation one) there were provided so called ground truth tables, which contained data that should be extracted from reports. Among extracted data it is possible to find: name of the organization, address of the organization (separately city, street and street number), names of people managing the organization with their positions, and dates (date and time scope of the report).
Reviewing related to NER papers and articles it is possible to find many approaches to this problem. It is rather obvious that finding e.g. a postal code might be as simple as building a proper regular expression rule to extract the preferable data. If there is only one postal code in the document, then the situation is obvious, but what with the situation when there are several different postal codes in the document – which one should we choose? On the other side, there are already tools for names extraction, like NLTK Python package (Bird et al. 2009). But what if there are several or over a dozen or even several dozens of names in one document and we need just a few of them? How to choose which of them are relevant? All of the above ambiguities led us to design our own models as a solution to a given problem.
Another option for solving the NER problem may also be to look for already described in the literature machine learning algorithms, like conditional random fields (CRF) (Song et al. 2019) or artificial neural networks (Lample et al. 2016, Chiu and Nichols 2016) and many others (Yadav and Bethard 2019, Anandika and Mishra 2019). Unfortunately, the problem
is that the proposed solutions are often dedicated to specific types of documents and it is difficult to generalize such solutions to any texts.
In this research we present our approach to the information extraction problem which is based on artificial neural networks (ANNs) and ensemble models. The latter ones, built on the basis of neural networks (ANNs as weak learners), have been the subject of researchers for many years (Hansen and Salamon 1990, Perrone and Cooper 1995). In more recent papers it is possible to find ensemble models specifically for NER problem (Speck and Ngomo 2014, Won et al. 2018). Due to the specificity of the issue and the unique nature of the reports that we consider, we decided to design our own solutions. The first presented solution is naturally based on artificial neural networks constructed from Long Short-Term Memory (LSTM) layers, which are known for their wide area of applications in NLP problems. As an extension of this solution we have decided to combine ANN with random forests as weak learners and use another random forest or XGBoost as the ensemble one.
The paper is organized as follows. In Section 2 we present preprocessing of reports’ texts and details of proposed machine learning algorithms for information extraction. In Section 3 we are briefly presenting results of our solutions, while in Section 4 we give final remarks.
2. Data and methods
Polish NLP problems have been in the area of our not only scientific but also commercial interests, for a long time. Our research is related to various branches of the NLP issues. Our recent work for example has concerned the classification of Polish land areas according to their future use, based on spatial development plans (Kaczmarek et al. 2020). Lately we have also worked on NER problem in legal documents. The PolEval 2020 contest gave us then an opportunity to test our existing solutions on new documents with different layouts.
In this specific task of information extraction from long Polish documents with complex layouts we are in fact facing a problem of so-called Multi-Word Expressions (MWE; Sag et al. 2002). We do not know how many words are there in a single entity, and the list of people managing the organization with their positions seems to be the most tricky issue, as we do not exactly know how many people are we actually looking for. Hence, the biggest challenge was to pre-process the data and prepare it for further processing by selected machine learning methods, especially since the considered documents differ from those we have dealt with so far.
In this section the arduous process of data preparation and machine learning methods that we have developed in our hitherto projects are described.
2.1. Data preparation – labels
In the first step of this part of our solution, we focused on transformation of text into “readable” for artificial neural networks form. As can be expected we have decided to use a Tokenizer, which is a dictionary that assigns to each word in a text an unequivocal integer number. After
many experiments we have decided to expand this dictionary with new words. The first idea was to add a base of Polish female and male names and surnames, which is available online,\(^1\) and a base of Polish postal codes with their associated cities and street names – also available online.\(^2\) Of course we also thought about adding all of the Polish words (e.g. extracted from word2vec models), but this idea did not improve our solution.
Tokenization was carried out with the assumption that all the standard special characters are removed (e.g. $, @, #). During browsing both txt files and extracted entities we have noticed that there are many special characters which are not included in the standard filters but they occur directly in names. The reason is probably as obvious as that the special characters occur in text due to the OCR process. We then expanded our Tokenizer with new special characters, e.g. •, ♦, §, etc.
The second idea of improvement of our solution was to expand not only the dictionary but also a structure of the designed artificial neural network (which, in detail is described further in the paper), which was at the end built from two threads, where one processed the original text while the second one the same text but each of its words was transformed to its basic form. To extract these basic forms of words we used an inflectional analyzer and generator for Polish morphology Morfeusz2 (Woliński 2014).
The basic forms of words turned out to be very useful not only during labeling of the given text but also during extraction of entities from text. It is very important to notice that we are dealing with Polish which is full of declensions of nouns, adjectives, adverbs, and counting words, e.g. in Table 1 there is a conjugation of the word “eat” (pol. jeść) in English and Polish.
**Table 1: Conjugation of the word “eat” (Pl. jeść) in English and Polish**
```
ENGLISH: EAT
eat, ate, eaten, eats, eating
POLISH: JEŚĆ
jeść, jem, jesz, je, jemy, jecie, jedza, jadłem, jadłam, jadleś, jadłaś, jadł, jadła, jadło,
jadliśmy, jadliście, jedli, jadłyśmy, jadłyście, jadły, jedz, jedzmy, jedzcie, jadłbym,
jadłbys, jadłby, jadłabym, jadłabyś, jadłaby, jadłoby, jedlibyśmy, jedlibyście, jedliby,
jadłybyśmy, jadłybyście, jadłyby, jedzący, niejedzący, jedząca, niejedząca, jedzące,
niejedzące, jedzony, jedzona, jedzone, jedzeni, ...
```
By looking in text for a specific name (e.g. Janusz Malinowski) we can fail just because there is no exact match, but there is its inflected form (e.g. Januszowi Malinowskiemu). Basic forms then helped us find the specific desirable word, but also during extraction saving the proper basic forms of words. Polish can be however very tricky: with names, companies or cities, we wish to save their basic forms, while with streets it is not so obvious. In Table 2 we are showing some examples of text sequences with their labels, to show how differently labels can be assigned. Types of labels are explained further in text.
---
\(^1\)https://dane.gov.pl
\(^2\)https://www.poczta-polska.pl
Table 2: An example of labeling of text
| The original text in English | Tokens (original text in Polish) | Label | Lemmata (from Morfeusz2) | Label | What should be extracted |
|-----------------------------|---------------------------------|-------------|--------------------------|-------|-------------------------|
| Marie Skłodowska-Curie | ul Marii Skłodowskiej Curie | o street_start street_continue street_continue | ul Maria Skłodowska Curie | o | street: ul. Marii Skłodowskiej Curie |
| Bank Ochrony Środowiska S.A.| Bank Ochrony Środowiska S.A. | company_start company_continue company_continue | Banek Ochrona Środowisko S.A. | o | company: Bank Ochrony Środowiska S.A. |
| ... together with the president of the board Jerzy Wiśniewski ... | wraz z Prezesem Zarządu Jerzym Wiśniewskim | o o o o o | wraz z Prezes Zarządu Jerzy Wiśniewski | human_start human_continue position_start position_continue | people: Jerzy Wiśniewski Prezes Zarządu |
The preparation of the output vectors for an artificial neural network required a thorough analysis of the texts in comparison with the available ground truth tables.
On this basis, the following labels have been prepared:
— street_start, street_continue, street_no
— company_start, company_continue
— drawing_date_day, drawing_date_month, drawing_date_year
— period_from_day, period_from_month, period_from_year
— period_to_day, period_to_month, period_to_year
— postal_code_pre, postal_code_post
— city_start, city_continue, city
— human_start, human_continue, position_start, position_continue
In addition to the above, a label was added conventionally called "o", which meant that a given word/token is from our point of view irrelevant.
Each of the above categories was separately analyzed:
— Each of the named entities, like company, street, people, were considered to be longer than one word, that is why we decided to use name_start to indicate the beginning of this name in text and name_continue as its continuation. We have then noticed that in the training set, there was no city names longer than one word, that is why we added the label city.
— Because each of the considered companies was a joint-stock company, they all had an adequate “postscript”: SA, S.A. or Spółka Akcyjna. That is why we have decided not to search for this sequence in text, but only for the basis of the full name and after extraction of this basis we added this “postscript” manually.
— Each date (drawing_date, period_from, period_to) was separated into three tokens: day, month and year. In Poland we use two basic formats of writing dates: dd.mm.yyyy and dd month yyyy. Additionally, in the second format, month should be written in genitive, while it is a common mistake to write it in nominative (e.g. correct: 13 marca 2003 r. and incorrect 13 marzec 2003 r.). Anyway, both these versions were considered during labeling. A problem with dates was also that often the period covered by a given report was not written explicitly with dates, but descriptively, e.g. the first half of 2003 or second quarter of 2003, etc. Due to the large variety, we did not undertake the extraction of dates from such period descriptions, thus it can be one of the considered extensions of this work.
— Postal codes were also considered as two separate tokens, due to the aforementioned tokenization, which used “-” (hyphen) and “–” (dash) as filters.
### 2.2. Data preparation – choosing training data
After assigning labels to each word in the given text we were ready to divide our data into train and validation sets. We have decided that as the input of a machine learning algorithm we will use a sequence of 15 words (represented as a vector of integer numbers), while there was one output, which returned a class of the middle word of the input vector. Summarizing the number of training vectors: a sequence of 15 words and an according class of its middle word, it was obvious that classes are highly unbalanced. The biggest class was the one with irrelevant data noted as “o”. Without any extra oversampling we have decided to choose all data with important labels and choose a random subset of data with label “o” which cardinality was equal to the sum of the cardinalities of each of the remaining classes.
We have performed many experiments on artificial neural networks and then created our own ensemble model based on one chosen structure of an artificial neural network, random forest (RF) and XGBoost classifier. We had three, provided by organizers of the contest, data sets: train, validate and test, which contained 1662, 554 and 555 reports, respectively. For the purposes of this article, we have combined train and validate sets and extracted desirable training vectors (according to the procedure described in section 2.1). Ultimately, the number of training vectors was over 3.5 million. The first test that involved only neural networks assumed classic division of training data into train and validation sets (e.g. 75% vs. 25%), while the tests were performed on the data provided by the PolEval 2020 organizers (noted as validation one). In the expanded model – the ensemble one – we have used the same data set but then split it into two subsets (for both token and basic versions of the input):
1. the first subset was used to train the ANN and random forests sub-models and it contained 65% vectors (approx 2.3 million) of the whole set – let us denote pairs of this set as \((X_1, y_1)\);
2. from the second subset, which contained 35% vectors (approx. 1.25 million), let us denote it as \((X_2, y_2)\), \(X_2\) was used to make a prediction on ANN and RFs obtaining three vectors \(y_{2\text{pred}}\) for each of the sub-models: \(y_{2\text{\_pred\_ANN}}, y_{2\text{\_pred\_RF\_token}}, y_{2\text{\_pred\_RF\_basic}}\);
3. finally pairs \((y_{2\text{\_pred}}, y_2)\) were used to train concatenating sub-models XGBoost.
2.3. Artificial neural networks
As we already mentioned, we have performed many experiments on different structures of artificial neural networks (ANNs) and finally focused on two of them. The first one assumed that as the input we will consider only the original text (see Fig. 1A) while the second one – both, original text and the one where each word is transformed to its basic form (see Fig. 1B). Let us denote the first one as **middle** and the second one as **double**.
Figure 1: Structures of considered ANNs: A. model with one thread, that process only the original text (**middle**), B. model with two threads, that process text with words in their original and basic forms (**double**)
Both structures were built from the embedding as the first layer. Embedding is a matrix, in which each row corresponds to a different word and it assigns to it an $n$-dimensional vector of real numbers, thereby placing each word in $n$-dimensional space, thus representing an abstract distance between the words. It is possible to find various versions of embedding matrices, among the most popular there are those provided by the Institute of Computer Science, Polish Academy of Sciences (IPI PAN),\(^3\) and Facebook fastText (Joulin et al. 2016a,b).
\(^3\)Over 100 different models available at [http://dsmodels.nlp.ipipan.waw.pl](http://dsmodels.nlp.ipipan.waw.pl)
Both threads of the ANN that takes two vectors as inputs (token and basic) are actually of the same structure as the ANN with one thread. The difference occurs after GRU (Gated Recurrent Unit) layer, where one ANN goes to the output Dense layer, while the other one concatenates two threads and two additional Dense layers are added. Embedding layers in both ANN structures are followed sequentially with bidirectional Long Short-Term Memory (BiLSTM), LSTM and GRU layers. LSTM, BiLSTM and GRU layers were built from 128 neurons, with default set tanh activation and sigmoid recurrent activation functions. The penultimate Dense layer in ANN with two threads was implemented with 64 neurons and relu activation function. The last Dense layer in both structures had $k$ outputs, where $k$ denotes the number of classes – Keras built-in to_categorical function converts a class vector of integers to a binary class matrix. This last layer was implemented with softmax activation function. Both models were compiled with mean squared error (MSE) loss and RMSprop optimizer.
### 2.4. Ensemble model with XGBoost and Random Forest
Ensemble machine learning model is a model consisting of multiple individual models, the results of which are aggregated in order to achieve greater prediction accuracy than for a single model (Dietterich 2000). Theory behind ensemble learning is based mostly on the bias-variance-covariance decomposition. It is an extension of the bias-variance decomposition, for linear combinations of models. Bias component describes how accurate the model is, on average across different possible training data sets. The variance component describes how sensitive the learning algorithm is to small changes in the training data set.
Previous research (Dietterich 2000, Tang et al. 2006, Mendes-Moreira et al. 2012) showed that one of the most important characteristics of accurate ensemble model is diversity of base learners and training data. This diversity can be achieved in many different ways, and can be measured differently according to the approach of achieving it. There are three main approaches for achieving diversity in ensemble methods: **data diversity** (bagging, random forests, random subspace - random subsets of the full feature space), **parameter diversity** (multiple kernel learning), **structural diversity** (heterogeneous, homogeneous, hybrid).
The main challenges facing the methods of creating ensemble machine learning models are methods for aggregating individual classifiers within a model ensemble, selection of appropriately diverse and complementary classifiers included in the models’ ensemble, selection of final aggregation technique of single classifiers, preventing overfitting.
The conventional ensemble methods include:
- **Bagging** – Builds many individual classifiers based on randomly selected samples from the original training data. Results of these multiple classifiers are combined using average or majority voting.
- **Boosting** – Iterative technique in which algorithm adjusts the weight of a single training example based on the last classification. If training example was classified incorrectly, it tries to increase the weight of this single example or decrease it if it was classified correctly.
— **Stacking** – A technique in which another learner (meta-model) is used to combine output from individual base models of an ensemble. This technique performs well in building ensemble learners for problems where different types of base models are capable to learn some part of the problem, but not the whole space of the problem.
As we already mentioned in the first attempts we have analyzed many structures of artificial neural networks (ANNs). After many tests we have decided to expand our model and design an ensemble one, which apart of the ANN took also random forests and XGBoost classifiers into consideration (see Fig. 2).
Random Forest is an ensemble supervised machine learning method that fits a number of decision tree classifiers. Its great advantage is that these classifiers are trained on various sub-samples of the training data and uses averaging to improve the accuracy and control over-fitting at the same time.
XGBoost (Chen and Guestrin 2016) is a Python open-source package that provides a high-performance implementation of gradient boosted decision trees. XGBoost models are also ensemble ones, but they differ from the “classic” approach, while their ensemble decision trees are trained one by one until the error of the model does not improve anymore.
As it is shown in Figure 2 ANN took as an input vectors of words in both configurations: created from original texts and words transformed into their basic forms. We also implemented two random forests, one of them was used to process vectors of words in their original forms, while the other one – in their basic forms. At the position where XGBoost is inserted, we also considered a random forest classifier.
**Figure 2:** General idea of an ensemble model used for information extraction
Each word in original text has an assigned type (class), e.g. name, surname, company, etc.
3. Results
The evaluation of the NER results involves the assessment of the correct recognition of the type of entity and the correct recognition of the word boundaries in which the entity is located. To evaluate the accuracy of entity recognition algorithms, hand-tagged sets are usually used as a reference to the results obtained from the algorithms. There are two ways to compare the results: exact match and relaxed match. In the first approach, a correctly recognized result is one in which there is an entity type match and an exact match as to the word boundary (e.g. the address *Generała Władysława Sikorskiego 34/5* recognized as *Sikorskiego 34/5* will not be considered correctly detected). To measure effectiveness, measures known from classification problems are used: Precision, Recall, $F$-Score. In the second approach, some blurring is allowed within the recognized expression. Recognition can be passed if the entity is included in the recognized string of words, regardless of their length.
In this section we will focus on results obtained with particular models of ANN, random forests and then proceed to the results of the ensemble one, where the exact match method of comparison with $F_1$ score was used.
We have tested a few different configurations of random forests classifiers, and some of the results are exposed in Table 3. The oob_score is a score of the training data set obtained using an out-of-bag estimate. PS abbreviation stands for prediction score and it is an accuracy of the prediction on the validation set (denoted earlier in the paper as $(X_2, y_2)$). Analyzing values presented in Table 3 we could conclude that increasing the number of estimators did not improve the quality of the classifier, but it significantly extended the time of training and prediction. That is why we have decided to choose 200 estimators for further tests.
Table 3: Prediction score PS and oob_score for random forests sub-models of the ensemble model
| Input version | n_estimators | oob_score | PS |
|---------------|--------------|-----------|------|
| token | 100 | 0.9551 | 0.9959 |
| | 200 | 0.9555 | 0.9559 |
| | 500 | 0.9956 | 0.9558 |
| basic | 100 | 0.9586 | 0.9598 |
| | 200 | 0.9594 | 0.9600 |
| | 500 | 0.9597 | 0.9600 |
Figure 3 shows accuracy and loss plots for considered ANN models. Figures 3A and 3C concern the ANN structure with one thread (**middle**), while 3B and 3D – with two threads (**double**). Please notice that waveforms are drawn starting from the third epoch, while drawing all of the epochs made the plots unreadable. We have considered both ANN models with different embedding matrices: *nkjp* abbreviation stands for The National Corpus of Polish (Pol. Narodowy Korpus Języka Polskiego; Przepiórkowski et al. 2012) and refers to models shared by IPI PAN, while *fb* – for Facebook fastText model. From over 100 models provided by IPI PAN we have chosen two ones: with 100 and 300 size of the embedding matrix, while Facebook fastText provide embedding the matrix of dimension 300.
Analyzing Fig. 3 we can see that in fact the model with one thread has better performance of training than the model with two threads, although both models appeared as well qualified. Although based on these plots it seems that the first one should provide better results than the second one, we tried to empirically choose the right model. Our tests consisted primarily of manual viewing of final tables prepared on the basis of the results obtained from the neural network and of capturing irregularities. These irregularities appeared in the text as unknown entities (field of table was filled with “Unknown” word) or as tokens not recognized by the tokenizer (unknown for tokenizer words were denoted as “__Unknown__”).
In Table 4 we are presenting $F_1$ score calculated separately for each entity, with use of the test set provided by organizers of the contest. The last entity – “people” – was separated into names and positions and $F_1$ score was also calculated separately for each of them. Analyzing Table 4 it is possible to notice that $F_1$ score varies between 0.41 and 0.98, depending on kind of the entity. Apart from that we can observe that within a single entity type each of the models gave similar value of the $F_1$ score.
Table 4: Number of unrecognized fields in the final result. Models middle and double refer to ANNs, RF and XGBoost refer to ensemble models with RF and XGBoost as the concatenating one, respectively. Numbers 100 and 300 refer to the size of the embedding layer, while NKJP and FB to its source.
| Entity | middle 100 NKJP | middle 300 NKJP | double 100 NKJP | double 300 NKJP | RF 100 NKJP | RF 300 NKJP | XGBoost 300 FB |
|-----------------|-----------------|-----------------|-----------------|-----------------|-------------|-------------|---------------|
| company | 0.5982 | 0.6054 | 0.4126 | 0.4432 | 0.6000 | 0.5784 | 0.6090 |
| drawing date | 0.4667 | 0.4631 | 0.4739 | 0.4667 | 0.4687 | 0.4739 | 0.4767 |
| period from | 0.8991 | 0.9027 | 0.8883 | 0.8865 | 0.8162 | 0.8054 | 0.8667 |
| period to | 0.9838 | 0.9784 | 0.9802 | 0.9838 | 0.8378 | 0.8378 | 0.9495 |
| postal code | 0.6216 | 0.6216 | 0.6450 | 0.6486 | 0.6378 | 0.6288 | 0.6432 |
| city | 0.7712 | 0.7585 | 0.7748 | 0.7982 | 0.7495 | 0.7441 | 0.7531 |
| street | 0.4955 | 0.4793 | 0.4964 | 0.4983 | 0.5063 | 0.5009 | 0.5063 |
| street no | 0.6252 | 0.6162 | 0.6450 | 0.6324 | 0.6594 | 0.6775 | 0.6793 |
| people names | 0.7132 | 0.6975 | 0.6539 | 0.6500 | 0.7513 | 0.7585 | 0.7430 |
| people positions| 0.8059 | 0.8020 | 0.8139 | 0.8182 | 0.8292 | 0.8396 | 0.8349 |
Summarizing our research, we have submitted 6 models to the PolEval 2020 contest, where the first attempt assumed only ANNs (3 models) and the second one – ensemble ones (3 models). In Table 5 we are showing the evaluation scores presented by the organizers of the contest.
A full description of each of the submitted models is as follows:
— double_big → ANN with two threads and embedding of size 300 (NKJP)
— 300_xgb → ensemble with XGBoost and embedding of size 300 (FB)
— double_small → ANN with two threads and embedding of size 100 (NKJP)
— 300_RF → ensemble with RF and embedding of size 300 (NKJP)
— middle_big → ANN with one thread and embedding of size 300 (NKJP)
— 100_RF → ensemble with RF and embedding of size 100 (NKJP)
Table 5: Evaluation scores
| Model configuration | F₁ score |
|---------------------|------------|
| double_big | 0.606 ± 0.017 |
| 300_xgb | 0.592 ± 0.015 |
| double_small | 0.588 ± 0.018 |
| 300_RF | 0.587 ± 0.015 |
| middle_big | 0.585 ± 0.016 |
| 100_RF | 0.584 ± 0.016 |
By reviewing the results presented in Table 4 and 5, it can be concluded that the calculation of the $F_1$ score may not be consistent with organizers’ methods. We do not know for example how was considered the joint-stock company annotation (Spółka Akcyjna), while it can be
written in the following forms: *SA, S.A., Spółka Akcyjna*. On the other hand, we have noticed that not all of the desired entities appeared in documents.
4. Discussion and conclusion remarks
Analysing our results, trying to improve them, while browsing available documents we have noticed that not every entity appears in the considered financial report. This fact, together with the notion that we are dealing with entities of the MWE type and due to the specificity of Polish, makes the presented issue of NER very complicated. It is necessary to remember, that Polish is an inflectional language and the task of named entity recognition is much more complicated than e.g. for English. In the literature it is possible to find $F_1$ values of 70–95%, however it should be emphasized that these studies are limited to carefully selected categories of NER (usually the ones that give the best results), and the algorithms use frequently hand-created rules and lexicons.
Additionally, it is possible to observe that there is an imbalance in data sets, while specific entities appear in text just a few times. While in other tasks, e.g. image processing, it is possible to enlarge the training set, in NLP problems it is rather impossible. We believe then, that more documents (financial reports) and ultimately more training vectors would improve the evaluation results of our solutions. It can be noticed, however, that the ANN and ensemble models achieved very promising results. We are constantly working on extending the proposed solutions and we can confidently say that the results have already improved.
Acknowledgements
This work was supported by The National Centre for Research and Development in Poland under the POIR 01.01.01-00-1274/17-00 project *Building a knowledge base on real estate*.
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For Ava and Noah
PUBLISHED BY THE PRESS SYNDICATE OF THE UNIVERSITY OF CAMBRIDGE
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© Richard Butsch 2000
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Butsch, Richard, 1943-
The making of American audiences: from stage to television,
1750–1990 / Richard Butsch.
p. cm. – (Cambridge studies in the history of mass
communications)
Includes bibliographical references and index.
ISBN 0 521 66253 2 (hb). – ISBN 0 521 66483 7 (pb)
1. Performing arts – Audiences – United States. 2. Radio audiences –
United States. 3. Television viewers – United States. 1. Title.
II. Series.
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ISBN 0 521 66253 2 hardback
ISBN 0 521 66483 7 paperback
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Southern Illinois University, Carbondale, Morris Library
Finally, I wish to thank my devoted wife, companion, and colleague, Ava Baron, for her wisdom and love through all these years, and my son, Noah, for being a living reminder that there is more to life than work.
Perhaps, one should write theatrical history in terms of the customs of audiences.
— George C. D. Odell, *Annals of the New York Stage* (1927), II 426.
That is why “popular culture” matters. Otherwise, to tell you the truth, I don’t give a damn about it.
— Stuart Hall, “Notes on Deconstructing ‘The Popular’” in Raphael Samuel, ed., *People’s History and Socialist Theory* (London: Routledge, 1981), 239.
In 1996, the American Medical Association sent out to 60,000 physicians a guide to advise their patients in children’s use of television. The booklet concludes with a list of “media use suggestions for parents” that reads like the warning labels on drugs and dangerous household chemicals: use only in limited amounts, for specific purposes, and under careful guidance of adults.¹ This is just one example of the popular, professional, and scholarly discourses in the twentieth century that have been concerned with mass media’s dangers to audiences. Precisely what is the danger and
continuity across the forms. The combination of change and continuity makes these six forms ideal for making comparisons and tracing developments, and explains why other popular entertainments such as circus, music concerts, and spectator sports are less useful.
Each form has borrowed and adapted from its predecessor. In some senses earlier forms gave birth to and nurtured the new forms that displaced them. In other senses the newer forms often succeeded by mimicking their predecessors. Minstrelsy began as *entre acte* entertainment in theater and incorporated dramatic burlesque in its developed form. Vaudeville adopted the variety form from minstrelsy and some of its performers too. High-priced or refined vaudeville too incorporated condensed one-act plays. Early talking movie comedy borrowed the vaudeville aesthetic. Radio stole stars and variety format from vaudeville and melodrama from cheap theaters. Television in turn raided radio.
Each of these forms has occupied a similar – although sometimes differentiated – niche in the array of leisure activities of their time. The similar niche is evident in their competition for audiences, with the result that each has displaced another as the most popular entertainment form. All forms of entertainment, from circus to drama to opera to novelties, were staged in the same theaters to mixed audiences before 1840s. In the 1840s, the upper classes in the largest cities began building opera houses and drama managers began in earnest to seek respectability through female audiences. Other audiences less concerned with respectability, particularly working-class men, shifted their allegiance to the new form called minstrelsy which continued to allow the rowdiness being suppressed in some theaters. Minstrelsy, however, also spawned variants, as some successful troupes drew broader audiences out of curiosity and offered respectable venues for the middle class. From the 1840s to the 1870s minstrelsy was the most widely available and popular form of stage entertainment. Minstrelsy established variety as a distinct format, with unrelated acts succeeding each other. Variants of this variety format appeared in many settings, including saloons. Once cleaned up and made respectable, variety became vaudeville. By the 1880s vaudeville had displaced minstrelsy as the predominant stage entertainment and maintained its dominance through the turn of the century.
Movies in their turn crippled cheap vaudeville and melodrama theater. In the 1910s movies began to take over darkened drama and vaudeville theaters, at first blending vaudeville with movies to broaden appeal, but soon dispensing with live entertainment as an unnecessary and expensive partner. With the arrival of sound in the late 1920s, movies had triumphed, while vaudeville and drama theater withered. The sound of radio nicely complemented silent movies in the 1920s. But the music industry as well as theater managers worried about radio stealing their audiences. During the 1930s a few feared that radio would reduce people's participation generally in community activities outside the home. After World War II television quickly supplanted both radio and movies as the principal mass medium. The attraction to television in the 1950s, combined with movies' loss of three-quarters of its audience, fed fears of privatization and theories of mass society composed of isolated families linked to the larger society through their television sets.
As popular entertainments each of these was entertainment of the "common people," but each too had its privileged constituency, and actively sought such a constituency. The story that plays out over time is therefore a recurring movement of markets and patrons and transformations of the entertainments themselves in pursuit of these markets. They cannot be solely understood as belonging to the common people or working class, except at certain moments and in certain sectors of the industries. Indeed the dynamic interplay between constituencies and the pursuit of these is necessary to understand audience practices.
how great it is may vary, but the issue is the foundation of almost all discussion about audiences. And the topic of audiences is pervasive, from popular magazines and books, to debates in Congress, to thousands of scientific studies of the effects of television, to scholarly debates about reception in the humanities.
It is the purpose of this book to provide a history of audiences, particularly one that exposes the terms of twentieth-century debate by comparing them to the terms of debate in earlier eras. Popular and scholarly discussions of audiences have long lacked a historical context. Concerns about television viewing, for example, have almost never led to consideration of earlier concerns about radio listening or moviegoing, let alone popular nineteenth-century entertainments such as melodrama, minstrelsy, and vaudeville. Yet the very issues at the heart of debates today have been played out repeatedly, sometimes in the very same terms, sometimes after inverting these terms.
How do nineteenth-century stage entertainments compare to twentieth-century mass media? They differ sharply in institutional form and in technology. Scholars who study one seldom are familiar with the work of those who study the other. And yet there is a continuity of concern about audiences, expressed in the public discourses of the times. Common to all these forms of entertainment is concern about the dangers of and to audiences. Audiences have been worrisome to American elites ever since the Revolution. The written record is a continual flow of worries about social disorder arising from audiences and the consequent need for social control. While the underlying issues were always power and social order, at different times the causes of the problems of audiences had different sources. In the nineteenth century, the problem lay in the degenerate or unruly people who came to the theater, and what they might do, once gathered. In the twentieth century, worries focused on the dangers of reception, how media messages, might degenerate audiences. In the nineteenth century, critics feared active audiences; in the twentieth, their passivity.
These changes in the terms of discourse highlight the importance of historicizing the concept of audience. How public discourses construct audiences, how audiences conceive themselves, and what audiences do are historically contingent. Categories like "the audience" are socially constructed, their attributes typically described in terms of dichotomies. Such dichotomies define the current ideal, what is good, deserves reward, power, privilege. The valence of dichotomies as well as the dichotomies themselves change over time. The current ideal represents the hierarchy of power within a society at a given moment of history. In the nineteenth century, the active audience was bad; today it is good. One distinction ceases to be significant and another comes to the fore. In seventeenth-century England, the distinction between listening (auditing) and viewing (spectating), words and spectacle, were central to the debate about the worth of new drama. Other than a brief appearance in the 1950s of debate concerning the relative merits of radio and television, this distinction has been inconsequential. Similarly, the displacement of live performance by mass media shriveled debate about the audience-performer distinction.
Two dichotomies that persist throughout this history are the distinctions between active and passive audiences and between public and private audiences. These distinctions weave through much of the history in the ensuing chapters. Let us begin by examining these categories. I will explore the active-passive dichotomy by discussing the historical tradition of audience sovereignty, changes in the audience-performer distinction, and the concepts of attention and embeddedness from recent cultural studies of television. Then I will explore the public-private dichotomy by considering the transformation of public space from a locus of the public sphere and a ground for collective action into a marketplace of consumption. I then consider this dichotomy in its second sense as the movement of the audience from the public venue of the theater to private spaces, particularly the home.
From Active to Passive
"Passive" has been shorthand for passive reception, audiences' dependence on and unquestioning acceptance of the messages of entertainment. Critics of media-induced passivity have fretted about aesthetic degradation of the culture, social or moral disintegration of the community, or political domination of the masses. The terms "passive" and "active" do not appear in nineteenth-century discourses. Instead critics talk about audience rights or rowdiness, in all cases presuming an active audience. Nineteenth-century audiences were, and were expected to be, very active. This active conception was rooted in a European tradition of audience sovereignty that recognized audiences' rights to control performances. Active audiences prevailed in London and Paris theaters and in the operas of Italy in the seventeenth and eighteenth centuries. This participative tradition was shared by the
privileged as well as plebeians, to use the terms of English theater historian Ann Cook. The privileged included aristocrats and untitled but wealthy gentry who were making handsome profits from land, mercantile, and manufacturing enterprises. Plebeians included petite bourgeoisie as well as lesser classes.
The privileged in early modern Europe were not barred by their own moral or aesthetic sense of superiority from engaging in the same practices as the lower classes. In Elizabethan theaters, courtiers and gallants treated theater as their court where they could measure their importance by the attention they received. Fops sat on stage, interrupted performances, and even on occasion grabbed an actress. All of this annoyed the plebeian pit, who shouted, "Away with them." But pittites were hardly meek. They too ate, smoked, drank, socialized, and engaged in repartee with actors. Restoration theater was more expensive and exclusive. Still, merchants and professional men, civil servants and their wives, and the critics (poets, writers, and competing playwrights) sat in the pit and squabbled, shouted, teased the women who sold oranges, baited the fops on stage, and wandered from pit to gallery and back. Nobility continued to sit on stage and in boxes, treating the theater as a place to chat, play cards, argue, and even occasionally duel.
By the mid-eighteenth century, London theatergoing was popular among all classes. The privileged continued to give scant attention to the play. Some still sat on stage until David Garrick, director of the Drury Lane Theater, finally succeeded in banning them in 1762. The reputation for rowdiness shifted to the gallery where journeymen, apprentices, servants (footmen) - many of whom could afford theater because they arrived after the featured play and paid only half price - lorded over those below. Instead of the individual display of courtiers of the previous era, this plebeian audience expressed collective opinions, sometimes to the point of riot.
This behavior represents not only an active audience, but a discourse through which audiences insistently constructed themselves as active. Audiences asserted their rights to judge and direct performances. There were two basic traditions of such audience sovereignty which can be characterized as those of the privileged and those of the plebeians - "the people." The privileged tradition, rooted in the system of patronage, rested on the status of performers as servants to their aristocratic audience. As with other servants, aristocrats ignored, attended to, or played with actors, as they desired at the moment. It would have violated social order for aristocratic audiences to defer to performers by keeping silent and paying attention. Court theaters were more formal, ritualistic examples of this. More rambunctious examples were the private theaters frequented by young gentry. Aristocratic audience sovereignty affirmed the social order.
Lower classes too had an honored tradition of rights in the theater that were linked to street traditions of carnival and of crowd actions to enforce a moral economy. Carnival, practiced in parades, hangings, and other public festivities, granted such prerogatives to lower classes on certain occasions when normal social order was turned upside down. The carnival tradition extended to street theater such as *commedia dell'arte* and into popular theaters, which had a rowdier tradition of audience sovereignty. Carnival, like the lesser members of the theater audience, contained lower-class rule within limits and elites to retain control of social order. But carnival also presented the threat of getting out of control.
**Overactive Audiences**
English immigrants and actors imported these traditions when they came to America. As we will see, American theater managers and civil authorities continued to recognize the rights of audience sovereignty until the mid-nineteenth century. They acknowledged audience prerogatives to call for tunes, chastise performers and managers, hiss, shout and throw things at intransigent performers on the stage, even riot to enforce their will. During the colonial period, gentry exercised an aristocratic sovereignty over the nascent theater. After the Revolution, common folk employed the anti-aristocratic rhetoric of the Revolution to assert their own plebeian sovereignty in the theater.
But during the Jacksonian era in the 1830s and 1840s, the upper classes grew to fear such working-class sovereignty. Too easily such collective power might be applied to larger economic and political purposes and threaten the social order. Elites labeled exercises in audience sovereignty as rowdyism. Rowdiness is a persistent phenomenon in theater history, largely associated with young men. During the Jacksonian era, rowdyism came to be considered a mark of lower-class status. Elites condemned it by redefining it as poor manners rather than as an exercise of audience rights. For different reasons, reformers and entertainment entrepreneurs sought, through the nineteenth and into the twentieth century, to contain or eliminate rowdiness in audiences.
Once nineteenth-century elites and the middle class had effectively labeled the working class as rowdy and disreputable, entrepreneurs had to choose between clientele of different classes. Through the development of each major nineteenth-century stage industry profitability pushed the weight of choice against working class and rowdy and in favor of middle class and respectability. Respectability meant an audience that was quiet, polite, and passive. In drama theater, minstrelsy, variety, and even early movies, each industry grew by shifting its primary market and its image to one of middle-class respectability. Comparing different entertainments across the nineteenth and twentieth centuries, we will see how entrepreneurs who could afford the investment repeatedly have attempted to seek a middle-class audience by first attracting a female audience that signified respectability. Through this movement and with this leverage, audiences at these entertainments let slip their sovereignty and were contained if not tamed.
But, despite sustained attacks, rowdiness did not disappear. Theater entrepreneurs succeeded in segregating but not eliminating rowdy behavior. The "rowdy elements" found other, marginalized, "small time" entertainments, which still sought their patronage. Rowdies were excluded from some theaters, but there were always other, "lower-class" houses where rowdiness was tolerated, and even occasionally celebrated. Several chapters of this history will show how segmented markets serving different classes and clientele allowed rowdyism to continue in smaller theaters of all sorts where admission was cheap and young men and boys could afford to attend with some regularity. They showed up as early supporters for minstrelsy in the 1840s, as the audience for variety in the 1860s and 1870s, in small-time vaudeville and "ten-twenty-thirty" melodrama theater in the late nineteenth century, and in the new century in storefront movie shows. In the late twentieth century, rowdyism continues somewhat attenuated, at rock concerts, sporting events, and movie theaters serving particular clientele such as young urban black males or fans of cult films like *Rocky Horror Picture Show*.
**Defenseless Audiences**
Through the nineteenth century, public discussion focused on concerns about *active* audiences. As movies became popular in the early twentieth century, public debate shifted from a focus on audience behavior to worry about the movies' content and its effects *on* audiences, particularly on children. Attention shifted from the place to the play, from effects of dangerous people in those places to effects of dangerous media messages on people. Audiences were being redefined from active to helpless, dependent, and passive, and would remain so through the rest of the twentieth century, as we will see. Concern about what audiences were doing was superseded by what was being done to them, or more precisely what they were learning from the entertainment that they shouldn't. Some of this was evident at the turn of the century when complaints about small-time vaudeville began to focus on the lewdness of the show. With the movies, however, the attention on the show and its effects clearly became paramount over concerns about activity in the theater.
The focus of concern also shifted from women to children as the endangered group. Previously, middle-class women were the ones considered endangered and warned away from theaters and the people who frequented them. Now children were the endangered group, socialized into deviant behavior by movie content. This focus on children was part of many Progressive efforts of the times, and a new middle-class attention to childhood. From the 1880s onward children assumed a new prominence in the middle-class family, which was restructured around child rearing. Advice in child rearing grew as a profession. The helping professions from 1900 to 1930 grew by appropriating parental functions.\(^{14}\)
By the 1940s these concerns were elaborated in variants of a mass culture critique, formulated as passive acceptance and control by media. These theories were formulated to explain the rise of fascism in European democracies and laid part of the blame on mass media. In the liberal version, called mass society theory, functional sociologists feared the disappearance of voluntary organizations that they saw as critical in mediating between the mass of people and the governing elites. The mass would then be susceptible to demagogues who used mass media to propagandize and manipulate the mass.\(^{15}\) Left versions of mass culture critique worried that mass media "narcotized" the working class, who would become passive, develop "false consciousness," and lose the capability of acting collectively in their class interest.\(^{16}\)
**Audience and Performer**
The shift from active to passive audiences was complemented by a change in the way in which the entertainment itself constituted the
category of "the audience" in the distinction between audience and performer. In the passive construction, the performance (the message) exists independent of the audience, suggesting a boundary as well as a one-way flow across that boundary. Even recent scholarly constructions of an active resistant audience start with a preexisting "message," the preferred reading, and then rejoice in audiences' rejection or transformation of that message. But such an image is less compatible with live entertainment, particularly when audience practices include interaction with the performers, where "the message" is more obviously a collaboration between audience and performers.
The relationship between audience and performance, as well as the permeability of the boundary between the two, have varied historically. The separation between audience and performance is of modern origin. In the past the distinction between performer and audience was less clear and more open. Just as the line between work and leisure was less clear, so too the line between entertainment and other, more participative leisure. Plebeian entertainments, with the exception of a few theaters in the major cities of London and Paris, in early modern Europe were street events, part of fairs and markets. Street theater, such as *commedia dell'arte* and forms of carnival, and amateur theater blurred the lines between performer and audience. Community celebrations and parades, games and parlor theatrics were more common and participative than theatergoing.
Even in professional theater, the boundary between the two was porous. Playwrights and performers constructed an active audience through the conventions of their art. They expected and played upon audience participation, a lively dialog across the footlights. In the Elizabethan public theater, the stage was designed to advance this style, surrounded on three sides by the pit, not behind a proscenium arch. Asides and other addresses to the audience were intended to play upon and satisfy audiences' desire for involvement. Performers such as Richard Tarlton became well known for speaking out of character and taking the audience into their confidence. Such required a "knowingness" shared between audience and actor, about the topic and about theater conventions. It is equivalent to the type of humor which was essential to vaudeville three centuries later, and probably continued a practice common in street entertainments. In more exclusive Restoration theater the privileged audience also delighted in repartee. Prologues, epilogues, and asides were written to provoke reaction from the audience.\(^{17}\)
As late as the Jacksonian era in America, the ability to come to the front of the stage and speak one's lines directly to the audience was considered a mark of good acting. It was only after the Civil War that this "rhetorical style" faded, though some began to criticize it in the late eighteenth century.\(^{18}\) It was replaced by the "fourth wall," the front of the stage framed by the proscenium, through which the audience silently and without intervention observed the lives of the characters. Neither actors nor audience were to penetrate this invisible wall. Actors remained behind the proscenium, audiences quiet on their side.\(^{19}\) As realism replaced rhetorical styles of dramatic acting in the nineteenth century, the separation of audience from performer became paramount. Realism also required silencing audiences, making them passive. The "well-behaved" audience became preferred among the middle and upper classes to audiences exercising sovereignty, which became a mark of lower class.
Changes in the relationship between live performance and audience prepared the ground for mass media. In the twentieth century, the boundary has been maintained not by policing audience behavior but by the shift from live to recorded performance, which severed audiences absolutely from performance. The possibilities of audience behavior and how it may be conceived differs from live to recorded performance. People sometimes talk back to the screen but it does not have the same effect. Live performance is a *process* to which the audience is integral, in contrast to the finished product of movie, broadcast, or recording, delivered as a fait accompli. The reintroduction of real or artificial "studio audience" reactions into television programs illustrates the significance of this process. With media this process is transformed into a *cause-effect chain*, product-response-new product. Any impact of the audience is on changing the next product, not shaping this one.
**Inattention and Embedded Entertainment**
Twentieth-century worries about the passive audience are contingent on the assumption that people pay attention to media messages. However, the history presented in this book shows that once people have become accustomed to new media, their behavior as audiences is notable for their *lack* of attention. Inattention has been an aspect of audience autonomy and a disproof of passivity. Moreover, inattention is not unique to mass media. Inattention weaves through the chapters of this history of American entertainment, changing in significance.
with different periods. Inattention to live performers in the early nineteenth century was intimately related to matters of sovereignty and rowdiness. Long before mass media, inattention typified upper-class audiences at theater and opera. Complaints and comments about inattentive theater audiences were perennial. Theater was not a novelty for them, but a place to be seen and see others of their class. This was especially the case at European court theaters, but also among elite American audiences, such as the "Diamond Horseshoe" of New York's Metropolitan Opera, the ring of first-tier boxes reserved for founders of the house, where the new upper class of monopoly capital preserved the aristocratic tradition. Among elites inattention was a mark of their status, as masters to servile performers. Inattention at live performances then was a manner of certifying not only audience autonomy, but audience sovereignty.
As we will see, working-class audiences too were inattentive, sometimes busily socializing among themselves, whether in 1830s theater or 1910 nickelodeon. The rowdy, resistant audience of the heyday of sovereignty, while often deeply engaged in the entertainment, also was wont to distract and be distracted by conversations, pranks, cards, prostitutes, and so on. As with elites, inattention was partly a matter of sociability. In the early days of movies, working-class nickelodeon audiences interspersed watching with socializing, eating, and caring for children. Conviviality, mistaken by the righteous and respectable as rowdyism, was a hallmark of almost all ethnic theaters (for drama, puppet, variety, and movie) in the years of great immigration. Immigrants brought with them old-world habits of socializing, whether from Europe or Asia.
Inattention may be an oversimplified, even misleading description. Rather than being inattentive, people might be more accurately described as exhibiting intermittent attention. That is, they may indeed be engaged in the story and even have an aesthetic knowledge of the genre and place aesthetic demands upon practitioners. At the same time, their attention may be divided, moving back and forth from the entertainment to conversation to other activities, and back again to the show. When radio and television were new, people listened and watched attentively. Once they became commonplace, even in working-class homes, people did not sit riveted to the set but mixed viewing with other activities.
Recent communication and cultural studies researchers have emphasized that most television viewing takes place within the household or family, and that intermittent attention is a normal aspect of family communication. They focus on the embedded nature of viewing in the home as the fundamental characteristic of viewing that produces inattention. Radio and television became so embedded in the domestic routines in homes that they took on features of furnishings, and listening and viewing became inseparable from other household activities. This pattern applies not only to families but to many types of households. People living alone use radio and television as a kind of background, sort of pseudo-family to "people" the household. The principal reality that defines the situation in households is the relationships among its members, even when they are engaged in parallel activity rather than joint activity. Even withdrawal into lone activities presumes the preexistence of the household relationships.
We can extend the idea of embeddedness to understand nineteenth-century theater audience practices for comparison to radio and television at home. Entertainment was embedded in the larger practice of attending theater that included socializing with one's peers. While television is embedded in the family, stage entertainment was embedded in the activities of a community of peers. In the European tradition, for example, wealthy Italian families took their staff and servants with them to the opera so that they could take meals, entertain guests, send and receive messages, and conduct business in their box. In this case the family was embedded in community.
The factor of novelty applies as well. As a general rule, audiences attend to, even are absorbed by an entertainment when curious about some novelty—a star, a new technology, or an entertainment that they cannot afford regularly or that arrives infrequently. Upper-class nineteenth-century American audiences, known for talking during performances, typically fell silent in the presence of European stars. Working-class audiences often were more attentive or engaged, even when boisterous, because for them entertainments were more novel and cost more, and they could go less often.
Embeddedness contextualizes viewing and listening in the larger category of audience practices and leads us to understand that underlying the distinction between active and passive is a question of whether we should formulate the audience as a collective body or a collection of individuals. When viewing is embedded in some larger enterprise like family or community interaction, audiences are not singularly focused on the entertainment, but more on each other. The category, passive, presumes a singular focus on the entertainment.
When people define entertainment as embedded in a situation in which the paramount interaction or relationship is among audience members rather than between audience and entertainment, then we have what has been conceived as an active audience. Also, when the boundary of that interaction is communal rather than family or household, the activity is constituted as a public sphere and a foundation for collective action. Applying the idea of embeddedness to radio and television use in homes has highlighted the dispersed nature of these audiences. Researchers have begun to question whether it even makes sense to discuss such people as an entity called an audience. Applying the idea to nineteenth-century audiences highlights just the opposite, the degree to which these gatherings do constitute self-conscious groups that might act collectively.
To realize the aspects of a public sphere and of collective action requires going beyond inattention, more than immunity from the message, to resistance to the message, or what has come to be called reading against the grain of the preferred reading. Audience practices gain a larger significance when they are rehearsals for collective political action. Collective action theorists argue that such habits and skills, what they call a repertoire, as well as self-consciousness as a group, are necessary resources for mobilizing collective action.\(^{22}\) When practices are embedded in self-conscious membership in the audience and the audience as a group acts collectively, such practices foster the repertoire for collective action. Bowery b'hoys of the 1840s, rock concert fans of the 1960s, and soccer fans of the 1980s mobilized actions beyond the entertainments themselves.\(^{23}\)
**Public to Private**
The concept of the audience as a group capable of acting to assert its will was not a theoretical exercise for nineteenth-century elites, but fed real fears of underclass rebellion. The shift in discourses documented in the following chapters, from a concern about active to passive audiences, occurred as the audience itself was tamed. Taming was achieved by reconstructing audience practices from public to private, collective to individual. The shift from public to private was a shift from community to family and ultimately to individual. It occurred in two phases.
In the first, nineteenth-century phase, public places like theater were redefined from places of community conversation and civic parthe public sphere as well as ground and rehearsal for collective action.\textsuperscript{25} Lewd and disgusting, or politically charged, either constituted public dialog. Participants on both sides of the footlights joined in impromptu performance that the rest of the audience heartily enjoyed and to which they often gave a collective cheer. Actions for and against performers and (almost always) against managers were collective expressions. And often there were discussions among the audience and debates between factions about the performance or sometimes about entirely unrelated matters. All these represent forms of public discussion, of collective identity and even collective action.
They were abetted when audiences were composed of regular theatergoers, and performers were a resident stock company whose members and biographies were familiar to the regulars. Familiarity with the place, the performers, the plays, and the fellow audience members produced a community that was inclined to claim collective rights of audience sovereignty and to act collectively to enforce their rights, even when there may have been disagreements between factions within the audience. Members of such a community were more prone to be familiar with each other, to speak their minds, to be invested in this community, and were therefore prepared to speak up to defend or merely to participate. Neighborhood entertainments, where the sense of community persisted longer among audiences, continued to exhibit such public and collective character long after such were banished from downtown theaters or major theaters with national reputations.
\textit{From Politics to Consumption}
The nineteenth-century chapters spell out how, over decades, audiences were redefined from public and collective to private and personal. The American theater audience before 1850 was conceived as a body politic and acted collectively, particularly during the early days of the republic and the Jacksonian era. In the early republic the audience in the theater was sometimes referred to as “the town” since all (politically significant) sectors of the community were present, and despite the fact that some groups were not represented or were present but had no voice.\textsuperscript{26} Fitting the revolutionary rhetoric of egalitarianism, the audience was conceived as a body of equal citizens, all of whom held rights. These were fiercely asserted as rights of a free citizen, linking rights in theater to larger political rights. Thus the theater was defined as a public space in which the body politic deliberated. Therefore, early theater audiences, or often factions within the audience, constituted themselves as political bodies for debate or collective action, making theater an arena for public discourse and public action.
Moreover, the fact of live entertainment and the conventions of theater of the time furthered this constitution of audiences as political groups acting collectively. In live theater, meanings from text (the play) and from social interaction (performers with audience) merge, since audiences interacted with actors as both text (the characters) and as social beings (actors). In the prevailing rhetorical style of acting at the time, actors would step to the front of the stage and speak their parts directly to the audience rather than to other characters, thus denying any fourth wall between actors and audience. This style combined with the tradition of audience sovereignty to ensure a significantly active audience.\textsuperscript{27} Thus we can speak of early theater as public sphere for both debate and for collective action.
Critical to any conception of public sphere and also to any potential for collective action is conversation, for the opportunity to assemble and discuss and come to consensus about what to do. Suppressing theater audience expression therefore eliminated the theater as a political public space. Quieting audiences privatized audience members’ experiences, as each experienced the event psychologically alone, without simultaneously sharing the experience with others. During the middle of the nineteenth century managers in many theaters (and the courts) began to strip audiences of their “sovereignty” and to prohibit vocal and rowdy behavior, to bolt chairs to the floor, and in other ways restrict audiences’ actions and movements. The changes culminated in the latter part of the century with darkening the theater during performances, a “benefit” of electric lighting.\textsuperscript{28}
The combined changes quelled audience interaction. Social and physical restrictions and darkness left the audience only the stage to focus on, and here the focus was increasingly on sumptuous spectacle, a celebration of materiality and an advertisement for consumption. In theaters this translated into a further reduced identity with the rest of the audience and into consumption of entertainment as an individual experience. The establishment of middle-class decorum as the norm privatized the experience of theatergoing. The audience of late-nineteenth-century legitimate drama went as self-contained couples or groups. Interaction was inward to the group, rather than outward toward the crowd. Such small groups had aspects of a pseudo-household, perhaps with invited guests, transported to the theater, placing
boundaries between each group within the theater. Moreover, they sat in a darkened room that enhanced this privacy and afterwards left the theater to discuss the experience in private. Theatergoing was redefined as a private "household" experience in distinction from its former public communal nature.
In addition to the negative prohibitions, the reformed theaters of the middle and late century offered a positive new focus, consumption. From midcentury, theaters were increasingly surrounded by and part of shopping districts, a new public space defined as domestic and feminine in contrast to the earlier public spaces that were masculine and either work related or part of the traditional public sphere. Previously, purchasing was a bourgeois male responsibility, and shops were mixed among factories, offices, and other precincts out of bounds to middle-class women. Public space was less and less considered a forum, and instead a marketplace. Even the streets, which traditionally had been important gathering places for politics, were drawn into the service of consumption through the new practice of the promenade. Political discussion retreated to private clubs, fraternal associations, union halls, and political party halls like Tammany Hall.\textsuperscript{29}
Not all theaters and audiences, however, underwent quite the same transformation. While entertainment generally became part of this new commercial culture, some types of theaters continued to service working-class men, who continued to exercise collective authority over the stage, albeit less so than before 1850. Within these theaters they sustained an autonomous public sphere. Miriam Hansen argues that working-class immigrants constituted nickelodeon entertainment as a situation of autonomous public sphere through their convivial socializing in the movie houses. This, however, imputes too much political significance into this, unless one can demonstrate some carryover to more overt political action.
\textit{From Theater to Home}
As we will see, a second historical change important to collective action was the increased delivery through the twentieth century of entertainment directly into the home, the implications of which are described in the chapters on radio and television. Recorded music technology might have brought this change earlier, but it was slow to develop and was overtaken by radio. The phonograph, marketed as early as the 1870s, spread slowly and did not become widely available in homes until the 1920s. Radio spread much more rapidly and provided more variety of uses. It therefore pioneered the new home entertainments of the twentieth century. But radio did not create a "crisis" in the public sphere. From the 1920s through the 1940s, worries about privatization were not part of the public discourse on radio. This was the era of movies, when people went \textit{out} to the movies weekly. City centers and urban neighborhoods were vital and vibrant. The public sphere was alive and healthy, at least as a consumptive public sphere. In rural areas radio was even seen as the \textit{solution} to isolation, linking families to the world beyond their farm.
It was not until the postwar era that commentators began to notice and decry the withdrawal of Americans into their suburban homes. Television viewing displaced moviewgoing, suburban shopping centers replaced downtowns, and suburbs replaced urban neighborhoods. The 1950s and 1960s spawned doomsday theories about mass society and mass culture. Americans were retreating to their cocoons and leaving the democracy high and dry.\textsuperscript{30}
With television the idea of audience passivity melded with the concerns over privatization. Passivity became firmly established, even an obsession, in discourses on audiences. The drug metaphor became commonplace. Viewers were addicts, "narcotized" by the "plug-in drug" television. People became thoughtless in front of the "boob tube." Such passive victims controlled by television were not capable of civic participation. The "couch potato," merely lazy or uninterested, did not leave his home to participate in the community and democracy. The imagery contrasts starkly with that of the nineteenth-century characterization of audiences.
\textbf{A Note on My Choice of Entertainments}
This history spans six different forms of drama and variety entertainment over two centuries. I have chosen these six because each was the dominant – or nearly dominant – commercial entertainment of its time; and because drama and variety have been the predominant genre in each, constituting a hereditary lineage traced back through the mass media of television, radio, and movies into the nineteenth-century stage entertainments of vaudeville, minstrelsy, and drama theater. These different forms have succeeded and displaced each other as the most widely available and popular forms through American history.\textsuperscript{31} The perennial genre of drama and variety provide
During the 1930s moviegoing settled into a form familiar to us today. The movie, not the place, and comfort and convenience, not luxury, were the attractions. At the same time it had transcended its tawdry early reputation and had become acceptable entertainment to the middle class. It became an activity predominantly of children and young adults. Behavior too had settled into a familiar pattern. Talking and other noises became annoyances to adults in the audience, while youth continued to challenge the rules of decorum at Saturday matinee, drive-ins, and other youthful gatherings.
Only two decades after movies created a historic juncture from live to recorded entertainment, radio instituted another great transformation, bringing into the home entertainment previously available only in public theaters. Broadcasting changed the collective dimension of public audiences, dispersing them to their homes. The phonograph had this potential, but it spread very slowly. For decades it was expensive and severely limited as a music instrument. The phonograph was quickly overshadowed by the much less expensive, more versatile, and fascinating technology of radio.
Radio broadcasting was born in the 1920s, a decade that, in many ways, divided the nineteenth century from the twentieth. Technologies such as the automobile, telephone, and household electrification took hold. Changes in sexual mores, gender roles, and child-rearing practices that had been brewing for some time gelled into “modern” middle-class culture. Reactions to radio can be appreciated within this context.
Radio's first incarnation, however, was not as entertainment broadcasting, and radio listening was not the first leisure use of radio. Radio began as a wireless telegraph, transmitting dots and dashes through the air. The signals were broadcast, rather than transmitted point to point, but the purpose was two-way communication, as with wire telegraphy. In the early 1900s a hobby of amateur wireless operators sprang up, mostly middle-class schoolboys. Local clubs and a larger informal network of amateurs quickly evolved into a national organization, the American Radio Relay League, to promote communication among amateurs. The hobby by its very nature lent itself to enthusiasts discussing their common interests and forming activist groups nationally as well as locally. It is not surprising then that radio hobbyists, particularly amateur broadcasters committed to greater skill development and investment, formed a strong opposition to forces threatening to change radio.
During World War I amateurs were prohibited from transmitting, to avoid interference with military communications. At the end of the war they began again, with new equipment developed during the war that made voice transmission more feasible, which stimulated interest in the amateur hobby. By 1920 over 6,000 licensed amateurs were active. Moreover, voice transmission provided the basis for radio to move from hobby to entertainment, with a considerable push from radio manufacturers.
**The Euphoria of 1922**
Some amateurs not only used the wireless to talk to each other but also to make announcements and play music recordings for anyone listening. Commercial broadcasting began in November 1920 when Westinghouse executives recognized an opportunity to foster a broader market for their radio equipment. People not interested in talking via radio might be interested in listening to something more entertaining. Frank Conrad, an amateur employed by Westinghouse, was broadcasting music regularly from his own radio transmitter. Local Pittsburgh newspapers even began to announce his broadcast schedule. Westinghouse directed Conrad to establish the first commercial radio station, KDKA. Numerous others soon followed. Broadcasting mushroomed in 1922. *Wireless Age* wrote, "Churches, high schools, newspapers, theaters, garages, music stores, department stores, electric shops installed sending sets" and began broadcasting phonograph music, talk, and anything else. The number of licensed stations rose from 77 in March to 524 by September 1922.
This blossoming of broadcasting spawned a craze among people previously uninterested in radio that was called the "euphoria of 1922." People were amazed at this new phenomenon of "pulling voices from out of the air" as they termed it. Broadcasts were something entirely new, far more strange and mysterious in the early 1920s than the first regular television broadcasts in the late 1940s. Radio was hailed as a triumph of science. At the same time, radio was referred to as unnatural. Listeners accused radiowaves of hitting and killing birds, causing rain and drought, vibrating metal springs of a mattress, making floorboards creak, causing a child to vomit, and conjuring ghosts.
Broadcasting changed radio suddenly from a hobby of a few thousand operators to a fad of hundreds of thousands of listeners. With something to listen to, other than amateurs talking to each other, radio sales soared. Retailers and manufacturers could not meet the demand for radios and parts. A letter to *Radio News* called it a "popular craze"; another to *Radio Broadcast* used the term "epidemic."
**Saturating the Market**
Estimates of radios in use vary, but all sources agree on the overall trends: the diffusion of radio was far more rapid than the growth of telephone or automobile during the same period. *Radio Retailing* estimated a twenty-five-fold increase from 60,000 sets in January 1922 to 1.5 million in January 1923. In 1924 the balance of sales shifted from parts for home-made sets to factory-built sets. By 1926, 18 percent of U.S. homes had a radio; by 1931, over half had a radio (see Table 12.1).
Saturation varied significantly by region, race, and rural versus urban areas, all of which reflected differences by income. In 1930 saturation was 51.1 percent in the North, 43.9 percent in the Rocky Mountain and Pacific States, but only 16.2 percent in the South. Rural saturation nationwide was 21.0 percent, compared to 50.0 percent for urban areas; 44 percent of white families had a radio compared to just 7.5 percent of Negro families. Price was an inhibitor. Lower-priced radios had a limited range, presented much greater problems of interference, and required much more skill to operate.
Table 12.1. Families with Radio Receivers, 1922–1940
| Year | Families (1,000s) | Percent of all Homes | Average Price | Percent of Autos with Radio |
|------|------------------|----------------------|---------------|-----------------------------|
| 1922 | 60 | | 50 | |
| 1923 | 400 | | 60 | |
| 1924 | 1250 | 11.1 | 67 | |
| 1925 | 2750 | 14.6 | 82 | |
| 1926 | 4500 | 18.0 | 114 | |
| 1927 | 6750 | 23.0 | 125 | |
| 1928 | 8000 | 26.3 | 118 | |
| 1929 | 10250 | 31.2 | 133 | |
| 1930 | 13750 | 40.2 | 87 | 0.1 |
| 1931 | 16700 | 55.2 | 62 | 0.4 |
| 1932 | 18450 | 60.6 | 48 | 1.2 |
| 1935 | 21456 | 67.3 | 49 | 8.9 |
| 1940 | 28500 | 81.1 | 40 | 27.4 |
Sources: U.S. Bureau of the Census, *Historical Statistics of U.S.* (Washington, DC: USGPO, 1975), Series R90–98, p. 491; percent of U.S. households from Thomas Eoyang, “An Economic Study of the Radio Industry in the USA” (Ph.D., Columbia University, 1936), 67, and Christopher Sterling and Timothy Haight, *The Mass Media: Aspen Institute Guide to Communication Industry Trends* (New York: Praeger, 1978), 360, 363, 367; auto data from Sterling and Haight. Average radio prices for 1922–32 from Eoyang, 89, 1935 from “Are New Radios Good Enough?” *Radio Retailing* (March 1939), 19; 1940 from *Radio Retailing* (January 1941), 15.
Amateurs, DXers, and Simple Listeners
Radio amateurs felt threatened by the flood of new radio fans. Many broadcast listeners in turn blamed reception interference on the amateur next door. *QST*, the magazine of the amateurs’ American Radio Relay League, published an editorial titled “Girding Up Our Loins,” expressing the beleaguered feeling and bracing for a fight. The editorial stated, “We hope we’re not going to have to scrap to retain a place in the ether for amateur operation…. We amateurs must not let ourselves be crowded out of existence by a horde of listeners-in.” It proposed a division of time, giving broadcasters time before 10 P.M., and leaving the night to amateurs.¹²
In October 1922 Hugo Gernsback, editor of *Radio News*, offered a contest, with $200 for first prize, for essays to answer the question, “Who Will Save the Radio Amateur?” A cartoon accompanying the explanation of the contest depicted an amateur sitting in a chair listening to his set. He is on a beach, and a large wave labeled “Radiophone Popularity” is about to crash down on him. The contest was introduced by Armstrong Perry, a well-known writer on radio, with an article titled “Is the Radio Amateur Doomed?” Perry claimed that before 1922,
practically one hundred percent of the American radio users, aside from people in government or commercial radio services, were “radio amateurs”… Today the percentage of “radio amateurs” as compared with other radio users has nearly or quite lost its two ciphers, dividing it by 100. The amateur, once alone in his fascinating field, finds himself jostled and trampled upon by a horde of common folks who want to hear a concert or something.
Soon amateurs would have little influence in shaping radio use. The vast majority of Americans listened, at first for the novelty of receiving signals from great distances but increasingly simply for entertainment. The prize essays expressed desires of amateurs to make peace with this new world, offering to help with problems of interference and to provide other community services with their transmitters.¹³
**DX Hounds**
Early listeners had little to attract them beyond the sheer novelty of “capturing voices out of the air.” Broadcast schedules were limited to a few hours a day; most of this was not very entertaining, interference was a chronic problem, and tuning was constant. Even the listener who was not enamored of distance spent much time trying to “capture” any broadcast that offered something entertaining. People commonly listened to stations hundreds of miles away. Even in major cities people supplemented local stations by tuning in distant ones.
Early listeners were therefore often DX fans; they sought to tune in stations from ever-greater distances. Unlike the amateur, who wanted to send as well as receive signals, the DX “hound” was preoccupied only with receiving distant stations and identifying their call letters. DXing was humorously described as an addiction. One writer used heroin as a metaphor; others likened it to alcoholism. Magazines frequently referred to men being “bitten by the radio bug,” shamed by their “lust” for DX, and hiding their “addiction.”¹⁴
For the benefit of DXers, newspapers printed radio schedules not only for their own city but for stations across the nation. Schedules for
even the largest stations as late as 1926 required no more than two column inches. Many stations broadcast only two or three programs during the evening. Such abbreviated schedules made nationwide listings feasible, requiring about a half page to list the major stations from east to west coast, Canada to Cuba.
As more and better entertainment was broadcast, the interests of the DX hounds and big-city listeners satisfied with their local stations began to diverge. The conflict depended upon the balance in a particular city between what broadcast programs were available locally and what had to be received from a distance. While typically the two pursuits were characterized as separate and opposed, sometimes the same person engaged in both. City DXers were described as men whose first priority was distance and who stayed up all hours after local stations ceased broadcasting and distance reception was better. These same men joined their families to listen to local stations' broadcasts of cultural events earlier in the evening as part of their familial responsibilities. Attitudes varied from place to place. A Connecticut respondent to a *Radio Broadcast* survey in 1927 noted, "DX in itself is not sought except when experimenting with a new hook-up or new parts. There is still a thrill in DX," which this man engaged in late at night when he couldn't sleep. But a Washington state respondent to the same survey was more enthusiastic, claiming, "Every radio fan likes to fish for DX." DXing necessarily was more popular and survived longer in more remote regions. As late as 1927 *Radio Broadcast* claimed that 80 percent of the geographic area of the United States still required DXing to receive stations. But more people were beginning to listen rather than tune. In 1928–29 NBC's market researcher Daniel Starch found that about one-fifth of families continued to seek distant stations, but three-fourths listened regularly to one or two favorite stations with good reception.\(^{15}\)
*“Listeners-in”*
Even the simple broadcast listener needed some knowledge to install and operate his set. Batteries for tube sets ran down and had to be tested and charged or replaced. As tubes wore out, reception weakened. Owners had to figure out which tubes needed replacing and do it themselves. Only expensive radios had speakers and could be heard without headphones, restricting family listening. Newspapers and magazines published many articles about buying, assembling, and operating radio sets. One such article referred to "this intriguing sport called radio." Even as late as Christmas 1926, when Crosley Radio Company announced a free instruction booklet, thousands wrote in requesting it.\(^{16}\)
Tuning involved several dials, and the more tubes, the more dials. Sets with vacuum tubes required two separate batteries. Voltages from the two batteries had to be carefully adjusted to obtain good reception and to avoid burning out tubes. Before the neutrodyne was introduced in 1924, one could not reliably receive a station by adjusting the dial to the same position that had succeeded before. Rather, one had to scan the dials until some station was tuned in, then listen for the call letters to discover what station one had tuned.\(^{17}\)
Tuning was typically depicted as a masculine skill. It was usually the role of the father or son to be the “operator.” One wife from Pennsylvania complained that the quiet necessary for tuning was destroying family discussion, as a “deathlike silence must prevail in the family circle … prattle of the children is hushed, necessary questions are answered in stealthy whispers.”\(^{18}\) Such limitations sustained the idea of radio as a hobby of tuning rather than a relaxing practice of listening. Not being able to reliably tune to a particular station deterred interest in specific programs and encouraged random scanning to receive any station as long as it was a distant one.
The distinctions between amateurs, DXers, and simple listeners meant that the name of the radio audience underwent an evolution. Since radio required more than listening, in the early 1920s it was not customary to refer to those using radios as simply “listeners.” “Fan” was most common during the craze of 1922. A fan might build his or her own receiving set and engage in DXing, but not in transmitting signals like the amateur operator. “Listener” or “listener-in” began to replace “fan” as more and more people acquired radios. *Radio News* began a column in 1923 titled “Broadcast Listener,” offering technical information in terms understandable to the radio novice that offered help in building or operating a radio set. *Radio Broadcast* had a high-brow program critic’s column titled “The Listeners’ Point of View,” beginning in April 1924. In June 1925 *Popular Radio* began a similar but somewhat more relaxed program critic’s column, titled “The Broadcast Listener,” and another column in January 1926 titled “Listening In.”\(^{19}\)
These columns, despite their titles, reflected a shift of attention away from the listener to programs. “Listener” implied inactivity. *Radio Broadcast* articles in 1927 used the term “passive listener” to describe the average radio listener who accepted whatever was broadcast, and complained of the failure of listeners to speak up. Amateurs derided those who merely "listened." As we will see, some thought passive radio listening was de-masculinizing.
**Gendering the Listener**
With the introduction of broadcasting, radio magazines sought to enroll the new radio fans as readers. Wireless magazines that had served hobbyists began to change, and new magazines were conceived specifically for broadcast listeners. These makeovers were obvious attempts to attract a new female readership, mixing messages of domesticity and women's equality with unflattering images of men fumbling with radio technology. *The Wireless Age* had been published for amateur wireless enthusiasts since 1913 by American Marconi Company, holder of many radio patents. It was a slim monthly of about 50 pages per issue, most of it advertising radio parts and accessories. A column called "World-Wide Wireless" chronicled new breakthroughs in radio technology. The "Experimenters' World" column and "Queries Answered" offered solutions to readers' technical problems. The cover pictured technical facilities such as giant aerial emplacements.
Beginning in May 1922, the magazine presented an entirely new face, without any explanation to its readers. It was clearly an effort to appeal to a broader, less technical readership. The covers featured Norman Rockwell-style color illustrations of people listening instead of black-and-white photographs of equipment. The May cover depicted a well-dressed woman sitting listening with headphones, radio wires and batteries hidden in a furniture cabinet, and "air conducting" the music with her hands. On the August cover, sophisticated couples danced on a verandah under Japanese lanterns to music from a radio loudspeaker. In January 1923 a young couple was depicted visiting their parents, the men in suits and ties with cocktails in hand, the women sitting next to each other holding hands before a roaring fire in a large stone fireplace. A large loudspeaker is situated just next to the fireplace, competing with it as the new hearth.
These covers were part of a larger discourse in radio magazines constructing the new radio audience. The people were affluent, as indicated by their houses, dress, and expensive radios with cabinets and loudspeakers. Radio listening was problem-free enjoyment, slightly romantic, and family oriented. All the covers, even the dance, were set at private homes. Romance and family were icons of gender that softened the previous masculine image of radio as technology and broadened the appeal beyond middle-age men and their teenage sons.
A pictorial rotogravure section of several pages was introduced, showing all types of people using radio almost everywhere. Each monthly issue included a page of children, another of movie actresses, another of women outdoors, all listening without men's help. Feature articles concentrated on broadcasting rather than telegraphy and equipment. Two pages of cartoons reprinted from newspapers and other magazines, and another two pages of "radio humor," were introduced. A "Letters from Readers" column printed "applause cards" from readers expressing appreciation for various broadcast programs.
Several articles appeared concerning women in radio, and many pictures showed women listening. Technical matters were pushed to the back of the magazine, which had doubled its length to about 100 pages, the first half reserved for the new look and broadcasting, the second half retaining the older, technical departments for hobbyists.
*Radio News* underwent a less thorough makeover, but male readers nonetheless objected. When the editor tried a new cover style in 1920, one reader complained about their light-hearted nature. In 1922 the magazine was still predominantly technical, and a husky 200 to 300 pages per issue, but added a few whimsical covers, melodramatic fictional stories about radio amateurs, cartoons about radio, and occasional pieces on women using radio. Yet some readers felt betrayed. A Philadelphia reader objected strenuously to changes that suggested anyone other than the amateur operator as reader. He wrote,
in the editorial of the first issue [July 1919] you stated that the magazine was for and by the AMATEUR, and you signed off H. Gernsback – your editor. The issue of August, 1922 is nothing more than the average broadcast magazine, great numbers of which have recently sprung up, and you signed the editorial with a plain H. Gernsback.
...if you canned those silly [fiction] stories and the articles on scarf-pin radio sets you would have room to admit some of the amateur stuff you were so glad to start with.
do you know Mr. Gernsback that there are two general classes of broadcast fiends? 1. The rich bird who buys his stuff outright and wonders why he can't get long distance telephony, especially in summer [season of greatest interference] by simply turning the knob. 2. The fellow who builds his set according to directions and if it doesn't come up
to his expectations tortures his paper with fool questions such as “Why can’t I get the music from Hokem with my $3.75 set?”\textsuperscript{25}
The letter writer was insulted that his technical knowledge was pushed aside in favor of the effeminate know-nothings who preferred broadcast listening. He was not “a kid” or a “silly” woman with a “scarf-pin radio.” He was a master of technology. The technical and serious nature of the magazine was an affirmation of his manhood. Tinkering with its content betrayed his manhood.
\textit{Foolish Father and His Radio}
This sentiment of insulted male pride in the letter was mixed with a hint of lower-middle-class resentment. The “rich bird” was pushing aside the hard-working amateur unafraid to dirty his hands with radio technology. Images in the magazines probably furthered such class resentment. Broadcast listeners depicted elegantly on the magazine covers and in radio ads were quite affluent. Inside, cartoons typically depicted lower-middle-class men, neither a manual worker nor affluent. For these men especially, masculinity, unproven by physical labor or success, was a sensitive issue, part of the larger shift in masculinity of the Progressive era.\textsuperscript{26} The male bastion of radio technology was being breached by women, with the help of turncoat magazine editors. To make matters worse, their unsure hold on the world of radio technology was made the butt of humor. In 1922–23, newspapers were filled with cartoons about radio, enough to fill pages of reprints each month in \textit{Wireless Age} and \textit{Radio News}. Many popular comic strips such as “Mutt and Jeff,” “Simeon Batts,” “Cicero Sapp,” and “Out Our Way” took up the theme of radio high jinks. The men in these cartoons were typically lower-level white-collar workers pushed around by their bosses.
The most prevalent theme in these cartoons was the ignorance, ineptness, and foolishness of men who succumbed to the radio craze. There were several versions of this view of the foolish white-collar man. One was the father pretending to buy the set as a toy for his son, but in fact using it himself. More common was the man who knows little but pretends to know. The man offers to help fix someone’s set, and of course destroys it. A husband explains how radio works to his wife: “They sing into the horn and it goes out of the box and up a wire to the roof, see? Then there’s something they call vitamins or kilometers or whatever it is and they grab it and the next minute those wires of ours grab it and down it comes through the box.” Another man tries for hours to tune his radio with no success, when his son or daughter or wife sits down and in seconds tunes in a station.\textsuperscript{27} The success of the wife or daughter was not portrayed as skill, but simply dumb luck, the son more often as skill. The point, however, was about the man rather than the wife or children. Another theme that depicts the man’s loss of his domain is the domineering wife who monitors her husband’s activities by sending him messages via radiophone, or who decides what show they will tune in.
\textbf{Women’s Equality in Radio}
The gender references in stories and cartoons about radio were not coincidental. The 1920s was a distinct turning point in gender roles. The early years of the decade were an era of triumph, riding on the exhilaration of the passage of the nineteenth amendment. In 1922, when broadcast radio began, there was much discussion and hope of extending women’s rights to other areas, including assertions of women’s competence with technology. But soon the political mood of the country began to shift to the right, and feminists were attacked as communists or labeled unfashionable. Conservatives mounted a campaign against women’s organizations in 1923–24, and magazines began writing about the ineffectiveness of women’s votes. In 1925 the child labor amendment that feminists had advocated was defeated.\textsuperscript{28}
Popular interest too shifted from politics to pleasure. Emancipation from patriarchal control and greater freedom in social behavior were for some more significant than political freedom. Younger women diverted their attention from political goals to a fusion of sexuality and consumerism, emphasizing fashion and cosmetics, fostered in popular media. The \textit{Ladies’ Home Journal} called it the “cosmetics revolution.” Magazine articles emphasized the modern woman defined in personal terms, while the numbers of newspaper article about women’s rights and the women’s movement dropped precipitously. By mid-decade the flapper replaced the suffragist as the image of the modern woman.\textsuperscript{29}
As radio changed from a hobby to a domestic furnishing, the gender of radio use underwent similar metamorphoses. The changing discourses on women and radio in the 1920s radio magazines reveal the nature of such process submerged in popular discourse rather than in more overt political debates, and thus help us understand broader cultural changes. Radio had become a fixture in the living rooms of millions of homes. This "domestication" of radio effectively moved the radio from the traditional masculine sphere of technology to the feminine domestic sphere.
But before domestication, there was a brief period in which a case was made for the equality of women within the technical sphere of radio. Articles, pictures, and cartoons in radio magazines suggest a more complicated picture of gender issues during the early stage of crystal sets and DXing than is typically recognized. Two discourses coexisted in the same magazines: one asserting women's technical prowess and "rights" to radio; the other depicting their ignorance and ineptness. The peak in women's advocacy was 1922. It gradually withered until 1924, when magazines turned again to more masculine formats.
Broadcast magazines included some surprising assertions of women's equality, which demanded access to the already masculinized activity of radio use. A speech advocating women in radio was printed in the third issue of *Radio Age*, a magazine for teenage boys. *Radio Broadcast* told of a woman who had made and installed 37 receiving sets, including stringing the antennae wires outside. She began when her husband brought home parts to build a set. But while he was at work she put it together herself.
From its inception in 1922 to about mid-1924, *Radio World* gave marked attention to women. Pictures, stories, and cartoons presented images of women in control of this new technology. The predominant message was one of women successfully using and enjoying radio. Numerous pictures showed women listening and operating radios, for radio telegraphy as well as broadcast listening. A woman in New York was pictured playing chess via radio telephone with a female friend in Chicago. One cover featured the first woman graduate of a radio school.
Many of these pictures appeared as part of a regular column, titled "Radio and the Woman," which began with two pages in 1922. The columnist's pseudonym, Crystal D. Tector, alluded to the crystal set, suggesting that the author was something more than a passive listener. She was a weekly booster of women, sprinkling her column with examples of women's technical feats with radio, and generally advocating women's equality. She said such things as "women are equally as capable and as practical as men," as evidenced by the use of a hairpin to fix a radio, "there will be many positions which [women] will fill to better advantage than men"; "promising girl student among those taking the wireless course at the Radio Institute of America, spiritedly contradicts all masculine statements which infer that women in general appear dazed when technical terms are mentioned"; "Most any department store will tell you ... that at least half the inquiries for sets and parts are made by women, and that their knowledge of the science is equal to that of the men."
But the outright assertions of women's equality ended in 1922. After that the column occasionally mentioned what women did, but not as frequently and not tagged with feminist alarms. The "Radio and the Woman" column gradually shrank to one page in 1923, to intermittent quarter-pages, and then disappeared in 1924. In mid-1924 the message of the magazine changed. Covers frequently pictured young women in bathing suits or dancing, legs exposed, while listening to radio. Beauties posed beside radios, but did not operate them. Cartoons depicted women as ignorant of the technology. One showed a housewife who tells her husband she cleaned his radio—but could not put it back together. Another showed her using the radio aerial as a clothesline. By the end of 1924, *Radio World* had shifted to a more technical, masculine readership, publishing almost exclusively sober, technical articles and eliminating the humor and women's columns altogether.
A similar but less pronounced pattern appeared in *Wireless Age*. In 1922 in the magazine's pictorial section there were plentiful pictures of women using radios in almost every conceivable setting. By 1924 pictures of pretty young women in swimsuits listening to radio predominated. The magazine published a few articles in 1924 and 1925 whose very faintness in advocating women's place in radio simply echoed the decline. One article about Eleanor Poehlor, the first director of a broadcast station, emphasized her skills as a saleswoman for her station, not her technical know-how. Another about Christine Frederick, who broadcast home economics programs, actually highlighted the domestication of radio. Even an article that asserted a girl was "just as good as father or brother!" acknowledged radio technology as a masculine sphere and males as the standard of skill.
The trend was decidedly away from advocacy of women's equality in radio technical skill. *Radio Age* soon pictured a mother hanging wash on a boy's aerial, and pretty young women in the kitchen following a recipe from the radio, stringing an aerial on a rooftop in an evening gown and high heels, and listening to the radio on the beach with prominent nipples showing through their bathing suits! These
and a goodly number of other pictures of attractive young women suggest that, by 1924, the magazine was courting not-so-young boys as their market, and considered women not a market but bait.\textsuperscript{35} Magazines frequently referred to women listening while the man or boy did the building and operating. One \textit{Radio Broadcast} article, to indicate the contribution of women, described their role as interior decorators. The women made suggestions as to where to place the radio, but the boys solved the technical problems to achieve these. A wife demanded a radio, but the husband was expected to buy the parts, set it up, and make it work.\textsuperscript{36}
Ads continued to feature women operating a radio set. Such ads, however, were not suggesting women's skills. Quite the contrary; ads used the image of women as technically inept to demonstrate how easy it was to use the featured brand of radio. A 1925 Atwater Kent pamphlet pictured a woman in evening dress tuning a set with one hand. The ad copy read, "Any child can do it!," equating women to children.\textsuperscript{37}
These disparaging images of women's competence in ads and cartoons were part of the larger backlash against women's equality that gained ground in the mid- and late 1920s. Between the wars, advertisements, information, and advice articles in women's magazines emphasized women's domestic role as a labor of love for her family. She was also depicted as needing experts like Christine Frederick to tell her how to be the perfect wife and mother, and to use domestic appliances she did not understand, like the radio. The voices of these experts were also brought to her by the radio in the first daytime programs in the mid-to-late 1920s.\textsuperscript{38}
\section*{Listening Habits}
Letters and cards from early listeners indicate they did not experience themselves as passive eavesdroppers listening to something happening far away.\textsuperscript{39} For them radio was a form of imaginative yet real interaction, what television researchers would later call parasocial interaction. People often wrote that they felt like the person on the radio was actually in their home, and wrote to welcome them. Letters from all over, large cities and small, east and west, are filled with open-hearted responsiveness to announcers and entertainers they heard on the radio. Listeners of the 1920s looked upon the radio announcer as a friendly good Samaritan to whom they turned for help in resolving problems and mysteries of their lives, to find a lost loved one, to announce over the air calls for missing persons, and so on. Some even visited stations to ask announcers to broadcast personal messages.\textsuperscript{40}
Such responses were encouraged by the practices of live broadcasts. Announcers intentionally addressed listeners as if they were speaking to old friends. Broadcasts consisted largely of direct address to listeners and relatively little drama or even conversation among announcers and guests at the station. The style elicited strong attachment by listeners to announcers and performers, and the "location" of the interaction in their homes domesticated the relationship.\textsuperscript{41}
One of the consequences of this social orientation to the radio voices was that listeners often talked back, and listening was lively. A Nebraska "traveling man" claimed in a letter to the editor that, of at least 200 homes he visited each year, he could not remember a single place where the broadcasts were listened to quietly: "Even the prayers in the [broadcast] church services were interrupted with bright remarks, and other irresponsible and extraneous material." Robert and Helen Merrill Lynd described Middletown radio listening in 1924 as an active pursuit.\textsuperscript{42}
Communal listening also was a widespread and viable institution in the 1920s. Public listening occurred in many places. Pictures showed crowds listening in streets by stores that had placed a loudspeaker outside. Major radio stations mounted radio sets with public address loudspeakers on trucks that parked and turned on the sets in parks and other places of public gathering for major sporting and political events, as a means of promoting the station. "Radio and the Woman" mentioned that "several of the better class tea shops [along Fifth Avenue, New York City] were equipped with radio sets." Another column mentioned a radio in a barbershop.\textsuperscript{43} However, such listening was among anonymous crowds that were unlikely to foster a sense of commonality and collective action, as in nineteenth-century theater audiences.
Before radio was commonplace, homes with radios also became centers of social gatherings, much as the first television homes would in the early 1950s. Those with a radio, whether in their home or store, often found themselves hosting an audience of friends, neighbors, and relatives who were eager and curious to experience the new invention. A New Jersey woman wrote to \textit{Radio World} that "Every night our home is crowded with neighbors." A Tennessee farm wife wrote to \textit{Radio Broadcast} in 1924, "There are only six radios in our area of thirty square miles. So quite often, we invite our friends in to enjoy a
good program of music or lecture of some special interest." This listening was not just collective, as in public places, but communal.
In the early to mid-1920s such socializing centered around the radio was common even among the affluent, as attested to by the many references in magazine columns and ads to "radio parties" at which curious guests could enjoy the new marvel of radio. A Connecticut respondent to a *Radio Broadcast* survey in 1927 said, "When any particular event of outstanding interest is advertised we generally plan to invite a few friends and make an evening of it." The "Radio and the Woman" columnist mentioned a friend who ensured everyone would come to her parties by writing on the invitation, "Radio Party and Tea." A "Radio Supper Club" met every Friday evening for dinner and dancing to radio at another friend's house. She said that, since installing a radio speaker, "all my friends want to do is come over and dance." In another column she exclaimed, "Heaven help you if you should forget to invite [your neighbors] to your house every evening for that radio entertainment."
By the late 1920s these "radio parties" were waning. The *New York Times* described an incident in the late 1920s where the etiquette of listening together was unclear, apparently already becoming less familiar. Another *Times* article characterized the radio audience as individuals "without a group mind," referring to the habit of listening in their separate homes. The communal use of radio lasted longer in working-class and rural communities, where radio was slower to become a fixture in every home, especially under the financial stress of the Depression. In working-class Chicago homes in 1930, people listened together in shops and neighbors' parlors; most families listened together. Even in 1931 a radio attracted visitors to a rural Virginia home.
The shift from communal to family listening was implicit in the domestication of radio, which presumed that each family would listen separately in the privacy of their home. As soon as radio was defined as a household appliance, privatization was just a matter of time. But group listening did not disappear entirely; in the 1930s it became formalized. Various organizations established listening groups for educational purposes, supplanting the grassroots communal listening of the 1920s. Participants were from all backgrounds, although housewives and students predominated and they had more than average education. They met in private homes to listen to and discuss public affairs or family guidance programs (child-rearing, homemaking, education).
Some listened to high culture, such as classical music or plays. Extension services of land grant colleges in Ohio, Iowa, New Jersey, and Kentucky began to offer courses via radio, for which people were encouraged to listen in groups. Many other types of organizations formed listening groups, among them the National League of Women Voters, local PTAs, YMCAs, and libraries. The Civilian Conservation Corps and the Works Progress Administration organized groups to listen to NBC's *American Town Meeting of the Air*, which began broadcasting in 1935 to foster group discussions of current public issues. An estimated 3,000 groups across the country listened to the program in 1938–39. Another program, *Great Plays*, reported a thousand groups listening. Several other radio programs were designed specifically for such voluntary group listening, announcing availability of information or mailings to help.
**Listeners Organize!**
Some listeners went beyond communal listening and acted collectively to shape radio. This represents some of the most significant collective actions by twentieth-century audiences, short-lived and different from, yet equal in ways to the actions of theater audiences of the early nineteenth century. Listeners organized to solve problems of interference in receiving broadcast signals. Most significant was the movement for "silent nights," when local stations agreed not to broadcast so listeners could tune in distant stations without local interference. This movement arose and faded with the shift from DX to program listening and the growth of broadcasting from an experiment to a profitable commercial venture.
The first silent nights were established sometime in 1922. At that time broadcasting was sufficiently experimental and unprofitable that broadcasters voluntarily agreed not to broadcast one night a week in several cities, among them Kansas City, Cincinnati, Dallas, and San Francisco. Chicago stations agreed to silent Monday nights in 1922 when the Department of Commerce radio inspector suggested it "in response to a demand from many fans," and after a poll taken by the *Chicago Daily News* indicated listeners were 11 to 1 in favor of a silent night. The radio inspector also obtained agreement by the American Radio Relay League for amateur operators to be silent that night.
Chicago's silent night continued through 1924 without controversy. In 1925, however, some stations began to construct powerful transmitters in suburban areas. The original agreement applied to stations within Chicago, so these stations claimed exemption. In August a local organization, the Broadcast Listeners' Association, called for a boycott of stations violating silent night. Within three weeks two such stations agreed to adhere to silent night; another agreed in September; and the last capitulated in late November. In the midst of this the city broadcast stations reendorsed silent nights, supporting the boycott.
Silent nights continued through 1926 and 1927, accompanied by "a more or less animated discussion." In March 1927 a major Chicago station ceased silent Mondays in order to broadcast an NBC network program from New York. This raised the question anew whether to abandon silent nights. A poll indicated a five-to-one support for silent nights and the broadcasters' association decided to retain the practice. Then in November 1927 Chicago stations announced they would end silent nights. The trend toward commercial broadcasting made Monday nights too valuable as advertising time to remain silent. Chicago broadcasters claimed in the *Daily News* that silent nights were no longer necessary for DXing and that they deprived other listeners of a night's radio. As if to close the story of silent nights in Chicago, a radio writer in the *Daily News* claimed that the DX fan had settled down to enjoy programs on local stations.
As the need for distance reception varied with location, the demand for silent nights differed from place to place. During this same period, silent nights were debated in New York City with different results. In a 1925 discussion of the topic, the *New York Times* wrote that "New York has heard less agitation for one silent night a week on the radio than any other big city." It claimed that this was because New York was the radio entertainment center, so anyone seeking entertainment need not seek distant stations, and that the majority had given up DXing until late at night. Nevertheless, in October 1925 a Citizens Radio Committee, coordinating its efforts with the Chicago boycott, mounted a campaign for the first silent night in New York City. A week later another organization, the National Radio Service League, announced its opposition to a silent night, arguing that New York programs were much better than in the past and "the distance craze" had been replaced by "a desire on the part of listeners for genuine entertainment... A radio set is no longer a scientific plaything for the mechanically inclined man; it is a source of amusement for the whole family." The organization had offices in Aeolian Hall, the location of classical music concert broadcasts. So it would appear that this was likely the voice of cultural elites and/or broadcasters. "The Broadcast Listener" column in *Popular Radio* also opposed the idea, referring to DX fans as "animated by some sort of kid passion" in whose hands "A radio receiver becomes a mere toy." It referred to the Chicago strike as "foolish." The same column in December 1925 used harsher terms, calling DX fans "long distance cranks" and "a bunch of idiots."
Such belittling of DX fans was a notable change. Metropolitan listeners had lost interest in DXing as broadcast programs and tuning capabilities of radio sets dramatically improved. The loss of interest was greater and occurred sooner in New York City, so that support for silent nights was never sufficient. In Chicago support remained into 1927, yet by the end of that year no protest arose when broadcasters abandoned silent nights. Newspapers and others claimed DXing was no longer popular and that most people just wanted to receive a good program and, in cities like New York and Chicago, could do so without DX.
As circumstances shifted, so did listener concerns, from support of DX to objections to interference in tuning in local stations. There were more complaints to city officials and radio inspectors in New York City about interference from nearby transmitters or cheap regenerative radio receivers than about silent nights. In 1925 and 1926 listener organizations formed in several cities. Little information beyond brief mention in newspapers and magazines exists about these groups. Many organizations, often formed by local elites, planned to put a stop to cheap radio sets that interfered with local station transmission. The United States Radio Society was formed in Cincinnati in February 1926. The National Broadcast Listeners' League in Indianapolis organized "to fight all forms of outside interference" from "blooping" regenerative sets. Another antiblooping organization was formed in Chicago by several prominent Illinois politicians.
An example of these elite organizations, The Listeners' League of Greater Cleveland was founded in March 1926 at a meeting at the Cleveland Chamber of Commerce. It had as its board of directors the trust officer of the Central National Bank, the secretary of the Lake Erie Trust Company, a superintendent of roads for the Cleveland Railway Company, the agent for the American Railway Association, an attorney, and a consulting engineer. Its expressed goal was "first to campaign against avoidable interference with reception."
There were a couple of organizations that seemed more concerned about the rights of listeners versus broadcasters, but there is little to
suggest they were successful. A Boston group named the Association of Broadcast Listeners, begun in summer of 1925, composed of about 300 "storekeepers, accountants, ministers, mechanics, chauffeurs, trolley conductors and motor men," proposed creating a national system of powerful broadcast stations owned and controlled by listeners. Nothing came of the proposal.\textsuperscript{58}
\textit{Radio Broadcast} briefly mentioned receiving information from the Iowa Listeners' League and other Midwest groups attempting to organize listeners. The magazine supported the idea, but doubted "very much if the radio listener can ever be organized." The president of the Iowa League published a criticism of Henry Field's use of his radio station in Shenandoah, Iowa, as a "home shopping" station, announcing his products and prices and giving the address to send money and orders. This appears to be a different and more critical stance than that taken by those organizations concerned with interference from cheap radio sets. However, a hint of elitism bleeds through the criticism here too. He bemoans the station's entertainment as "not of a high-class nature [but] common music for common people." He claimed that "letters from opponents of the principles of direct selling are on excellent paper and represent a highly educated class, while those from supporters of the direct seller are for the most part extremely hard to read, are not noted for cleanliness and usually avoid referring to the real subject of debate."\textsuperscript{59}
Class issues underlay these contests over silent nights and interference as well as between DX hounds and other listeners. More powerful, richer stations opposed silent nights. Upper-class listeners with more expensive, powerful receivers were more concerned with interference from cheaper sets, likely owned by lower-income listeners. In a range of ways the debates over broadcasting were struggles between unequal economic forces or classes over whose interests would prevail. By the end of the 1920s the more powerful corporate forces had prevailed in broadcasting, while for listeners issues of silent nights and interference faded away as better technology and programming became accessible to a broader spectrum of classes.
In the early 1920s radios were purchased in pieces, not just by those ambitious to build their own set, but by everyone. People purchased tubes, dials, headphones, batteries, and aerials, and wired them together at home. The challenge for the middle-class homemaker was to make this mess of wires and parts invisible or at least presentable, and to prevent leaking batteries from ruining furniture and carpets. Christine Frederick, a popular home economist and magazine writer, provided extended interior decorating advice on the appropriate place in the home for a radio. She chronicled the change.
...for the first couple years of radio [1922–23], no body seemed to think it strange to pile the library table with mechanical paraphernalia... Until this current year radio was the toy and the joy of men rather than women. It has been only since women have taken a practical home making interest in radio that ... has resulted in demand for higher class, more beautiful and more artistically designed sets... She is thoroughly through with all the original radio messiness.
Frederick suggested putting the radio in a room where the family gathered, and hiding the "ungainly horns and instruments" in a cabinet or wall recess. More direct, an Atwater Kent ad in *Ladies' Home Journal* of December 1925 reassured middle-class housewives that "radio needn't disturb any room."¹
Soon the whole task was made simple by manufacturers offering factory-built radio sets mounted in fine wood cabinets. In 1923, *House and Garden* announced the appearance of the first radio "desk cabinets" in which to hide the mess, but still located the radio room, "a room of masculine character," in the attic. A few months later *Radio Broadcast* noted, "While there are still in use plenty of unprepossessing and shy crystal receivers ... an aristocracy of receiving sets is emerging." This "aristocracy" was radios in wood cabinets designed to blend with the parlor decor, much as had been done with phonographs earlier. But these were not yet commonplace.²
To fit a radio into a cabinet meant replacing headphones with a loudspeaker and batteries with house electricity. Loudspeakers were becoming affordable, and electric service was becoming a standard feature of new, upper middle-class homes by the late 1920s.³ The year 1927 marked a significant shift in marketing radios as furniture. The January issue of *Radio Retailing* noted that manufacturers would be offering far more console models than in 1926. A February article noted that manufacturers were concentrating on cabinet design and making tuning easier, using two dials instead of three. Radio dealers were giving up the parts business and selling only factory-built sets. By 1929, only 3 percent of families still used home-made crystal sets.⁴
The radio was now within the upper-middle-class woman's realm of home decoration.⁵ With the domestication of the radio, *Radio Retailing* said, "no longer can the radio dealer slight the artistic appeal when selling the woman prospect." Another ad in the upscale *Saturday Evening Post* said,
The men have had their turn at radio. They've fiddled and fussed with a thousand-and-one hook-ups, amplifiers, relays and what-nots in their efforts to get "distance" and "volume" until our living rooms resemble the workshop of a boy inventor. The ladies' turn has come and here is the instrument built expressly for them. It's a smart little *personal* writing desk all the time and a wonderful radio whenever you switch on.
The ad pictured an affluent woman in high heels and evening dress, with a pull cord behind the $120 radio desk to call the maid.⁶
*Radio Retailing* announced that dealers needed to sell the radio as a fine piece of furniture rather than as a technical instrument, in order to please their new market of women. *New York Times* radio columnist Orrin Dunlap, Jr. claimed housewives' desire for a radio built as a fine piece of furniture that was compatible with the living room decor also fueled this shift.⁷
The year 1927 was also significant in advertising's shift to emphasize the entertainment delivered into the home by radio. Many ads and articles referred to radio as a "musical instrument." *Radio Retailing* told dealers, "You are selling music, not radio." The magazine claimed that radio needed to be marketed to the three-quarters of American homes without a radio at that time as "music and entertainment, not as a technical instrument." An ad stated, "RCA Victor introduces a master built musical instrument."⁸ Such marketing suggests listeners who cared not for technical wonders but convenience, something easy to use that would blend into the rooms' furnishings.
**No Place Like Home**
Radio was being redefined as a domestic appliance. Early communal uses and public listening places, under other circumstances, could have become the standard for radio. Amateurs, crystal set hobbyists, and DX fans, even while operating from their homes, were oriented to a community of fellow hobbyists. But domestication of the radio implied privatization within the home. Making radios affordable for the single family was a prerequisite for this "ideal" to be realized. But the symbolism of the time also strongly reinforced this idea of radio domesticity. The association of radio with the home was part of a larger movement in advertising to depict products and center consumption in the home by creating a domestic ideal.⁹
Ads deployed many metaphors of domesticity and domestic tranquillity. An RCA ad circa 1927 showed a little cottage and was captioned, "When you own a radio there is no place like home." Another RCA ad in *Saturday Evening Post* was captioned, "Make your home life richer with the magic of Radiola." It went on, "A world of entertainment ... in your home." The family gathered around the radio was a common picture.¹⁰
Ads claimed the radio eliminated the need to go out for entertainment. A Stewart-Warner radio ad claimed the radio "cuts your entertainment cost in half" since it provided good entertainment in the
home, and people therefore went out less. An ad for Herald loudspeakers stated, "Dine out - at home! A famous restaurant, a great orchestra ... right in your own dining room." Many ads featured an upper-class couple entertaining another couple in their home, using radio to provide high-class background music for an intimate evening of dinner and conversation.\(^{11}\)
**Radio Comes of Age in the Depression**
Despite the Depression, radio saturation continued to rise. Radio set prices dropped precipitously to an average of $34 in 1933. Income became less a factor in radio ownership, and radio use was no longer skewed upscale. By the late 1930s, lower-income groups listened more, preferred local over network programs, and preferred radio to reading.\(^{12}\)
In the late 1920s and early 1930s, practices of broadcasters and listeners became institutionalized. Broadcasting settled into its commercially sponsored form, dominated by networks. Networking, or what was then called "chain broadcasting," made radio attractive to national advertisers with budgets large enough to sponsor more elaborate programs. NBC began the first network programming in 1926 and CBS began in 1929. Soon higher-cost drama and variety programs began to make inroads into music as the principal form of programming. Regular commercially sponsored programs, broadcast at the same hour each day or week, began in the early 1930s.\(^{13}\)
**Market Research Constructs an Audience**
Since radio listening was rapidly becoming a familiar daily routine, it no longer warranted discussion in magazines. Radio magazines themselves disappeared, became simply program listings (e.g., *Radio Broadcast* became *Radio Digest*), or shifted their market from the general listener to retailers, repairmen, or hobbyists (e.g., *Radio World* reverted to an all-technical format). About the same time, radio stations and networks were beginning to conduct systematic surveys of their listeners.\(^{14}\) From the earliest days of radio, stations wanted to know who was listening. At first they distributed "applause cards" and encouraged people to write in.\(^{15}\) By the late 1920s the audience had become a product for sale to advertisers, who wanted more accurate measures to price the product they were buying. They turned to the nascent fields of market research and academic radio research.
One of the earliest market researchers was Daniel Starch, whom NBC contracted in 1928 to measure its national audience. CBS also began its own research in 1930, contracting with Price Waterhouse. Many stations and organizations soon conducted or commissioned their own surveys.\(^{16}\) Broadcasters hired business professors at prestigious universities, such as Robert Elder at MIT and Herman Hettinger at the University of Pennsylvania, to conduct surveys.\(^{17}\) These one-shot surveys were quickly displaced by regular ratings services. In 1930 the Association of National Advertisers and the American Association of Advertising Agencies, representing the sponsors and ad agencies for most of the network programs at the time, formed the Cooperative Analysis of Broadcasting and appointed Archibald Crossley, former pollster for the *Literary Digest*, as head, starting what quickly became known as the Crossley ratings. Crossley conducted monthly telephone surveys asking people to recall what programs they had listened to. In 1934 Claude E. Hooper, a former researcher for Daniel Starch, began his Hooper ratings to compete with Crossley. Hooper also used telephone surveys, but asked people what they were listening to at the moment, rather than asking them to recall.\(^{18}\)
Market research and ratings described the size and demographics of the audience, when and how much they used their radio and types of programs they preferred. Absent from these studies is any information on what people did with radio, other than selecting programs. We cannot reconstruct from them a picture of a family's daily life and how radio fit into it. But the surveys and other studies of the 1930s do provide basic information helpful in picturing the radio audience.
Radio audience habits, which carried over to television viewing, were established around 1930 with the regularization of radio schedules. Listening quickly became routine, fitted to people's daily schedules. Housewives were the primary listeners in morning and afternoon, children after school, and men and women equally in "prime time" between 7 and 9 p.m. Surveys indicated household averages of two to three persons listening per set during evening hours in households in the late 1920s and early 1930s. Families listened together in 85 percent of households. Most people preferred popular music, and secondly comedy over other programming. As early as 1928 almost three-fourths of listeners preferred network programs over local programs.\(^{19}\)
A handful of studies offered richer images of the radio audience. When the Lynds returned to Middletown in 1935, they found radio a "mild cohesive element in family life." But they believed that radio "carries people away from localism," while "binding together an increasingly large and diversified city." In other words, radio was eroding civic engagement and participation in community activities, making families more insular and orienting them, as described by mass society theories, to national elites, instead of to their local community peers. The Lynds' expression of concern was one of the earliest of what would become in the 1950s a small industry of criticism of radio and television for causing the breakdown of community and the "atomization" of society. The local radio station linked Middletowners to cultural elites in New York, and substituted sport spectatorship as the basis for civic identification over civic participation. In both cases the participation in community that mass society theorists considered important to integrating people into the national fabric, was supplanted by a superficial identification via centralized radio programming. The Lynds also characterized radio as "almost entirely a passive form of leisure," in contrast to what they had noted as an active involvement in the 1920s. The change from DXing to listening struck them as a change from the active to the passive, and foreshadowed mass culture critic Theodor Adorno's claim that radio induced passivity and the common criticism in later years of television "narco-tizing" viewers.
Perhaps reflecting the change from civic engagement to radio listening is the importance some listeners placed on the radio rather than on friends and neighbors to help them through hard times. For the unemployed during the Depression, listening filled the long idle hours. One unemployed listener in Chicago in 1935 wrote, "I feel your music and songs are what pulled me through this winter. Half the time we were blue and broke. One year during the Depression and no work. Kept from going on relief but lost everything we possessed doing so. So thanks for the songs, for they make life seem more like living." Destitute families who had to sell their radio described the loss as a considerable hardship.
Other descriptions of radio listening portrayed a much more innocuous device, providing aural wallpaper for the family's activities. These were the frequent comments on radio's use as background and the inattentiveness of listeners. Inattentiveness contradicted the fear of radio's power to induce passivity. In 1928, 13 percent of respondents to a national survey said that no one in the family was listening when the radio was on. During the day housewives frequently listened while doing chores. A 1931 study found that only 13 percent of housewives were giving radio their full attention in the morning, 22 percent in the afternoon, and 55 percent in the evening. The author of a Minnesota survey commented that "No one who has heard his neighbor's radio blaring away constantly day and night can doubt that many radio owners fail to give full attention to their instrument."
Send in Those Letters!
One of the few remaining examples of listener voices from the 1930s is fan mail, which tells us how listeners used radio and what it meant to them. Lower-income and rural people were more likely to write. The class of letter-writers, however, varied with the program. For example, an upscale audience wrote to the American School of the Air.
Personal attachments to announcers and entertainers survived the shift from local stations to national network broadcasts. Listeners expressed the same un-self-conscious openness toward national radio stars as they did to local radio station announcers. One indicator of this is the ease with which performers prompted gifts from listeners. When Guy Lombardo mentioned strings on his violin, he received 193 yards of violin strings. When Amos and Kingfish decided to start a bank, hundreds of listeners sent in dollar bills to deposit! Listeners sent hams, sugar cane, maple syrup, peaches, sombreros, oranges, linen, cats, dogs, pencils, shoes, tires, and so on.
Fan mail to Lowell Thomas, who began a fifteen-minute nightly news broadcast in fall 1930, also suggests at least some listeners constructed a personal relationship with him. One writer castigated Thomas for making a remark about thick ankles because a young woman with thick ankles happened to be listening at the writer's home and left the table in tears. Another wrote, "Last night you mentioned that women use rouge. I myself never use any and certainly think it a most disgraceful remark to make over the radio." And another, "You embarrassed me so this evening in your talk about the dude hunters that if I live to be a hundred years old I will never be myself again." They reacted to his behavior as if he were physically present in their home and had insulted them to their face. They showed no awareness of him speaking to thousands of others at the same time. Others saw him as someone to turn to for help and asked
him to intervene for them to help along a romance, promote some invention or idea, or pass along messages, as was common on local stations in the 1920s. They wrote as if he were likely to know their neighborhood and even their friends and family.
Such personal responses were not confined to simple folk. Letters to the Baldwin piano company for their broadcasts of classical music in 1929 reveal similar responses, except these listeners felt themselves guests in the "home" of the performers. One letter-writer from Staten Island phrased it, "our whole family greatlyfully [sic] accepts your invitation to listen in again.... We felt very much at home during your Concert At Home tonight." Another from Colorado said, "thanks for the pleasure in being a guest in that delightful music loving home yesterday." And another from Bay City, Michigan wrote, "I almost felt as if I were in the room too - it seemed so delightfully informal." The inversion of listeners from "hosts" to "guests" eliminated the feeling of radio performers invading their homes. It meant too that they were less likely to write about their own families and their use of radio.\(^{36}\)
**Daytime Listening**
Radio stations at first concentrated their broadcasts in the evening, when the largest audiences were available. But soon some began to identify daytime as the "women's hours."\(^{27}\) The first daytime programming was primarily informational homemaking and childcare programs for housewives. Broadcasters believed that the daytime schedule should look "like the non-fiction features of Good Housekeeping."\(^{28}\) There was no criticism of these homemaker programs or their effects on the women listening.
This contrasts markedly to the attitudes of cultural elites toward the soap operas of the 1930s and 1940s. The first daytime serial began in 1929 when WGN in Chicago began daily broadcast of Irma Phillips' *Painted Dream*. Proctor & Gamble soon became the major sponsor of daytime serials in the 1930s, including *Ma Perkins*, *Home Sweet Home*, *Dreams Come True*, *Song of the City*, *The O'Neill's*, *Pepper Young's Family*, *The Guiding Light*, *The Couple Next Door*, *Road of Life*, and *Kitty Keene*. The number of network daytime serials peaked in 1941 when at least one serial was broadcast in fifty-nine of the sixty quarter-hour segments between 10 A.M. and 6 P.M. on weekdays, on CBS, NBC Blue, and NBC Red networks.\(^{29}\) By the 1940s half of American women listened regularly to at least one serial; 10 percent listened regularly to seven or more serials.\(^{30}\)
As the soaps grew in numbers and popularity, they came under attack from social and cultural elites. Serials were first criticized for crowding out valuable programming. A New Rochelle woman's club in November 1939 began organizing an "I'm Not Listening" boycott, which by the spring had supporters in thirty-nine states. The boycott had little effect, however. The vice president of WHN chastised these affluent women for campaigning against serials that meant so much to "women not so fortunate as you club ladies." In 1942 more such "club ladies" mounted a campaign against soaps for their "insipid stories" and "belittling attitude" toward women. Mme. Yolanda Merorion, the founder and president of the National Radio Committee, lambasted advertisers for "feeding women soap operas" that she described as "ridiculous, sentimental bunk which has no relation to any of the realities of our lives." She accused advertisers of handling women as if they were imbeciles; "The picture of the little woman with her hands in soapsuds, rapturously listening to Joe and Mary's imaginary trials and tribulations when the world is burning has something sickening in it."\(^{31}\)
James Thurber caricatured soaps as "a kind of sandwich... Between thick slices of advertising spread twelve minutes of dialog, ad predicament, villainy, and female suffering in equal measure, throw in a dash of nobility, sprinkle with tears, season with organ music, cover with a rich announcer sauce, and serve five times a week." Thurber went beyond criticizing the shows to caricaturing the women listeners. He ridiculed those who "confuse the actors with the characters." He cited listeners in 1935 who sent hundreds of gifts to a character who was going to have a baby, and again in 1940 when two characters were to marry. Actors playing other characters received soap, live turtles, flowers, and get well cards. Thurber was not alone in deriding women soap opera fans and in characterizing them as mentally unstable. He cited a Buffalo doctor who in 1942 claimed that soaps caused an "acute anxiety state" in women listeners. The doctor's claims received much attention from the press.\(^{32}\)
Attacks on soaps continued a tradition in which, film theorist Tania Modleski argues, critics consistently have denigrated women's mass media and their readers, listeners, and viewers. The Buffalo doctor's reference to "acute anxiety state" echoed a very similar claim in 1901 by a Milwaukee doctor that drama matinees were harmful to young
women, causing "nervous prostration." A 1951 *Sponsor* magazine article suggested magazines and novels afforded women with sources of romance and adventure, but not companionship.\(^{33}\)
In the 1940s women researchers began to investigate charges that serials made women listeners psychologically unstable.\(^{34}\) Although some critics suggested fans were lower class, studies consistently found no differences between listeners' and nonlisteners' educational or class strata. Women claimed radio helped the time pass while doing repetitive work like dishes or ironing, echoing the same sentiments expressed by women in the 1920s. In 1946, sociologist Ruth Palter conducted an in-depth study of white lower-middle-class women who were heavy radio listeners. They said radio took the drudge out of housework; "the ironing goes much faster," "it breaks the monotony and I don't even think about what I'm doing," "If a woman has the radio ... She ain't stuck in the ol' house." They described radio as a companion that warded off loneliness in an empty house.\(^{35}\)
Palter also described listeners relating to the speaker on the radio as someone with whom they interact. This "parasocial interaction," as it came to be called, was characterized in magazines and research of others as an unhealthy blurring of reality. But such involvement, reminiscent of the nineteenth-century tales of green'uns in theaters, has been given more positive interpretations by other writers that imply no loss of a sense of reality.\(^{36}\)
Psychologist Herta Herzog analyzed the results of four surveys conducted in the early 1940s to construct a picture of the daytime listener, and concluded women enjoyed serials for escape from their own problems and for an emotional release — a "good cry." Iowa listeners surveyed by sociologist Leda Summers in 1942 stated that serials helped them to solve their own problems. This was true for women with a college education as well as those with less education. Women in Pittsburgh and New York corroborated the statements of Iowa women, describing in their own words how serials helped them in their own lives. Respondents to a CBS national survey similarly said the stories were "true to life" and enabled them to extract "lessons in living."\(^{37}\) The "true to life" comments suggest an explanation for talking about the characters as if they were real. Such talk would seem to make sense as part of the practice of extracting "lessons," rather than indicating confusion about the boundary between reality and fiction.
The research suggests more complex responses to radio than housewives becoming dangerously lost in the fantasies of the soaps. More recent researchers argue that women have constructed positive readings from women's fiction and drama. Fiction writer Helen Papashvily claims the domestic or sentimental novel of the 1830s to 1880s lent themselves to a reading more supportive of women, glorifying the home and women in it and portraying men and the world outside negatively. The novels were a sort of subtle revolt, portraying men in uncomplimentary terms and focusing on the tribulations of the heroine. Yet men did not read them and accepted the novels as harmless pastimes for their wives and daughters. The soap opera is in some ways the twentieth-century equivalent of the nineteenth-century novel. Researchers interviewing television soap opera viewers in the 1980s similarly have documented alternative positive readings that viewers construct. So, we might suspect, did serial listeners of the 1940s.\(^{38}\)
Fan mail confirms this "lessons for life" orientation on the part of many devoted listeners. Letter-writers tended to be more regular listeners than the average, yet their letters suggest a helpful side to their habit. Letters to the creator of *The Guiding Light*, Irma Phillips, contain less talk of the listener's own activities and more focus on the show than did earlier fan mail.\(^{39}\) They do not exhibit much absorption in the lives of the characters, the usual stereotype of the soap opera fan, but rather responses to the serials as morality plays from which they can draw lessons applicable to their own lives. Most of these letters are either asking for copies of dialog that they can use in their own work with children as mothers, teachers, and advisors; or they express concern about the fates of characters. Some write about characters as if they were alive. But this represents a conversational shorthand more than an actual belief. They talk about the characters as models.
Letters as well as interviews conducted by researchers then and more recently emphasize a more positive and autonomous use of radio text than critics warned of. What they do not reveal is more details about their behavior, details that would tell us something about the public or private, individual or collective nature of the audience. Did they listen together? Did they talk with each other about their readings? Did this lead to collective applications to their lives, or did these "lessons for living" promote an individual orientation to problem solving, a "reading" of life as interpersonal problems?\(^{40}\) Did the readings encourage or discourage the kind of collective action that was at a high mark at the dawn of broadcasting in the early 1920s, just as women gained the right to vote? What is important is not only
whether women were able to construct positive readings that might aide their self-esteem and individual autonomy, but also whether these listening practices fostered or interfered with their responding collectively beyond their circle of family and friends.\textsuperscript{40}
\section*{"Other" Audiences}
It is difficult to ascertain anything about black audiences in the 1920s. In radio magazines, for example, they are simply nonexistent. With few exceptions radio programs of the 1920s were directed to white audiences. The percentage of blacks owning radios was much smaller than that of whites. But, much like whites, when there was something broadcast that attracted them, they gathered together in large numbers to listen. Writer Maya Angelou related her childhood memories of the crowd that gathered at a small black-owned grocery in Stamps, Arkansas to listen to a Joe Louis fight in the 1930s: "The last inch of space was filled, yet people continued to wedge themselves along the walls of the store ... youngsters on the porch... Women sat on kitchen chairs, dining room chairs, stools and upturned boxes. Small children and babies perched on every lap." Clearly this event was exceptional enough to make a deep impression on the young Maya, but it is also reminiscent of similar scenes described in 1920s rural stores with white clientele, a customary way of listening to radio that survived longer in poor black communities where radios remained scarce.\textsuperscript{41}
Another form of programming that may have attracted a black audience was the frequent broadcasts of "jazz." Radio magazines frequently complained of the many hours of radio time "wasted" on jazz, the favorite music of the "lost generation" of young, white middle-class listeners in the 1920s. Magazines frequently described generational conflicts in white homes between teenagers wanting to listen to jazz and parents and youngsters who wanted to tune in something else. No mention is made in the magazines, but it is probable that these programs also appealed to black fans of jazz.
Record sales indicate heavy black consumption of \textit{recorded} music. Record companies began race records, including most jazz, shortly after World War I, and race records sold well during a severe drop in record sales in the early 1920s when the radio craze hit. Okeh Records sold a million copies of its first blues recording. Black vaudeville singers were widely recorded, and vaudeville blues sold well to blacks in the 1920s. By 1927 blacks were purchasing an estimated 10 million records a year, or one record for every black American. Twenty percent of Victor's catalog in 1928 was race records. The keen interest in recorded music on the part of blacks suggests that they probably also listened to radio broadcasts of jazz. Nevertheless, the first explicitly black-appeal radio program did not appear until 1929, when a small Chicago station, WSBC, began a black variety hour.\textsuperscript{42}
Few stations broadcast exclusively for any nonwhite or ethnic market. In the 1930s and 1940s, most such broadcasts were confined to specific programs on stations that either tried to supplement their mainstream market or tried to serve many different groups with programs tailored to each. In 1925 WSBC began to broadcast a variety of foreign-language programs to reach the one in four Chicagoans who were foreign-language speakers. By 1942, 205 stations offered foreign-language broadcasts in twenty-six languages, most commonly Polish, Spanish, Yiddish, and German.\textsuperscript{43}
Ethnic broadcasts sentimentalized the old country. The audience was predominantly elderly and housewives who were confined largely to the home and thus slow to learn English and American norms, and who consequently continued to be oriented and attached to their native culture and language.\textsuperscript{44} Second-generation youth were assimilating to American ways and listening to mainstream American broadcasts. Radio served to widen the gulf between foreign-language-speaking parents and English-language-speaking children that has been chronicled in immigrant studies such as that by William I. Thomas and Florian Znaniecki on Chicago Poles. Thus, while in the short run it may have provided a sense of ethnic and working-class community, it did so in a manner doomed to disappear with its aging audience, much like ethnic theater.\textsuperscript{45}
\section*{Individuation}
Privatization, which was part of radio listening early on, refers to the process in which people consume a significant part of their entertainment within the household rather than in public spaces. Once the household market began to reach saturation, however, manufacturers reversed their domestication strategy and began to associate radio with individuals rather than the family and home.\textsuperscript{46} One such effort was to promote radios in automobiles. Magazine ads for car radios began to appear in 1930. By 1933 the \textit{New York Times} identified a "craze" for car radios and attributed it to young people. NBC
published a promotional booklet in 1936, "Radio Takes to the Road," telling advertisers that the car radio audience was already large and would eventually be almost as big as the home audience. The booklet reflected the change from domesticity in a sentence; "No longer is listening confined to the fireplace." In a similar 1937 booklet directed to advertisers, CBS promoted advertising sales in a graph that depicted the sharp rise in car radios. *Radio Retailing* reported that half of new cars sold in 1941 were equipped with a radio, and 30 percent of all autos had a radio.\(^{47}\) Car radio advertising abandoned domesticity for other themes, particularly romance and sex.
A second strategy was to replace ads picturing families listening together with ads picturing them quarreling over what to listen to. The advertised solution was multiple radios in the home. The earliest experiments with such a strategy were initiated in the late 1920s. *Radio Retailing* called it the 'radio in every room' plan." An Atwater Kent ad of 1929 illustrated this new theme, showing four hands reaching for the radio dial, each wanting to listen to something different. Crosley Radio introduced a new slogan, "A radio receiving set for every member of the family," allowing dad to hear "the baseball series, while the children tune in the bedtime stories and the young folks have dance music."\(^{48}\)
A third strategy to expand the market was launched in the late 1930s with widespread manufacture of portable radios. By 1940, over 80 percent of American households had a radio. Radio had far exceeded saturation levels of all other electric appliances except the electric iron. Only 56 percent of homes had a refrigerator, only 60 percent electric washers. Selling to the individual was a response to household saturation. Portable radios were the ultimate individuation, sold as an individual's accessory to enhance one's appearance and attractiveness, equivalent to a pocketbook, rather than a fireplace. In fall 1939, Majestic introduced a portable with shoulder strap weighing less than four pounds. The change in retailing was expressed in the 1941 headline by *Radio & Television Retailing* that the "Important statistic in the future will be the number of people with receivers rather than the number of homes." This article was illustrated with a photo of portables owned by an airplane pilot, a champion ice skater, and a fisherman, and small tabletop radios in a bedroom, cars, a piano studio, a lawyer's office, and a fire station. A photo in the August 1941 issue showed a bootblack with a portable radio under his chair, played to entice trade and increase tips.\(^{49}\)
Ads associated portables with sex appeal (a girl's dress blown up by the wind as she carries a portable radio) and romance (a couple holding hands while they walk with a portable radio).\(^{50}\) In contrast to the mid-1920s association with the home and family, these ads emphasized fun and going places. This shifted focus to individuals, particularly young people without spouses and children and household responsibilities. Such a change suggested significant reconstructions of the radio audience, or at least the construction of an additional new radio audience segment.
Young listeners were themselves expressing a desire for individuation of radio listening. A 1935 study found that California high school students were already listening alone or with friends, rather than with their families. A striking difference from earlier listeners was the desire to listen alone and not to be interrupted. As radio programs became subjects of interest, and as drama and comedy became increasingly significant forms of programming, attentive listening became more important than interaction with family and friends. Listeners were especially concerned not to miss a word of daytime serials. One researcher quoted women as saying, "I can't stand no talkin' while I'm listening"; "[if someone phones] I just say, 'Kid, I'm listening to so-and-so. I'll call you back"'; and "Naturally when you're with others they start to talk and they interrupt your listening ways."\(^{51}\)
Listening was becoming an individual experience, each person attuned to the radio and insulated from every other. This was similar to the effect of dimming the lights in theater in the nineteenth century, which focused attention on the stage, discouraged conversation, and isolated audience members from each other. Radio both removed people from the crowd of the theater and isolated people from each other in – and out of – the home. Radio announcers began to foster a one-to-one intimacy between individual listeners and themselves. No longer did the announcer enter the listener's home. Rather the announcer drew the listener out of the family into a personal conversation in "radioland." This practice removed audiences further from the ground of collective action and provided grounds for critics to decrie "hypnotic," "narcotic" effects of broadcasting on individuals. |
Resistance to *Colletotrichum fragariae* in Strawberry Affected by Seedling Age and Inoculation Method
BARBARA J. SMITH, Research Plant Pathologist, U.S. Department of Agriculture, Agricultural Research Service, Small Fruit Research Station, Poplarville, MS 39470; L. L. BLACK, Professor, Department of Plant Pathology and Crop Physiology, Louisiana Agricultural Experiment Station, Louisiana State University Agricultural Center, Baton Rouge 70803; and G. J. GALLETTA, Research Geneticist, U.S. Department of Agriculture, Agricultural Research Service, Fruit Laboratory, Beltsville, MD 20705
ABSTRACT
Smith, B. J., Black, L. L., and Galletta, G. J. 1990. Resistance to *Colletotrichum fragariae* in strawberry affected by seedling age and inoculation method. Plant Dis. 74:1016-1021.
Two- to 4-wk-old strawberry seedlings (age after transplanting at the first true-leaf stage) were more susceptible to *Colletotrichum fragariae* than 14- to 18-wk-old seedlings when spray-inoculated with a conidial suspension. Comparisons were made among inoculation methods used to evaluate strawberry resistance to anthracnose crown rot caused by *C. fragariae*. Spray inoculation was the best method to determine the overall host reaction (i.e., the foliar and crown reaction of large populations of plants), but crown injection was more reliable to assess the crown response. In crown injection tests, more than half of 14- to 18-wk-old seedlings from crosses of anthracnose crown rot-resistant clones were resistant to the crown rot phase of this disease, while most cultivars and progenies of susceptible parents were very susceptible. Thus, it seems possible to screen for foliar and crown rot resistance.
*Colletotrichum fragariae* Brooks, the incitant of strawberry anthracnose crown rot (12), may infect the fruit, leaves, petioles, or crown of strawberry (*Fragaria × ananassa* Duch. [1,2,7–9]). When the fungus enters the crown, wilt and sudden death of the plant often follow (7,10). The disease is most devastating during warm, humid weather and frequently causes severe losses in summer nurseries in the southeastern United States (10). Resistance to *C. fragariae* has been reported in the cultivars Apollo, Dover, Florida Belle, Rosanne, and Sequoia (3,11). Since their release however, some of these cultivars have been found to be susceptible to certain isolates of *C. fragariae* in greenhouse tests (4,13).
The USDA-ARS Fruit Laboratory in Beltsville, Maryland, and the Small Fruit Research Station in Poplarville, Mississippi, are conducting a breeding program in cooperation with state agricultural experiment stations to develop anthracnose crown rot-resistant strawberry cultivars adapted to the southeastern states (14). A reliable greenhouse disease resistance screening technique is needed to identify and incorporate resistant germ plasm into commercial cultivars. Previous reports on greenhouse methods for evaluating resistance to *C. fragariae* have raised a question as to the most appropriate inoculation procedure. Delp and Milholland (3) reported that inoculum entering the crown during spray inoculations allowed the pathogen to overcome resistance in plants of strawberry lines with which they were working. Therefore, they recommended a distal petiole inoculation method and the use of petiole lesion size to evaluate strawberry plant resistance to *C. fragariae*. Smith and Spiers (14) identified strawberry plants that withstood spray inoculations with *C. fragariae* conidial suspensions suggesting that resistance to the crown rot phase of the disease exists in some of their strawberry lines.
The influence of age on strawberry seedling response to *C. fragariae* has not been examined. In most studies, strawberry runner plants of clonal lines have been evaluated for their reaction to *C. fragariae* (1,3,4,7). Horn et al (6) used seedlings in a study of anthracnose crown rot resistance, but they did not report the age of their seedlings at the time of inoculation. Smith and Spiers (14) inoculated 6- to 8-wk-old seedlings, but they did not compare the disease response of seedlings at various ages.
Part of the current study was designed to determine whether older plant resistance to *C. fragariae* is expressed in the juvenile stage and if not, at what age seedlings could be screened to assess mature plant resistance. Crown rot is the most destructive phase of the disease in the Gulf Coast states, therefore, a second part of this study was initiated to compare inoculation methods used to identify resistance to *C. fragariae* in strawberry seedlings, cultivars, and clones with particular emphasis on selection for resistance to the crown rot phase.
MATERIALS AND METHODS
Source and propagation of strawberry plants. "Seedlings" refers to unselected progenies grown from seed, "clone" to a seedling selection that was increased and maintained as a numbered clonal line for use as a breeding parent, and "cultivar" to a named clonal selection available to the public. Seed derived from 20 crosses made among 28 cultivars and clones at Beltsville and from cultivar open crosses (Table 1) were germinated on moist, finely ground sphagnum in a growth chamber (Controlled Environments, Model PGW36, Pembina, ND) at 24/18 ± 1°C (day/night) with a 16-hr photoperiod. Strawberry seeds do not germinate uniformly; therefore, strawberry seedling age was designated as the time after transplanting at the first true-leaf stage into Jiffy-7 peat pellets (Jiffy Products, Ltd., Norway). The seedlings were grown in a greenhouse with supplemental lights (General Electric F400 daylight fluorescent) to achieve a 16-hr photoperiod with day/night temperatures of 22/18 ± 4°C. Weekly applications of soluble fertilizer (10-30-20) at the rate of 0.3 g/l were made beginning 3 wk after transplanting. Older leaves and runners were removed from all seedlings 1-7 days before inoculation, leaving the two to four youngest leaves on each plant at the time of inoculation. Plants of cultivars were purchased as dormant crowns from a commercial nursery, and clonal plants were propagated from runners in the greenhouse. These plants were potted in 10 cm × 10 cm plastic
pots in a 1:1 (v/v) mixture of Jiffy-Mix (JPA, West Chicago, IL) and pasteurized sand and grown in the greenhouse for a minimum of 6 wk before inoculation.
**Inoculum preparation.** Cultures of *C. fragariae* isolates (Table 2) were grown at room temperature (approximately 25 C) on a 1:1 (v/v) mixture of Difco oatmeal agar and Difco potato-dextrose agar in petri dishes for 7–14 days under continuous fluorescent light. Conidia were washed from cultures with distilled water containing two drops of Tween 20 per liter. A final conidial suspension containing $1.5 \times 10^6$ conidia per milliliter was prepared with a hemacytometer. Mixed isolate inoculum was prepared by adjusting the conidial concentration of each isolate to $1.5 \times 10^6$, then mixing equal volumes of the conidial suspension from each isolate.
**Seedling age and disease response.** The effect of seedling age on disease severity following inoculation was evaluated in two experiments. In experiment 1, seedling age $\times$ progeny effects were tested with a mixture of *C. fragariae* isolates. Two-, 4-, 8-, and 14-week-old seedlings of five selected crosses and a susceptible open-pollinated (OP) cultivar, Tufts, were divided into 10 replications with seven or eight plants from each seedling population at each age. Seedlings were inoculated by spraying them with a mixed conidial suspension composed of equal numbers of conidia from isolates CF-1, CF-4, Fla-2, La-1, CF-75, and CF-card. In experiment 2, seedling age $\times$ progeny $\times$ isolate effects were tested. Conidial suspensions from two isolates, CF-1 and CG-164, were used separately to spray inoculate 3-, 14-, and 18-wk-old seedlings from five selected crosses and a susceptible open-pollinated cultivar, Tioga. Each seedling population at each age was divided into eight groups with five plants per group. Four groups (replications) were spray-inoculated with isolate CF-1 and four with isolate CG-164.
**Inoculation methods and disease response.** Five inoculation methods were evaluated for their influence on subsequent disease development. The methods were plant spray, distal petiole spray, plant spray plus crown drops, plant spray plus crown injection, and crown injection. For the plant spray method, inoculum was applied to all the aboveground plant parts to the point of runoff with a hand-pump sprayer (14). Plants inoculated with the distal petiole spray were held upside down, the distal half of each plant sprayed to the point of runoff with a hand-pump sprayer, and the excess inoculum was allowed to drip off before the plant was turned upright (3). The plants inoculated with plant spray plus crown drops were spray-inoculated, and then three drops of inoculum were placed at the leaf axils in the crown area with a Pasteur pipet without wounding the plant. The plant spray plus crown injection method was accomplished by injecting 0.2 ml of inoculum directly into the crown at the leaf axils with a 1-cc Tuberculin syringe followed by a plant spray inoculation. For the crown injection inoculation method, plants were inoculated the same as in the preceding method without the plant spray procedure.
Three experiments were conducted to evaluate inoculation methods. In experiment 1, two inoculation methods, plant spray and plant spray plus crown drops, were compared with each of five *C. fragariae* isolates for their effect on subsequent disease severity in mature strawberry plants. A group of four plants of each of 12 cultivars was inoculated separately by each inoculation method with each of the fungal isolates.
In experiment 2, isolate CG-164 was used to evaluate four inoculation methods on 8- to 14-wk-old progeny of seven crosses of resistant clones and progeny from a susceptible OP cultivar. Seedlings were divided into groups of six plants each from the eight populations. The methods compared were 1) distal petiole spray, 2) plant spray, 3) plant spray plus crown drops, and 4) plant spray plus crown injection. Control plants were treated by methods 1 and 2 with sterile distilled water. The experiment was replicated four times.
In experiment 3, the use of crown injection alone as a technique to evaluate mature strawberry plants for resistance
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**Table 1.** Strawberry seedling populations and the reported anthracnose crown rot response to their parent lines
| Clone/cultivar | Parent lines | Anthracnose designation* |
|----------------|--------------|--------------------------|
| 82-78 | MSUS 27 $\times$ LA 7113A | $R_3^{b,c} \times R_2^{b,d}$ |
| 82-79 | MSUS 31 $\times$ FLA 73-1872 | $R_3^{b,c} \times R^e$ |
| 82-80 | LA 7525A $\times$ US 78-1760AN | $R_3^{b,d} \times R_2^{b,e}$ |
| 82-84 | FLA 76-577 $\times$ NC 3920 | $R^e \times R^f$ |
| 82-85 | US 78-1839AN $\times$ LA 7517A | $R_3^{b,e} \times R_2^{b,d}$ |
| 83-65 | LA 883 $\times$ Dover | $R_3^{b,c} \times VR^g$ |
| 83-66 | MSUS 27 $\times$ US 78-1760AN | $R_3^{b,c} \times R_2^{b,e}$ |
| 83-67 | Prelude $\times$ Dover | $S^h \times VR^k$ |
| 83-68 | Atlas $\times$ Florida Belle | $S^h \times VR^k$ |
| 83-70 | LA 883 $\times$ Olympus | $R^q \times U$ |
| 83-72 | MSUS 42 $\times$ MDUS 5146 | $R_3^{b,c} \times U$ |
| 83-73 | LA 7922A $\times$ Douglas | $R_3^{b,d} \times VS^l$ |
| 83-76 | Florida Belle $\times$ Pajaro | $R^q \times VS^l$ |
| 84-61 | Cardinal $\times$ Fla 77-163 | $U \times R^r$ |
| 84-65 | Tangi $\times$ Fla 77-169 | $S^h \times R^e$ |
| 84-66 | Fla 76-577 $\times$ MDUS 3771 | $R^q \times U$ |
| 84-67 | Fla 77-163 $\times$ Allstar | $R^q \times S^h$ |
| 84-69 | LA 883 $\times$ US 78-1760AN | $R^q \times R_2^{b,e}$ |
| 84-70 | LA 7922A $\times$ Fla 76-802 | $R^q \times R^e$ |
| 84-71 | MSUS 31 $\times$ Dover | $R_3^{b,c} \times R^q$ |
| Tioga OP | Tioga Open-Pollinated | $VS^l \times VS^l$ |
| Tufts OP | Tufts Open-Pollinated | $VS^l \times VS^l$ |
*Reported anthracnose crown rot response of parent lines: VS = very susceptible, S = susceptible, R = resistant in field, $R_2$ = resistant in greenhouse screening and in field, VR = very resistant in field, and U = unknown.
Selected as resistant in greenhouse screening at Poplarville, MS.
Selected as resistant in field at Poplarville, MS.
Selected as resistant in field at Baton Rouge, LA.
Selected as resistant in field at Dover, FL.
Selected as resistant in field at Clinton, NC.
From J. L. Maas (11).
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**Table 2.** Source of *Colletotrichum fragariae* isolates from strawberry plants with anthracnose crown rot symptoms
| Code | Isolated by | Year isolated | Plants from |
|----------|--------------------------------------------------|---------------|---------------|
| CF-1 | N. Horn, Louisiana State University | 1968 | Louisiana |
| CF-4 | R. Millholland, North Carolina State University | 1978 | North Carolina|
| CF-63 | B. Smith, USDA, Mississippi | 1981 | Mississippi |
| CF-75 | B. Smith, USDA, Mississippi | 1981 | Mississippi |
| CF-card | B. Smith, USDA, Mississippi | 1980 | North Carolina|
| CG-163 | C. Howard, University of Florida | 1982 | Tennessee |
| CG-164 | C. Howard, University of Florida | 1982 | North Carolina|
| Fla-1 | C. Howard, University of Florida | 1978 | Florida |
| Fla-2 | C. Howard, University of Florida | 1978 | Florida |
| LA-1 | N. Horn, Louisiana State University | 1979 | Louisiana |
| MS-9 | B. Smith, USDA, Mississippi | 1978 | Mississippi |
to anthracnose crown rot was tested using six isolates to inoculate four plants each of four cultivars and three clones.
Immediately after inoculation, all plants were placed in a dew chamber for a 48-hr incubation period and then were transferred to a greenhouse. The temperature of the unlighted dew chamber was 32 ± 1 C and that of the greenhouse was about 28 C, except in experiment 3 in which the greenhouse temperature was about 32 C.
**Disease severity rating scale.** Disease development was assessed with a disease severity rating (DSR) scale ranging from 0 to 6 (12) where 0 = plant with no visible lesions, 1 = plant with petiole lesions <3 mm long, 2 = plant with petiole lesions 3–10 mm long, 3 = plant with petiole lesions >10–20 mm long, 4 = plant with petiole lesions >20 mm long, 5 = plant whose youngest leaf was wilted with or without petiole lesions, and 6 = dead plant with necrotic crown. Following inoculation by the various surface application methods, plants were grouped by their DSRs as follows: 0–2 = resistant, 2.1–3.9 = intermediate, and 4–6 = susceptible. When one of the crown injection methods of inoculation was used, the plants were grouped by DSRs as follows: 0–3.5 = resistant, 3.6–4.4 = intermediate, and 4.5–6 = susceptible.
**Data analyses.** The SAS statistical package (5) was used for analysis of variance tests. When an F test indicated significant treatment differences, mean separation was by least significant differences, the Waller-Duncan test, or least squares mean.
**RESULTS**
**Seedling age.** Younger seedlings generally were more susceptible than older seedlings in both studies (Figs. 1 and 2, Tables 3 and 4). In experiment 1, disease severity of all strawberry seedling populations decreased as age of seedlings at the time of inoculation increased. The slopes of the regression lines for the three populations 82-79, 82-80, and 82-85 were significantly less than those of the other three populations (Fig. 1). The predicted DSRs at 14 wk of age for populations 82-84 and Tufts OP were significantly greater than those of populations 82-78, 82-79, and 82-80. No seedling population had a mean DSR of ≤ 2 (resistant) when inoculated at the 2- or 4-wk-old stages, but three seedling populations had DSRs ≤ 2 when inoculated at 14 wk of age (Table 3).
In experiment 2, similar results were obtained, i.e., older inoculated seedlings were usually more resistant to each isolate of *C. fragariae* than younger seedlings (Table 4). The slopes of the regression lines for all populations inoculated with isolate CG-164 and all populations except 83-65 inoculated with isolate CF-1 were negative (Fig. 2A,B).
These results show that the seedling populations became more resistant with age up to 18 wk, the oldest seedling age at inoculation.
**Inoculation methods and disease response.** In experiment 1, there were no differences between the DSRs of plants within each cultivar inoculated with the same isolate by the plant spray method or the plant spray plus crown drops method (Table 5). Similar symptoms, including foliar and crown infection symptoms, were observed on both plants inoculated with plant spray and with plant spray plus crown drops. There were significant differences in the DSRs among cultivars and isolates (*data not shown*), but there was no difference in the mean DSR for any of the cultivars based on inoculation method. The overall average DSR for all cultivars inoculated by the plant spray method was 3.5, while that of plants inoculated by the plant spray plus crown drops method was 3.4.
In experiment 2, mean DSRs over all seedling populations tested were not significantly different 30 days after inoculation among the distal petiole spray, the plant spray, and the plant spray plus crown drops inoculation techniques (Table 6). However, the plant spray plus crown injection technique resulted in a significantly higher mean DSR than those obtained by the other inoculation techniques tested. In subsequent observations 50 days after inoculation, 54–100% of the seedlings in the seven selected seedling populations inoculated by the plant spray plus crown injection method were alive, while only 32% of the Tufts OP seedlings remained alive. Some of the control plants died in the more susceptible populations probably because of natural infection, which is difficult to eliminate over a long-term experiment within a hot, humid greenhouse. This natural infection most likely occurred near the end of the experiment because the DSR of these control plants was near zero at the 30-day rating.
Some resistance to crown infection was identified by crown injection in experiment 2; therefore, a crown injection inoculation without foliar inoculation was used to evaluate crown resistance in various strawberry breeding clones and cultivars in experiment 3. Thirty days after injection, most of the cultivars had a DSR of $\geq 4.5$ (susceptible), but two of the clones, MSUS 42 and MSUS 70, had a DSR of $\leq 3.5$ (resistant) to three or more of the isolates (Table 7). Fifty days after inoculation,
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**Table 3.** Influence of plant age at time of inoculation\(^a\) on disease severity rating\(^b\) of six strawberry seedling populations spray-inoculated with *Colletotrichum fragariae* in experiment 1
| Seedling population | Disease severity rating\(^c\) |
|---------------------|-------------------------------|
| | Seeding age (wk)\(^d\) |
| | 2 | 4 | 8 | 14 | Mean |
| 82-79 | 2.4 abB\(^e\) | 3.3 aB | 1.5 abC | 1.2 bC | 2.1 D |
| 82-80 | 2.9 abB | 3.3 aB | 2.5 abC | 1.1 bC | 2.4 CD |
| 82-85 | 4.0 aAB | 4.2 aAB | 3.7 aAB | 1.4 bBC | 3.3 BC |
| 82-78 | 5.6 aA | 4.9 aAB | 3.3 abc | 2.1 bABC | 4.0 B |
| 82-84 | 5.9 aA | 5.9 aA | 5.3 abAB | 3.8 bA | 5.2 A |
| Tufts OP | 5.9 aA | 6.0 aA | 5.5 aA | 3.2 bAB | 5.2 A |
| Mean | 4.4 ab | 4.6 a | 3.6 b | 2.1 c |
\(^a\)Plants inoculated with suspensions of $1.5 \times 10^6$ conidia per milliliter composed of equal volumes of conidia from six *C. fragariae* isolates (CF-1, CF-4, Fla-2, LA-1, CF-75, and CF-card).
\(^b\)Disease severity rating scale: 0 = no symptoms to 6 = plant dead.
\(^c\)Average rating of seven or eight seedlings per replication and 10 replications per age group. Disease severity rated 35 days after inoculation.
\(^d\)Age of seedlings at the time of inoculation based on time after transplanting at the first true-leaf stage.
\(^e\)Mean separation in rows (a–c) and mean separation in columns (A–D) by least squares mean, $P = 0.05$.
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**Table 4.** Influence of plant age at time of inoculation on disease severity rating\(^a\) of six strawberry seedling populations spray-inoculated with *Colletotrichum fragariae* in experiment 2
| Seedling population | Disease severity rating\(^b\) |
|---------------------|-------------------------------|
| | Seeding age (wk)\(^c\) |
| | 3 | 14 | 18 | Mean |
| Inoculated with isolate CF-1\(^d\) | 2.2\(^e\) | 2.4 | 2.2 | 2.2 f\(^g\) |
| 83-65 | 4.1 | 2.3 | 2.3 | 2.9 de |
| 83-66 | 5.4 | 3.0 | 2.2 | 3.5 c |
| 83-70 | 5.1 | 2.6 | 1.9 | 3.3 cd |
| 83-73 | 5.3 | 3.8 | 3.3 | 4.1 b |
| 83-76 | 5.9 | 4.6 | 3.7 | 4.8 a |
| Tioga OP | | | | |
| Mean | 4.7 a\(^h\) | 3.1 b | 2.6 c | |
| Inoculated with isolate CG-164\(^i\) | 4.3\(^j\) | 2.3 | 2.3 | 2.9 d\(^k\) |
| 83-65 | 5.1 | 2.2 | 3.5 | 3.6 c |
| 83-66 | 5.9 | 3.0 | 2.9 | 3.9 c |
| 83-70 | 5.9 | 2.8 | 2.0 | 3.6 c |
| 83-73 | 6.0 | 4.1 | 3.7 | 4.6 b |
| 83-76 | 5.9 | 4.4 | 5.2 | 5.2 a |
| Tioga OP | | | | |
| Mean | 5.5 a\(^l\) | 3.1 b | 3.3 b | |
\(^a\)Disease severity rating scale: 0 = no symptoms to 6 = plant dead.
\(^b\)Average DSR of five plants per replication and four replications per age; rated for disease severity 30 days after inoculation.
\(^c\)Age of seedlings at the time of inoculation based on time after transplanting at the first true-leaf stage.
\(^d\)Plants inoculated with a suspension of $1.5 \times 10^6$ conidia per milliliter from *C. fragariae* isolate CF-1.
\(^e\)LSD = 1.31 for each seedling population-age combination, $P = 0.05$.
\(^f\)Mean separation in row and column by Waller-Duncan, $k = 100$.
\(^g\)Plants inoculated with a suspension of $1.5 \times 10^6$ conidia per milliliter from *C. fragariae* isolate CG-164.
\(^h\)LSD = 1.03 for each seedling population-age combination, $P = 0.05$.
only three of the MSUS 42 plants and nine of the MSUS 70 plants had died from a total of 24 plants of each clone injected. By comparison, 15 to 22 plants of each cultivar were dead 50 days after inoculation (Table 7). Crown-injected plants receiving DSRs of less than 5 had petiole rather than crown symptoms. These plants usually developed lesions on the petioles of leaves that had not emerged from the crown at the time of inoculation.
**DISCUSSION**
The disease responses of seedlings in these greenhouse studies cannot be compared directly with the reported responses of their parent lines because the parental response was usually based on field observations (Table 1). However, most seedling populations that had a parent that had been rated either very resistant (VR) or that was a selection from the anthracnose screening program (R₂) were found to be more resistant than progeny of parents rated resistant (R) or susceptible (S). These results suggest that a breeding program coupled with a good disease resistance screening program could lead to the development of strawberry cultivars resistant to anthracnose crown rot.
Most of the seedling populations derived from crosses among selected clones and cultivars were more resistant to isolates of *C. fragariae* than the Tioga OP or Tufts OP seedlings. Several of the seedling populations demonstrated a high level of resistance. For example, in the seedling age experiment 1, all populations except 82-84 had predicted DSRs ≤ 2 (resistant) following inoculation at 14 wk of age (Fig. 1). In the seedling age experiment 2 and in the inoculation method experiment 2, seedling populations 83-65, 83-67, 83-72, and 83-73 consistently had lower DSRs than other populations in these studies (Tables 4 and 6) and a high percentage (96, 96, 100, and 83%, respectively) of the plants survived crown injection inoculations. The slopes of the regression lines for three of the seedling populations (82-79, 82-80, and 83-65; Figs. 1 and 2) are close to zero which suggests that seedlings in these populations express both juvenile and older plant resistance.
The current study has shown age to be an important consideration when screening strawberry seedlings for resistance to *C. fragariae*. In general, seedlings became more resistant as they increased in age. Resistance in most seedling populations could be identified only after seedlings were 14 wk old. Within three populations, 2-wk-old seedlings expressed a distinguishable level of resistance; however, if resistance screening is done at this age some potentially valuable sources of resistance may be eliminated.
A previous report (3) stressed the necessity of preventing inoculum from entering the crown of plants being evaluated for resistance to anthracnose crown rot; however, three of the inoculation methods compared in this paper (distal petiole spray, plant spray, and
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**Table 6.** Disease severity ratings\(^a\) and percentage of strawberry seedlings that died following inoculation with *Colletotrichum fragariae* isolate CG-164 by various inoculation methods
| Seedling population | Distal petiole spray | Plant spray | Plant spray + drop | Plant spray + inject |
|---------------------|----------------------|-------------|--------------------|----------------------|
| | DSR\(^x\) | Dead\(^y\) | DSR | Dead | DSR | Dead | DSR | Dead | DSR | Dead |
| 83-65 | 1.6 | 0 | 2.1 | 0 | 2.1 | 0 | 2.8 | 4 | 0.0 | 0 | 0.1 | 0 |
| 83-66 | 2.7 | 4 | 2.5 | 0 | 2.5 | 4 | 3.5 | 13 | 0.0 | 0 | 0.5 | 0 |
| 83-67 | 2.8 | 0 | 1.8 | 4 | 2.7 | 0 | 2.9 | 4 | 0.3 | 0 | 1.2 | 0 |
| 83-68 | 2.8 | 25 | 3.0 | 29 | 2.3 | 8 | 3.8 | 46 | 0.3 | 13 | 0.5 | 8 |
| 83-72 | 2.1 | 0 | 1.9 | 0 | 2.0 | 0 | 2.8 | 0 | 0.0 | 0 | 0.0 | 0 |
| 83-73 | 1.8 | 0 | 1.9 | 0 | 2.6 | 0 | 3.8 | 17 | 0.5 | 0 | 0.8 | 4 |
| 83-76 | 2.3 | 4 | 2.4 | 0 | 2.2 | 17 | 3.8 | 37 | 0.1 | 13 | 0.9 | 13 |
| Tufts OP | 3.7 | 45 | 3.5 | 45 | 4.3 | 59 | 5.0 | 68 | 1.2 | 27 | 1.1 | 23 |
LSD = 0.90, \(P = 0.05\)
Mean 2.5 b\(^z\) 2.4 b 2.6 b 3.6 a 0.3 d 0.6 c
\(^a\)Disease severity rating scale: 0 = no symptoms to 6 = plant dead.
\(^b\)Inoculated 8 to 14 wk after the first true-leaf stage with a suspension of \(1.5 \times 10^6\) conidia per milliliter.
\(^c\)Controls treated with sterile, distilled water.
\(^d\)Average disease severity rating of four replications with six plants per replication for each seedling population-treatment combination; rated 30 days after inoculation.
\(^e\)Percentage of plants that were dead 50 days after inoculation.
\(^f\)Means followed by the same letter within a row are not significantly different according to Waller-Duncan, \(k = 100\).
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**Table 7.** Mean disease severity ratings\(^a\) after 30 days and number of plants dead 50 days after crown injection\(^b\) of four plants of seven strawberry cultivars and lines with conidial suspensions from six *Colletotrichum fragariae* isolates
| Isolate | Rosanne | Tangi | MSUS 27 | Tenn. Beauty | Cardinal | MSUS 70 | MSUS 42 |
|---------|---------|-------|---------|--------------|----------|---------|---------|
| | DSR | Dead | DSR | Dead | DSR | Dead | DSR | Dead | DSR | Dead | DSR | Dead |
| CG-164 | 4.8\(^c\) | 2 | 6.0 | 4 | 6.0 | 4 | 3.3 | 1 | 4.0 | 3 | 4.3 | 2 |
| CF-card | 6.0 | 4 | 4.8 | 3 | 5.8 | 4 | 5.3 | 3 | 2.8 | 1 | 3.5 | 0 |
| CG-163 | 5.3 | 4 | 5.5 | 4 | 5.3 | 3 | 4.0 | 2 | 5.3 | 4 | 4.8 | 2 |
| Fla-2 | 6.0 | 4 | 5.5 | 3 | 5.5 | 3 | 4.3 | 3 | 4.0 | 2 | 2.8 | 0 |
| CF-63 | 6.0 | 4 | 5.5 | 4 | 4.3 | 2 | 3.3 | 2 | 4.8 | 3 | 3.8 | 2 |
| CF-1 | 6.0 | 4 | 6.0 | 4 | 3.5 | 1 | 5.0 | 3 | 4.0 | 2 | 3.5 | 1 |
| Mean | 5.7 | 3.7 | 5.5 | 3.7 | 5.1 | 2.8 | 4.6 | 2.8 | 4.4 | 2.5 | 3.6 | 1.5 |
| Water\(^d\) | 0.0 | 0 | 0.8 | 0 | 0.3 | 0 | 0.8 | 0 | 2.0 | 0 | 0.0 | 0 |
\(^a\)Disease severity rating (DSR) scale: 0 = no symptoms to 6 = plant dead.
\(^b\)Inoculated by injecting 0.2 ml of a suspension of \(1.5 \times 10^6\) conidia per milliliter into crown of mature plants.
\(^c\)LSD (\(P = 0.05\)) of DSR within cultivar-isolate means = 1.98 for crown injected plants.
\(^d\)Plants injected with sterile, distilled water.
plant spray plus crown drops) resulted in DSRs that were not significantly different. The distal petiole spray prevented inoculum from entering the crown while the plant spray plus crown drops deliberately introduced inoculum into the crown. The lack of differences in the DSRs of these two methods indicates that it is not necessary to prevent inoculum from entering the crown of test plants. While any of these three methods could be used to evaluate plant response to the petiole phase and, to a limited extent, to the crown rot phase of anthracnose crown rot, the plant spray method is the easiest to use and is as reliable as the other two.
One of our primary objectives was to identify plants resistant to the crown rot phase of anthracnose crown rot. Therefore, it appeared necessary to use an inoculation method that introduces the inoculum into the crown of the plant. To do this, the plant spray plus crown injection and the crown injection methods were used. The seedling populations and clones chosen were derived from clones previously designated anthracnose crown rot-resistant based on field observations and/or greenhouse spray-inoculation tests. A high level of resistance to the crown rot phase of the disease was demonstrated by the survival of many or all of the plants of several seedling populations and two clones following crown injection with conidia from several individual *C. fragariae* isolates (Tables 6 and 7). The crown-injected plants had DSRs higher than spray inoculated plants when the same fungal isolates were compared. But, when adjustments were made to the disease response ranges to reflect the severity of the inoculation methods, most cultivars and seedling populations responded similarly. The original and adjusted DSR ranges are as follows for after the plant spray inoculation: DSR $\leq 2 =$ resistant, $2.1–3.9 =$ intermediate, and $\geq 4 =$ susceptible. The DSR ranges for after crown injection are: DSR $\leq 3.5 =$ resistant, $3.6–4.4 =$ intermediate, $\geq 4.5 =$ susceptible.
The results of this research show that inoculum entering the strawberry crown even by injection does not overcome high levels of resistance to anthracnose crown rot. In fact, crown injection may be the best inoculation method to use when screening advanced resistant selections, because this rigorous method kills the less resistant plants. This method also guards against the potential selection of plants that may have petiole resistance but not crown resistance. Clones resistant to crown infection in this study also were resistant to the petiole phase. The DSR scale used in these studies is based primarily on petiole response and was used to provide a direct comparison of disease response of plants inoculated by the various methods. This DSR scale is not recommended for use in general practice to evaluate plants inoculated by crown injection. A simple “alive” or “dead” rating made 50 days after inoculation would be a better rating scale for crown-injected plants.
To identify strawberry plants resistant to the crown rot phase of anthracnose crown rot, a plant spray inoculation is recommended as a preliminary screening of large populations to determine the overall reaction. Individual plants found resistant by the plant spray inoculation should be further challenged by crown injection of inoculum. Plants still alive 50 days after crown injection may be considered resistant. Based on previous studies (12), plants should be incubated in a dew or moist chamber for 48 hr at 32–35 C and then maintained in a greenhouse at 32 C following inoculation by either method for best disease development. Seedling populations to be screened should be at least 14 wk old at the time of inoculation to reliably assess mature plant resistance.
**ACKNOWLEDGMENT**
We thank D. L. Boykin for assistance with the statistical analyses.
**LITERATURE CITED**
1. Brooks, A. N. 1931. Anthracnose of strawberry caused by *Colletotrichum fragariae*, n. sp. Phytopathology 21:739-744.
2. Brooks, A. N. 1932. A study of strawberry wilt or crown rot. Pages 144-145 in: Fla. Agric. Exp. Stn. Annu. Rep.
3. Delp, B. R., and Milholland, R. D. 1980. Evaluating strawberry plants for resistance to *Colletotrichum fragariae*. Plant Dis. 64:1071-1073.
4. Delp, B. R., and Milholland, R. D. 1981. Susceptibility of strawberry cultivars and related species to *Colletotrichum fragariae*. Plant Dis. 65:421-423.
5. Helwig, J. T., and Council, K. A. 1979. SAS Users Guide. SAS Institute, Raleigh, NC. 494 pp.
6. Horn, N. L., Burnside, K. R., and Carver, R. B. 1972. Control of the crown rot phase of strawberry anthracnose through sanitation, breeding for resistance, and benomyl. Plant Dis. Rep. 56:515-519.
7. Horn, N. L., and Carver, R. G. 1963. A new crown rot of strawberry plants caused by *Colletotrichum fragariae*. Phytopathology 53:768-770.
8. Howard, C. M. 1972. A strawberry fruit rot caused by *Colletotrichum fragariae*. Phytopathology 62:600-602.
9. Howard, C. M., and Albregts, E. E. 1983. Black leaf spot phase of strawberry anthracnose caused by *Colletotrichum gloeosporioides* (=*C. fragariae*). Plant Dis. 67:1144-1146.
10. Howard, C. M., and Albregts, E. E. 1984. Anthracnose. Pages 85-87 in: Compendium of Strawberry Diseases, J. L. Maas, ed. American Phytopathological Society, St. Paul, MN.
11. Maas, J. L., ed. 1984. Compendium of Strawberry Diseases. American Phytopathological Society, St. Paul, MN. 138 pp.
12. Smith, B. J., and Black, L. L. 1987. Resistance of strawberry plants to *Colletotrichum fragariae* affected by environmental conditions. Plant Dis. 71:834-837.
13. Smith, B. J., and Black, L. L. 1990. Morphological, cultural, and pathogenic variation among *Colletotrichum* species isolated from strawberry. Plant Dis. 74:69-76.
14. Smith, B. J., and Spiers, J. M. 1982. Evaluating techniques for screening strawberry seedlings for resistance to *Colletotrichum fragariae*. Plant Dis. 66:559-561. |
A PSYCHOBIOLOGICAL STUDY OF RHESUS MONKEYS EXPOSED TO EXTREMELY LOW FREQUENCY-LOW INTENSITY MAGNETIC FIELDS
John de Lorge
Naval Aerospace Medical Research Laboratory
Pensacola, Florida
16 May 1974
DISTRIBUTED BY:
NTIS
National Technical Information Service
U. S. DEPARTMENT OF COMMERCE
A Psychobiological Study of Rhesus Monkeys Exposed to Extremely Low Frequency-Low Intensity Magnetic Fields
Approved for public release; distribution unlimited.
Four rhesus monkeys were exposed to magnetic fields between 8.2 and $9.3 \times 10^{-4}$ T alternating at 45 Hz and 15 Hz in a series of four studies. Associated electric fields were minimal. The monkeys displayed no reliable changes in performance analogous to timing behavior, nor were there indications that the animals could detect the fields. No consistent hematological changes were found to relate to the fields.
| KEY WORDS | LINK A | LINK B | LINK C |
|---------------------------|--------|--------|--------|
| Magnetic fields | | | |
| Nonionizing radiation | | | |
| Extremely low frequency | | | |
| Operant behavior | | | |
| Blood chemistry | | | |
| Rhesus monkeys | | | |
A PSYCHOBIOLOGICAL STUDY OF RHESUS MONKEYS EXPOSED TO EXTREMELY LOW FREQUENCY-LOW INTENSITY MAGNETIC FIELDS
John de Lorge
Bureau of Medicine and Surgery
MF51.524.015-0014BX7X
Approved by
Ashton Graybiel, M.D.
Assistant for Scientific Programs
Released by
Captain N. W. Allebach, MC USN
Officer in Charge
16 May 1974
Naval Aerospace Medical Research Laboratory
Naval Aerospace Medical Institute
Naval Aerospace and Regional Medical Center
Pensacola, Florida 32512
SUMMARY PAGE
THE PROBLEM
Communications systems have been shown to produce extremely low frequency (ELF) nonionizing radiation at low intensities. Several studies indicate that radiation within these ranges might have biological effects. The present study contained a number of experiments designed to reveal various behavioral and biochemical changes potentially induced by ELF magnetic fields.
FINDINGS
Magnetic fields between 8.2 and $9.3 \times 10^{-4}$ T alternating at 45 or 15 Hz had no consistent effects on operant behavior in four rhesus monkeys. No hematological changes were found to relate to the presence or absence of the fields although such changes were related to food deprivation.
ACKNOWLEDGMENTS
Appreciation is extended to the Veterinary Sciences Division for their laboratory analyses and to Electronics Services of NAMRL for their assistance in this study. The author is especially thankful to Mr. C. Ezell for maintaining the experiment and to Ms. B. Boss for her daily devotion to the data.
INTRODUCTION
Many heretofore unsuspected biophysical agents have been discovered in contemporary investigations of environmental influences on plants and animals. Among these agents is nonionizing radiation. Such radiation includes electromagnetic fields generated by local climatic or geological conditions and fields produced by high tension power lines. Low intensity fields are also associated with many household appliances and conveniences. Although the majority of studies have been concerned with higher frequency electromagnetic fields such as in the microwave region (300 - 300,000 MHz), the present study was particularly interested in low intensity, extremely low frequency (ELF) magnetic fields below 300 Hz.
The literature on the biological influence of magnetic fields was extensively reviewed by Barnothy (1) and Presman (12), these reviews illustrate that very little research has been conducted with low intensity ELF magnetic fields. However, since these reports, a plethora of investigations concerned with low intensity ELF magnetic and electric fields has emerged. Contemporary research in the area is especially concerned with frequencies associated with communications and power-generating facilities although a number of investigators are also exploring the relationship between geomagnetic/climatic phenomena and biological effects. (See Persinger et al. [10] for a review of recent ELF research.) Because of the difficulty in separating magnetic and electric fields, many of the recent studies do not differentiate between the two. In addition, whereas earlier research with animals concentrated on broad measures such as general motor activity, current work tends to obtain data on specialized behavior such as reaction time and conditioned responses.
In their review of recent work, Persinger et al. (10) conclude, among other things, that ELF electromagnetic research has shown effects in timing behavior and oxygen uptake. However, investigators in our laboratory failed to discover any reliable behavioral influences of ELF fields (3, 4, 5, 8, 9) although there were indications of increases in serum triglycerides in man after one day of exposure to a low intensity ELF magnetic field (2). The present study was designed to explore the purported changes in time-dependent behavior and blood chemistry using rhesus monkeys as subjects.
METHOD
SUBJECTS
Four rhesus monkeys (Macaca mulatta) previously used in similar experiments (4, 5) were the subjects. 3Z5 and 4Z7 were 7 and 5-year old females respectively; AP6 and AR4 were males and approximately 8 years old at the start of experiment 1. The animals were on ad libitum feeding in their home cages for at least 3 months prior to the present study.
APPARATUS
The apparatus, essentially the same as reported in previous studies (4, 5) but located in a different building, consisted of two conventional operant animal boxes each surrounded by a pair of large Helmholtz coils aligned in a north-south direction with the X-axis oriented east-west. The boxes were partially shielded from the coils by standard aluminum window screening connected to an earth ground. The room in which the boxes were located had a static geomagnetic field of approximately $0.4 \times 10^{-4}$ T in a northerly direction with an inclination of about 55° below the horizon. Magnetic (B) field measurements were obtained with a Bell 620 gaussmeter. When the coils were energized, relatively homogeneous alternating magnetic fields were produced in the boxes. Table I shows the magnetic flux density, expressed in teslas, in the two boxes under various experimental conditions. Although most B-field measurements were generally obtained at 15 different points within the animal boxes, the B-fields of experiment 2C were measured directly in front of the animal's work panel during a 1-second energization of the coils. B-field differences between experiments 1 and 2A were due to unavoidable changes in the apparatus supplying power for the coils.
Table I
Magnetic Flux Density in Animal Boxes Under Different Experimental Conditions
| Experiment | Hz | Box 1 | Box 2 |
|------------|----|-------|-------|
| 1 | 45 | 9.2 ± 0.53 | 9.3 ± 0.50 |
| 2A | 45 | 8.4 ± 0.56 | 8.4 ± 0.61 |
| 2B | 15 | 9.2 ± 0.61 | 9.0 ± 0.73 |
| 2C | 45 | 8.2 | 8.2 |
As shown in Table II, the electric (E) field strength measured in the center of the boxes was less than 1.2 V/m regardless of whether the coils were energized during experiment 1. The frequency of the E-fields was 60 Hz when the B-field was off. E-fields
were not measured at 15 Hz. Electric field measurements were made with a probe constructed by NAMRL Electronic Services Division.
Table II
Electric Field Strength in Animal Boxes With and Without the 45-Hz Magnetic Field
| Box | B-Field Condition | E-Field (V/m) |
|-----|------------------|---------------|
| | | Axis |
| | | X | Y | Z |
| 1 | off | 1.0 | < 0.4 | < 0.4 |
| | on | 1.2 | 1.00 | 0.5 |
| 2 | off | 1.0 | < 0.44 | < 0.44 |
| | on | 1.2 | 0.90 | 0.90 |
Room temperature, humidity, and barometric pressure were recorded continuously. Temperature of air leaving the boxes was also continuously recorded. Masking of extraneous noises and vibrations was partially accomplished by a 75-dB white noise within each box and by mounting the boxes on rubber vibration isolators. The boxes were not in physical contact with the surrounding coils, yet, even with this isolation a slight vibration of approximately 1.5 dB (SPL) occurred in the boxes when the field was turned on.
PROCEDURE
Blood Chemistry
Prior to partial food deprivation in preparation for experiment 1, blood samples were drawn and a number of laboratory tests were conducted. The samples were obtained in the following manner. All food was removed from the animals at 1600 hours on the day preceding sampling. The following day at approximately 0900 the animals were given 0.65 mg/lb of Thorazine intramuscularly in the thigh, and approximately 20 minutes
later 10 cc of blood were drawn from the femoral vein. Two months later, when the animals were at approximately 90% of their ad libitum weights, blood was drawn again. The latter samples were obtained at 1300 after all animals had finished their daily experimental session. Again, 0.65 mg/lb of Thorazine was administered and only 5 cc of blood were drawn from the femoral vein. Samples were obtained biweekly during an 8-week period while the animals were at their 90% body weights (one animal was sampled at a much lower weight). Two weeks after the fourth sample under deprived feeding conditions, another sample was obtained in the same manner as the original sample while the animals were in their home cages under ad libitum feeding conditions. The animals remained on ad libitum feeding in their home cages for 16 additional days to establish new baseline body weights after which they were again partially deprived of food. On the eighteenth day of deprivation and every seventh day thereafter (experiments 2A and 2B), a series of blood samples was again obtained following the same procedure as in experiment 1 under deprived conditions. Six samples were drawn during the final series.
**Behavior**
**Experiment 1.** The subjects had previously learned to operate the manipulanda in the boxes to obtain food and water (4, 5). All subjects were now trained to work two different and separate tasks—an interresponse-time (IRT) schedule and a fixed ratio (FR) schedule. The reinforcer for appropriate responses was an 0.86 gm Purina Monkey Chow Tablet or 2.0 ml of water. (Water was later omitted from experiment 1 and subsequent experiments because the animals never took water when it was available). A supplemental portion (1/4) of an apple or an orange was given following an experimental session and food tablets were given in the home cages during the weekends. Weekend feeding varied in an attempt to maintain 90% body weights. One animal (4Z7) gradually decreased her body weight until it was maintained at approximately 71% of ad libitum weight during the last month of the experiment.
The subjects were trained first on the IRT schedule. When a green light appeared above a lever on the front wall of the box, the animal was required to wait 5.0 seconds and then lift the lever. A lever lift before 5.0 seconds and after 6.0 seconds had elapsed produced no reinforcement and recycled the timer, thereby requiring another 5.0-second wait. The 5.0-second interresponse time was constant, but the limited hold following the 5.0 seconds was initially 30 seconds and was reduced gradually after 2 weeks of training to 1.0 second. Lever lifts between 5.0 and 6.0 seconds resulted in illumination of the food and water apertures and produced the opportunity to respond for food or water. A press response on the buttons beside the food and water apertures while they were illuminated produced a food tablet or water allotment.
Next, the subjects were trained to lift the same lever 10 times (FR 10) in the presence of the red light. The tenth lever response resulted in reinforcement availability. As the sessions progressed two subjects, 3Z5 and AP6, were required to lift the lever on an FR 20. Beginning with session 36 a correct response on either task produced reinforcement availability on 40% of the occasions. Following 50% of the correct responses,
only a brief (0.75 second) flash of the food and water lights was presented.
A 5-minute time out period during which neither task could be performed followed each 15-minute exposure to a task. Each task occurred three times during an experimental session, thereby producing sessions of 2 hours' duration. Sessions for one pair of animals began at approximately 0800 and for the other pair at approximately 1030. Experimental sessions occurred daily except weekends. Following an experimental session animals were removed from the chambers and returned to the colony room to await the next daily session. Most behavioral indices were stable and showed no consistent trends after 54 sessions, and the 45-Hz magnetic field was then imposed for 8 sessions. Following this exposure, 8 additional sessions occurred in the absence of the field resulting in 70 sessions for experiment 1.
Experiment 2A. The animals were on ad libitum feeding for 30 days following the first experiment and then placed on deprivation feeding for 6 days prior to starting the second experiment. No preliminary training was required, and the animals were placed on the IRT schedule for daily 2-hour sessions. The IRT schedule was in effect for 15 minutes followed by a 5-minute time out period as in experiment 1, but in this case no other tasks were programmed, and the IRT schedule occurred six times during a session. Correct interresponse times, between 5.0 and 6.0 seconds, were reinforced 30% of the time with food availability and 70% of the correct responses were reinforced by only the 0.75-second flash of the food and water lights.
Sessions occurred daily except weekends, and beginning with session 16 a 45-Hz magnetic field was introduced for five sessions. At session 21 the field was removed for five sessions.
Experiment 2B. All conditions were the same as in experiment 2A except that at session 26 a 15-Hz magnetic field was turned on for five sessions and, then, it too was removed for five additional sessions.
Experiment 2C. In this portion of the study conditions in sessions 36 and 40 were the same as in the preceding five sessions but, during sessions 37-39, the 1.0-second limited hold period between 5.0 and 6.0 seconds was associated with a 1.0-second actuation of the magnetic field. The coils for a particular box were individually energized dependent on an animal's behavior, and were not necessarily on simultaneously as in the earlier three experiments.
RESULTS AND DISCUSSION
Blood Chemistry
Blood was initially sampled on 8-31-73 under ad libitum feeding conditions and, at this time, analyzed for only a few constituents--triglycerides, creatine, hemoglobin, cholesterol, and SGOT. The data are shown in Figures 1, 2 and 3. The rationale for
Means and ranges of three serum determinations from the four rhesus monkeys. The solid circles represent values obtained after 5 days' exposure to the magnetic fields indicated with arrows at the top of the figure.
Figure 2
Additional means and ranges of serum determinations. BUN is blood urea nitrogen. Hemoglobin is represented on the right hand scale. Broken lines indicate more than a 14-day interval between samples. The animals were on free-feeding schedules during AD LIB and were on deprived schedules, as described in the text, during DEP.
Figure 3
Additional means and ranges of serum determinations. SGOT is serum glutamic oxaloacetic transaminase.
the various determinations was varied. Triglycerides have been previously found to increase following ELF exposure in man (2). However, in the present study triglycerides showed a decrease after 5 sessions' (10 hours) exposure and no significant changes during subsequent similar exposures as seen in Figure 1. Although the decrease was significant \((F = 3.62, p < .05, 3, 12 \text{ d.f.})\) if the data under exposed conditions (11-30) were compared with pre- and post-conditions (11-2, 11-16, 12-14), such significance did not occur when all deprived conditions throughout the entire study were compared. Figure 1 shows the mean and range of these determinations and the great variability of these measures. Since the data indicate that food deprivation leads to decreased amounts of triglycerides, it is quite probably that the large decrease was nothing more than a reaction to deprivation that reached a temporary minimum after 6 weeks (11-30) and recovered during the next 2 weeks. The last 6 weeks of data under deprived conditions, shown in Figure 1, tend to support this argument.
Other determinations were suggested in personal communications with Dr. Michael A. Persinger (Laurentian University). He obtained tentative results indicating that ELF fields could be used to drive a drug-induced, failing heart in the rat. Hence, a number of indications of myocardial infarction were obtained including creatine phosphokinase (CPK), cholesterol, lactic dehydrogenase (LDH), potassium, and serum glutamic oxaloacetic transaminase. Figures 1-7 show that none of these indices were related to the presence of the magnetic fields. There were some relationships between food deprivation and a few measures. For example, as body weight decreased so did SGOT. LDH tended to increase as body weight decreased. During the last 6 weeks, cholesterol decreased along with body weight in 325 and 427. CPK was at its highest level when the 45-Hz field was introduced the second time, and LDH reached high points when the second 45-Hz and 15-Hz fields were applied. None of these differences approached significance.
A few determinations were obtained because of the purported relationship between respiration, oxygen uptake and ELF electromagnetic fields. These were calcium, red cell count, hemoglobin and hematocrit (PVC). Figures 2, 3, 6 and 7 illustrate the lack of any influence of the magnetic fields.
The white cell differential count, WBC, monocytes, eosinophiles (Figure 4), polycytes, lymphocytes and bands (Figure 5) were obtained to indicate stress or general infectious disorders. Figures 4 and 5 also illustrate the absence of magnetic field effects on these determinations.
Finally, the other determinations in Figures 1, 2, 6 and 7 were obtained to provide a general indication of kidney and liver functions. None of these measures reflected a magnetic field effect on either kidney or liver. Summarizing the present findings in blood chemistry, no effects were consistently related to the presence of the magnetic fields. Other than the triglyceride result, which was only significant in an immediate comparison of the adjoining tests, there were trends that encourage the further measurement of LDH and CPK although neither of these were significantly influenced by the fields. Incidentally, the values reported fall within the range established on 12 rhesus monkeys in our laboratory.
Figure 4
Leucocytes (WBC) and proportions of the white cell differential count.
Figure 5
Additional values of the white cell differential count.
More serum determinations. RBC is the red blood cell count. SGPT is serum glutamic pyruvic transaminase.
More serum determinations. LDH is lactic dehydrogenase, CPK is creatine phosphokinase. PCV is packed cell volume or hematocrit.
Figure 7
Behavior
Experiment 1. Figure 8 illustrates FR behavioral data of all four animals during the final 22 sessions of the first experiment. The 45-Hz magnetic field was introduced during sessions 55-62. The top four graphs show the percentage body weight. Three subjects were maintained at approximately 90% while 4Z7 was maintained at approximately 71%. 4Z7 seldom worked at weights greater than this. As a matter of fact, 4Z7 was highly erratic in most of her behavior on both FR and IRT schedules but is included in the data to illustrate that, even with poorly performing animals, ELF magnetic fields have no obvious behavioral influence.
FR response rates were variable and, although AR4 and 3Z5 reached their highest rates during the presence of the fields, the mean rates were not significantly influenced by the fields. 3Z5 and AP6 were responding on FR 20 schedules, hence their rates were higher than those of 4Z7 and AR4 who were working on FR 10 schedules. All animals except 4Z7 tended to increase their response rates and decrease their pause time during the study. These changes are shown in the lower half of Figure 8. Pause time on the FR schedule was not related to the magnetic field nor was reinforcement time, as seen in the upper half of Figure 8. Reinforcement time tended to be the most stable data for all animals under all conditions.
Even though previous reports found differences in general motor activity due to magnetic fields (3, 11), no such effects were found in the present experiment, as seen in the upper portion of Figure 9.
IRT schedules, especially those with a limited hold, have more control over behavior than FR schedules. The lower three sets of graphs in Figure 9 illustrate this control. Time to obtain reinforcement and pauses after reinforcement were very stable and showed no relationship to the ELF field although pause time decreased throughout these sessions as on the FR schedule. The response rate was more variable, yet less so than under the FR schedule, and again no influence of the ELF field is seen. As expected on an IRT 5-second schedule, the pause time centered around 5 seconds and the response rate centered around 10-12 responses per minute. The fact that reinforcement time tended to be about 0.8 seconds is probably related to the 0.75-second light that occurred in the absence of food with 60% of the correct responses. That is, the animals probably attempted to respond on the food available button prior to the extinction of the brief light.
A finer analysis of IRT data entailed classifying various interresponse times into 1.0-second categories before, during and after the magnetic field was present. Figure 10 illustrates these IRT frequency distributions for all four animals. The off distribution was composed of data before and after field exposure. Each of these polygons was composed of more than 3000 interresponse times. The differences between on and off distributions for AP6 and 4Z7 were statistically highly significant (Kolmogorov-Smirnov test [14], p < .001) while the distribution differences for the other two animals were not. Because
Figure 8
Percentage body weight and FR data from experiment 1. Data obtained during malfunctions and when 4Z7 failed to work were omitted. The 48 sessions prior to behavioral stability were omitted. Reinforcement time refers to the mean latency to respond on the food lever when food became available. Pause time refers to the mean latency to make the first FR response after taking a food tablet. The broken vertical lines enclose sessions when the 45-Hz field was present. Where measures were disparate individual changes in ordinates were made.
Figure 9
General motor activity and IRT data from experiment 1. Animals are identified at the top of their respective graphs.
Interresponse time distributions of responses during the IRT schedule in experiment 1. Responses between 5 and 6 seconds on the abscissa were reinforced. Data during the field off (triangles) were collected from the four sessions before and four sessions after the field exposure. Data during field exposure were collected from the eight sessions when the 45-Hz magnetic field was activated.
of the inconsistencies in this data, the means of the IRT distributions from 6 sessions before, 8 sessions during, and 8 sessions after field exposure were statistically analyzed for differences. None of the four animals displayed significant changes as a result of field exposure (Mann Whitney U test) (14). Hence, while it is true, according to the distributions, that AP6 and 4Z7 shifted to faster IRT's in the presence of the fields, their mean IRT's did not change significantly. An examination of the daily IRT distributions of all animals, especially 4Z7 and AP6, failed to reveal any time course or other relationship between field exposure and shifts in IRT's.
Experiments 2A and 2B. Few sessions were needed to again obtain stable behavior when the animals were retrained for the rest of the experiments although the behavior of 4Z7 continued to deteriorate throughout the rest of the study. Figure 11 contains IRT data from experiments 2A, 2B and 2C for all four subjects. The two male monkeys maintained their body weights reasonably well at approximately 98%, while the two females, 4Z7 and 3Z5, gradually decreased from 95 to 72% of their ad libitum weights. These changes are shown in the upper portion of Figure 11. The graphs in the adjoining portion show the percentage of IRT responses falling in the 5- to 6-second category (correct responses). No consistent or significant changes in correct responses as a result of 45- or 15-Hz fields were found. Except for the data of 4Z7 the other measures, reinforcement time, pause time, and response rate, were very stable. And although 4Z7 occasionally produced extreme scores in the presence of the magnetic fields along with increases in mean pause time (0.03 second at 45 Hz, 1.85 second at 15 Hz), it is certain that this behavior was not related to the fields. 4Z7 was just a highly variable animal in her behavior. The other three subjects produced slight reductions in mean pause time (0.09 to 0.23 second) during the 45-Hz field while one animal increased mean pause time during the 15-Hz field (0.10 second) and the other two animals decreased their mean pause time during the 15-Hz field (0.19 and 0.04 second). None of these changes were statistically significant. General activity was on the same order as previously seen and, although not illustrated, was also not influenced by the magnetic fields.
One interesting phenomenon seen in Figure 11 occurred with response rate. Overall response rate tended to be lowest at the first and last sessions of the week. The cyclicity is especially evident in the data of AR4 and 4Z7 although the other monkeys behaved similarly.
IRT distributions during the 45-Hz and 15-Hz magnetic field exposures are shown in Figures 12 and 13 respectively. Although these polygons are almost duplicates, in each case minor differences for some of the animals were statistically significant (N in each single polygon was more than 4000). For example, in Figure 12 the distributions of field on versus field off for AR4, 3Z5, and AP6 were significantly different (Kolmogorov-Smirnov test, p < .001) while the data of 4Z7 were not. These differences were in the direction of faster interresponse times. On the other hand, the distributions obtained during the 15-Hz field exposure as seen in Figure 13 illustrate significantly faster responding with 3Z5 (p < .05), significantly slower responding with AP6 (p < .001) and no significant differences with the other two monkeys. Again, these inconsistencies required
Figure 11. Percent body weight and IRT data from experiments 2A, 2B and 2C. The first 10 sessions' data were omitted. The ordinates for the graphs of A/L reflect her poorer performance. Correct responses occurred between 5 and 6 seconds. Broken vertical lines enclose data during field exposure in experiments 2A (45 Hz), 2B (15 Hz) and 2C (1 second 45 Hz).
Interresponse time distributions during (circles) and before and after (triangles) exposure to a 45-Hz field in experiment 2A. Data were obtained from the 5 sessions during field exposure and 2 sessions prior to combined with 3 sessions immediately following field exposure.
Interresponse time distributions from experiment 2B in which the animals were exposed for 5 days to a 15-Hz magnetic field. The off data were obtained from 2 sessions prior to and 3 sessions following exposure to the magnetic field.
that other measures be examined. The mean IRT's of the five days preceding and following 45-Hz field exposure were compared with the mean IRT's during exposure for each animal individually and as a group and no statistically significant differences were obtained (Mann Whitney U test). The 15-Hz field data were similarly examined and no significant differences were found.
Experiment 2C. If the 45-Hz magnetic field were detectable between 5.0 and 6.0 seconds, the monkeys would be expected to use this cue and increase the relative number of correct responses. Three monkeys slightly increase their mean percentage of correct responses when the field was activated between 5.0 and 6.0 seconds (2.1 to 0.3%) while AP6 decreased his mean correct responses at this time (-1.0%). Overall these differences were not significant (t < 1). Figure 11 illustrates these differences. It is also evident that correct responses were not at their highest levels at this time in any animal. Figure 14 provides a better illustration of these changes. AP6 and 3Z5 had almost identical distributions with and without the 1.0-second field, whereas the other two showed slight increases during the fifth to sixth second. Actually, AP6 had significantly faster IRT's and 3Z5 and 4Z7 had significantly slower IRT's during the sessions with the field (Kolmogorov-Smirnov test, p < .001). The IRT distributions of AR4 were not statistically different.
CONCLUSIONS
While it is apparent that the ELF magnetic fields used in the present study had no large or consistent biological influences on the four monkeys, some changes were observed. These changes did not recur when the fields were reintroduced; for example, serum triglycerides were not reduced when the animals were exposed the second time to the 45-Hz field. Behavioral changes also failed to consistently occur within an animal; for example, AR4, 3Z5 and 4Z7 had faster IRT's under one 45-Hz exposure but not the other. AP6 responded faster under both 45-Hz exposures but slower during the 15-Hz exposure. Concurrently, more traditional measures such as the mean interresponse time failed to reveal these differences. IRT distributions were analyzed because a previous study that employed monkeys on an IRT schedule with a limited hold, utilized a similar analysis and found significant effects of 7-Hz electric fields (7). While the statistical assumptions regarding normality, its violations, and the use of the t test for assessing differences in percentage polygons (IRT distributions) might lead one to debate the analysis in the previous study (7), differences in the mean IRT's were large in most cases (0.36 to 4.46 seconds). Such large differences were not found in the present study as a result of magnetic field exposure although shifts towards faster responding were observed.
The present findings might be chance phenomena, an assumption supported by the inconsistencies between animals and experiments, or they might be due to a misinterpretation because of the particular statistical analysis (polygon comparisons with very large N's). In either case the differences were not impressive or long lasting. Friedman et al. (6) report the transient nature of magnetic field exposure (low intensity-static fields) and assume that their animals (squirrel monkeys) adapted to the presence of the fields. A
Interresponse time distributions from experiment 2C. Field on data were averaged over sessions 37, 38 and 39 when a 1.0-second activation of the 45-Hz field accompanied the correct response interval between 5 and 6 seconds. Field off data were averaged over sessions 36 and 40.
session-by-session review of the present data failed to reveal any initiating effects of the fields and there was no evidence that any of the animals adapted to the field. The present subjects had extensive histories of magnetic field exposure, and it is possible that adaptation had previously occurred.
The ephemeral nature of low intensity-low frequency magnetic field effects might be due to lack of experimental control. Schmitt and Tucker (13) observed that man becomes increasingly less capable of perceiving magnetic fields (60 Hz, low intensity) as the control of extraneous variables is improved. In a series of experiments, where isolation of the subjects was increased from one study to the next, they eventually observed that perception of magnetic fields occurred at a chance level. Perhaps the small changes seen in the present study would not have occurred had the boxes been completely isolated from the vibration accompanying the fields.
Finally, this investigator believes that the magnetic fields do not affect the behavior of rhesus monkeys, as presently measured, to any practical extent, but this does not preclude the possibility that an individual animal may be capable of detecting or being influenced by either the magnetic field or artifacts contiguous with that field.
REFERENCES
1. Barnathy, M. F., *Biological Effects of Magnetic Fields*, Volume 2. New York: Plenum Press, 1969.
2. Beischer, D. E., Grissett, J. D., and Mitchell, R. E., Exposure of man to magnetic fields alternating at extremely low frequency. NAMRL-1180. Pensacola, Fla.: Naval Aerospace Medical Research Laboratory, 1973.
3. de Lorge, J., Operant behavior of rhesus monkeys in the presence of extremely low frequency-low intensity magnetic and electric fields: Experiment 1. NAMRL-1155. Pensacola, Fla.: Naval Aerospace Medical Research Laboratory, 1972.
4. de Lorge, J., Operant behavior of rhesus monkeys in the presence of extremely low frequency-low intensity magnetic and electric fields: Experiment 2. NAMRL-1179. Pensacola, Fla.: Naval Aerospace Medical Research Laboratory, 1973.
5. de Lorge, J., Operant behavior of rhesus monkeys in the presence of extremely low frequency-low intensity magnetic and electric fields: Experiment 3. NAMRL-1196. Pensacola, Fla.: Naval Aerospace Medical Research Laboratory, 1973.
6. Friedman, H., and Carey, R. J., Biomagnetic stressor effects in primates. *Physiol. and Behav.*, 9:171-173, 1972.
7. Gavalas, R. J., Walter, D. O., Hamer, J., and Adey, W. R., Effect of low-level, low-frequency electric fields on EEG and behavior in *Macaca nemestrina*. *Brain Res.*, 18:491-501, 1970.
8. Grissett, J. D., Exposure of squirrel monkeys for long periods to extremely low-frequency magnetic fields: Central-Nervous-System effects as measured by reaction time. NAMRL-1146. Pensacola, Fla.: Naval Aerospace Medical Research Laboratory, 1971.
9. Grissett, J. D., and de Lorge, J., Central-Nervous-System effects as measured by reaction time in squirrel monkeys exposed for short periods to extremely low-frequency magnetic fields. NAMRL-1157. Pensacola, Fla.: Naval Aerospace Medical Research Laboratory, 1971.
10. Persinger, M. A., Ludwig, H. W., and Ossenkopp, K-P., Psychophysiological effects of extremely low frequency electromagnetic fields: A review. *Percep. and Motor Skills*, 36:1131-1159, 1973.
11. Persinger, M. A., Persinger, M. A., Ossenkopp, K-P, and Glavin, G. B., Behavioral changes in adult rats exposed to ELF magnetic fields. *Int. J. Biometeor.*, 16:155-162, 1972.
12. Presman, A. S. *Electromagnetic Fields and Life*. New York: Plenum Press, 1970.
13. Schmitt, O. H., and Tucker, R. D., Human perception of moderate strength low frequency fields. Washington, D.C.: International Magnetics Conference, sponsored by Magnetics Society, IEEE, April, 1973. Pp. 65-70.
14. Siegel, S., *Nonparametric Statistics for the Behavioral Sciences*. New York: McGraw-Hill, 1956. |
Dynamics of Highway Guardrails: Laboratory Experiments (II)
ROBERT S. AYRE and MILTON A. HILGER
Structural Dynamics Laboratory, Civil Engineering Department,
The John Hopkins University, Baltimore 18, Maryland
This is the third report in a series dealing with small-scale model experiments on the effect of vehicle impact against guardrails. The variables include vehicle impact speed and direction, impact location, initial static tension in the cable, post spacing, and coefficient of sliding friction between wheels and ground. Additional variables introduced into this phase of the investigation include yielding of the post foundations, yielding of the end anchorage, use of a “tension spring” in series with the cable, and use of elastic supports between the cable and the posts. Among the recorded quantities are maximum dynamic cable tension, speed and direction of the vehicle after impact, and post displacement. A correlation has been made between the kinetic energy lost by the vehicle as a result of the impact, and the work done by the frictional forces, by the displacement of the posts, and by the displacement of the end anchorage. A limited investigation of beam-type guardrails has been included. All of the results are presented in terms of full-scale values. General conclusions have been drawn.
● THIS is the third report in a series on the scale model investigation of the dynamics of vehicle impact against highway guardrails. The first report (1) discusses the basic ideas underlying the investigation and includes the model analysis, the model to prototype scaling relationships, a general description of the experimental methods, and the bibliography. The second report (2) describes the revised form of the laboratory apparatus and discusses the results of the first group of tests on cable-type guardrail supported by “rigid” posts, including the effects of varying the coefficient of transverse sliding friction between the wheels and the ground.
This report includes the following:
(a) principal symbols and constants;
(b) general conclusions for the entire series of investigations;
(c) a list of recommendations based on the results and on general observation of the model tests;
(d) some suggestions for full-scale experimentation and collection of information from actual field conditions;
(e) a tabulated index of the test conditions and results;
(f) graphs of the detailed results of the second group of tests showing the effects of yielding of the end anchorage and of the posts, the use of cable tension springs and of elastic cable offset brackets, and a limited comparison of beam-type and cable-type guardrails;
(g) details of the experimental apparatus;
(h) suggestions for further application of small-scale model tests.
A complete final report (3) covering the first two reports, this report [excepting parts (c), (d), and (h) listed above], and many details of the experimental methods not otherwise published, has been prepared for limited distribution.
PRINCIPAL SYMBOLS AND CONSTANTS
The basic characteristics of the prototype are as follows:
Vehicle
“Design” vehicle shown by E. R. Ricker (4), overall length 216 inches, overall width
76 inches, wheel base 127 inches, assumed weight, 4000 pounds.
**Cable-Type Guardrail**
Three \( \frac{3}{4} \) inch-parallel steel cables, 135 feet long.
- \( V_i = \) Initial velocity of vehicle;
- \( V_f = \) Final velocity of vehicle;
- \( \alpha = \) Initial angle of impact;
- \( \beta = \) Final angle of impact;
- \( d = \) Post spacing;
- \( d_i = \) Distance of impact point from post ahead;
- \( T_0 = \) Initial cable tension;
- \( T_{\text{MAX}} = \) Maximum cable tension during impact.
**Beam-Type Guardrail**
Continuous steel beam having properties similar to an "average" of the guardrail beams of several manufacturers. Further details have been given in Table 1.
Diagrams showing the geometry of the vehicle impact path, the meanings of the symbols, and the main variations in the cable-type guardrail model will be found in Figures 1 and 2.
**GENERAL CONCLUSIONS FOR THE ENTIRE SERIES OF INVESTIGATIONS**
In evaluating the results it should be kept in mind that the purpose of the investigation has been to determine the general pattern of response of the vehicle and guardrail for a wide range of variables. This has been done by carrying out six series of tests, each series comparing, in a systematic manner, the effects of variation in a particular parameter or group of parameters.
Many compromises have been made in the construction of the model, including the use of a mechanical device, rather than soil, to allow movement of the posts and end anchor; the representation of the ground surface as a smooth, non-deforming material in a horizontal plane; the representation of the vehicle as a free-running rigid body mounted without springs on fixed-direction wheels; and the complete omission of the effect of human driver reaction.
In full-scale testing it is necessary to make compromises also, mainly in the great reduction of the allowable number of tests. Furthermore, in full-scale testing the number of parameters is often so large that it becomes very difficult to control the tests and to relate cause to effect.
In the ideal combination of full-scale field—and model-scale laboratory—experimentation the relatively inexpensive and easily controlled model tests are used to determine the general pattern of response, while the field tests are employed to check selected portions of the model tests, thus tying the latter to reality, and to investigate the variation of the parameters that cannot well be included in the model testing.
The model test conditions and results have been indexed in Table 1. The first five series relate to cable-type guardrail, the first four
| "Rail" | Offset Brackets | Tension Spring | End Anchor | Post Settling | Ground Friction Coefficient, $\mu$ | Total Initial Cable Tension, $T_0$, lbs. | Impact Location, $d$, ft. | Impact Angle, $\alpha$, degrees | Plotted Results | Fig. No. | Test Series |
|--------|-----------------|----------------|------------|---------------|-------------------------------------|------------------------------------------|-----------------|-----------------|----------------|---------|-------------|
| None | 3½-inch steel cables, 155 feet long | None | Rigid | Rigid | 0.33 | Shock* to 12,000 | 16, 24 | 15, 31 | $(T_{\text{max}} - T_0)$ vs. $V_g$
$\beta$ vs. $V_g$
$\beta$ vs. $\alpha$ | See ref. (2) | 1 |
| | | | | | 0.18, 0.33, 0.70 | Shock* to 12,000 | 24 | 10 to 40 | 15, 22, 5, 30 | $(T_{\text{max}} - T_0)$ vs. $V_g$
$\beta$ vs. $V_g$
$\beta$ vs. $\alpha$ | See ref. (2) | 2 |
| | | | | | 0.18 | 0 to 12,000 | 15 | 15 | $(T_{\text{max}} - T_0)$ vs. $V_g$
$\beta$ vs. $V_g$
$\beta$ vs. $\alpha$ | See ref. (2) | 3 |
| With and without yielding | Rigid and yielding | Rigid and yielding | Rigid and yielding | Rigid and yielding | 0.33 | 8000 | 24 | 3/4 | 15, 22, 5, 30 | $(T_{\text{max}} - T_0)$ vs. $V_g$
$\beta$ vs. $V_g$
Energy loss vs. $V_g$ | 3 | 4 |
| None | Rigid to "very yielding" | Rigid to "very yielding" | Rigid to "very yielding" | Rigid to "very yielding" | 0.33 | 8000 | 24 | 3/4 | 15, 22, 5, 30 | $(T_{\text{max}} - T_0)$ vs. $V_g$
$\beta$ vs. $V_g$
$\beta$ vs. $\alpha$ | 9 | 6 |
| With and without | None | Rigid | Rigid | Rigid | 0.33 | 8000 | 24 | 3/4 | 15, 22, 5, 30 | $(T_{\text{max}} - T_0)$ vs. $V_g$
$\beta$ vs. $V_g$
$\beta$ vs. $\alpha$ | See ref. (3) | 5 |
| Steel beam | None | — | — | — | 0.33 | — | 12.5 | 3/4 | 15, 22, 5, 30 | $V_f$ vs. $V_g$
$\beta$ vs. $V_g$
$\beta$ vs. $\alpha$ | 10 | 6 |
* Shock, 0, 8000, 8000 and 12,000-pound total initial cable tension. Initial tension in each cable is $T_0/2$.
† Five different systems tested. See Figure 2.
being without offset brackets, and the first two without tension springs and with rigid anchors and posts. The parameters varied in each series were as follows, other than impact angle and impact speed $V_0$ which were varied in all series:
1. Initial cable tension, post spacing, impact location.
2. Coefficient of transverse sliding friction between wheels and ground surface; initial cable tension.
3. Various combinations of guardrail components, including tension spring, yielding anchor, and yielding posts.
4. Yield point of post foundation ("soil").
5. Use of elastic offset brackets.
6. Comparison of beam-type and cable-type guardrails.
The graphs of results generally show the maximum dynamic increment of total cable tension ($T_{\text{max}} - T_0$), the final speed $V_f$, and the reflection angle $\beta$ of the vehicle path, plotted against the impact speed $V_0$.
**Cable-Type Guardrail—Conclusions**
Maximum cable tension and final speed of the vehicle are considerably more predictable in magnitude than the reflection angle of the vehicle path.
**Impact Speed.** Maximum dynamic increment of cable tension and final speed of the vehicle both tend to increase approximately linearly with increase in the impact speed of the vehicle. The reflection angle generally increases when the impact speed is increased, although under some conditions it may decrease with further increase of the impact speed.
**Impact Angle.** Maximum dynamic increment of cable tension increases non-linearly as the impact angle is increased, a change in $\alpha$ from 15 to 22.5 degrees resulting sometimes in an increase of as much as 100 percent in maximum cable tension, while a change from 22.5 to 30 degrees usually resulted in a relatively small increase in cable tension. The final velocity decreases as the impact angle is increased, the change in velocity being very roughly linear over the range tested. The reflection angle generally increases as the impact angle is increased, but in a rather erratic manner; at high impact speeds the reverse may be true.
**Initial Cable Tension.** It was found early in the investigation that the maximum dynamic increment of cable tension and the final speed of the vehicle are both nearly independent of the initial static cable tension. However, the reflection angle may be affected considerably by the initial tension, the reflection angle tending to decrease as the initial tension is increased. The maximum cable tension may be estimated by adding the initial cable tension to the maximum dynamic increment.
**Post Spacing.** The maximum dynamic increment of cable tension and the final velocity are relatively independent of the post spacing. However, the reflection angle was found to be considerably affected by post spacing, but in a rather unpredictable manner. These conclusions are based on only two spacings: 16 and 24 feet. Smaller spacings were not investigated because it is felt that they are undesirable. From the viewpoint of statistics alone, it can be said that the smaller the spacing the more liable the vehicle is to strike a post.
**Impact Location.** The maximum dynamic increment of cable tension decreases and the final velocity shows a tendency to increase as the distance from the point of impact to the first post ahead of the vehicle is increased, that is, as the impact location ratio $d_0/d$ is increased. The reflection angle is also influenced by the impact location but not in a definite manner. The above conclusions are based on only two values of $d_0/d$: $\frac{1}{2}$ and $\frac{3}{4}$.
The most important conclusion, relative to impact location, is that the smaller the value of $d_0/d$ the more liable the vehicle is to collide with the post ahead in a secondary impact. The maximum impact velocities obtained in the tests were limited by the occurrence of secondary impacts with the posts, or by cable breakage, and not by any limitation imposed by the vehicle accelerating device. In the prototype there is of course no possibility of control over the impact location. The difficulty found in the model tests in avoiding secondary impacts indicates the importance of providing suitable offset brackets on the posts of prototype cable guardrails.
**Coefficient of Transverse Sliding Friction between Wheels and Ground.** The final velocity decreases slightly and the reflection angle generally may decrease greatly as the result of an increase in the coefficient of friction. At high impact speeds and large impact angles,
however, there is a tendency for the reflection angle to increase rather than to decrease. The variation in maximum dynamic increment of cable tension follows a rather unpredictable pattern, the lowest tension maxima being associated with the intermediate value of the friction coefficient. However, this is not entirely unreasonable when one considers the highly non-linear nature of the system.
*Yield Point of Post Foundation ("Soil").* The general trend is for the final velocity and the reflection angle to decrease when the post foundations are made more yielding, that is, when their ability to dissipate energy is increased. Under some conditions, however, the opposite was true of the reflection angle. The variation of the cable tension was less definite; however, the trend was generally to increase when the posts were allowed to yield. By far the largest variations occurred in the reflection angle.
*Comparison of Various Combinations of Guardrail Components.* Comparative tests were run on the five different types of systems shown in Figure 2. The lowest maximum dynamic increments of cable tension were found in the systems containing a tension spring, and the highest occurred in the system having yielding posts and no tension spring. The use of a yielding end anchor shows a definite tendency, as expected, to place an upper limit on the maximum cable tension and thus to act as a sort of "safety valve."
The highest energy losses, and hence the lowest final velocities, occurred, as expected, with the systems having energy absorption elements in the form of yielding posts and yielding end anchor. Furthermore, the presence of the tension spring in conjunction with the former elements allows greater displacement of the posts, hence greater absorption of energy, and consequently a further lowering of the final velocity.
No definite trends were found in the variation of the reflection angle.
*Use of Elastic Offset Brackets.* The use of cable offset brackets on the posts does not reveal, in the laboratory, an explainable advantage over the system without brackets. However, it is felt that properly designed brackets are desirable on the prototype in helping to prevent the vehicle from coming into direct contact with the post.
*Sources of Energy Loss.* By far the greatest energy losses were found to occur in sliding friction between the vehicle and the cable. This appears to be the most important available means of energy dissipation for reducing the velocity of the vehicle.
Since it was not thought feasible, we did not attempt to determine, by small-scale experimentation, the energy dissipation that takes place in the deformation of the surface and structure of the vehicle.
*Beam-Type Guardrail—Conclusions*
Relatively few experiments were made on the beam-type model, partly because of lack of time and partly because it is felt that many of the results of experiments made with the cable-type model—for example, the tests on yielding of the post foundations and on changes in the ground friction coefficient—are also applicable to the beam-type system.
In the small scale laboratory tests the final velocity of the vehicle is lower with the cable-type guard than with the beam-type, probably due to lower frictional losses in sliding contact between the vehicle and beam than between the vehicle and cable. (A comparison of the friction coefficients in sliding contact between vehicle surface materials and various types of guardrail materials could readily be made with full-scale elements in a laboratory.)
The small-scale laboratory tests show considerably smaller reflection angles occurring with the cable-type guard than with the beam-type, except in the case of the lowest impact angle \((\alpha = 15^\circ)\) for which the reflection angles for the two types of construction are approximately equal. It should be recalled that the reflection angle has generally been found throughout the investigation to be the variable that is the most difficult to predict.
**RECOMMENDATIONS BASED ON THE MODEL TESTS**
The following recommendations are based on the general observation of the tests as well as on the quantitative results:
1. Every effort should be made to reduce the probability of the vehicle striking a post. It therefore seems desirable to make the post spacing as great as is compatible with the other requirements of the structure. However, too great a spacing may result in a weak structure, in excessive flexibility and "pocketing" between posts, and in spreading of the cables.
A post spacing of about 16 feet for cable-type guardrails seems reasonable. The 24-foot spacing, which was found to be more satisfactory in the model tests, is probably too great for practical use in the field.
2. The use of smooth elastic offset brackets, deep enough to prevent the vehicle from coming into direct contact with the posts, seems highly desirable. It is suggested that offset brackets may also be desirable on beam-type guardrails.
3. As far as possible all projections, or other conditions tending to "snag" the vehicle, should be eliminated.
4. The initial value of the cable tension does not appear to be critical. However, it should be great enough to hold the cables in proper position without sag and to prevent excessive deflection of the system under impact. Tension springs are desirable.
5. Excessively rigid post settings are dangerous. A significant amount of energy may be absorbed by the yielding of the posts in the soil.
6. The end anchorage should be capable of developing a load no greater than the safe design tension of the cable. It is suggested that the anchorage be designed so that it can move in the soil when the impact tension in the cable reaches the design limit, or that an adjustable yielding element be inserted in the cable at the anchor.
7. In the design of a yielding structure care must be taken that it is not made so yielding as to result in the "pocketing" of the vehicle.
8. The sliding friction between the vehicle and the guardrail is an important source of energy dissipation. Anything that can be done to increase the friction coefficient will be advantageous.
9. In order to provide the driver of the vehicle with maximum opportunity to correct the path of the vehicle after impact with the guardrail, the clearance between the guardrail and the pavement should be the maximum possible and the surface should be maintained in a manner to minimize skidding.
The above recommendations are probably not greatly different from conclusions that may be reached in the field. The authors will be very much interested in any statistics that can be made available to them on accidents involving guardrails and on full-scale tests of vehicle-guardrail impact.
SUGGESTIONS FOR FULL-SCALE EXPERIMENTATION
The authors would like to make the following suggestions:
1. That all available information on full-scale tests and on recorded accidents involving guardrails be collected and analyzed, and that additional tests be made to fill the gaps in the information. It is hoped that the results of the model tests will assist in interpreting the full-scale tests and in planning new tests.
2. That a reporting system be instituted for gathering information on the performance of guardrails involved in future accidents.
3. That for certain types of full-scale tests, a special rugged test vehicle, either catapulted or self-propelled, could be used.
4. That comparative full-scale transverse loading tests be made on posts embedded in soil under realistic conditions, using static loads as well as direct impact loads.
5. That comparative full-scale loading (static as well as dynamic) tests be made on anchors, with particular attention being paid to developing the anchor as a "safety valve" for the cable and as a means for dissipating energy through movement of the anchor in the soil. The planning of these tests, as well as those suggested for the posts, could well be guided by preliminary, small-scale, laboratory tests.
INDEX OF MODEL-TEST CONDITIONS AND RESULTS
Table 1 provides an index to the test conditions and results included in this report as well as in the preceding one (2) of the series.
GRAPHS OF RESULTS OF THE SECOND GROUP OF MODEL-TESTS
Use of Tension Spring, Yielding Posts and Yielding End Anchorage
The five different types of systems have been shown schematically in Figure 2.
Variation in Maximum Dynamic Increment of Cable Tension; Figure 3. \((T_{\text{max}} - T_0)\) is shown plotted against \(V_0\) for five systems of guardrail fixity. No very definite relationship among the different systems is apparent, except that those containing the tension spring (systems B, D, and E) generally show lower dynamic increments. The use of a yielding deadman (system E) shows a definite tendency
Figure 3. Maximum dynamic increment of total cable tension versus impact velocity of vehicle. Five variations of cable-type guardrail.
Figure 4. Final velocity of vehicle versus impact velocity. Five variations of cable-type guardrail.
to limit the dynamic increment. This is to be expected because once the anchorage starts to slide the cable tension theoretically cannot be increased. System C, having yielding posts but no tension spring and no yielding of the anchorage, shows the highest dynamic increment.
Variation in Final Velocity $V_f$; Figure 4. Systems C, D, and E, all of which include energy dissipation elements (yielding posts and yielding deadman), result in lower values of final velocity than systems A and B. This is particularly true for large values of the impact angle $\alpha$.
Variation in $\beta$; Figure 5. When the angle of impact $\alpha$ is low, the family of curves is more uniform than at the high angles of impact. However, as we have found before, $\beta$ is generally much less predictable than either $(T_{\text{max}} - T_0)$ or $V_f$, and there do not appear to be definite conclusions relative to the effect on $\beta$ of changes in the cable-type guardrail structure.
Figure 5. Reflection angle of vehicle path versus impact velocity. Five variations of cable-type guardrail.
Variation in "Yield Point" of Posts
Variation in \((T_{\text{max}} - T_0)\); Figure 6 shows the effect on the dynamic increment of varying the foundation condition of the posts from "rigid" to "very yielding." The impact criteria used in defining the conditions of yielding will be given later. It is interesting to note that both the "rigid" and the "very yielding" foundation conditions result in generally lower dynamic increments of cable tension than the "intermediate yielding" condition. This is not unreasonable if one considers the highly nonlinear nature of the system.
Variation in \(V_f\); Figure 7. As would be expected, the effect on \(V_f\), due to varying the foundation condition, is much more readily explainable than the effect on cable tension. As the post foundation is made more yielding, the ability of the system to absorb energy is increased. Consequently, we find a decrease in final velocity when the yield point is lowered.
Variation in \(\beta\); Figure 8. The general tendency is for \(\beta\) to decrease when the yield point is lowered. However, there are notable exceptions in the "intermediate yielding" case.
Figure 7. Final velocity of vehicle versus impact velocity. Variation in yielding of post foundation.
Variation in Maximum Attainable $V_f$. As has been pointed out before, the upper end points of the curves represent the maximum impact velocities attainable without the vehicle striking the "far" post. It is evident that when the yield point is lowered, the "maximum attainable" velocity is also lowered.
Use of Elastic "Offset Brackets"
A complete set of comparative tests was made on a cable-type guardrail model having elastic offset brackets and on one without brackets. The methods and results have been described in reference (8). No very significant differences were found in dynamic increment of cable tension, final velocity, and reflection angle. However, it is felt that in the full-scale guardrail, offset brackets are of considerable importance in helping to keep the vehicle from coming into direct contact with the post.
Energy Losses
The total energy loss of the vehicle is equal to $W(V_i^2 - V_f^2)/2g$. There are various ways that the energy loss can be accounted for, namely, by sliding friction between the vehicle...
and the cable, by transverse sliding friction between the vehicle tires and the ground, by the yielding of the posts in the soil, and by the yielding of the end anchorage. Since the model vehicle is a rigid body, the distortions of the front end and side have not been taken into account. Furthermore, as already pointed out, it is assumed that the driving force and braking force are zero. The loss due to rolling friction in the wheels has been neglected since it is a very small quantity relative to the other losses.
Figure 9 shows a graph of total energy loss in foot-pounds (full scale) versus the initial velocity $V_0$. The general trend is for the energy loss to increase as the angle of impact is increased and also for the differences in energy loss among the various systems to increase. The energy loss increases greatly as $V_0$ is increased. When the guardrail structure is made more yielding, the total energy loss increases. The least energy loss is found with the rigid post system, which is to be expected. Systems D and E, containing yielding posts and tension spring, and yielding posts, tension spring and yielding anchorage, respectively, generally result in the greatest energy losses. The foregoing conclusions are reasonable and could have been determined, indirectly, from Figure 4.
Table 2 lists five energy balance calculations that have been made in an attempt to account for the various parts of the total energy loss. All quantities are listed in foot-pounds of energy (full scale). The details of the calculations have been shown in reference (3). In spite of apparent inaccuracies the results show with little doubt that by far the greatest energy loss occurs in sliding friction between the vehicle and cable.
**Beam-Type Guardrail**
We will make the following assumptions: (1) The weight of the beam is negligible in comparison with the weight of the vehicle; (2) the posts (beam supports) are rigid; (3) the beam is continuous across the supports; (4) the effect of direct tension is negligible. The beam model is a compromise that is similar in load-deflection properties to several steel guardrail beams that are on the market.
No attempt was made to measure the stress in the model, although it could be done readily enough by the use of wire-resistance strain gauges. Curves of $\beta$ versus $V_0$, and $V_f$ versus $V_0$ have been plotted and compared with the results of tests of the cable-type guardrail. The friction coefficient for sliding between the wheels and the ground surface was constant at a value of 0.33.
**Variation in $V_f$**: Figure 10. The final velocity of the vehicle after impact with the beam-type guardrail is higher than with the cable-type. It is believed that the difference is due primarily to greater frictional losses between the vehicle and cable than between the vehicle and beam. At the low angles of impact $\alpha$, the final velocity is not greatly different from the initial velocity. As the angle
### Table 2
**SAMPLE CALCULATIONS FOR ENERGY BALANCE**
\[ T_0 = 8,000 \text{ lb}, \quad d = 24 \text{ ft}, \quad \mu = 0.33 \]
| System | Test No. | \( \alpha \) Degrees | \( V_e \) (mph) | Total Energy Loss | Friction With Ground | Friction With Cable | Near Post Yielding | Far Post Yielding | Anchor Yielding | Total of Columns (6-10) | Balance | % Balance |
|--------|----------|---------------------|-----------------|------------------|----------------------|---------------------|-------------------|------------------|----------------|-------------------------|---------|-----------|
| A | 1-76 | 15 | 20 | 33,160 | 2,500 | 30,400 | — | — | — | 33,000 | —100 | −0.485 |
| B | 0-226 | 30 | 20 | 94,000 | 5,300 | 99,250 | — | — | — | 105,550 | +21,500 | +20.4 |
| C | 0-247 | 30 | 20 | 47,500 | 5,640 | 53,700 | 6,250 | 450 | — | 66,040 | +18,540 | +28.1 |
| D | 2-260 | 22½ | 20 | 57,700 | 4,000 | 54,900 | 0 | 0 | — | 58,900 | +1,200 | +2.04 |
| E | 0-313 | 30 | 20 | 58,400 | 3,850 | 54,900 | 2,680 | 0 | 8,670 | 70,000 | +11,600 | +16.6 |
---
**Figure 10.** Final velocity of vehicle versus impact velocity. Comparison of beam-type and cable-type guardrail.
**Figure 11.** Reflection angle of vehicle path versus impact velocity. Comparison of beam-type and cable-type guardrail.
of impact is increased, the final velocity decreases.
Variation in $\beta$: Figure 11. There is a definite tendency for the angle of reflection $\beta$ to be rather large, considerably larger than the reflection angle for the cable-type guardrail. As the impact angle is increased, $\beta$ increases in a highly non-linear manner. There is a great variation in $\beta$ at low impact velocities and high impact angles. As the initial velocity is increased, $\beta$ reaches a maximum, and with large angles of impact starts to decrease as $V_0$ is subject to further increase.
It should be recalled that the reflection angle has already been found, in the earlier phases of the investigation, to be the variable that is the most difficult to predict.
DETAILS OF THE EXPERIMENTAL APPARATUS
Figure 12 shows the general arrangement of the laboratory apparatus, and Figures 13 to 16 show the details of the yielding post, the yielding anchor, and the beam-type guardrail.
Yielding of the posts was provided for by mounting the posts on hinges and by connecting one end of each to a dry-friction device which would slip, i.e., yield, under a specified impact condition. For the "intermediate post setting" the "near post" was adjusted so as to yield when $\alpha \geq 22.5$ degrees and $V_0 \geq 20$ mph. The conditions for the "very yielding" setting were $\alpha > 15$ degrees and $V_0 > 15$ mph. In both cases, the impact location was...
Figure 13. "Yielding post," consisting of hinged post and dry sliding friction device to represent yielding of soil.
Figure 14. "Yielding anchor," consisting of dry sliding friction device to represent yielding of soil around anchor. Cable tension spring included.
Figure 15. Vehicle striking beam-type guardrail model.
Figure 16. Schematic diagram of beam-type guardrail with rigid posts.
given by $d_g/d = \frac{3}{4}$. The yielding end anchor is also a dry-friction device. More complete details may be found in reference (3).
The modeling of the cable-type guardrail has already been described (1, 2). The modeling of the beam requires the following additional comments:
The ratio of the flexural stiffness $EI$ of the model beam to the $EI$ of the prototype is equal to the force scale multiplied by the square of the length scale, thus,
$$\frac{E_m I_m}{E_p I_p} = \left(\frac{f_m}{f_p}\right) \left(\frac{l_m}{l_p}\right)^2$$
Making use of the already established scales for force ($\frac{1}{4}$) and for length ($\frac{1}{3}$), letting the modulus of elasticity of the prototype beam (steel) be $E_p = 30 \times 10^6$ lb./in.$^2$ and of the model beam (structural aluminum alloy), $E_m = 10.3 \times 10^6$ lb./in.$^2$, the relation between the moments of inertia of the cross-sections of the model and prototype beams is given by
$$I_m/I_p = \frac{1}{26,900}$$
Assuming that the prototype moment of inertia $I_p = 2.52$ inches$^4$, the desired moment of inertia of the model beam is given by $I_m = 0.0000936$ inches$^4$.
The model beam was a standard, rectangular cross-section, aluminum alloy bar, $\frac{1}{8}$ inch by $\frac{5}{8}$ inch (actual dimensions 0.126 inch by 0.627 inch), having a moment of inertia of 0.0001045 inches$^4$ in the most flexible direction.
SUGGESTIONS FOR FURTHER APPLICATION OF SMALL-SCALE MODEL TESTS
It is suggested that small-scale tests, using apparatus of the general type employed in
this investigation, could also be used in the preliminary study and development of vehicle barriers designed for maximum energy absorption by the barrier with minimum damage to the vehicle, and of various types of rigid deflecting surfaces designed for deflecting the path of the vehicle after a grazing impact.
ACKNOWLEDGMENTS
This investigation is one of five, on subjects relating to highway problems, being carried out under a research contract sponsored by the Maryland State Roads Commission at Johns Hopkins University, Civil Engineering Department. Norman Pritchett is chief engineer of the commission. Professor J. Trueman Thompson is chairman of the department and research contract director.
The contract is administered by a Coordinating Research Committee composed of Walter C. Hopkins, deputy chief engineer of the commission, C. A. Goldeisen, A. L. Grubb, and Allan Lee, representing the commission, and J. Trueman Thompson, Robert S. Ayre, Walter C. Boyer, and Wen-Hsiung Li, representing the department.
The authors are indebted to the members of the research committee for suggestions and to Joel I. Abrams, S. M. Miller, and R. L. Glendinning for their assistance in carrying out the investigation.
REFERENCES
1. Ayre, R. S. and Abrams, J. I., "Dynamics of Guardrail Systems," Proceedings of the Thirty-third Annual Meeting of the Highway Research Board, Vol. 33, 1954, pp. 201–209.
2. Ayre, R. S., and Abrams, J. I., "Dynamics of Highway Guardrails; Laboratory Experiments (I)," Proceedings of the Thirty-fourth Annual Meeting of the Highway Research Board, Vol. 34, 1955, pp. 162–172.
3. Ayre, R. S., Abrams, J. I., and Hilger, M. A., "Dynamics of Vehicle Impact Against Highway Guardrails; Laboratory Experiments," December 1955, Technical Report No. 5, Highway Research Project sponsored by the State Roads Commission of Maryland. (This Report will be distributed in limited quantity to the highway departments of the various states and to universities and agencies interested in highway engineering. A few additional copies are available by writing to the Civil Engineering Department, The Johns Hopkins University, Baltimore 18, Maryland.)
4. Ricker, E. R., "The Traffic Design of Parking Garages," Yale University, Eno Foundation, 1948. |
24/06/2024
To,
The Department of Corporate Services,
The BSE Ltd., 1st floor,
Phiroze Jeejeebhoy Towers,
Dalal Street,
Mumbai-400 001
Maharashtra
Ref: Scrip Code :507962
Sub: Submission of Notice of Extra-ordinary General Meeting of Rajath Finance Limited.
Dear Sir/Madam,
With reference to the above subject and pursuant to Regulations 30 of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, please find enclosed electronic copy of the Notice of the Extra-ordinary General Meeting of Rajath Finance Limited ("the Company") to be held on Wednesday, 17th Day of July, 2024 at 11:00 A.M. at 1001, 10th floor, K. P. Aurum, Marol Maroshi Road, Andheri (E), Mumbai, Maharashtra-400059, India. The same has being sent on 24th June 2024 by email to those members whose email address are registered with the Depository Participant(s) / Link Intime India Private Limited, ("RTA" of the Company).
The said notice is also available on the website of the Company at www.rajathfinance.in.
Kindly take the same on record.
Thanking You,
Yours faithfully,
For RAJATH FINANCE LIMITED
AKASH HIRENBHAI BHEDA
COMPANY SECRETARY & COMPLIANCE OFFICER
Encl: As above
NOTICE OF EGM
Rajath Finance Limited
CIN: L65910MH1984PLC419700
Address of Registered Office:
Office No.1001, Tenth Floor, K.P. Aurum Building, CTS No.426A,
Marol Maroshi Road, Andheri (E), Marol Bazar, Mumbai - 400059, Maharashtra.
Phone: 022-29200027 / 022-29200037
E-Mail Id: firstname.lastname@example.org
WEB: www.rajathfinance.in
Notice is hereby given that 01/2024-25 Extra-Ordinary General Meeting (“EGM”) of the Members of RAJATH FINANCE LIMITED (hereinafter referred to as “the Company”) will be held on 17th day, July, 2024 at 11.00 A.M. at the Registered Office of the Company Situated at Office No. 1001, Tenth floor, K. P. Aurum Building, CTS No. 426A, Marol Maroshi Road, Andheri (E), Mumbai, Maharashtra-400059 to transact the following business:
SPECIAL BUSINESS:
1. TO INCREASE AUTHORIZED SHARE CAPITAL OF THE COMPANY AND CONSEQUENT ALTERATION OF THE CAPITAL CLAUSE OF THE MEMORANDUM OF ASSOCIATION OF THE COMPANY.
To consider, review and if thought fit, to pass, with or without modification(s), the following resolution as an Ordinary Resolution:
“RESOLVED THAT” pursuant to provisions of Section 13, 61(1)(a) and Section 64 of the Companies Act, 2013, read with Companies (Share Capital and Debentures) Rules, 2014 and such other rules made thereunder, the Articles of Association of the Company and all such other applicable provisions, if any, (including any statutory modification(s) or re-enactments(s) thereof for the time being in force), consent of the Members be and is hereby accorded, to increase the Authorized Share Capital of the Company from Rs. 7,50,00,000/- (Rupees Seven Crores and Fifty Lakhs only) divided into 75,00,000 (Seventy-Five Lakhs) equity shares having face value of Rs.10/- each (Rupees Ten only) to Rs. 25,00,00,000/- (Rupees Twenty-Five Crores only) divided into 2,50,00,000 (Two Crores Fifty Lakhs only) equity shares having face value of Rs. 10/- each (Rupees Ten only) and such additional 1,75,00,000 (One Crore Seventy-Five Lakhs only) equity shares shall rank pari-passu in all respects with the existing Equity Shares of the Company.
RESOLVED FURTHER THAT” pursuant to the provisions of Section 13 and all other applicable provisions of the Act and the relevant rules framed thereunder, consent of the Members be and is hereby accorded for substituting existing Clause V of the Memorandum of Association (“MOA”) of the Company with the following clause:
V The Authorised Share Capital of the Company is Rs. 25,00,00,000/- (Rupees Twenty-Five Crores only) divided into 2,50,00,000 (Two Crore Fifty Lakhs Only) Equity Shares of Rs.10/-(Rupees Ten Only) each. The Company has the power from time to time to increase or reduce its capital and to divide the shares in the capital for the time being, into other classes and to attach thereto respectively such preferential, deferred, qualified or other special rights, privileges or conditions or restrictions, as may be determined by or in accordance with the Articles of Association of the Company and to vary, modify or abrogate any such right, privilege, condition or restriction in such manner as may for the time being be permitted by the Articles of Association of the Company or the legislative provisions for the time being in force in that behalf.
RESOLVED FURTHER THAT any Director of the Company and/or Company Secretary be and is hereby severally authorized to sign and file all the necessary e-Forms with the Ministry of Corporate Affairs (MCA) and to sign and submit such other Forms physically or electronically as may be required and to do all such acts, deeds, matters and things as may be required in this connection, including but not limited to the alteration of the aforesaid resolution, if required, and to resolve all the questions, difficulties or doubts that may arise in this regard at any stage in the aforesaid matter and to make necessary application(s) and to sign, execute and file all such form(s), paper(s) and document(s) as may be considered necessary or expedient in this matter and to take all such steps/ actions as the Directors of the Company or Company Secretary deem fit to give effect to the aforesaid resolution.”
2. To consider and approve Related Party Transactions.
To consider, review and if thought fit, to pass, with or without modification(s), the following resolution as an Ordinary Resolution:
“RESOLVED THAT pursuant to the provisions of Section 188 and other applicable provisions of the Companies Act, 2013 (‘the Act’) read with the Companies (Meetings of Board and its Powers) Rules, 2014 (including modification or re-enactment thereof) and subject to such approval(s), as may be necessary from time to time and pursuant to the approval/recommendation of the Audit Committee and the Board of Directors of the Company, the approval of the members of the Company be and is hereby accorded to the Board of Directors of the Company to enter into Related Party Transaction with M/s. Parshwashanti Buildinfra Projects Private Limited, the company in which Director is interested within the meaning of ‘Related Party’ under Section 2(76) of the Act and Regulation 2(1)(zb) of the SEBI (Listing Obligations & Disclosure Requirements) Regulations, 2015, for such amount and on such material terms and conditions as detailed in the Explanatory Statement to this Resolution and as may be mutually agreed between both the parties for FY 2024-25, 2025-26 & 2026-27 and the said transaction shall not be arm’s length basis and not in the ordinary course of business of the Company.
| Sr. No. | Name of the Related Party | Nature of Relationship | Type of Transaction | Value of Transaction |
|---------|---------------------------|------------------------|---------------------|---------------------|
| 1. | M/s. Parshwashanti Buildinfra Projects Private Limited | Common Director | Use of Premises as Registered Office of the Company on Leave and License basis | Rs. 59,20,200/- |
RESOLVED FURTHER THAT the members be and hereby approve and ratify the above mentioned related party transaction between the Company and M/s. Parshwashanti Buildinfra Projects Private Limited for the period beginning April 01, 2024 to the date of the general meeting as detailed in the Explanatory Statement to this Notice.
RESOLVED FURTHER THAT the Board be and is hereby authorized to delegate all or any of the powers herein conferred to any director(s), committee(s), executive(s), officer(s) or representatives(s) of the Company or to any other person to do all such acts, deeds, matters and things as may be considered necessary or expedient and also to execute such documents, writings etc. as may be necessary to give effect to this resolution.
RESOLVED FURTHER THAT all actions taken by the Board/Company in connection with any matter referred to or contemplated in this resolution, be and are hereby approved, ratified and confirmed in all respects.”
By Order of the Board of Directors,
For RAJATH FINANCE LIMITED
AKASH HIRENBHAI BHEDA
COMPANY SECRETARY
Registered Office Address:
Rajath Finance Limited
1001, 10th floor, K. P. Aurum,
Marol Maroshi Road, Andheri (E),
Mumbai, Maharashtra-400059
Corporate Identification Number (CIN): L65910MH1984PLC419700
E-mail: email@example.com
Date: 24.06.2024
Place: Mumbai
NOTES:
1. Pursuant to General Circular Nos. 14/2020 dated April 08, 2020, 17/2020 dated April 13, 2020, General Circular Nos 22/2020 dated June 15, 2020, General circular 33/2020 dated September 28, 2020, General circular 39/2020 dated December 31, 2020, General Circular No. 10/2021 dated June 23, 2021 and General Circular No. 20/2021 dated December 08, 2021, General Circular No. 03/2022 dated May 05, 2022 General Circular No. 11/2022 dated December 28, 2022 and General Circular No. 09/2023 dated September 25, 2023 issued by the Ministry of Corporate Affairs (“MCA”) and Circular No. SEBI/HO/CFD/CMD1/CIR/P/2020/79 dated 12th May, 2020, SEBI/HO/CFD/CMD2/CIR/P/2021/11 dated 15th January, 2021, SEBI/HO/CFD/CMD2/CIR/P/2022/62 dated 13th May, 2022 and SEBI/HO/CFD/CFD-PoD-2/P/CIR/2023/167 dated 07th October, 2023 issued by Securities and Exchange Board of India, Companies were permitted to send the Notice of EGM only through electronic mode to those Members whose e-mail addresses were registered with the Company/Depositories. Further for those members who have not registered their email address, may note that copy of notice is also available on the website of the company at www.rajathfinance.in and also on the website of the Stock exchange at www.bseindia.com for download.
2. Accordingly in compliance with the applicable provisions of the Companies Act, 2013 and rules made thereunder and SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 ("Listing Regulations") and the aforesaid Circulars, Notice of the EGM is being sent only through electronic mode to those Members whose e-mail addresses are registered with the Company/Depositories.
3. The Explanatory Statement pursuant to Section 102 of the Companies Act, 2013 ("Act") and SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, setting out the material facts relating to the business stated under Item No. 1 and 2 is annexed hereto.
4. The Register of Members and Share Transfer Books of the Company will remain closed from Tuesday 09, July, 2024 to Wednesday 17, July, 2024.
5. To promote green initiative, members are requested to register their e-mail addresses through their Depository Participants for sending the future communications by e-mail. Members holding the shares in physical form may register their e-mail addresses through the RTA, giving reference of their Folio Number.
6. A member entitled to attend and vote at the meeting is entitled to appoint a proxy to attend and vote instead of himself and the proxy need not be a member. For a proxy to be valid, it must be deposited at the registered office of the company, not less than 48 hours before the commencement of meeting.
7. A person can act as proxy on behalf of members not exceeding fifty and holding in the aggregate not more than ten percent of the total share capital of the company carrying voting rights only exception being that a member holding more than ten percent, of the total share capital of the company carrying voting rights may appoint single person as proxy and such person shall not act as proxy for any other person or shareholder.
8. In Compliance with provisions of Section 108 of the Companies Act, 2013 and Rule 20 of the Companies (Management and Administration) Rules, 2014 and Regulation 44 of the SEBI (Listing Obligations and Disclosures Requirements) Regulations, 2015, your company is pleased to provide remote e-Voting facility to its members for the business as may be transacted at the Extra-ordinary General Meeting of the Company.
9. The members who have cast their votes by remote e-voting prior to the day of EGM may attend the meeting but shall not be entitled to cast their vote again at the venue of the EGM.
10. E-voting platform for remote e-voting shall be provided by the Link Intime India Private Limited (Instavote), Registrar and Share Transfer Agent of the Company. The detailed instructions for remote e-voting as per the SEBI Circular dated 09th December, 2020 are annexed to this notice.
11. The remote e-voting period shall commence at 09:00 AM on Saturday, 13th July, 2024 and will end at 05:00 PM on Tuesday, 16th July, 2024. During this period, the members of the company holding shares as on the cutoff date i.e Wednesday 10th July, 2024 may cast their vote electronically. E-voting module shall be disabled by the Link Intime after 05:00 PM on Tuesday, 16th July, 2024. During the EGM, voting can be done through ballot/polling paper.
12. PHD & Associates (Practicing Company Secretary) has been appointed by Board of Directors vide their Board Meeting held on Friday, 21st June, 2024, as the Scrutinizer to scrutinize the e-voting process and Voting through Poll at the venue of the EGM in a fair and transparent manner.
13. The Scrutinizer shall after the conclusion of voting at the EGM, will first count the votes cast at the meeting and in presence of at least two witnesses not in the employment of the Company. The results shall be declared within two working days after the conclusion of EGM of the Company. The Scrutinizer shall submit a consolidated Scrutinizer’s report of the total votes cast in favour or against, if any, to the Chairman or a person authorized by him in writing, who shall countersign the same and declare the result of the voting forthwith. The Results along with the Scrutinizer’s Report(s) will be available on the website of the Company www.rajathfinance.com and on LIPL’s website https://instavote.linkintime.co.in and communicated to the BSE Limited, where the shares of the Company are listed.
14. All documents referred to in the accompanying Notice and Explanatory Statement annexed hereto including the Statutory Registers shall be open for inspection at the Registered Office of the Company during normal business hours (9 A.M. to 5 P.M.) on all working days except Saturdays and Sundays, up to and including the date of the Extraordinary General Meeting of the Company.
15. Bodies’ Corporate Members are requested to send a Certified Copy of the Board Resolution authorizing their Representative(s) to attend and vote at the meeting pursuant to provisions of Section 113 of the Companies Act, 2013.
16. Route map and prominent landmark displaying the venue of the Extra- Ordinary General Meeting is annexed herewith.
17. Members/Proxies should fill the Attendance Slip (annexed below) for attending the meeting and bring their attendance slips in the Meeting.
Remote e-Voting Instructions for shareholders:
As per the SEBI circular dated December 9, 2020, individual shareholders holding securities in demat mode can register directly with the depository or will have the option of accessing various ESP portals directly from their demat accounts.
Login method for Individual shareholders holding securities in demat mode is given below:
Individual Shareholders holding securities in demat mode with NSDL:
METHOD 1 - If registered with NSDL IDeAS facility
Users who have registered for NSDL IDeAS facility:
a) Visit URL: https://eservices.nsdl.com and click on “Beneficial Owner” icon under “Login”.
b) Enter user id and password. Post successful authentication, click on “Access to e-voting”.
c) Click on “LINKINTIME” or “evoting link displayed alongside Company’s Name” and you will be redirected to Link Intime InstaVote website for casting the vote during the remote e-voting period.
OR
User who have not registered for NSDL IDeAS facility:
a) To register, visit URL: https://eservices.nsdl.com and select “Register Online for IDeAS Portal” or click on https://eservices.nsdl.com/SecureWeb/IdeasDirectReg.jsp “
b) Proceed with updating the required fields.
c) Post registration, user will be provided with Login ID and password.
d) After successful login, click on “Access to e-voting”.
e) Click on “LINKINTIME” or “evoting link displayed alongside Company’s Name” and you will be redirected to Link Intime InstaVote website for casting the vote during the remote e-voting period.
METHOD 2 - By directly visiting the e-voting website of NSDL:
a) Visit URL: https://www.evoting.nsdl.com/
b) Click on the “Login” tab available under ‘Shareholder/Member’ section.
c) Enter User ID (i.e., your sixteen-digit demat account number held with NSDL), Password/OTP and a Verification Code as shown on the screen.
d) Post successful authentication, you will be re-directed to NSDL depository website wherein you can see “Access to e-voting”.
e) Click on “LINKINTIME” or “evoting link displayed alongside Company’s Name” and you will be redirected to Link Intime InstaVote website for casting the vote during the remote e-voting period.
Individual Shareholders holding securities in demat mode with CDSL:
METHOD 1 – If registered with CDSL Easi/Easiest facility
Users who have registered for CDSL Easi/Easiest facility.
a) Visit URL: https://web.cdslindia.com/myeasitoken/home/login or www.cdslindia.com.
b) Click on New System Myeasi
c) Login with user id and password
d) After successful login, user will be able to see e-voting menu. The menu will have links of e-voting service providers i.e., LINKINTIME, for voting during the remote e-voting period.
e) Click on “LINKINTIME” or “evoting link displayed alongside Company’s Name” and you will be redirected to Link Intime InstaVote website for casting the vote during the remote e-voting period.
OR
Users who have not registered for CDSL Easi/Easiest facility.
a) To register, visit URL: https://web.cdslindia.com/myeasitoken/Registration/EasiRegistration
b) Proceed with updating the required fields.
c) Post registration, user will be provided Login ID and password.
d) After successful login, user able to see e-voting menu.
e) Click on “LINKINTIME” or “evoting link displayed alongside Company’s Name” and you will be redirected to Link Intime InstaVote website for casting the vote during the remote e-voting period.
METHOD 2 - By directly visiting the e-voting website of CDSL.
a) Visit URL: https://www.cdslindia.com/
b) Go to e-voting tab.
c) Enter Demat Account Number (BO ID) and PAN No. and click on “Submit”.
d) System will authenticate the user by sending OTP on registered Mobile and Email as recorded in Demat Account
e) After successful authentication, click on “LINKINTIME” or “evoting link displayed alongside Company’s Name” and you will be redirected to Link Intime InstaVote website for casting the vote during the remote e-voting period.
Individual Shareholders holding securities in demat mode with Depository Participant:
Individual shareholders can also login using the login credentials of your demat account through your depository participant registered with NSDL/CDSL for e-voting facility.
a) Login to DP website
b) After Successful login, members shall navigate through “e-voting” tab under Stocks option.
c) Click on e-voting option, members will be redirected to NSDL/CDSL Depository site after successful authentication, wherein you can see e-voting menu.
d) After successful authentication, click on “LINKINTIME” or “evoting link displayed alongside Company’s Name” and you will be redirected to Link Intime InstaVote website for casting the vote during the remote e-voting period.
Login method for Individual shareholders holding securities in physical form/ Non-Individual Shareholders holding securities in demat mode is given below:
Individual Shareholders of the company, holding shares in physical form / Non-Individual Shareholders holding securities in demat mode as on the cut-off date for e-voting may register for e-Voting facility of Link Intime as under:
1. Visit URL: https://instavote.linkintime.co.in
2. Click on “Sign Up” under ‘SHARE HOLDER’ tab and register with your following details:
A. **User ID**:
Shareholders holding shares in physical form shall provide Event No + Folio Number registered with the Company. Shareholders holding shares in NSDL demat account shall provide 8 Character DP ID followed by 8 Digit Client ID; Shareholders holding shares in CDSL demat account shall provide 16 Digit Beneficiary ID.
B. **PAN**: Enter your 10-digit Permanent Account Number (PAN) (Shareholders who have not updated their PAN with the Depository Participant (DP)/ Company shall use the sequence number provided to you, if applicable.
C. **DOB/DOI**: Enter the Date of Birth (DOB) / Date of Incorporation (DOI) (As recorded with your DP / Company – in DD/MM/YYYY format)
D. **Bank Account Number**: Enter your Bank Account Number (last four digits), as recorded with your DP/Company.
*Shareholders holding shares in physical form but have not recorded ‘C’ and ‘D’, shall provide their Folio number in ‘D’ above*
*Shareholders holding shares in NSDL form, shall provide ‘D’ above*
▶ Set the password of your choice (The password should contain minimum 8 characters, at least one special Character (@!#%&*), at least one numeral, at least one alphabet and at least one capital letter).
▶ Click “confirm” (Your password is now generated).
3. Click on ‘Login’ under ‘SHARE HOLDER’ tab.
4. Enter your User ID, Password, and Image Verification (CAPTCHA) Code and click on ‘Submit’.
**Cast your vote electronically:**
1. After successful login, you will be able to see the notification for e-voting. Select ‘View’ icon.
2. E-voting page will appear.
3. Refer the Resolution description and cast your vote by selecting your desired option ‘Favour / Against’ (If you wish to view the entire Resolution details, click on the ‘View Resolution’ file link).
4. After selecting the desired option i.e. Favour / Against, click on ‘Submit’. A confirmation box will be displayed. If you wish to confirm your vote, click on ‘Yes’, else to change your vote, click on ‘No’ and accordingly modify your vote.
**Guidelines for Institutional shareholders (“Corporate Body/ Custodian/Mutual Fund”):**
**STEP 1 – Registration**
a) Visit URL: https://instavote.linkintime.co.in
b) Click on Sign up under “Corporate Body/ Custodian/Mutual Fund”
c) Fill up your entity details and submit the form.
d) A declaration form and organization ID is generated and sent to the Primary contact person email ID (which is filled at the time of sign up at Sr.No. 2 above). The said form is to be signed by the Authorised Signatory, Director, Company Secretary of the entity & stamped and sent to firstname.lastname@example.org.
e) Thereafter, Login credentials (User ID; Organisation ID; Password) will be sent to Primary contact person’s email ID.
f) While first login, entity will be directed to change the password and login process is completed.
STEP 2 – Investor Mapping
a) Visit URL: https://instavote.linkintime.co.in and login with credentials as received in Step 1 above.
b) Click on “Investor Mapping” tab under the Menu Section.
c) Map the Investor with the following details:
a. ‘Investor ID’ -
i. Members holding shares in NSDL demat account shall provide 8 Character DP ID followed by 8 Digit Client ID i.e., IN00000012345678
ii. Members holding shares in CDSL demat account shall provide 16 Digit Beneficiary ID.
b. ‘Investor’s Name’ - Enter full name of the entity.
c. ‘Investor PAN’ - Enter your 10-digit PAN issued by Income Tax Department.
d. ‘Power of Attorney’ - Attach Board resolution or Power of Attorney. File Name for the Board resolution/Power of Attorney shall be – DP ID and Client ID. Further, Custodians and Mutual Funds shall also upload specimen signature card.
e. Click on Submit button and investor will be mapped now.
f. The same can be viewed under the “Report Section”.
STEP 3 – Voting through remote e-voting.
The corporate shareholder can vote by two methods, once remote e-voting is activated:
METHOD 1 - VOTES ENTRY
a) Visit URL: https://instavote.linkintime.co.in and login with credentials as received in Step 1 above.
b) Click on ‘Votes Entry’ tab under the Menu section.
c) Enter Event No. for which you want to cast vote. Event No. will be available on the home page of Instavote before the start of remote evoting.
d) Enter ‘16-digit Demat Account No.’ for which you want to cast vote.
e) Refer the Resolution description and cast your vote by selecting your desired option ‘Favour / Against’ (If you wish to view the entire Resolution details, click on the ‘View Resolution’ file link).
f) After selecting the desired option i.e., Favour / Against, click on ‘Submit’.
g) A confirmation box will be displayed. If you wish to confirm your vote, click on ‘Yes’, else to change your vote, click on ‘No’ and accordingly modify your vote. (Once you cast your vote on the resolution, you will not be allowed to modify or change it subsequently).
OR
VOTES UPLOAD:
a) Visit URL: https://instavote.linkintime.co.in and login with credentials as received in Step 1 above.
b) You will be able to see the notification for e-voting in inbox.
c) Select ‘View’ icon for ‘Company’s Name / Event number’. E-voting page will appear.
d) Download sample vote file from ‘Download Sample Vote File’ option.
e) Cast your vote by selecting your desired option ‘Favour / Against’ in excel and upload the same under ‘Upload Vote File’ option.
f) Click on ‘Submit’. ‘Data uploaded successfully’ message will be displayed. (Once you cast your vote on the resolution, you will not be allowed to modify or change it subsequently).
Helpdesk:
Helpdesk for Individual shareholders holding securities in physical form/ Non-Individual Shareholders holding securities in demat mode:
Shareholders facing any technical issue in login may contact Link Intime INSTAVOTE helpdesk by sending a request at email@example.com or contact on: - Tel: 022 – 4918 6000.
Helpdesk for Individual Shareholders holding securities in demat mode:
Individual Shareholders holding securities in demat mode may contact the respective helpdesk for any technical issues related to login through Depository i.e., NSDL and CDSL.
| Login type | Helpdesk details |
|------------|------------------|
| Individual Shareholders holding securities in demat mode with NSDL | Members facing any technical issue in login can contact NSDL helpdesk by sending a request at firstname.lastname@example.org or call at : 022 - 4886 7000 and 022 - 2499 7000 |
| Individual Shareholders holding securities in demat mode with CDSL | Members facing any technical issue in login can contact CDSL helpdesk by sending a request at email@example.com or contact at toll free no. 1800 22 55 33 |
Forgot Password:
Individual shareholders holding securities in physical form has forgotten the password:
If an Individual shareholder holding securities in physical form has forgotten the USER ID [Login ID] or Password or both then the shareholder can use the “Forgot Password” option available on the e-Voting website of Link Intime: https://instavote.linkintime.co.in
o Click on ‘Login’ under ‘SHARE HOLDER’ tab and further Click ‘forgot password?’
o Enter User ID, select Mode and Enter Image Verification code (CAPTCHA). Click on “SUBMIT”.
In case shareholders is having valid email address, Password will be sent to his / her registered e-mail address. Shareholders can set the password of his/her choice by providing the information about the particulars of the Security Question and Answer, PAN, DOB/DOI, Bank Account Number (last four digits) etc. as mentioned above. The password should contain a minimum of 8 characters, at least one special character (@/#/$&*), at least one numeral, at least one alphabet and at least one capital letter.
User ID for Shareholders holding shares in Physical Form (i.e. Share Certificate): Your User ID is Event No + Folio Number registered with the Company
User ID for Shareholders holding shares in NSDL demat account is 8 Character DP ID followed by 8 Digit Client ID
User ID for Shareholders holding shares in CDSL demat account is 16 Digit Beneficiary ID.
Institutional shareholders (“Corporate Body/ Custodian/Mutual Fund”) has forgotten the password:
If a Non-Individual Shareholders holding securities in demat mode has forgotten the USER ID [Login ID] or Password or both then the shareholder can use the “Forgot Password” option available on the e-Voting website of Link Intime: https://instavote.linkintime.co.in
- Click on ‘Login’ under ‘Corporate Body/ Custodian/Mutual Fund’ tab and further Click ‘forgot password?’
- Enter User ID, Organization ID and Enter Image Verification code (CAPTCHA). Click on “SUBMIT”.
In case shareholders is having valid email address, Password will be sent to his / her registered e-mail address. Shareholders can set the password of his/her choice by providing the information about the particulars of the Security Question and Answer, PAN, DOB/DOI, Bank Account Number (last four digits) etc. as mentioned above. The password should contain a minimum of 8 characters, at least one special character (@!#$&*), at least one numeral, at least one alphabet and at least one capital letter.
Individual Shareholders holding securities in demat mode with NSDL/ CDSL has forgotten the password:
Shareholders who are unable to retrieve User ID/ Password are advised to use Forget User ID and Forget Password option available at abovementioned depository/ depository participants website.
- It is strongly recommended not to share your password with any other person and take utmost care to keep your password confidential.
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Helpdesk for Individual Shareholders holding securities in physical mode/ Institutional shareholders & e-voting service Provider is LINKINTIME.
In case shareholders/ members holding securities in physical mode/ Institutional shareholders have any queries regarding e-voting, they may refer the Frequently Asked Questions (FAQs) and InstaVote e-Voting manual available at https://instavote.linkintime.co.in, under Help section or send an email to firstname.lastname@example.org or contact on: - Tel: 022 –4918 6000.
EXPLANATORY STATEMENT PURSUANT TO SECTION 102 (2) OF THE COMPANIES ACT, 2013 (THE “ACT”) SETTING OUT ALL THE MATERIAL FACTS RELATING TO THE SPECIAL BUSINESS MENTIONED IN THE ACCOMPANYING NOTICE:
ITEM NO 1.
The existing Authorized Share Capital of the Company is Rs.7,50,00,000/- (Rupees Seven Crores and Fifty Lakhs only) divided into 75,00,000 (Seventy-Five Lakhs) Equity shares having face value of Rs.10/- each (Rupees Ten only) and paid-up capital is Rs. 4,00,00,000/- (Rupees Four Crores Only).
The Members are informed that the aforesaid Authorised Share Capital of the Company is insufficient to meet the business requirements. In order to support the growth plans of the Company and for other general corporate purposes, it is proposed to increase the Authorised Share Capital of the Company from the existing Rs. 7,50,00,000/- (Rupees Seven Crores and Fifty Lakhs only) divided into 75,00,000 (Seventy-Five Lakhs) Equity shares having face value of Rs.10/- each (Rupees Ten only) to Rs. 25,00,00,000/- (Rupees Twenty-Five Crores only) divided into 2,50,00,000 (Two Crores Fifty Lakhs only) equity shares having face value of Rs. 10/- each (Rupees Ten only) and such additional 1,75,00,000 (One Crore Seventy-Five Lakhs) equity shares shall rank pari-passu in all respects with the existing Equity Shares of the Company.
Members are further informed that in order to give effect to the aforesaid increase in the Authorised Share Capital of the Company, it is required to alter Clause Vof the Memorandum of Association (“MOA”) of the Company and replace the said clause with the below mentioned Clause;
V The Authorised Share Capital of the Company is Rs. 25,00,00,000/- (Rupees Twenty-Five Crores only) divided into 2,50,00,000 (Two Crore Fifty Lakhs Only) Equity Shares of Rs. 10/-(Rupees Ten Only) each. The Company has the power from time to time to increase or reduce its capital and to divide the shares in the capital for the time being, into other classes and to attach thereto respectively such preferential, deferred, qualified or other special rights, privileges or conditions or restrictions, as may be determined by or in accordance with the Articles of Association of the Company and to vary, modify or abrogate any such right, privilege, condition or restriction in such manner as may for the time being be permitted by the Articles of Association of the Company or the legislative provisions for the time being in force in that behalf.
The proposal for increase in the Authorised Share Capital and alteration of the Memorandum of Association (“MOA”) of the Company requires approval of the Members.
The Board of Directors of the Company at its meeting held on 21st June, 2024, has considered, approved and recommended to the Members to approve the increase in Authorised Share Capital and consequent amendment in the capital clause of the Memorandum of Association of the Company.
A copy of the amended Memorandum of Association (“MOA”) of the Company will be made available for the inspection of Members at the Registered Office of the Company.
during the office hours on all the working days except Saturdays, Sundays and public holidays, between 11:00 a.m. to 5:00 p.m. up to and including the date of EGM i.e. 17th July, 2024.
None of the Directors and/or key managerial personnel of the Company or their relatives, except to the extent of their Directorship are in any way concerned or interested (financially or otherwise), in the proposed resolution as set out in the Notice.
The Board recommends the Ordinary Resolution as set forth in item no.1, for the approval of the Members.
ITEM NO. 2.
Section 188 (1) (c) of the Companies Act, 2013, provides that any contract or arrangement of leasing of property of any kind amounting to ten percent (10%) or more of the turnover of the Company to be entered by the Company with the Related Party shall require prior approval of the Company by way of passing ordinary resolution. The Company will enter into lease arrangement for a period of 24 months commencing from May 01, 2024 to April 30, 2027, with M/s. Parwashashanti Buildinfra Projects Private Limited, where Mr. Gautam Kirtikumar Shah, the Managing Director of the Company is holding directorship.
Further, the turnover of the Company for the financial year 2023-24 is Rs. 8,18,600/- (Rupees Eight Lakh Eighteen Thousand Six Hundred only). As the total amount of said transaction is Rs.59,20,200/- (Rupees Fifty-nine Lakh Twenty Two Thousand Two Hundred only), the same is more than ten percent (10%) of the turnover of the Company as per audited financial statement of the preceding year and accordingly would require the prior approval of the members by passing an ordinary resolution.
However, the Company has already entered into the lease agreement and paid lease rent amounting to Rs. 1,60,380/- (Rupees One Lakh Sixty Thousand Three Hundred Eighty only) for the month of April, 2024. Pursuant to Section 188 (3) of the Companies Act, 2013, where any contract or arrangement exceeding the threshold is entered by the Company with a Related Party without obtaining prior approval of the members of the Company, then the same needs to be ratified by the members within three months of entering into such contract or arrangement.
It is clarified that the management had provided the Audit Committee with relevant details of the proposed RPTs, including material terms and basis of pricing. The Audit Committee, in its meeting held on 21st June, 2024 after reviewing all necessary information, has granted its approval to ratify and enter into the said RPTs. The Audit Committee has further noted that the said transaction(s) will not be at arm’s length and shall not in the ordinary course of business.
Information pursuant to SEBI Master Circular No. SEBI/HO/CFD/PoD2/CIR/P/2023/120 dated July 11, 2023 read with SEBI Circular No. SEBI/HO/CFD/CMD1/CIR/P/2021/662 dated November 22, 2021, that are required to be disclosed in the explanatory statement which are applicable to the Company.
| Name of the Related Parties | M/s. Parshwashanti Buildinfra Projects Private Limited |
|-----------------------------|-----------------------------------------------------|
| Nature of the transaction | Use of Premises as Registered Office of the company |
| Duration of the transaction | 11 Months for the Financial Year 2024-25
12 Months for the Financial Year 2025-26
1 Month for Financial Year 2026-27 |
| Particulars of the contract or arrangement | Use of premises of M/s. Parshwashanti Buildinfra Projects Private Limited (Licensor) as the registered office of the Company (Rajath Finance Limited) (Licensee) where in both the Entities Director is interested |
| Material terms of the contract or arrangement including the value, if any | Use of Premises as the registered office of the company against the consideration to be received in one or more tranches up to an extend of Rs.59,20,200/- (Rupees Fifty Nine Lakh Twenty Two Thousand Two Hundred only) |
| Advance paid or received for the contract or arrangement, if any | No Advance paid or received except Security Deposit. |
| The manner of determining the pricing and other commercial terms, both included as part of contract and not considered as part of the contract | Price is determined based on Market conditions; however, Price is being charged below the rate of Market Price. |
| Whether all factors relevant to the contract have been considered, if not, the details of factors not considered with the rationale for not considering those factors | All the Factors are Considered |
| Maximum Expected Value of transactions, in aggregate | The Maximum Expected Value of Transaction is Rs.59,20,200/- (Rupees Fifty-Nine Lakh Twenty-Two Thousand Two Hundred only) |
Any other information relevant or important for the Board to take a decision on the proposed transaction
Based on above facts and figures the amount is computed
Except Mr. Gautam Kirtikumar Shah, the Managing Director of the Company, being related party, none of the other Directors, Key Managerial Personnel or their relatives are, in anyway concerned or interested in the resolution set out at Item No 2. It is further clarified that none of the Directors, KMPs and/or their respective relatives is in any way, concerned or interested, financially or otherwise except for the said RPT's proposed to be entered, in the Resolution mentioned above.
The Board recommends the Ordinary Resolution as set forth in item no.2, for the approval of the Members
By Order of the Board of Directors,
For RAJATH FINANCE LIMITED
__________________________
AKASH HIRENBHAI BHEDA
COMPANY SECRETARY
Registered Office Address:
Rajath Finance Limited
1001, 10th floor, K. P. Aurum,
Marol Maroshi Road, Andheri (E),
Mumbai, Maharashtra-400059
Corporate Identification Number (CIN): L65910MH1984PLC419700
E-mail: email@example.com
Date: 24.06.2024
Place: Mumbai
Form No. MGT-11
PROXY FORM
[Pursuant to section 105(6) of the Companies Act, 2013 and rule 19(3) of the Companies (Management and Administration) Rules, 2014]
| Name of the Member(s) | : |
|-----------------------|---|
| Registered Address | : |
| E-mail | : |
| Registered Folio Number | : |
| DP Id. | |
I/We, being member(s) of _____ shares of the Rajath Finance Limited, hereby appoint
| Name | : |
|------|---|
| E-mail | : |
| Address | : |
| Signature | : |
or failing him/her
| Name | : |
|------|---|
| E-mail | : |
| Address | : |
| Signature | : |
as my/our proxy to attend and vote (on a poll) for me/us and on my/our behalf at the 01/2024-25 Extra-Ordinary General Meeting of the Company, to be held on the 17th day, July, 2024 at 11.00 A.M at the registered office of the Company situated at Office No. 1001, Tenth floor, K. P. Aurum Building, CTS No. 426A, Marol Maroshi Road, Andheri (E), Mumbai, Maharashtra-400059, and at any adjournment thereof in respect of such resolutions as are indicated below:
| Sr. No. | Particulars of Resolution |
|---------|---------------------------|
| 1. | To increase Authorized Share Capital of the Company and consequent alteration of the capital clause of the Memorandum of Association of the company. |
| 2. | Approval of Related Party Transaction |
Signed this ________ day of ___________ 2024
Name of the Member/ Proxy:
Signature of the Member/ Proxy:
Note:
1. This form of proxy in order to be effective should be duly completed and deposited at the Registered & Corporate Office of the Company, not less than 48 hours before the commencement of the Meeting.
2. A proxy shall prove his identity at the time of attending the Meeting.
3. The proxy form should be signed across the revenue stamp as per specimen signature(s) registered with the Company/Depository Participant.
4. A Proxy need not be a member of the Company.
5. Appointing a proxy does not prevent a member from attending the meeting in person if he so wishes. When a Member appoints a Proxy and both the Member and Proxy attend the Meeting, the Proxy will stand automatically revoked.
6. A person can act as a proxy on behalf of members not exceeding fifty and holding in the aggregate not more than 10% of the total share capital of the Company carrying voting rights. A Member holding more than 10% of the total share capital of the Company carrying voting rights may appoint a single person as proxy and such person shall not act as a proxy for any other person or shareholder.
7. In the case of joitholders, the signature of any one holder will be sufficient, but names of all the joitholders should be stated.
8. If Company receives multiple proxies for the same holdings of a member, the proxy which is dated last will be considered valid; if they are not dated or bear the same date without specific mention of time, all such multiple proxies will be treated as invalid.
9. Undated proxy form will not be considered valid.
10. Please complete all details including details of member(s) in above box before submission.
*Applicable for Investors holding shares in demat form.
Form No. MGT-12
Polling Paper
[Pursuant to section 109(5) of the Companies Act, 2013 and rule 21(1) (c) of the Companies (Management and Administration) Rules, 2014]
RAJATH FINANCE LIMITED
[CIN: L65910MH1984PLC419700]
Registered Office: Office No.1001, Tenth Floor, K.P. Aurum Building, CTS No.426A, Marol Maroshi Road, Andheri (E), Marol Bazar, Mumbai - 400059, Maharashtra, India
Phone: 022-29200027 / 022-29200037 Website: www.rajathfinance.com
Email: firstname.lastname@example.org
BALLOT PAPER
| S No. | Particulars | Details |
|-------|-------------------------------------------------|--------------------------|
| 1 | Name of the First Named Shareholder (In block letters) | |
| 2 | Postal Address | |
| 3 | Registered folio No./*Client Id No. (*Applicable to investor holding shares in dematerialized form) | |
| 4 | Class of Shares | Equity Shares |
I hereby exercise my vote in respect of Ordinary Resolution enumerated below by recording my assent or dissent to the said resolution in the following manner:
| No. | Item Details | No. of Shares held by me | I assent to the resolution | I dissent from the resolution |
|-----|-------------------------------------------------------------------------------|---------------------------|----------------------------|------------------------------|
| 1 | To increase Authorized Share Capital of the Company and consequent alteration of the capital clause of the Memorandum of Association of the company. | | | |
| 2 | Approval of Related Party Transaction | | | |
Place:
Date: (Signature of the shareholder)
I hereby record my presence at the 01/2024-25 Extra-Ordinary General Meeting of the Members of Rajath Finance Limited held on Wednesday, 17th July, 2024 at 11.00 A.M. at the registered office of the company situated at Office No. 1001, Tenth floor, K. P. Aurum Building, CTS No. 426A, Marol Maroshi Road, Andheri (E), Mumbai, Maharashtra-400059.
Name of the Member/ Proxy:
Signature of the Member/ Proxy:
Date:
Place:
(To be signed at the time of handing over the slip)
Note:
(1) Members/Proxy holders are requested to produce the attendance slip duly signed for admission to the Meeting Hall.
(2) Copies will not be distributed at the Meeting.
(3) Member/Proxyholder should also bring a valid photo identity (i.e. PAN/AADHAR etc.) for identification purposes
Route Map to the Venue of the 1st Extra Ordinary General Meeting
(Venue: Office No. 1001, Tenth floor, K. P. Aurum Building, CTS No. 426A, Marol Maroshi Road, Andheri (E), Mumbai, Maharashtra-400059) |
1747
Procuration in blank granted by Jean Francois Huchet Kernion, to represent him in settlement of any succession coming to him 5-1
Procuration to Pierre Compere by Charlotte Thevenard authorized by her husband, Henry Buquoy, to act for her in settlement of succession of her parents 5-1
Book of recapitulation of sale of cargo of boat "L'Hirondelle" under Capt. Dupre Vincent arriving from St. Augustine, Fla. owned by P. Commel 5-1
Petition of Jac. Leau, soldier, to compel Gaspard Bellome to render account of his administration of Leau Succession 5-2
Declaration in Registry by Aug. Payen de Noyan, that goods will be sent by another ship on account of excessive price demanded by the King's ship 5-3
Petition for citation of Dubreuil Jr., for payment of 2 notes due to De Montandan 5-4
Petition by Chas le Sassier, representing Madeline Rose Bizoton, for citation of Sr. Chantalou, who holds procuration of Chas. Lambert Desgranges, to compel settlement of claim 5-5
Criminal case of Larue, free mulatto, charged with illicit carrying of arms & attempt to murder Rousay 5-5
Petition to S.C. by Aug. Viger & other heirs, for citation of their mother, Widow Viger, for a division of their father's property 5-5
Procuration in blank granted by Nicolas Judice in matter of his ward, Louis Judice, whom he is sending to France to learn a trade 5-5
Legal ratification of exchange of lots between Michel Brosset & Francois Brosset 5-5
1747
Demand by Fleurian that accused (La Rue) be re-examined & confronted with witnesses 5-6
Marriage contract. Pierre Henry De Neville & Dame Pelagi Fleuriau 5-6
Judgments rendered by S.C. 5-6
Procuration in blank for settlement of commercial affair between Pery of La. & Jung of Bordeaux, France 5-8
Agreement by Sevet to Chantalou 5-10
Acknowledgment by Henry, Clerk of Council, of funds received in trust 5-10
Sale of 2 lots & house to P. Clermont by P. Rasteau 5-10
Notarial act of sale of house & 2 lots 5-10
Procuration granted by Pierre Delille Dupart to Francois Jahan for settling an inheritance in France 5-12
Procuration granted to Honore Ollivier for collection of a commercial account due in Martinique 5-12
Procuration by J.B. de Chavannes to Francois Jahan to compel payment of annuity left by will to petitioner 5-12
Contract of Marriage. Francois Jourdain & Francoise Le Roy Ferrand 5-12
Procuration granted to Francois Jahan by Marianne Fournier, wife of Louis Ancelin for settlement of inheritance in France 5-12
Procuration granted to Francois Jahan by Marie Louise Didier for settlement of inheritance in France 5-12
Letter in regard to settlement of claims written to an official in Cap. Francois, Santo Domingo 5-1
Procuration by Jos. Delfau Pontalba of Pointe Coupee 5-1
Invoice of merchandise delivered to Forstall & Boussebeyre for which collection is sought above 5-15
Copy of a letter from Recorder Henry to Dartaguette Diron, concerning affairs of Lambert Desgranges for his wife, widow of Bernard Diron, deceased in Santa Domingo.
Collated copy of Contract of Marriage between Jean B. Girardot & Therese Neveu, at Fort Chartres 5-16
Receipt of Fabry de la Bruyere for 2000 livres in notes for privilege of trade with the Attakapas during de Bienville's Administration 5-18
Procuration granted by Jac. Massicot & Pierre Revoil to Francois Jahan, for arrangement of a partnership for trade between France & La. between merchants of N.O. & one in Rochefort, France 5-18
Confrontation of witnesses with Larue 5-18
Notice of citation served on Baptiste & Ferrand to appear in court in criminal case of mulatto La Rue 5-18
Obligation of Gautrais to pay to Aufrere, 1,347 livres in France, with mortgage security 5-19
Procuration by Pierre Rene Harpain de Lagautrais, to his wife Dame Therese Neveu 5-19
Conclusions of the Procurator General for the King. (Criminal case of La Rue). 5-19
Deposit in Registry of the papers submitted by Prat, Councilor for the King, before sailing for France. 5-20
Obligation of Jean Jos. Delfau de Pontalba for 3600 livres payable in year from date 5-20
Procuration in blank by Claude Jos. DuBreuil Villars, authorizing some one to represent him in Paris 5-20
| Description | Page |
|----------------------------------------------------------------------------|------|
| Letter of Le Marin written at N.O. to his sister at La Rochelle, personal matters | 5-22 |
| Four letters written from N.O. to Boisnard, at Rochefort | 5-22 |
| Contract of apprenticeship passed by Francois Songy & Claude Prevost for former's son Pierre Songy | 5-25 |
| Procuration by Jac. Vincent Lespre, Capt.of the Frigate "La Fortune", to his wife, Christine Allard | 5-26 |
| Declaration in Registry by Francois Shistant of having delivered deerskins to Gaspard Pietet | 5-28 |
| Excerpts from a letter written by Prevost to Buchet | 5- |
| Marriage Contract. Antoine Sarazin & Marie Collon, widow of Jean Rondot | 6-1 |
| Decision of S.C.in case of Jacques Love, vs Gaspard Bellome | 6-7 |
| Succession of Marie Anne Danis, widow of Philippe Chauvin Joyeuse | 6-10 |
| Sale of the effects of Widow Chauvin | 6-6 |
| Letter of Louis Langlois, regarding a business transaction | 6-12 |
| Certificate by Fr. Charles, Capuchin Superior, that he received full payment for share in the crassine sold to him by the mission | 6-23 |
| Negro suicide. Investigation of the case of a negro slave of Bellile who had hung himself in one of Dubreuil's negro cabins | 6-26 |
| Declaration of Louis Glachant, soldier, as to his parentage & past life, and demand for a certificate as to these facts | 6-28 |
Petition by J.B. Le Gros for removal of a dilapidated house built on property line, or that owner be held liable for ensuing damages to the property of the complainant 6-28
Certificate by Debat as to the truth of claims made by LeGros against Bourbon, as stated above 6-24
Official notice of the death of Widow Duranton 6-30
Description made in form of inventory of the property of Jeanne Janviel, widow of Duranton 7-1
Judgments rendered by the S.C. on five cases 7-1
Judgment rendered in suit of Antoine Philippe de Marigny vs Ignace Broutin 7-1
Obligation in solido by Chas Dauteuillie, & Jos. Pelleti to Mr. Ancelin 7-6
Obligation by Jos. Pelletier to Francois Doyon 7-8
Succession of Louis Houmard 7-8
Inventory & appraisement of property of Jean Louis Houmard, deceased 7-8
Marriage contract, Jos. Deville Desgoutin & Marie Jeanne Caron 7-29
Obligation of Jac. Lorraine called Tarascon to Jacques Massicot 8-1
Letter to Benoist de St.Clair by Widow Gervais 8-2
Will of Louis Cheval, who makes provision of his property after death though now in perfect health 8-3
Excerpts of the register of the session of the S.C judgment rendered in suit of Voisin vs de Chavannes 8-5
Complaint of Hardy La Vierge against Barbot, his stepson who has attacked & insulted him 8-7,9
Complaint by Pierre Jolly of theft of 2 watches 8-11
Nuncupative will of Claude Vignon, called La Combe 8-16
Daniel Hubert vs Mr. Barbin, public Administrator 8-16
Proceedings confirming the indentify of one Pierre Nic. Messager 8-26
Lease of a part of a house by Voisin to Gary (Garic) 8-28
Complaint of Marianne Dinan against her husband, Jean Cariton 8-28
Last will & testament of Thomas Desercis 8-29
Petition to S.C. De Marigny vs Broutin 8-30
Marriage contract. Louis Pigeot & Francoise Roquigny 8-31
Acknowledgment by Jean Philippe Grondel of a debt of 10,000 livres to one Diederick, officer of same Regiment.
(Signed) Grondel
De Beauchamp
Dustine
Bernoudy
Bobe Descloseaux
F. Saucier
Chantalou
Henry, Notary.
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 431.
Procuration in blank granted by Jean Francois Huchet Kernion, to represent him in settlement of any succession coming to him.
(Signed) Huchet de Kernion
Lenormand
Chantalou
Henry, Notary.
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 431.
Procuration to Piere Compere
by Charlotte Thevenard, authorized
by her husband, Henry Buquoy, to
act for her in settlement of
succession of her parents.
(Signed) Buquoy
Lenormand
Chantalou
Henry, Notary.
In Louisiana Historical Quarterly, Vol. 18, No. 2,
April, 1935, P. 432.
Book of recapitulation of sale of cargo of boat "L'Hirondelle" under Capt. Dupre Vincent arriving from St. Augustine, Florida, owned by Sieur P. Commel, 1747.
Invoice of 154 packages of deer skins shipped by Paul Rasteau of New Orleans, by boat "L'Hirondelle" going to St. Augustine, Florida.
Amt. of said invoice, 16,390 livres.
Account of Cargo of boat "L'Hirondelle" commanded by Capt. Dupre Vincent with P. Rasteau of New Orleans amounting to the sum of 20,333 livres, 10 sols, 10 deniers.
(Signed) P. Rasteau.
Capt. Dupre Vincent, in account with Paul Rasteau, will pay 1341 livres, 5 sols, 1 denier after payment of 8000 livres due him on flour sold at Pensacola.
NOTE: All of the above indexes enclosed in book entitled "Lirondelle Capitaine Le Pre 1747."
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 431.
Collated copy of a receipt for 1005 livres of Treasury Notes by Mr. Prat.
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 452.
Registration of obligation for a sum of 4,580 livres, 8 sols, 9 deniers due Louis Tixerant and Marie Arlut, his spouse, to Sieur Rasteau.
(Signed) Tixerant
Arlut Tixerant
Lenormand
Chantalou
Henry, Notary.
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 432.
Petition by Jacques Leau, soldier, to compel Gaspard Bellome to render account of his administration of Leau Succession.
(Signed) Leau
Le Normand
Vincent
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 432.
Obligation by Brosset to Rene Herpin de la Gautrais, and contract for the employment of a runaway slave.
(Signed) Brosset
De la Gautrais
Chantalou
Henry, Notary.
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 432.
Declaration in Registry by Augustin Payen de Noyan that goods will be sent by another ship on account of excessive price demanded by the King's ship.
(Signed) Noyan Henry, Notary.
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 433.
Contract by Nicolas St. Martin, who agrees to accompany Louis Marin on a journey to Illinois and return, for a stipulated sum of three hundred and fifty livres.
(Signed) Martin
Lenormand
Chantalou
Henry, Notary.
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 433.
Petition for citation of Dubreuil, Jr. for payment of two notes due to De Montandran.
May 20. Citation served.
June 16. Second notice served.
Listed in Louisiana Historical Quarterly, Vol. 18, No. 3, July, 1935, Page 699, under date of June 16.
Petition to Superior Council by Sieur Delagautrais for order to Sieur Barbin to compel payment of certain debts growing out of settlement of succession.
(Signed) De la Gautrais
Le Normand
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 434.
Petition by Charles Le Sassier, representing Madeline Rose Bizoton, for citation of Sieur Chantalou, who holds procura-tion of Charles Lambert Desgranges, to compel settlement of claim.
(Signed) Chantalou
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 431.
Criminal case of Larue, a free mulatto, charged with illicit carrying of arms and attempt to murder Roussy.
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 438.
Petition to Superior Council by Augustin Viger and other heirs, for citation of their mother, Widow Viger, for a division of their father's property.
(Signed) Clairmon
Viger
Le Normand.
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 434.
Procuration in blank granted by Nicolas Judice in matter of his ward, Louis Judice, whom he is sending to France to learn a trade.
(Signed) Nicolas Judice
Lenormand
F. Dagobert
Chantalou
Henry, Notary.
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 434.
Legal ratification of exchange of lots between Michel Brosset and Francois Brosset.
(Signed) Fleuriau
Brosset
Jahan
Chantalou
Lenormand
Henry, Notary.
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 434.
Deposit in Registry of a sum of forty eight piastres of Spanish money to cover payment for a half lot, the heir to which is absent in parts unknown.
(Signed) Henry.
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 435.
Answer to the Council by Gaspard Bellome, asking for a delay in rendering an account of his administration of said succession for minor heirs, following petition of Jacques Lauve.
(Signed) Gaspard Bellome.
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 436.
Demand by Fleuriau that accused (La Rue) be re-examined and confronted with witnesses.
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 438.
Session of Superior Council.
Sieur Le Sassier, acting under procuration of Widow Bizoton, plaintiff, vs. Sieur Chantalou, holding procuration of Sieur Lambert.
(Signed) Le Sassier
Vincent
Lenormand
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 435.
Marriage contract between Pierre Henry De Neville and Dame Pelagie Fleuriau.
(Signed) Pierre De Neville
Anne Le Picard
Fleuriau
Dame Pelagie de Moriere
Raguet
Chantalou
Le Normand
Henry, Notary.
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 436.
Session of Superior Council, and judgments rendered according to the following:
Rasteau vs. Dumanoir.
Widow Bizoton, vs. Chantalou, procurator of Mr. Lambert, husband of Widow Diron, defendant.
Bancio Piemont, for Jean Jung, vs. G. Pery.
Tasein vs. Quartier and de Coigne.
Hubert La Croix vs. Clermont.
Mathieu vs. Pery.
Lowe vs. Belhome.
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, Page 435.
Decree of bodily arrest by Superior Council.
(Criminal case of La Rue)
In Louisiana Historical Quarterly, Vol. 18, #2,
April 1935, page 438, 5th Doc.
54/19
Certificate of notary public of the adjudication of the frigate "L'Avare" as a war prize to André Gerbe of the town of Merida.
(A true copy of the original certificate in Spanish).
(Signed) P. Rasteau
(3 pages)
Listed in Louisiana Historical Quarterly, Vol. 18, #2, April 1935, Page 437
YEAR 1747
MAY 8
Sale of a frigate "La Fortune" by Sr. Andre Gerbe to Sr. Baltazar De Ponfrac Chevalier de Mazan.
(4 pages)
Listed in Louisiana Historical Quarterly, Vol. 18, #2, Page 437, April 1935
54/29
Procuration in blank for settlement of commercial affairs between Pery of Louisiana and Jung of Bordeaux, France.
(Signed) G. Pery
(2 pages)
Listed in Louisiana Historical Quarterly, Vol. 18, No. 2, April 1935, Page 439, listed as May 10th.
ACCOUNT OF SR. GILBERT
OF LA ROCHELLE.
Statement of goods shipped by Gerard Pery
on various vessels of the King for account
of Sr. Gilbert.
| Route | Amount |
|------------------------------|------------|
| Via La Somme, with de Roessel Cpt. | 37007.12 |
| Via La Flute, Mr. d'Atilly, Cpt. | 5427 |
| Via Lemable Dellot, Midy Cpt. | 8733.18 |
51168.10
Certification as to correctness according to
shipping receipts and bills of lading.
(Signed) Gerard Pery
On reverse side is a Balance sheet showing
Disbursements and Receipts.
For lack of space on these pages the amounts
were brought forward on first pages.
Debits .................. total 25122.
Credits ................ " 25122.
(4 pages)
Not listed in Louisiana Historical Quarterly.
Petition to Council seeking return of papers given under false impression to Sieur Mathieu by Sieur Gerard Pery, who cannot leave his plantation due to high stage and overflow of river at present time.
(Signed) Henry, Notary
(4 pages)
Listed in Louisiana Historical Quarterly, Vol. 18, No. 2, April 1935, Page 436
LAND GRANTS IN LOUISIANA.
Louisiana, May 9, 1747.
This document is an extract from the register entitled: "Colony of Louisiana," together with certified copies of various ordinances and regulations registered with the Superior Council of Louisiana.
An ordinance of the State Council of the King, issued August 10th, 1728, has reference to land grants in Louisiana. The Director of the West India Co., petitioned the king subsequent to his granting that Company the province of Louisiana. An ordinance of the State Council issued Oct. 12, 1716, governed the distribution of land in Louisiana into small portions, constituting in itself a private domain.
On July 17, 1743, the king issued a proclamation regarding the proper legal procedure to be employed in all contested claims over lands, and relating to land grants to be drawn up in the colony. Eight articles were promulgated, all tending to empower only the governors, lieutenant generals, or the officers who might act during their absence, the commissaries of the colonies to jointly confer the land grants upon residents in a position to obtain them, and to draw up the customary deeds. The proclamation further rendered null and void, all annexations of land not properly declared.
This document is certified as to correctness and genuineness by Pierre Le Redde, Chief of the Bureau of Archives of the Marine of the colonies at Paris, France, Sept. 30, 1839.
(cont'd)
The Consul of the United States of America, for Paris, Daniel Brent, certifies as to the genuineness of the signature of Mr. Chancepart, who himself had previously sworn as to the genuineness of the signature of Mr. Le Redde, of the Bureau of Archives at Paris.
The document is signed:
Phelippeaux
Pierre Le Redde
Chancepart
Daniel Brent.
Not printed in Louisiana Historical Quarterly.
59/19
Letter to Mr. Dartagnette Diron in Paris concerning claim in settlement of a succession.
(4 pages)
Listed in Louisiana Historical Quarterly, Vol. 18, #2, Page 439, April 1935
54/29
Agreement by Sevet to Chantalou.
(3 pages)
Listed in Louisiana Historical Quarterly, Vol. 18, #2, Doc. 5, Page 439, April 1935
54/29
Acknowledgment by Henry, Clerk of Council, of funds received in trust.
(1 page)
Listed in Louisiana Historical Quarterly, Vol. 18, #2, Page 439, April 1935
54/29
Excerpt from Register of Superior Council in case of a former slave freed by his master, Mr. Dartagnette, in his will.
(4 pages)
Listed in Louisiana Historical Quarterly, Vol. 18, #2, Page 440, April 1935
54/29
YEAR 1747
MAY 10
Sale of 2 lots and house to P. Clermont by Paul Rasteau.
(4 pages)
Listed in Louisiana Historical Quarterly, Vol. 18, #1, Page 441, April 1935
54/29
Notarial act of sale of house and two lots.
In Louisiana Historical Quarterly, Vol. 18, #1, Doc. #1, page 441, April, 1935.
YEAR 1747
2 pages
MAY 10
Procuration in blank by Sr. Gerald Pery.
In Louisiana Historical Quarterly, Vol. 18, #2, page 439, April 1935.
Obligation by Sevet to Chantalou for payment of balance due on commercial account.
In Louisiana Historical Quarterly, Vol. 18, #1, Page 443, April, 1935.
Procuration granted by Pierre Delille Dupart to François Jahan for settling in France an inheritance.
In Louisiana Historical Quarterly, Vol. 18, #2, page 442, April, 1935.
YEAR 1747
3 pages.
Procuration granted to Sr. Honoré Ollivier for collection of a commercial account due in Martinique.
In Louisiana Historical Quarterly, Vol. 18, #2, page 443, April, 1935.
Procuration by Sr. Jean Baptiste de Chavannes to François Jahan to compel payment of annuity left by will to petitioner.
In Louisiana Historical Quarterly, Vol. 18, #2, page 444, April 1935.
Contract of marriage between François Jourdain and Francoise Le Roy Ferrand.
(Signed)
François Jourdain
Cacadier Francoise Leroy
Dusigne
Avignon
C. Duvreux
Dupré
Lenormand
Chantalou
Henry,
Notary
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 444.
Procuration granted to Sr. François Jahan by Marianne Fournier, wife of Louis Ancelin for settlement of inheritance in France.
In Louisiana Historical Quarterly, Vol. 18, #2, page 444, April 1935.
Procuration granted to François Jahan by Marie Louise Didier for settlement of inheritance in France.
In Louisiana Historical Quarterly, Vol. 18, #2, page 445, April 1935.
Bill due by Mr. Rasteau, receipted by Lesassier.
In Louisiana Historical Quarterly, Vol. 18, #2, April, 1935, page 445.
Receipt to Mr. Rasteau from Mr. Demerant, for bricks.
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 445.
Letter in regard to settlement of claims written to an official in Cap. François, Santo Domingo.
In Louisiana Historical Quarterly, Vol. 18, #2, page 446.
Procuration by Joseph Delfau Pontalba of Pointe Coupee to Nicolas Henry in New Orleans.
In Louisiana Historical Quarterly, Vol. 18, #2, page 445, April, 1935.
Receipt to Gilbert Cacadier Dusigue for payment of a negress "Jeannette."
In Louisiana Historical Quarterly, Vol. 18, #2, page 446, April, 1935.
54/19
Invoice of merchandise delivered to Forstall and Boussebeyre for which collection is sought above.
In Louisiana Historical Quarterly, Vol. 18, #2, page 443, April 1935.
A rough copy of another letter written to Dartaguette by Henry, Clerk of Superior Council in regard to settlement of claims. (Erasures and whole pages crossed out in ink stained script.)
(Signed)
Henry,
Notary
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 446.
54/19
Copy of a letter from Recorder Henry to Monsieur Dartaguette Diron, concerning affairs of Monsieur Lambert Desgranges for his spouse, Widow of Bernard Diron deceased in Santo Domingo.
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 445.
Collated copy of Contract of Marriage between Jean Baptiste Girardot and Therese Neuveau, before Nicolas Michel Chassin, Notary at Fort Chartres.
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 447.
Obligation for 1200 livres due by Sieur François Jahan, payable in Spanish piastres, on return of King's ship with cargo.
(Signed)
Jahan
Lenormand
Chantalou
Henry,
Notary
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 447.
Obligation to pay 240 piastres in silver with debtor giving mortgage security. Obligation to Sieur Paul Rasteau by François Jahan.
(Signed) Jahan
Dausseville
Chantalou
Henry,
Notary
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 447.
NOTE: The document shows the date as July 30, 1745. Which is incorrect.
Letter written to Mr. Henry by Mr. Dubreuil concerning notes in possession of Tourangeau.
In Louisiana Historical Quarterly, Vol. 18, No. 2, April, 1935, P. 447, 6th Doc.
Deposit of collated copy of Marriage Contract dated November 9, 1722, between Jean Baptiste Girardot and Demoiselle Therese Neveu
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 447.
54/19
Declaration by Dorient of protest in his own name and acting for Messieurs Pera and Delatouche, against loss ensuing because two slaves not permitted to form part of boat crew.
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 448, 5th Doc.
Receipt of Monsieur Fabry de la Bruyere for two thousand livres in notes for privilege of trade with the Attakapas during Monsieur de Bienville's administration.
(Signed) Raguet
Not in Louisiana Historical Quarterly, 54/19
Promissory note executed by Sr. Goudeau to the order of Sr. Ancelin, for 50 livres, representing purchase price of merchandise.
Not in Louisiana Historical Quarterly.
Procuration granted by Jacques Massicot and Pierre Revoil to François Jahan, for arrangement of a partnership for trade between France and Louisiana between merchants of New Orleans and one in Rochefort, France.
(Signed)
Revail
Massicot
Lenormand
Henry,
Notary
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 449.
Confrontation of witnesses with Larue.
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 438, 5th Doc.
Re-examination of witnesses against La Rue.
In Louisiana Historical Quarterly, Vol 18, #2, April 1935, page 438.
Second interrogation of La Rue.
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 438, 8th Doc.
Notice of citation served on Baptiste and Ferrand to appear in court in criminal case of mulatto La Rue.
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 448.
Sale of two lots by Pierre Lefort to Jean Baptiste Rolland for the sum of 150 piastres.
(Signed)
Lefort
Rolland
Chantalou
Lenormand
Henry,
Notary
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 449.
Obligation of Gautrais to pay to Aufrere, 1,347 livres in France, with mortgage security.
(Signed)
Harpain De la Gautrais
Chantalou
Le Normand
Henry,
Notary
In Louisiana Historical Quarterly, Vol. 18, #2, April 1955, page 449.
Obligation to the amount of 1,379 piastres by Sieur André Fabry de la Bruyere, to Sieur Loquet de la Pommeraye, payable in two years with mortgage security.
(Signed)
Fabry
Dauseville Chantalou
Henry,
Notary.
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, P. 450.
Procuration by Pierre René Harpain de Lagautrais, to his wife, Dame Therese Neveu.
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 450.
Conclusions of the Procurator General for the King. (Criminal case of La Rue.)
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 438, 8th Doc.
Judgment rendered in criminal case against Larue, a free mulatto, for carrying arms and attempt to murder.
Unfinished copy of interrogatories.
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 438, 8th doc.
Deposit in Registry of the papers submitted by Mr. Prat, Councilor of the King, before sailing for France.
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, P. 451.
Obligation of Jean Joseph Delfau de Pontalba for 3600 livres payable in a year from date.
(Signed)
PONTALBA
Lenormand
Chantalou
Henry,
Notary
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 453.
Receipt to Jean Baptiste Rolland for 50 piastres in payment of two lots.
(Signed)
Lefort
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 451.
Note for 1249 livres secured by mortgage, Gautrais to Dupart.
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 451, 3rd Doc.
Procuration in blank by Claude Joseph Du Breuil Villars, authorizing someone to represent him in Paris.
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 451, 2nd Doc.
Sale by Jean Joseph Delfau de Pontalba of two slaves to Sr. Dauphin.
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 453, 2nd doc.
Letter of Sr. Le Marin written at New Orleans to his sister ______ at La Rochelle, treating of personal matters.
Not in Louisiana Historical Quarterly.
FOUR LETTERS WRITTEN FROM NEW ORLEANS TO MR. BOISNARD, AT ROCHEFORT.
The letter is opened with some disparaging remarks about a Mr. Petit, who has tricked the writer in all their business associations.
Writer is enclosing a letter of exchange for 2400, a drawn in his favor by Mr. Chavanne on a Mr. De Bricoque. The enclosure is followed by request that out of the 2400 livres, 500 be sent to writer's sister, with a promise of its payment by a letter of exchange sent via the frigade which is expected daily.
He also recommends to Mr. Boisnard a Mr. Hazan who will deliver this letter, as well as a Mr. Chavanne.
(Signed) Ancelain
Not printed in Louisiana Historical Quarterly.
Bill presented to Captain Dupré of the ship L'Hirondelle, by Paul Rasteau.
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 453.
I. O. U. of Gremillion for 20 livres, 12 sols, due Mademoiselle Lange for account of Mr. Aselain for merchandise.
Not found in Louisiana Historical Quarterly.
Contract of apprenticeship passed by François Songy and Claude Prevost for former's son, Pierre Songy.
(Signed)
Chantalou
Songy
Prevost
Lenormand
Henry,
Notary
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, P. 454.
Procuration by Jacques Vincent Lespré, Captain of the Frigate "La Fortune", to his wife, Christine Allard.
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 454, 2nd Doc.
Procuration given by Jacques Hubert Bellair in blank for looking after his interest in Succession of his parents.
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 454.
Declaration in Registry by François Chastant of having delivered deerskins to Caspard Pietet.
In Louisiana Historical Quarterly, Vol. 18, #2, April 1935, page 455, 2nd Doc.
EXCERPT FROM A LETTER WRITTEN BY MR. PREVOST TO MR. BUCHET.
On hearing of the death of Mr. De La Loire, Prevost writes to Buchet about indebtedness of his deceased brother La Loire Desursain, as manager of the company at Mobile. He prays Mr. Buchet to oppose delivery of property of deceased, also stating that Company holds a special mortgage on the negroes belonging to deceased Desursin for advances made to him during the last Administration.
(Signed) Prevost
Certified copy.
(Signed) Buchet
MARRIAGE CONTRACT, DRAWN UP AT POINT COUPEE
Between
{ ANTOINE SARRAZIN
AND
MARIE COLLON, WIDOW
OF JEAN RONDOT.
Listed in Louisiana Historical Quarterly, Vol. 18, No. 3 July 1935, Page 696.
(May 6) DECISION OF SUPERIOR COUNCIL IN CASE OF JACQUES LOVE, VS: GASPARD BELLOME.
(June 7) Notice served on Gaspard Bellome, regarding above decision.
Listed in Louisiana Historical Quarterly, Vol. 18, #3 July, 1935, Page 697.
EXCHANGE OF SLAVES.
Between ( Loise
( and
( Germain.
Listed in Louisiana Historical Quarterly, Vol. 18, #3 page 697 July, 1935.
SALE OF A SMALL TRACT OF LAND IN POINTE COUPEE, BY Francois Gerard and wife to Sr. Brouillard.
Listed in Louisiana Historical Quarterly, Vol. 18, #3 July, 1935, Page 697.
YEAR 1747
18 pages
JUNE 10
SUCCESSION OF MARIE ANNE DANIS,
WIDOW OF PHILIPPE CHAUVIN JOYEUSE.
PP. 29465
PETITION OF THE PROCUREUR GENERAL
IN REGARD TO THE INVENTORY OF THE
EFFECTS OF WIDOW PHILIPPE CHAUVIN,
RECENTLY DECEASED.
Apr. 28, 1734
PP. 29471-
MARRIAGE CONTRACT
OF
PHILIPPE CHAUVIN
AND
DELE MARIANNE DANIS.
Page 29470
Receipt for Rent.
PP. 29475
LETTER REGARDING MONEY DUE DECEASED
FROM SUCCESSION.
SALE OF EFFECTS OF WIDOW CHAUVIN.
June 6, 1747
P. 29478.
DEBT STATEMENT.
July 4, 1747
Page 29469
RECEIPT OF LAJACDILA FOR 25 LIVRES FOR WASHING
DONE ON ACCOUNT OF MRS. JOIEUSE.
Money was received from La Freneliere.
(Signed) Lajacdila.
October 4, 1718.
Page 29474
CERTIFIED COPY OF BAPTISMAL CERTIFICATE OF MARIE ANNE,
DAUGHTER OF CHARLES DANIS AND DOROTHEE MECHIPEERSATA.
GODFATHER: ADRIEN ROBILLARD
GODMOTHER: FRANCOISE LABRISSE.
November 3, 1741.
CERTIFICATION
(SIGNED) BY
P. F. WATRIN, Missionary Priest.
Listed in L. H. Q. Vol. 18, No. 3 July, 1935.
P. 697, Document No. 4.
PROCURATION BY LAYSSARD FOR THE RECOVERY OF GOODS CONSIGNED TO ONE VIVIER OF CAP FRANCOIS, NOW DECEASED, OR FOR COLLECTION OF THE VALUE THEREOF.
Listed in Louisiana Historical Quarterly, Vol. 18, #3 July, 1935 Page 698.
LETTER FROM LA ROCHELLE, FRANCE.
Addressed to Mr. Buquoy called Plezence, on his plantation on the Mississippi River at New Orleans.
The writer states he is sending this letter by Mr. Aurillon, who is on the King's ship, which goes to Mississippi; that he has used the money derived from the sale of his (Buquoy's) house to purchase merchandise which the said writer has been keeping for the past two years, being unable to have same shipped on "La Vestalle" or "La Raine des Anges". Further stating he hopes to ship the merchandise by the next merchant ship going to Mississippi. The remaining 300 livres, balance due on sale of the house, will be paid in the month of November, the writer declares he shall invest the amount any way Mr. Buquoy wishes and also send his (Mr. Buquoy's) personal effects which are packed and ready. He terminates the letter with assurances that the delay is not his fault.
(Signed) Compere
Not listed in Louisiana Historical Quarterly.
LETTER OF LOUIS LANGLOIS, REGARDING A BUSINESS TRANSACTION.
Listed in Louisiana Historical Quarterly, Vol. 18, No. 3 July 1935, Page 699.
SLIP RECEIPT. CERTIFICATE BY FR. CHARLES, CAPUCHIN SUPERIOR, THAT HE RECEIVED FULL PAYMENT FOR SHARE IN THE CRASSINE SOLD TO HIM BY THE MISSION.
Listed in Louisiana Historical Quarterly, Vol. 18, No. 3, July 1935 Page 700.
PETITION OF DUBREUIL
FOR COLLECTION OF A
DEBT FROM BELLOME.
Listed in Louisiana Historical Quarterly, Vol. 18, No. 3 July, 1935, Page 700 Document No. 2.
REPORT IN REGISTRY OF DEATH
OF TWO SLAVES BELONGING TO
SUCCESSION OF ROBERT AVART.
Listed in Louisiana Historical Quarterly, Vol. 18, No. 3, July 1935. Page 700.
June 26 Judicial investigation of the case of a negro slave of Bellile who had hung himself in one of Dubbsuill's negro cabins.
June 26 Report of inquest on body of above negro suicide.
June 26 Official request for visit to the negro quarters where above suicide occurred.
Order to Chief Surgeon to examine corpse of above negro suicide.
Listed in Louisiana Historical Quarterly, Vol. 18, #3: July 1935, Page 700.
DECLARATION OF LOUIS GLACHANT, SOLDIER, AS TO HIS PARENTAGE AND PAST LIFE, AND DEMAND FOR CERTIFICATE AS TO THESE FACTS.
Listed in Louisiana Historical Quarterly, Vol. 18, #3, July, 1935, Page 701. Document No. 3.
PETITION BY JEAN BAPTISTE LE GROS
FOR REMOVAL OF A DILAPIDATED HOUSE
BUILT ON PROPERTY LINE, OR THAT
OWNER BE HELD LIABLE FOR ENSUING
DAMAGES TO THE PROPERTY OF THE
COMPLAINANT.
Citation issued.
Notice of service of Citation.
CERTIFICATE BY DEBATAS TO THE
TRUTH OF CLAIMS MADE BY LE GROS
AGAINST BOURBON, AS STATED ABOVE.
DEFENSE OF BOURBON AGAINST CLAIMS
AND DEMANDS OF LE GROS.
Listed in Louisiana Historical Quarterly, Vol. 18 #3
Page 701, July 1935.
Official notice of the death of Widow Duranton.
In Louisiana Historical Quarterly, Vol. 18, No. 3, July 1935, P. 705, 5th Doc.
Description made in the form of an inventory of the property of Jeanne Janviel, widow of Duranton.
In Louisiana Historical Quarterly, Vol. 18, No. 3, July 1935, P. 706, 1st Doc.
No number
(Duplicate of #1107)
YEAR 1747 JULY 1
Duplicate of Judgments rendered by Superior Council on July 1, 1747.
In Louisiana Historical Quarterly, Vol. 18, No. 3, July 1935, P. 703, 2nd Doc.
Session of the Superior Council.
Judgments rendered in following cases:
1. Sr. de Marigny vs. Ignace Broutin and wife.
2. Sr. Pierre Frederic de Montandon vs. Sr. Du Breull, the eldest son.
3. Sr. DuBreuil, the father, vs. Sr. Gaspard Bellome.
4. Sr. Jacques Love vs. Gaspard Bellome.
5. Sr. Capraise Mathier vs. Sr. Gerard Pery, as executor.
In Louisiana Historical Quarterly, Vol. 18, No. 3, July 1935, p. 705. 5th Doc.
Judgment rendered in suit of Antoine Philippe de Marigny vs. Ignace Broutin.
In Louisiana Historical Quarterly, Vol. 18, No. 3, July 1935, P. 704.
EXCERPTS FROM THE REGISTER OF SESSIONS
OF THE SUPERIOR COUNCIL COVERING THE
PETITION OF JEAN BAPTISTE AND FRANCOISE
PANYOUSSA, MINOR CHILDREN OF INDIAN
NATIONALITY OF ONE MARIANNE, AN INDIAN
WOMAN, MOTHER OF BERTHELOT'S DECEASED
WIFE AND OF THE TWO PETITIONERS.
and
PETITION OF JEAN BAPTISTE AND FRANCOISE
PANYOUASSA, REQUESTING THE PROCUREUR GENERAL
TO TAKE THE NECESSARY PROCEEDINGS TO CARRY
OUT THE FOREGOING AGREEMENTS.
JULY 1 Raguet, Procureur General, consents
and asks the Court to allow the petitioner to
accept the donation.
JULY 1 Order of the Council.
Letter by Berthelot to the Superior Council
listed in same Quarterly under date of April 6
is missing from French document.
Listed in Louisiana Historical Quarterly,
Vol. 18, #1, January, 1935, Page 165.
Sale of a negro slave by Marianne Giraudon, widow of Louis Viger, now wife of Jean Moreau, separate in property, to Pierre Clermont.
In Louisiana Historical Quarterly, Vol. 18, No. 3, July 1935, P. 705, 1st Doc.
RECEIPTED BILL OF LAYSSARD BROTHERS TO MR. DE LAPOMMERAY, COVERING MERCHANDISE, IN THE AMOUNT OF 688 LIVRES, 15 SOLS, 1 DENIER.
Not Listed in Louisiana Historical Quarterly.
This document will be found in
File #28936
Succession of Sr. Jacques Judice
February 16, 1747
YEAR 1747
JULY 4
SUCCESSION OF SR. JACQUES JUDICE
Rent lease of house situated at the corner of Royal and Bienville Streets by Nicolas Judice, as tutor of his nephew, Louis Judice, to Pierre Vautier, Surgeon.
{Signed} Pierre Vautier
Nicolas Judice
Listed in Louisiana Historical Quarterly, Vol. 18, #3, July 1935, Page 705
53/29
OBLIGATION IN SOLIDO BY CHARLES DAUTEUILLIE, and JOSEPH PELLETIER TO MR. ANCKLAIN.
Listed in Louisiana Historical Quarterly, Vol. 18, No. 3 July 1935. P. 705.
Sale of effects of Succession of Widow Duranton.
In Louisiana Historical Quarterly, Vol. 18, No. 3- July 1935, P. 706 2nd Doc.
OBLIGATION BY SE. JOSEPH PELLETIER TO SR. FRANCOIS DOYON.
In Louisiana Historical Quarterly, Vol. 18, No. 3, Page 706, July 1935.
SUCCESSION OF LOUIS HOUWARD
Petition for a family meeting to elect a curator for a minor heir.
In Louisiana Historical Quarterly, Vol. 18, No. 3, July 1935, P. 706, 4th Doc.
Inventory and Appraisement
of property of Jean Louis Houmard,
deceased.
In Louisiana Historical Quarterly,
Vol. 18, No. 3, July 1935, P.
706; 5th Doc.
PETITION BY JEAN BAPTISTE
BANCIO PIEMONI VS BLANPAIN.
Listed in Louisiana Historical Quarterly, Vol. 18,
No. 3, July 1935, P. 707.
REPORT BY SURGEON GUEYDON,
OF THE KING'S HOSPITAL ON
NEGRO OF SR. BOURGUIGNON.
In Louisiana Historical Quarterly,
Vol. 18, No. 3, July 1935, P. 707.
BILL FROM FEBRUARY 13 TO MARCH 13, 1745, PRESENTED BY PIERRE VOISIN AGAINST SR. DE CHAVANNES.
In Louisiana Historical Quarterly, Vol. 18, No. 3, July 1935, p. 707.
PETITION BY PIERRE VOISIN
VS SR. DE CHAVANNES.
In Louisiana Historical Quarterly, Vol. 18, No. 3
July 1935, p. 707.
DECLARATION IN REGISTRY BY
BERNARD DE VERGES, CONCERNING
ESCAPE FROM PLANTATION OF
TWO OF HIS SLAVES.
In Louisiana Historical Quarterly,
Vol. 18 No. 3, July 1935, P. 708.
MARRIAGE CONTRACT BETWEEN
MONSIEUR JOSEPH DEVILLE DESGOUTIN
AND MISS MARIE JEANNE CARON.
In Louisiana Historical Quarterly, Vol. 18,
No. 3, July 1935, P. 708.
Obligation of Jacques Lorraine called Tarascon to Jacques Massicot.
Listed in Louisiana Historical Quarterly, Vol. 18, #3, July, 1935, page 708.
Letter to Sr. Benoist de St. Clair by Widow Gervais.
Listed in Louisiana Historical Quarterly, Vol. 18, #3, July, 1935, page 709.
Will of Louis Cheval, who makes provision for disposition of his property after death though now in perfect health.
Listed in Louisiana Historical Quarterly, Vol. 18, #3, July, 1935, page 709.
Petition of Etienne Layssard Bros. to recover from Sr. Deslovier, an amount of 440 livres, balance due for the past three years.
(Signed)
Layssard Bros.
Order.
(Signed)
Le Normand
August 7, 1747.
Return of Clerk on service of notice.
(Signed)
Le Normand
Not printed in Louisiana Historical Quarterly.
Petition to Superior Council by Etienne Layssard Bros., vs Joseph Blanpain.
Notice of citation served by Sheriff Lenormand.
In Louisiana Historical Quarterly, Vol. 18, #3, page 709, July 1935.
EXCERPT FROM REGISTERS OF SESSION OF SUPERIOR COUNCIL.
De Montendou vs. Du Breuil.
Voisin, vs. de Chavannes.
Piemont, vs. Blanpain.
Marigny, vs. Broutin.
In Louisiana Historical Quarterly,
Vol. 18, No. 3, Page 710, No. 1,
July 1935.
YEAR 1747
AUGUST 5
Excerpt of the register of the session of the Superior Council. Judgment rendered in suit: Voisin vs de Chavannes.
YEAR 1747
AUGUST 10
Notice of citation by Sheriff Lenormand.
In Louisiana Historical Quarterly, Vol. 18, #3, page 709, July, 1935.
DUPLICATE JUDGMENTS RENDERED BY SUPERIOR COUNCIL ON AUGUST 5, 1747.
De Montendon vs Du Breuil, Jr.
Voisin vs de Chavannes.
Piemont vs Blampain.
Antoine de Marigny vs Sr. Broutin.
In Louisiana Historical Quarterly, Vol. 18, #3, page 710, July 1935.
Complaint of Hardy La Vierge against Barbot, his stepson who has attacked and insulted him.
Listed in Louisiana Historical Quarterly, Vol. 18, #3, July, 1935, page 711.
Copy of above complaint signed by Greffier Henry.
Inquiry into the complaint made by Hardy against his stepson, Barbot.
Listed in Louisiana Historical Quarterly, Vol. 18, #3, July, 1935, page 713.
Petition for inquiry in case of Hardy vs Barbot.
Inquiry ordered.
Notice of citations served on several witnesses by sheriff Lenormand.
In Louisiana Historical Quarterly, Vol. 18, #3, page 711, July 1935.
YEAR 1747
AUGUST 10
Sale of slave for 350 piastres, with mortgage security.
Listed in Louisiana Historical Quarterly, Vol. 18, #3, July, 1935, page 712.
Receipt of Lefort in favor of Jean Baptiste Roland for fifty piastres, representing balance due on purchase price of two lots of ground.
Not printed in Louisiana Historical Quarterly.
Complaint by Pierre Jolly of theft of two watches.
Listed in Louisiana Historical Quarterly, Vol. 18, #3, July, 1935, page 712.
Note for 3,835 silver piastres, made by La Combe in favor of Hery, with mortgage security.
Receipt for payment in full of above obligation.
Listed in Louisiana Historical Quarterly, Vol. 18, #3, July 1935, page 713.
Nuncupative will of Claude Vignon, called La Combe.
Listed in Louisiana Historical Quarterly, Vol. 18, #3, July 1935, page 714.
PETITION TO SUPERIOR COUNCIL.
Daniel Hubert vs Mr. Barbin, public administrator.
Notice of citation served by Sheriff Le-normant.
In Louisiana Historical Quarterly, Vol. 18, #3, page 713, July 1935.
YEAR 1747
AUGUST 19
1 page
Sale of two negro slaves.
In Louisiana Historical Quarterly, Vol. 18, #3, page 714, July 1935.
YEAR 1747
AUGUST 22
1 1/2 pages
Sale of negro slave for 100 Spanish silver piastres, paid cash.
Listed in Louisiana Historical Quarterly, Vol. 18, #3, July, 1933, page 714.
Proceedings confirming the identity of one Pierre Nicholas Messager.
Listed in Louisiana Historical Quarterly, Vol. 18, #3, July, 1935, page 714.
PETITION TO SUPERIOR COUNCIL.
Chantalou, proxy for Paul Rasteau vs Dubois.
Notice of citation served by Sheriff Lenormand.
In Louisiana Historical Quarterly, Vol. 18, #3, page 715, July, 1935.
PETITION TO SUPERIOR COUNCIL.
Augustin Chantalou, proxy for Paul Rasteau vs Carriere, Buquoys, Barre, Larche, Carteau and Delande, for collection of debts due by defendants.
Citations served by Sheriff Lenormand.
In Louisiana Historical Quarterly, Vol. 18, #3, page 716, July 1935.
PETITION TO SUPERIOR COUNCIL.
Augustin Chantalou, proxy for Paul Rasteau, versus Sr. Chauvin de Boisclair.
Notice of citation served by Mr. Le normand, sheriff.
In Louisiana Historical Quarterly, Vol. 18, #3, page 715, July 1935.
PETITION TO SUPERIOR COUNCIL
Augustin Chantalou, proxy for Paul Rasteaou vs Jacques Carriere.
NOTICE OF CITATION SERVED BY SHERIFF LENORMAND.
In Louisiana Historical Quarterly, Vol. 18, #3, page 715, July 1935.
YEAR 1747
3 pages
AUGUST 28
Lease of a part of a house by Voisin to Gary (Garic,)
In Louisiana Historical Quarterly, Vol. 18, #3, page 716, July 1935.
54/19
PETITION TO SUPERIOR COUNCIL.
Augustin Chantalou proxy for Paul Râteau versus Nicolas Judice.
Permit to cite signed Lafreniere.
Notice of citation served by Sheriff Lenormand.
In Louisiana Historical Quarterly, Vol. 18, #3, page 716, July 1935.
Complaint of Marianne Dinan against her husband, Jean Cariton.
In Louisiana Historical Quarterly, Vol. 18, No. 3, July 1935, P. 723, 3rd Doc.
Last will and testament of Sr. Thomas Desercis.
In Louisiana Historical Quarterly, Vol. 18, #3, page 717, July, 1935.
Petition to Superior Council
De Marigny vs Broutin.
Citation served by Sheriff Lenormand.
In Louisiana Historical Quarterly, Vol. 18, #3, page 717, July, 1935.
Marriage contract between Louis Pigeot and Miss Francoise Roquigny.
Listed in Louisiana Historical Quarterly, Vol. 18, #3, July, 1935, page 717. |
Polarization transfer from optically-pumped NV center ensembles to multinuclear spin baths
R. Rizzato,¹ F. Bruckmaier,¹ K.S. Liu,¹ S.J. Glaser,¹,² and D.B. Bucher*¹
¹Department of Chemistry, Chair of Physical Chemistry, Technical University of Munich, Lichtenbergstraße 4, 85748 Garching bei München, Germany
²Munich Center for Quantum Science and Technology (MCQST), Schellingstr. 4, D-80799 München
NV-diamonds have attracted keen interest for nanoscale sensing and spin manipulation. In particular, the non-equilibrium electron spin polarization after optical excitation of single NV centers has successfully been transferred to nuclear spin baths in the surrounding of the defects. However, these experiments need to be extended to NV-ensembles which have promising practical applications in the hyperpolarization of bulk sample using nuclear NMR techniques [1–3]. Here we use dense shallow ensembles of NV centers to demonstrate polarization transfer to nuclear spins in a well-defined composite diamond sample system. This allows us to address three different types of nuclear spins in different positions with respect to the NV polarization source: from the close proximity of $^{13}$C inside the diamond lattice to the self-assembled molecular system consisting of $^1$H and $^{19}$F spins outside the diamond and over multiple interfaces. We show that ensemble NV experiments face problems different from single NV experiments. In particular, using spinlock pulses, the inhomogeneously broadened ESR line of the NV ensemble limits the minimal resonance linewidth with which the transfer protocol can occur. Furthermore, we compare the NV spin-polarization losses and polarization transfer rates to the different nuclear baths and discuss the role of spin-diffusion as detrimentally affecting the direct observation of nuclear polarization build-up within the detection volume of nanoscale NV-NMR experiments.
INTRODUCTION
Nuclear Magnetic Resonance (NMR) encompasses a wide range of techniques which are of fundamental importance for the chemical characterization of organic and inorganic materials as well as of biological and complex systems. However, NMR spectroscopy lacks sensitivity, due to the extremely low nuclear spin polarization that generates the detected signal. To overcome the issue, hyperpolarization methods, such as Dynamic Nuclear Polarization (DNP), have emerged consisting of well-suited microwave (MW) irradiation schemes that allow to transfer the higher thermal polarization of the electron spins to the target nuclei [1–4]. In contrast, the electronic spin of the NV-center in diamond can be highly polarized by optical excitation at room temperature and coherently manipulated, forming a promising hyperpolarization platform [5–8]. Although direct detection of spin polarization build-up has not been demonstrated yet for nuclei external to the diamond, the polarization transfer from NV centers to nuclear spins has been accomplished either within the (nano)diamond lattice [9–13] or from single NV centers to small external nuclear ensembles. [14–16]. However, the latter systems are limited to the nanoscale and are not suited for applications in microscale NV-NMR experiments [17–20], bulk NMR or biomedical imaging, where the ratio between number of NV defects and target nuclei needs to be significant. Scaling up the NV system by means of ensembles is then necessary, but not trivial since they face different problems due to their density and spatial distribution. Inhomogeneous properties throughout the ensemble, shorter coherence times and inhomogeneities of both the driving MW field and the static magnetic field are only examples of the issues that need to be tackled when working with NV-ensembles and that are to be investigated in detail.
Here, we report on the use of shallow-implanted NV-ensembles for the direct transfer of optically pumped electron spin-polarization to nuclear spins internal to the diamond lattice and external to a well-defined Self Assembled Monolayer (SAM) [21]. Such a system has been chosen since it has several advantages: 1) it is a well defined solid state sample with known surface chemistry, 2) it contains several types of NMR active nuclei that can be addressed at the same time, 3) it permits the exploration of spin-polarization transfer over multiple interfaces and 4) its thin structure of 2-3 nanometers allows us to exploit a certain degree of confinement for external nuclear polarization accumulation and storage.
The polarization transfer is accomplished through an experiment known as Nuclear Spin Orientation via Electron Spin Locking (NOVEL) which belongs to the family of the NMR signal enhancement techniques, more specifically pulsed DNP experiments [22–24]. Here, the electronic spin of the NV defect in diamond is brought into a superposition state by a strong $\frac{\pi}{2}$ pulse and then locked on the transversal plane of the laboratory frame by a long spinlock pulse of variable amplitude. In this manner, an electron spin dressed state is created and preserved for a time interval on the order of its rotating frame spin-lattice relaxation time $T_{1,\sigma}$, namely few hundreds of microseconds. During this time, the electronic dressed state can be brought in energy contact with the nuclear spin by matching the MW field strength used to lock (or “dress”) the electronic spin with the Larmor frequency of the target nuclear spins ($\nu_{i,NV} = \nu_{i,m}$). This is the so-called Hartmann-Hahn (HH) matching condition [25], well-known in NMR for conducting cross-polarization experiments between different nuclear spins but also, in some of its variants, in Electron Spin Resonance (ESR) and DNP to accomplish polarization transfers between electron and nuclear spins [24, 26–28].
In order to probe the actual polarization of the nuclear target, we compare the effects observed with the NOVEL experiment with that resulting from the Polarization Readout via Polarization Inversion (PROPI) experiment [13, 24, 29]. In
FIG. 1. **Spinlock experiment, calibration and characterization of the pulse sequence for an NV-ensemble.** a) Spinlock pulse sequence. First, a short laser pulse is applied to optically polarize the NV ensemble into the $m_s=0$ state. Then a MW pulse sequence consisting of $\frac{\pi}{2}_X$ spinlocks-$\frac{\pi}{2}_X$ pulses is applied. The final spin state is read out by fluorescence with a photodiode. Throughout these events, an oscillating magnetic field with frequency $v_{RF}$ in the MHz range is continuously applied with a wire loop (blue). b) Schematic of the experiment with matched radiofrequency. Transitions between electronic dressed states are driven when a coil generates a RF field that matches the splitting. c) ESR spectrum of the NV-ensemble corresponding to excitation of the NV transition from the $m_s=0$ to the -1 state. The spectrum is split by the $^{15}$N spin of the NV center and fit with 2 Lorentzian functions. d) Calibration of the spinlock’s amplitude. The RF is kept at a fixed frequency and the spinlock pulse’s amplitude is swept. NV depolarization appears as asymmetric dips in the optical contrast as soon the MW field strength matches the RF frequency. Inset: the three dips are overlayed for a linewidth comparison. e) Simulated depolarization dips (see Appendix 2 for details).
PROPI, two NOVEL pulse sequences are applied one after the other, differing only in the spinlock pulse phase which is set to polarize the nuclear spins in two opposite directions. Then, if the first block of the sequence polarizes the nuclear spins in the “up” state, the second polarizes in the “down” state or vice versa. In this manner, it is possible to probe the extent to which the nuclear ensemble has been effectively polarized and preserves the polarization throughout the experimental timescale. We explore the efficiency of the spinlock pulse sequence and its potential to build-up nuclear polarization by cycling the experiment in a competition with nuclear relaxation and spin diffusion processes.
**RESULTS**
**Characterization of the spinlock experiment with NV ensembles.** Before performing the actual experiments on nuclear spin samples, it is useful to characterize the pulse sequence by means of an external radiowave frequency (RF) field in the MHz range that mimics the oscillating magnetic fields generated by nuclear spin precession. Since such an experiment does not rely on actual polarization transfer to nuclear spins, we will distinguish it from NOVEL by simply calling it “spinlock” experiment. For this purpose, an RF coil has been mounted few millimeters above the diamond chip in the experimental setup. The coil has been oriented such to generate an oscillating magnetic field parallel to the orientation of the external $B_0$ field. The spinlock pulse sequence is set up as shown in Fig. 1 a). Driving the NV ensemble at the resonance frequency and sweeping the spinlock field amplitude while continuously irradiating at a certain radiofrequency results in a fluorescence contrast dip as soon the NV Rabi frequency matches the frequency of the applied RF field. This can be described considering the NV spins to be in a dressed states basis, where the new quantization axis lies on the x-y plane of the laboratory frame. Matching the energy splitting by means of an oscillating field along the z-axis, can induce transitions between the dressed “plus” state and the “minus” state (or vice versa), leading to a reduction in fluorescence (see Fig. 1 b)). In Fig. 1 d) the experiment is shown for RF reference signals with different frequencies. From this it is possible to build a calibration curve of the applied RF frequency versus the spinlock MW amplitude as shown in Appendix 3, Fig. 9.
In contrast to single NV-experiments, the depolarization dips show a characteristic lineshape which is tailed towards lower MW amplitudes and becomes overall sharper when higher
reference frequencies are matched. Such a behavior can be explained by the fact that during the experiment, the RF field is set at a constant frequency and is matched with the Rabi frequencies of the NV ensemble: $\nu_{RF} = \nu_{1NV,i}$. Distinct from the single NV case, in a dense ensemble, the ESR resonance line (reported in Fig. 1 c) is inhomogeneously broadened, leading to a linewidth of ~2.4 MHz in our case. Although we can assume a full excitation of the ensemble since the MW excitation bandwidth covers the entire ESR spectrum (as the former in our case is around 10 times larger), the various “spin packets” (homogeneously broadened components of the spectrum, see Appendix 2 and Fig. 8) will resonate at frequencies $\nu_{iNV,i}$ slightly different from the NV resonance frequency $\nu_{0NV}$ at which we tune our MW (normally the center of the ESR line). Thus, although with different contributions, they will all take part in the spinlock process but the NV Rabi frequency $\nu_{1NV}$ will rather be a distribution of “effective” driving fields, such as: $\nu_{1NV,i} = \sqrt{\Omega_i^2 + \nu_{SL}^2}$, where $\Omega_i = \nu_{iNV} - \nu_{0NV}$ is the offset frequency for the $ith$ spin packet (or detuning) and $\nu_{SL}$ the MW amplitude of the spinlock pulse. For instance, for the $0th$ spin packet at exact resonance, $|\Omega_0| = 0$ and the NV Rabi frequency would purely correspond to the spinlock amplitude that is matched to the RF: $\nu_{1NV,0} = \nu_{SL} = \nu_{RF}$. Whereas, for off-resonant NV spin packets, $|\Omega_i| \neq 0$ and this causes the Rabi frequency to be shifted from the spinlock amplitude which can no longer satisfy the matching condition, being: $\nu_{1NV,i} > \nu_{SL} = \nu_{RF}$. Thus, since $\nu_{RF}$ is kept constant, a smaller value of $\nu_{SL}$ will be required to match the condition with $\nu_{1NV,i}$ and these off-resonant NV centers will all contribute to provide the observed asymmetry as also described in Appendix 2. Moreover, the dip becomes sharper at high frequencies since the off-resonant contributions become less and less important with respect to the driving field $\nu_{SL}$ applied. Simulation of such features have been reported in Fig. 1 e) and have been computed considering the contributions to the depolarization lineshape arising from the off-resonant spin packets of the NV ensembles within the ESR spectral linewidth, as detailed in Appendix 2. As we will see later, such spectral features are preserved during the NOVEL/PROPI experiments on actual nuclear spins. As a result we conclude that higher matching frequencies are preferable using NV-ensembles. Another effect influencing the depolarization dip linewidth and the overall performance of the spinlock experiments, arises from the inhomogeneity of the driving MW field over the NV ensemble (see Appendix 1).
**A composite multinuclear system for polarization transfer.** As a model system, the surface of a diamond chip previously implanted with ~5 nm deep NV centers is functionalized with a 1 nm layer of Al$_2$O$_3$ prepared by Atomic Layer Deposition (ALD). On such a thin film, a Self Assembled Monolayer (SAM) of perfluorinated organic molecules has been grown [21] (see Fig. 2). With this system we can address three types of nuclear spins that are in very different conditions with respect to their interaction with the NV ensembles. i) $^{13}$C nuclei in natural abundance are located inside the diamond lattice, in close proximity to the NV centers and interact strongly; ii) $^1$H spins are known to be ubiquitous at the diamond surface [30], though their properties (density, spatial distribution and location, mobility, physical state etc.) are unknown; iii) $^{19}$F nuclei are bound to the molecules constituting the SAM, their spin has a natural abundance of 100 percent and a gyromagnetic ratio comparable to that of protons, but unlike from $^1$H, they can be unambiguously assigned to our well-defined surface [21]. It is important to keep in mind that our NV-ensemble is a rather dilute system, where we estimate an average distance of NV centers ~100 nm from each other [31, 32]. Every NV can be then considered as an independent spin system throughout the sample space dictated by our laser spot size (around 4000 $\mu$m$^2$). For this reason, all effects observed throughout this work will be referred to a system composed by a single NV center and an ensemble of nuclear spins.
**Polarization transfer to nuclear spins.** As schematically depicted in Fig. 3 a), during a NOVEL experiment, the NV dressed states are split by their Rabi frequency $\nu_{1NV}$ and can be brought in energy contact with the nuclear bare states by matching the MW amplitude with the nuclear Larmor frequency. Such a protocol can be repeated many times, since the NV spin can be reinitialized in the $m_s = 0$ state by laser excitation at each time. In each of these repetitions, spin polarization transfer can occur and a consequent drop of the NV spin signal is detected as a decrease in photoluminescence (PL) (depolarization dips). However, if during a NOVEL experiment the interacting nuclear bath becomes completely polarized, a “saturation” of the system would cause the depolarization dips to be no longer observable. In a PROPI experiment (Fig. 3 b)), two NOVEL sequences are run consecutively, differing only in the phase of the spinlock pulses which is shifted by $\pi$ with respect to each other [28]. In
this manner, the second spinlock pulse neutralizes the nuclear polarization generated by the first one allowing the dips to be always observable, independently on the nuclear spin baths polarization level. A comparison of the NOVEL (red line) versus PROPI (blue line) is shown for our composite multi-nuclear system. The amplitude of a 40 $\mu$s spinlock pulse is swept in a range corresponding to Larmor frequencies of the probed nuclear spin types at a magnetic field $B_0$ of 88 mT. The PROPI sequence reveals four intense depolarization dips, where the signal at 2.5 MHz corresponds to a RF reference signal and the dips around 0.94, 3.55 and 3.73 MHz correspond to matching with the Larmor frequencies of $^{13}$C, $^{19}$F and $^1$H nuclei, respectively (Fig. 3 c), blue line). Because of the similar gyromagnetic ratios of $^{19}$F and $^1$H, the Larmor frequencies differ by less than 200 kHz and the signals are partially overlapped. Nevertheless, as shown in Fig. 3 d) they can be clearly distinguished. A different outcome is reported when using the NOVEL pulse sequence (Fig. 3 c), red line). In this case, the $^{13}$C dip disappears and even undergoes an inversion, whereas all the other peaks, also the reference one at 2.5 MHz, preserve their lineshapes and amplitudes. The experimental conditions for both experiments are kept the same, each spectral point being the result of 5000 repetitions of the pulse sequence (around 100 $\mu$s long) and 20 averages of the full amplitude sweep for an experimental time of around 100 s per sweep. The signal has been then computed as the difference of the two consecutive optical readouts (Fig. 3 b)) divided by their sum and then normalized to the intensity of the reference signal. Note that peaks at higher frequencies are narrower and that NOVEL/PROPI experiments result in the same lineshapes as in the reference spinlock experiments described in Fig. 1 e). Simulations showing the effect of the off-resonant NV defects to the overall lineshape have been performed and reported in Fig. 3 e). Finally, the same experiments have been performed on a clean diamond upon removal of the SAM and Al$_2$O$_3$ layer by means of acid treatment (yellow line, Fig. 3 d)). As expected, the $^{19}$F signal now is absent and only signals due to $^{13}$C and $^1$H matching can be observed (see full sweep spectrum in Appendix 3).
**Study of the polarization transfer dynamics.** In the next step we extract dynamic information about the transfer process, by monitoring the fluorescence contrast while increasing the spinlock pulse duration (Fig. 4). As the spinlock pulse gets longer, the detected signal evolves in an exponential decay which is mainly determined by two simultaneous processes. First, electron spin relaxation will manifest with a rotation-frame characteristic time $T_{1,e}$. This parameter can be easily measured by setting the spinlock amplitude such that the HH condition is not satisfied. This corresponds to the “unmatched HH” curves in Fig. 4 a), c) and e) whose fittings gave $T_{1,e}$ time constants of $\sim$109 $\mu$s for $^{13}$C, and $\sim$225 $\mu$s for $^{19}$F and $^1$H. In the second case, at the HH condition, enhanced signal loss is caused by additional matching with the nuclear spin bath, i.e. polarization loss to the spin baths (see Fig. 4 a), c) and e). We assume that, for each spinlock duration used in the experiment, such an excess of depolarization observed in the matched case versus the non-matched one is due to spin polarization transfer to the nuclear target. Thus, the contribution due to relaxation mechanisms can be distinguished from the polarization transfer by simply subtracting the two curves ([8]) (Fig. 4 b), d) and f)). The maximum of such difference curves would then correspond to an experimental depolarization of the NV spin of around 4.5 % after 5 $\mu$s spinlock for $^{13}$C, 1.5 % after 40 $\mu$s for $^1$H and 1 % after 65 $\mu$s for $^{19}$F.
**DISCUSSION**
Our observations show that spin polarization of the NV undergoes significant losses upon application of spinlockFIG. 4. **Polarization transfer dynamics.** NV spin polarization during PROPI experiment is monitored while varying the spinlock time in the case of matched (red dots) and unmatched (blue dots) HH condition for $^{13}$C a), $^1$H c) and $^{19}$F e). By subtracting the matched and unmatched data points, respective difference curves in b), d) and f) are obtained showing the percentage of NV-spin depolarization due to polarization transfer. The decays were fit with a biexponential function as reported in Appendix 1.
FIG. 5. **Simplified rate equation model for polarization buildup.** Schematic representation of a NV ensemble brought in thermal contact with a bath of target nuclear spins. The rate constants of polarization exchange between NV and nuclear ensemble are represented by $k_{SI}=k_{IS}$, the one for polarization loss by spin diffusion to other nuclei is $k_{SD}$ and the nuclear spin-lattice relaxation rate $k_{T1}$.
Based pulsed schemes at the HH matching condition. A polarization transfer to all three nuclear species addressed in this work can thus be anticipated. In particular, transfer to $^{13}$C spins inside the diamond is expected to be an efficient process due to the close proximity of the nuclei to the NV and the consequent strong couplings (up to hundreds of MHz) which leads to transfer rates several orders of magnitude faster than nuclear spin relaxation rates [33–36]. The depolarization dip in Fig. 3 c), gets indeed fully suppressed by the NOVEL experiment, indicating that total polarization of the target nuclear ensemble has been achieved. Moreover, an inversion of the detected contrast is observed. This is possible since after a certain number of pulse sequence repetitions, the $T_{1,p}$ relaxation acting during the spinlock, causes the NV spin polarization to decay at a polarization level which is lower than what the $^{13}$C polarization buildup has been able to reach. Thus, a polarization transfer from the nuclear ensemble back to the NV ensemble can occur, as described in detail in Appendix 4. In the experiments shown in Fig. 4 a) and b), the depolarization of the NV spin reaches about 4.5% after 5 $\mu$s spinlock time. Thus, assuming that an interacting $^{13}$C spin bath would symmetrically gain spin polarization and that it will be shared by all nuclear spins in the ensemble (proportionally to their coupling to the NV), a polarization of 4.5 %/$N$ is expected for the whole bath, where $N$ is the number of the nuclei populating it. This would result in a rate constant for such a process of $k_{SI}=9000$ s$^{-1}$, resulting in a timescale on the order of 2-3 ms to polarize a few $^{13}$C nuclei in the close surrounding of an NV center. On the contrary, in the case of nuclei more distant from the NV centers, such as $^1$H and $^{19}$F spins outside the diamond, the weaker interactions determine much slower rates as shown in Fig. 4 c) and e). Moreover, longer times would be needed for a complete polarization of these ensembles, since the number of spins is higher compared to the $^{13}$C bath. The effective polarization transfer rates measured in the experiments in Fig. 4 d) and f) amount to 375 s$^{-1}$ and 154 s$^{-1}$ for $^1$H and $^{19}$F, respectively. This means for instance that build-up times on the order of several seconds for ensemble of few thousand spins are expected ($\sim 3000$ $^{19}$F spins are estimated to be present in our monolayer in the proximity of an NV center). It is worth to note that our simulations consider an ideal NV spin polarization of 100%. However, as reported in Fig. 4, the actual polarization available for the transfer during our experiments was only a fraction of it, i.e., about 10% for the experiments on $^{13}$C and 30% for the $^1$H and $^{19}$F matchings. Thus, the maximum nuclear polarization achievable in these conditions scales accordingly. Such a behaviour is likely due to the low MW amplitude of the driving field which causes inefficient spin locking and consequent fast NV $T_{1,p}$ relaxation. Such an issue motivates to work at higher fields where the matching fields will be proportionally higher in amplitude resulting in more efficient spinlock pulses. Nevertheless, considering that these dynamics occur on the same time-scale as nuclear spin lattice relaxation $T_{1,s}$, nuclear polarization build-up is still expected to be observable, at least to some extent. However, no effect has been observed in the NOVEL experiments described above for such nuclei. The reason for this can also be found in spin diffusion that spreads the polarization over a larger volume by means of the
FIG. 6. Simulated polarization build-up curves. Simulation of the NV and nuclear spin polarisation versus the number of repetitions of the pulse sequence (or the total experimental time) considering the transfer between one NV and the nuclear spin ensembles. a) First 100 repetitions for the transfer from one NV to an ensemble of 3000 $^{19}$F nuclear spins. Each step corresponds to a 65 $\mu$s polarization transfer protocol considering the effective rate determined above for this spin (154 s$^{-1}$/3000). The red and yellow lines represent electron spin polarization with and without $T_{1p}$ relaxation ($T_{1p}$), respectively. The lines from violet to pink show how nuclear buildups are affected by the different “loss channels” considered in the system: b) Transfer to an ensemble of five $^{13}$C spins occurring upon 800 repetitions of the sequence. Steps are 5 $\mu$s long at the effective rate determined for this spin (9000 s$^{-1}$/5); c) Transfer to the $^{19}$F spin bath up to 45000 repetitions. Both $T_{1n}$ and $T_{1p}$ have been considered for the nuclear buildups in b) and c).
Nuclear dipolar coupling network. In conventional bulk DNP, spin diffusion is important since it contributes positively to nuclear polarization build-up. However, under our nanoscale conditions the polarization pumped from the NV would be rapidly lost out of the sensing volume so that its accumulation becomes hardly observable with our experiment. In order to rationalize the experimental findings, a simplified kinetic model is set up to describe, at least to a first approximation, the expected build-up of nuclear polarization by continuous repetition of the NOVEL pulse sequence in the presence of simultaneous “loss channels” (see Fig. 5). Here, we consider the transfer of spin polarization to take place together with three interfering processes: electron spin relaxation in the rotating frame ($T_{1p}$), nuclear spin-lattice relaxation ($T_{1n}$) and spin diffusion ($T_{SD}$). To each of these, specific rate constants are associated and in particular: $k_{SF} = k_{1S}$ and $k_{T-T_{1p}}$ are the rates for the polarization transfer and the NV $T_{1p}$ relaxation, respectively and have been measured experimentally as reported above. The nuclear relaxation $k_{T_{1n}}$ and the spin diffusion $k_{SD}$ rates are both estimated based on data reported in the literature[8, 16, 37] (see Appendix 4). Simulations have been performed calculating for each repetition of the sequence the change of the nuclear and electron spin polarizations obtained by the solution of the system of equations reported in Appendix 4. In Fig. 6 a), the simulation of both the NV and nuclear polarizations during the first 100 repetitions of the pulse sequence is depicted for the case of polarization transfer to a $^{19}$F spin ensemble. The NV polarization is initialized at each repetition, differently from the nuclear polarization which is built up over time. First, it can be noted
that the $T_{1p}$ relaxation process has a significant effect on the depolarization of the NV (yellow and red lines) but a rather small on the nuclear polarization (violet and dotted magenta line), even at longer timescales. This parameter does not really represent a limit for reaching appreciable polarization buildups. In Fig. 6 b), the buildup curves for $^{13}$C are simulated showing around 800 repetitions of the experiment on a timescale on the order of few milliseconds to fully polarize the $^{13}$C spin bath. In this case both spin diffusion and nuclear spin-lattice relaxation are negligible, since they occur on a time scale much longer than the polarization transfer process. On the contrary, for $^{19}$F spins, spin diffusion seems to have a dramatic effect on the polarization build-up causing the steady state polarization to decrease by more than an order of magnitude with respect to what is expected when only spin-lattice relaxation is considered (see Fig. 6 c)). Such a hypothesis appears realistic especially if we think that heteronuclear spin diffusion between $^{19}$F and $^1$H may also play a role at the low magnetic field at which experiments have been performed. Thus, to accomplish a direct NV-based detection of enhanced NMR signals, two main approaches can be envisioned: 1) increase the polarization transfer rates; 2) polarization loss pathways need to be circumvented or at least significantly mitigated. About the first point, performing spinlock experiments at higher magnetic fields might be of significant help for the possibility to match the higher nuclear Larmor frequencies with consequently higher spinlock amplitudes. This would advantage the efficiency of the spinlock pulse and of the overall transfer process at least by a factor 3. Moreover, the use of a resonator for mw delivery instead of the homebuilt mw loop as employed in the present work would reduce significantly the MW field inhomogeneity and greatly improve the performance. Another possible strategy would be to explore alternative polarization transfer schemes which are more robust in particular for NV-ensembles and would allow to improve the transfer rates by more than one order of magnitude [13, 38]. However, these schemes are better performed on isotopically enriched $^{12}$C diamonds since they can be strongly affected by spurious harmonic signals caused by nearby $^{13}$C nuclei [39]. About the second approach, an appropriate engineering of the sample will allow to conveniently tune the properties of the system such to decrease diffusion and relaxation. For instance, creating a more “diluted” nuclear spin system with reduced nuclear spin-spin interactions as well as, working at higher magnetic fields to inhibit heteronuclear spin diffusion will avoid polarization loss out of the NV-detection volume.
**CONCLUSION**
In summary, we demonstrate spin-polarization transfer between ensembles of shallow NV-centers in diamond and nuclear targets inside and outside the diamond lattice. We found that spinlock pulse sequences based on Hartmann-Hahn matching, such as NOVEL, for the special case of the ensembles have characteristic spectral features. These have to be taken into account and suggest to work preferably with higher matching frequencies (i.e. at higher magnetic fields). Furthermore, when performed to address actual nuclear spins, such protocols can lead to significant depletion of NV spin polarization by HH matching with nuclear spins, even when nuclei are outside the diamond and behind multiple material interfaces. The chemical functionalization of our diamond chip was a well-defined system where several types of nuclear spins could be addressed and their results compared. In the case of nuclei far from the NV centers, the polarization transfer rates need to be increased to overcome some counteracting processes causing nuclear polarization losses. Apart from nuclear spin relaxation, we identified spin diffusion as the additional process which may hinder a direct NV-based detection of the transferred polarization. A simplified model based on rate constants has been used to estimate the contribution of spin diffusion to the maximum polarization achievable when typical nuclear spin lattice relaxation times are considered. This allows us to better define future strategies that can be pursued to achieve the final goal. Based on these results, the implementation of platforms where diamond surface-chemistry can be controlled with high accuracy and flexibility, confirm to be key to establish NV-based methods for NMR sensitivity enhancement.
**Acknowledgements.** Funding: This study was funded by the Deutsche Forschungsgemeinschaft (DFG, German Research Foundation) - 412351169 within the Emmy Noether program. R.R. acknowledges support from the DFG Walter Benjamin Programme (project RI 3319/1-1). S.G. and D.B.B acknowledges support from the Deutsche Forschungsgemeinschaft (DFG, German Research Foundation) under Germany’s Excellence Strategy EXC-2111 390814868. **Author contributions.** D.B.B. and R.R. conceived the idea, R.R. carried out the experiments, analyzed the data and performed the simulations, F.B. programmed the pulse sequences, K.S.L. prepared the ALD sample, S.J.G. advised on the theoretical aspects of the work. R.R. wrote the manuscript with inputs from all authors. All authors reviewed the manuscript and suggested improvements. D.B.B. supervised the overall research work. **Competing interests.** All authors declare that they have no competing interests. **Data and materials availability.** All data needed to evaluate the conclusions in the paper are present in the paper and/or the Supplementary Materials. Additional data related to this paper may be requested from the authors. All correspondence and request for materials should be addressed to D.B.B. (email@example.com).
**Note added.** During the preparation of the manuscript we have become aware of the publication from Healey *et al.*[38] also demonstrating polarization transfer by means of NV ensembles in diamond. In relation to this work, our study is different and complementary for the following reasons: 1) The focus of this work is to implement the spinlock experiments for NV ensembles and understand the spectral features. The polarization transfer in our work relies on using NV dressed states generated by spinlock pulses, a different approach with respect to Healey *et al.* (Pulsepol). 2) Our chemical system is totally different, since we address monolayers deposited on the diamond surface and explore the potential of such quasi2D structure for nanoscale spin hyperpolarization. 3) For the first time, direct polarization transfer has been achieved to $^{19}$F nuclei unambiguously positioned outside the diamond lattice and across an additional interface (Al$_2$O$_3$ thin film). 4) With this study we propose the use of chemical structures grown on the diamond surface with well-defined characteristics as a testbed for NV-based spin hyperpolarization at the nanoscale.
APPENDIX 1: MATERIALS AND METHODS
Diamond properties and sample preparation. All experiments are based on a 2 x 2 x 0.5 mm electronic grade diamond (natural (1.1%) $^{13}$C abundance, Element Six) which was implanted using $^{15}$N at an energy of 2.5 keV with a fluence of $2 \times 10^{12}$/cm$^2$ (Innovion) and subsequently annealed [40]. This results in a distribution of near-surface NV centers $\sim 5$ nm below the surface. For these implant conditions, an NV density of $\sim 50-100$ NVs/µm$^2$ can be estimated [31, 32]. The T$_1$ and T$_2$ of our shallow NV-ensemble are $\sim 650$ µs and $\sim 4$ µs, respectively. Before performing experiments on clean diamond as well as before every Al$_2$O$_3$ deposition the diamond was cleaned with a protocol involving equal parts of boiling sulfuric, nitric, and perchloric acid (tri-acid cleaning) according to Brown et al. [41]. For the preparation of the system as shown in Fig. 2, Atomic Layer Deposition (ALD) was performed for the deposition of a 1 nm thin Al$_2$O$_3$ film, followed by phosphonic acid surface functionalization and formation of monolayer as described in detail in Liu et al. [21]. The number of spins considered throughout the work for the $^{19}$F ensemble (around 3000) has been estimated from the work of Liu et al. for a similar system.
Experimental setup. The experiment is based on a modified version of the setup described in Bucher et al. [40]. The diamond chip was positioned between two permanent magnets (neodymium), which were rotated and tilted such that the B$_0$ field was aligned with one of the four possible NV-center orientations. The distance of the magnets was adjusted in order to reach the working magnetic field strength B$_0$ (in this work $\sim 88$ mT). Initialization of the NV ensemble was achieved by using a 532 nm laser (Laser Quantum Opus 532) at a power of around 200 mW at the diamond position. The laser light was focused on the diamond by a Plano-Convex Lens (LA1986-A-M, Thorlabs) in a total internal reflection geometry. The laser pulses were controlled by an acousto-optic modulator (Gooch and Housego, model 3260-220) with pulse durations of 5 µs. For quantum control of the NV centers, microwave pulses were directly synthesized with an arbitrary waveform generator (AWG5202, Tektronix) allowing precise control of phase and frequency, then amplified using a microwave amplifier (ZHL-100W-52 SF, Mini-Circuits). A homebuilt microwave loop was utilized to deliver microwave to the sample. The diamond was glued to a thin glass cover slide (48393-026, VWR) and a 6 mm glass hemisphere (TECHSPEC® N-BK7 Half-Ball Lenses, Edmund Optics) was glued to the other side, in order to improve the light collection. This assembly was then glued to a 30 mm cage plate (CP4S, Thorlabs) and mounted above two condenser lenses (ACL25416U-B, Thorlabs) that collected and collimated PL to an avalanche photodiode (A-CUBE-S3000-03, Laser Components GmbH). A long-pass filter (Edge Basic 647 Long Wave Pass, Semrock) placed between the last condenser lens and the photodiode was used to remove the excitation wavelength from the PL light. The photo-voltage was digitised with a data acquisition unit (USB-6281 DAQ, National Instruments). A homebuilt wire coil placed above the diamond delivered the reference RF signals which were synthesized by an arbitrary waveform generator (RIGOL LXI DG1022). The electron spin resonance (ESR) frequency measured from the dip in PL (see Fig. 1 c)) was used to determine the magnetic field strength and the NV resonance frequency to perform a Rabi experiment, which then determined the $\pi/2$ pulse duration for the spinlock sequences. A thorough optimization of the MW delivery is of crucial importance for the spinlock experiment to be successful and is mainly accomplished by finding the conditions which minimize the damping of the Rabi oscillations. This indicates that the MW field across the NV ensemble is homogeneous enough to achieve an efficient spinlock (Fig. 7).
**FIG. 7.** A typical Rabi experiment with NV-ensembles. The typical contrast of the Rabi oscillations is around 7-8%. This experiment allows to calibrate the pulse length but also to optimize the homogeneity of the MW field throughout the NV ensemble.
Fittings of the dynamics data. Each dataset in Fig. 4 a), c) and e) has been normalized to the contrast detected after a strong $\pi$ pulse. The depicted decays start from only a fraction of the available NV polarization because of a fast polarization loss during the first few microseconds spinlock time (not shown). Such a behaviour is likely due to the low MW amplitude of the driving field which causes inefficient spin locking and consequent fast NV T$_{1,p}$ relaxation. The data points for “unmatched HH” in Fig. 4 a), c) and e) were fit with a double exponential function whose slower components were chosen to represent the NV relaxation rate constants $k_{T_{1,p}}$. In particular, for $^1$H and $^{19}$F, $k_{T_{1,p}} \approx 4500\text{s}^{-1}$, whereas for $^{13}$C $k_{T_{1,p}} \approx 9200\text{s}^{-1}$. In order to maintain constant experimental
conditions for comparison, the unmatched HH decay curves had to be acquired at slightly shifted spinlock amplitude (next to the matching point), this causes an overestimation of the polarization transfer rates by 3, 8 and 25% respectively for $^{13}$C, $^1$H and $^{19}$F.
APPENDIX 2: SIMULATION OF THE SPECTRAL LINESHAPE FOR A SPINLOCK EXPERIMENT.
**Contribution of the off-resonant NV centers to the linewidth of the NV depolarization dips.** In this chapter, we derive a formula to predict the contribution of the off-resonant NV spin packets to the linewidth of the depolarization dips, relative to the RF frequency we aim at matching with the spinlock amplitude. We recall that during the spinlock experiments reported in Fig. 1, the reference RF is set at a constant frequency $\nu_{RF}$ and the spinlock MW amplitude $\nu_{SL}$ is swept so that matching to the NV Rabi frequencies $\nu_{1NV,i} = \sqrt{\Omega_i^2 + \nu_{SL}^2}$ can occur, where $\Omega_i$ correspond to the offset frequencies of the NV centers within the ensemble. Thus, for perfectly on-resonance NV centers ($\Omega_0 = 0$), the spinlock amplitude at which the matching condition is satisfied will simply be: $\nu_{SL} = \nu_{RF}$, whereas, for off-resonant NV centers, it will undergo a shift: $\nu_{SL} = \sqrt{\nu_{RF}^2 - \Omega_i^2}$. Such a shift will affect the linewidth of the observed depolarization dip, however differently depending on the RF frequency that is matched. By using the following formula (plotted in Fig. 8), it is possible to calculate such a dependency:
$$\frac{\nu_{SL} - \bar{\nu}_{SL}}{\nu_{RF}} = \frac{\nu_{RF} - \sqrt{\nu_{RF}^2 - \Omega^2}}{\nu_{RF}} = 1 - \sqrt{\frac{\nu_{RF}^2 - \Omega^2}{\nu_{RF}^2}} \approx \frac{1}{2} \left( \frac{\Omega^2}{\nu_{RF}^2} \right),$$
since $\sqrt{1-x} \approx 1 - \frac{x}{2}$, for small $x$ ($0 \leq x \ll 1$), i.e. for $\Omega \ll \nu_{RF}$.
**Simulation of the ensemble spinlock lineshapes.** The depolarization peaks reported in Fig. 1 e) have been calculated by summing up all single contributions (small peaks underneath) corresponding to slightly shifted matching conditions due to off-resonant NV centers ("spin packets" having different ESR resonance offset $\Omega_i$). A Matlab script was coded to perform the calculation according to the following scheme: for each $\Omega_i$ within the ESR line (see Fig. 8), a weighting factor $L$ is calculated corresponding to a normalized Lorentzian intensity having same linewidth $LW$ as the experimental ESR line, see Fig. 1 c). Then, $L_i = \frac{1}{1+x^2}$, where $x = \frac{\Omega_i}{LW/2}$ and $LW = 2.4$ MHz. Such a factor is then multiplied to the $i$th depolarization dip $dip_i$ again utilizing a Lorentzian function as follows: $dip_i = -\frac{1}{1+x^2} \times L_i$, where $x_{dip} = \frac{\nu_{SL} - |\nu_{SL}|}{LW_{dip}/2}$ and $LW_{dip} = 60$kHz has been fit to best reproduce the line broadening observed in the experiments. The lineshape of the depolarization dips by the PROPI experiment reported in Fig. 3 e) has also been simulated following the same approach for the matched $^1$H case (light blue dips) and $^{19}$F (dark blue dips). In the figure, the intensity of the small dips corresponding to single off-resonant contributions has been multiplied by a factor 3 only for a better visualization.
APPENDIX 3: RAW DATA
In this section the raw data for the NV depolarization detection by PROPI and NOVEL experiments are reported. As visible in the following figures (Fig. 9-11), such experiments show a typical baseline where the overall contrast increases with the spinlock amplitude. This is due to the fact that, after the strong excitation of the NV spins by the first $\pi/2$ pulse, the spinlock amplitude is stepwise increased and the stronger the spinlock pulse becomes the more efficiently it is able to lock the phase of the NV spins on the transverse plane. In Fig. 1, the baseline removal has been accomplished by subtracting a dataset of the same experiment performed with no RF signal. In Fig. 3 c) and d) the baseline has been removed by subtracting a polynomial function fitting to the data of the spectral ranges that contain no peaks. In
the following experiments shown, the spinlock amplitude is reported in units of Volt peak-peak(Vpp) as directly read out from our AWG.
**APPENDIX 4: SIMULATION OF POLARIZATION BUILDUPS**
All polarization curves reported in Fig. 6 have been simulated implementing in a Matlab code, the model schematically depicted in Fig. 5. In particular, the code solves the following system of ordinary differential equations:
\[
\begin{align*}
\frac{dP_S}{dt} &= -k_{SI}P_S + k_{IS}P_I - k_{T_{1,n}}P_S; \\
\frac{dP_I}{dt} &= -k_{IS}P_I + k_{SI}P_S - k_{T_{1,n}}P_I - k_{T_{SD}}P_I
\end{align*}
\]
for a time duration dictated by the optimal spinlock time that was experimentally determined (e.g. 65 µs for $^{19}$F or 5 µs for $^{13}$C). Then, depending on the number of pulse sequence repetitions that we wanted to simulate, the code was looped resetting only the electron spin polarization $P_S = 1$, at each time. Rate constants, where possible, have been measured with the experiments reported above. $T_{1,n}$ has been considered to be on the order of 100 s for $^{13}$C inside the diamond and 1 s for both $^1$H and $^{19}$F [8, 37]. The spin diffusion time constant $T_{SD}$, has been derived using a formula adopted from simple random walk theory $T_{SD} \approx r^2/(4 \cdot D)$, where $r$ is the average displacement and $D$ the spin diffusion constant. This gives an estimation on how long it takes for the polarization generated in one point of the sensing area to leave the detection volume of the NV-center: $D = 700$ nm$^2$s$^{-1}$ and $r = 10$ nm for both $^{19}$F and $^1$H and $D = 0.0035$ nm$^2$s$^{-1}$ ([16]) and $r = 1$ nm for $^{13}$C have been considered. The inverted depolarization dip observed for $^{13}$C during the NOVEL experiment and reported in Fig. 3 can be rationalized by means of our simplified rate equations model too. In the same manner as it was done for Fig. 6, in Fig. 12 the % of NV spin polarization has been reported vs the number of pulse sequence repetitions. At start of each pulse sequence, the NV spin is reset to 100% polarization, whereas the nuclear spin polarization is allowed to build up during a 40µs spinlock time (the same pulse length used in the experiment of Fig. 3). We note that, due to the decay of the NV polarization caused by the $T_{1\rho}$ relaxation, at a certain point of the dynamics the nuclear spin bath reaches a polarization higher than the one of the NV spins. Thus, after reaching this point and for the subsequent repetitions, the spinlock pulse can partially work in the opposite direction letting some polarization to flow back from the nuclear to the NV spins. This will occur during the last fraction of the spinlock duration, that is after the NV is relaxed to a polarization level lower than the nuclear one. When we compare the signal for the matched HH condition with the one where no condition is met, (as we do experimentally when we compare the intensity of the dip to the baseline), we see that the mechanism described above results in an inversion of the depolarization dip and this effect can become more severe the shorter the $T_{1\rho}$ time constant and/or the longer the spinlock time.
Left: the signal has been acquired by averaging each point 5000 times and the whole sweep repeated 3 times. Right: The spinlock amplitudes at which the depolarization dips appeared upon application of the different $\nu_{RF}$ have been read out and plotted. A linear fit is showed in red.
Left: 5000 averages for 20 sweeps. Right: 5000 averages for 250 sweeps.
Signal acquisition: 5000 averages for 20 sweeps.
FIG. 12. **Inversion of the depolarization dip at $^{13}$C matching observed during NOVEL.** a) Simulation of the NV (red) and nuclear (green) spin polarization as a function of the pulse sequence repetitions for the cases: i) when the polarization transfer rates are activated (matched HH) ii) when the polarization transfer rates are off (unmatched). Spinlock pulse duration is 40 $\mu$s, all other rates as in Fig. 6. b) Difference between calculated NV polarization for the cases when the HH condition is matched and non-matched. The decay at the first pulse sequence corresponds to the full intensity of the depolarization dip (the same observed during a PROPI experiment). After some repetitions of the pulse sequence the dip gets less and less intense until it inverts. The simulation is shown for two different $T_{1,\rho}$ time constants (red 40 $\mu$s and blue 109 $\mu$s).
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THE APPEALS CHAMBER
Before: Judge Georghios M. Pikis, Presiding Judge
Judge Philippe Kirsch
Judge Sang-Hyun Song
Judge Erkki Kourula
Judge Daniel David Ntanda Nsereko
SITUATION IN THE DEMOCRATIC REPUBLIC OF THE CONGO
Public Document
Judgment on victim participation in the investigation stage of the proceedings in the appeal of the OPCD against the decision of Pre-Trial Chamber I of 7 December 2007 and in the appeals of the OPCD and the Prosecutor against the decision of Pre-Trial Chamber I of 24 December 2007
Decision/Order/Judgment to be notified in accordance with regulation 31 of the Regulations of the Court to:
The Office of the Prosecutor
Mr Luis Moreno-Ocampo, Prosecutor
Ms Fatou Bensouda, Deputy Prosecutor
The Office of Public Counsel for the Defence
Mr Xavier Keïta
Legal Representatives of Victims
Mr Emmanuel Daoud
Mr Patrick Baudoin
Ms Carine Bapita Buyangandu
Mr Joseph Keta
The Office of Public Counsel for Victims
Ms Paolina Massidda, Principal Counsel
REGISTRY
Registrar
Ms Silvana Arbia
The Appeals Chamber of the International Criminal Court (hereinafter “Court”),
In the appeal of the Office of Public Counsel for the Defence against the decision of Pre-Trial Chamber I entitled “Decision on the Requests of the OPCD on the Production of Relevant Supporting Documentation Pursuant to Regulation 86(2) (e) of the Regulations of the Court and on the Disclosure of Exculpatory Materials by the Prosecutor” of 7 December 2007 (ICC-01/04-417);
In the appeals of the Office of Public Counsel for the Defence and the Prosecutor against the decision of Pre-Trial Chamber I entitled “Décision sur les demandes de participation à la procédure déposées dans le cadre de l’enquête en République démocratique du Congo par a/0004/06 à a/0009/06, a/0016/06 à a/0063/06, a/0071/06 à a/0080/06 et a/0105/06 à a/0110/06, a/0188/06, a/0128/06 à a/0162/06, a/0199/06, a/0203/06, a/0209/06, a/0214/06, a/0220/06 à a/0222/06, a/0224/06, a/0227/06 à a/0230/06, a/0234/06 à a/0236/06, a/0240/06, a/0225/06, a/0226/06, a/0231/06 à a/0233/06, a/0237/06 à a/0239/06 et a/0241/06 à a/0250/06” of 24 December 2007 (ICC-01/04-423)\(^1\),
After deliberation,
Delivers unanimously the following
JUDGMENT
1. The decision of Pre-Trial Chamber I of 7 December 2007 entitled “Decision on the Requests of the OPCD on the Production of Relevant Supporting Documentation Pursuant to Regulation 86(2) (e) of the Regulations of the Court and on the Disclosure of Exculpatory Materials by the Prosecutor” (ICC-01/04-417) is reversed.
---
\(^1\) A corrigendum to the decision of 24 December 2007 was filed entitled “Corrigendum à la ‘Décision sur les demandes de participation à la procédure déposées dans le cadre de l’enquête en République démocratique du Congo par a/0004/06 à a/0009/06, a/0016/06 à a/0063/06, a/0071/06 à a/0080/06 et a/0105/06 à a/0110/06, a/0188/06, a/0128/06 à a/0162/06, a/0199/06, a/0203/06, a/0209/06, a/0214/06, a/0220/06 à a/0222/06, a/0224/06, a/0227/06 à a/0230/06, a/0234/06 à a/0236/06, a/0240/06, a/0225/06, a/0226/06, a/0231/06 à a/0233/06, a/0237/06 à a/0239/06 et a/0241/06 à a/0250/06’” 31 January 2008 (ICC-01/04-423-Corr).
2. The decision of Pre-Trial Chamber I of 24 December 2007 entitled “Décision sur les demandes de participation à la procédure déposées dans le cadre de l’enquête en République démocratique du Congo par a/0004/06 à a/0009/06, a/0016/06 à a/0063/06, a/0071/06 à a/0080/06 et a/0105/06 à a/0110/06, a/0188/06, a/0128/06 à a/0162/06, a/0199/06, a/0203/06, a/0209/06, a/0214/06, a/0220/06 à a/0222/06, a/0224/06, a/0227/06 à a/0230/06, a/0234/06 à a/0236/06, a/0240/06, a/0225/06, a/0226/06, a/0231/06 à a/0233/06, a/0237/06 à a/0239/06 et a/0241/06 à a/0250/06” (ICC-01/04-423) is reversed.
REASONS
I. PROCEDURAL HISTORY
1. The three appeals have a common theme: the existence of power, if any, to accord procedural status to victims with a view to participating in the Prosecutor’s investigations in a situation.
2. Pre-Trial Chamber I (hereinafter the “Pre-Trial Chamber”, jurisdiction in the matter being exercised by a Single Judge) determined that it is feasible to accord victim procedural status to persons who qualify as victims under rule 85 of the Rules of Procedure and Evidence (hereinafter “Rules”), a status outside the framework of proceedings before a Chamber and irrespective of the impact of concrete judicial proceedings upon their personal interests.
3. In so holding, the Single Judge treading along the path earlier mapped by the decision of the Pre-Trial Chamber sitting en banc of 17 January 2006.\(^2\) It is in furtherance to the application of victims for participation in the investigation of crimes in the situation in the Democratic Republic of the Congo that the Single Judge rendered her decision adopting the approach of the Pre-Trial Chamber in its aforesaid decision. The
\(^2\) See Democratic Republic of the Congo “Decision on the applications for participation in the proceedings of VPRS 1, VPRS 2, VPRS 3, VPRS 4, VPRS 5 and VPRS 6” 17 January 2006 (ICC-01/04-101-tEN-Corr)
following passages from that decision provided the raison d'être for the two decisions that gave rise to the appeals OA4, OA5 and OA6:
63. The Chamber considers that the personal interests of victims are affected in general at the investigation stage, since the participation of victims at this stage can serve to clarify the facts, to punish the perpetrators of crimes and to request reparations for the harm suffered.
66. In light of this distinction, the Chamber considers that, during the stage of investigation of a situation, the status of victim will be accorded to applicants who seem to meet the definition of victims set out in rule 85 of the Rules of Procedure and Evidence in relation to the situation in question. At the case stage, the status of victim will be accorded only to applicants who seem to meet the definition of victims set out in rule 85 in relation to the relevant case.
72. The right to present their views and concerns and to file material pertaining to the ongoing investigation stems from the fact that the victims’ personal interests are affected because it is at this stage that the persons allegedly responsible for the crimes from which they suffered must be identified as a first step towards their indictment. [...]
4. The Appeals Chamber understands the Single Judge to have intended the granting of “procedural status of victim” to confer upon victims participatory rights, entitling them to express their views and concerns generally in respect of the Prosecutor’s investigation into the situation. The Appeals Chamber will therefore limit its judgment to that subject and will not rule upon any other issue.
5. The facts surrounding each appeal are outlined below.
A. Appeal OA4:
6. The substance of the Impugned Decision is encapsulated in the following passages:
2. At the outset, the Single Judge recalls that in the Chamber’s decisions of 17 January 2006, 22 June 2006 and 28 July 2006, it held that (a) the stage of investigation into a situation and the pre-trial stage of a case are appropriate stages of the proceedings for victim participation as provided for in article 68(3) of the Statute; and (b) that, accordingly, there is a procedural status of victim in relation to situation and case proceedings before the Pre-Trial Chamber. Moreover, the Chamber has also stated that
(a) article 68(3) of the Statute grants discretion to the Chamber to determine the modalities of participation which are attached to such procedural status; and (b) that the Chamber must exercise its discretion to delineate the modalities of participation “in a manner which is not prejudicial to or inconsistent with the rights of the accused”.
3. The Chamber reached these conclusions after finding (a) that the personal interests of victims are generally affected by the outcome of the investigation into a situation and the pre-trial stage of a case; (b) that an assessment of the personal interests of the victims in specific proceedings carried out during these two stages of the proceedings is only to be conducted for the determination of the specific set of procedural rights attached to the procedural status of victim; and (c) that it is with regard to the determination of the modalities of participation that the Chamber must ensure that they are not prejudicial to or inconsistent with the rights of the accused and a fair and impartial trial.\(^3\)
7. Victim procedural status at the investigation stage of a situation is distinguished, as stated in the Impugned Decision, from criminal proceedings before the Court or proceedings where the reception of the views of victims is specifically envisaged by the Statute, the Rules of Procedure and Evidences or the Regulations of the Court.
8. The process for the acknowledgment of such status is, in the view of the Single Judge, unrelated to questions affecting the guilt or innocence of a person under investigation or the accused and to questions of reparations.\(^4\)
9. The Single Judge determined that rule 89 of the Rules and regulation 86 of the Regulations of the Court provide the legal basis for the acknowledgment of procedural victim status to a person;\(^5\) a status unrelated to any proceeding before the Court. In the decision granting leave to appeal, it is pointed out that “article 68 (3) of the Statute, rule 89 of the Rules and regulation 86 of the Regulations provide for two distinct and separate procedures […].”\(^6\)
---
\(^3\) Democratic Republic of the Congo “Decision on the Requests of the OPCD on the Production of Relevant Supporting Documentation Pursuant to Regulation 86(2) (e) of the Regulations of the Court and on the Disclosure of Exculpatory Materials by the Prosecutor” 7 December 2007 (ICC-01/04-417) (hereinafter “Impugned Decision OA4”), para. 3.
\(^4\) See Impugned Decision OA4, para 6.
\(^5\) See Impugned Decision OA4, para 5.
\(^6\) Democratic Republic of the Congo “Decision on Request for leave to appeal the “Decision on the Requests of the OPCD on the Production of Relevant Supporting Documentation Pursuant to Regulation
1. **Decision Granting Leave to Appeal**
10. The Office of Public Counsel for the Defence (hereinafter “OPCD”) sought leave to appeal the Impugned Decision with regard to two issues, “inextricably linked”\(^7\) as the Pre-Trial Chamber says in its decision granting leave, re-fashioned by the Single Judge as quoted below:
Considering that the Single Judge is of the view that in this context the overarching issue is whether article 68(3) of the Statute can be interpreted as providing for a ‘procedural status of victim’ at the investigation stage of a situation and the pre-trial stage of a case; and (i) if so, whether rule 89 of the Rules and regulation 86 of the Regulations provide for an application process which only aims to grant the procedural status of victim and is thus distinct and separate from the determination of the procedural rights attached to such status; and what are the specific procedural features of the application process? or (ii) if not, how applications for participation at the investigation stage of a situation and the pre-trial stage of a case must be dealt with.\(^8\)
2. **Submissions of the OPCD**
11. OPCD advocates that participation by victims in any proceeding can only be sought under article 68 (3) of the Statute. The proceedings must be extant, while participation is not unconditional but confined to the expression of their views and concerns at approved stages of the proceedings and in a manner not prejudicial to the rights of the accused or adverse to a fair and impartial trial. Participation cannot be authorised outside the framework of article 68 (3) of the Statute presupposing, as stated,
---
\(^7\) *Democratic Republic of the Congo* “Decision on Request for leave to appeal the ‘Decision on the Requests of the OPCD on the Production of Relevant Supporting Documentation Pursuant to Regulation 86(2)(e) of the Regulations of the Court and on the Disclosure of Exculpatory Materials by the Prosecutor’” 23 January 2008 (ICC-01/04-438 OA4), page 4.
\(^8\) *Democratic Republic of the Congo* “Decision on Request for leave to appeal the ‘Decision on the Requests of the OPCD on the Production of Relevant Supporting Documentation Pursuant to Regulation 86(2)(e) of the Regulations of the Court and on the Disclosure of Exculpatory Materials by the Prosecutor’” 23 January 2008 (ICC-01/04-438), page 6.
the existence of distinct judicial proceedings affecting the personal interests of a victim seeking participation.\(^9\)
12. In the submission of the OPCD, where the legislator intended to bestow upon victims a right to make representations before the Court, not in the capacity of participants, this was done expressly, as is the case of article 15 (3) of the Statute. In the contention of the OPCD, the finding of the Single Judge that there is power to confer upon victims procedural status should be reversed.\(^{10}\)
3. **Response of the Prosecutor**
13. In his response,\(^{11}\) the Prosecutor espouses by-and-large the position of the OPCD.\(^{12}\) In his suggestion, affection of personal interests is the “cornerstone” upon which victim participation may be premised. This does not and should not preclude any victim from bringing to the notice of the Prosecutor a matter affecting the investigation into a situation. Not only is the granting of procedural status to a victim outside the framework of article 68 (3) of the Statute impermissible, but such a course would impact adversely on the fairness and impartiality of the proceedings by acknowledging to victims a right and a role outside the remit of the Statute and the Rules.
**B. Appeals OA5 (by the OPCD) and OA6 (by the Prosecutor) in the Situation in the Democratic Republic of the Congo**
14. The two appeals stem from the same decision of the Single Judge given on 24 December 2007.\(^{13}\) By virtue of this decision, procedural status was acknowledged to 31 victims in the Situation in the Democratic Republic of the Congo.
---
\(^9\) See *Democratic Republic of the Congo* “OPCD appeal brief on the ‘Decision on the Requests of the OPCD on the Production of Relevant Supporting Documentation Pursuant to Regulation 86(2)(e) of the Regulations of the Court and on the Disclosure of Exculpatory Materials by the Prosecutor’” 4 February 2008 (ICC-01/04-440), paras. 24 to 33.
\(^{10}\) See *ibid.*, page 20.
\(^{11}\) See *Democratic Republic of the Congo* “Prosecution’s Response to OPCD’s Appeal Brief on the ‘Decision on the Requests of the OPCD on the Production of Relevant Supporting Documentation Pursuant to Regulation 86(2)(e) of the Regulations of the Court and on the and Disclosure of Potentially Exculpatory Material’” 15 February 2008 (ICC-01/04-452).
\(^{12}\) *Ibid.*, paras. 16, 20, 22, 24.
\(^{13}\) See *Democratic Republic of the Congo* “Décision sur les demandes de participation à la procédure déposées dans le cadre de l’enquête en République démocratique du Congo par a/0004/06 à a/0009/06,
1. Decision granting leave
15. On 6 February 2008, the Single Judge granted leave to the OPCD to appeal the decision in relation to the following two issues:
Whether it is possible to grant victims a general right to participate? Or whether victim participation is conditioned upon a determination concerning the impact of specific proceedings on the personal interests of the applicants, and an assessment as to the propriety of their participation?
Whether in order to establish moral harm on the basis of harm suffered by a second person, it is necessary to adduce some level of proof concerning the identity of the second person and the applicant’s relationship with this person?¹⁴
16. By the same decision, leave was granted to the Prosecutor to appeal the Impugned Decision with regard to the following issue, likewise arising from the Impugned Decision, namely:
Whether a “procedural status” of victim, within the terms of the Decision, can be granted independent of any finding by the Chamber that the requirements of Article 68(3) and Rule 89 are satisfied, and without addressing and providing for a definition of the personal interests, or following the steps required by the Appeals Chamber’s jurisprudence?¹⁵
17. Sequentially, the Prosecutor and the OPCD mounted two separate appeals numbered OA6 and OA5 respectively.¹⁶
¹⁴ Democratic Republic of the Congo “Decision on the Prosecution, OPCD and OPCV Requests for Leave to Appeal the Decision on the Applications for Participation of Victims in the Proceedings in the Situation” of 6 February 2008 (ICC-01/04-444), pages 6, 7 and 15.
¹⁵ Ibid., pages 6 and 15
¹⁶ See OA5: Democratic Republic of the Congo “OPCD Appeal Brief on the « Décision sur les demandes de participation à la procédure déposées dans le cadre de l’enquête en République Démocratique du Congo par a/0004/06 à a/0009/06, a/0016/06 à a/0063/06, a/0071/06 à a/0080/06 et a/0105/06 à a/0110/06, a/0188/06, a/0128/06 à a/0162/06, a/0199/06, a/0203/06, a/0209/06, a/0214/06, a/0220/06 à a/0222/06, a/0224/06, a/0227/06 à a/0230/06, a/0234/06 à a/0236/06, a/0240/06, a/0225/06, a/0226/06, a/0231/06 à a/0233/06, a/0237/06 à a/0239/06 et a/0241/06 à a/0250/06” 24 December 2007 (ICC-01/04-423); a corrigendum thereto was filed entitled “Corrigendum à la “Décision sur les demandes de participation à la procédure déposées dans le cadre de l’enquête en République démocratique du Congo par a/0004/06 à a/0009/06, a/0016/06 à a/0063/06, a/0071/06 à a/0080/06 et a/0105/06 à a/0110/06, a/0188/06, a/0128/06 à a/0162/06, a/0199/06, a/0203/06, a/0209/06, a/0214/06, a/0220/06 à a/0222/06, a/0224/06, a/0227/06 à a/0230/06, a/0234/06 à a/0236/06, a/0240/06, a/0225/06, a/0226/06, a/0231/06 à a/0233/06, a/0237/06 à a/0239/06 et a/0241/06 à a/0250/06” 31 January 2008 (ICC-01/04-423-Corr-tENG), hereinafter “Impugned Decision OA5 and OA6”.
1. Arguments of the appellant (OPCD) in OA5
18. In the submission\(^{17}\) of the appellant, a situation is an amorphous concept and not “an indivisible proceeding for the purposes of an assessment under article 68 (3)”\(^{18}\). Article 68 (3) of the Statute is the only provision conferring a right upon a victim to participate in proceedings before a Chamber. It is to extant, pending proceedings that personal interests of victims must be correlated. Their personal interests must be affected by the issues in any given proceeding is a prerequisite for victim participation. Procedural status of victim or victim procedural status is a notion unknown to the Statute and instruments founded thereupon. In the contention of the appellant, the role of victims under article 68 (3) is reactive. Judicial economy is yet another reason put forward for not countenancing the acknowledgment of victim procedural status.\(^{19}\) The decision of the Appeals Chamber of 13 February 2007 is invoked in support of the OPCD’s arguments.\(^{20}\)
19. Moral harm, on the other hand, i.e. harm emanating from physical harm occasioned to another person, could defeat, as alleged, the evidentiary protection provided by rule 89 (4) of the Rules.\(^{21}\)
2. Response of the Prosecutor
20. In his response,\(^{22}\) the Prosecutor adopts in essence the position of the appellant in relation to issue one in the appeal OA5. In his view the affection of the personal interests
---
\(^{17}\) See Democratic Republic of the Congo “OPCD Appeal Brief on the « Décision sur les demandes de participation à la procédure déposées dans le cadre de l’enquête en République Démocratique du Congo par a/0004/06 à a/0009/06, a/0016/06 à a/0063/06, a/0071/06 à a/0080/06 et a/0105/06 à a/0110/06, a/0188/06, a/0128/06 à a/0162/06, a/0199/06, a/0203/06, a/0209/06, a/0214/06, a/0220/06 à a/0222/06, a/0224/06, a/0227/06 à a/0230/06, a/0234/06 à a/0236/06, a/0240/06, a/0225/06, a/0226/06, a/0231/06 à a/0233/06, a/0237/06 à a/0239/06 et a/0241/06 à a/0250/06” 18 February 2008 (ICC-01/04-455); OA6: Democratic Republic of the Congo “Prosecution’s Document in Support of Appeal against the 24 December 2007 Decision on the Victims’ Applications for Participation in the Proceedings” 18 February 2008 (ICC-01/04-454).
\(^{18}\) Ibid., para. 32.
\(^{19}\) See ibid., para. 44.
\(^{20}\) See ibid., para. 33.
\(^{21}\) See ibid., para. 48.
\(^{22}\) See Democratic Republic of the Congo “Prosecution’s Response to OPCD Appeal against the 24 December 2007 Decision on the Victims’ Applications for Participation in the Proceedings” 29 February 2008 (ICC-01/04-482).
of a victim by the issues raised in any given proceeding is a *sine qua non* for victim participation. The case law of the Appeals Chamber, to which reference is made,\(^{23}\) supports, as suggested, this position.
21. The Prosecutor distances himself from the OPCD in relation to the second issue raised on appeal.\(^{24}\) He does not subscribe to the proposition that in order to substantiate a claim for moral harm, detailed evidence must be provided in relation to the identity of the person physically harmed or his/her relationship to the victim claiming victim status on that account.
3. **Arguments of the appellant (Prosecutor) in OA6**
22. In the submission of the appellant (Prosecutor), the decision of the Single Judge is vitiated by the following errors:
a. Victim status was acknowledged independently of and outside pending judicial proceedings,
b. “Procedural status of victim” is unknown to the law,
c. Such status is fraught with confusion and opens the door to victims intruding into the investigation process, the exclusive province of the Prosecutor.\(^{25}\)
23. The appellant argues that contrary to the decision of the Single Judge, rule 89 (1) of the Rules is fashioned to the needs of article 68 (3) of the Statute. Reference is made, in support of the arguments of the Prosecutor, to the Judgment of the Appeals Chamber of 13 February 2007 and the decision on victim participation of 13 June 2007, and to a passage from one of the separate opinions\(^{26}\) in the same case.\(^{27}\) The Prosecutor also draws attention to the fact that, in the exercise of his investigatory tasks, he is duty-bound by article 54 (1) (a) of the Statute to collect both inculpatory and exculpatory evidence. He
\(^{23}\) See *ibid.*, paras. 22 and 24.
\(^{24}\) See *ibid.*, paras. 29 *et seq.*
\(^{25}\) See *ibid.*, page 7 *et seq.*
\(^{26}\) That of Judge Pikis.
\(^{27}\) See Democratic Republic of the Congo “Prosecution’s Response to OPCD Appeal against the 24 December 2007 Decision on the Victims’ Applications for Participation in the Proceedings” 29 February 2008 (ICC-01/04-482), paras. 16 and 19.
points out that the Single Judge, in coming to her decision, as stated, treading along the lines of an earlier, legally ill-founded, as alleged, unappealed decision of the Pre-Trial Chamber, where it was held “that the personal interests of victims are affected in general at the investigation stage, since the participation of victims at this stage can serve to clarify the facts, to punish the perpetrators of crimes and to request reparations for the harm suffered”\(^{28}\).
4. **Response of the OPCD**
24. On the whole, the OPCD agrees with the position of the appellant. The OPCD concurs with the Prosecutor that the identity of a victim as such is no leeway to victim participation. For a victim to be entitled to participate, he/she must satisfy all the conditions set down in article 68 (3) of the Statute, procedurally articulated in rule 89 of the Rules. The OPCD also refers to decisions of the Appeals Chamber laying emphasis on a case-by-case consideration of the requisites for victim participation underline the importance of identifying affection of personal interests by the issues raised in the distinct proceedings. The remit of rule 103 of the Rules is confined to the power of the Chamber to seek the views of a State or a third party, if it so deems appropriate, in any proceedings. It does not open another avenue for victim participation.\(^{29}\)
C. **The position of victims in the appeals OA4, OA5 and OA6**
1. **Submissions of victims**
25. Three groups of victims and a single victim submitted their views and concerns in relation to their personal interests on the *sub judice* issues after authorisation by the Appeals Chamber. Their participation was authorised pursuant to article 68 (3) of the
---
\(^{28}\) *Ibid.*, para. 26 (making reference to Democratic Republic of the Congo “Decision on the applications for participation in the proceedings of VPRS 1, VPRS 2, VPRS 3, VPRS 4, VPRS 5 and VPRS 6” 17 January 2006 (ICC-01/04-101-tEN-Corr)).
\(^{29}\) See Democratic Republic of the Congo “OPCD Response to Prosecution's Document in Support of Appeal against the 24 December 2007 Decision on the Victims' Applications for Participation in the Proceedings” 29 February 2008 (ICC-01/04-479).
Statute after the Appeals Chamber concluded that the applicants satisfied the four requisites for victim participation in the proceedings.\textsuperscript{30}
26. Brief reference will be made to the principal arguments advanced by the three groups of victims and the singular one in support of the \textit{sub judice} decisions.
27. The first group of victims disputes the admissibility of the appeal OA4. The issues certified were not the ones raised by the appellants. Notwithstanding the fact that the issues certified incorporate the substance of the questions raised by the appellants, the appeals must be dismissed as no power lies with the court to set down issues subject to appeal other than those sought by the parties. They contend that in so holding the Pre-Trial Chamber violated the rule prohibiting deviation from the relief sought by the petitioning party, known by the Latin legal maxim \textit{non ultra petita}.\textsuperscript{31}
28. In their submission, rules 50 (1) and (3) of the Rules confer a right upon victims to be heard at the investigation stage. Rule 92 (2) of the Rules is also cited in support of the proposition that it is possible to acknowledge procedural status to victims. Regulation 86 (6) of the Regulations of the Court regulatory of victim participation in proceedings under rule 89 of the Rules is also relied upon in support of their case.\textsuperscript{32}
29. They argue that their personal interests are affected by the investigation in a situation and maintain that their participation is justified as it may help in (a) the clarification of facts, (b) the punishment of those responsible and (c) claiming reparations.\textsuperscript{33} It is their position that no decision of the Appeals Chamber illuminates the scene with regard to victim participation at the situation stage of investigations.\textsuperscript{34}
\textsuperscript{30} Democratic Republic of the Congo “Decision on Victim Participation in the appeal of the Office of Public Counsel for the Defence against Pre-Trial Chamber I’s Decision of 7 December 2007 and in the appeals of the Prosecutor and the Office of Public Counsel for the Defence against Pre-Trial Chamber I’s Decision of 24 December 2007” 30 June 2008 (ICC-01/04-503).
\textsuperscript{31} See Democratic Republic of the Congo “Observations of the OPCV as Legal Representative of Victims a/0007/06, a/0008/06, a/0022/06 to a/0024/06, a/0026/06, a/0030/06, a/0033/06, a/0040/06, a/0041/06, a/0046/06, a/0072/06, a/0128/06 to a/0141/06, a/0145/06 to a/0147/06, a/0149/06, a/0151/06, a/0152/06, a/0161/06, a/0162/06 and a/0209/06 in Response to the Interlocutory Appeals Filed by the Prosecution and the OPCD against the Decisions of 7 and 24 December 2007” 8 July 2008 (ICC-01/04-507-tENG), paras. 17 to 20.
\textsuperscript{32} See \textit{ibid}, para. 25.
\textsuperscript{33} See \textit{ibid}, para. 26.
\textsuperscript{34} See \textit{ibid}, para. 28.
Significantly, they submit that acknowledgment of procedural status to victims does not require affection of their personal interests.\textsuperscript{35}
30. The second group of victims likewise supports the \textit{sub judice} decision in every respect.\textsuperscript{36} They suggest that over time more extensive rights for victims have been recognized nationally and internationally.\textsuperscript{37} Article 15 (3) of the Statute and rule 92 (2) of the Rules show, in their contention, the amplitude of the right of victims to participate at the investigation stage.\textsuperscript{38} At that point, the object of participation is to bring to the notice of the Prosecutor their suffering and crimes committed of which they are aware. Lastly, they point out that personal interests as such and what the notion imports are not defined by the Statute.
31. In the submission of the third group of victims, article 68 (3) of the Statute confers discretion upon a Chamber to determine the stage at which victim participation is appropriate. If the Pre-Trial Chamber erred in the exercise of its discretion, so they argue, this would not invalidate the \textit{sub judice} decision and for that reason the appeal should be dismissed. There is room for interpreting article 68 (3) of the Statute as providing for victim procedural status at the investigation and pre-trial stages. Reference is also made to the United Nations Declaration of Basic Principles of Justice for Victims and Abuse of Power\textsuperscript{39}. Participation does not prejudice the rights of the defence. At the end, they submit that victim participation is not dependent on the impact of specific proceedings on the personal interests of applicants.\textsuperscript{40}
\textsuperscript{35} See \textit{ibid}, para. 31.
\textsuperscript{36} See Democratic Republic of the Congo “Observations of the Legal Representatives of a/0071/06, VPRS 1, VPRS 2, VPRS 3, VPRS 4, VPRS 5 and VPRS 6 Following the Appeal Filed by the OPCD against the Decision of the Pre-Trial Chamber Dated 7 December 2007 and the Appeals Filed by the Office of the Prosecutor and the OPCD Against the Decisions of the Pre-Trial Chamber dated 24 December 2007” 8 July 2008 (ICC-01/04-508-tENG).
\textsuperscript{37} See \textit{ibid}, para. 55.
\textsuperscript{38} See \textit{ibid}, para. 57.
\textsuperscript{39} Adopted by General Assembly resolution 40/34 of 29 November 1985.
\textsuperscript{40} See Democratic Republic of the Congo “Observations of the Legal Representative of Victims a/0016/06, a/0018/06, /0021/06, a/0025/06, a/0028/06, a/0031/06, a/0032/06, a/0034/06, a/0042/06, a/0044/06, a/0045/06, a/0142/06, a/0148/06, a/0150/06, a/0188/06, a/0199/06, a/0228/06 in the appeal of the Office of Public Counsel for the Defence against Pre-Trial Chamber I’s Decision of 7 December 2007 and in the appeals of the Prosecutor and the Office of Public Counsel for the Defence against Pre-Trial Chamber I’s Decision of 24 December 2007” 8 July 2008 (ICC-01/04-509).
32. Lastly, the single victim raises arguments similar to those advanced by the three groups of victims in support of the *sub judice* decision, converging in the proposition that victim procedural status can be acknowledged at the stage of investigations into a situation irrespective of personal interests being affected by distinct proceedings.\(^{41}\)
33. In relation to moral harm, the victims assert that their application for participation before the Pre-Trial Chamber is comprehensive. No further particulars are needed to support their claim, such as the nature of the harm suffered by the primary victim or the exact relationship of that victim to the person who allegedly suffered moral harm.
2. **Consolidated Response of Prosecutor to Victims’ Submissions**
34. In the submission of the Prosecutor, the case law of the Appeals Chamber, especially the decision of 13 June 2007, confines victim participation to expressing views and concerns with regard to the issues raised in the particular proceedings before a Chamber. Article 68 (3) of the Statute does not provide for victim procedural status. Participation must be linked to and be identified with specific stages of judicial proceedings. Participation may be sought through the process stipulated for in rule 89 (1) of the Rules. Victims’ applications can only be assessed with respect to specific proceedings impacting upon their personal interests.\(^{42}\)
3. **Submissions of the OPCD in response to Victims’ Submissions**
35. In the contention of the OPCD, the framing of the questions raised by the Pre-Trial Chamber was in its power. In this regard, they cite in support the judgment of the Appeals Chamber of 13 July 2006.\(^{43}\) In essence, the issues posed for resolution are the same as those for which the appellants sought leave to appeal. Respecting moral harm, they submit that it is necessary for every applicant to provide sufficient information
\(^{41}\) See *Democratic Republic of the Congo* “Participation of the Legal Representative of Victim a/0105/06 in the Appeal by the Office of Public Counsel for the Defence (OPCD) against the Decision by Pre-Trial Chamber I of 7 December 2007 and in the Appeals by the Prosecutor and the OPCD against the Decision by Pre-Trial Chamber I of 24 December 2007” 8 July 2008 (ICC-01/04-510-4ENG).
\(^{42}\) See *Democratic Republic of the Congo* “Prosecution’s Consolidated Response to Four Statements of Views and Concerns of Participating Victims pursuant to Appeals Chamber’s Decision of 30 June 2008” 18 July 2008 (ICC-01/04-524).
\(^{43}\) See *Democratic Republic of the Congo* “Judgment on the Prosecutor’s Application for Extraordinary Review of Pre-Trial Chamber I’s 31 March 2006 Decision Denying Leave to Appeal” (ICC-01/04-168).
concerning the primary victim and his/her relationship to that person. Historically, article 68 (3) of the Statute derives, as they indicate, from the 1985 United Nations Declaration of Basic Principles of Justice for Victims and Abuse of Power.\textsuperscript{44}
II. DETERMINATION BY THE APPEALS CHAMBER
36. The issue common to all three appeals is the following: Is it possible to acknowledge to victims general participatory rights in the investigation of crimes committed in a situation referred to the Court? Only this question poses for resolution and shall be determined in this appeal. The present judgment should not be understood as determining any other issue in relation to victim participation.
37. In the decision of the Appeals Chamber of 30 June 2008\textsuperscript{45} concerning victims’ applications to participate in appeal proceedings, the Appeals Chamber dealt with the applications raised in all three appeals in the same spell, commenting, “[v]iewed collectively, the issues concern the manner in which applications by victims to participate at the investigation stage of a situation and the pre-trial stage of a case should be addressed. In the interests of efficiency the Appeals Chamber will consider the appeals jointly for the purpose of determining victim participation in these appeals”\textsuperscript{46}. Thus, the three appeals will be addressed in the same judgment, an exercise conducive to the interests of justice given that their subject matter is identical, avoiding in that way unnecessary repetition.
\textsuperscript{44} See Democratic Republic of the Congo “OPCD’s Consolidated Response to the Observations of Legal Representatives of Victims in the Appeal of the OPCD against the Pre-Trial Chamber I’s Decision of 7 December 2007 and in the appeals of the Prosecutor and the OPCD against the Pre-Trial Chamber I’s Decision of 24 December 2007” 25 July 2008 (ICC-01/04-529).
\textsuperscript{45} Democratic Republic of the Congo “Decision on Victim Participation in the appeal of the Office of Public Counsel for the Defence against Pre-Trial Chamber I’s Decision of 7 December 2007 and in the appeals of the Prosecutor and the Office of Public Counsel for the Defence against Pre-Trial Chamber I’s Decision of 24 December 2007” 30 June 2008 (ICC-01/04-503).
\textsuperscript{46} Ibid., para. 44.
A. Admissibility of appeal OA4
38. The judgment of the Appeals Chamber of 13 July 2006\(^{47}\) provides a conclusive answer to the submission that the appeal is inadmissible owing to the absence of identification of the issues raised for consideration by the Appeals Chamber with those set down by the parties seeking leave to appeal. A right to appeal arises if the Chamber itself is of the opinion that an issue arising from a decision or an aspect of it merits, for the reasons indicated in article 82 (1) (d) of the Statute, immediate resolution by the Appeals Chamber. Power to state an issue emanating from a decision of a first-instance court vests in that Chamber itself, as the wording of article 82 (1) (d) of the Statute clearly suggests. The judgment of 13 July 2006 removes any doubt there might be on the subject. As stated therein the first instance court’s “opinion constitutes the definitive element for the genesis of a right of appeal”\(^{48}\). In the same judgment, it is underlined that the Pre-Trial or Trial Chamber may, on its own motion, certify the existence of an appealable issue. Consequently, the objection to the admissibility of the appeal is groundless. What else may be said in this connection in order to complete the picture is to repeat what was said in the aforesaid judgment of the Appeals Chamber:
An issue is constituted by a subject the resolution of which is essential for the determination of matters arising in the judicial cause under examination. The issue may be legal or factual or a mixed one.\(^{49}\)
B. Merits
39. The following propositions emerge from the Impugned Decisions of 7 December 2007 (OA4) and 24 December 2007 (OA5 and OA6):
a. Victim procedural status can be granted to victims outside a judicial proceeding, entitling them to participate generally in the investigatory process.
---
\(^{47}\) Democratic Republic of the Congo “Judgment on the Prosecutor’s Application for Extraordinary Review of Pre-Trial Chamber I’s 31 March 2006 Decision Denying Leave to Appeal” 13 July 2006 (ICC-01/04-168).
\(^{48}\) Ibid., para. 20.
\(^{49}\) Ibid., para. 9.
b. The investigation into a situation is a stage at which victim participation under article 68 (3) of the Statute can be authorised.
c. Article 68 (3) of the Statute grants discretion to the Pre-Trial Chamber to determine “the modalities of participation which are attached to such procedural status”.
40. In the *sub judice* decision in the appeal OA4 it is stated that the personal interests of victims are generally affected by the outcome of an investigation into a situation, legitimising victim participation therein.\(^{50}\) The following passage from the decision of the Pre-Trial Chamber is hard to decipher:
\[
\text{[…] that an assessment of the personal interests of the victims in specific proceedings carried out during these two stages of the proceedings is only to be conducted for the determination of the specific set of procedural rights attached to the procedural status of victim.}^{51}
\]
Seemingly, what is sought to be conveyed thereby, is the following. Procedural status can be granted to victims at the investigation stage of a situation entitling them to express their views and concerns generally in respect of the investigatory process.
41. In the Impugned Decision the subject of the appeals OA5 and OA6, the Single Judge is somewhat more informative about the implications of procedural status of victims. Reciting the first decision of the Pre-Trial Chamber on victim participation,\(^{52}\) she states, “the Chamber considered that it was not necessary to determine in any great detail at this stage of the proceedings the precise nature of the causal link between the crime and the alleged harm and that the determination of a single instance of harm suffered was sufficient”\(^{53}\). What emerges therefrom is that no need arises at the investigation stage to indicate the nexus between a crime and the harm suffered by a victim, relieving the victims thereby from the obligation to demonstrate affection of personal interests by the
\(^{50}\) See Impugned Decision OA4, para. 3.
\(^{51}\) Impugned Decision OA4, para. 3.
\(^{52}\) See Democratic Republic of the Congo “Decision on the applications for participation in the proceedings of VPRS 1, VPRS2, VPRS 3, VPRS 4, VPRS 5 and VPRS 6” 17 January 2006 (ICC-01/04-101-tEN-Corr).
\(^{53}\) Impugned Decision OA5 and OA6, para. 3.
investigation as such. The conclusion of the Single Judge on the matter is revealed in the following passage of her decision:
a) the investigation stage of a situation and the pre-trial stage of a case are appropriate stages of the proceedings for victim participation as provided for in article 68 (3) of the Statute; and that b) it is therefore possible to have the status of victim authorised to participate in situation- and case-related proceedings before the Pre-Trial Chamber.\(^{54}\)
42. Evidently, the Impugned Decisions reflect the approach of the Pre-Trial Chamber in its decision\(^{55}\) of 17 January 2006 as to the implications of such participation. This is explained in paragraph 71 of the decision of 17 January 2006, the following extract from which records the understanding of the Pre-Trial Chamber on the matter:
In the light of the core content of the right to be heard set out in article 68 (3) of the Statute, persons accorded the status of victims will be authorised, notwithstanding any specific proceedings being conducted in the framework of such an investigation, to be heard by the Chamber in order to present their views and concerns and to file documents pertaining to the current investigation of the situation in the DRC. [emphasis added]
43. The notion of procedural status of victims is nowhere defined, and it is difficult to attach a specific meaning to it. Are there other forms of victim status? Is the term “procedural status of victim” used in order to distinguish such status from the status of a victim having a right to participate in concrete judicial proceedings? Moreover, is there a substantive victim status in contrast to a procedural one?
44. The term “procedural status of victim” is not a phrase with a distinct meaning or a word coined as a term of art. The word “procedural” indicates something pertaining to procedure. Procedure is the code regulating the exercise of judicial power, known as adjectival law. It is contrasted to substantive law, definitive of the rights, duties and obligations of a person. The word “status” signifies a person’s legal condition, whether
\(^{54}\) Impugned Decision OA5 and OA6, para. 5.
\(^{55}\) See Democratic Republic of the Congo “Decision on the applications for participation in the proceedings of VPRS 1, VPRS 2, VPRS 3, VPRS 4, VPRS 5 and VPRS 6” 17 January 2006 (ICC-01/04-101-tEN-Corr)
personal or proprietary.\textsuperscript{56} Procedure is not of itself determinative of the status of any person.
45. The article of the Statute that confers power upon a victim to participate in any proceedings is article 68 (3). What emerges from the case law\textsuperscript{57} of the Appeals Chamber is that participation can take place only within the context of judicial proceedings. Article 68 (3) of the Statute correlates victim participation to “proceedings”, a term denoting a judicial cause pending before a Chamber. In contrast, an investigation is not a judicial proceeding but an inquiry conducted by the Prosecutor into the commission of a crime with a view to bringing to justice those deemed responsible. The modalities of participation under article 68 (3) of the Statute must be specified by the Chamber in a manner not prejudicial to the rights of the person under investigation or the accused, and in a way non-antagonistic to a fair and impartial trial. A person has the right to participate in proceedings if a) he/she qualifies as a victim under the definition of this term provided by rule 85 of the Rules, and b) his/her personal interests are affected by the proceedings in hand in, i.e. by the issues, legal or factual, raised therein.
46. Rules 89, 91 and 92 of the Rules relied upon by the Pre-Trial Chamber as supporting the position that victims can participate at the investigation stage of a situation outside the framework of judicial proceedings, far from supporting the position adopted,
\textsuperscript{56} See \textit{Garner B A} (ed.) Black’s Law Dictionary, Eighth Edition, page 1447; see also Shorter Oxford English Dictionary on historical principles, Volume 2, N-Z, Fifth Edition, page 3011.
\textsuperscript{57} See \textit{inter alia} \textit{Prosecutor v Lubanga Dyilo} “Judgment on the appeal of Mr. Thomas Lubanga Dyilo against the decision of Pre-Trial Chamber I entitled ‘Décision sur la demande de mise en liberté provisoire de Thomas Lubanga Dyilo’” 13 February 2007 (ICC-01/04-01-06-824) OA7; \textit{Prosecutor v. Lubanga Dyilo} “Decision of the Appeals Chamber on the Joint Application of Victims a/0001/06 to a/0003/06 and a/0105/06 concerning the ‘Directions and Decision of the Appeals Chamber’ of 2 February 2007” 13 June 2006 (ICC-01/04-01/06-925) (Separate opinions by Judge Pikis and Judge Song); \textit{Prosecutor v. Lubanga Dyilo} “Decision, \textit{in limine}, on Victim Participation in the appeals of the Prosecutor and the Defence against Trial Chamber I’s Decision entitled ‘Decision on Victims’ Participation’” 16 May 2008 (ICC-01/04-01/06-1335) (separate opinion of Judge Pikis, partly dissenting opinion of Judge Song); \textit{Democratic Republic of the Congo} “Decision on Victim Participation in the appeal of the Office of Public Counsel for the Defence against Pre-Trial Chamber I’s Decision of 7 December 2007 and in the appeals of the Prosecutor and the Office of Public Counsel for the Defence against Pre-Trial Chamber I’s Decision of 24 December 2007” 30 June 2008 (ICC-01/04-503); \textit{Darfur} “Decision on Victim Participation I the appeal of the Office of Public counsel for the Defence against Pre-Trial Chamber I’s Decision of 3 December 2007 and in the appeals of the Prosecutor and the Office of Public Counsel for the Defence against Pre-Trial Chamber I’s Decision of 6 December 2007” 18 June 2008 (ICC-02/05-138); \textit{Prosecutor v Lubanga Dyilo} “Judgment on the Appeals of The Prosecutor and The Defence against Trial Chamber I’s Decision on Victims’ Participation of 18 January 2008” 11 July 2008 (ICC-01/04-01/06-1432).
contradict it. Rule 89 of the Rules is specifically fashioned to the provisions of article 68 of the Statute and aims to regulate the steps that must be taken in order for a victim to participate in judicial proceedings. Rule 91 of the Rules acknowledges that victims may participate through a legal representative whereas rule 92 of the Rules advertises notification of judicial proceedings to victims and their legal representatives in which they may have an interest to seek participation and decisions which may affect them. The class of victims to whom notification must be given is also specified.\(^{58}\)
47. Rule 92 of the Rules has one other aspect that merits reference to. It exempts from its provisions proceedings under Part 2 of the Statute (see rule 92 (1) of the Rules). Articles 15 (3) and 19 (3) do belong to that Part of the Statute. They make provision, the former for representations by victims in relation to the authorisation of an investigation, and the latter for the submission of observations by victims with regard to the jurisdiction of the Court to take cognisance of a case or its admissibility. Rules 50 and 59 of the Rules regulate, respectively, the procedure applicable to a) victims’ representations, and b) the submission of victims’ observations.
48. Rule 93 confers power upon a Chamber to seek the views of victims or their legal representatives on any matter arising in the course of proceedings before it, including issues referred to it pursuant to rules 107, 109, 125, 128, 136, 139, and 199 of the Rules. The views of victims may be solicited independently of whether they participate or not in any given proceedings before the Court. Initiative for soliciting the views of victims under this rule rests entirely with a Chamber. Victims may express their views on any given subject identified by the Chamber. Here again, the process is distinguished from victim participation under article 68 (3) of the Statute.
49. Regulation 86 (6) of the Regulations of the Court does not envisage participation outside the confines of rule 89 of the Rules. It merely regulates victim participation under article 68 (3) of the Statute.
\(^{58}\) Sentence 2 of rule 92 (2) of the Rules reads: “Such a notification shall be given to victims or their legal representatives who have already participated in the proceedings or, as far as possible, to those who have communicated with the Court in respect of the situation or case in question.”
50. There is yet another species of proceedings that must be distinguished from participation under article 68 (3) of the Statute. These are proceedings which the victims may initiate themselves under statutory provisions. Pursuant to the provisions of article 75 of the Statute and rule 94 of the Rules, they may make a request for reparations against the convicted person in the manner envisaged by the aforesaid rule. Furthermore, victims as well as witnesses may move the Court to take protective measures for their safety, physical and psychological well-being, dignity and privacy as foreseen *inter alia* in article 68 (1) and (2) of the Statute and rules 87 and 88 of the Rules. The protection of victims and witnesses and that of members of their families may justify the non-disclosure of their identity prior to the trial, as provided in rule 81 of the Rules.
51. The initial appraisal of a referral of a situation by a State Party, in which one or more crimes within the jurisdiction of the Court appear to have been committed as well as the assessment of information reaching the Prosecutor and in relation to that the initiation by the Prosecutor of investigations *proprio motu* are the exclusive province of the Prosecutor (see, *inter alia*, articles 14, 15, 53, and 54 of the Statute).
52. The domain and powers of the Prosecutor are outlined in article 42 of the Statute, paragraph 1 of which reads:
The Office of the Prosecutor shall act independently as a separate organ of the Court. It shall be responsible for receiving referrals and any substantiated information on crimes within the jurisdiction of the Court, for examining them and for conducting investigations and prosecutions before the Court. A member of the Office shall not see or act on instructions from any external source.
Manifestly, authority for the conduct of investigations vests in the Prosecutor. Acknowledgment by the Pre-Trial Chamber of a right to victims to participate in the investigation would necessarily contravene the Statute by reading into it a power outside its ambit and remit.
53. In their submissions the victims argue that granting them victim status at the investigation stage would, *inter alia*, enable them to “clarify the facts”\(^{59}\), “to make known what was inflicted upon them”\(^{60}\) and that, following this information, the Prosecutor would investigate the events.\(^{61}\) In the view of the Appeals Chamber, there is ample scope within the statutory scheme of the Statute for victims and anyone else with relevant information to pass it on to the Prosecutor without first being formally accorded “a general right to participate”. For example under Article 15 (2) the Prosecutor is authorised to receive information from, *inter alia*, any “reliable source” – including victims. He is similarly authorised under article 42 (1) to receive and consider “any substantiated information on crimes within the jurisdiction of the Court”. Victims may thus make representations to the Prosecutor on any matter pertaining to the investigations and to their interests. They are also specifically granted the right to make representations under articles 15 (3) and 19 (3) of the Statute.
54. Furthermore, victims should be reminded that their protection and the sustenance of their interests is a recurring theme of the Statute. Article 54 (1) (b) of the Statute lays down that in carrying out his investigations, the Prosecutor must “respect the interests and personal circumstances of victims and witnesses [...]”. Article 53 (1) (c) of the Statute makes the interests of victims one of the factors to which the Prosecutor should attach due importance in deciding whether to start an investigation into a particular crime. The interests of victims are likewise a factor to be taken into account by the Prosecutor in deciding whether to mount a prosecution. By the terms of article 68 (1) of the Statute, the Prosecutor is bound to take measures protective of the safety and well-being of victims. The Prosecutor is equally under obligation to take measures or request that measures be taken for the protection of any person including no doubt victims (article 54 (3) (f) of the Statute). Information that victims can provide to the Prosecutor about the scope of his investigations cannot but be welcome as it could provide nothing other than assistance.
\(^{59}\) Democratic Republic of the Congo “Observations of the OPCV as Legal Representative of Victims a/0007/06, a/0008/06, a/0022/06 to a/0024/06, a/0026/06, a/0030/06, a/0033/06, a/0040/06, a/0041/06, a/0046/06, a/0072/06, a/0128/06 to a/0141/06, a/0145/06 to a/0147/06, a/0149/06, a/0151/06, a/0152/06, a/0161/06, a/0162/06 and a/0209/06 in Response to the Interlocutory Appeals Filed by the Prosecution and the OPCD against the Decisions of 7 and 24 December 2007” 8 July 2008 (ICC-01/04-507-tENG-Corr), para. 27
\(^{60}\) *Ibid*, para. 64.
\(^{61}\) See *ibid*
55. Participation pursuant to article 68 (3) of the Statute is confined to proceedings before the Court, and aims to afford victims an opportunity to voice their views and concerns on matters affecting their personal interests. This does not equate them, as the case law of the Appeals Chamber conclusively establishes, to parties to the proceedings before a Chamber, restricting their participation to issues arising therein touching upon their personal interests, and then at stages and in a manner not inconsistent with the rights of the accused and a fair and impartial trial.\(^{62}\)
56. The Pre-Trial Chamber also acknowledges in its decision that article 68 (3) of the Statute is the provision that confers a right upon victims to participate in any proceedings before a Chamber. Nevertheless, the Pre-Trial Chamber adopts the position that the provision could be extended beyond its self-evident confines, to areas outside its ambit. Article 68 (3) of the Statute is treated as a hybrid provision, allowing the participation of victims in any matter dealt with by the Statute, including investigations. This is a position that can find no justification under the Statute, the Rules of Procedure and Evidence or the Regulations of the Court. On the other hand, it must be clarified that victims are not precluded from seeking participation in any judicial proceedings, including proceedings affecting investigations, provided their personal interests are affected by the issues arising for resolution.
\(^{62}\) See *Prosecutor v Lubanga Dyilo* “Judgment on the appeal of Mr. Thomas Lubanga Dyilo against the decision of Pre-Trial Chamber I entitled ‘Décision sur la demande de mise en liberté provisoire de Thomas Lubanga Dyilo’” 13 February 2007 (ICC-01/04-01-06-824) OA7; *Prosecutor v Lubanga Dyilo* “Decision of the Appeals Chamber on the Joint Application of Victims a/0001/06 to a/0003/06 and a/0105/06 concerning the ‘Directions and Decision of the Appeals Chamber’ of 2 February 2007” 13 June 2006 (ICC-01/04-01/06-925) (Separate opinions by Judge Pikis and Judge Song); *Prosecutor v Lubanga Dyilo* “Decision, *in limine*, on Victim Participation in the appeals of the Prosecutor and the Defence against Trial Chamber I’s Decision entitled ‘Decision on Victims’ Participation’” 16 May 2008 (ICC-01/04-01/06-1335) (separate opinion of Judge Pikis, partly dissenting opinion of Judge Song); *Democratic Republic of the Congo* “Decision on Victim Participation in the appeal of the Office of Public Counsel for the Defence against Pre-Trial Chamber I’s Decision of 7 December 2007 and in the appeals of the Prosecutor and the Office of Public Counsel for the Defence against Pre-Trial Chamber I’s Decision of 24 December 2007” 30 June 2008 (ICC-01/04-503), *Darfur* “Decision on Victim Participation I the appeal of the Office of Public counsel for the Defence against Pre-Trial Chamber I’s Decision of 3 December 2007 and in the appeals of the Prosecutor and the Office of Public Counsel for the Defence against Pre-Trial Chamber I’s Decision of 6 December 2007” 18 June 2008 (ICC-02/05-138); *Prosecutor v Lubanga Dyilo* “Judgment on the Appeals of The Prosecutor and The Defence against Trial Chamber I’s Decision on Victims’ Participation of 18 January 2008” 11 July 2008 (ICC-01/04-01/06-1432).
57. Having determined that the Pre-Trial Chamber cannot grant the procedural status of victim entailing a general right to participate in the investigation, the Appeals Chamber is not in a position to advise the Pre-Trial Chamber as to how applications for participation in judicial proceedings at the investigation stage of a situation should generally be dealt with in the future, in the absence of specific facts. It is for the Pre-Trial Chamber to determine how best to rule upon applications for participation, in compliance with the relevant provisions of the Court’s texts. The Pre-Trial Chamber must do so bearing in mind that participatory rights can only be granted under article 68 (3) of the Statute once the requirements of that provision have been fulfilled.
58. Having determined that victims cannot be granted procedural status of victim entitling them to participate generally in the investigation, leading to the collapse of the foundation of the decisions of the Single Judge, the particulars to be provided for a person to qualify as a victim on grounds of moral harm becomes a theoretical one and need not be answered.
59. In the result, the decisions of the Pre-Trial Chamber acknowledging procedural status to victims, entitling them to participate generally in the investigation of a situation are ill-founded and must be set aside. The reversal of the Impugned Decisions is the unavoidable outcome of these proceedings.
Done in both English and French, the English version being authoritative.
__________________________
Judge Georghios M. Pikis
Presiding Judge
Dated this 19th day of December 2008
At The Hague, The Netherlands |
W
B393v
1839
Surgeon General's Office
LIBRARY
Section,
No. 14802
THE
FEDERALIST
OR
A COLLECTION OF FEDERAL PAPERS
AND ESSAYS
ON THE CONSTITUTION OF THE UNITED STATES
OF AMERICA
BY JAMES MADISON, JOHN JAY, AND ANONYMOUS
PUBLISHED BY ORDER OF THE SENATE OF THE STATE OF NEW YORK
AT ALBANY
1802
VALEDICTORY ADDRESS,
TO THE
STUDENTS IN MEDICINE
OF THE
COLLEGE OF PHYSICIANS AND SURGEONS
OF THE
UNIVERSITY
OF THE STATE OF NEW YORK.
Delivered, Feb. 28, 1839.
BY JOHN B. BECK, M. D.,
PROFESSOR OF MATERIA MEDICA AND MEDICAL JURISPRUDENCE IN THE COLLEGE OF PHYSICIANS AND SURGEONS OF THE UNIVERSITY OF THE STATE OF NEW YORK.
NEW YORK:
PUBLISHED BY THE STUDENTS.
1839.
THE VICE OF NEW YORK
AND THE CONSEQUENCES OF THE ABOLITION OF SLAVERY IN THE STATE OF NEW YORK
BY JOHN F. WOOD, D.D.
NEW YORK:
Printed by William E. Dean,
No. 2 Ann Street.
COLLEGE OF PHYSICIANS AND SURGEONS.
NEW YORK, February 28th, 1839.
JOHN B. BECK, M. D., AND P.
Sir:—At a meeting of the Students of the College, held this day, it was unanimously resolved that a committee of five, with the addition of the Chairman and Secretary, be appointed to present the cordial thanks of the class to you, for your masterly analysis, and exposition of the necessity of mental discipline in the pursuit of medical excellence. It was (on motion of Mr. Greacen.)
Resolved, That the Committee appointed wait on you, and respectfully request a copy of your able and appropriate Valedictory Address for publication.
We, the undersigned Committee appointed for this purpose, take great pleasure in making known to you the wishes of the class, and earnestly desire that you may find it convenient to comply with their request.
Respectfully yours,
JAMES R. GREACEN,
JOHN OSBORN,
PINCKNEY W. ELLSWORTH,
FREDK. J. PAINTER,
RICHARD HOFFMAN COOLIDGE,
NATH. L. LIGHTBOURN, Chairman,
BENJ. J. RAPHAEL, Secretary.
Committee.
NEW YORK, March 4th, 1839.
14 Le Roy Place.
Gentlemen:—The address, delivered at the close of my course of Lectures, was prepared without the remotest idea of being published. Believing, however, that it contains some suggestions that may be useful to you, and feeling a deep interest in your welfare, I cheerfully comply with your request. With every wish for the happiness and prosperity of yourselves and of the gentlemen whom you represent,
I remain your
sincere friend,
JOHN B. BECK.
To Messrs. JAMES R. GREACEN,
JOHN OSBORN,
PINCKNEY W. ELLSWORTH,
FREDK. J. PAINTER,
RICHARD HOFFMAN COOLIDGE,
NATH. L. LIGHTBOURN, Chairman,
BENJ. J. RAPHAEL, Secretary.
Committee.
VALEDICTORY ADDRESS.
GENTLEMEN,
Another session has come to its close. Another academic year, with all its interests, its toils, its fears and its hopes, has terminated. Occasions like this are pregnant with interest to us all. To the teacher it is so, as he sees another class of ingenuous and industrious youth pass from before him, many of whom he may never see again. To him it would cause a deeper regret, were it not for the hope, that he may in after time hear of them again, as the ornaments of society and of the profession. To the student it is interesting, because he has closed another period of the only time allotted to him, in which he is to lay the foundation of his future character. Under the influence of feelings like these, I cannot consent to take my leave of you, without offering some suggestions of a general nature, that perhaps may be
useful to you, and I propose, to give you some considerations in relation to the means, by which your future professional eminence may be promoted.
The first idea that I would present to you, is the importance of a well disciplined mind. When I speak of a well disciplined mind, I do not mean mere natural ability; but I allude to that intellectual cultivation, which is the result of study and training upon a mind capable of improvement; in other words, it is the cultivation of mind, which flows from a thorough education in the various preliminary branches of human study. Of the necessity and importance of such mental discipline, there can be little question. The mind of man is naturally feeble and imperfect. Susceptible of boundless improvement, if left to itself, it makes little or no advance in knowledge. Uneducated, untutored man is little superior to the beast of the forest. Daily sustenance is the object of his toil, and the gratification of passion, the summit of his enjoyment. In the rudest states of existence, education is unknown, and there, we find the human mind in its lowest state of degradation. If we leave these, and ascend through all the intermediate grades of society, we shall find, that just in proportion as the means of education are afforded, is the
human mind elevated, expanded, and refined; and just in proportion as these are withheld, is it grovelling and debased. Without any extended process of reasoning, it is evident that the mind requires to be educated. Like the body, it must pass through a long course of discipline, before its faculties are matured, and before it can become a fit agent for the accomplishment of the great ends for which it was destined. If this be so as a general fact, how much more strikingly does its truth appear, when we come to view it in its applications to the various pursuits of life, and especially those of a professional character. The undisciplined mind, however vigorous its native powers may be, is inadequate to the successful cultivation of knowledge as embodied in these pursuits. The whole history of human experience goes to show that no original genius, however great, can ever supply the deficiency occasioned by a want of discipline and study. In no profession, perhaps, is all this more strikingly illustrated than in that of medicine. Here, the object is pre-eminently the investigation of truth, not by flights of fancy, not by visionary theories, but by patient observation, by the laborious comparison of facts, and by the nice balancing of evidence. Now it is self-evident, that no progress can be made in such a process as this, unless by a mind properly cultivated. Such being the case, the question naturally arises, how is this intellectual cultivation to be attained? I answer, only by a sound education on general subjects as preliminary to an entrance upon professional studies. Strange as it may appear, there is no subject perhaps on which a greater difference of opinion has existed, than on that of preliminary education, and particularly in relation to the kinds of study which ought to be pursued. This discordance, appears to have arisen in a great measure from the true object of this kind of education not being correctly understood. By some, the sole object is supposed to be the mere acquisition of knowledge. Hence it is, that you will find men, even of intelligence, advocating the principle, that the youthful mind ought to be instructed chiefly in such branches of information, as may be made practically useful in the various occupations of life. Accordingly, Botany, Zoology, Mineralogy, and the like, are gravely advocated as the best suited for the purposes of early instruction. Now, without wishing to derogate in the least from the value of these departments of science, for no man appreciates them more highly than myself, I cannot but believe this to be a great and serious error. If the design of general education were simply
to perfect young men in one branch of knowledge, then indeed some plausible foundation for this doctrine might exist. This, however, is not the case. It is not to make men merely zoologists, or botanists, or mineralogists, but to evolve and mature the mental faculties, in such way, that they may be prepared for applying them advantageously, to whatever pursuit or profession the taste or genius of the individual may afterwards lead him. If this be so, then there can be no question that this object can be best accomplished by studies altogether of a general nature, and without reference to any special department of science. With regard to the kind of studies best suited for this purpose, the opinion of mankind has long since been definitively expressed, and the experience of the world has decided that language, mathematics and mental philosophy hold the highest rank. The usage of every civilized nation has given its suffrage in favor of these studies, and however much the taste of the day may seem to fluctuate, I do not doubt but they will continue to retain, to the remotest time, the high rank which they have ever held. In the study of language, and more especially of the dead languages, there is everything calculated to call into exercise the mental faculties. Not merely the memory, but
the fancy, the judgment and the reasoning powers are roused into action. Taught, not by a pedagogue, whose sole object is to convert one language into another, but by a master capable of reflection and generalization, fountains of knowledge are continually opened before the youthful mind, and he becomes insensibly familiarized with the history of human thought and human conduct, as it has been handed down to us in these treasures of ancient genius. In the mathematics, he has the purest forms of reason submitted to him. Starting from axioms, or self-evident truths, he learns that most important of all acquisitions in reason, to take nothing for granted. He sees how truth is connected with truth like the links of a chain—how one proposition follows another—how conclusions succeed their premises, until the whole winds up in the glorious certainty of demonstration. In mental philosophy, the student becomes acquainted with his own intellectual powers and capacities, and he becomes familiarized with forms of discussion and reasoning of more general application than those of mere demonstrative science.
Now, the object of these studies is not to make a young man either a linguist, or a mathematician, or a metaphysician; their object is to educate the mind, to evolve and strengthen the mental powers;
and in this view their efficiency is unrivalled; they instruct, they liberalize, they ennable the mind in a way which the study of any single science can never do.
Such being the object of preliminary education, there can be no question of its importance to the student of medicine. Thus trained and fortified, he will come up to the study of medicine, with immense advantages over one who has never enjoyed the benefits of such discipline; and as he advances in his studies he will find daily illustrations of the facilities which he will possess in the acquisition of professional knowledge.
But I will not dwell upon this subject. Most of you have had the benefits of a liberal preliminary education, and no doubt justly appreciate its value. To those of you who have not been so fortunate, I would merely say, that it is not too late yet to do something to repair the deficiency; and you cannot do better than to appropriate a portion of your time, especially in the intervals between the lectures, in the study of the branches to which I have alluded. Should it retard your entrance into the profession for a year or two, be assured that you will not be the losers even in time. The intellectual improvement which it will impart,
will enable you afterwards to pursue your professional studies with tenfold vigor and success.
Not merely, however, ought the student who aims at distinction to have his mind properly disciplined by general studies; but he ought to aspire to the character of a man of learning in his profession. By this, I do not mean that he should be well versed in the mere elements of his profession. This may be accomplished without much difficulty, simply by the study of a few text-books, intended to save the student the labor of thought and inquiry. Important as this kind of knowledge undoubtedly is, it is not worthy of the dignified name of learning. When I speak of learning as applied to medicine, I mean, that a man should be extensively read in the best authors who have written on the various departments of his profession. He should not confine himself to the writers of one age, or one country, or one language. In a word, he should have ranged over the whole field of professional knowledge, as he finds it embodied in the recorded labors and researches, not merely of the present, but of past generations. It is only in this way, that he can justly hope to attain to the title of true learning. In pursuing this course, it is not necessary that every book should be read, or that all books should be read with equal care.
Lord Bacon says, "some books are to be tasted, others to be swallowed, and some to be chewed and digested; that is, some books are to be read only in parts; others, to be read, but not curiously; and some few to be read wholly, and with diligence and attention." No rule is deeper laid in common sense than this. Whoever has run over, with an attentive eye, and a discriminating judgment, any portion of professional literature, cannot but be forcibly impressed with the fact, that a large proportion of writers are the mere copyists of those who have preceded them. In a thousand different shapes and ways, the same materials are wrought up, to suit the existing taste of the day, without the addition of a single new idea. It is only now and then, and at immense intervals too, that a work of profound and original merit bursts upon the view. Now, the practised student, and the man of disciplined understanding, will, almost at a glance, be able to seize upon the true value of a book, and extract from it what may be essentially useful. In this way, a labor apparently endless and hopeless, comes within the reach of ordinary industry and capacity.
You will doubtless meet with many, even in our own profession, who will endeavor to persuade you that learning is of no great importance; you will be told that it may be an accomplishment, but nothing more; that some of the best practitioners never read. Such notions as these are exceedingly prevalent, and unfortunately, exercise an influence most extensive and fatal. They cannot, therefore, be too early counteracted. With regard to the objection, so startling at first, that good practitioners never read, I need not stop to tell you how mistaken such an opinion is. If the origin of it be traced, it will be found to proceed from men who wish to use it as an excuse for their indolence, or a cloak for their ignorance. You might as well say, that a man may be a good practitioner who never thinks. Learning supplies the materials for thought, and the one is just as necessary to make even the good practitioner as the other. If you enlarge your views of the physician, and consider him not merely as the practitioner, but as aiming at the extension and improvement of medical science, the importance of learning becomes still more apparent. It is only in this way, that he can become acquainted with what has been actually done by those who have gone before him, and unless he possess this kind of knowledge, he will continually be placed in the unenviable light of promulgating discoveries which have been made centuries before. Time and labor
will thus be wasted in vain. But it is not merely knowledge that he will thus acquire. As he peruses the writings of the great masters who have advanced our science, he will make an acquisition still more valuable. He will become familiarized with their modes of thinking, and with the modes in which they investigated, and ultimately arrived at the discovery of truth, and this is the capital advantage of studying the great and original authors in our profession. A summary of what these men wrote or discovered may easily be obtained from a common dictionary or encyclopedia, but this is not what you want merely. You want to study the mind and genius of the men, as displayed in the investigation and exhibition of truth. You want to do, what the artist does, when he travels to foreign lands to study the great models of sculpture and architecture, in the hope that he may catch some of the spirit and genius of their authors. What I would then urge is, that you should not be content merely with the results of learning, as recorded in text books, but aspire to become familiar with the modes in which great minds attained to these results. In doing this, do not confine yourselves to the moderns. Improved as medicine is at the present day, you will nevertheless find in the older writers, much to reward all the labor which you may expend upon them. You will find unrivalled descriptions, extensive observations, and ingenious reasonings. Even from their errors, you may extract much profit. You will find what the causes were, why men of such acute genius frequently erred, and how their errors have been corrected, by the introduction of a subsequent and sounder philosophy. Every student, then, who aims at future pre-eminence, ought to make up his mind, to go through an elaborate course of reading and study of the great masters of our art. The only way to accomplish this is to begin early. Youth is susceptible of impression and improvement, and it is then that the mind can receive its bias from study. Nor should the moral influence of such a course be overlooked. In taking up the writings of an author who has stood the test of time, and whose renown has only been augmented by the lapse of years, the student feels as if he were on hallowed ground, and his mind must inevitably become elevated and improved.
To accomplish all this, another thing is essential—the student who aspires to eminence should be a man of industry. There is no opinion more fatal to excellence in any pursuit, than that it is the result of mere genius or natural talent; that it can
be acquired by the voluntary effort of mere native power. Among the young, this is an idea unfortunately too apt to be prevalent. Hence it is that the opinion has grown up among them that industry and genius are incompatible, and when a young man is found attentive and laborious, it is too often looked upon as an evidence of dulness. Now, although mere industry is no proof of talent, it is certainly no proof of dulness. So far from this, it certainly indicates a decision of mind, which, if it be not perverted or counteracted, must sooner or later lead to some useful result. If it be not the evidence of genius, it is the evidence of the possession of other qualities, equally, if not more necessary to ultimate success. If young men generally estimated this fact, they would not so often be led astray by the foolish and fatal notion that industry and study will expose them to the charge of dulness. It is a law of our nature, that, to accomplish any thing good or great, labor is essential. Gifted as men are with different original powers, one man can accomplish projects with greater facility and greater excellence than another. All, however, must labor more or less, and the greatest geniuses are those who labor the most. The man who imagines that the great monuments of art, fancy, and imagination, which have been handed
down to us, are not the results of great labor and toil, only betrays his ignorance. If this be so of efforts more purely creative and imaginative, and when a man may call upon his own mind in a great measure for his resources, how much more strikingly true is it of such a profession as medicine. A knowledge of this cannot be gained by intuition, or by mere reflection. It is a science based upon profound personal observation, combined with an extensive knowledge of what has been observed and recorded by others, and the whole practically applied by experience. Now, how is all this to be attained, without immense labor? If you want any illustration of the necessity of this, look at the history of those men who have signalized themselves in our science. See how days and nights, health and pleasure, have been sacrificed at the shrine of industrious labor, and, unless the student emulate these illustrious exemplars, he can never hope to distinguish himself in the annals of our art.
But, gentlemen, the student of our profession will find all his intellectual discipline, all his varied learning, all his labor, of no avail, unless he give them a proper direction. Unless he direct them solely and devotedly to the investigation and establishment of truth, they will serve but to dazzle and
bewilder, and leave no lasting monument behind them. In the early period of his existence, comparatively unacquainted as he is with the world and with man, he may think it strange, and perhaps he may doubt, that any rational and intelligent being should be governed, in the exercise of his heaven-born faculties, by any other motive than the love of truth. A few years of melancholy experience, however, will convince him that other influences exercise a predominant control over the human mind, and that a thousand agencies are continually tempting it from the path of truth. In this way it is, that the whole of man's moral and intellectual nature has become corrupted. The whole history of the human race, from our great progenitor down to the present day, furnishes a painful but faithful illustration of the correctness of this assertion. In our profession, the student will find a thousand causes operating to divert his mind from the love and pursuit of truth, and it is against these that he ought to be fortified. At one time, he may find the authority of some great name raising its oracular voice to crush inquiry; at another, he may find the intolerance of sect or party attempting to stifle honest and manly thought; at another, he may find the love of distinction tempting to the promulgation of some brilliant theory, which, however false and dangerous, may yet gain for its author the distinction of a temporary notoriety. It is thus that truth has been obscured, and error rendered perennial in our profession. Now, against all these causes, the youthful votary of medicine should be especially on his guard. With a modesty, which is the grace of every age, but the especial ornament of youth, he ought to treat with all becoming respect the labors and researches of those who have gone before him, as well as those of his cotemporaries. But, while he reads and investigates them, he should not blindly receive all they say. His reason and his growing experience should continually sit in judgment. In short, he should always think for himself, and let truth—simple, unsophisticated truth, apart from authority, and sect, and every thing else—be his polar star.
Before leaving this point, permit me to caution you emphatically against that vice so prevalent in our profession, of attaching yourselves to some popular sect or party. Once joined to a sect or party, a man's independence is gone. He loses the distinctive character of the honest inquirer after truth; he loses his freedom of thought and action, and too often, becomes the humble drudge of some deluded visionary, or, what is worse, of some designing impostor. The character is thus frequently
settled for life. Should he see his folly, and by a noble effort disenthral himself, it will take long years of painful and humiliating exertion to efface its effects. More generally, however, he persists in his error, and sinks deeper and deeper in degradation. Many a noble youth, starting on his career with high hopes and brilliant prospects, has thus been prematurely shipwrecked.
Again, if you wish to acquire distinction, cultivate an enthusiastic love of your profession. Unless you do this, all your aspirings after fame will prove abortive. Independently of this consideration, you have every inducement to do so. Than medicine, there is no department of human labor which is more interesting in itself, or more generous in the ends which it proposes to itself. It ranges over the illimitable fields of nature—it looks to the heavens—it traverses the globe—it climbs the mountain—it dives into the solid earth—it interrogates man himself in his mysterious recesses; and it brings all its treasures to its votaries, for the noblest of purposes; to alleviate human distress—to arrest the progress of disease—to dispel the mists of clouded intellect—in short, to make man a happier and more grateful tenant of this lower world. If you entertain such views of your profession, it cannot be
otherwise than that you will make corresponding efforts to add something to the amount of our knowledge and means to accomplish these sublime objects; and if you do so, you cannot fail to receive your reward.
But it is not merely necessary that the man who enters our profession should love the science in the abstract; he must also respect his professional brethren. Our profession, like every other, contains a mixture of good and evil. There are some, who by their misdeeds have forfeited all esteem. But all are not such. Our profession contains a mass of intelligence, and worth, and virtue, which he is bound to appreciate, if he ever hope to succeed. This he is bound to do, no less by the obligations of duty than from a regard to his own interest. He should recollect, that the character of the profession is a part of the inheritance of every individual member of it, and just in proportion as that is elevated or degraded, does the humblest individual who belongs to it rise or sink in importance. There are some so unfortunately organized, that they think the only method of gaining importance is by traducing others and rising upon their ruins. As you value your future respectability—as you value the opinion of the honorable and virtuous—and, above
all, as you value your own peace of mind, do not emulate their vicious example. Retributive justice sooner or later overtakes such men. The victims of envy and jealousy, their whole moral nature becomes depraved to the core, and they become the prey of the unholy fires which themselves have kindled. As they go through life, they cast a baleful influence around them, and at last they pass from the scene unhonored and unregretted. On the other hand, if you trust to your own merit—if you give to all their due—if you cast the mantle of charity over their deficiencies—you will not fail to reap a rich harvest of grateful feeling from all around you.
There are innumerable other considerations, gentlemen, which I might urge upon you, did time permit, all of which would tend to enhance your future respectability. I might speak to you of the importance of cultivating a stern integrity of character—of a chaste and temperate life—of the subjugation of your passions—of your moral and religious duties. All of these are so many beautiful and essential elements entering into the formation of a character that is destined to exert a salutary and ennobling influence over society.
But I have done. In what I have said, I have spoken to you in the honesty of truth, and the sincerity of friendship, and no one will feel a purer thrill of joy in hearing, in after time, that you are fulfilling, with honor to yourselves, the high destinies to which you are aspiring.
THE END. |
DeepASDPred: a CNN-LSTM-based deep learning method for Autism spectrum disorders risk RNA identification
Yongxian Fan\textsuperscript{1}, Hui Xiong\textsuperscript{1} and Guicong Sun\textsuperscript{*}
\textsuperscript{1}School of Computer Science and Information Security, Guilin University of Electronic Technology, Guilin 541004, China
*Correspondence: firstname.lastname@example.org
Abstract
Background: Autism spectrum disorders (ASD) are a group of neurodevelopmental disorders characterized by difficulty communicating with society and others, behavioral difficulties, and a brain that processes information differently than normal. Genetics has a strong impact on ASD associated with early onset and distinctive signs. Currently, all known ASD risk genes are able to encode proteins, and some de novo mutations disrupting protein-coding genes have been demonstrated to cause ASD. Next-generation sequencing technology enables high-throughput identification of ASD risk RNAs. However, these efforts are time-consuming and expensive, so an efficient computational model for ASD risk gene prediction is necessary.
Results: In this study, we propose DeepASDPred, a predictor for ASD risk RNA based on deep learning. Firstly, we use K-mer to feature encode the RNA transcript sequences, and then fuse them with corresponding gene expression values to construct a feature matrix. After combining chi-square test and logistic regression to select the best feature subset, we input them into a binary classification prediction model constructed by convolutional neural network and long short-term memory for training and classification. The results of the tenfold cross-validation proved our method outperformed the state-of-the-art methods. Dataset and source code are available at https://github.com/Onebear-X/DeepASDPred.
Conclusions: Our experimental results show that DeepASDPred has outstanding performance in identifying ASD risk RNA genes.
Keywords: ASD risk RNA, Deep learning, K-mer feature extraction, DeepASDPred
Background
Autism spectrum disorders (ASD) are neurodevelopmental disorders encompassed three types: autism, Asperger’s syndrome, and pervasive developmental disorder to be classified. The main manifestations of ASD are difficulties with social and other interactions, communication, behavioral difficulties and the brain processing information in a different way than normal. ASD is heritable with a complex and heterogeneous genetic component and usually develops in the first three years of life [1–3]. At present, all...
known ASD risk genes are capable of encoding proteins, and a number of de novo mutations disrupting protein-coding genes have been shown to cause ASD [4–6]. A growing volume of research indicates that RNA plays an important role in the translation of biological genetic information [7], RNA modifications are associated with multiple diseases in organisms [8]. Therefore, it is important to explore RNA-based classification prediction for the treatment of ASD. For the diagnosis of ASD, several clinical information of ASD patients, such as symptom data, magnetic resonance image data and whole brain structural image data, are usually relied upon to build computational prediction models [9–12]. However, these models are not applicable to the prediction of ASD risk gene. In addition, genetic methods for identifying ASD risk gene, such as genome-wide association studies, copy number variation studies, and whole exome sequencing, are time-consuming and laborious. Therefore, there is a need to develop more efficient computational methods or tools.
To date, there have been a number of studies that have used machine learning to target ASD with RNA, and these studies have yielded some results. In 2016, Cogill et al. used wrapper and best-first search methods for feature selection and constructed support vector machine (SVM) models based on brain development gene expression data [13]. In 2018, Gok et al. used Haar wavelet transform to extract features on gene expression values and combined with Bayes network for classification and prediction of ASD risk gene [14]. In 2020, Wang et al. utilized a autoencoder network for representation learning of gene expression data, followed by a random forest network-derived K-mer method for feature representation of gene transcript sequences, and finally three machine learning models, including logistic regression (LR), SVM and random forest (RF), combined with ten-fold cross-validation were used to predict and rank RNA sequences, respectively, and RF was selected as the final model [15]. Zhao et al. developed the random walk method based on AutDB for predicting genes associated with ASD [16]. 2021, Hasan et al. collected 1055 data from toddlers and 705 data from adults by Q&A, including age, family history of ASD, and app used, and further used machine learning methods to predict whether they had ASD or not [17]. Lin et al. proposed the ASD-Risk method using inheritable bi-objective combinatorial genetic algorithm and SVM to further improve the prediction performance for ASD risk gene [18]. Although ASD-Risk has been improved compared to existing studies, it still suffers from low accuracy and weak model generalization.
In this work, we proposed a new computational method DeepASDPred to identify ASD risk gene, and the core classification module is a convolutional neural network (CNN) and long short-term memory (LSTM) parallel concatenated model. First, we converted the original RNA nucleotide sequences into vector form using K-mer. Then, the vector features were fused with their corresponding gene expression values. To reduce the redundancy of features and to speed up the computation, we further performed feature selection on the fused features. Finally, the optimized features were transferred to deep learning models based on CNN and LSTM to classify RNA genes. Based on tenfold cross-validation, we used robust metrics the area under the receiver operating characteristic curve (ROC AUC) and the area under the Precision–Recall curve (PR AUC) for model performance evaluation and comparison [19, 20], and the flowchart of DeepASDPred is shown in Fig. 1.
Results and discussion
CNN parameters selection
The appropriate CNN parameters have a significant impact on the model prediction performance. Using the best subset of features as input, we constructed a predictor based on one-dimensional convolutional neural network. We experimented to obtain the optimal values of the parameters based on the range of parameters given in Table 1. Based on the results of the tenfold cross-validation, we obtained the optimal model structure, and the selected parameters are listed in Table 1.
Comparison of different model structures
Above the excellent performance of the CNN model, we added LSTM to extend the model to obtain even better performance. Referring to Tang’s work [21], another part of LSTM was increased in parallel with the CNN module, and the detailed structure of the model is shown in Fig. 2. Comparing with CNN classification separately, the CNN-LSTM model showed a slight improvement in Accuracy, Mathews correlation coefficient (MCC), and other metrics in Fig. 3. More specifically, the six evaluation metrics obtained with the CNN-LSTM model: ROC AUC, PR AUC, Accuracy, Sensitivity, Specificity and MCC are 0.986, 0.981, 0.937, 0.882, 0.971 and 0.867, respectively. Therefore, we chose the CNN-LSTM as the final training model.
Table 1 Details of tuning parameters in CNN
| Parameters | Range | Optimal parameters |
|---------------------|------------------------|--------------------|
| Convolutional Layer | [1–3] | 1 |
| Filter | [16, 32, 64] | 64 |
| Kernel_size | [3, 5, 7, 9] | 3 |
| Stride | [1–3] | 1 |
| Learning_rate | [1e−6, 1e−2] | 1e−4 |
| Batch_size | [32, 64, 128, 256] | 64 |
Comparison of different feature selection methods
Apart from employing the feature selection method with chi-square and LR, we also applied XGBoost for feature selection replacing LR. As shown in Fig. 4, the highest ROC AUC was achieved when the feature dimension was 10.3% with a value of 0.972 by the chi-square test combined with LR method. In Fig. 5, the highest AUC was obtained when the feature dimension was 2.4% using chi-square test and XGboost for
feature dimension selection. And the latter was significantly worse than the former. The result indicates our feature selection scheme is reasonable and effective.
**Comparison with machine learning algorithms**
As well as using deep learning methods, we also tried several traditional single classification algorithms, including RF, SVM, and LR. We used GridSearch to find the optimal parameters and obtained performance evaluation metric results using tenfold cross-validation. Figure 6 shows the gaps between the three single classifiers and our method. The results show our model achieved the best performance, LR and SVM are relatively better, and RF performs the poorest.
**Comparison of different feature representation performances**
In this task, we used two types of data, gene expression values and RNA transcript sequences. Although ASD has severe genetic heterogeneity, it is not yet known whether ASD risk gene shares common nucleotide sequence features [22]. Therefore, the
reference value of the nucleotide sequence is probably inferior to the gene expression value. We compared the gene expression value as a single feature and the both as features at the same time. The results are shown in Fig. 7, showing the both are better than the single and validating the superiority feature representation of DeepASDPred.
**Comparison with state-of-the-art methods**
In this part, we compared DeepASDPred with state-of-the-art methods. To the best of our knowledge, several prediction methods have been proposed in recent years regarding prediction of RNA associated with ASD. We selected four methods to compare with DeepASDPred, with the first, second, and fourth methods having the same dataset and the third method updating the former dataset, and we updated it again on the dataset applied by the third method. We recorded the average value of the tenfold cross-validation for the evaluation comparison. The results are shown in Table 2, it can be seen
Table 2 Comparison of performance with state-of-the-art methods
| Methods | Accuracy | Sensitivity | Specificity | MCC |
|-----------------------|----------|-------------|-------------|-------|
| Wang’s SVM (2016) | 0.767 | 0.744 | 0.772 | 0.419 |
| Murat’s Bayes (2018) | 0.783 | 0.902 | 0.665 | 0.583 |
| Wang’s RF (2020) | 0.770 | 0.698 | 0.799 | 0.471 |
| Lin’s ASD-Risk (2021) | 0.818 | 0.840 | 0.790 | 0.630 |
| DeepASDPred | **0.938**| **0.887** | **0.971** | **0.871**|
Table 3 Details of the dataset for predicting RNA genes associated with ASD
| | ASD | No-ASD |
|------------------------|--------------|---------------|
| Raw | 1005 | 1590 |
| Nucleotides | [413, 21103] | [420, 13203] |
| After K-mer | $4^8$ | $4^8$ |
| Expression values | 524 | 524 |
DeepASDPred has been significantly improved in all performance metrics, showing the excellence of our proposed method.
Methods
Benchmark dataset
A reliable benchmark dataset is necessary to construct stable and effective computational models. In this work, we followed the dataset used by Wang’s study[15]. To be specific, we used RNA as instances and integrated gene expression values and sequence information as features to form the benchmark dataset. In addition, an increasing number of studies have identified some new ASD risk genes, and some genes previously identified as unrelated to ASD have been later shown to be associated with ASD. Due to these considerations, we updated the baseline dataset to include 1005 positive samples and 1590 negative samples. The positive samples are from the Simons Foundation Autism Research Initiative Gene database [23], and the negative samples are disease genes not associated with ASD, and the details of the dataset are shown in Table 3.
Gene expression values and RNA transcript sequences
We obtained the gene expression values of RNA from the BrainSpan Atlas of the Developing Human Brain (https://www.brainspan.org). BrainSpan provides a publicly available human developmental transcriptome dataset including 524 samples from 26 brain structures with developmental time points ranging from 8 weeks to 40 years [24]. Gene expression values are expressed as reads per kilobase of transcript per million mapped reads (RPKM). For computational convenience, the obtained data were ranged from 0 to 1 by max-minimum normalization.
We obtained the RNA transcript nucleotide sequences from the GENCODE FASTA file (GRCh38) (https://www.gencodegenes.org/human/) [25]. Subsequently, K-mer was used to encode the transcribed nucleotide sequences and normalize them by sequence length.
Feature extraction and selection
In this section, we extracted and selected features from the raw sequence samples, and we represented the RNA transcript sequence as a sequence $D$ of length $L$:
$$D = R_1R_2 \ldots R_i \ldots R_L$$ \hspace{1cm} (1)
where
$$R_i \in \{A(\text{adenine}), C(\text{cytosine}), G(\text{guanine}), U(\text{uracil})\}$$ \hspace{1cm} (2)
K-mer nucleotide composition
Almost all existing machine learning algorithms can only deal with vectors rather than sequence samples. The reason is if raw sequences are used as training data, it is difficult to obtain a model that can cover all cases [26]. The pseudo amino acid composition (PseAAC) was firstly proposed by Chou et al. to calculate sequence-pattern information of proteins [27]. And with its influence, the pseudo k-tuple nucleotide composition (PseKNC) was created, via this method we can transform DNA or RNA sequences into feature vectors [28]. It has proved to be useful, especially after the "Pse-in-One" server release [29], allowing users to generate biological sequences into the required feature vectors for their research purposes. K-mer can be treated as a simple PseKNC, and it is an effective sequence representation method showing in various fields of sequence [30–32]. The implementation of K-mer can be described as:
(1) Set a window of size $k$, i.e., there are $4^k$ base combination forms, and then slide on the sequence $D$ with a step size of 1. For each slide step, a short sequence of $k$ is obtained;
(2) Observe the number of occurrences of the i-th K-mer $\beta_i$;
(3) Finally, the K-mer feature vector of the sequence can be expressed as $V$:
$$V = [\varphi_1, \varphi_2, \cdots, \varphi_i, \cdots, \varphi_{4^k}]$$ \hspace{1cm} (3)
where the frequency of the i-th $k$-mer $\varphi_i$ can be expressed as:
$$\varphi_i = \frac{\beta_i}{\sum_{i=1}^{4^k} \beta_i} = \frac{\beta_i}{L - k + 1}$$ \hspace{1cm} (4)
According to Su’s work and our experimental validation stated, the 8-mer distribution has a unique significance in the evolutionary mechanism of RNA[33]. Therefore, we set $k = 8$ to complete the coding of RNA sequence features, and the detailed information of the dataset after feature extracting is shown in Table 3.
Feature selection
The data for RNA nucleotide sequences is huge after the completion of K-mer encoding and there may be a large amount of redundant information. In addition, a large amount
of training data can lead to problems such as large computational effort, long training time and weak model migration ability during model construction. Therefore, a reasonable selection of the best feature subset is essential. In previous work, Wang et al. proposed PA-PseU to identify RNA pseudouridine sites [34]. In this section, we followed the way of PA-PseU for feature selection to reduce the dimensionality of features. PA-PseU utilizes the chi-square test and LR, where the chi-square test measures the independence between random variables and eliminates the features most likely to be independently classified; and logistic regression is employed as an effective linear classifier. PA-PseU can be partitioned into three steps:
(1) Maximum-minimum normalization after merging gene expression values and sequence feature vectors;
(2) The chi-square test scores are calculated according to the following formula:
\[
\chi^2 = \sum_{i=1}^{k} \frac{(A_i - np_i)^2}{np_i}
\]
where \( A_i \) is the frequency of the i-th observation in the feature vector, \( k \) is the total number of observations, \( n \) is the expected frequency of the i-th observation, and \( n \) is the total number of samples. Then we rank the scores of each feature in descending order, with higher scores implying better classification, and subsequently set a filter with a range of 0.1%-20% and a step size of 0.1%, obtaining a feature subset for each step;
(3) LR is applied to fit each feature subset, the L2 norm penalty is used to reduce the risk of overfitting, and the ROC AUC value of each feature subset is calculated using five-fold cross-validation to obtain the best feature subset.
**Convolutional neural network**
Compared with traditional learning algorithms, CNN is a feed-forward neural network [35], and it shares weights through convolutional kernels and filters, remarkably reducing the complexity of the model. CNN is preferred by numerous researchers because of its powerful self-learning capability and superior parallel processing performance, especially in image learning. There are already many mature CNN-based models, like LeNet, VGG, ResNet, etc.
In general, a convolution module consists of two operations: convolution and pooling. Convolution (1D convolution for example) is performed by sliding a filter (with number \( f \) and size \( s \)) over the input matrix with stride of size \( t \), and the filter is dotted with the input receptive field to acquire different feature maps by sharing the learnable parameters with input, and the multi-dimensional convolution enables to acquire different dimensional feature maps. The activation function is applied at the end of the convolution to increase the non-linear characteristics of the CNN, and the common activation functions including rectified linear unit (ReLU), tanh, sigmoid and softmax. To improve the model training fitting speed, we chosen ReLU as the activation function for our model [36]. The formula for the convolution defines as follows:
Long short-term memory
LSTM is an improved recurrent neural network (RNN) dedicated to processing sequence data [35, 37, 38]. LSTM effectively solves the gradient disappearance and gradient explosion problems of RNN in training long-term sequences and is able to accurately calculate the dependencies between words in a sequence, causing LSTM a rapid replacement for RNN in most application scenarios. The core module of LSTM is cell state, and LSTM determines the cell state through forget gate, input gate and output gate. The specific process is shown in Fig. 8. Suppose the present time is $t$, and $x_t$ is the input at $t$, $\hat{h}_{t-1}$ is the output value of the last unit time hidden state. The calculation formula for the forget gate is:
$$\text{Conv}(X) = \text{ReLU} \left( \sum_{s=0}^{S-1} \sum_{f=0}^{F-1} WX \right)$$ \hspace{1cm} (6)
where $X$ is the input matrix, $W$ is the weight matrix of size $S \times F$, the mathematical expression of ReLU as follows:
$$\text{ReLU} = \begin{cases}
0, & \text{if } x < 0 \\
x, & \text{if } x \geq 0
\end{cases}$$ \hspace{1cm} (7)
The softmax activation function is added after the Dense layer to extract the correlation between the features. We use categorical_crossentropy as the loss function to get the final output of the model, and the loss function is calculated as follows:
$$\text{Loss} = - \sum_{i=1}^{N} y_i \cdot \log y'_i$$ \hspace{1cm} (8)
where $y_i$ denotes the label of sample i, $y'_i$ is the positive predictive value of sample $i$, and $N$ is the size of the sample.
The pooling is a non-linear down-sampling operation serving to reduce the space of the representation, the number of parameters in training, memory, etc., in addition to decreasing the risk of over-fitting.
\[ f_t = \sigma (W_f \cdot [h_{t-1}, x_t] + b_f) \]
(9)
where \( W_f, b_f \) are the weight matrix and bias of the forget gate, respectively, \( \sigma \) is the sigmoid function. After calculating by the above formula, if the result is 1, the output value of the last unit time cell state \( c_{t-1} \) will be retained, and the contrary will be forgotten. The input gate is calculated as:
\[ i_t = \sigma (W_i \cdot [h_{t-1}, x_t] + b_i) \]
(10)
where \( W_i, b_i \) are the weight matrix and bias of the input gate, respectively. Also calculated by the sigmoid function, the result decides which information will be updated. The output gate is calculated as:
\[ o_t = \sigma (W_o \cdot [h_{t-1}, x_t] + b_o) \]
(11)
where \( W_o, b_o \) are the weight matrix and bias of the output gate, respectively. The calculation of sigmoid function is involved in determining the value of the hidden state \( h_t \) at the current time \( t \). Finally, \( h_t \) and the value of cell state at the current time \( t \) \( c_t \) are calculated as follows:
\[ \tilde{c}_t = \tanh (W_c \cdot [h_{t-1}, x_t] + b_c) \]
(12)
\[ c_t = f_t \cdot c_{t-1} + i_t \cdot \tilde{c}_t \]
(13)
\[ h_t = o_t \cdot \tanh (c_t) \]
(14)
where \( W_c \) and \( b_c \) are the weight matrix and bias of the cell state, respectively.
**Attention mechanism**
Similar to the way people observe the scene, we pay different attention to different things. Attention is a mechanism assigning different weights to different positions of a sequence and has been a commonly module in deep learning since it was proposed [39]. We added a feed forward attention to the LSTM part of the model to solve the long-term dependency problem. The procedure can be described as follows [40]:
1. Calculate the weight value \( e_t \) of the hidden state in each time step of the LSTM with the following formula:
\[ e_t = a(h_t) \]
(15)
2. Normalize with softmax function:
\[ \theta_t = \frac{\exp(e_t)}{\sum \exp(e_t)} \]
(16)
3. The final sum normalized weights of the hidden state are obtained as follows:
\[ c = \sum_{i=1}^{t} \theta_i h_t \]
(17)
Cross validation and model evaluation
In this study, tenfold cross-validation was used to objectively evaluate the performance of our proposed method. To obtain reliable estimates of the prediction results, the following experiments were repeated 50 times and the average of all evaluation results were taken as the final model performance. We used Accuracy, Sensitivity, Specificity, and MCC as the evaluation metrics of the model. Their definitions are listed as follows:
\[
\text{Accuracy} = \frac{TP + TN}{TP + TN + FP + FN}
\]
(18)
\[
\text{Sensitivity} = \frac{TP}{TP + FN}
\]
(19)
\[
\text{Specificity} = \frac{TN}{TN + FP}
\]
(20)
\[
\text{MCC} = \frac{TP \times TN - FP \times FN}{\sqrt{(TP + FP)(TP + FN)(TN + FP)(TN + FN)}}
\]
(21)
where TP is the number of true positives; TN is the number of true negatives; FP is the number of false positives; and FN is the number of false negatives. In addition, ROC AUC and PR AUC were used as auxiliary measures of model performance. The ROC curve depicts the plot of true positive rate versus false positive rate at different model output thresholds, and the PR curve is the plot of precision versus sensitivity at different model output thresholds. The MCC, the ROC AUC and PR AUC are closer to 1 representing the better performance of the model.
Conclusion
Approximately 24.8 million people had ASD worldwide in 2015, and even in developed countries in 2017, more than 1.5% of children were still clinically diagnosed with ASD [41]. Genetic prediction of relevant ASDs has been extensively studied, but there is still much room for performance improvement. In this work, we proposed a new method DeepASDPred for ASD risk gene identification. DeepASDPred is based on CNN and LSTM and only uses RNA nucleotide sequences and gene expression values as a benchmark dataset without biological prior knowledge. In particular, after encoding the data features, we utilized chi-square test and LR to select the best feature subset to reduce data redundancy and speed up training. In addition, we compared DeepASDPred with three single classifiers and state-of-the-art methods. The comparison results show DeepASDPred obtained the best performance and validate the efficient performance of DeepASDPred in identifying ASD risk gene.
Nevertheless, there is still some work needed to be further investigated in the future. Firstly, the gene expression values used for characterization data suffer from the drawback of small source sample data. In addition, recent studies suggest that non-coding RNAs may also have an impact on ASD [6]. Therefore, increasing the
addition to the ASD-related gene database and expanding the exploration of non-coding RNAs have definite research value for the task of ASD risk gene prediction.
Abbreviations
| Abbreviation | Description |
|--------------|-------------|
| ASD | Autism spectrum disorders |
| SVM | Support vector machine |
| LR | Logistic regression |
| RF | Random forest |
| CNN | Convolutional neural network |
| LSTM | Long short-term memory |
| ROC AUC | Area under the receiver operating characteristic curve |
| PR AUC | Area under the Precision-Recall curve |
| MCC | Mathews Correlation Coefficient |
| RPKM | Reads per kilobase of transcript per million mapped reads |
| PseAAC | Pseudo amino acid composition |
| PseKNC | Pseudo k-tuple nucleotide composition |
| ReLU | Rectified linear unit |
| RNN | Recurrent neural network |
Acknowledgements
We are grateful to the reviewers who reviewed this manuscript for their considered and constructive comments.
Author contributions
YXF gave the guidance, provided the experiment devices, edited, and polished the manuscript. HX designed the study, performed the experiments, analyzed the data, and wrote the manuscript. GCS gave the guidance, revised the manuscript. All authors have read and approved the manuscript.
Funding
This work was supported in part by the National Natural Science Foundation of China under Grant 62162015 and Grant 61762026, in part by the Innovation Project of GUIET Graduate Education under Grant 2021YCXSDS9 and Grant 2021YCXSD62. The funder of manuscript is Yongxian Fan (YXF), whose contribution are stated in the section of Authors’ contributions. The funding body has not played any roles in the design of the study and collection, analysis and interpretation of data in writing the manuscript.
Availability of data and materials
Dataset and source code are available at https://github.com/Onebear-X/DeepASDPred is freely available.
Declarations
Ethics approval and consent to participate
Not applicable.
Consent for publication
Not applicable.
Competing interests
All authors have declared that no conflict of interest exist.
Received: 5 April 2023 Accepted: 6 June 2023 Published online: 22 June 2023
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ABSTRACT
Sound synthesis is a complex field that requires domain expertise. Manual tuning of synthesizer parameters to match a specific sound can be an exhaustive task, even for experienced sound engineers. In this paper, we propose an automatic method for synthesizer parameters tuning to match a given input sound. The method is based on strided Convolutional Neural Networks and is capable of inferring the synthesizer parameters configuration from the input spectrogram and even from the raw audio. The effectiveness of our method is demonstrated using a synthesizer consisting of four frequency modulated oscillators, envelope generator and a gater effect. We present extensive quantitative and qualitative results that showcase the superiority of our model over several baselines. Furthermore, we show that the network depth is an important factor that contributes to the prediction accuracy.
1. INTRODUCTION
The art of sound synthesis is a challenging task that mainly reserved to sound designers and engineers [1]. Nowadays, synthesizers play a key role in electronic music production. Typically, music producers are equipped with a set of sound banks per synthesizer. These sound banks are essentially a collection of different configurations (patches) of the synthesizer parameters. Each configuration was carefully tuned by an expert and produces a different type of sound.
During the last decade, the emerge of deep learning advanced the state of the art in various fields such as computer vision [16], speech recognition [17], natural language understanding [18]-[23] and music information retrieval [2]-[4]. Specifically, convolutional neural networks (CNN) were found to be extraordinary learners for genre classification [5]. One of the key properties of CNNs is weight sharing that enables capturing the same patterns in different locations by the application of the same filter function across the signal. This property naturally fits for visual and auditory signals and provides a better generalization performance [6].
In this paper, we investigate the problem of estimating the synthesizer parameter configuration that best reconstructs a source audio signal. We assume the source audio signal is generated from the same synthesizer by a hidden parameters configuration. Therefore, our goal is to reveal the hidden parameters configuration that was used to generate the source signal. This is particularly useful scenarios where music artists are interested in replicating sounds that were generated by other artists / sound designers using the same synthesizer (assuming no patch is released). Indeed, one of the most frequently asked questions in music production and sound synthesis forums is: What is the recipe for replicating a sound $X$ that was generated by synthesizer $Y$? An even more general question is: What is the recipe for replicating a sound $X$ using synthesizer $Y$ while in the former, $X$ is assumed to be synthesized by $Y$ (intra-domain), in the latter, this assumption is no longer valid (cross-domain). This paper focuses on the intra-domain problem and leaves the more general cross-domain problem for future investigation. To this end, we propose to train a 2D strided CNN (with no pooling operations) to predict the synthesizer parameter configuration from the Short Time Fourier Transform (STFT) spectrogram [1] of the input audio signal. Furthermore, we show that a CNN is capable of performing end-to-end learning directly from the raw audio to the synthesizer parameters’ domain, successfully. This is done by adding several convolutional layers that are designed to learn an alternative representation for the STFT spectrogram.
The proposed pipelines are depicted in Figure 1. In Fig.1 (a), an input audio signal is transformed to a STFT spectrogram matrix, which is then fed to a CNN. The CNN analyzes the spectrogram and predicts a parameter configuration. Finally, the synthesizer is configured according to the predicted parameters values and synthesizes the output audio signal. In Fig. (b), a CNN performs end-to-end learning and predicts the parameters configuration directly from the raw audio. In addition, we compare the performance of these models against two other types of fully connected (FC) neural network models: the first type is a FC network that receives a Bag of Words (BoW) representation of the spectrogram as input. The second type is a FC network that receives a set of complex hand crafted features [10] that are designed to capture spectral properties and temporal variations in the signal.
The audio signals that are used for training and testing the models are generated by synthetic parameter configurations that are randomly sampled, i.e. for each synthesizer parameter, we define an effective range of valid values and sample the parameter value from this range, uniformly. Hence, each configuration in the dataset is obtained by a set of (parameter, sampled value) pairs.
We present a comprehensive investigation of various network architectures and demonstrate the effectiveness of the proposed
method in a series of quantitative and qualitative experiments. Our findings show that the network depth is an important factor which contributes to the prediction accuracy and a spectrogram based CNN of a sufficient depth outperforms its end-to-end counterpart, while both CNN variants significantly outperform Fully Connected networks.
2. RELATED WORK
The problem of synthesizer parameter estimation has been studied in the literature. Several attempts have been made to apply traditional machine learning techniques to physical modeling of musical instruments such as bowed and plucked strings [7]–[9]. However, in this work, we focus on subtractive synthesis with frequency modulation (FM) [1] which is the most common synthesis method in electronic music production and enables the creation of extremely diversified sounds. This is in contrast to physical modeling synthesis that is mainly used for creating real-sounding instruments, as it is programmed to make characteristic distinctions between various aspects of the instrument being created and is rarely used by music producers.
Itoyama and Okuma [10] proposed to apply a multiple linear regression model of handcrafted features to the synthesizer parameter domain. Our approach differs from [10] by two main aspects: first, we solve a classification task rather than a regression. Second, we propose deep CNN architectures with non-linear gates. These networks have enough capacity to learn complex filters (weights) that are capable of capturing important patterns and yet generalize well. This eliminates the need for handcrafted features and enables the use of STFT spectrogram or raw audio as input without further manipulations. We validate this claim, empirically, by comparing the CNN models to linear and non-linear FC models that use the hand crafted features from [10].
3. SYNTHESIZER ARCHITECTURE AND PARAMETERS
This section describes the synthesizer architecture that is used in this work. The synthesizer is implemented using JSyn [11], an open source library that provides audio synthesis API for Java. The reason we use JSyn is twofold: most of commercial synthesizers usually do not provide an API for generating sounds programmatically. This makes the dataset generation process impractical (in this work, we use a dataset that contains 200K instances). Second, commercial synthesizers are not open source and quite expensive. Therefore, we had to abandon these synthesizers in order to make our research reproducible.
In similar to the majority of modern synthesizers, we employ subtractive and FM synthesis [1]. The synthesizer architecture is a cascade of four components and is depicted in Fig. 2. The first component is a set of oscillators, each produces a different waveform type: sine, saw, square and triangle [1]. All oscillators are frequency modulated by a sinusoidal waveform. An oscillator function is defined as
\[ y_w(f, v, A, B) = Ax_w(2\pi ft + B\sin(2\pi vt)) \tag{1} \]
where \( f, v, A, B \) are the carrier frequency, modulation frequency, carrier amplitude and modulation amplitude, respectively, while \( w \in W \) is the waveform type with \( W = \{ \text{sin}, \text{saw}, \text{tri}, \text{sqrr} \} \) and
\[ x_{\text{sin}}(a) = \sin(a), \]
\[ x_{\text{saw}}(a) = 2^{-1} - \pi^{-1} \sum_{n=1}^{\infty} n^{-1}(-1)^n \sin(na), \]
Note that each oscillator \( y_w \) is associated with its own set of \( f_w, v_w, A_w, B_w \) parameters. Finally, the outputs from all oscillators are summed to \( y_{\text{osc}} = \sum_{w \in W} y_w \). Therefore, the total number of parameters in the \( y_{\text{osc}} \) component is 16.
The function \( y_w \) from Eq. (1) is a special case of a general family of frequency modulated functions of order \( n \in \mathbb{N} \):
\[ y(\Psi, \Phi, \Omega) = \psi_0 e^{i\phi_0} \left( 2\pi \int_0^t y_\theta(t_0) dt_0 \right), \quad \text{with} \]
\[ y_\theta(t_0) = \omega_0 + \psi_1 x_\phi, \quad (2\pi \int_0^{t_0} y_\gamma(t_2) dt_2), \ldots, \quad y_n(t_n) = \omega_n \]
where \( \Psi = (\psi_j)_{j=0}^n, \Phi = (\phi_j)_{j=0}^n, \Omega = (\omega_i)_{i=0}^n \) are the amplitudes, waveforms and frequencies series and it holds that \( \forall i, \phi_i \in \Lambda \), where \( \Lambda \) is a set of periodic functions symbols, i.e. the waveform symbols set. In this work, we focus on frequency modulated functions \( y \) of order 1 with \( \phi_0 \in W \) and \( \phi_1 = \sin \) as defined in Eq. (1).
The second component is the Attack Decay Sustain Release (ADSR) envelope generator [1] \( y_{\text{env}}(x, a, d, s, r) \). This component controls the amplitude of the input \( x \) at any point in the signal duration. The contour of the ADSR envelope is specified using four parameters: \( a \) (Attack) is the time taken for initial run-up of level from zero to peak, beginning when the key is first pressed. \( d \) (Decay) is the time taken for the subsequent run down from the attack level to the designated sustain level. \( s \) (Sustain) is the level during the main sequence of sound’s duration, until the key is released. \( r \) (Release) is the time taken for the level to decay from the sustain level to zero after the key is released.
The third component is the filter \( y_{lp}(x, f_{\text{cut}}, q) \) that consists of a low-pass filter together with a resonance [1]. Setting a cutoff frequency \( f_{\text{cut}} \) ensures that all frequencies above \( f_{\text{cut}} \) are cut. The resonance parameter \( q \) determines a narrow band of frequencies near \( f_{\text{cut}} \) that are amplified.
The last component in the chain is the gater effect that controls the rate of the amplitude. The gater is a Low Frequency Oscillator (LFO) that performs amplitude modulation to the input, according to a sine waveform with a frequency \( f_{\text{gate}} \):
\[ y_{\text{gate}}(x, f) = ((1 + x_{\text{sqrr}}(2\pi f_{\text{gate}} t))/2)x(t) \]
Figure 2 illustrates the synthesizer function that has 23 parameters and is given by \( y_{\text{gate}} * y_{lp} * y_{\text{env}} * y_{\text{osc}} \), where \( * \) stands for the function composition.
4. DATASET GENERATION
The synthesizer described in Section 3 is used for generating the dataset. For each synthesizer parameter, we perform a quantization to a set of 16 levels and treat each level as a different class. Hence, we formulate the parameter estimation task as a classification problem rather than a regression - our model aims at predicting for each parameter in the synthesizer the correct class (value). This choice is made in order to use the binary cross entropy loss [6] that is easier to optimize than the L2 loss and is on par with previous works [12]. Moreover, the classification formulation allows us to use several measures (Section 6) that enable better quantification and understanding of the parameter estimation accuracy.
The range of the carrier frequency $f$ is quantized according to $f = 2^{n/12} \times 440\text{Hz}$ with $n \in \{0,..,15\}$. This provides frequencies that correspond to the 16 consecutive musical notes: $C_0,..,C_{15}$. The rest of the synthesizer parameters ranges are quantized evenly to 16 classes according to the following ranges: the amplitudes and ADSR envelope parameters $A_{\text{on}}, a, d, s, r$ are in $\{0.001,..,1\}$, the modulation amplitudes $B_{\text{on}}$ are in $\{0,1500\}$ (where $B_{\text{on}} = 0$ means no frequency modulation), the modulation frequency, gating frequency, cutoff frequency and resonance $v_{\text{off}}, f_{\text{gate}}, f_{\text{cut}}, q$ are in $\{1,30\}, \{0.5,30\}, \{200,4000\}, \{10,01,10\}$, respectively. For each parameter, the first and last classes correspond to its range limits. All ranges and sampling patterns are set in order to avoid sound generation that is indistinguishable by human hearing and better match a linear perception.
The dataset consists of $(g,h)$ pairs, where $h$ is the label vector that corresponds to a specific synthesizer parameter configuration and $g$ is the raw audio signal produced by the configuration that is associated with $h$. The generation process of a single pair $(g,h)$ works as follows: for each synthesizer parameter $j$, we sample a class from a uniform categorical random variable $u \in \{0,..,15\}$ and create an one-hot encoding vector $h_j \in \{0,1\}^{16}$ for the sampled class. Then, we concatenate all the vectors to a single supervector $h = [h_1,..,h_{23}] \in \{0,1\}^{368}$ that contains the one-hot encoding for each parameter in the corresponding section in $h$. Then, the synthesizer parameters are configured according to values that correspond to the sampled classes in $h$ and an output audio signal in a duration of 1 second with a sampling rate of 16384Hz $g \in \{-1,1\}^{16384}$ is produced.
Recall that we consider two types of CNN architectures; an end-to-end (Fig. 1(b)) and a spectrogram based (Fig. 1(a)), where the latter requires further transformation over $g$. Therefore, the STFT spectrogram of $g$ is computed with half overlapping windows of size 512 to produce a matrix $S \in \mathbb{R}^{257 \times 64}$. This matrix contains 64 vectors in size of 257 that correspond to the absolute of the Fourier Transforms (FT) of 64 consecutive time windows. Note that the application of FT produces 512 complex values. However, we discard half of them since the FT of real signals is conjugate symmetric. This process is repeated 200k times to produce two datasets: $D_{E2E} = \{(g_k, h_k)\}$ and $D_{STFT} = \{(S_k, h_k)\}$ that are used for training the end-to-end and spectrogram based CNNs, respectively.
5. MODELS AND METHODOLOGY
In this section, we describe the CNN components from the two different pipelines that appear in Fig. 1. The goal of these components is to learn a function from the STFT $f$ raw audio domains to the synthesizer parameter domain. To this end, we propose to train CNNs using the datasets described in Section 4 to predict the correct parameter classes (values) from the STFT matrix $f$ raw audio. As a baseline, we further consider the replacement of the CNNs with Fully Connected (FC) neural networks. All models share the common property of having an output layers in size of 368 with sigmoid activations (to match $h$’s dimension). Note that an alternative is to apply 23 separated softmax activations that are fed into 23 categorical cross entropy loss functions (for each synthesizer parameter in separate) and compute the final loss as the summation of the 23 loss functions. While this alternative approach seems more natural, in our initial experiments, it performs slightly worse. Therefore, we ended up with using sigmoid activations with binary cross entropy loss.
In order to isolate the effect of network depth, we restrict all networks to have the same number of trainable parameters, regardless of their depth. This ensures that better results, when obtained using a deeper model, are indeed due to the increase in depth. Yet, we did conduct an initial investigation to find a saturation point – a point in which a further increase in number of trainable parameters (model capacity) results in a marginal contribution to the model accuracy. In what follows, we describe the models used for evaluation.
5.1 Fully Connected Neural Networks
A FC neural network is a feed forward network in which each neuron is connected to all neurons in the previous layer [6]. This type of networks expect to have 1D input (vector). Since the training instances are STFT matrices / raw audio signals, the trivial choice is to feed the FC network with the raw audio vectors / flattened STFT matrices. However, in our initial experiments both approaches produced poor results. This is due to the fact that both flattened STFT matrices and raw signals are not time invariant and of extremely high dimension (~16k).
In order to alleviate this problem, we propose to use two different types of input representation to the FC models; the first type is based on the STFT matrix. Specifically, we first apply PCA to the STFT frequency axis to produce a STFT-PCA matrix with a reduced dimensionality (PCA dimension of 64 while retaining 97% of the variance). Then, we learn a Bag of Words (BoW) [13] representation of the STFT-PCA matrices. To this end, we Vector Quantize [13] the STFT matrices using K-means [13] with $K = 1000$ and assign each row vector in the STFT-PCA matrix to its closest centroid. This produces a count vector in size 1000, in which the $i$-th entry counts the number of vectors that were assigned to $i$-th centroid. Finally, we convert the counts to probabilities by normalizing each count vector by the sum of its entries. This results in a time invariant representation of a reduced dimensionality.
We consider four different FC model architectures that use the BoW representation as input: the first model has a single hidden layer with linear activations and is dubbed FC Linear (note that in this work, we define the number of layers in a network, as the number of hidden layers in between the input and output layers). Hence, FC Linear is equivalent to a logistic regression model with a hidden layer. The three other models are dubbed FC1, FC2 and FC3 and have 1, 2 and 3 hidden layers with ReLU [6] activations, respectively. We observed that further increase in network depth to more than 3 layers did not contribute to improved performance.
The second type of representation input that we consider is a set of complex hand crafted features [10] that are computed from the raw audio signal. These features are designed to capture spectral and temporal properties of the signal. In what follows, we briefly describe the feature extraction process. First are computed the energy levels of the signal in various bands, zero crossing rate, spectral width, spectral centroid, spectral rolloff, spectral flux, spectral peak, spectral peak and valley, spectral contrast, Mel-Frequency cepstrum Coefficients (MFCCs) and timbre of the harmonic components. These features are computed framewise and produces a 32 dimensional feature vector per frame. In order to
Table 1. FC and HC models architectures (see Section 5.1)
| FC Linear | FC1 | FC2 | FC3 | HC | HC3 |
|-----------|-----|-----|-----|----|-----|
| 1 Layer | 1 Layer | 2 Layers | 3 Layers | 1 Layer | 3 Layers |
FC input: BoW vector in size of 1000 for FC models. HC input: Vector in size of 1000 [10]
| FC-869 | FC-868 | FC-603 | FC-560 | FC-869 | FC-560 |
|--------|--------|--------|--------|--------|--------|
| Drop-0.2 | Drop-0.3 | Drop-0.1 | FC-500 | Drop-0.2 | FC-500 |
| | | FC-602 | Drop-0.2 | | Drop-0.2 |
| | | Drop-0.3 | FC-400 | | FC-400 |
| | | Drop-0.4 | | | Drop-0.4 |
| | | FC-368(sigmoid) | | | |
Table 2. CNN models architectures (see Section 5.2 for details)
| Conv Architectures |
|--------------------|
| Conv 1 | Conv2 | Conv3 | Conv4 | Conv5 | Conv6 | Conv6XL | ConvE2E |
| 2 Layers | 3 Layers | 4 Layers | 5 Layers | 6 Layers | 7 Layers | 7 Layers | 11 Layers |
Input (64 X 257 STFT Spectrogram)
| C(38,13,26,13,26) | C(35,6,7,5,6) | C(32,4,5,3,4) | C(30,3,4,2,3) | C(32,3,3,2,2) | C(64,3,3,2,2) | C(36,1,6,1,4) |
|-------------------|--------------|--------------|--------------|--------------|--------------|--------------|
| C(87,6,9,5,8) | C(98,4,6,3,5) | C(65,3,3,2,2) | C(65,3,3,2,2) | C(71,3,3,2,2) | C(178,3,3,2,2) | C(106,1,3,1,4) |
| C(128,4,6,3,5) | C(105,4,4,2,3) | C(128,3,4,2,3) | C(128,3,4,2,3) | C(128,3,4,2,3) | C(128,3,4,2,3) | C(128,1,6,1,4) |
| | C(128,4,5,3,4) | C(128,3,3,2,2) | C(128,3,3,2,2) | C(128,3,3,2,2) | C(257,1,8,1,4) | |
| | C(128,3,3,2,2) | C(128,3,3,2,2) | C(256,3,3,2,2) | C(32,3,3,2,2) | | |
| | C(128,3,3,1,2) | C(256,3,3,1,2) | C(71,3,3,2,2) | | | |
| | | | C(128,3,4,2,3) | | | |
| | | | C(128,3,3,2,2) | | | |
| | | | C(128,3,3,1,2) | | | |
FC-512
FC-368(sigmoid)
Figure 3. A generic illustration of the spectrogram based 2D strided CNN architecture. See Section 5.2 for details.
To capture temporal variation, this feature vector is further extended (by concatenation) with several types of time derivatives that produced an extended feature vector of dimension 224. Then, all framewise feature vectors are accumulated along the time axis via the computation of the following statistics: summation, mean, variance, skewness, minimum, maximum, median, $10^{th}$ and $90^{th}$ percentiles, where the last five are computed with their positions in time to capture temporal structure. In addition, the bottom 10 coefficients of the discrete cosine transform are computed. This procedure is repeatedly applied for 25 different segments of the signal in order to characterize the signal in different temporal regions. Finally, all segment-wise feature vectors are concatenated to produced a feature supervector in dimension of 319,200 that is reduced to dimension of 1000 by the application of PCA. The reader is referred to Section 2 in [10] for a detailed description of the exact feature extraction process.
We consider two different neural model architectures that use the input representation from [10]. The first is a linear FC model that is equivalent to the one from [10], but uses a classification output layer instead of regression (In our initial experiments, we tested regression models and observed they perform worse than classification models). We dub this model ‘HC’ (hand crafted). In addition, we investigated whether a nonlinear FC model can benefit from using the features from [10]. We found that a FC network with 3 ReLU activated layers and a dropout in between achieves the largest improvement over HC [10], while further increase in depth or number of trainable parameters results in overfitting with worse values of validation loss. We dub this model ‘HC3’. Note that HC3 is an improvement we suggest, in order to showcase the potential gain that can be achieved by using the features from [10] with deep neural networks.
For all models in this section, a dropout [6] is applied after each hidden layer in order to avoid a severe overfitting. The exact architectures, for each FC model is detailed in Table 1, where FC-k stands for a FC layer with output size of k and Drop-p stands for a dropout that is applied to the input of the next layer with a probability p. All FC models have ~1.2M trainable parameters.
5.2 Strided Convolutional Neural Networks
A CNN [6] is a special type of neural network that employs weight sharing. This property enables the reuse of the same set of weights in all positions in the input. The CNN weights act as local filters that are being convolved with the input. This results in a network with a fewer neuron connections than in FC networks (in which every neuron is connected to all neurons in the previous layer). In addition, Max-Pooling (MP) [6] is often applied to downsample the input in between layers.
In this work, we use 2D CNNs as these were found to improve on the state of the art in music and audio related tasks [5]. Different from [5], we do not perform any type of pooling operations. Instead, we use strided convolutions layers [6], as we found this approach to significantly outperform the traditional setup of ordinary convolutions layers with pooling in between.
Two types of CNNs are considered: the first type is a spectrogram based CNN that receives the STFT matrix as input. This network learns filters that analyze the input in both frequency
Table 3. MPR values for each combination of model and parameter. Last line presents the mean MPR across all parameters per model.
| Parameter | FC Linear | FC1 | FC2 | FC3 | Conv1 | Conv2 | Conv3 | Conv4 | Conv5 | Conv6 | Conv6XL | ConvE2E | HC | HC3 |
|-----------|-----------|-----|-----|-----|-------|-------|-------|-------|-------|-------|---------|---------|----|----|
| $\alpha$ | 59.34 | 61.46 | 61.59 | 61.23 | 69.15 | 69.28 | 69.67 | 69.91 | 70.66 | 71.28 | 70.85 | **84.38** | 75.74 | 83.59 |
| $d$ | 53.03 | 52.99 | 53.04 | 53.2 | 53.3 | 53.7 | 53.69 | **54.05** | 53.64 | 53.53 | 53.53 | 53.53 | 53.87 | 53.12 |
| $s$ | 53.09 | 53.48 | 53.2 | 53.45 | 52.76 | 53.69 | 53.38 | 53.43 | 53.55 | 53.32 | 53.55 | **54.01** | 53.33 | 53.09 |
| $r$ | 59.49 | 61.76 | 62.25 | 61.99 | 81.32 | 83.79 | 85.88 | 88.04 | 88.43 | **90.47** | 90.23 | 88.52 | 76.4 | 88.46 |
| $f_{gate}$ | 54.49 | 55.48 | 55.89 | 55.49 | 81.03 | 96.02 | 96.6 | 97.66 | 97.85 | 97.54 | **97.88** | 92.81 | 91.99 | 94.02 |
| $f_{cut}$ | 91.27 | 92.83 | 93.05 | 92.9 | 98.64 | 99.07 | 99.48 | 99.59 | 99.64 | **99.71** | 99.68 | 98.5 | 96.76 | 99.27 |
| $q$ | 79.84 | 82.22 | 82.59 | 82.38 | 90.46 | 92.55 | 94.39 | 95.34 | 96.1 | 96.46 | **96.62** | 93.3 | 85.25 | 94.55 |
| $A_{saw}$ | 65.41 | 66.99 | 67.96 | 68.09 | 68.05 | 72.05 | 74.02 | 74.95 | 76.36 | 76.5 | **77.12** | 69.54 | 66.54 | 75.66 |
| $B_{saw}$ | 82.58 | 83.25 | 82.8 | 82.46 | 81.03 | 83.75 | 84.04 | 85.01 | 85.4 | 85.7 | **85.73** | 79.76 | 81.97 | 81.85 |
| $v_{saw}$ | 55.16 | 56.04 | 56.01 | 56.03 | 66.76 | 67.12 | 67.48 | 67.53 | 67.18 | 66.79 | 65.58 | 64.46 | 65.75 |
| $f_{sin}$ | 72.54 | 74.02 | 73.36 | 72.71 | 70.31 | 73.74 | 73.27 | 73.93 | 74.05 | 70.86 | **70.16** | 73.34 | 71.32 | 73.91 |
| $A_{sgr}$ | 54.56 | 55.52 | 56.05 | 55.91 | 59.73 | 63.33 | 65.5 | 65.84 | 66.45 | 66.8 | **67.28** | 64.7 | 60.16 | 65.79 |
| $B_{sgr}$ | 80.43 | 81.03 | 81.33 | 80.74 | 82.06 | 84.3 | 84.43 | 85.67 | 85.95 | 86.42 | **86.5** | 81.49 | 83.72 | 83.89 |
| $v_{sgr}$ | 54.24 | 54.87 | 54.97 | 54.48 | 60.91 | 67.88 | 68.18 | **68.73** | 68.53 | 68.38 | 68.02 | 67.45 | 65.4 | 64.4 |
| $f_{sq}$ | 60.19 | 62.09 | 62.12 | 61.15 | 64.73 | 79.08 | 79.5 | **80** | **80.62** | 80.55 | 80.41 | 75.33 | 73.26 | 75.23 |
| $A_{tel}$ | 65.17 | 67.22 | 68.13 | 68.07 | 65.51 | 71.51 | 73.04 | 74.46 | 75.31 | 75.65 | **76.46** | 72.08 | 65.88 | 75.69 |
| $B_{tel}$ | 85.98 | 87.61 | 87.6 | 87.34 | 85.65 | 88.54 | 89.01 | 89.99 | 90.51 | 90.77 | **90.85** | 83.89 | 86.69 | 87.98 |
| $v_{tel}$ | 57.42 | 59.31 | 59.8 | 59.76 | 63.89 | 69.47 | 69.94 | **70.25** | 69.99 | 69.68 | 69.55 | 68.91 | 68.39 | 67.82 |
| $f_{stf}$ | 76.29 | 78.76 | 78.44 | 77.79 | 75.02 | 83.2 | 83.88 | 84.8 | 85.39 | 85.79 | **86.27** | 78.38 | 78.46 | 81.62 |
| $A_{stf}$ | 54.15 | 54.93 | 55.39 | 55.38 | 58.53 | 61.78 | 63.1 | 63.99 | 64.76 | 64.7 | **65.41** | 61.73 | 57.55 | 61.61 |
| $B_{stf}$ | 79.8 | 80.41 | 80.48 | 79.97 | 81.15 | 82.43 | 82.53 | 83.76 | 84.27 | **84.45** | 84.27 | 80.41 | 81.99 | 82.15 |
| $v_{stf}$ | 54.28 | 54.49 | 54.48 | 54.3 | 59.43 | 66.55 | 66.94 | **67.49** | 67.25 | 66.91 | 66.61 | 66.8 | 63.49 | 63.07 |
| $I_{stf}$ | 59.53 | 60.96 | 61.12 | 59.52 | 63.61 | 76.66 | 77.3 | 78.13 | **78.48** | 78.03 | 77.9 | 73.62 | 69.94 | 72.71 |
Mean MPR: 65.39, 66.85, 67.05, 66.72, 70.69, 73.78, 76.51, 77.35, 77.66, 77.81, 77.9, 76.17, 72.8, 73.8
Figure 4. Training and validation loss graphs for all models.
and time axes, simultaneously and is illustrated in Fig. 3. We investigate seven different spectrogram based CNNs. The first six models share the same number of 1.2M trainable parameters, but vary by network depth. These models are dubbed Conv1, …, Conv6 and have 1, …, 6 2D strided convolutional layers, respectively. The seventh CNN is dubbed Conv6XL and has 6 strided convolutional layers, but 2.3M trainable parameters. The reason we further include Conv6XL in the evaluation is to check whether increasing the model capacity, in terms of number of trainable parameters, further contributes to the prediction accuracy.
The second type of CNN is an end-to-end CNN that receives the raw audio signal as input. This network is dubbed ConvE2E and further aims at learning a set of filters that produce a transformation on the raw audio, which is an alternative to the STFT spectrogram. Hence, the first four layers in the ConvE2E model are dedicated to transform the 16K dimensional input signal to a matrix in the exact same size of the STFT matrix (64x257). These four layers are 1D strided convolutional layers that operates on the time axis only. This is followed by additional six 2D strided convolutional layers that are identical to those of Conv6 model. Due to the extra four layers, ConvE2E has 1.9M trainable parameters. Finally, all CNN models have an additional FC hidden layer in between the last convolutional layer and the output layer.
The exact models architectures are detailed in Table 2, where C(F,K1,K2,S1,S2) stands for a ReLU activated 2D strided convolutional layer with F filters in size of (K1,K2) and strides (S1,S2). In the case of ConvE2E, the first four layers degenerates to 1D strided convolutions by setting both K1 and S1 to 1. Finally, it is worth noting that no dropout is applied in the CNNs, since we found that CNNs less tend to overfitting.
6. EXPERIMENTAL SETUP AND RESULTS
In this section, we describe the experimental setup, evaluation measures and present quantitative and qualitative results. The reported results are obtained using 10 fold cross validation on the datasets that are described in Section 4.
The evaluated models are specified in Tables 1 and 2. All models are optimized w.r.t. the binary cross entropy loss [6] using ADAM [14] optimizer with mini batch size of 16 for 100 epochs.
6.1 Quantitative Results
The training and validation loss per model are displayed in Figure 4. We can see that most of the CNN models obtain significantly lower validation loss values than their FC and HC counterparts. Specifically, Conv6XL and Conv5 perform the best and on par with each other. Therefore, we conclude that increasing the number of trainable parameters from 1.2M to 2.3M has a negligible effect for CNNs of a sufficient depth. The largest decrease in loss is obtained when moving from Conv1 to Conv2 and then from Conv2 to Conv3. We believe that this is since Conv1 and Conv2 uses strides values that results in too aggressive subsampling. The ConvE2E model significantly underperforms Conv4, Conv5, Conv6 and Conv6XL, but is on par with Conv3 and outperforms all FC and HC models. Hence, we conclude that the STFT spectrogram contains further crucial information that ConvE2E fails to extract from the raw audio. On the other hand, ConvE2E manages to learn fillers that are better than the complex hand crafted features from [10], even when combined with a deep FC network (HC3).
In terms of accuracy models, FC2 performs the worst among all models. Note that we omit the loss graphs of FC1 and FC3 for better clarity as these almost completely overlap with FC2. Examining the performance of the HC models, we observe the following trends: HC which is a linear model outperform all non-linear FC models and is on par with Conv1. This can be explained by the fact that HC uses hand crafted features that are far more complex than the STFT spectrogram and its BoW representation. HC3 significantly outperform HC and Conv1. Yet, HC3 is still outperformed by most of the Conv models including ConvE2E.
Figure 4 further shows that network depth plays an important factor: the deeper the network the better it manages to learn (recall that all models have the same number of trainable parameters except for Conv6XL and ConvE2E). Specifically, we observe that a large reduction in loss is obtained by moving from HC to HC3, despite the fact both models have the same number of trainable parameters. This is another evidence for the importance of network depth which results in additional nonlinear transformations. However, the contribution from depth becomes marginal, when using more than 3, 5, and 3 layers for CNN, FC and HC models, respectively.
In terms of generalization, FC1, FC2, FC3 and HC3 start overfitting after ~20 epochs. We tried to alleviate this problem by increasing the dropout values and applying L2 regularization, but this resulted in higher values of validation loss. In the case of CNN models, no overfitting is observed, despite the fact that no regularization is applied. We believe that this is due to nature of CNNs that enables weight sharing and the fact that the signals we deal with originate in a family of periodic functions that exhibit stationarity (Eq. (1)), excluding the effect of the ADSR envelope.
Although the models are optimized w.r.t. the binary cross entropy loss, our goal is to measure the reconstruction quality in terms of human hearing. As we are not aware of any quantitative measure that correlates well with human hearing, we propose several additional measures to evaluate the models performance in multiple resolutions: accuracy per parameter, accuracy per group of parameters and reconstruction quality in both time and frequency domains.
6.1.1 Mean Percentile Rank (MPR) based Evaluation
The first measure is the Mean Percentile Rank (MPR) which is computed per synthesizer parameter. Formally, we denote by $r_i$ the ranked position of the correct class, when measured against the other classes based on prediction scores output by the model. In our case, we have 16 classes. Hence, the MPR measure is computed according to $MPR = 100 \times (1 - \frac{1}{|T|} \sum_{i \in T} \frac{r_i}{17})$ where $T$ is the number of test instances. Note that $0 \leq MPR \leq 100$, where
Table 4. Reconstruction quality for the evaluated models in time and frequency domains. \( \rho \) values are x100. See Section 6.1.3 for details.
| Measure/Model | Conv6XL | Conv6 | Conv5 | Conv4 | ConvE2E | HC3 | HC [10] | FC2 | FC Linear |
|---------------|---------|-------|-------|-------|---------|-----|---------|-----|-----------|
| \( \rho \) mean (STFT) | 92.04 | 91.38 | 91.09 | 90.97 | 88.33 | 88.04 | 84.62 | 77.22 | 75.24 |
| \( \rho \) median (STFT) | 95.61 | 95.39 | 95.1 | 94.99 | 93.41 | 92.59 | 88.53 | 82.32 | 80.83 |
| \( \rho \) mean (FT) | 76.13 | 74.28 | 73.46 | 73.29 | 71.36 | 64.39 | 59.68 | 58.18 | 54.74 |
| \( \rho \) median (FT) | 90.22 | 88 | 87.4 | 86.29 | 80.61 | 68.07 | 59.73 | 57.19 | 51.5 |
| \( \rho \) mean (time) | 63.07 | 61.15 | 60.39 | 59.65 | 57.28 | 50.31 | 45.54 | 41.98 | 38.43 |
| \( \rho \) median (time)| 80.41 | 82.02 | 82.32 | 81.87 | 81.21 | 54.83 | 48.81 | 43.71 | 37.1 |
| \( \rho \) mean (STFT) | 708.94 | 740.32| 757.69| 765.55| 904.12 | 918.78| 1117.53 | 1336.7| 1427.03 |
| \( \rho \) median (STFT)| 679.36 | 704.99| 726.87| 743.97| 884.96 | 916.52| 1084.59 | 1267.87| 1328.79 |
\( MPR = 100 \) is the optimal value and \( MPR = 50 \) can be achieved by random predictions.
Table 3 presents the obtained MPR values for each combination of model and synthesizer parameter. We see that the same trends that exist in Figure 4 also exist in Table 3. CNNs produce higher MPR values than FC models in most cases. An exception is the MPR values obtained for the decay and sustain parameters \( d, s \). This can be explained by the fact that these parameters have a negligible influence on the signal amplitude comparing to the attack and release. Moreover, the ADSR envelope determines the change in amplitude over time and has a small effect over the sound timbre. Therefore, we find that bad MPR values for \( d, s \) does not mean bad signal reconstruction in terms of human hearing. An interesting observation is that ConvE2E, HC and HC3 models produce significantly better MPR scores for the attack parameter \( a \). This implies that ConvE2E dedicates filters for capturing volume transients that are also captured by the temporal feature extraction scheme of [10]. In addition, we observe that for the modulation frequency \( v_g \), the best MPR values are obtained by the Conv4 across all waveforms \( W \), but by a small margin over Conv5 / Conv6. The last row in Table 3 contains the mean of MPR values per model across all synthesizer parameters. We see that Conv6XL produces the best value, where the second best value is obtained by Conv6. ConvE2E is on par with Conv3 and slightly better than HC3. Finally, HC models significantly outperform all FC models.
6.1.2 Top-k Mean Accuracy based Evaluation
The second measure is the top-k mean accuracy. For a given test example, the top-k accuracy function outputs 1 if the correct class rank is among the top k predicted classes by the model and 0 otherwise. The top-k mean accuracy is obtained by computing the top-k accuracy for each test example and then taking the mean across all examples. In the same manner as done in the MPR analysis, we compute the top-k mean accuracy per synthesizer parameter for \( k = 1, ..., 5 \). Then, we group the synthesizer parameters according to the following functionality groups: Filter group that contains the parameter \( f_{cut}, q \), Notes, Amplitude LFO, Frequency LFO and Oscillators Amplitude groups that contain the parameters \( f_w, B_w, v_w, A_w \) for all \( w \), respectively. The last two groups are the Amplitude ADSR group that contains the parameters \( a, d, s, r \) and the All group that contains all the synthesizer parameters.
For each combination of model and parameter group we compute the mean of the top-k mean accuracy across all parameters in that group and for all k values. The reason we divide the parameters into different groups is in order to inspect the models performance w.r.t. each functional in the synthesizer. Figure 5 presents top-k mean accuracy as a function of k for each combination of parameter group and model. We can see that the results correlate well with Table 3. The best accuracy values are obtained for the Filter and Amplitude LFO groups, where the margin between the CNN and FC models is the largest. Furthermore, in all graphs the CNNs significantly outperform the FC models. Finally, we observe that for the Amplitude ADSR parameter group, ConvE2E produces the best accuracy graph followed by HC3 as the second best. This is directly related to the ability of these models to predict the attack parameter significantly better than the other models. An interesting pattern is further observed in the Notes graph: while ConvE2E significantly underperforms Conv4 – Conv6XL for \( k = 1 \), It becomes the champion for \( k > 1 \). This means that ConvE2E manages to infer a better ranking of musical notes when considering the predictions beyond the one on the top.
6.1.3 Reconstruction Quality in Time and Frequency Domains
In the last two sections, we evaluated the parameter estimation accuracy obtained by the models. In this section, we investigate how well the pipeline as a whole reconstructs the input signals using the different models. The evaluation is conducted both time and frequency domains and focuses on a subset of the models that performed the best among each model type (Linear FC, non-linear FCS, HCs and CNNs).
The first two evaluations are performed in the STFT domain. Specifically, we compute for each signal \( x_i \) in the test set its STFT representation \( S_i \). Then, \( S_i \) is fed to the model to produce the synthesizer parameter configuration which is then used to synthesize an output signal \( x_o \) using the synthesizer. Finally, we compute the STFT representation \( S_o \) of \( x_o \). Note that in the case of ConvE2E and HC models \( x_i \) is fed as input (HC models further require the preprocessing of [10] on \( x_i \)).
We propose two measures to quantify the reconstruction quality in the STFT domain. The first one is the Frobenius norm of the difference between \( S_i \) and \( S_o \). To this end, we denote \( F_\Delta = \sqrt{\text{Tr}(UU^T)} \) with \( U = S_i - S_o \). The lower \( F_\Delta \) the better the reconstruction quality. The second measure is the Pearson Correlation Coefficient (PCC) \( \rho(x,y) = \frac{\sum_{i=1}^{N}x_iy_i}{\sigma_x\sigma_y} \). Since \( \rho \) is defined over vectors rather than matrices, we flatten \( S_i \) and \( S_o \) to vectors by performing rows concatenation and then compute their PCC value.
The third evaluation is designed to quantify the reconstruction quality in the Fourier domain. To this end, denote the FFT representation of \( x_i \) and \( x_o \) as we compute the PCC over the absolute of the Fourier Transforms (FT) of \( x_i \) and \( x_o \). Different from the STFT, which provides the frequency information per short time frames, the FT provides a global representation that aggregates the frequency information from the entire signal. Lastly, the fourth evaluation is designed to quantify the reconstruction quality in time domain. To this end, we compute the PCC of \( x_i \) with \( x_o \).
Table 4 presents the mean of the measures \( F_\Delta \) (\( \times 100 \)) and \( F_\Delta \) that were computed over the test set for each combination of domain and model. We can see that the same trend exists in all of domains – spectrogram based CNNs performs the best ordered by their depth. ConvE2E outperforms the HC3 and HC models (their performance is also ordered by depth), FC models perform the
Figure 6. Four examples of spectrograms and their reconstructions, obtained by the evaluated models. See Section 6.2 for details
worst. Hence, we conclude that network depth contributes to the reconstruction quality as well. We further observe that PCC values obtained in time domain are significantly worse than PCC values obtained in frequency domain. This might be explained by the fact that the models are supplied with the STFT spectrogram in which the phase information is lost. Hence, we believe that if the phase information is fed to the models, an improvement in time domain PCC values is expected.
6.2 Qualitative Results
In this section, we present several examples that demonstrate the effectiveness of our method. These examples are not cherry picked and were randomly selected from the test set. The audio files of the examples are available online for the reader [15].
Figure 6 presents four examples. Each row corresponds to a different example and contains (left to right) the true spectrogram of the signal and the spectrogram obtained for the reconstructed signal using Conv6, ConvE2E, HC3, HC, FC2 and FC Linear models. In addition, for each reconstruction, we report the PCC value in the STFT domain. In what follows, we discuss each example (top to bottom).
The first example is of a signal with no frequency modulation and a mild amount of gating effect. We can see that the CNN and HC models produce parameter configurations that results in high quality reconstruction (both visually and in terms of PCC values). This is in contrast to the FC models that produce poor results: both reconstructions contain emphasized frequency bands that do not exist in the original signal. Moreover, the FC Linear model misses a dominating low frequency band that exists in the original signal.
The second example is of a signal with no frequency modulation, but with a decent amount of gating effect. In this example, Conv6 produces a nearly perfect reconstruction, while ConvE2E misses some of the low frequency bands and exhibits an attenuated reconstruction. HC models seem to miss the same low frequency bands but exhibit less attenuation in high frequency bands. The FC2 model completely fails to recognize the gating effect and produces a reconstruction with emphasized frequency bands that do not exist in the original signal. The FC Linear model produces a wrong gating pattern and a severe attenuation of high frequency bands w.r.t the original signal.
The third example is of a frequency modulated signal with no gating. We can see that both Conv6 and ConvE2E produce decent reconstructions, while ConvE2E misses some of the FM pattern. HC3 produces a clearly worse reconstruction than HC and FC2, while FC linear ends up as the worst.
The last example is of a frequency modulated signal with a mild gating effect. We can see that Conv6 obtains a reconstruction that is the closest to the original spectrogram (visually), followed by the HCs models, while ConvE2E and FC models completely fail.
This limited set of examples demonstrates that spectrogram based CNNs of a sufficient depth outperform all other types of models across all scenarios. As part of our future research, we plan to conduct a human evaluation over a large set of examples in order to better understand the performance gaps between ConvE2E and the HC models, qualitatively.
7. CONCLUSION
In this paper, we proposed a method for automatic synthesizer parameter estimation from a source sound. The method is based on two models: spectrogram based CNN and an end-to-end CNN that are trained to predict the synthesizer parameter configuration from the STFT spectrogram and the raw audio, respectively. We demonstrate the effectiveness of the proposed method in a series of experiments and show that spectrogram based CNN outperform its end-to-end and HC counterparts, while both significantly outperform FC models.
8. REFERENCES
[1] M. Russ, *Sound Synthesis and Sampling*, 2009.
[2] E. J. Humphrey, J. P. Bello, and Y. LeCun, “Moving Beyond Feature Design: Deep Architectures and Automatic Feature Learning in Music Informatics,” *International Society for Music Information Retrieval Conference (ISMIR)*, no. Ismir, pp. 403–408, 2012.
[3] E. J. Humphrey, J. P. Bello, and Y. Lecun, “Feature learning and deep architectures: New directions for music informatics,” *Journal of Intelligent Information Systems*, vol. 41, no. 3, pp. 461–481, 2013.
[4] S. Dieleman and B. Schrauwen, “End-to-end learning for music audio,” in *ICASSP, IEEE International Conference on Acoustics, Speech and Signal Processing - Proceedings*, 2014, pp. 6964–6968.
[5] K. Choi, G. Fazekas, and M. Sandler, “Automatic tagging using deep convolutional neural networks,” *International Society for Music Information Retrieval Conference*, pp. 805–811, 2016.
[6] A. Goodfellow, Ian. Bengio, Yoshua. Courville, “Deep Learning.” *MIT Press*, 2016.
[7] J. Rionheiro and V. Välimäki, “Parameter estimation of a plucked string synthesis model using a genetic algorithm with perceptual fitness calculation,” *Eurasip Journal on Applied Signal Processing*, vol. 2003, no. 8, pp. 791–805, 2003.
[8] A. W. Y. Su and S. F. Liang, “A class of physical modeling recurrent networks for analysis/synthesis of plucked string instruments,” *IEEE Transactions on Neural Networks*, vol. 13, no. 5, pp. 1137–1148, 2002.
[9] M. Sterling and M. Bocko, “Empirical physical modeling for bowed string instruments,” in *ICASSP, IEEE International Conference on Acoustics, Speech and Signal Processing - Proceedings*, 2010, pp. 433–436.
[10] K. Itoyama and H. G. Okuno, “Parameter Estimation of Virtual Musical Instrument Synthesizers,” in *Proceedings of ICMI*, 2014, pp. 95–101.
[11] http://www.softsynth.com/jsyn
[12] Van Den Oord Aaron and K. Kavukcuoglu, “WaveNet: A Generative Model for Raw Audio,” *arXiv preprint arXiv:160903499*, 2016.
[13] C. M. Bishop, *Pattern Recognition and Machine Learning*, vol. 4, no. 4. 2006.
[14] D. P. Kingma and J. L. Ba, “Adam: a Method for Stochastic Optimization,” *International Conference on Learning Representations 2015*, pp. 1–15, 2015.
[15] https://github.com/deepsynth/deepsynth
[16] A. Krizhevsky, I. Sutskever, and G. E. Hinton, “ImageNet Classification with Deep Convolutional Neural Networks,” in *Advances in Neural Information Processing Systems 25*, 2012, pp. 1097–1105.
[17] A. Graves, A. Mohamed, and G. E. Hinton, “Speech recognition with deep recurrent neural networks,” in *(IEEE) International Conference on Acoustics, Speech and Signal Processing, [ICASSP] 2013, Vancouver, BC, Canada, May 26-31, 2013*, 2013, pp. 6645–6649.
[18] Y. Bengio, R. Ducharme, P. Vincent, and C. Janvin, “A Neural Probabilistic Language Model,” *J. Mach. Learn. Res.*, vol. 3, pp. 1137–1155, Mar. 2003.
[19] W. Yih, K. Toutanova, J. C. Platt, and C. Meek, “Learning Discriminative Projections for Text Similarity Measures,” in *Proceedings of the Fifteenth Conference on Computational Natural Language Learning*, 2011, pp. 247–256.
[20] T. Mikolov, I. Sutskever, K. Chen, G. S. Corrado, and J. Dean, “Distributed Representations of Words and Phrases and their Compositionality,” in *Advances in Neural Information Processing Systems 26*, 2013
[21] R. Collobert, J. Weston, L. Bottou, M. Karlen, K. Kavukcuoglu, and P. Kuksa, “Natural Language Processing (Almost) from Scratch,” *J. Mach. Learn. Res.*, vol. 12, pp. 2493–2537, Nov. 2011.
[22] Y. Kim, “Convolutional Neural Networks for Sentence Classification,” *Proc. 2014 Conf. Empir. Methods Nat. Lang. Process. (EMNLP 2014)*, pp. 1746–1751, 2014.
[23] Barkan, O. Bayesian Neural Word Embedding. AAAI 2017. |
Attached are revised versions dated December 10, 2001, of our July 24, 2001, “Guidelines for Local Agency Involvement in Right of Way Acquisition and Delivery of Projects on the State Highway System” and our September 11, 2001 memo on “Delivering Right of Way Activities on the State Highway System.”
Both of these memos have been revised to include an additional delivery option for performing right-of-way activities on the State highway system. Recognizing that the capital dollars and support dollars are separate components of project delivery. This revision allows the local agency, to utilize local agency funds for project right-of-way support costs, thereby allowing the local agency to utilize their own forces or contract out for right-of-way services, regardless of the funding source, including State, for right-of-way capital.
In addition, several of our local partners have expressed concerns with the Department’s literal interpretation of Proposition 35, as it relates to right-of-way activities. The Department has therefore committed its Legal Staff to take another look at Proposition 35 and all related statutes. This may or may not result in adding additional delivery tools. It is however hoped that the additional tool, provided with this revision as referenced above, may be useful in certain situations.
BRICE D. PARIS
Chief
Division of Right of Way
c: Right of Way Office Chiefs
The following supersedes previous guidelines issued dealing with Local Agency involvement in Right of Way (R/W) Acquisition and Delivery of Projects on the State Highway System dated July 24, 2001. The aforementioned guidelines have been revised to allow the funding source for right-of-way support to be the control for performance of right-of-way activities, regardless of the funding source for right-of-way capital.
**TRANSPORTATION CONGESTION RELIEF PROJECTS (TCRP) ON THE STATE HIGHWAY SYSTEM**
It is the Department's policy that TCRP projects be managed in the same fashion as all projects on the State Highway System. To accomplish this, the California Transportation Commission (CTC) adopted Resolution G-00-23 guidelines for the development and implementation of the TCRP on September 28, 2000. These guidelines provide some flexibility in providing R/W services to ensure timely and cost effective delivery of the TCRP. TCRP guidelines call for the following:
- TCRP funds are allocated by the CTC on a project-by-project basis.
- TCRP funds are allocated only after the Department has reviewed and the CTC has approved an application for the funds.
- The Department or Local Agency may take the lead in preparing the application. The application will identify which agency, the Local or the Department, will act as the implementing agency.
- If the Department is the implementing or lead agency then the TCRP funds will be treated as "State" funds within these guidelines.
- If the Local Agency is the implementing or lead agency then the TCRP funds will be treated as "Local Agency" funds within these guidelines, and the Local Agency has the option of performing the R/W work themselves, if it is a qualified agency, or selecting the Department or other qualified R/W organization (either public or private) to deliver the right-of-way component.
For the purposes of these guidelines:
- "LOCAL AGENCY" funds are funds such as tax measures, property tax, developer fees, Federal subvention, (e.g., Regional Surface Transportation Program (RSTP), Congestion Mitigation and Air Quality Improvement Program (CMAQ), and TCRP Funds where the Local Agency is the designated implementing or lead agency, etc.).
- "STATE" funds are State Transportation Improvement Plan (STIP) funds, which include the Regional Improvement Plan and Interregional Improvement Plan, State Highway Operational Protection Plan (SHOPP), and TCRP Funds when the Department is the designated implementing or lead agency.
GUIDELINES FOR ALL PROJECTS ON THE STATE HIGHWAY SYSTEM
Land Acquisition:
- Where all project right-of-way support costs or right-of-way support for specific parcels is funded 100 percent with "Local Agency" funds, the Local Agency may perform all right-of-way work with its own staff, or contract for right-of-way services on the parcels it is funding, regardless of the funding source for right-of-way capital. Included in the work that the Local Agency may perform with its own staff, or contract out, are R/W Engineering, Appraisals, Acquisitions, Relocation Assistance, and Legal Services. All work is to be performed consistent with departmental policies and subject to departmental "Quality Assurance."
Nothing in the above is meant to preclude the Department from performing right-of-way activities (including legal) on parcels funded in total by a Local Agency when an approved cooperative agreement is in place.
- Where all project right-of-way support costs or right-of-way support for specific parcels is funded 100 percent with "State" funds, the Department is the responsible agency for performing all right-of-way activities on the parcels it is funding, regardless of the funding source of right-of-way capital.
- Where right-of-way capital and support are 100 percent "State" funded, or specific parcels in a jointly funded project are 100 percent "State" funded (both capital and support) the Department is the responsible agency for performing all right-of-way activities.
- Where right-of-way support is a mix of "Local Agency" and "State" funds for particular parcels or projects, the Department is the responsible agency for performing all right-of-way activities.
Prerequisites to Resolution of Necessity - First and Second Level Review Requirement
- Department policy requires a First, and if necessary, Second Level Review prior to seeking a RON.
This policy applies regardless of whether the R/W effort is performed by the Department and/or a Local Agency, or what body hears the RON request.
In all cases, regardless of whether the R/W effort is performed by the Department and/or a Local Agency, First and Second Level Reviews will be administered by the Department under the direction of Region/District R/W as outlined in sections 9.01.06.00, 9.01.07.00, and 9.01.08.00 of the Department’s R/W Manual and as outlined in Bob Coleman’s memo of July 2, 1998, and Chapter 28 of the Department’s “Project Development Procedures” Manual. When a Local Agency is involved in the acquisition of right-of-way, Local Agency staff shall participate in the First and Second Level Reviews as necessary.
**Adopting Resolutions of Necessity:**
The Department is the responsible agency for obtaining RONs for ALL projects on the State Highway system irrespective of funding, who the lead or implementing agency is, or who is performing the R/W work. When a Local Agency is performing R/W work, the R/W Engineering component shall include preparation of RON documents and exhibits for processing by the Department to the CTC.
The CTC is the responsible body for adopting all RONs on the State Highway System. Although the CTC has ultimate responsibility, State statutes do provide for RONs to be passed by a County Board of Supervisors (Board) or a City Council under the specific circumstances stated below. The following applies to STIP and TCRP projects only; it does not apply to the SHOPP. All SHOPP projects must continue to be heard by the CTC.
Regardless of who performs R/W work, prior to the Board or a City Council passing a RON by the required four-fifths (4/5) vote, the following actions must first have taken place:
- Region/District R/W must seek, on a project-by-project basis, written approval to implement this policy from the Chief of the Division of R/W. Approval considerations include timesaving, convenience for property owners, and/or local sensitivity to project. Additional considerations may be added as the Department gains experience with guideline implementation.
- Upon approval, Region/District R/W will communicate in writing to the Local Public Agency (LPA), the Department’s recommendation that RONs may be heard by the Board or the City Council. In all cases, right-of-way activities are to be performed consistent with all policies and procedures outlined in the Department’s R/W Manual including the requirement for First and Second Level Review Hearings, and shall be a condition of the Department’s recommendation.
The LPA will then seek from the Board or City Council, a resolution passed by a four-fifths vote of its membership, agreeing to hear the RON. The Board or City Council must have determined that the acquisition of the real property or interest be in the best interest of the Department, promotes the interest of the county or city, and be necessary for State highway purposes.
If the project in question requires a cooperative agreement, the agreement will contain language documenting the above. A copy of the resolution from the Board or City Council is to be attached to the fully executed cooperative agreement.
If no cooperative agreement is required, the Department’s written request and resolution from the Board or City Council shall be maintained in the Right of Way project file.
If a RON is to be contested before the CTC, the presentation will be delivered by the Department's Office Chief for the RON in the Division of Design. All similar appearances before a Board or City Council shall be presented by the Department's District Director or designee, regardless of which agency performed the right-of-way activities.
**Utility Relocation:**
Where all utility relocations are, or a specific utility relocation is 100 percent funded with “Local Agency” funds, the Local Agency may perform the utility relocation coordination activities they are funding, regardless of the overall funding of the project. All work is to be performed consistent with Department policies and subject to Departmental oversight.
Where utility relocations are 100 percent “State” funded or specific utility relocations in a jointly funded project* are 100 percent "State" funded, the Department is the responsible agency for performing the utility relocations.
Where particular utility relocations are to be funded with a mix of "Local Agency" and "State" funds, the Department is the responsible agency for performing those utility relocation coordination activities.
The Department may have agreements currently in force with one or more utility entities, which shall correspondingly bind the Local Agency in those circumstances. Such agreements are pursuant to statute and may prevail over other existing statute if so included in each agreement. If any such agreement is applicable to freeway projects, such applicability may extend beyond the actual freeway right-of-way "footprint" to include those utility relocations reasonably caused by the influence of the freeway portion of the project. If the Local Agency and any such utility entity cannot come to agreement on such applicability, the Department's Project Manager or equivalent, after consultation with both parties, Department's R/W Utility Relocation branch and Department's Legal Division, will make such final determinations of applicability.
Department Policy and “Quality Assurance” (Oversight) Responsibilities:
- When right-of-way activities (including R/W Engineering) are performed by other than the Department, the Department must approve legal descriptions and the condition of title for the right-of-way required for the project, as well as accept title prior to the Department accepting completion of the construction project and opening the project to the public. These requirements shall be so stipulated in the cooperative agreement.
- In ALL cases, R/W, R/W Engineering, and Utility Relocation activities shall be performed consistent with Federal and State law and in accordance with the Department's R/W policies and procedures as outlined in its R/W Manual, the Plans Preparation Manual, and the Land Surveyors' Act. These requirements shall be so stipulated in any required cooperative agreement.
- In ALL cases if R/W, R/W Engineering, Utility Relocation, or Survey activities are performed by an organization other than the Department, the Department will perform "Quality Assurance" reviews on those activities performed in conjunction with the project. Generally, the cost of the Department's "Quality Assurance" for a project shall be funded as agreed to in the cooperative agreement. The cost of the Department's "Quality Assurance" for TCRP projects shall be funded with the TCRP funds as a project cost and shall be so stated in the cooperative agreement.
- When R/W Engineering activities are performed by other than the Department's R/W Engineering units, the Department must approve the R/W Record Map for right-of-way required for the project prior to the Department accepting completion of the construction project. Any final payment will not be released until a Record of Survey of the monumentation effort is filed with the county surveyor, relinquishment and/or vacation documents are prepared, and legal descriptions and maps for disposal have been approved by the Department. These requirements shall be so stipulated in the cooperative agreement.
- When utility relocation activities are performed by other than the Department's R/W staff, the Department must approve the Local Agency prepared relocation plans required for the project prior to advertising the project. In addition, Local Agency's as-built plans of the completed utility relocation must be accepted by the Department prior to the Department accepting completion of the construction project and opening the project to the public. These requirements shall be so stipulated in the cooperative agreement.
- Prior to opening a project to the public when R/W activities are performed by others, the Department must formally accept title to the R/W. In the event that the items specified above have not been completed, title will not be accepted until an amendment to the Cooperative Agreement has been executed. The amendment must identify the work to be completed, the agency responsible, contain appropriate financial guarantees of completion and a completion timetable.
DOCUMENTATION AND EXCEPTIONS
The respective responsibilities that the Department and local agencies have in delivering projects on the State Highway System shall be addressed in the authorizing document (project report, project study report, TCRP application, etc.), and clearly documented in the cooperative agreement.
Any request for exception to the above-stated guidelines shall be in writing, and must be reviewed by Headquarters’ R/W Local Programs and Headquarters’ R/W Project Delivery prior to being approved by the Chief of the Division of R/W. Included in the request for exception will be a statement as to the unusual circumstances requiring deviation from these guidelines. Exceptions shall be granted on a case-by-case basis. As above, respective responsibilities for delivering the project shall be addressed in the authorizing document (project report, project study report, etc.), and clearly documented in the cooperative agreement.
BRENT FELKER
Chief Engineer
bc: Brice Paris, Office Chiefs, Barry Cowan, Phil Scott – R/W
Bruce Behrens, Brelend Gowan, Rich Williams, Joel Phillipp - Legal
Karla Sutliff, Linda Fong, Mary Beth Harrett, Muhaned Aljabiry - Design
Debbie Mah – TCRP
Bob Buckley, Mark Turner, Roland Swirsky – Engineering Services
Mickey Horn - Project Management
Terry Abbott - Local Assistance
BCowan:lss
Expanded guidelines+TCRP+RON2.doc
H:Appraisal & Local Programs/Cowan
The memorandum concerning the above referenced subject dated September 11, 2001, is hereby re-issued for clarification purposes with revisions in bold.
The intent of this memorandum is to address questions that have arisen concerning the Department's ability to contract out, or utilize Local Agency staff, to deliver State funded right-of-way activities on the State highway system when the Department is the responsible agency for performing the work. General information, resources and options are provided, including options for delivering right-of-way activities on multi-funded projects.
Many of the questions have centered on the applicability of Proposition 35 to contract out right-of-way activities. Proposition 35 added Article XXII to the Constitution allowing the State, et al., the ability “…to contract with qualified private entities for architectural and engineering services for all public works of improvement.” However, Proposition 35 also added Section 4529.10 to the Government Code. This Section states, “For purposes of Article XXII of the California Constitution and this act, the term ‘architectural and engineering services’ shall include all architectural, landscape architectural, environmental, engineering, land surveying, and construction project management services.” Right of Way Engineering is considered the only right-of-way activity included in this definition and, therefore, is the only right-of-way activity impacted by Proposition 35.
However, existing Government Code Section 19130 provides authority for the Department to contract for personal services under specific and limited conditions. Please refer to the attached June 28, 1993, memorandum, “Contracting Out Justification – G.C. 19130.” An example of when these conditions may apply to right-of-way activities is:
- Government Code Section 19130(b)(3) states: “The services contracted are not available within civil service, cannot be performed satisfactorily by civil service employees, or are of such a highly specialized or technical nature that the necessary expert knowledge, experience, and ability are not available through the civil service system.” This section may apply to entering into a personal service contract for specialty appraisals (e.g. goodwill, machinery and equipment, or other highly specialized/technical appraisals).
You are encouraged to work closely with the Department’s Division of Procurement and Contracts (DPAC) and your Division of Right of Way (R/W) functional liaison to answer questions or provide assistance. DPAC’s web site may be accessed through http://adsc.caltrans.ca.gov.
Senate Bill 45, the State Transportation Funding Act, added Section 14520.3 (b) and (c) to the Government Code. This Section states in part, “The Department is responsible for the planning, design, construction, maintenance, and operation of the State highway system…In addition to other responsibilities established by law, the Department is the responsible agency for performing all State highway project components specified in subdivision (b) of Section 14529 of the Government Code except for construction.” Section 14529(b)(3) includes, “The acquisition of rights-of-way.” However, Streets and Highways Code Section 114 states, “(a) When the commission or other public entity has allocated any funds for the construction, improvement, or maintenance of any portion of a State highway within a city or a county, the department may enter into a cooperative agreement with the city or the county or other public entity, for the performance of the work by the department or by the city or the county or other public entity, or for the apportionment of the expense of the work between the department and the city or the county or other public entity. (b) The department shall enter into a cooperative agreement with a city, county, or other public entity to perform professional and technical project development services, if the department determines that the city, county, or other public entity in which the project is located has qualified and available staff to perform the necessary project services.”
Government Code Section 14520.3 does not restrict the authority of the Department under Streets and Highways Code Section 114. Therefore, the Department may enter into a cooperative agreement with a qualified Local Agency whereby their staff would perform the right-of-way activities for a State funded project on the State highway system. However, these activities may not be contracted out to private consultants. While performing these activities with their own staff, there may be a specific situation when the Local Agency is required to consider a personal service contract. If this situation should arise, the Local Agency shall obtain approval from the appropriate Deputy District Director Right of Way, or his/her delegatee. The approval considerations shall be consistent with the Department’s authority to contract for personal services to perform right-of-way activities, examples of which are listed above and in the June 28, 1993, memorandum.
**Options for delivering right-of-way on multi-funded projects may include the following:**
- Where all project right-of-way support costs or right-of-way support for specific parcels is funded 100 percent with "Local Agency" funds, the Local Agency may perform all right-of-way work with its own staff, or contract for right-of-way services on the parcels it is funding, regardless of the funding source for right-of-way capital. Included in the work that the Local Agency may perform with its own staff,
or contract out, are R/W Engineering, Appraisals, Acquisitions, Relocation Assistance, and Legal Services.
Nothing in the above is meant to preclude the Department from performing right-of-way activities (including legal) on parcels funded in total by a Local Agency when an approved cooperative agreement is in place.
The Department as the responsible agency is required to perform necessary "Quality Assurance" activities, which shall be defined in the cooperative agreement.
"Local Agency" funds and "State" funds used herein are as defined in the December 10, 2001, "Guidelines for Local Agency Involvement in Right of Way Acquisition and Delivery of Projects on the State Highway System." The definitions read, "'Local Agency funds are funds such as tax measures, property tax, developer fees, Federal subvention, (e.g., Regional Surface Transportation Program (RSTP), Congestion Mitigation and Air Quality Improvement Program (CMAQ), and TCRP Funds where the Local Agency is the designated implementing or lead agency, etc.). 'STATE' funds are State Transportation Improvement Plan (STIP) funds, which include the Regional Improvement Plan (RIP) and Interregional Improvement Plan (IIP), State Highway Operational Protection Plan (SHOPP), and TCRP funds when the Department is the designated implementing or lead agency.'"
In summary, when State funds are used on the State highway system and the Department is the responsible agency for performing the right-of-way activities:
- Government Code Section 19130 provides authority to the Department to contract for personal services for State funded right-of-way activities on the State highway system under specific and limited conditions, examples of which are listed above and in the June 28, 1993, memorandum.
- Streets and Highways Code Section 114 provides authority to the Department to enter into a cooperative agreement with a qualified Local Agency to perform State funded right-of-way activities on the State highway system with their own staff. The Department as the responsible agency shall perform "Quality Assurance."
R/W Management is encouraged to consider all available options for delivery of right-of-way activities, particularly when entering into cooperative agreements with Local Agencies. For example, if the overall project is multi-funded then there may be flexibility when deciding the capital and/or support funding source (e.g. State funds or other type) for a particular parcel, or the project's right-of-way activities as a whole, during the cooperative agreement stage. Maximizing this flexibility will increase your options for delivery of the right-of-way
activities. For additional information, please refer to the December 10, 2001, guidelines referenced above.
If you have any questions, please contact Patricia Jones at 916-654-5728.
BRICE D. PARIS
Chief
Division of Right of Way
Attachment
c: HQ Office Chiefs
HQ Appraisals and Local Programs Seniors
Legal – Joel Philipp
DPAC – Jan Smelser
R/W Local Programs’ Managers Statewide
Project Management – Mickey Horn
DISTRICT DIRECTORS
December 10, 2001
Page 5
PJones:lss OptionsPJ3.doc H:Appraisals and Local Programs/Jones
Memorandum
To: STATEWIDE CONTRACT OFFICERS
Date: June 28, 1993
File No.: P&I 93-19
From: DEPARTMENT OF TRANSPORTATION
DIVISION OF ADMINISTRATIVE SERVICES-OFFICE OF SERVICE CONTRACTS
Subject: Contracting Out Justification - G.C. 19130
Government, by its very nature, is only authorized to engage in activities that are expressly permitted by law. The State Constitution establishes a civil service merit system that requires that the work of the state be performed by civil service employees. Therefore, the Department must have the "authority" to enter into a service or consultant service contract before it can be executed. Government Code Section 19130 specifies under what conditions contracting is permitted. Subpart (a) outlines the requirements to contract on a cost savings basis. Subpart (b) outlines other circumstances under which contracting may be permissible.
It is the express responsibility of each person who processes a contract for services to know the statutory authority under which contracting is permitted. This requirement pertains to both contracts prepared by a contract staff person or one prepared by a contract requester or manager and forwarded to the contracts office for processing.
Effective immediately, all service contracts, processed under Government Code 19130 (a) or (b) (1-10), will have a complete justification, in writing. Merely stating, for example, "G.C. 19130 (b) (3) The services contracted are not available within civil service" on the reverse side of the Std. 15 will not be acceptable. Any contract that is currently advertised, has been awarded but not executed, or requires a contract amendment must include a full justification, in writing.
The attached standards and guidelines are provided to aid you in processing contracts under Government Code 19130. By no means are these guidelines all encompassing. It should be understood that questions will arise that may not be covered here. Every effort should be made to resolve them locally; however, some situations may arise requiring resolution on a case-by-case basis. Please feel free to contact your HQ Contracts Analyst for help.
Any ideas or suggestions you may have to help clarify contracting out justifications should be forwarded to me. The information will then be prepared and sent out statewide to aid Caltrans staff in justifying contracting out.
Any questions resulting from following the attached guidelines and standards should be referred to me at (916) 653-0043 or CALNET 453-0043.
ROBERT R. DENNIS
Departmental Contracts Officer
STANDARDS AND GUIDELINES
FOR THE PROCESSING OF SERVICE CONTRACTS
UNDER GOVERNMENT CODE 19130
(1) Government Code 19130 (a) - Cost Savings
All contracts justified under GC 19130 (a) must clearly demonstrate that the work to be performed will result in actual overall cost savings to the state and must meet all the requirements of GC Section 19130 (a) to include approval by the State Personnel Board (SPB). The SPB requires four to six months to respond to a request for approval. It has been the practice of the SPB to route such requests to the affected employee organization for comment. It has not been the practice of the SPB to approve requests which have been opposed by the employee organizations. Contracts office staff should advise Contract Managers requesting contracts justified under G.C. 19130 (a) that the approval process is lengthy and rarely successful.
(2) Government Code Section 19130 (b) (1-10)
(b) (1) The functions contracted are exempted from civil service by Section 4 of Article VII of the California Constitution, which describes exempt appointments.
If the services to be contracted are exempted from civil service by the Constitution, the question of their being contracted is outside the State Personnel Board's jurisdiction. The department could contract with firms or individuals without seeking prior merit-related approval from DGS. However, approval in other areas may still be required by the DGS. Section 4, Article VII of the State Constitution gives a complete listing of exempt position. Note: Agreements entered into by civil service agencies in which an exempt agency is the contractor are not exempt from DGS review.
The issue here pertains to the need to provide a contractor to fill a position that is currently exempt from the state civil service system. Such need for services should be fully researched before the contracting out procedure is followed and must be verified and approved by the Personnel Officer.
Example
The Military Department contracts for armed security guards at military bases. The security services in question were performed by active duty military personnel prior to the time they were contracted out. Section 4k of the Constitution exempts from civil service "members of the military while engaged in military service."
(b) (2) The contract is for a new state function and the Legislature has specifically mandated or authorized the performance of work by independent contractors.
Such contracting is permissible if (1) the activity to be contracted is a new state function, and (2) there is specific legislative authorization to contract for it. Contracting is allowed because it involves work being performed outside the State Government structure and does not duplicate or displace functions being performed within civil service. These provisions are not to be applied to expansions of existing programs since they are already within the existing structure of State Government and are therefore subject to civil service. The issue here is "displacement of civil service employees". Mandates by the Legislature are found in specified laws. A copy of the statute authorizing contracting out must be provided as part of the justification.
Example
The State Court of Appeals recently (June 1992) ruled in the Caltrans v. Chavez case that 19130 (b) (2) "permits contracts with private firms only where there is legislative authorization and the work involves a new state function at the time the contracts are executed."
The Court found that when personal service contracts are executed 20 years after an authorizing statute is enacted and a designated state agency utilizes state employees for most of the work on the program authorized by that statute during those intervening years, the State Personnel Board may properly decide the work eventually contracted out does not relate to or stem from a new state function within the meaning of the statute.
(b) (3) The services contracted are not available within civil service, cannot be performed satisfactorily by civil service employees, or are of such a highly specialized or technical nature that the necessary expert knowledge, experience and ability are not available through the civil service system.
Contracts that are let under this criteria must be one time or occasional in nature and it should be clear that they will not develop into an ongoing function of the agency.
The issue here pertains to the skills, knowledge, experience or expertise of the services contracted. In a situation where there is a California state civil service job classification which could logically perform the services contracted, but there is simply insufficient numbers of incumbent employees or available equipment to utilize such employees, the requirements of Government Code 19130 (b) (3) would not be met. The Personnel Officer must verify in writing that the specialized skill, knowledge, and/or experience of the firm or individual sought after in the contract or amendment are not available within civil service classifications. NOTE: Be prepared to look beyond Caltrans staff.
Example
DMV contracted for the development of a validated videotape test for the department's open Motor Vehicles Field Representative examination. State staff with the required skills were not available in the time needed.
(b) (4) The Services are incidental to a contract for the purchase or lease of real or personal property. Contracts under this criterion, known as "service agreements," shall include, but not be limited to, agreements to service or maintain office equipment or computers that are leased or rented.
Such agreements normally come with the original purchase or lease of the property or equipment. It is expected that these agreements be researched to determine if needed repair and/or maintenance services are covered under warranty in the original procurement, lease or rental documents. Any such research or evaluation will be documented by the contract manager or requester before requesting contract services.
Example
Caltrans contracts for maintenance services of rented personal computers in a newly established district office until such time as newly purchased personal computers are received.
(b) (5) The legislative, administrative, or legal goals and purposes cannot be accomplished through the utilization of persons selected pursuant to the regular civil service system. Contracts are permissible under this criterion to protect against a conflict of interest or to insure independent unbiased findings in cases where there is a clear need for a different outside perspective. These contracts shall include, but not be limited to, obtaining expert witnesses in litigation.
When preparing a request for approval under Government Code 19130 (b) (5), the request must identify in a narrative fashion the issues which make a service contract necessary. This criteria is intended to protect against a conflict of interest and to ensure independent and unbiased findings in cases where there is a clear need for a different, outside perspective. Contract requests for services will be evaluated on the merit of the issues identified in the narrative. While contracts with consulting firms are generally appropriate to conduct independent studies, such contracts shall not be approved for ongoing workload.
Example
Expert witnesses in litigation may be hired under contract to clearly free them from the conflict of interest issues that might arise if they were an employee of the agency involved in the case.
(b) (6) The nature of the work is such that the Government Code standards for emergency appointments apply. These contracts shall conform with Article 8 (commencing with Section 19288) of Chapter 2.5 of Part 2.6 of the Government Code.
Emergency appointments are defined as appointments made for a period not to exceed 60 working days either during an actual emergency to prevent the stoppage of public business or because of the limited duration of the work. References to G.C. 19888 should be made and the Personnel Officer should verify and approve that the services requested are legitimately allowed under law. When recurring work of this nature can be anticipated, however, provisions should be made to accommodate it within civil service.
**Example**
The Department of Fish & Game contracted for clerical support services. The Department was required to confirm with applicable civil service restrictions on emergency appointments. The department faced an extreme hardship in coping with an ongoing legislative program while the only trained clerical support person was on maternity leave.
(b) (7) State Agencies need private counsel because a conflict of interest on the part of the Attorney General’s Office prevents it from representing the agency without compromising its position. Such contracts shall require the written consent of the Attorney General, pursuant to Section 11040 of the Government Code.
State agencies occasionally need private counsel under contract when a conflict of interest on the part of the Attorney General’s Office prevents it from representing the agency without compromising its position. The Contract Manager/Requester should communicate with the Attorney General’s office, providing the circumstances necessitating a services contract. A consent, in writing, must be obtained from the Attorney General’s office prior to writing any contract for needed services. Both the request for consent and the A.G.’s written consent shall be provided to the Contracts Office prior to the contract being written.
**Example**
The Department of Mental Health has been sued by a client’s family for abuse by an employee of the Department. The Attorney General’s office is representing the Department in the lawsuit, and the Department’s attorneys are working with the A.G.’s office on the case. The employee involved in the case has a right to be represented by the State in the lawsuit. However, due to a conflict of interest by both the A.G.'s Office and the Department, outside counsel is hired by contract to represent the employee.
(b) (8) The Contractor will provide equipment, materials, facilities, or support services that could not feasibly be provided by the state in the location where the services are to be performed.
Contracting with firms and, in limited instances, with individuals, is permissible when the services required cannot be appropriately obtained through a civil service appointment. Contract requests for services and/or amendments must identify the specific issue which makes the provision of the services not feasible in the location where services are needed.
It should be noted that the mere presence of capital or equipment requirements does not in and of itself make contracting appropriate. Functions with such requirements that will be ongoing should remain within civil service, provided that it would be reasonable for the state to acquire the necessary facilities or equipment.
Example
A state agency might contract for envelope stuffing and mailing for a large one-time mailing that exceeded the capacity of the agency's facilities. The contract might include the use of the contractor's building and equipment for this one-time, unanticipated workload problem.
(b) (9) The contractor will conduct training courses for which appropriately qualified civil service instructors are not available, provided that permanent instructor positions in academies or similar settings shall be filled through civil service appointment.
Individual trainers may be retained under this standard when they act as independent contractors; that is, they are paid based on the product, e.g., instruction provided rather than for time worked and are not supervised as an employee by the State. Training must be the primary service provided. A contract that includes training as an incidental item or as the conclusion of a project or study, may not in and of itself be approved under this standard.
Example
DMV contracted for 30 Drug Awareness Training sessions throughout California to license Registration Examiners and Investigators.
(b) (10) The services are of such an urgent, temporary, or occasional nature that the delay incumbent in their implementation under civil service would frustrate their very purpose.
Contracts which are justified under Government Code Section 19130 (b) (10) must demonstrate and identify the specific issue which makes the provision of the contract services urgent, temporary or occasional.
An example which may address the urgency issue could be that failure to provide the needed services will result in a construction contract being stopped so that a safety issue will remain unresolved, or that the state's tort liability will be increased. The fact that project delivery might be delayed, as a stand-alone justification, would not be considered sufficient to justify urgency.
Temporary services are defined in two ways: (1) Departments will only be contracting for a period of less than six (6) months, or (2) the service or function requires less than a half-time employee. In the first case the department should justify why they are unable to obtain staff through the regular civil service system, i.e., limited term or permanent intermittent.
Note that the intention must be to assign the work to civil service employees as soon as the required staff can be recruited and assigned so these contracts will not extend longer than six (6) months. Amendments to such contracts which extend the time beyond six (6) months will not be routinely processed.
Such services must be one time or occasional in nature and it should be clear that they will not develop into an ongoing function of the agency. It should be noted that this standard should not be used merely to increase the amount of money that the State is able to pay for the services of an individual. It is appropriate to contract with firms under this standard. Contracting with individuals is appropriate only when the individual's
services cannot be retained through a civil service hiring procedure.
The use of G.C. 19130 (b) (10) as justification for contracting out of services should include a plan for meeting the required services through civil service appointments.
**Example**
Departments have been allowed to contract for janitorial services under this criteria for a short period of time while awaiting approval of their cost-savings based contract. Departments have also been given limited approval to contract for services that they are currently contracting for and SPB determines that the contract is not approvable. This has been justified by SPB based on the fact that if the department was not able to continue to contract, there would be a significant disruption to state programs. The department is usually given six months to find an alternative to contracting.
**REMINDER**
In those instances where contracting for a limited time is allowed, a plan for the provision of services in the future through the civil service system must be developed as part of the justification for contracting out.
Each and every contract entered into must be justified under Government Code 19130 (a) or (b) and must provide, in writing, documentation identifying all efforts made to use civil servants to provide services. Only after all efforts have been exhausted can the above provisions be used to justify contracting out for services. Contract requesters and managers must provide written justifications documenting the efforts made to use state staff and the justification for contracting out when state staff cannot provide or are unable to provide the necessary services. |
Expanding the complexity of cell-free systems for synthetic cells
A DISSERTATION
SUBMITTED TO THE FACULTY OF THE GRADUATE SCHOOL
OF THE UNIVERSITY OF MINNESOTA
BY
Wakana Sato
IN PARTIAL FULFILLMENT OF THE REQUIREMENTS
FOR THE DEGREE OF
DOCTOR OF PHILOSOPHY
Advisor
Prof. Katarzyna P. Adamala
January 2023
© 2023
Wakana Sato
ALL RIGHTS RESERVED
Acknowledgement
Words cannot express my gratitude to my supervisor, Prof. Kate Adamala, for guiding me through my Ph.D. study. She recognized my enthusiasm for synthetic biology and welcomed me as her lab member. She encouraged me to work on projects that simultaneously cover my interest and expand my scientific viewpoints. I am extremely grateful for her believing in my potential, encouraging, and always understanding. I would also like to express my deepest gratitude to my thesis committee, Prof. Michael J. Smanski, Prof. Michael F. Freeman, and Prof. Vincent Noireaux, who generously provided influential expertise and encouraging feedback. Additionally, this endeavor would not have been possible without the generous support from the Funai Foundation for Information Technology, who financed my research.
I could not have undertaken this journey without all the members of the Adamala and Engelhart labs. They generously provided me with experimental supports, editing supports, and insightful feedback. Their welcoming atmosphere made me feel comfortable being a lab member. I would specifically like to acknowledge Prof. Aaron Engelhart, Melanie Rasmussen, Dr. Nathaniel Gaut, Judee Sharon, and Evan Kalb, all of whom allowed my thesis projects to be successful with their guidance, insights, and experiments.
Lastly, I would like to mention my family and friends who have supported me along my Ph.D. journey. My mother Hiromi Sato’s lifelong understanding and encouragement have been extremely appreciated. I could not continue my study without knowing she believes in my success and that I always have a place to be back whenever I need. I would like to express my heartfelt gratitude to my individual friends for their encouragement, empowering, and listening to me.
Cell-Free Protein Synthesis (CFPS) harnesses transcription and translation machinery without the extremely complicated cellular metabolism. Because of its versatility for constructing gene-based biological reactions, CFPS has become a great platform not only for fundamental biology, biotechnology, and biomedical research but also for synthetic biology to build synthetic cells. *Escherichia coli* (*E. coli*) CFPS uses *E. coli* lysate as a source of enzymes for protein production. Although *E. coli* CFPS has advantages in yield, cost, and preparation simplicity, the background reactions derived from the lysate make it challenging to reconstitute various cellular-like functions. In this dissertation, three drawbacks of *E. coli* CFPS were improved. Firstly, using a $\Delta$recB *E. coli* strain significantly improved the protein expression efficiency from linear templates, allowing the faster preparation of gene templates using PCR rather than cloning. Secondly, new luciferase variants were introduced. With a substrate regeneration pathway, a longer-time luminescence was achieved. Finally, gene expression control using anti-oligonucleotides was explored, showing targeted gene inhibitions. Although the products of this dissertation did not solve all the limitations associated with *E. coli* CFPS, those methods moved CFPS a step forward to a fully controllable system for developing further complicated cell-free tools for synthetic biology.
# Contents
Acknowledgement ........................................................................................................... i
Abstract .......................................................................................................................... ii
Contents ......................................................................................................................... iii
List of Tables .................................................................................................................. ix
List of Figures ............................................................................................................... x
List of Abbreviations ...................................................................................................... xiii
Chapter 1 – Background: Cell-free protein synthesis for synthetic biology .................... 1
1.1 Introduction ............................................................................................................. 1
1.2 Cell-free protein synthesis (CFPS) ........................................................................ 2
1.2.1 Lysate-based CFPS systems ........................................................................... 3
1.2.2 Protein synthesis Using Recombinant Elements (PURE) ............................... 5
1.3 CFPS for building synthetic cells .......................................................................... 6
1.4 CFPS applications in other research ..................................................................... 7
1.5 Speculations ......................................................................................................... 10
1.6 Research aims ...................................................................................................... 11
1.6.1 CFPS specialized for linear templates: Chapter 2 ........................................... 11
1.6.2 Expanding luciferase reporter systems: Chapter 3 ........................................ 12
1.6.3 Gene regulation using short oligonucleotides: Chapter 4 ............................... 12
1.7 Table ..................................................................................................................... 14
Table 1 Comparison of types of CFPS ..................................................................... 14
Chapter 2 – *E. coli* TXTL for linear DNA template ....................................................... 16
2.1 Copyright Information .......................................................................................... 16
2.2 Introduction .......................................................................................................... 16
2.3 Results and discussion .......................................................................................... 19
2.3.1 *recB* disruption in *E. coli* ........................................................................... 19
2.3.2 Akaby TXTL increased eGFP fluorescence from linear templates eGFP .... 19
2.3.3 The abundance of mRNA from linear templates are increased in Akaby TXTL 21
2.3.4 Stability of short oligonucleotides without RBS in TXTL improves in Akaby 22
2.3.5 Protein expression from PCR amplified products ........................................ 22
2.4 Discussion and conclusion ................................................................................... 23
2.5 Materials and methods .......................................................................................... 24
2.5.1 *recB* mutagenesis in *E. coli* ........................................................................ 24
2.5.2 Cell extract preparation and TXTL reaction conditions ............................... 25
2.5.3 Relative comparison of transcripts with Reverse Transcription-quantitative Polymerase Chain Reaction (RT-qPCR) ................................................................. 26
2.5.4 Short DNA fragment preparation ................................................................. 28
2.5.5 PCR amplified eGFP and FLuc expression .......................................................... 28
2.6 Figures ......................................................................................................................... 29
Figure 1 Overview of the recB knockout experiment .................................................. 29
Figure 2 eGFP expression comparison between Akaby, Rosetta 2, and NEB5α TXTL 31
Figure 3 eGFP expression and mRNA abundance in Akaby and Rosetta 2 TXTL at 0, 1, 4, and 8 hours incubation ........................................................................................................... 33
Figure 4 Short DNA stabilities and the abundance of its mRNA in Akaby, Rosetta 2, and NEB5α TXTL at 4 and 8 hours incubation ........................................................................................................... 34
Figure 5 Protein expression from PCR amplified genes in Akaby, Rosetta 2, and NEB5α TXTL ................................................................................................................................. 35
2.7 Acknowledgements ..................................................................................................... 37
Chapter 3 – Luciferase systems for *E. coli* TXTL ....................................................... 38
3.1 Copyright Information .................................................................................................. 38
3.2 Introduction .................................................................................................................. 38
3.3 Results and Discussions .............................................................................................. 39
3.3.1 New luciferase-substrate systems for TXTL .................................................... 39
3.3.2 Substrate specificities among different luciferase systems .............................. 40
3.3.3 Substrate regeneration with LuxABCDE-Fre system. ........................................ 41
3.3.4 TXTL with reduced metabolic load on host cells. ............................................ 42
3.3.5 The capacity for reporter gene fusions. ............................................................... 43
3.3.6 Optimization of the HiBiT-LgBiT system for TXTL .......................................... 44
3.4 Summary and perspectives .......................................................................................... 44
3.5 Materials and methods ................................................................................................. 45
3.5.1 TXTL reactions ..................................................................................................... 45
3.5.2 Western blot analysis ............................................................................................. 46
3.5.3 Luciferase assays .................................................................................................... 46
3.5.4 eGFP fluorescence measurements ....................................................................... 48
3.5.5 RT-qPCR ................................................................................................................ 49
3.5.6 Cloning ................................................................................................................... 50
3.6 Figures ........................................................................................................................ 53
Figure 6 Characterization of H3H-Lux and LuxAB-Fre luciferase systems in TXTL .... 53
Figure 7 Characterization of substrate specificities ....................................................... 55
Figure 8 Substrate regeneration system with LuxABCDE-Fre ....................................... 57
Figure 9 H3H-Luz tested with metabolic burden-reduced TXTL ................................ 59
Figure 10 Luz’s capacity as reporter gene fusions ......................................................... 60
Figure 11 Demonstration of the use of HiBiT reporter system in TXTL ..................... 61
3.7 Acknowledgements ..................................................................................................... 62
Chapter 4 – Gene expression control technology for *E. coli* TXTL ............................. 63
4.1 Copyright Information ................................................................. 63
4.2 Introduction ............................................................................. 63
4.3 Results and Discussion .............................................................. 64
4.3.1 Characterization of silencing oligos in cell-free systems ........... 64
4.3.2 Investigation on the 2OMe-oligo working mechanism ................ 67
4.3.3 RNase H involvement in 2OMe-oligo inhibition .......................... 68
4.3.4 tmRNA involvement in 2OMe-oligo inhibition ............................ 70
4.3.5 The 2OMe-oligo silencing mechanism in TXTL .......................... 71
4.3.6 Transfection in synthetic cells .................................................. 72
4.3.7 Gene silencing in synthetic cells ............................................... 74
4.4 Summary and perspectives ....................................................... 75
4. Materials and methods ............................................................... 75
4.5.1 Materials ............................................................................. 75
4.5.2 Cell extract preparation ......................................................... 76
4.5.3 TXTL reaction set up ........................................................... 76
4.5.4 Hina HI and Hina III strains construction and cell extract preparation. 77
4.5.5 PURE reaction set up ........................................................... 78
4.5.6 Fluorescence measurement .................................................... 78
4.5.7 qPCR .................................................................................. 78
4.5.8 Western blot ....................................................................... 79
4.5.9 Transfection experiments ...................................................... 80
4.5.10 Relative expression calculation ............................................. 80
4.6 Figures ..................................................................................... 82
Figure 12 eGFP expression with different silencing oligos in cell-free systems .... 82
Figure 13 Investigations of 2OMe-oligos’ gene silencing mechanism ............ 85
Figure 14 Transfection in synthetic cells ............................................. 87
Figure 15 Gene silencing in synthetic cells .......................................... 89
4.7 Acknowledgments .................................................................. 91
Chapter 5 – Future prospective of synthetic cell in medicinal applications .......... 92
5.1 Copyright Information ............................................................... 92
5.2 Introduction ............................................................................. 92
5.3 Composition and structure ....................................................... 95
5.4 Applications of synthetic cells .................................................. 97
5.4.1 Directed localization .......................................................... 97
5.4.2 Sense and respond ............................................................ 99
5.4.3 Gene expression ............................................................... 101
5.4.4 Metabolism ...................................................................... 102
5.4.5 High stability ................................................................. 105
5.5 Challenges facing synthetic cell therapeutics .................. 106
5.6 Discussion and outlook ..................................................... 109
5.7 Figures .............................................................................. 110
Figure 16 Comparison of synthetic cells to other drug delivery systems ............... 110
Figure 17 Life-like functions of synthetic cells in nanomedicine. ........................... 111
Figure 18 Barriers to synthetic cell (SC) use in nanomedicine. .............................. 112
Chapter 6 – Full list of author’s publications .......................... 113
Chapter 7 - Bibliography .......................................................... 115
Chapter 8 - Appendices and supplementary information .......... 140
8.1 Supplemental figures ....................................................... 140
Figure S1 eGFP expression and mRNA abundance in Akaby and Rosetta 2 TXTL with T7 promoter templates .......................................................... 140
Figure S2 eGFP expression and mRNA abundance in Akaby and Rosetta 2 TXTL with GamS supplementation .......................................................... 142
Figure S3 DNA abundance after DNase treatment ............................................ 143
Figure S4 The short DNA fragment stability and its mRNA abundance with GamS supplementation .......................................................... 144
Figure S5 DNA abundance after DNase treatment in the short DNA fragment stability test .......................................................... 145
Figure S6 Luminescence measurements with emission filters .......................... 146
Figure S7 Background signals of the substrate specificity assay ...................... 148
Figure S8 Western blot gels from the substrate specificity reactions ................ 149
Figure S9 Western blot of Fre ........................................................................ 151
Figure S10 Luminescence kinetics measurement with octanaldehyde ............. 152
Figure S11 The proposed fungi luciferase substrate regeneration pathway ....... 153
Figure S12 Luz mRNA abundance in TXTL .................................................. 154
Figure S13 Luz protein abundance in TXTL .................................................. 155
Figure S14 Luz-fusion gel image ..................................................................... 156
Figure S15 Fluorescence generated from eGFP-luciferase fusion proteins (Luz) with extended GS-linker .......................................................... 157
Figure S16 LuxA and LuxB capability as fusion proteins .................................. 158
Figure S17 Western blot of LuxA- and LuxB-fusion proteins ............................ 159
Figure S18 Fluorescence generated from eGFP-luciferase fusion proteins (LuxA and LuxB) with extended GS-linker .......................................................... 160
Figure S19 Western blot of HiBiT-fusion proteins ........................................... 161
Figure S20 HiBiT-eGFP mRNA abundance in TXTL ..................................... 162
Figure S21 HiBiT-eGFP fusion protein abundance in TXTL ............................. 163
Figure S22 Fungal enzymes (NPGA and Hisps) expression in TXTL ............... 164
| Figure S23 | CPH expression in TXTL | 165 |
|-----------|------------------------|-----|
| Figure S24 | The result of caffeic acid conversion assay 1 | 166 |
| Figure S25 | The result of caffeic acid conversion assay 2 | 167 |
| Figure S26 | Original blots used in Fig. S8 | 169 |
| Figure S27 | eGFP sequence map with silencing oligo binding positions | 171 |
| Figure S28 | Silencing oligos’ eGFP inhibition activity in TXTL + GamS | 172 |
| Figure S29 | Silencing oligos’ eGFP inhibition activity in Akaby TXTL | 173 |
| Figure S30 | Other silencing oligo designs that tested | 174 |
| Figure S31 | Various ratios of plasmid and oligo tested with 2OMe-oligo | 176 |
| Figure S32 | Various ratios of plasmid and oligo tested with dumbbell-oligo | 177 |
| Figure S33 | qPCR measurement of eGFP mRNA in TXTL, at 2, 4, and 8 hours | 178 |
| Figure S34 | qPCR measurement of eGFP mRNA in PURE, at 2, 4, and 8 hours | 179 |
| Figure S35 | The effect of excess amount of RNase H supplementation in Akaby TXTL with silencing oligos | 180 |
| Figure S36 | Colony PCR to confirm successful Hina III and Hina HI engineering | 181 |
| Figure S37 | ELISA assay for detecting His-tagged proteins in TXTL | 182 |
| Figure S38 | Western blotting of ΔRNase HI TXTL reactions | 183 |
| Figure S39 | Gene silencing mechanism of 2OMe-oligo | 185 |
| Figure S40 | 2OMe-oligo inhibition in eGFP expression in ΔRNase III TXTL | 186 |
| Figure S41 | Western blotting image of eGFP expression in ΔRNase III TXTL with anti-ssrA oligo | 187 |
| Figure S42 | Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes | 189 |
| Figure S43 | Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes | 190 |
| Figure S44 | Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes | 191 |
| Figure S45 | Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes | 192 |
| Figure S46 | Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes | 193 |
| Figure S47 | Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes | 194 |
| Figure S48 | Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes | 195 |
| Figure S49 | Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes | 196 |
| Figure S50 | Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes | 197 |
| Figure S51 | eGFP fluorescence of TXTL reactions shown in Fig. 12d | 198 |
| Figure S52 | eGFP fluorescence of TXTL reactions shown in Fig. 12e | 199 |
|-----------|------------------------------------------------------|-----|
| Figure S53 | eGFP and mCherry fluorescence of TXTL reactions shown in Fig. 12f | 200 |
| Figure S54 | eGFP fluorescence of TXTL reactions shown in Fig. 12h | 201 |
| Figure S55 | eGFP fluorescence of TXTL reactions shown in Fig. 12i | 202 |
| Figure S56 | eGFP fluorescence of TXTL reactions shown in Fig. 12k | 203 |
| Figure S57 | eGFP fluorescence of TXTL reactions shown in Fig. 12l | 204 |
| Figure S58 | eGFP fluorescence of TXTL reactions shown in Fig. 13b and d | 205 |
| Figure S59 | eGFP fluorescence of TXTL reactions shown in Fig. 13f, g, and h | 206 |
| Figure S60 | Original blot image shown in Fig. 13i | 207 |
| Figure S61 | Transfection experiments using Diamond Dye lysis assay, three top performing transfection reagents, DNA payload | 208 |
8.1 Supplemental tables
- Table S1 Oligonucleotide sequences used in chapter 2 | 210
- Table S2 Plasmids used in chapter 2 | 213
- Table S3 Primer sequences used in chapter 3 | 214
- Table S4 Gene sequences used in chapter 3 | 216
- Table S5 Cloned plasmids used in chapter 3 | 224
- Table S6 Silencing oligo sequences | 225
- Table S7 Initial transfection reagents test with POPC/cholesterol liposomes | 227
- Table S8 Primer sequences used in chapter 4 | 228
- Table S9 Gene sequences used in chapter 4 | 229
8.3 Supplemental experiments
- Efforts to engineer the fungi luciferase substrate regeneration pathway | 231
8.4 Copyright permissions
- 8.4.1 Akaby—Cell-free protein expression system for linear templates | 233
- 8.4.2 Expanding luciferase reporter systems for cell-free protein expression | 233
- 8.4.3 Synthetic cells in biomedical applications | 233
List of Tables
Table 1 Comparison of types of CFPS ................................................................. 14
Table S1 Oligonucleotide sequences used in chapter 2 ........................................... 210
Table S2 Plasmids used in chapter 2 ....................................................................... 213
Table S3 Primer sequences used in chapter 3 ......................................................... 214
Table S4 Gene sequences used in chapter 3 ............................................................ 216
Table S5 Cloned plasmids used in chapter 3 ............................................................ 224
Table S6 Silencing oligo sequences ........................................................................ 225
Table S7 Initial transfection reagents test with POPC/cholesterol liposomes .......... 227
Table S8 Primer sequences used in chapter 4 .......................................................... 228
Table S9 Gene sequences used in chapter 4 ............................................................ 229
List of Figures
Figure 1 Overview of the recB knockout experiment ................................................................. 29
Figure 2 eGFP expression comparison between Akaby, Rosetta 2, and NEB5α TXTL ........... 31
Figure 3 eGFP expression and mRNA abundance in Akaby and Rosetta 2 TXTL at 0, 1, 4, and 8 hours incubation .............................................................................................................. 33
Figure 4 Short DNA stabilities and the abundance of its mRNA in Akaby, Rosetta 2, and NEB5α TXTL at 4 and 8 hours incubation .................................................................................. 34
Figure 5 Protein expression from PCR amplified genes in Akaby, Rosetta 2, and NEB5α TXTL ............................................................................................................................................. 35
Figure 6 Characterization of H3H-Lux and LuxAB-Fre luciferase systems in TXTL ............ 53
Figure 7 Characterization of substrate specificities .................................................................. 55
Figure 8 Substrate regeneration system with LuxABCDE-Fre .................................................. 57
Figure 9 H3H-Luz tested with metabolic burden-reduced TXTL ........................................... 59
Figure 10 Luz’s capacity as reporter gene fusions ..................................................................... 60
Figure 11 Demonstration of the use of HiBiT reporter system in TXTL ............................... 61
Figure 12 eGFP expression with different silencing oligos in cell-free systems .................... 82
Figure 13 Investigations of 2OMe-oligos’ gene silencing mechanism ..................................... 85
Figure 14 Transfection in synthetic cells .................................................................................. 87
Figure 15 Gene silencing in synthetic cells ............................................................................... 89
Figure 16 Comparison of synthetic cells to other drug delivery systems ............................... 110
Figure 17 Life-like functions of synthetic cells in nanomedicine ............................................ 111
Figure 18 Barriers to synthetic cell (SC) use in nanomedicine ................................................ 112
Figure S1 eGFP expression and mRNA abundance in Akaby and Rosetta 2 TXTL with T7 promoter templates .................................................................................................................. 140
Figure S2 eGFP expression and mRNA abundance in Akaby and Rosetta 2 TXTL with GamS supplementation .............................................................................................................. 142
Figure S3 DNA abundance after DNase treatment .................................................................. 143
Figure S4 The short DNA fragment stability and its mRNA abundance with GamS supplementation ................................................................................................................................. 144
Figure S5 DNA abundance after DNase treatment in the short DNA fragment stability test .................................................................................................................................................. 145
Figure S6 Luminescence measurements with emission filters ................................................ 146
Figure S7 Background signals of the substrate specificity assay ............................................. 148
Figure S8 Western blot gels from the substrate specificity reactions ...................................... 149
Figure S9 Western blot of Fre .................................................................................................... 151
Figure S10 Luminescence kinetics measurement with octanaldehyde .................................. 152
Figure S11 The proposed fungi luciferase substrate regeneration pathway ............................. 153
Figure S12 Luz mRNA abundance in TXTL .......................................................................... 154
Figure S13 Luz protein abundance in TXTL .......................................................................... 155
Figure S14 Luz-fusion gel image .............................................................................................. 156
| Figure S15 | Fluorescence generated from eGFP-luciferase fusion proteins (Luz) with extended GS-linker | 157 |
|-----------|------------------------------------------------------------------------------------------|-----|
| Figure S16 | LuxA and LuxB capability as fusion proteins | 158 |
| Figure S17 | Western blot of LuxA- and LuxB-fusion proteins | 159 |
| Figure S18 | Fluorescence generated from eGFP-luciferase fusion proteins (LuxA and LuxB) with extended GS-linker | 160 |
| Figure S19 | Western blot of HiBiT-fusion proteins | 161 |
| Figure S20 | HiBiT-eGFP mRNA abundance in TXTL | 162 |
| Figure S21 | HiBiT-eGFP fusion protein abundance in TXTL | 163 |
| Figure S22 | Fungal enzymes (NPGA and Hisps) expression in TXTL | 164 |
| Figure S23 | CPH expression in TXTL | 165 |
| Figure S24 | The result of caffeic acid conversion assay 1 | 166 |
| Figure S25 | The result of caffeic acid conversion assay 2 | 167 |
| Figure S26 | Original blots used in Fig. S8 | 169 |
| Figure S27 | eGFP sequence map with silencing oligo binding positions | 171 |
| Figure S28 | Silencing oligos’ eGFP inhibition activity in TXTL + GamS | 172 |
| Figure S29 | Silencing oligos’ eGFP inhibition activity in Akaby TXTL | 173 |
| Figure S30 | Other silencing oligo designs that tested | 174 |
| Figure S31 | Various ratios of plasmid and oligo tested with 2OMe-oligo | 176 |
| Figure S32 | Various ratios of plasmid and oligo tested with dumbbell-oligo | 177 |
| Figure S33 | qPCR measurement of eGFP mRNA in TXTL, at 2, 4, and 8 hours | 178 |
| Figure S34 | qPCR measurement of eGFP mRNA in PURE, at 2, 4, and 8 hours | 179 |
| Figure S35 | The effect of excess amount of RNase H supplementation in Akaby TXTL with silencing oligos | 180 |
| Figure S36 | Colony PCR to confirm successful Hina III and Hina HI engineering | 181 |
| Figure S37 | ELISA assay for detecting His-tagged proteins in TXTL | 182 |
| Figure S38 | Western blotting of ΔRNase HI TXTL reactions | 183 |
| Figure S39 | Gene silencing mechanism of 2OMe-oligo | 185 |
| Figure S40 | 2OMe-oligo inhibition in eGFP expression in ΔRNase III TXTL | 186 |
| Figure S41 | Western blotting image of eGFP expression in ΔRNase III TXTL with anti-ssrA oligo | 187 |
| Figure S42 | Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes | 189 |
| Figure S43 | Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes | 190 |
| Figure S44 | Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes | 191 |
| Figure S45 | Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes | 192 |
|-----------|---------------------------------------------------------------------------------------------|-----|
| Figure S46 | Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes | 193 |
| Figure S47 | Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes | 194 |
| Figure S48 | Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes | 195 |
| Figure S49 | Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes | 196 |
| Figure S50 | Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes | 197 |
| Figure S51 | eGFP fluorescence of TXTL reactions shown in Fig. 12d | 198 |
| Figure S52 | eGFP fluorescence of TXTL reactions shown in Fig. 12e | 199 |
| Figure S53 | eGFP and mCherry fluorescence of TXTL reactions shown in Fig. 12f | 200 |
| Figure S54 | eGFP fluorescence of TXTL reactions shown in Fig. 12h | 201 |
| Figure S55 | eGFP fluorescence of TXTL reactions shown in Fig. 12i | 202 |
| Figure S56 | eGFP fluorescence of TXTL reactions shown in Fig. 12k | 203 |
| Figure S57 | eGFP fluorescence of TXTL reactions shown in Fig. 12l | 204 |
| Figure S58 | eGFP fluorescence of TXTL reactions shown in Fig. 13b and d | 205 |
| Figure S59 | eGFP fluorescence of TXTL reactions shown in Fig. 13f, g, and h | 206 |
| Figure S60 | Original blot image shown in Fig. 13i | 207 |
| Figure S61 | Transfection experiments using Diamond Dye lysis assay, three top performing transfection reagents, DNA payload | 208 |
| Figure S62 | Transfection experiments using Diamond Dye lysis assay, three top performing transfection reagents, RNA payload | 209 |
| Abbreviation | Definition |
|--------------|------------|
| 3-PGA | 3-Phosphoglyceric acid |
| 2OMe-oligo | Short oligonucleotides contains 2'-O-methylated RNA on both sides |
| AAA+ | ATPases associated with diverse cellular activities |
| aaRS | Aminoacyl-tRNA synthetase |
| ATP | Adenosine 5'-triphosphate |
| cAMP | Cyclic AMP, adenosine 3',5'-cyclic monophosphate |
| CFPE | Cell-free protein expression |
| CFPS | Cell-free protein synthesis |
| CPH | Caffeylpyruvate hydrolase from *Neonothopanus nambi* |
| Cq | Quantification cycle, indicates the position of the amplification curve with respect to the cycle axis |
| CRISPR | Clustered regularly interspaced short palindromic repeats |
| C-term | C-terminus |
| CTP | Cytidine 5'-triphosphate |
| DBTL | Design-build-test-learn |
| dGUV | Droplet-stabilized giant unilamellar vesicle |
| DMSO | Dimethylsulfoxide |
| DNA | Deoxyribonucleic acid |
| DNAzymes | Deoxyribozyme |
| dNTP | Deoxynucleotide triphosphates |
| DOPE | 1,2-Dioleoyl-sn-glycero-3-phosphatidylethanolamine |
| DOSPA | 2,3-Dioleyloxy-N-[2(sperminecarboxamido)-ethyl]-N,N-dimethyl-1-propanaminium trifluoroacetate |
| Abbreviation | Description |
|--------------|-------------|
| DTT | Dithiothreitol |
| Dumbbell-oligo | DNA oligonucleotides with hairpin loops on both sides |
| *E. coli* | *Escherichia coli* |
| EDTA | Ethylenediaminetetraacetic acid |
| eGFP | Enhanced green fluorescent protein |
| EPR | Enhanced permeability and retention |
| FDA | Food and drug administration |
| FLuc | Firefly luciferase |
| FMN | Flavin mononucleotide |
| FMNH₂ | Reduced form of flavin mononucleotide |
| FMN-Na | Riboflavin 5'-phosphate sodium |
| Fre | NAD(P)H-flavin reductase from *Escherichia coli* |
| GS-linker | A flexible linker (GGGGS) |
| GTP | Guanosine-5'-triphosphate |
| H3H | hispidin-3-hydroxylase from *Neonothopanus nambi* |
| H3H-Luz | A fungal luciferase reaction consists of *Neonothopanus nambi* (N. nambi) luciferase (Luz) and *N. nambi* hispidin-3-hidroxylase (H3H) |
| HEPES | 4-(2-hydroxyethyl)-1-piperazineethanesulfonic acid |
| HiBiT | Peptide consists of 11 amino acids, derived from C-terminus of Nano luciferase |
| Hisps | Hispidin synthase from *Neonothopanus nambi* |
| His-tag | Histidine tag |
| IPTG | Isopropyl β-D-1-thiogalactopyranoside |
| IVTT | In vitro transcription-translation |
| KmR | Kanamycin resistant gene |
| Term | Description |
|------------|-----------------------------------------------------------------------------|
| LgBiT | 18 kDa subunit derived from N-terminus of Nano luciferase |
| LuxAB | Bacterial luciferase complex |
| LuxAB-Fre | Bacterial luciferase reaction consists of bacterial luciferase complex (LuxAB) and NAD(P)H-flavin reductase (Fre) |
| LuxCDE | A protein complex that reduces long-chain fatty acids into corresponding long-chain fatty aldehydes. Encoded in the luxABCDE operon. |
| Luz | Luciferase from *Neonothopanus nambi* |
| MgCl$_2$ | Magnesium chloride |
| mRNA | Messenger RNA |
| MscL | Large conductance mechanosensitive ion channel |
| *N. nambi* | *Neonothopanus nambi* |
| NAD | Nicotinamide adenine dinucleotide |
| NADH | Nicotinamide adenine dinucleotide + hydrogen |
| NADPH | Reduced nicotinamide adenine dinucleotide phosphate |
| NanoLuc | Nano luciferase |
| Ni-NTA | Nitrilotriacetic acid |
| NPGA | 4′-phosphopantetheinyl transferase from *Aspergillus nidulans* |
| NTC | No template control |
| N-term | N-terminus |
| OD | Optical density |
| PCR | Polymerase chain reaction |
| PEG | Polyethylene glycol |
| PMT | Photomultiplier tubes |
| POPC | Phosphatidylcholine |
| Acronym | Description |
|---------|-------------|
| PURE | Protein synthesis using recombinant elements |
| qPCR | Quantitative polymerase chain reaction |
| R&D | Research and development |
| RBCs | Red blood cells |
| RES | Reticuloendothelial system |
| RLuc | Renilla luciferase |
| RNA | Ribonucleic acid |
| RT-qPCR | Reverse transcription-quantitative polymerase chain reaction |
| SCs | Synthetic cells |
| SDS | Sodium dodecyl sulfate |
| SDS-page| Sodium dodecyl sulfate–polyacrylamide gel electrophoresis |
| sfGFP | Superfolder green fluorescent protein |
| SNARE | Soluble N-ethylmaleimide-sensitive factor activating protein receptor |
| SOB | Super optimal broth |
| SOC | Super optimal broth with catabolite repression |
| TBST | Tris buffer saline tween-20 |
| tmRNA | Transfer-messenger RNA |
| Tris | Tris(hydroxymethyl)aminomethane |
| tRNA | Transfer RNA |
| TXTL | Transcription-translation |
| UAAs | Unnatural amino acids |
| UTP | Uridine-5'-triphosphate |
| YPTG | Yeast peptone tryptone glucose |
| $\lambda_{em}$ | Emission wavelength |
| $\lambda_{ex}$ | Excitation wavelength |
Chapter 1 – Background: Cell-free protein synthesis for synthetic biology
1.1 Introduction
Synthetic biology is a rapidly growing scientific field. It aims to engineer controllable biological systems through the assembly of natural and unnatural components, with the ultimate goal of building complex systems into specific hosts or creating synthetic cells\textsuperscript{12}. The progress of the field is anticipated to transform into diverse applications, such as biomanufacturing, healthcare, food production, sustainable energy, and environmental remediation\textsuperscript{34}.
One way to understand cellular machinery is by removing unnecessary parts from a cell, called the top-down approach. The most prominent example of the top-down approach is JCVI-syn3.0, a synthetic minimal bacteria derived from mycoplasmas. In 2010 researchers successfully replaced the genome of \textit{Mycoplasma capricolum} with the chemically synthesized \textit{Mycoplasma mycoides} genome, creating an organism called JCVI-syn1.0, capable of growth and self-replication with only 901 genes\textsuperscript{5}. This bacterial cell, containing a fully artificial genome, became the ideal platform for analyzing essential gene functions. In an effort to identify a minimal set of genes required for cell survival, researchers successfully removed nonlethal genes from JCVI-syn1.0, resulting in the creation of JCVI-syn3.0 that possesses a genome smaller than any autonomously replicating cells found in nature, with 473 genes\textsuperscript{6}. Although JCVI-syn3.0 is the bacterial cell closest to the ideal synthetic minimal cells, JCVI-syn3.0 still contains 149 genes with unknown functions. The next steps on this pathway to fully defined minimal life would be the continuous characterization of the genes of unknown functions and minimizing the
genome until it reaches a truly minimal cell, consisting of only genes with fully known function. Such work is ongoing\textsuperscript{7}.
Contrary to the top-down approach, the bottom-up approach allows researchers to avoid natural complexity. The bottom-up approach takes simple building blocks of biology, assembles subsystems from those parts, and then builds into new, more complex systems\textsuperscript{8}. For such bottom-up synthetic biology, an open-environment cell-free protein synthesis (CFPS) is acknowledged to be the best protein production platform. CFPS consists of simplified biochemical reactions that operate some of the cellular functions, most importantly the central dogma, while retaining room to add/remove components to modulate the reaction\textsuperscript{4}. Since CFPS had come to be used for novel biological process constructions\textsuperscript{9}, CFPS technology has continuously contributed to expanding the field of synthetic biology.
1.2 Cell-free protein synthesis (CFPS)
Cell-free protein synthesis (CFPS) is an \textit{in vitro} protein expression system, also called Transcription-Translation (TXTL), Cell-Free Protein Expression (CFPE), or In Vitro Transcription-Translation (IVTT). The use of cell lysate or purified enzymes enables CFPS to harness the cellular machinery of transcription and translation\textsuperscript{10}. Target proteins can be synthesized from natural and synthetic DNA within several hours of incubation, while cell-based protein production takes days to weeks. Because CFPS is an open reaction (without cell membranes), direct manipulation of the reaction is possible. This led CFPS to become a preferred method for experimental approaches within synthetic biology, protein engineering, metabolic engineering, and molecular biology tool development.
1.2.1 Lysate-based CFPS systems
Cell lysate, a mixture of active biological molecules, is capable of performing metabolic reactions, including transcription and translation. Lysate-based CFPSs had become a great platform to produce proteins since their invention in the 1940s-1950s, followed by extensive characterizations and optimization. In lysate-based CFPSs, cells are opened up and harvested unpurified enzymes are employed for protein synthesis. The lysate-based CFPS is considered lower cost, higher yield, and less labor than another CFPS system made from all purified enzymes, called Protein synthesis Using Recombinant Element (PURE) system (see section 1.2.2. Protein synthesis Using Recombinant Elements (PURE).) Various organism-based CFPSs have been developed from prokaryotes and eukaryotes\textsuperscript{11}. While prokaryotic systems are the most productive and easy to prepare, eukaryotic systems have advantages for producing complex proteins, especially with modifications not found in bacteria\textsuperscript{12}. This thesis focused on developing \textit{Escherichia coli} (\textit{E. coli}) CFPS, taking advantage of its high capacity to manipulate the reactions, easiness of growing, and high protein yield. The comparison of other organisms' lysate-based CFPSs can be found in Table 1.
History of lysate-based CFPS development
Lysate-based CFPSs were first established in the 1940s-1950s. The researchers conducted CFPS using lysates from various organisms to address the question of how amino acids are incorporated into proteins, the mechanism of the central dogma\textsuperscript{13}. Examples of cells used during this period were rat liver cells\textsuperscript{14}, bacterial cells (\textit{Staphylococcus aureus}\textsuperscript{15} and \textit{E. coli}\textsuperscript{16}), rabbit reticulocytes\textsuperscript{17}, and mouse ascites cells\textsuperscript{18}. Early preparation methods did not eliminate mRNA; the synthesized proteins were mostly from endogenous mRNA. As reconstituting steps of protein synthesis, exogenous mRNA was used first\textsuperscript{19}, then using exogenous DNA with purified RNA polymerase
became the standard\textsuperscript{20}. To transcribe DNA into mRNA, \textit{E. coli} RNA polymerases were initially used\textsuperscript{21}, followed by the realization that the coupled transcription-translation system using different RNA polymerases, such as SP6\textsuperscript{22} or T7\textsuperscript{23} RNA polymerases, produces a larger amount of mRNA, increasing the protein yield and making the reaction more robust. Nowadays, a T7 RNA polymerase coupled system is the most popular \textit{E. coli} CFPS platform\textsuperscript{24}.
**Current protein synthetic capacity of \textit{E. coli} CFPS**
The deepened understanding through the lysate-based CFPS optimization has increased the versatility of CFPS\textsuperscript{25}. A robust protocol for \textit{E. coli} CFPS invented in 1973 has become the first standard, and further optimization enabled researchers to use more highly efficient and easy-to-prepare protocols, such as the protocols reported by Sun. et al.\textsuperscript{26} and Kwon et al.\textsuperscript{27} Currently, with the most straightforward setup called the “batch mode” reaction, \textit{E. coli} CFPS can produce 4 mg/ml of eGFP\textsuperscript{28}. Continuous CFPS gives the advantage of maintaining the levels of small molecules by replenishing energy sources and amino acids and removing inhibitory by-products\textsuperscript{11}. Semi-continuous synthetic cell setting of \textit{E. coli} CFPS produces >8 mg/ml of eGFP\textsuperscript{28}; this system placed α-hemolysin on the membrane to feed and remove chemicals. The continuous CFPS protocols from various organisms are available in addition to \textit{E. coli}\textsuperscript{29}, like wheat germ\textsuperscript{30} and insect cells\textsuperscript{31}.
For the CPFSs’ industrial application, the effort to lower the cost of the reaction is inevitable. One of the most widely used \textit{E. coli} CFPS protocols by Sun et al. reported a reaction cost of $0.011 /μl producing 0.75 mg/ml of GFP ($14.7 /mg of GFP)\textsuperscript{26}. Another example, which further reduced the cost, used fructose 1,6 bisphosphate as an energy source and produced $0.5 /mg of proteins\textsuperscript{32}. The reaction volume was also challenged
for industrial-scale production, demonstrating *E. coli* CFPS’s linear scalability in volumes to 100 liters reaction.\textsuperscript{33,34}
Additionally, researchers invented various strategies to improve yields by targeting specific components in the reaction: The *E. coli* strain lacking RNase I (\(\Delta\)rna) (MRE600) was used to stabilize RNA\textsuperscript{35}; The *E. coli* strain lacking the genes associated with the amino acid instability was used to stabilize amino acids\textsuperscript{36}; DNA nucleases were removed from the reaction to stabilize linear DNA\textsuperscript{37–39}. One of the projects in this thesis, described in Chapter 2, was also within the effort to stabilize linear DNA in the CFPS reaction (See Chapter 2.)
\subsection*{1.2.2 Protein synthesis Using Recombinant Elements (PURE)}
The PURE system, the reconstituted minimal protein translation machinery from *E. coli*, was first developed by the Ueda group\textsuperscript{40}. The system consists of purified enzymes: 20 aminoacyl tRNA synthetases, ribosome, 3 initiation factors (IF1, IF2, IF3), 3 elongation factors (EF-G, EF-Tu, EF-Ts), 3 release factors (RF1, RF2, RF3), ribosome recycling factor, myokinase, creatine kinase, nucleoside diphosphatate kinase, peptidylprolyl-isomerase, T7 RNA polymerase.\textsuperscript{40} The PURE system does not contain any unknown components, resulting in fewer contamination activities originating from various enzymes in cell lysate, such as nucleases, proteases, and phosphatases. The PURE’s simple biochemical background makes the PURE system an ideal cell-free platform, especially for experiments that cannot perform well with lysate-based CFPSs, such as mRNA display\textsuperscript{41}, ribosome display\textsuperscript{42}, incorporation of unnatural amino acids\textsuperscript{43}, and DNA replication\textsuperscript{44}.
Purifying all the required enzymes and then reconstituting the CFPS system with all the active components is time-consuming and labor-intensive. Therefore, purchasing commercialized PURE kits is the most standard way to conduct experiments with PURE.
PUREexpress, an optimized PURE system consisting of His-tagged enzymes, is distributed by New England Bio labs. PUREflex, the His-tag-free PURE system, is distributed by GeneFrontier Corporation\textsuperscript{45}. Although the PURE systems have significant advantages over lysate-based CFPSs in some aspects, the difficulty of preparing homemade PURE increases the cost of research. Furthermore, PURE yields are much lower than \textit{E. coli} CFPS. While \textit{E. coli} homemade CFPS was reported to produce 4000 $\mu$g/ml of eGFP with a highly optimized protocol\textsuperscript{28}, PUREfrex 2.0 announces 10-1000 $\mu$g/ml, costing $1.2 / \mu$l (the cost of PUREfrex 2.0 was found at https://purefrex.genefrontier.com/products/cellfreeproteinsynthesiskits/purefrex2.0.html, accessed 11:00 am CT 10/19/2022.) This reaction cost is 100 times more expensive than a homemade \textit{E. coli} CFPS protocol reported by Sun et al., $0.011 / \mu$l\textsuperscript{26}.
1.3 CFPS for building synthetic cells
The bottom-up assembly of synthetic cells is an ongoing effort to reconstitute life-like entities from non-living components\textsuperscript{46–48}. Developing ways to mimic biological functions has become a way to understand the mechanisms of cellular machinery. For the most common approach to constructing genetically programmed synthetic cells, CFPS can be encapsulated within membranes to form synthetic cells\textsuperscript{28,49}. The following are examples of CFPS-based functional synthetic cells that have been demonstrated.
Energy regeneration is one of the essential cellular functions. A light-driven energy-producing synthetic cell was constructed by incorporating a photosynthetic system\textsuperscript{50}. On synthetic cell membranes, genetically controlled lipid synthesis was demonstrated\textsuperscript{51}. To achieve self-dividing synthetic cells, membrane contraction studies have also been performed\textsuperscript{52–56}. Another primary feature of natural cells is their ability to interact with their surroundings. Expressing membrane channels enables the communication between synthetic cells and their environment. α-hemolysin is a membrane channel being used
the most. By forming pores on the membrane, α-hemolysin enhances a selective permeability for nutrients, resulting from sustaining protein expression for up to 4 days, while without the pores, it only prolongs for up to 5 hours\textsuperscript{57}. As another example, a mechanosensitive membrane channel called MsCL was produced in synthetic cells and shown to respond to the hypo-osmotic environment\textsuperscript{58}. The research to achieve controllable inter-cellular communication has also been demonstrated with CFPS. Synthetic cells’ gene expression and behaviors were shown to be controlled in a genetically programmable manner\textsuperscript{59,60}. Cell-penetrating peptides enable synthetic cells to import/export proteins and nucleic acids\textsuperscript{61}.
Developing synthetic cell technologies are anticipated to progress many biological tool inventions. In chapter 5, synthetic cell application in biomedicine is further discussed as one of the future applications.
### 1.4 CFPS applications in other research
#### 1.4.1 High-throughput screening
The CFPS’s ability to produce proteins from DNA in a small volume of open reaction without cloning/ transformation/ transfection is a significant advantage for high-throughput screening\textsuperscript{11,62}. Sometimes, assays can be done without extra purification, when the CFPS condition does not harm the enzymatic reaction\textsuperscript{63}. For example, \textit{E. coli} CFPS has been used to (1) engineer antibodies\textsuperscript{64}, (2) develop an automated protein production system for protein structural and functional studies\textsuperscript{65}, (3) perform protein microarrays\textsuperscript{66}, and (4) identify gene products influencing the complex metabolic systems that result in protein accumulation and folding\textsuperscript{67}.
#### 1.4.2 Unnatural AAs (UAAs)
Incorporating unnatural amino acids (UAA) in proteins offers many advantages in investigating protein structure and dynamics, studying the protein interactions, and controlling protein activities\textsuperscript{43,68,69}. UAA can be incorporated into protein sequences using engineered orthogonal aminoacyl-tRNA synthetase (aaRS)-tRNA pairs. The UAA-charged tRNA decodes codons placed within the gene sequence; thus, the UAA are incorporated into the target position of the sequence.
CFPS reactions offer a great platform to easily replace endogenous tRNA-aaRS pairs with a wide variety of orthogonal pairs, compared to living cells, which typically have limited substitution selections, the 20 standard amino acids and their close derivatives\textsuperscript{43,70}. The PURE system is especially advantageous because it features easy composition alternation and no irrelevant background reactions\textsuperscript{43,70,71}. On the contrary, because of the endogenous enzyme backgrounds, lysate-based CFPSs always reduce the efficiency of incorporating desired UAA. For example, amber codon suppression is a method to use amber codon (UAG) as a coding codon in translation. In \textit{E. coli} CFPS, endogenous RF1, which recognizes amber codons, inevitably competes with the aminoacylated suppressor tRNA that also recognizes amber codons and insert an amino acid in its place. This competition can result in the generation of by-products caused by translation stops at the introduced amber codon\textsuperscript{43}. Since lysate-based CFPS is generally more economical and efficient in protein production, the technological development of lysate-based CFPSs for UAA incorporation is ongoing. For example, site-specific incorporation of UAA for antibody-drug conjugates was demonstrated in \textit{E. coli} CFPS\textsuperscript{72}. More recently, CFPS made of lysate from an \textit{E. coli} strain lacking RF1 successfully incorporated UAA at the amber codons with high accuracy ($\geq 98\%$) and yield\textsuperscript{73}.
\subsection*{1.4.3 Metabolic engineering}
The Design-Build-Test-Learn (DBTL) cycle of metabolic engineering is crucially demanded to maximize value-added compounds’ production, especially for industrial applications. The use of CFPSs in rapid prototyping has accelerated this DBTL cycles\textsuperscript{74}. CFPS has been used to express target genes from DNA templates followed by functional screening, such as an inhibitor for the biosynthetic gene expression\textsuperscript{75}. Furthermore, the combination approach that mixing CFPS-synthesized enzymes with multiple crude-cell extracts that are enriched with overexpressed enzymes has expanded the flexibility of the way to adjust reaction conditions for pathway optimizations\textsuperscript{76–78}.
1.4.4 Therapeutics
CFPS can rapidly synthesize therapeutic products in a cost-effective manner\textsuperscript{25}, being useful for the rapid screening of antibody\textsuperscript{64} and the production of difficult-to-synthesize products like multiple disulfide bond-containing proteins\textsuperscript{79,80}. Virus-like particles, multi-subunit protein complexes, mimic native viruses’ structures, but lack gene material thought to be useful for vaccination. Producing virus-like particles in CFPS was shown to have advantages such as rapid modification screening\textsuperscript{81} and avoidance of cellular toxicity\textsuperscript{82}. Furthermore, the use of CFPS in phage production was demonstrated and is expected to accelerate phage engineering and production of clinical-grade bacteriophages\textsuperscript{83,84}. CFPS can be lyophilized for long-term storage without the need for freezers or fridges and is easily reactivated by adding water; therefore, the use of CFPS for on-demand production of therapeutics is also expected\textsuperscript{85}.
1.4.3 Biosensors
Biosensors are analytic tools that use biological components to detect analytes: The detecting element (enzyme, antibody, nucleotides, etc.) identifies the analytes, and then
the transducer converts the interaction of analytes into an identifiable signal (fluorescence, luminescence, color change, etc.)\textsuperscript{86} Both cell and CFPS biosensors have been developed; however, CFPS biosensors have several advantages over cell biosensors. For example, since CFPS is not a living system, there is no concern that the sensor self-replicates and is released into the environment. The response time is much quicker because of no cell membrane barriers. Lyophilization increases sensors’ stability and enables effortless transportation, potentially allowing applications for on-demand detection in low-resource settings. CFPS-based biosensors have been widely used in environmental pollutant detections\textsuperscript{87,88}, food quality inspection\textsuperscript{89}, and medical applications\textsuperscript{90}.
1.4.5 Education
CFPS possess several advantages for educational uses: The cellular machinery can be easily manipulated, the reaction takes only a few hours, and the result visualization is straightforward (such as fluorescent, colorimetric proteins, enzyme-generated smells, and enzyme-cross-linked hydrogels).\textsuperscript{91} These features enable inquiry-based learning opportunities. The first application of CFPS for education, biobits kits, is commercially available\textsuperscript{91,92}. An open-source platform where users can look up the instruction for CFPS implementation in classrooms is also available\textsuperscript{93}.
1.5 Speculations
CFPS enables researchers to construct customized gene-based biological reactions and has become an essential tool for bottom-up synthetic biology and other biology-related research fields. I have highlighted the key features of CFPS and its applications. This is not a complete list of all CFPS research; however, this covers the background of this dissertation project on which I focused.
In synthetic biology, researchers desired to construct biological systems in controllable manners by combining natural and unnatural components as building blocks. Although CFPS can produce proteins and serve as a great platform for building gene-based life-like systems, there is still a large gap between living and non-living systems. Biology is extremely complex; researchers are often prevented from successfully constructing ideal biological reactions with CFPS. The reason could be missing necessary components, involvement of unexpected side reaction, or technological limitations. Therefore, this thesis project focused on improving CFPS-based technologies to make it a more controllable system, advancing the research towards building synthetic cells.
1.6 Research aims
Although *E. coli* cell-free transcription-translation (TXTL, written as *E. coli* CFPS in the introduction section) has been a versatile platform in synthetic biology, limitations in the feasibility of constructing cell-like systems remain, especially when people desire to reconstitute complex reactions. In my project, I aim to address three limitations laid on the *E. coli* TXTL:
(1) Poor protein yield from linear DNA.
(2) Inability to measure kinetics for luciferase reaction.
(3) Yet inadequate gene expression control technology.
1.6.1 CFPS specialized for linear templates: Chapter 2
In *E. coli* TXTL, an endogenous nuclease called RecBCD degrades blunt-ended linear DNA, severely decreasing protein expression efficiency from linear DNA (PCR amplified templates). Adding Chi sequence containing DNA oligonucleotides or GamS, where both work as RecBCD inhibitors, can protect linear DNA and increase the protein yield in TXTL. However, these protocols require additional components to TXTL, meaning
additional steps, costs, and failure points to the reaction. Furthermore, this supplementation uses the reaction volume that already has a tiny volume left for additives and templates. The work shown in Chapter 2 provides solutions to those problems by engineering an *E. coli* strain optimized for TXTL with inactivated RecBCD. The strain made in this work is freely available to the whole community.
**1.6.2 Expanding luciferase reporter systems: Chapter 3**
Luciferases are sensitive and versatile reporter enzymes widely used in TXTL. The current limitation of luciferase reporter systems for TXTL is that they cannot monitor a long-term time course of protein expression because of the nature of the flash reaction substrate-dependency. To overcome this problem, the work in Chapter 3 attempts to reconstitute two substrate regeneration pathways associated with two luciferase variants. Those two luciferase variants have not yet reported their use in TXTL. Therefore, this work provides a solution for prolonged luciferase reaction and two newly optimized luciferase reporters for *E. coli* TXTL.
**1.6.3 Gene regulation using short oligonucleotides: Chapter 4**
The TXTL applications in genetic circuit construction, metabolic pathway optimization, and reconstitution of cellular machinery require the ability to control multiple gene expressions at the right time with the right ratio of protein concentrations. Although various strategies have been developed to control gene expression in TXTL, any of those strategies have yet to satisfy a desire for a perfectly controlled gene expression system, and further development is demanded. The project in Chapter 4 provides a novel method to control gene expression in TXTL using short oligonucleotides. Furthermore, the mechanism of the short oligonucleotides' gene silencing activity is described. By combining transfection technology developed by other Adamala lab
members, this work enables protein expression control between synthetic cells in a gene sequence-dependent manner.
## Table 1 Comparison of types of CFPS
| Organism | Optimized batch reaction protein yield | Commercialized kits | Main advantage | Main disadvantage |
|----------------|---------------------------------------|---------------------|---------------------------------------------------------------------------------|-----------------------------------------------------------------------------------|
| *E. coli* | ~4 mg/ml (eGFP)\(^{28}\) | Available | - Well studied<br>- Low cost<br>- Easy extract preparation<br>- Genetic modification of strains possible<br>- PURE system available | - Many eukaryotic proteins insoluble<br>- No eukaryotic post-translational modifications<br>- Codon usage is different from eukaryotes |
| Wheat germ | ~1.6 mg/ml (GFP)\(^{94}\) | Available | - Well-studied<br>- Best yield for eukaryotic system<br>- High protein solubility<br>- Cap-independent translation method available<br>- Production of large protein is possible | - Time consuming extract preparation<br>- Background phosphorylation<br>- Reduced or no eukaryotic post-translational modifications |
| Tobacco | ~270 µg/ml (Firefly luciferase)\(^{95}\) | Available | - Post-translational modifications for plant proteins<br>- Fast preparation (4-5h) compared to other eukaryotic platforms (1-5 days) | - The capacity of possible post-translational modifications is not well understood<br>- Low protein yield |
| Human | up to 100 µg/ml (1-Step Human Coupled IVT kit, Hela cell extract)<br>up to 750 µg/ml (1-Step Human High Yield IVT Kit, Hela cell extract) | Available | - Some protein modification<br>- Human system, facilitating the synthesis of high-molecular-weight human proteins<br>- Possible to make virus-like particles | - Tested for limited number of proteins<br>- Sensitive to additives<br>- Low protein yield |
| Organism | Protein Expression Level | Availability | Advantages | Disadvantages |
|---------------------------------|--------------------------|--------------|-----------------------------------------------------------------------------|-------------------------------------------------------------------------------|
| Streptomyces | ~165 µg/ml (sfGFP) | Not available| - Suitable for expressing high-GC content templates, such as natural product gene clusters
| | | | - Higher solubility for natural product gene clusters than *E. coli* CFPS | - Low protein yield |
| Insect | ~71 µg/ml (luciferase) | Available | - High post-translational modifications capacity
| | | | - Cap-independent translation method available
| | | | - No endogenous mammalian proteins | - Tested for limited number of proteins
| | | | - Low protein yield
| | | | - Non-mammalian system |
| Chinese hamster ovary | ~50 µg/ml (firefly luciferase) | Available | - High post-translational modifications capacity | - Low protein yield |
| Saccharomyces cerevisiae | ~12.5 µg/ml (GFP) | Not available| - Inexpensive large-scale fermentation
| | | | - Cap-independent translation method available | - Low protein yield
| | | | - Not commercially available |
| Rabbit Reticulocyte | 1-4 µg/ml (Promega, Rabbit Reticulocyte Lysate System) | Available | - Cap-independent translation method available
| | | | - Mammalian system | - Sensitive to additives
| | | | - Protein glycosylation not possible
| | | | - Co-expression of off-target protein |
| Archaeal | 1.3 µg/ml (ChiAD4, *T. kodakaraensis* chitinase derivative in *Thermococcus kodakaraensis* CFPS) | Not available | - Thermophilic archaeal CFPSs allow higher temperature expression (75°C for *Sulfolobus solfataricus* and 65°C for *Thermococcus kodakarensis*) | - Low protein yield |
Chapter 2 – *E. coli* TXTL for linear DNA template
2.1 Copyright Information
Chapter 2 is adapted with permission from Sato W, Sharon J, Deich C, Gaut N, Cash B, Engelhart AE, Adamala KP. (2022) Akaby—Cell-free protein expression system for linear templates. PLoS ONE 17(4): e0266272.
https://doi.org/10.1371/journal.pone.0266272
2.2 Introduction
Cell-free transcription-translation (TXTL) has been gathering increased attention in research and industry, due to its versatile application potential in synthetic biology. Those applications include, gene circuit testing\textsuperscript{24}, artificial cell systems\textsuperscript{47,48,102}, protein evolution\textsuperscript{62}, and enzymatic reaction optimizations\textsuperscript{103,104}. The combination of bacteriophage RNA polymerase T7 and *Escherichia coli* (*E. coli*) crude extract is the most popular TXTL system\textsuperscript{23}. In TXTL, the proteins are expressed from gene coding DNA in either circular plasmids, or linear DNA fragments. There have been tremendous characterizations and optimizations to improve nearly all aspects of TXTL\textsuperscript{24,105,106}.
Translation of linear DNA templates is of great importance to both research and practical applications. Eliminating the need to clone plasmid DNA, TXTL can be used to significantly increase the speed of the design–build–test cycle in bioengineering. Since the bacterial TXTL degrades linear DNA templates, two nuclease inhibitors are widely used to overcome this problem: GamS or Chi6 (short DNA containing six Chi sites). Neither of these inhibits the nuclease activity completely.
RecBCD is a nuclease complex endogenous to *E. coli*. *recB* contains the nuclease and the helicase domains; *RecC* is implicated to be responsible for Chi sequence
recognition; and *RecD* contains the helicase domain\textsuperscript{107}. *RecBCD* plays a vital role in maintaining endogenous genome quality and integrity. One of the most common DNA damage mechanisms is a DNA double-strand break caused by a variety of reasons, such as ionizing radiation or DNA replication errors. To repair this damage, *RecBCD* binds blunt-ended DNA termini and converts the template into a duplex DNA possessing a 3'-terminated ssDNA tail to initiate homologous recombination. The critical component in this process is the octameric regulatory DNA sequence called Chi (5'-GCTGGTGG-3')\textsuperscript{108,109}. *RecBCD* terminates the conversion of dsDNA into ssDNA at the Chi sequence. Since TXTL consists of *E. coli* crude extract, endogenous *RecBCD* remains active in the TXTL reactions. It has been previously demonstrated that the supplementation of Chi6 DNA enhances DNA stability and protein expression in TXTL\textsuperscript{110}. This finding strongly suggests the association of *RecBCD* in *E. coli* crude extract with DNA stability and gene expression in TXTL.
Along with the Chi sequence-based DNA degradation, *RecBCD* also possesses random nuclease activity for blunt-ended DNA fragments. That random nuclease activity initially evolved to defend their own genome from invading DNA, such as lambda and T4 bacteriophages\textsuperscript{107}. GamS, a bacteriophage lambda encoded protein, evolved as a counter-strategy of *RecBCD* to protect phage DNA by forming a stable complex with *RecBCD*\textsuperscript{111–113}. GamS forms a double-stranded DNA mimetic and works as a competitive inhibitor for *RecBCD*\textsuperscript{114}. To protect free-end linear DNA templates in TXTL, GamS has been used as a supplementation of TXTL to increase the protein expression from the gene template of linear PCR fragments\textsuperscript{24}. Even though GamS has been used to protect linear DNA fragments in TXTL, it is still unclear which nuclease in TXTL plays the vital role in reducing protein expression from linear templates.
Both GamS and Chi6 DNA protection protocols require adding additional components to TXTL. This not only adds extra steps, costs and failure points to the reaction, but it also uses some of the limited component volume. TXTL reactions are typically set up with very little volume left for additives and templates. We provide a solution to those problems by engineering an *E. coli* strain optimized for cell-free TXTL production with inactivated RecBCD nucleases.
It has been previously demonstrated that knocking-out or -down RecBCD nuclease in *E. coli* strains result in cell-free lysate that shows improved template stability\(^{38,39}\). We decided to build on that work, using the NEB5α *E. coli* strain optimized for TXTL, and creating a strain that will be freely available to the whole community. Using state of the art mutagenesis techniques provides an optimized protocol for future engineering of custom TXTL strains with specific properties.
We engineered the *recB* knockout *E. coli* strain, which we call Akaby. The name was inspired by the Arcade game Pac-Man, where Akabei is the Japanese name for the Blinky ghost nemesis of Pac-Man. Pac-Man figure is commonly used in simplified schemes to indicate nucleases. The Akabei ghost incapacitates Pac-Man, analogous to the Akaby strain with an incapacitated major nuclease.
We demonstrated that RecB is the strongest nuclease affecting unprotected linear DNA fragment stability in TXTL, and Akaby provides protection from linear DNA degradation. Using Akaby cell-free extract for TXTL can be a simple, efficient choice for linear DNA-friendly TXTL platforms.
2.3 Results and discussion
2.3.1 recB disruption in *E. coli*
RecB is the RecBCD subunit that possesses nuclease activity. We deleted the *recB* gene from the genome of *E. coli* by using the λ red system described previously, with minor modifications\(^{115}\). The kanamycin-resistant gene (Km\(^R\)) was chosen as a selection marker. On the *E. coli* genome, *recB* is located between *ptrA* and *RecD* (Figure 1A). Therefore, we designed primers for Km\(^R\) PCR amplification with 120 nt homology extensions, which are complementary with the upstream or downstream of *recB* in *E. coli*. These homology extensions promote the replacement of *recB* with Km\(^R\) on the *E. coli* genome.
After the recombineering procedure, the successful mutant was verified through colony PCR. For the colony PCR, the insert- (Primer 2 and 3) and locus- (Primer 1 and 4) specific primer pairs were used (Figure 1B). While no PCR product was detected for the untreated *E. coli* colony (Figure 1C, lane 7), all six analyzed mutant colonies produced the expected size of PCR products. We thus confirmed that the successful mutant strain that contains the genome replaced *recB* with Km\(^R\). We prepared Akaby cell extract from a glycerol stock generated from a single colony among the six confirmed mutants for later experiments.
2.3.2 Akaby TXTL increased eGFP fluorescence from linear templates eGFP
eGFP expressions with circular and linear templates were compared to evaluate the property of Akaby crude extract in cell-free transcription-translation (TXTL) (Figure 2). For linear templates, we used eGFP plasmids digested with BamHI. In that plasmid, BamHI cuts at position 182 nt after the eGFP coding sequence, thus linearizing the eGFP plasmid without affecting the open reading frame. To further study the robustness of the system, we used eGFP templates under two different T7 RNA polymerase
promoters, the canonical T7 promoter and the new high yield T7Max promoter\textsuperscript{116}. Because TXTL components generate a low level of endogenous fluorescence in the green channel, we used a no template control (NTC) as the background fluorescence benchmark. As a comparison to the Akaby cell extract, we used two different E. coli strains for the cell extract: the Rosetta 2 cell extract that is most commonly used for the TXTL experiments and NEB5α from which Akaby is derived\textsuperscript{26}.
With the eGFP gene under the regular T7 promoter, we were only able to detect a measurable fluorescence from plasmids. Neither Akaby, Rosetta 2, nor NEB5α TXTL generated a noticeable fluorescence from the linear eGFP templates with the T7 promoter (T7-eGFP: BamHI) (\textbf{Figure 2ACE}). The linear eGFP templates with the T7Max promoter (T7Max-eGFP:BamHI) generated a fluorescent in Akaby TXTL (\textbf{Figure 2A}), while the fluorescence observed in Rosetta 2 and NEB5α TXTL were as low as the NTC (\textbf{Figure 2CE}).
Next, we used the established GamS addition protocol to help protect linear templates in TXTL\textsuperscript{24}. We conducted experiments with the supplementation of GamS as a control in parallel (\textbf{Figure 2BDF}). In Akaby TXTL, GamS supplementation unchanged the fluorescence intensity (\textbf{Figure 2G}). On the contrary, in Rosetta 2 and NEB5α TXTL, we could see a significantly higher eGFP fluorescence from T7Max-eGFP:BamHI with the supplementation of GamS (\textbf{Figure 2G}). We did not see much fluorescence increase for T7-eGFP:BamHI for all the cell extract with GamS, although there was a slight increase compared to the NTC values (\textbf{Figure 2BDF}). Previously, GFP expression in TXTL was shown to be saturated above 5 nM for plasmids, while PCR products were above 20 nM with GamS addition\textsuperscript{24}. We used 5 nM for all the templates, which might explain why we did not see significant fluorences from T7-eGFP:BamHI with GamS.
In brief, Akaby TXTL improved protein expression from linear DNA templates, with the difference most apparent under a strong promoter.
2.3.3 The abundance of mRNA from linear templates are increased in Akaby TXTL
The protection of DNA templates from nucleases may increase its transcripts in Akaby TXTL. For further characterization of Akaby TXTL, we measured the amount of mRNA transcribed from eGFP templates and the eGFP fluorescence at several time points: 0, 1, 4, and 8 hours (Figure 3, Figure S1, and Figure S2).
The fluorescence generated from the template-cell extract pairs was consistent with the result we observed in Figure 2, Figure 3AB, Figure S1AB, and Figure S2AB. The reverse transcription quantitative PCR (RT-qPCR) established that mRNA abundance was consistent with the fluorescence measured from eGFP expression reactions (Figure 3CD, Figure S2CD, Figure S3).
Akaby TXTL maintained a relatively high amount of mRNA over 8 hours despite the templates being plasmids or linear fragments (Figure 3C). On the contrary, in Rosetta 2 TXTL, while the amounts of mRNA from plasmids were as high as in Akaby TXTL, the mRNA level from linear templates was much lower (Figure 3D). The control qPCR on the samples after DNase treatment, which is the procedure before RT-qPCR, ensured that only a negligible amount of DNA remained after DNase treatment (Figure S3).
These data demonstrated that while Akaby TXTL increased linear template stability, the abundance of mRNA and the fluorescence also increased proportionally.
2.3.4 Stability of short oligonucleotides without RBS in TXTL improves in Akaby
Since the initially investigated BamHI digested linear GFP DNA template was 3593 nt long, we decided to evaluate the effect of Akaby TXTL on shorter DNA fragments. We designed 347 nt long DNA, consisting of a random sequence under the T7Max promoter. Thus, we can measure the DNA and its transcript stability in TXTL (Figure 4A).
We incubated this short linear DNA in Akaby, Rosetta 2, and NEB5α TXTL for 4 and 8 hours, and measured the abundance of DNA and mRNA by qPCR and RT-qPCR accordingly (Figure 4).
The DNA fragment and mRNA abundance in Akaby TXTL were the highest among the three different cell extracts (Figure 4BC). Akaby had little effect by GamS supplementation, while GamS supplementation increased the DNA and mRNA abundances in Rosetta 2 and NEB5α TXTL (Figure S4). This observation ensured that Akaby TXTL can also be used for shorter linear DNA fragments.
2.3.5 Protein expression from PCR amplified products
We further tested the Akaby TXTL capacity on PCR amplified genes (Figure 5). eGFP and firefly luciferase (FLuc) genes were PCR amplified from the plasmids and used as the templates for the protein expression in Akaby, Rosetta 2, or NEB5α TXTL. FLuc expression was measured after the TXTL reaction by adding D-luciferin as the substrate. We detected sufficient eGFP and FLuc expressions from the PCR templates in Akaby, while we failed in Rosetta 2 and NEB5α (Figure 5AB). Thus, Akaby is also effective for expressing protein from PCR amplified DNA.
2.4 Discussion and conclusion
We used NEB5α (a DH5α derivative) as a host strain of Akaby, while Rosetta 2 (a BL21 derivative) is the one most widely used for TXTL\textsuperscript{26}. There is a possibility that Rosetta 2 (a BL21 derivative), a protease deficient strain designed for protein overexpression, positively affect TXTL reactions increasing the basal protein expression efficiency.
However, we think the basal protein expression differences in this experiment were more likely due to the batch differences for which TXTL is widely known. For example, we used different Akaby cell extract batches on the experiment of \textbf{Figure 2A} and \textbf{Figure 3A}, showing different fluorescent intensities from the identical plasmid (\textbf{Figure 2A} and \textbf{Figure 3A}, T7Max-eGFP data). Since we initially had some experimental difficulties creating a \textit{recB} knockout mutation with Rosetta 2, we shifted gears to using NEB5α. While we expect to see similar outcomes with Rosetta 2, we decided to leave out for this paper since we already have a working strain for TXTL with linear DNA templates.
In this work, the TXTL extract was prepared using sonication protocol. There is no evidence to suspect any other method of extract preparation, including freeze-thaw, bead beating or French press, should produce Akaby extract with different nuclease properties. We chose sonication for expediency and scalability.
We have observed higher degree of variability in the GamS mediated RecBCD inhibition. The results presented here indicate that GamS inhibition of RecBCD is not always complete, and the effect of GamS is specific to a certain TXTL prep method, the type and length of the DNA template, the concentration of the template and concentration of the GamS protein. Our results, combined with evidence from other papers using GamS for linear template expression, indicate higher degree of variability of results in using the RecBCD inhibition methods.
In summary, we constructed a *recB* knockout *E. coli* strain called Akaby, and we demonstrated a TXTL system based on this strain. Compared to standard TXTL Rosetta 2 extract, Akaby TXTL significantly improved linear DNA stability. Akaby matches the efficiency of GamS protection for linear DNA templates, without the need to purify additional proteins and add more components to the reaction mixture. Akaby TXTL can be used as a versatile TXTL platform for the expression of linear DNA templates.
In addition to the specific use case of linear DNA protection in Akaby, this work demonstrates proof of principle for a pipeline for producing *E. coli* TXTL strain mutants. As the use frequency and versatility of TXTL systems increases, this technique can be useful for engineering other *E. coli* strains for special TXTL applications.
We will publish information about distribution of the strain on our website, akabycells.org.
### 2.5 Materials and methods
#### 2.5.1 *recB* mutagenesis in *E. coli*
The protocol of Datsenko\textsuperscript{115} with minor modifications was used for *recB* disruption. Plasmids were purchased from Addgene. pKD4 (Addgene plasmid # 45605; http://n2t.net/addgene:45605; RRID:Addgene_45605) was used for Km\textsuperscript{R} template\textsuperscript{115} and pKDsgRNA-trml (Addgene plasmid # 89955; http://n2t.net/addgene:89955; RRID:Addgene_89955) was used for the lambda red recombinase system\textsuperscript{117}. Primers were purchased from Integrated DNA Technologies, Inc. Km\textsuperscript{R} was PCR amplified with primers (HR FW and RV primer in Table S1). These primers include 120-nt homology extensions that are complemental sequences of upstream or downstream of *recB* in *E. coli* genome, and 19- or 21-nt priming sequences for pKD4 as a template. After PCR amplification of Km\textsuperscript{R}, the reaction mixture was treated with DpnI, and then purified with GenCatch PCR Purification Kit (Epoch Life Science, Inc., No. 2360250). pKDsgRNA-trml
was transformed into NEB1 5-alpha Competent *E. coli* (New England BioLabs Inc., C2987I). The 230 μl of pKDsgRNA-trml carrying *E. coli* pre-culture was inoculated in 35 ml SOB and incubated at 30°C. After 2 hours of incubation with OD$_{600}$~0.2, 150 μl 20% Arabinose was added to the culture to induce the lambda red recombinase system from the pKDsgRNA-trml plasmid. When the OD$_{600}$ reached 0.45, the cells were treated to be electrically competent. The amplified Km$^R$ fragments flanking 120-nt homology arms were transformed into the cells. 1 ml SOC was immediately added after electroporation, and the culture was incubated at 37°C overnight. The following day, the entire culture was plated on LB plates containing 50 μg/ml Kanamycin, 200 μl culture per plate. The plates were incubated at 37°C overnight. The six recB disrupted colonies were obtained.
10 μl total volume of colony PCR was performed with 0.4 μM of locus- (Primer 1 and 4) and insert- (Primer 2 and 3) specific primer pairs, 1X OneTaq1 Quick-Load12X Master Mix with Standard Buffer (New England BioLabs Inc., M0486L), and 2 μl of water suspended colony. The colonies are stored as glycerol stocks, and one of them was used for cell extract preparation.
### 2.5.2 Cell extract preparation and TXTL reaction conditions
This protocol was adapted from Noireaux\textsuperscript{26} and Jewett\textsuperscript{27}. The Rosetta 2 and NEB5α cell extract preparations were followed by the method described previously\textsuperscript{80} with one modification. A 750 ml 2xYPTG was grown at 30°C instead of 37°C. It was previously described that the lower cultivation temperature improved the protein expression from PCR products, and we needed to compare all the extracts under the same culturing temperature\textsuperscript{118}. Akaby extract preparation was performed with the same protocol of Rosetta 2 and NEB5α cell extract preparations with minor modifications. For the starter culture preparation, a 50 ml starter culture of the Akaby was grown to saturation at 30°C in 2xYPTG with Kanamycin (50 μg/ml). A 750 ml of 2xYPTG culture (without antibiotic)
was inoculated with a 10 ml starter culture. The culture was grown at 30°C to an OD$_{600}$ of 0.4–0.6, then harvested.
Cell-free transcription-translation (TXTL) reaction was performed based on the method described previously\textsuperscript{60}. Unless otherwise specified, the template concentration was 5 nM. GamS was added with a concentration of 3.5 µM. The TXTL reaction was incubated at 30°C for 8 hours, followed by 4°C temperature hold. For linear eGFP templates preparations, eGFP plasmids were digested with BamHI (New England BioLabs Inc., R0136L) at 37°C for 1 hour and agarose gel-purified with \textit{GenCatch} Advanced Gel Extraction Kit (Epoch Life Science, Inc., No. 2260050). eGFP fluorescence was measured at $\lambda_{ex}$ 488 nm and $\lambda_{em}$ 509 nm with plate reader PMT setting “medium” and 6 reads per well. All fluorescent measurements were performed on SpectraMax. For the endpoint measurement, 14 µl of TXTL reaction was transferred into a 384 black bottom well plate to measure after the incubation. For kinetics, 15 µl of TXTL was prepared in a 384 black bottom well plate, sealed with clear sealing tape to avoid evaporation, and measured every hour, including at the start of the incubation of 30°C.
2.5.3 Relative comparison of transcripts with Reverse Transcription-quantitative Polymerase Chain Reaction (RT-qPCR)
Template DNA in 2 µl of the TXTL reaction was degraded by adding 0.5 µl of TURBO DNase (2 U/µl, Catalog No. AM2238, Invitrogen). The mixture was incubated at 37°C for 30 minutes. The enzyme and the expressed proteins were inactivated by adding 15 mM EDTA (Catalog No. E9884, Sigma-Aldrich) at 75°C for 10 minutes (T100 Thermal Cycler, Bio-Rad). The denatured proteins were pelleted through centrifugation at 3,200 g for 2 minutes. For DNA abundance measurement in TXTL, DNA in 20 µl of TXTL reaction was purified with \textit{GenCatch} PCR Purification Kit before reverse transcription, instead of
DNase treatment. The DNA fragment binding to the column membrane was eluted with 20 µl water. The elution was re-applied to the column membrane and repeated the elution 2 more times. A 1 µl of the final elution was used for quantitative PCR (qPCR) reaction.
For each protein sample, forward and reverse primers (Integrated DNA Technologies) were created for downstream reverse transcription and qPCR experiments. Each primer pair was compatible with transcripts produced from the regular promoter and T7Max. For eGFP, the forward primer was Primer 5 and the reverse primer was Primer 6. For the shorter DNA fragment, the transcript that was fragmented due to an integrated stop codon in the DNA sequence, forward primer was Primer 7 and the reverse primer was Primer 8.
To prepare the reverse transcription reaction, 2 µl of the DNase-treated sample was mixed with 2 µl of 10 µM reverse primer, 4 µl of 5X Protoscript II Reverse Transcriptase Buffer, 1 µl of Protoscript II Reverse Transcriptase (200 U/µl, Catalog No. M0368, New England BioLabs Inc.), 2 µl of 0.1M dithiothreitol (DTT), 1 µl of 10mM dNTPs, 0.2 µl of RNase Inhibitor (Catalog No. M0314, New England BioLabs Inc.), and 8 µl of nuclease-free water. The reverse transcription reaction was incubated at 42°C for 1 hour and the reverse transcriptase was inactivated at 65°C for 20 minutes.
The qPCR reaction mix was prepared by mixing 1 µl of complementary DNA from the reverse transcription with 2 µl of 10 µM forward and reverse primers, 11.25 µl OneTaq Hot Start 2X Master Mix with Standard Buffer (Catalog No. M0484, New England BioLabs Inc.), 1.25 µl Chai Green Dye 20X (Catalog No. R01200, Chai Bio), and 7.5 µl of nuclease-free water. The RT-qPCR was completed using Open qPCR (Chai Biotechnologies) with the following thermocycling program: 1 cycle of 30 second denaturation at 95°C, 30 cycles of 15 second denaturation at 95°C, 15 second annealing
at 50°C, 1 minute extension at 68°C, and 1 cycle of 5 minutes final extension at 68°C.
The amplification curves plotted through the Open qPCR software to determine Cq values. The averages across 3 replicates of each promoter type were calculated separately, replacing non-detected value with 30 (the maximum cycle number).
2.5.4 Short DNA fragment preparation
The oligo template and primers (Primer 9 and Primer 10) for the amplification (Sequence is in Table S1) were purchased from Integrated DNA Technologies, Inc. The oligo was PCR amplified with OneTaq12X Master Mix with Standard Buffer (New England BioLabs Inc., M0482L), followed by agarose gel purification with GenCatch Advanced Gel Extraction Kit (Epoch Life Science, Inc., No. 2260050).
2.5.5 PCR amplified eGFP and FLuc expression
The eGFP and firefly luciferase (FLuc) genes were amplified with Q5 High-Fidelity DNA Polymerase (NEB, M0491L), primer 11 and primer 12 (Table S1) from plasmids T7Max-eGFP or T7Max-FLuc (Table S2), respectively. The PCR products were agarose gel purified with GenCatch Advanced Gel Extraction Kit (Epoch Life Science, Inc., No. 2260050). The 5 nM PCR amplified templates or the plasmids were incubated in TXTL reaction at 30°C for 8 hours, followed by 4°C temperature hold. The fluorescence of 14 µl of eGFP expressing TXTL was measured at $\lambda_{\text{ex}}$ 488 nm and $\lambda_{\text{em}}$ 509 nm with plate reader PMT setting “medium” and 6 reads per well. For luminescence measurement, 10 µl of FLuc expressing TXTL was mixed with 10 µM D-luciferin, 5 mM MgCl$_2$, 1mM ATP, and water to be the total volume of 25 µl reaction mixture. The luminescence was measured in 384 well white flat bottom assay plates (Corning1, 3705) immediately after mixing the reagent by a plate reader (SpectraMax) without emission filters, with PMT setting “medium” and 6 reads per well.
2.6 Figures
Figure 1 Overview of the *recB* knockout experiment
(A) The primer designs for Kanamycin resistant gene (Km$^R$) PCR. The primers contain 120nt upstream or downstream sequences of *recB* in *E. coli* genome.
(B) The primer designs for colony PCR. Primer 1 and 4 have complement sequences outside of *recB* in *E. coli* genome. Primer 2 and 3 have complement sequences within Km$^R$.
(C) Agarose gel images of colony PCR. 1% agarose gel was run at 125 V for 45min, stained with SYBR safe DNA Gel stain. Expected product size: 661 bp (left gel) and 1035 bp (right).
gel). Lane M: 1 kb DNA ladder (Goldbio, D010-500) lane 1~6: recB replaced E. coli NEB5α colonies, 7: wild type E. coli NEB5α colony.
Figure 2 eGFP expression comparison between Akaby, Rosetta 2, and NEB5α
TXTL
TXTL reactions were performed with eGFP templates (5 nM) for 8 hours at 30°C, and each fluorescence was measured at λex 488 nm and λem 509 nm. The eGFP expression in (A) Akaby TXTL, (B) Akaby + Gams TXTL, (C) Rosetta 2 TXTL, (D)
Rosetta 2 + GamS TXTL, (E) NEB5α, and (F) NEB5α + GamS. GamS (3.5 μM) was supplemented as a nuclease inhibitor. (G) The TXTL reaction comparison for eGFP fluorescence was generated with the T7Max-eGFP:BamHI template data. T7, the T7 RNA polymerase promoter; T7Max, the enhanced T7 RNA polymerase promoter; template named with BamHI, linearized plasmids by BamHI; NTC, no template control. The graphs show means with error bars that signify SEM (n = 3). Significance was determined by Student's t-Test. **p < 0.01.
TXTL reactions were performed with eGFP templates (5 nM) at 30°C and the fluorescence and mRNA abundance were measured at 0, 1, 4, and 8 hours. The fluorescence was measured at $\lambda_{ex}$ 488 nm and $\lambda$ 509 nm. Fluorescence generated (A) in Akaby TXTL and (B) in Rosetta 2 TXTL. RT-qPCR was performed with a primer pair targeting the eGFP gene. Cq values of mRNA transcribed (C) in Akaby TXTL and (D) in Rosetta 2 TXTL. T7Max, the enhanced T7 RNA polymerase promoter; template named with BamHI, linearized plasmids by BamHI; NTC, no template control; Cq, quantitation cycle. The graphs show means with error bars that signify SEM ($n = 3$).
Figure 4 Short DNA stabilities and the abundance of its mRNA in Akaby, Rosetta 2, and NEB5α TXTL at 4 and 8 hours incubation
(A) The design of a 347 nt length DNA fragment. The fragment consists a T7Max promoter and a random DNA sequence. The amplicon for qPCR is as described. (B) The DNA oligo (5 nM) was incubated in Akaby, Rosetta 2, or NEB5α TXTL at 30°C for 8 hours. After the incubation, DNA was purified with a DNA miniprep kit and qPCR experiments were conducted. (C) The abundances of mRNA in TXTL after 4 and 8 hours incubation were measured by RT-qPCR. T7Max, the enhanced T7 RNA polymerase promoter; Cq, quantitation cycle. The graphs show means with error bars that signify SEM (n = 3).
eGFP and firefly luciferase (FLuc) was expressed in Akaby, Rosetta 2, or NEB5α TXTL at 30°C for 8 hours. The linear PCR product was prepared by PCR amplification from the plasmids. Both the plasmid and the PCR product template concentrations were 5 nM.
(A) eGFP fluorescence measured at $\lambda_{\text{ex}}$ 488 nm and $\lambda_{\text{em}}$ 509 nm. (B) The luminescence measurement in FLuc expressing TXTL reactions. After TXTL reaction, 10 µM D-luciferin, 1 mM ATP, and 5 mM MgCl$_2$ were added to the TXTL. The luminescence was
measured immediately without emission filters. The graphs show means with error bars that signify SEM (n = 3).
2.7 Acknowledgements
We thank Dr. Anna Corts for the helpful advice of homology recombineering in *E. coli*.
We thank Dr. Richard Murray for sample of GamS protein. We thank Dr. Vincent Noireaux for helpful discussion and guidance in using the Chi6 system.
Chapter 3—Luciferase systems for *E. coli* TXTL
3.1 Copyright Information
Chapter 3 is adapted with permission from Sato, W., Rasmussen, M., Deich, C. Engelhart AE, Adamala KP. Expanding luciferase reporter systems for cell-free protein expression. Sci Rep 12, 11489 (2022). [https://doi.org/10.1038/s41598-022-15624-6](https://doi.org/10.1038/s41598-022-15624-6)
3.2 Introduction
The cell-free transcription-translation (TXTL) is a widely used in vitro protein expression system for synthetic biology\(^{103,105,106}\). *E. coli*-based TXTL has been expanding its usage with intensive engineering efforts\(^{26–28,119,120}\). By coupling with reporter genes, TXTL can be used for many applications, such as viral detection\(^{121}\), metabolic modeling\(^{122}\), toxin detection\(^{123}\), biosensors\(^{39}\), and genetic circuit validation\(^{124}\). In TXTL, the most common reporter genes are luciferases and fluorescent proteins. While luciferases have a higher signal-to-noise ratio than fluorescence proteins\(^{123}\), they cannot be used to measure long-term kinetics, due to the nature of the flash reaction substrate-dependency. Thus, fluorescent proteins are preferred for measuring gene expression dynamics.
Furthermore, both fluorescent proteins and luciferases are limited for their multiplexing capacity. The fluorescent proteins are limited to about four to five colors for a simultaneous measurement due to their broad emission spectra\(^{125}\). As for luciferases, although emission filters allow multiple measurements up to around six\(^{126,127}\), the number of available substrates without cross-reactivity is low. The most commonly used substrates are D-luciferin (for Firefly luciferase) and coelenterazine (for Renilla luciferase). Vargulin was recently reported for an additional no-cross-reactive substrate with *Cypridina* luciferase\(^{128}\).
Here we address two needs of the luciferase reporter systems in TXTL: expanding multiplexing capabilities, and enabling long-term kinetics measurements. We also demonstrate a TXTL extract preparation that enables the use of luciferase with minimal burden on TXTL resources.
3.3 Results and Discussions
We explored luciferase variants without substrate cross-reactivity, to construct luciferase pathways independent of substrate supplementation, and to optimize their reactions for TXTL. We focused on two luciferase systems: fungal- and bacterial-luciferases. Neither of those luciferases was previously used in TXTL, and both are capable of substrate regeneration\textsuperscript{129–134}.
3.3.1 New luciferase-substrate systems for TXTL.
Here we report a successful demonstration of using fungal and bacterial luciferase-substrate systems in a bacterial TXTL. To our knowledge, neither of the reaction has been reported in TXTL. The fungal luciferase reaction (H3H-Luz) consists of \textit{Neonothopanus nambi} (\textit{N. nambi}) luciferase (Luz) and \textit{N. nambi} hispidin-3-hidroxylase (H3H). H3H converts hispidin, a commercially available chemical, to 3-hydroxyhispidin, and Luz yields light by reacting with 3-hydroxyhispidin (Figure 6A)\textsuperscript{129–131}. We first tested the H3H-Luz luciferase activity in TXTL. To test their activities, we individually cloned H3H and Luz genes into a vector plasmid designed for T7 RNA polymerase-coupled TXTL expression\textsuperscript{116}, and confirmed the H3H-Luz system generated luminescence (Figure 6B). In the reaction, we added hispidin as the substrate and NADPH as the cofactor.
The bacterial luciferase reaction (LuxAB-Fre) consists of LuxAB and NAD(P)H-flavin reductase (Fre). LuxAB is a luciferase complex that yields light by converting reduced flavin (FMNH\textsubscript{2}) and long-chain aldehydes into oxidized flavin mononucleotide (FMN) and
the corresponding long-chain acids\textsuperscript{132}. We combined LuxAB with Fre to reduce FMN back to FMNH$_2$ (Figure 6C)\textsuperscript{133,135}. We cloned LuxA, LuxB, and Fre genes into the same vector plasmid used for H3H and Luz and confirmed the luminescence generation (Figure 6D). We added octanaldehyde, FMN, and NADPH into the LuxAB-Fre luciferase reaction. Based on the mechanism known for LuxAB, ATP is not the essential compound\textsuperscript{132,135}; however, we found ATP enhances luminescence (Figure 6D). Thus, we supplemented ATP for the later reactions. Additionally, we tested three different long-chain fatty aldehydes with the LuxAB-Fre system and confirmed that all tested aldehydes generated luminescence (Figure 6E). Since octanaldehyde showed strong luminescence and high solubility in the reaction, we chose octanaldehyde as the standard substrate in this report.
3.3.2 Substrate specificities among different luciferase systems.
Next, we examined the substrate specificities of H3H-Luz and LuxAB-Fre by comparing the widely used luciferase-substrate pairs: Firefly luciferase (FLuc)-D-luciferin, Renilla luciferase (RLuc)-coelenterazine h, and Nano luciferase (NanoLuc)-furimazine (Figure 7A). First, we tested those substrates individually. Except for NanoLuc, all the luciferases showed significantly stronger luminescence with the substrate supposed to react than others (Figure 7B). Then, we prepared a mixture of all four substrates (All mixture: D-luciferin, coelenterazine h, hispidin, and octanaldehyde). We tested each luciferase to see differences in the luminescence with “All mixture” or “All minus one,” which is without a suitable substrate. We omitted the NanoLuc-furimazine pair from this experiment because NanoLuc reacted with both coelenterazine h and furimazine (Figure 7B). FLuc, RLuc, H3H-Luz, and LuxAB-Fre showed expected luminescence patterns; only the “All mixture” luminesced and the “All minus one” did not (Figure 7C–F, Figure S6). FLuc showed slight luminescence with the “All minus one” because of the
reactivity with coelenterazine h (Figure S7). Because the signal-to-noise ratio was significantly different, we considered this the success of differentiation. We also confirmed the enzyme expressions in the reactions by Western blot analysis (Figure S8). The LuxAB-Fre reaction is not shown in Figure S8, because His-tagged Fre did not show up on the membrane (LuxA and LuxB were not attached to His-tags). His-tagged Fre was detected on a membrane when expressed by itself (Figure S9). We think the absence of the Fre band in the LuxAB-Fre reaction was because the resource competition of expressing three genes reduced each enzyme expression, resulting in invisible bands on the blot membrane. Since we detected the luminescence, we consider the enzymes were still expressed enough to generate measurable luminescence.
3.3.3 Substrate regeneration with LuxABCDE-Fre system.
We propose that the LuxAB-Fre system be used for continuous luminescence reaction. LuxCDE, a protein complex encoded in another part of the LuxABCDE operon, reduces long-chain fatty acids into corresponding long-chain fatty aldehydes\textsuperscript{132}. After the luminescence, Fre and LuxCDE can convert the FMN and long-chain fatty acids back to the LuxAB substrates. Thus, LuxABCDE-Fre can self-replenish its substrates consistently (Figure 8A). First, we tested the luminescence production from long-chain fatty acids. This reaction requires LuxCDE to reduce long-chain fatty acids to the corresponding aldehydes. All the long-chain fatty acids we tried (octanoic acid, decanoic acid, dodecanoic acid, and tetradecanoic acid) generated luminescence (Figure 8B). The reaction with octanaldehyde was a positive control to ensure the LuxAB-Fre working (Figure 8B). Next, we tested whether the LuxABCDE-Fre system can regenerate the substrate to give continuous luminescence. We added the substrate (decanoic acid or octanaldehyde) into the TXTL that had expressed LuxAB-Fre and LuxCDE to incubate at 25 °C. The luminescence was measured at 0, 0.5, 1, 6, and 8 h. Only the reaction
containing all the LuxABCDE-Fre enzymes retained the luminescence over 8 h (Figure 8C, Figure S10).
The current limitation of the LuxABCDE-Fre substrate regeneration is that we need separately express LuxAB-Fre and LuxCDE in two TXTL reactions. We tried expressing LuxABCDE-Fre in a single TXTL reaction; however, we did not detect luminescence. For the practical applications using the entire pathway, further optimization of TXTL conditions is required. We believe this demonstrated substrate regenerative pathway is still useful, particularly once we achieve the control of larger, multiple gene networks in TXTL.
We tried to reconstitute another substrate regeneration pathway from the fungal system. After Luz produces light and caffeylpyruvic acid, CPH, Hisps, and NPGA convert caffeylpyruvic acid back to hispidin (Figure S11) \textsuperscript{129–131}. However, we could not reproduce those reactions in TXTL, probably because we could not identify co-factors required for the reaction, or \textit{E. coli} TXTL might not be suitable for post-translational modifications required for some, still unidentified, eukaryotic enzymes. For further detail of troubleshooting for this project, see Chapter 8-3 Supplemental experiments, “Efforts to engineer the fungal luciferase substrate regeneration pathway”.
\subsection*{3.3.4 TXTL with reduced metabolic load on host cells.}
Since TXTL is a self-contained biochemical reaction, fewer genes are preferred to avoid resource competitions, which often results in poor protein expression efficiency. The H3H-Luz system, requires two genes for the reporter gene assay, may add extra metabolic burdens to TXTL compared to other single gene luciferases, such as FLuc and RLuc. To reduce the number of genes required for the reporter assay, we prepared a cell-free extract containing H3H in advance; we only needed to express Luz in TXTL for luminescence. We used \textit{E. coli} carrying H3H plasmid in the cell-free extract
preparation (Figure 9A). This plasmid encodes the H3H gene under the *E. coli* constitutive promoter, sigma 70 promoter. We confirmed that H3H pre-expressed TXTL luminesced as Luz expressed in the presence of hispidin, while the minus Luz reaction did not (Figure 9B, Figure S12, Figure S13).
We also tried this metabolic burden reduced TXTL with the LuxAB-Fre system; however, we did not make the system work with our settings. We could not detect any luminescence with TXTL using an *E. coli* extract containing all the enzymes except LuxA or LuxB.
**3.3.5 The capacity for reporter gene fusions.**
Next, because reporter genes are often attached to another gene of interest, we decided to demonstrate Luz’s capacity for reporter gene fusions. We prepared two Luz-fusion constructs: His-eGFP-Luz and Luz-eGFP-His (described as N-term and C-term) $2 \times$ GS-linkers (GGGGS) were inserted between the eGFP and Luz genes. We chose eGFP as another part of a fusion protein because of the easiness of its expression measurement, and chose GS-linker because of the most used peptide linkers. Both N-term and C-term Luz fusion constructs luminescent, although the signal intensities were lower than the Luz without eGFP fusion (Figure 10A). The eGFP fluorescence was stronger for the N-term eGFP fusion when those fusion constructs were expressed in TXTL (Figure 10B). $3 \times$ GS-linkers did not improve the protein expressions compared to the $2 \times$ GS-linkers (Figure S14, Figure S15). Altogether, we claim that a protein can be fused on either terminal of Luz; however, linking a protein of interest in the N-term of Luz might work better, based on the eGFP fluorescence measurement.
We tried LuxA and LuxB as reporter gene fusions; however, we could not find a construct that both fluoresced and luminesced (Figure S16, Figure S17, Figure S18).
We think there is still a chance that LuxA and LuxB can be used as fusion constructs with further optimizations of the combination of linkers and fusion partners.
3.3.6 Optimization of the HiBiT-LgBiT system for TXTL.
We demonstrated another metabolic burden-reduced TXTL with NanoLuc. NanoLuc can be split into two parts: LgBiT (18 kDa subunit derived from N-term NanoLuc) and HiBiT (1.3 kDa peptide, 11 amino acids, derived from C-term NanoLuc)\textsuperscript{136,137}. First, we made HiBiT constructs linking with eGFP on either end of HiBiT. Those constructs successfully fluoresced, and the signal was stronger for eGFP on the C-term of HiBiT (Figure 11A, Figure S19). To make a cell-free extract, we used \textit{E. coli} carrying a plasmid of the LgBiT gene, a bigger fragment of NanoLuc. This LgBiT-carrying TXTL only requires 11 amino acids (HiBiT) expression for luminescence generation (Figure 11B). With end-point measurement, we confirmed the N-term and C-term HiBiT fusion constructs generated brighter signals than NanoLuc in the LgBiT carrying TXTL, and the N-term fusion produced the brightest luminescence (Figure 11C). Next, we measured the kinetics of luminescence during the HiBiT expressing TXTL reactions. HiBiT with C-term eGFP fusion generated luminescence earlier (max at 10 min) than with N-term eGFP fusion (max at 40 min) (Figure 11D, Figure S20, Figure S21). This timing differences are probably because the N-term eGFP fusion construct cannot complete NanoLuc formation and luminesce until the whole GFP-NanoLuc is expressed. In contrast, the C-term fusion expresses HiBiT first.
3.4 Summary and perspectives
In this work, we established the use of two new luciferase systems as protein expression reporters in cell-free translation systems, and we demonstrated a technique that minimizes the metabolic burden on TXTL while using the split luciferase assay. The work presented in this paper expands the toolbox of luminescent protein reporters for cell-free
applications, building a more complete and versatile platform for a variety of cell-free and synthetic cell applications.
3.5 Materials and methods
DNA oligonucleotides were purchased from Integrated DNA Technologies (IDT). Thermal cyclers used for sample incubation were Bio-Rad T100 thermo cyclers running software version 1.201. A plasmid for fungal luciferase pathway, P307-FBP_6, was a gift from the Daniel Voytas lab at the University of Minnesota\textsuperscript{131}. Cloning vector plasmids, pCI-T7Max-UTR1-CTerminus8xHis-T500 and pCI-T7Max-UTR1-NTerminus8xHis-T500, were obtained from our lab stock\textsuperscript{116}. Plasmids for other luciferases, pGreen\_dualluc\_3'UTR\_sensor, pGEN-luxCDABE, pUAS-NanoLuc, and pBad-LgBiT-PhoCl1-SmBiT-MBP, were purchased from Addgene\textsuperscript{138–140}.
3.5.1 TXTL reactions.
This protocol was adapted from Noireaux\textsuperscript{26} and Jewett\textsuperscript{27} protocols. The Rosetta 2 (Novagen, 71,400) cell extract preparation was followed by the method described previously\textsuperscript{60} with one modification. A 750 ml 2xYPTG was grown at 30 °C instead of 37 °C. For H3H or LgBiT containing TXTL, Rosetta 2-derived strains carrying pLumi-H3H or pLumi-LgBiT were used for cell extract preparation. The electrocometent cells were prepared from Rosetta 2 \textit{E. coli}, and the plasmid, pLumi-H3H or pLumi-LgBiT, was transformed. The successful transformant was selected through ampicillin resistance.
Cell-free transcription-translation (TXTL) reactions were composed of the following: 12 mM Magnesium glutamate; 140 mM potassium glutamate; 1 mM DTT; 1.5 µM T7 RNA polymerase; 0.4 U/µl Murine RNase Inhibitor (NEB, M0314S); 1 × cell-free prep; 1 × energy mix; and 1 × amino acid mix. The plasmid concentrations were 15 nM. Unless otherwise specified, the TXTL reactions were incubated at 30 °C for 8 h, followed by 4 °C hold.
10× Energy mix composition was the following: 500 mM HEPES, pH 8; 15 mM ATP; 15 mM GTP; 9 mM CTP; 9 mM UTP; 2 mg/mL *E. coli* tRNA; 0.68 mM Folinic Acid; 3.3 mM NAD; 2.6 mM Coenzyme-A; 15 mM Spermidine; 40 mM Sodium Oxalate; 7.5 mM cAMP; 300 mM 3-PGA.
10× amino acid mix was prepared by mixing 20 mM of the following amino acids: alanine, arginine, asparagine, aspartic acid, cysteine, glutamic acid, glutamine, glycine, histidine, isoleucine, leucine, lysine, methionine, phenylalanine, proline, serine, threonine, tryptophan, tyrosine, and valine. Those amino acids were dissolved in pH 6.5, 400 mM potassium hydroxide solution.
**3.5.2 Western blot analysis.**
The Western blot was performed with a method described previously\(^{116}\). The samples were fractionated on a 37.5:1 acrylamide:bis-acrylamide SDS-page gel at 100 V in 800 ml 1 × SDS running buffer (25 mM Tris, 192 mM Glycine, 3.5 mM SDS). The gel percentage and fractionation time varied and are indicated on each figure. The blots were imaged by ChemiDoc MP Imaging System with Image Lab Software (BIORAD), with the image application Blots, Chemi hi sensitivity reagent and Colorimetric. The chemiluminescent blot image and colorimetric image of the same blot were combined using the software merging function.
**3.5.3 Luciferase assays.**
*Substrate preparation.*
The chemicals used in the luciferase assay were as follows: FMN-Na (Alfa Aesar, J66949.09), NADPH (Cayman Chemical Company, 9000743), ATP (Larova GmbH, ATP_100ML), D-luciferin (Cayman Chemical Company, 25836), coelenterazine (Cayman Chemical Company, 16123), coelenterazine H (Promega, S2011), frimazine
(Aoblous, AOB36539), hispidin (Cayman Chemical Company, 10012605), octanaldehyde (Fisher Scientific, O004425ML), decyl aldehyde (Fisher Scientific, AC154971000), dodecyl aldehyde (fisher scientific), octanoic acid (Fisher Scientific, O002725ML), decanoic acid (Fisher Scientific, AC167271000), dodecanoic acid (Fisher Scientific, S25377), tetradecanoic acid (Fisher Scientific, AAA1206730). D-luciferin, furimazine, and hispidin were dissolved in DMSO as 10 mM stocks. Coelenterazine and Coelenterazine H were dissolved in ethanol as 10 mM stocks. Long-chain fatty aldehydes and acids were dissolved in ethanol as 500 mM stocks. Dodecyl aldehyde was not soluble in 100% ethanol at the concentration of 500 mM; we used the suspension with vortexing each time.
**Luminescence measurement setting.** The luminescence measurements were performed with SpectraMax Gemini EM Microplate Reader or SpectraMax Gemini Microplate Reader. The readings were performed by measuring the luminescence of all the wavelengths with readings “6” and photomultiplier tube (PMT) setting “medium”. 15 µl of samples were transferred to a 384 well white flat bottom assay plate (Corning®, 3705) and measured. For the kinetics measurements, the plate was sealed tightly to avoid evaporation.
**End-point luciferase assay.**
Enzymes were expressed in 20 µl TXTL with each plasmids’ concentration of 15 nM at 30 °C for 6 h. Then, in 50 µl luciferase reactions, the 20 µl TXTL, substrates, and cofactors were mixed. The substrate concentrations were 1 mM for aldehydes (octanaldehyde, decyl aldehyde, or dodecyl aldehyde) or 10 µM for other substrates (D-luciferin, coelenterazine H, Furimazine, and Hispidin). FLuc reaction contained 5 mM MgCl₂ and 1 mM ATP; fungal luciferase (H3H-Luz) reaction contained 1 mM NADPH; LuxAB + Fre reaction contained 100 µM FMN, 1 mM NADPH, and 1 mM ATP. For
multiplexing assay, luciferase reactions were prepared with “All” the substrates or “All minus one” substrate. The substrate concentrations were 1 mM for octanaldehyde and 10 μM of other substrates (D-luciferin, coelenterazine H, Furimazine, and Hispidin). The reaction also contained 1 mM MgCl₂, 1 mM ATP, 1 mM NADPH, and 100 μM FMN. Immediately after mixing the reaction, luminescence was measured by a plate reader. For the control, water was added instead of the components.
**LuxCDABE-Fre substrate regeneration assay.**
For the end-point measurement, TXTL 1 and TXTL 2 were prepared separately. TXTL 1 contained 15 nM LuxA, LuxB, and Fre plasmids, and TXTL 2 contained 15 nM LuxC, LuxD, and LucE plasmids. After incubating TXTL at 30 °C for 6 h, luciferase reactions were prepared with TXTL 1 and 2. The 50 μl luciferase reactions contained 20 μl TXTL 1, 20 μl TXTL 2, 100 μM FMN, 1 mM NADPH, 1 mM ATP, and 1 mM substrates (octanoic acid, decanoic acid, dodecanoic acid, 1-tetradecanoic acid, or octanaldehyde.) Immediately after mixing the luciferase reaction, the luminescence was measured by a plate reader. For the control reaction, water was added into the TXTL instead of the plasmid. The reaction components for the kinetics measurement were the same as the end-point measurement. The reading was performed every 5 min for 8 h.
**3.5.4 eGFP fluorescence measurements.**
The fluorescence was measured at λₐₓ 488 nm and λₑₘ 509 nm with plate reader PMT setting “medium” and 6 reads per well. All fluorescence measurements were performed on SpectraMax. For the endpoint measurement, 19 μl of TXTL reaction was transported into a 384 black bottom well plate to measure.
3.5.5 RT-qPCR
The DNA in 2 µl of TXTL reaction was degraded with 0.5 µl of TURBO DNase (2 U/µl, Invitrogen, AM2238) at 37 °C for 30 min. The TXTL reaction was quenched by addition of 15 mM EDTA and incubated at 75 °C for 10 min. The denatured proteins were pelleted through centrifugation at 3200 × g for two minutes. To prepare a 20 µl reverse transcription reaction, 2 µl of DNase-treated sample was mixed with 1 µM reverse primer (Luz: TTT GGC ATT CTC GAC GAT TTTAC, HiBiT-eGFP fusion constructs: GAT CCC GGC GGC), 10 mM DTT, 0.5 mM dNTP (Denville, CB4430-2), 5 U/µl protoscript II reverse transcriptase (NEB, M0368X), 1 × protoscript II reverse transcriptase buffer, and 0.4 U/µl Murine RNase Inhibitor (NEB, M0314S). The reverse transcription was performed at 42 °C for one hour, followed by the inactivation at 65 °C for 20 min. A 25 µl qPCR reaction was performed by mixing the following: 1 µl of the reverse transcribed DNA, 0.8 µM forward (Luz: CTG TGG AGT TGT CCTCG, HiBiT-eGFP fusion constructs: AAG TTC ATC TGC ACC ACC) and reverse (Luz: GTG TGA GGT AAT ACT CGG TC, HiBiT-eGFP fusion constructs: TTG AAG TCG ATG CCC TTC) primers, 1 × OneTaq Hot Start 2X Master Mix with Standard Buffer (NEB, M0484L), and 1 × Chai Green Dye (CHAI, R01200S). The qPCR was performed on CFX96 Touch Real-Time PCR Detection System (BioRad). The thermocycling program was set up as follows: one cycle of 30 s denaturation at 95 °C, 30 cycles of 15 s denaturation at 95 °C, 15 s annealing at 50 °C, 30 s extension at 68 °C, and one cycle of five minutes final extension at 68 °C. The amplification curves plotted through CFX Maestro Software to determine Cq values and averaged across three replicates of each sample were calculated separately.
3.5.6 Cloning
Primer sequences are listed in Table S3. Gene sequences are listed in Table S4.
Plasmid names constructed in this paper are summarized in Table S5. Plasmids named with pTXTL contain a carbenicillin resistance gene and plasmids named with pLumi contain an ampicillin resistance gene for antibiotic selection. All the cloned plasmid sequences were verified by sequencing.
pTXTL-T7max-H3H, pTXTL-T7max-Luz, pTXTL-T7max-LuxA, pTXTL-T7max-LuxB, pTXTL-T7max-LuxC, pTXTL-T7max-LuxD, pTXTL-T7max-LuxE, pTXTL-T7max-Fre, pTXTL-T7max-FLuc, pTXTL-T7max-RLuc, and pTXTL-T7max-NanoLuc cloning.
The vector plasmid, pCI-T7Max-UTR1-CTerminus8xHis-T500, was digested with restriction enzymes at 37°C for 1 hour in 1x CutSmart Buffer (NEB, B7204). SpeI-HF (NEB, R3133L) and MluI-HF (NEB, R3198L) were used for H3H, Luz, Fre, FLuc, RLuc, and NanoLuc cloning. SpeI-HF and XhoI (NEB, R0146S) were used for LuxA, LuxB, LuxC, LuxD, and LuxE cloning. The digested plasmids were agarose gel purified using GenCatch Gel Extraction Kit (Epoch life science, 2260250). The purified vectors were treated with shrimp alkaline phosphatase (NEB, M0371L) at 37°C for 30 minutes, followed by the deactivation at 65°C for 15 minutes. Individual genes were amplified by Q5 High-Fidelity DNA Polymerase Master Mix (NEB, M0492L). H3H was amplified with P307-FBP_6, Primer1, and Primer2. Luz gene was amplified with gblock1, Primer3, and Primer4. Fre gene was amplified with gblock2, Primer15, and Primer16. FLuc and RLuc genes were amplified with pGreen_dualluc_3'UTR_sensor and primers (FLuc primers: Primer17 and Primer18, RLuc primers: Primer19 and Primer20). NanoLuc gene was amplified with pUAS-NanoLuc, Primer21, and Primer22. LuxA, LucB, LuxC, LuxD, and LuxB genes were amplified with pGEN-luxCDABE and primers (LuxA primers: Primer5
and Primer6, LuxB primers: Primer7 and Primer8, LuxC primers: Primer9 and Primer10, LuxD primers: Primer11 and Primer12, and LuxE primers: Primer13 and Primer14).
The PCR amplified genes were gel purified with GenCatch Gel Extraction Kit followed by restriction enzyme digestion, which the enzymes were the same as those that were used for vector digestion. The digested products were purified with GenCatch PCR Cleanup Kit (Epoch life science, 2360250). The vector and genes were ligated by T4 DNA Ligase (NEB, M0202L) in 1x T4 DNA Ligase reaction buffer (NEB, B0202S) at 16°C overnight. The following day, the ligase was deactivated at 65°C for 15 minutes and then transformed into *E. coli*.
*pTXTL-T7max-HisGFPLuz, pTXTL-T7max-LuzGFPHis,* and *pLumi-T7max-H3H cloning.*
PCR reactions with Q5 High-Fidelity DNA Polymerase Master Mix were prepared to produce PCR fragments. For *pTXTL-T7max-HisGFPLuz*, (1) N-term-His-eGFP sequence was amplified with Primer23 and Primer24, (2) Luz sequence was amplified with Primer25 and Primer26, and (3) the backbone sequence, pCI-T7Max-UTR1-NTerminus8xHis-T500, was amplified with Primer27 and Primer28. For *pTXTL-T7max-LuzGFPHis*, (1) C-term-His-eGFP sequence was amplified with Primer29 and Primer30, and (2) Luz sequence was amplified with Primer31 and Primer32. For *pLumi-T7max-H3H*, (1) the backbone sequence, pGEN-luxCDABE, was amplified with Primer33 and Primer34, and (2) H3H was amplified with Primer35 and Primer36. The PCR products were purified with GenCatch PCR Cleanup Kit. The assembly was performed by circular polymerase extension cloning (CPEC) reaction, which was previously described\(^{32}\), then transformed into *E. coli*.
*pTXTL-T7max-HisGFPHiBiT, pTXTL-T7max-HiBiTGFPHis,* and *pLumi-T7max-LgBiT cloning.*
PCR reactions with 1x Q5 High-Fidelity DNA Polymerase Master Mix were prepared to produce PCR fragments. For pTXTL-T7max-HisGFPHiBiT, (1) pTXTL-T7max-HisGFPLuz sequence was amplified with Primer37 and Primer38, and (2) pTXTL-T7max-HisGFPLuz was amplified with Primer39 and Primer40. For pTXTL-T7max-HiBiTGFPHis, (1) pTXTL-T7max-LuzGFPHis was amplified with Primer41 and Primer37, and (2) pTXTL-T7max-LuzGFPHis was amplified with Primer42 and Primer40. For pLumi-T7max-LgBiT, (1) pBad-LgBiT-PhoCl1-SmBiT-MBP was amplified with Primer43 and Primer44, and (2) pGEN-luxCDABE was amplified with Priemr45 and Primer33, and (3) pGEN-luxCDABE was amplified with Primer46 and Primer34. The PCR products were purified with GenCatch PCR Cleanup Kit. The assembly was performed with Gibson Assembly 1x Master Mix (NEB, E2611L) and incubated at 50°C for 30 minutes. The assembled products were transformed into *E. coli*.
3.6 Figures
Figure 6 Characterization of H3H-Lux and LuxAB-Fre luciferase systems in TXTL
(A) Schematic of H3H- Luz luciferase reaction. Hispidin is converted to 3-hydroxyhispidin by hispidin-3-hydroxylase (H3H) and 3-hydroxyhispidin is oxidized and converted into a high energy intermediate by the luciferase (Luz). This intermediate decays into caffeylpyruvic acid with light emission. (B) The H3H-Luz luminescence measurement. H3H and Luz were expressed in TXTL. The luminescence was measured right after
adding NADPH and hisipidin into the TXTL. (C) Schematic of LuxAB-Fre luciferase reaction. Oxidized flavin mononucleotide (FMN) is reduced into reduced flavin mononucleotide (FMNH$_2$) by NAD(P)H-flavin reductase (Fre). The luciferase (LuxAB) converts FMNH$_2$ and long-chain aldehydes into FMN and the corresponding long-chain acids with light emission. (E) ATP supplementation increased the light emission of LuxAB-Fre. Octanaldehyde was added as the substrate. (D) The LuxAB-Fre luminescence measurement with different long-chain fatty aldehydes. LuxA, LuxB and Fre were expressed in TXTL. The luminescence was measured right after adding FMN, NADPH, ATP, and substrates (octanaldehyde, decyl aldehyde, and dodecyl aldehyde.) NADPH, nicotinamide adenine dinucleotide phosphate; ATP, adenosine triphosphate; Control, reaction without enzyme expression. The graphs show means with error bars that signify SEM ($n = 3$).
Figure 7 Characterization of substrate specificities
(A) Schematic image of firefly luciferase (FLuc), renilla luciferase (RLuc), and NanoLuc luciferase (NanoLuc) reactions. FLuc oxidizes D-luciferin with ATP and Mg$^{2+}$ to produce light. RLuc and NanoLuc oxidize coelenterazine h and furimazine, respectively, with ATP.
to produce light. (B) Luminescence measurement for substrate specificity assay for 5 luciferases. The luciferases (FLuc, RLuc, NanoLuc, H3H-Luz, and LuxAB-Fre) were expressed in TXTL. Then, the individual substrates (D-luciferin, coelenterazine h, furimazine, hispidin, and octanaldehyde) with corresponding co-factors were added to the reaction and measured its light emission without emission filters. Substrate concentrations were 10 μM, except 1 mM for octanaldehyde. (C–F) The substrate multiplexing assay. The substrate mixtures were prepared as “All” (D-luciferin, Coelenterazine h, hispidin, octanaldehyde, Mg⁺, ATP, NADPH, FMN) or “All minus one” that contains all except one that a substrate is supposed to react with a tested luciferase. The assay was performed by mixing substrates with TXTL expressing (C) FLuc, (D) RLuc, (E) H3H-Luz, or (F) LuxAB- Fre, and the luminescence was measured without emission filters. ATP, adenosine triphosphate. The graphs show means with error bars that signify SEM (n = 3).
(A) The schematic of the LuxABCDE-Fre substrate regeneration system. LuxAB generates light with reduced flavin mononucleotide (FMNH$_2$) and long-chain aldehyde; those substrates are converted into oxidized flavin mononucleotide (FMN) and corresponding long-chain acid. NAD(P)H-flavin reductase (Fre) reduces FMN back to FMNH$_2$, and LuxCDE reduces the acid back to the corresponding aldehyde. (B) Luminescence measurement with the LuxABCDE-Fre system. LuxAB-Fre and LuxCDE were expressed in TXTL and mixed with 1 mM long-chain fatty acids (octanoic acid, decanoic acid, dodecanoic acid, or tetradecanoic acid) or caprylic aldehyde, followed by
luminescence measurement. The reaction also contained FMN, NADPH, and ATP. Control represents a reaction using TXTL without enzyme expression. (C)
Luminescence kinetics measurement with decanoic acid. LuxAB-Fre and LuxCDE were expressed in TXTL. For LuxABCDE-Fre reaction, the TXTL expressing LuxAB-Fre and LuxCDE were mixed with 1 mM decanoic acid (time = 0). For LuxAB-Fre reaction, the TXTL expressing LuxAB-Fre was used. For Control reaction, TXTL without enzyme expression was used. The reaction also contained FMN, NADPH, and ATP. The luminescence was measured after 0.5, 1, 6, and 8 h. The graphs show means with error bars that signify SEM (n = 3).
Figure 9 H3H-Luz tested with metabolic burden-reduced TXTL
(A) The schematic of how H3H-carrying TXTL works. The plasmid coding H3H gene under the sigma 70 promoter is transformed into *E. coli* Rosseta 2 strain. The cell-free extract is made with that strain; thus, the extract contains H3H. Once Luz is expressed in the TXTL, Luz produces luminescence by coordinating with H3H.
(B) Luminescence measurement in the H3H pre-containing TXTL. Luz plasmids were incubated with hispidin at 30 °C in TXTL. The Luz plasmid containing reaction (yellow dots) generated light during the TXTL reaction, while the reaction without Luz plasmid did not (black dots.) The graphs show means with error bars that signify SEM (n = 3).
Figure 10 Luz’s capacity as reporter gene fusions
(A) Luminescence measurement of the H3H-Luz system with the eGFP fused Luz constructs. H3H and Luz were expressed in TXTL. After the expression, hispidin and NADPH were added, followed by luminescence measurement. (B) Fluorescence measurement of the eGFP fused Luz. Luz proteins were expressed in TXTL and the fluorescence was measured. Luz, Luz luciferase without a fusion protein; N-GFP, N-terminal eGFP fusion with Luz; C-GFP, C-terminal eGFP fusion with Luz; Control, reaction without enzyme expression. The graphs show means with error bars that signify SEM (n = 3).
Figure 11 Demonstration of the use of HiBiT reporter system in TXTL
(A) eGFP fluorescence measurement of the HiBiT-GFP fusion proteins. Fusion proteins were expressed in TXTL at 30 °C for 8 h, followed by the fluorescence measurement.
(B) The schematic of how LgBiT-carrying *E. coli* cell-free extract works. The plasmid coding LgBiT gene under the sigma 70 promoter is transformed into *E. coli* Rosetta 2 strain. The cell-free extract is made with that strain; thus, the extract contains LgBiT. Once HiBiT is expressed in TXTL, HiBiT produces luminescence by reconstituting a full luciferase with LgBiT.
(C) End-point luminescence assay with the fusion HiBiTs. The
fusion HiBiTs were expressed in the LgBiT-containing TXTL at 30 °C for 8 h. After the expression, 1 µM Furimazine was added, followed by luminescence measurement. (D) Luminescence kinetics measurement with the LgBiT-containing TXTL. HiBiT plasmids and Furimazine were added at the TXTL reaction set up and incubated at 30 °C. The luminescence was measured every 5 min during the TXTL reaction. N-GFP, N-terminal eGFP fusion with HiBiT; C-GFP, C-terminal eGFP fusion with HiBiT; Control, reaction without enzyme expression. The graphs show means with error bars that signify SEM (n = 3).
3.7 Acknowledgements
We thank Dr. Arjun Khakhar for providing insights and information on the fungal luciferase pathway. We thank Dr. Daniel Voytas and Dr. Arjun Khakhar for the gift of the plasmid containing five enzymes for the fungal luciferase pathway. We thank Dr. Vincent Noireaux for the gift of T7 RNA polymerase plasmid. We thank Evan Kalb for the discussion of the HiBiT/LgBiT luciferase system. This work was supported by NIH award 5R01MH114031 RNA Scaffolds for Cell Specific Multiplexed Neural Observation, NASA award 80NSSC18K1139 Center for the Origin of Life—Translation, Evolution And Mutualism, NSF award 1807461 SeMiSynBio Very Large scale genetic circuit design and automation, NSF award 1840301 RoL:FELS:RAISE Building and Modeling Synthetic Bacterial Cells, and the Funai Foundation for Information Technology.
Chapter 4 – Gene expression control technology for *E. coli* TXTL
4.1 Copyright Information
Chapter 4 is adapted with permission from Sato W, Rasmussen R, Gaut N, Devarajan M, Stokes K, Deich C, Engelhart AE, Adamala KP. (2022) A gene expression control technology for cell-free systems and synthetic cells via targeted gene silencing and transfection. bioRxiv 2022.07.28.501919; doi: https://doi.org/10.1101/2022.07.28.501919
4.2 Introduction
Cell-free transcription-translation (TXTL) is a versatile protein expression platform used in synthetic biology. In response to a number of applications like genetic circuits\textsuperscript{106,141}, metabolic engineering\textsuperscript{142,143}, and communication networks\textsuperscript{103}, there is an increasing demand for precisely controlled gene expression methods. Various technologies have been proposed to regulate protein expression and abundance in cell-free systems, such as transcription factors\textsuperscript{141}, CRISPR technologies\textsuperscript{144,145}, and the AAA+ family of proteases for tagged protein degradation\textsuperscript{120,146}. However, to regulate specific genes towards constructing complex synthetic cells for biological research and practical applications, less complicated and quickly implemented methods without protein association need to be explored alongside current technologies.
Using antisense oligonucleotides to inhibit the mRNA translation has been intensively explored, especially in the research for therapeutic approaches\textsuperscript{147–149}. Some antisense oligonucleotide drugs are currently on the market with FDA approval\textsuperscript{150}. In the cellular environment, the mechanisms of antisense oligonucleotide driven inhibition include: (1) translational arrest, (2) RNase H1 associated mRNA degradation, (3) inhibition of 5’ cap formation, and (4) alternation of the splicing process\textsuperscript{148,149}. Despite the tremendous
number of studies in therapeutics, those antisense oligonucleotides’ functions in cell-free systems, such as *Escherichia coli* lysate-based TXTL, have not been clearly reported. Thus, we decided to characterize the inhibitory activity of different designs of antisense oligonucleotides and we aimed to develop a gene-specific inhibitor called a “silencing oligo” as a tool for cell-free systems and synthetic cells.
Transfection, using lipid reagents to facilitate the uptake of nucleic acids, is one of the most common ways to introduce foreign genes to live cells.\(^{151,152}\) In liposomal synthetic minimal cells, the only way to add genetic material after the formation of cells is to induce fusion with another liposome (which causes dilution of the cell content)\(^{60,153}\) or the use of cell-penetrating peptides carrying a nucleic acid payload (which has significant payload size limitations)\(^{61}\). Transfection enables the introduction of genetic material to induce or silence the expression of genes in tested cells. Engineering a transfection system for synthetic minimal cells is crucial to developing synthetic cells as a robust platform mimicking functions and processes of natural biology. Here we demonstrate a transfection system that works in one of the most commonly used synthetic cell liposome membranes. We demonstrate the use of this transfection system to deliver silencing oligos to regulate gene expression in synthetic cells.
4.3 Results and Discussion
4.3.1 Characterization of silencing oligos in cell-free systems
Transfection, using lipid reagents to facilitate the uptake of nucleic acids, is one of the most common ways to introduce foreign genes to live cells\(^{151,152}\). In liposomal synthetic minimal cells, the only way to add genetic material after the formation of cells is to induce fusion with another liposome (which causes dilution of the cell content)\(^{60,153}\) or the use of cell-penetrating peptides carrying a nucleic acid payload (which has significant payload size limitations)\(^{61}\). Transfection enables the introduction of genetic material to
induce or silence the expression of genes in tested cells. Engineering a transfection system for synthetic minimal cells is crucial to developing synthetic cells as a robust platform mimicking functions and processes of natural biology. Here we demonstrate a transfection system that works in one of the most commonly used synthetic cell liposome membranes. We demonstrate the use of this transfection system to deliver silencing oligos to regulate gene expression in synthetic cells.
The design that showed the most potent inhibition of eGFP expression was “2OMe-oligo” (Figure 12a). We replaced 2’-O-methylated RNA with DNA on both sides of the oligonucleotides (Figure 12abc). The 2OMe-oligo showed a clear reduction in eGFP expression (Figure 12d). We added this 2’-O-methylated RNA modification because the unmodified DNA oligonucleotides did not efficiently suppress eGFP (Figure 12d, Unmod-oligos). We found some variation in the inhibition strength depending on what region was targeted. The strongest target was the chromophore targeting oligo with 0.04-fold eGFP expression compared to the control (Figure 12b, 2OMe-Chrom). When we tested a longer oligo, 20nt, the inhibition activity increased and suppressed eGFP expression completely (Figure 12b, 2OMe-Start+6bases). This increased inhibition is probably because of the oligo’s increased annealing temperature, which resulted in a more stabilized duplex formation in TXTL.
Then, we tested the sequence dependency of 2OMe-oligos to inhibit gene expression. We used the 2OMe-oligo containing an unrelated sequence to the eGFP mRNA. Although we observed a reduction in eGFP expression with unspecific 2OMe-oligo at 1 and 10 µM, sequence-specific inhibition was significant (Figure 12e). We further tested the sequence dependency by expressing eGFP and mCherry in a single TXTL reaction. The 2OMe-oligo contains the eGFP mRNA’s complement sequence and does not bind with the mCherry mRNA. Although mCherry expression also decreased at oligo
concentrations of 10 and 5 µM, the reduction of eGFP expression was more significant. These results demonstrated that 2OMe-oligos inhibit gene expression in TXTL sequence-dependently, with weaker off-target inhibition.
Another oligo design that inhibited eGFP expression in TXTL is called a “dumbbell-oligo” (Figure 12g). We observed the strongest inhibition with the oligo targeting the chromophore resulting in 0.35-fold eGFP expression compared to the control (Figure 12h, Dumbbell-Chrom). The dumbbell-oligos’ inhibition on eGFP expression was weaker than the 2OMe-oligo; however, they still showed significant inhibition and sequence-dependency when we compared eGFP specific and unspecific dumbbell-oligos (Figure 12i).
We also tested some silencing oligos in the PURE system, another cell-free protein expression platform. PURE contains 36 purified enzymes involved in transcription and translation with purified 70S ribosomes\textsuperscript{45}. Interestingly, when we tested silencing oligos in PURE, we observed that some designs worked better than in TXTL. The most prominent difference was from an unmodified RNA oligo that did not work in TXTL but only expressed 0.09-fold eGFP compared to the control (Figure 12jk, Figure S28, Figure S29). The Unmodified DNA oligos also suppressed eGFP expression: 0.48-fold eGFP expression compared to the control, while those did not inhibit in TXTL (Figure 12dl). The 2OMe- and dumbbell-oligos did not change the inhibition strength much (Figure 12dhl).
Regarding the unmodified DNA oligo, we initially assumed the reason for non-inhibition was due to DNA degradation by nucleases in TXTL (Figure 12d). TXTL contains endogenous nucleases, and RecBCD is the major contributor to linear DNA fragment degradation in TXTL\textsuperscript{154}. We tried two approaches to verify this assumption in two ways: adding RecBCD inhibitor GamS and using Akaby TXTL, a TXTL system without RecB.
Both of them are verified to protect linear DNA in TXTL\textsuperscript{26,154}. However, we did not see any enhancement of their inhibition activity on eGFP expression (Figure S28, Figure S29). Thus, the oligo degradation is not the reason for inefficient inhibition of unmodified DNA expression in TXTL. Potential explanations could be helicases or DNA binding proteins absent in the PURE reaction; however, more investigation is needed to get a clear explanation.
We also tested four other silencing oligo designs: a duplex-ends DNA oligo pair and two DNAzymes\textsuperscript{155} (Figure S30). Even though the other oligo-designs showed mild inhibition of eGFP expression in TXTL, it was not strong enough to declare that they can be used as inhibitors. The strongest design was the duplex-ends oligo targeting the chromophore with 0.49-fold eGFP expression compared to the control.
Additionally, we tried to see how plasmid and oligo ratios affect the inhibition of eGFP expression and tested varied ratios of eGFP plasmids and silencing oligos: 2OMe-oligo or dumbbell-oligo. At a plasmid concentration of 10 or 15 nM, the silencing activities of the 2OMe-oligo were consistent between the two concentrations (Figure S31 and Figure S32). Thus, the silencing oligo concentration seems to determine the strength of the inhibitory activity rather than the ratio between the plasmids and oligos. The increase in variation and error is due to the lower concentrations of plasmids giving a lower eGFP fluorescence intensity. From the data of the plasmid concentration at 1 and 5 nM, we could not determine if a lower amount of template requires less oligo to inhibit expression.
4.3.2 Investigation on the 2OMe-oligo working mechanism
Since the 2OMe-oligo showed the strongest gene silencing activity, we decided to explore its inhibition mechanism. First, we performed qPCR to measure mRNA abundance in the TXTL reactions with 2OMe-oligos. We performed qPCR with three
different 2OMe-oligos: Pos.1, Pos.2, and Pos.3 (Figure 13a). “Pos.1” binds at the start codon and the qPCR amplicon locates a region downstream of the oligo binding site; “Pos.2” binds in the middle and the qPCR amplicon contains the 2OMe-oligo binding site; “Pos.3” binds in the middle and the qPCR amplicon locates a region upstream of the oligo binding site.
While we observed the 2OMe-oligos suppressed eGFP fluorescence in TXTL (Figure 13b), mRNA abundance differed depending on the 2OMe-oligo targeting position (Figure 13c, Figure S33). When using the Pos.1 oligo, the mRNA abundance was as high as the control- TXTL without 2OMe-oligo. However, the mRNA abundance significantly decreased when we used the Pos.2 or Pos.3 oligos. We also performed the same experiment in PURE. Surprisingly, when we used the Pos.2 or Pos.3 oligos, we did not see eGFP expression inhibition (Figure 13d). The mRNA abundance with the Pos.1 or Pos.3 oligos was as high as the control, and the Pos.2 oligo slightly reduced the abundance (Figure 13e, Figure S34).
The above results indicate that two mechanisms are involved in 2OMe-oligo silencing, dependent on where the 2OMe-oligo binds. A previous report also mentioned these mechanistic differences\textsuperscript{156}. The inhibition mechanism may be irrelevant to the mRNA degradation for the Pos.1 oligo, which binds at the start codon. The mechanism is probably due to the steric hindrance of the 2OMe-oligo, which prevents ribosome translation initiation\textsuperscript{147}. For the Pos.2 and Pos.3 oligos, which bind in the middle of the gene, the inhibition mechanism seems to be associated with mRNA degradation.
**4.3.3 RNase H involvement in 2OMe-oligo inhibition**
RNase H1 is an endonuclease that cleaves RNA upon the hybridization with DNA. To see the effect of RNase H with the silencing oligos, we first added purified RNase H into the TXTL reaction (Figure S35). Adding RNase H in TXTL reduced eGFP expression
efficiency (Figure S35, “None + RNase H” vs. “None”); however, we did not observe silencing oligo-dependent inhibition of expression. This observation initially surprised us because the widely used antisense oligo drugs require the RNase H activity to cleave and inactivate the gene expression of the targeted mRNA\textsuperscript{148,149,157}.
We then hypothesized that endogenous RNase H in the extract already contributed to the silencing oligo inhibition. To confirm this, we removed RNase H from the cell extract. Although \textit{E. coli} contains two RNase H genes (RNase HI and RNase HII, encoded by \textit{rnhA} and \textit{rnhB} genes, respectively), RNase HI is the only enzyme that attacks RNA:DNA hybrids in vitro.\textsuperscript{158} Thus, we proceeded to remove RNase HI from TXTL (\textit{\Delta}RNase HI TXTL). To make such a TXTL, we inserted an 8x-Histidine tag (His-tag) on the N-terminus of \textit{rnhA} in the \textit{E. coli} genome; we named the strain “Hina HI (His-tagged RNase HI)” (Figure S36, Figure S37). Using Hina HI allows us to remove His-tagged RNase HI during cell extract preparation by treatment with Ni-NTA beads.
In the \textit{\Delta}RNase HI TXTL, inhibition was reduced dramatically for the Pos.2 and Pos.3 oligos (Figure 13f). This observation revoked what we saw in the PURE experiment (Figure 13d). RNase HI may be the reason for the differences between TXTL and PURE (Figure 13bd). To confirm this, we supplemented RNase H into the \textit{\Delta}RNase HI TXTL and PURE reactions and successfully restored the gene inhibitory activity of the Pos.2 and Pos.3 oligos (Figure 13gh).
From these results, we think RNase HI cleaves mRNA upon binding of the silencing oligo, reducing gene expression. The mRNA abundances for the Pos.2 and Pos.3 reactions endorse this hypothesis: decreased mRNA in TXTL and high mRNA retention in PURE (Figure 13ce). The potential slight decrease in mRNA abundance for the Pos.2 oligo in PURE might be because of the Pos.2 binding in the middle of the qPCR.
amplicon. That binding may prevent a PCR reaction and decrease the detectable amount of mRNA. 2OMe-oligo inhibitory activities in ΔRNase HI TXTL (Figure 13fg) were lower than in the normal TXTL (Figure 13b). This difference might come from batch differences or the ΔRNase HI procedure might affect TXTL composition. Since we saw a significant difference in the Pos.2 and Pos.3 oligo silencing activities with the addition of RNase H, we did not consider this a serious concern for understanding the RNase H involvement in the 2OMe-oligo gene silencing mechanism.
4.3.4 tmRNA involvement in 2OMe-oligo inhibition
Considering the 2OMe-oligo mechanism, we wondered if we could detect truncated protein expression since the silencing oligo binds the middle of the gene. Ribosomes should translate the mRNA up to the 2OMe, even though eventually, the mRNA gets cleaved and degraded. To see if this translation occurs in TXTL, we used the Pos.3 oligo. The truncated protein length before the Pos.3 oligo binding site is 17 kDa, while the full-length N-terminus His-tagged eGFP is 27 kDa.
With the reaction containing the N-term His-tagged eGFP gene and the Pos.3 oligo, we did not see the expected size of the truncated product on a Western blot (Figure 13i, lane 2). This suggests the truncated protein was either unproduced or degraded. When the mRNA is cleaved by RNases (including RNase HI), ribosomes get stalled in the middle of the mRNA. In such cases, *E. coli* can use the transfer-messenger RNA (tmRNA) system.\(^{159,160}\) Briefly, tmRNA first binds to the stalled ribosome like transfer RNA and then adds a degradation tag (ssrA-tag) at the end of nascent synthesized truncated proteins. With the tmRNA system, ribosomes, mRNA, and truncated proteins can be released, and the incompletely synthesized proteins are degraded.
TXTL possesses the tmRNA system, and the supplementation of anti-ssrA oligonucleotides, which bind to the ssrA coding sequence of the tmRNA complex, can
protect the synthesized truncated proteins from the tmRNA-associated degradations\textsuperscript{161}. Therefore, we added anti-ssrA oligonucleotides into the reaction to protect the truncated proteins that were translated up to the 2OMe-oligo binding site. By adding anti-ssrA oligo, we could detect the truncated proteins in the TXTL reaction (Figure 13i, lane 1). This result suggests that the tmRNA system associates with 2OMe-oligo gene silencing activity by degrading the truncated proteins and mRNA\textsuperscript{159,160}. When we tried the anti-ssrA supplementation in $\Delta$RNase HI TXTL, we could not observe the truncated proteins; thus, RNase HI cleavage seems required before the tmRNA-associated degradation (Figure S38).
4.3.5 The 2OMe-oligo silencing mechanism in TXTL
Our observations suggested that at least two distinct mechanisms exist depending on the 2OMe-oligo binding position (Figure S39): (1) When the 2OMe-oligo binds near the start codon, the oligo prevents gene expression by preventing translation initiation\textsuperscript{147}. (2) When the 2OMe-oligo binds the later sites downstream from the start codon, RNase H cleaves mRNA at the DNA/RNA hybrid position. Ribosomes translate the mRNA up to the mRNA binding site. The synthesized truncated proteins and the cleaved mRNAs are degraded through the tmRNA system and RNases (such as RNase E)\textsuperscript{162}.
In an effort to identify RNases associated with 2OMe-oligo silencing, we also created $\Delta$RNase III TXTL by using a strain “Hina III” (\textit{His-tag RNase III}), which contains N-term His-tagged RNase III in its genome (Figure S36). RNase III is a double-stranded RNA-specific endonuclease. We chose to remove RNase III because the 2OMe-oligo consists of 2’-O-methylated RNA on both sides, and binding on mRNA results in RNA duplex formation that could be a substrate for RNase III. With $\Delta$RNase III TXTL, we observed altered 2OMe-oligo silencing activity for the Pos.1 and Pos.3 oligos (Figure S40) and the truncated eGFP we saw upon anti-ssrA oligo supplementation disappeared (Figure
Thus, there is a possibility that RNase III also involves the 2OMe-oligo’s gene silencing activity; however, it cannot be definitively determined from this experiment. This is because *rnc* (RNase III coding gene) and *era* (GTPase coding gene) are on the same operon and are two important genes for efficient ribosomal processing and maturation\(^{163}\). Affecting the operon by inserting a His-tag and a Kanamycin resistant gene (see method section) could significantly affect gene expression in *E. coli*, resulting in different TXTL compositions. Therefore, further investigation is required to determine the role of RNase III in the 2OMe-oligo silencing mechanism.
### 4.3.6 Transfection in synthetic cells
To engineer a transfection system for the introduction of nucleic acids into lipid-based synthetic cells, we screened two dozen different commercially available transfection reagents (Table S7). Different reagents are known to work best on specific cell lines and carry specific types of payloads. Many of the transfection reagents are known only under their brand names, with their specific lipid structures being trade secrets and not public knowledge. In this work, we obtained samples from most major brands of transfection reagents available in the US market, as well as samples of some less popular reagents reported to work well for challenging payloads.
We devised a screening pipeline to rapidly test for the transfection properties of different reagents. For those experiments, a sample of transfection reagent was mixed with the pUC19 plasmid, using the ratio and pre-incubation time recommended by the manufacturer instructions for each transfection reagent. The transfection sample was then mixed with POPC/cholesterol liposomes. After incubation, the liposomes were purified on a size exclusion column to remove unencapsulated DNA, the liposome membranes were lysed, and the samples were incubated with a restriction enzyme known to make a single cut on pUC19. After digestion, samples were analyzed on an
agarose gel (Figure S42, Figure S43, Figure S44, Figure S45, Figure S46, Figure S47, Figure S48, Figure S49, Figure S50). This was a qualitative test, where the presence of digested DNA indicated that transfection was successful and pUC19 was delivered to the inside of liposomes. That test revealed a few transfection reagents that were capable of delivering a DNA plasmid payload into phospholipid vesicles under the tested conditions (Table S7). Those transfection reagents were chosen for the next round of more stringent testing.
For the next round of transfection testing, we mixed transfection reagent with various payloads, both DNA and RNA: a circular pUC19, a linear pUC19 (linearized by a single cutting restriction digest), a smaller linear DNA fragment (500bp PCR product), a broccoli RNA aptamer, and a tRNA sample (from E. coli tRNA extract). In all cases, samples of the tested payload with the transfection reagent were incubated with liposomes and then samples were mixed with the Diamond Dye nucleic acid stain. The fluorescence of Diamond Dye significantly increases in the presence of oligonucleotides. We measured the fluorescence of the liposome transfection sample with Diamond Dye, then we lysed the liposomes and measured the sample fluorescence again. The measurement before lysis registered the fluorescence from Diamond Dye bound to nucleic acids outside of the liposomes, while the total fluorescence after the lysis measured the total amount of nucleic acids in the sample (oligos formerly inside and outside liposomes). Comparing those values, we can measure the amount of nucleic acids transfected inside the liposomes (Figure 14b-f). The results indicated that all three transfection reagents tested in this round can deliver payloads inside lipid vesicles. We selected Lipofectamine 2000 for further study. None of the three tested reagents was significantly better at delivering all payloads, and Lipofectamine 2000 has a known
chemical structure (3:1 mixture of DOSPA and DOPE) and is widely available across the world.
We proceeded to use Lipofectamine 2000 to deliver DNA and RNA payloads inside synthetic cells. First, we prepared liposomes with the T7 RNA polymerase transcription system and we tested the delivery of a DNA template to produce a broccoli RNA aptamer (Figure 14g). The broccoli fluorescence was recorded in liposomes, with a longer time to reach a steady-state than in the case of transcription from liposomes made containing broccoli template without the need for transfection (Figure 14g). This delay is expected, as the transfection reagent needs to deliver the DNA template to liposomes before transfection can occur.
Next, we demonstrated that plasmid DNA can also be transfected. Synthetic cells containing bacterial TXTL cytoplasm were loaded with plasmids containing the eGFP gene (Figure 14h). Similar to the transcription experiments, the GFP expression kinetics were slower in transfected samples than in samples that contained GFP plasmid from the beginning, consistent with the need to transfect before expression can begin. Microscope images confirm that only samples transfected with eGFP DNA express eGFP (Figure 14i), compared to samples with eGFP DNA added to the outside of synthetic cells without the transfection reagents (Figure 14j).
4.3.7 Gene silencing in synthetic cells
Encouraged by the transfection experiments, we proceeded to use the newly established transfection system to deliver payloads of silencing oligonucleotides described earlier in this paper. We selected the two best performing silencing oligos tested on the eGFP gene, both targeting the eGFP chromophore: a 2OMe- and a dumbbell-oligo. We transfected each of those oligos into synthetic cells prepared with eGFP plasmids (Figure 15).
Both the 2OMe-oligo (Figure 15d) and dumbbell-oligo (Figure 15e) produced marked decreases in fluorescence in synthetic cells compared to synthetic cells transfected with a short DNA oligo not targeting eGFP (Figure 15c). Quantification of the time courses of eGFP expression from those three synthetic cell samples showed that the initial kinetics for all three samples was similar, consistent with all the synthetic cell populations having the same amount of eGFP plasmid at the beginning of the experiment. As the transfection reagent delivered the silencing oligo, translation slowed, reaching steady states significantly lower than in the unsilenced sample (Figure 15b).
4.4 Summary and perspectives
The development of synthetic cells as a tool for biological research and practical applications requires a toolbox of methods for controlling gene expression past the point of formation of a synthetic cell. Here we demonstrated the regulation of gene expression via targeted silencing of genes in cell-free translation systems and in synthetic cells. We also demonstrated a method for introducing new genetic material into synthetic cells via transfection. Together, this work offers a robust toolbox for controlling gene expression in cell-free translation systems and in synthetic cells, providing a step towards engineering robust, life-like synthetic cells.
4. Materials and methods
4.5.1 Materials
DNA oligonucleotides were purchased from Integrated DNA Technologies (IDT). Thermal cyclers used for sample incubation were Bio-Rad T100 thermocyclers running software version 1.201. The primer sequences are in Table S7. eGFP and mCherry sequences are in Table S8. C-terminal His-tagged eGFP plasmid was from our lab stock (Addgene, No. 178422)\textsuperscript{116}. N-terminal His-tagged eGFP plasmid was from our lab stock
mCherry plasmid was constructed under the T7Max promoter by using Epoch custom cloning service. pKD4 and pKM208 were purchased from Addgene\textsuperscript{115, 164}.
4.5.2 Cell extract preparation
The cell extract preparation protocol was adapted from the Noireaux\textsuperscript{28} and Jewett\textsuperscript{27} protocols. The rosetta 2 cell extract preparation was followed by a method described previously\textsuperscript{60}, with one modification. 2xYPTG culture (750 ml) was grown at 30°C instead of 37°C. Akaby cell extract preparation was described previously\textsuperscript{154}. This process produces cell extract at a 3x concentration.
4.5.3 TXTL reaction set up
Cell-free transcription-translation (TXTL) reactions were composed of the following: 12 mM Magnesium glutamate; 140 mM potassium glutamate; 1 mM DTT; 1.5 µM T7 RNA polymerase; 0.4 U/µl Murine RNase Inhibitor (NEB, M0314S); 1x cell extract; 1x energy mix; and 1x amino acid mix. The plasmid concentrations were 10 nM, and the silencing oligo concentration was 10 µM unless otherwise specified. The TXTL reactions were incubated at 30°C for 8 hours, followed by a 4°C hold until further procedures were performed.
10x Energy mix composition was the following: 500 mM HEPES, pH 8; 15 mM ATP; 15 mM GTP; 9 mM CTP; 9 mM UTP; 2 mg/mL \textit{E. coli} tRNA; 0.68 mM Folinic Acid; 3.3 mM NAD; 2.6 mM Coenzyme-A; 15 mM Spermidine; 40 mM Sodium Oxalate; 7.5 mM cAMP; 300 mM 3-PGA.
10x amino acid mix was prepared by mixing 20 mM of the following amino acids: alanine, arginine, asparagine, aspartic acid, cysteine, glutamic acid, glutamine, glycine, histidine, isoleucine, leucine, lysine, methionine, phenylalanine, proline, serine,
threonine, tryptophan, tyrosine, and valine. The amino acids were dissolved in pH 6.5, 400 mM potassium hydroxide solution.
4.5.4 Hina HI and Hina III strains construction and cell extract preparation.
An 8x His-tag was inserted on the N-term of *rnhA* (RNase H1 coding gene) or *rnc* (RNase III coding gene) on Rosetta 2 genome, together with kanamycin resistant gene (*Km^R*) on the upstream of the target RNase (Figure S36).
We adapted a gene disruption method from a previous report\(^{154}\). Briefly, *Km^R* was amplified from pKD4 (Addgene, 45605) with primer 1 and primer 2 for Hina HI, and primer 3 and primer 4 for Hina III. The PCR products were transformed into pKM208 carrying Rosetta 2 (Millipore Sigma 71400-3) strain by electroporation. The successful mutants grew on LB agar plates with 50 µg/ml kanamycin. The mutation was verified by colony PCR with locus- and insert-specific primer pairs (see Figure S36). The successful mutants were stored as glycerol stocks.
The cell extract was prepared with a method used for the rosetta 2 cell extract preparation; however, the culture volume was 500 ml instead of 750 ml, and 50 µg/ml of kanamycin was used for pre-culture antibiotics instead of chloramphenicol. After all the procedures performed for the normal cell extract preparation, we treated the extract with Ni-NTA agarose beads (Goldbio, H-350-50) before aliquoting and freezing. Ni-NTA agarose beads (100 µl) was washed twice with water (500 µl), then washed twice with wash buffer A (500 µl 10 mM Tris-acetate pH 8.2, 14 mM magnesium acetate, 60 mM potassium acetate, 2 mM DTT). This wash buffer A was also used to suspend the cell pellet during cell extract preparation.\(^{60}\) The cell extract was mixed with the washed agarose beads and incubated for 1 hour on a horizontal rocker (Benchmark) at 4°C. After the incubation, the mixture of agarose beads and cell extract was loaded into spincolumns (Chrom Tech, CTF-CA020-01). This 3x cell extract was separated from the beads by spinning down with a tabletop centrifuge for 20 seconds. The resulting cell extract can be flash frozen and stored at -80°C.
4.5.5 PURE reaction set up
We used PURExpress In Vitro Protein Synthesis Kit (NEB, E6800L) and the reaction was set up with the following manufacturer’s protocol. The plasmid concentration was 10 nM and the silencing oligo concentration was 10 μM. 1 U/μl of RNase inhibitor (NEB, M0314L) was supplemented in the reaction. After mixing all the components, the samples were incubated at 37°C for 8 hours followed by an end-point measurement.
4.5.6 Fluorescence measurement
The eGFP fluorescence was measured at $\lambda_{\text{ex}}$ 488 nm and $\lambda_{\text{em}}$ 509 nm, and mCherry fluorescence was measured at $\lambda_{\text{ex}}$ 587 nm and $\lambda_{\text{em}}$ 610 nm, unless otherwise specified. The plate reader was set to a photomultiplier tube (PMT) “medium” and 6 reads per well. All fluorescent measurements were performed with SpectraMax. For the endpoint measurement of cell-free reactions, the reactions (19 μl) were transported into a 384-well black flat bottom plate (Corning, 3575) after the incubation. For the kinetics measurement, the cell-free reactions (15 μl) were incubated in the SpectraMax plate reader with a 384-well Black/ clear bottom plate (Corning, 4588), and the plate was sealed with a clear sealing tape to avoid evaporation.
4.5.7 qPCR
The DNA in TXTL reaction (2 μl) was degraded with TURBO DNase (0.5 μl, Invitrogen, AM2238) at 37°C for 30 minutes. The proteins in the TXTL were denatured by adding 15 mM EDTA and incubated at 75°C for 15 minutes. The denatured proteins were pelleted through centrifugation at 3,200 g for 2 min.
To prepare the reverse transcription reaction (20 µl), DNase-treated sample (2 µl) was mixed with 1 µM Primer 11, 10 mM DTT, 0.5 mM dNTP (Denville, CB4430-2), 5 U/µl protoscript II reverse transcriptase (NEB, M0368X), 1x protoscript II reverse transcriptase buffer, and 0.4 U/µl Murine RNase Inhibitor. The reverse transcription was performed at 42°C for 1 hour, followed by the inactivation at 65°C for 20 min.
The qPCR reaction (25 µl) was performed by mixing the following: the reverse-transcribed DNA (1 µl), 0.8 µM Primer 12, 0.8 µM Primer 13, 1x of OneTaq Hot Start 2X Master Mix with Standard Buffer (NEB, M0484L), and 1x Chai Green Dye (CHAI, R01200S). The qPCR was performed on CFX96 Touch Real-Time PCR Detection System (BioRad). The thermocycling program was the following: 1 cycle of 30 seconds denaturation at 95°C, 30 cycles of the following 15 seconds denaturation at 95°C, 15 seconds annealing at 50°C, 1 minute extension at 68°C, and 1 cycle of 5 minutes final extension at 68°C. The amplification curves plotted through CFX Maestro Software to determine Cq values and averages across 3 replicates of each sample were calculated separately.
4.5.8 Western blot
TxTI reactions were fractionated on SDS-Page gel at 100V in 1x SDS running buffer (800 ml, 25mM Tris, 192mM Glycine, 3.5mM SDS). The gel percentage and fractionation time varied and are indicated on each figure. The gels were transferred to a 0.2 µm nitrocellulose membrane at 100V for 1 hour in cooled transfer buffer (25mM Tris, 192mM Glycine, 10% methanol). The membrane was incubated with 5% nonfat milk in TBST for 1 hour followed by the addition of primary antibodies (BioLegend, 652505). After 1 hour of the primary antibody incubation, the membrane was rinsed three times with TBST followed by three 10 minutes washes in TBST. Secondary antibodies (BioLegend, 405306) were added to 5% nofat milk in TBST and incubate for 1 hour. After the
incubation, the membrane was rinsed three times with TBST followed by three 10 minutes washes in TBST. The blots were imaged by ChemiDoc MP Imaging System with Image Lab Software (BIORAD), with the image application Blots, Chemi hi sensitivity reagent and Colorimetric. The chemiluminescent blot image and colorimetric image of the same blot were combined using the software merging function.
4.5.9 Transfection experiments
All transfection reagents were mixed with DNA at the ratio described in the manufacturer’s instructions. All nucleic acid – transfection reagent complexes were pre-formed at room temperature for the amount of time described in the manufacturer’s instructions, then mixed with liposomes. Transfection reactions were incubated with gentle tumbling with incubation time of 4 hours for dye tests and 12 hours for gene expression tests. All liposomes were POPC/cholesterol unilamellar liposomes, prepared as previously described\textsuperscript{60}.
4.5.10 Relative expression calculation
To compare the silencing oligo inhibitory activity, we calculated the relative fluorescence protein expression as the following:
$$R = \frac{a - b}{c - b}$$
R: Relative expression
a: Sample fluorescence
b: Background fluorescence that is a cell-free reaction without plasmids and silencing oligos
c: None-oligo fluorescence that is a cell-free reaction with plasmids without silencing oligos
The errors of a ratio were calculated with the formula below:
\[ R = \frac{A}{B} \]
\[ \delta R = R \sqrt{\left(\frac{\delta A}{|A|}\right)^2 + \left(\frac{\delta B}{|B|}\right)^2} \]
4.6 Figures
Figure 12 eGFP expression with different silencing oligos in cell-free systems
a
5' mRNA 3'
: 2OMe
2OMe-oligo
b
O Base
HO-P=O
2OMe RNA
c
O Base
HO-P=O
DNA
d
Relative eGFP expression
2OMe-Shine-Dalgarno
2OMe-Start
2OMe-Start+6bases
2OMe-BeforeChrom
2OMe-Chrom
Unmod-Shine-Dalgarno
Unmod-Start
Control
0.0 0.5 1.0
e
Relative eGFP expression
2OMe-Chrom
2OMe-Unspecific
10 µM 1 µM 100 nM 10 nM Control
f
Relative expression
Oligo concentration
eGFP
mCherry
10 µM 5 µM 1 µM 100 nM 10 nM Control
g
5' mRNA 3'
Dumbbell-oligo
h
Relative eGFP expression
Dumbbell-Shine-Dalgarno
Dumbbell-Start
Dumbbell-Chrom
Control
0.0 0.5 1.0
i
Relative eGFP expression
Dumbbell-Chrom
Dumbbell-Unspecific
10 µM 1 µM 100 nM 10 nM Control
j
5' mRNA 3'
Unmodified RNA
k
Relative eGFP expression
RNA-Start
Control
TXTL PURE
l
Relative eGFP expression
2OMe-Start
Dumbbell-Start
Unmod-Start
Control
0.0 0.5 1.0
a The 2OMe-oligo consists of 2’-O-methylated RNA on both sides (green dots) and DNA in the middle of the structure. The oligo is 14 or 15nt length and contains a complementary sequence to the target mRNA.
b, c Molecular structures of 2’-O-methylated RNA and DNA, respectively.
d Inhibitory activity of 2OMe- and Unmodified DNA oligos in eGFP expression.
e Sequence specificity of the 2OMe-oligo was tested with eGFP specific or unspecific 2OMe-oligo and eGFP fluorescence was measured.
f Sequence specificity of 2OMe-oligo was tested with mCherry and eGFP plasmids in a single reaction. Only eGFP specific 2OMe-oligo (2OMe-Chrom) was added. The plasmid concentration was 10 nM for each, and the fluorescence was measured.
g Dumbbell-oligo consists of DNA. Both sides of the oligo form duplex structures, and the middle sequence is designed to bind to the target mRNA.
h Inhibitory activity of dumbbell-oligos in eGFP expression.
i Sequence specificity of dumbbell-oligo was tested with eGFP mRNA specific or unspecific dumbbell-oligo and eGFP fluorescence was measured.
j Unmodified RNA is 14nt ribonucleotides that contains the complement sequence of eGFP mRNA.
k Comparison of eGFP expression in TXTL and PURE with 10 μM unmodified RNA oligo (RNA-Start). The inhibitory activity of the RNA oligo was only observed in the PURE reaction.
l Silencing oligo’s inhibitory activity in eGFP expression in PURE.
Silencing oligos were named in the order of “oligo structure – targeting position.” For the structure, the following abbreviations were used: “2OMe-”, 2’-O-methylated oligo; “Dumbbell-,” dumbbell oligo; “Unmod-,” unmodified DNA oligo; “RNA-,” unmodified RNA oligo. For the targeting sites, the following abbreviations were used: “Start,” start codon;
“Start+6bases,” target start codon and 6 bases longer design (20nt); “BeforeChrom,” the sequence before the chromophore; “Chrom,” chromophore coding sequence; and “Unspecific,” random sequence. See the sequence map in Figure S27 for the oligo targeting positions. All the silencing oligo sequences are in Table S6. Throughout the graphs, “Control” represents eGFP expression in TXTL without a silencing oligo. Error bars indicate SEM, n=3. Original fluorescence data is in Figure S51, Figure S52, Figure S53, Figure S54, Figure S55, Figure S56, Figure S57.
Figure 13 Investigations of 2OMe-oligos’ gene silencing mechanism
a The location relationships of the qPCR primers and silencing oligo target sites on mRNA. Light blue bars indicate the 2OMe-oligo binding sites (Pos.1, Pos.2, and Pos.3). Arrows indicate qPCR primer binding sites, which are consistent throughout Pos.1 to Pos.3. This figure only represents the locational relationships and does not correlate with...
the actual length of the eGFP gene. See Figure S27 for the detailed binding locations on the gene.
b, d eGFP expression with Pos.1-3 2OMe-oligos after 2 hours of TXTL (b) and PURE (d) reactions.
c, e mRNA abundance with Pos.1-3 2OMe-oligo after 2 hours of TXTL (c) and PURE (e) reactions.
f eGFP expression with Pos.1-3 2OMe-oligo in ΔRNase HI TXTL.
g, h eGFP expression with Pos.1-3 2OMe-oligo in ΔRNase HI TXTL (g) and PURE (h). 0.05 units/μl RNase H (NEB, M0297L) was supplemented in the reactions.
i Western blotting of TXTL reactions. TXTL reactions were fractionated on a 12% polyacrylamide gel for 90 minutes. N-terminal His-tagged T7 RNA polymerase is 99 kDa. Full-length N-terminal His-tagged eGFP is 27 kDa. The truncated eGFP by 2OMe-oligo interruption is 17 kDa. Anti-ssrA oligo is added to prevent tmRNA-associated truncated protein degradation. The table above the gel indicates which components are mixed in the TXTL reaction: “○” signifies the component was contained in the reaction and “—” signifies the component was not added.
Control, eGFP expression in TXTL without silencing oligo; Cq, the quantification cycle. Error bars indicate SEM, n=3. Original fluorescence data is in Figure S58, Figure S59. Original blot image is in Figure S60.
**Figure 14 Transfection in synthetic cells**
**a** General scheme of transfection in synthetic cell liposomes. Similar to natural cell experiments, the transfection reagent forms a complex with the nucleic acid payload and delivers that payload into the lumen of a phospholipid-based synthetic cell. Inside the synthetic cell, the transfected genes are expressed via a cell-free protein expression system encapsulated in the cell.
**b-f** Delivery of different nucleic acid payloads to synthetic cell liposomes. GreenFect, Lipofectamine 2000 and Lipofectamine RNAiMAX reagents were tested in a Diamond
Dye based assay. The fluorescence before lysis indicates fluorescence from nucleic acids outside liposomes and the fluorescence after lysis indicates fluorescence from all nucleic acids present in the sample; the ratio of those two values indicates the amount of nucleic acids that was present inside the liposome, i.e. the efficiency of transfection. The three transfection reagents were tested with **b** a circular plasmid, **c** a linear plasmid, **d** a 500bp dsDNA oligo, **e** a broccoli RNA aptamer, and **f** a tRNA mix. Error bars indicate SEM, n=3. Data points for each sample fluorescence before and after lysis are shown on Figure S61 for DNA payloads and Figure S62 for RNA payloads.
**g** Time course for the transfection of broccoli aptamer DNA template inside synthetic cells capable of T7 RNA polymerase mediated transcription. The broccoli fluorescence was measured with an excitation wavelength of 472nm and emission wavelength of 507nm. Error bars indicate SEM, n=3.
**h** Transfection of a DNA plasmid encoding a GFP gene into synthetic cells. The synthetic cells contain bacterial TXTL and T7 RNA polymerase. The GFP fluorescence was measured with an excitation wavelength of 472 nm and an emission wavelength of 507 nm. Error bars indicate SEM, n=3. Representative images of synthetic cells expressing GFP from transfected plasmid are on panel **i**, and a negative control without transfection reagents is on panel **j**. Scale bar is 10 μm. The synthetic cell membrane is dyed red with rhodamine dye.
Figure 15 Gene silencing in synthetic cells
a Schematic image of transfecting silencing oligos to inhibit gene expression in a synthetic cell.
b Time course of GFP expression in synthetic cells without silencing (transfected with short ssDNA not complementary to any part of the GFP gene), and transfected with either 2’OMe or with Stem-loop silencing oligo targeting GFP. The fluorescence was measured with an excitation wavelength of 472 nm and an emission wavelength of 507 nm. Error bars indicate SEM, n=3.
Synthetic cells expressing GFP were transfected either with short ssDNA not complementary to any part of the GFP gene (panel c), with 2’OMe (panel d), or with the
Stem-loop (panel e) silencing the oligo targeting GFP. The synthetic cell membrane is dyed red with rhodamine dye. Scale bar is 10 μm.
4.7 Acknowledgments
This work was supported by: NASA award 80NSSC18K1139 Center for the Origin of Life - Translation, Evolution And Mutualism, John Templeton Foundation award 61184 Exploring the Informational Transitions Bridging Inorganic Chemistry and Minimal Life, NSF award 1844313 RoL: RAISE: DESYN-C3: Engineering multi-compartmentalised synthetic minimal cells, NSF award 2123465 Synthetic P-bodies: Coupling gene expression and ribonucleoprotein granules in synthetic cell vesicles for sensing and response, and Hackett Royalty Fund award. Wakana Sato was supported by the Funai Overseas Scholarship of The Funai Foundation for Information Technology.
Chapter 5 – Future prospective of synthetic cell in medicinal applications
Synthetic cells have been considered to expand various biological research fields from fundamental biology to implicational studies (biotechnology, pharmaceutical, agriculture, and environment.) This chapter provides insights into synthetic cell applications in medicinal research as examples of how the synthetic cell benefits future scientific-technological development.
5.1 Copyright Information
Chapter 5 is adapted with permission from Sato, W., Zajkowski, T., Moser, F., & Adamala, K. P. (2022). Synthetic cells in biomedical applications. *Wiley Interdisciplinary Reviews: Nanomedicine and Nanobiotechnology*, 14(2), e1761. [https://doi.org/10.1002/wnan.1761](https://doi.org/10.1002/wnan.1761)
5.2 Introduction
Living cells offer many impressive capabilities that nanoparticle engineers often seek to imitate. These include directed localization (e.g., chemotaxis), sense-and-respond behavior, gene expression, metabolism, and high chemical and serum stability. Recent years have seen considerable advances in the bottom-up engineering of synthetic cells (SCs). Though several aspects of this technology are still in their formative stages, this field has made substantial headway into the realm of clinical applications.
The phrase “synthetic cell” has been used widely and requires disambiguation. Here, we use “synthetic cell” to mean an aqueous compartment bounded by either a polymer or lipid membrane that comprises molecular machinery sufficient to mimic one or more of the above features of living cells. Moreover, in the context of medicine, these features can induce desirable therapeutic outcomes. SCs can range from 100 nm to 10’s of μm in
size. However, most synthetic cell studies work at scales >1 μm due to the technical difficulty of generating nano-sized vesicles. SCs can be built from defined, synthetic components (“bottom-up”) or a combination of synthetic and cell-derived components (“semi-synthetic”). Here, we consider “top-down” engineering or harnessing of extant living cells a distinct technology and beyond the scope of this chapter.
The above definition of SCs emphasizes the compartmentalization of an aqueous interior. This is because physical segregation of an aqueous core enables many of the functions of cellular life, including aqueous biochemistry involved in everything from gene expression to enzymatic reactions. The presence of a distinct amphiphilic membrane structure is also key, as it enables signal transduction, selective transport, and the anchoring of functional moieties on and within the membrane. The aqueous interior and amphiphilic membrane distinguishes SCs from solid polymer nanoparticles, lipid nanoparticles and micelles with hydrophobic interiors, which cannot perform many of these functions that are critical to living system.
In terms of complexity, SCs can be thought of as an intermediate between passive nanoparticle drug delivery systems (e.g., liposomes) and engineered living cell therapies (e.g., Chimeric Antigen Receptor T cells or synthetic beta cells for diabetes treatment\textsuperscript{165}). Compared to nanoparticles, SCs generally have many more unique components. This greater complexity makes them more capable than nanoparticles but also more difficult to manufacture and control. Compared to living cells, SCs are much simpler and well-defined. Despite the incredible progress of modern cell biology, cells are still in large part black boxes—they are incompletely understood and therefore inherently unpredictable, especially when faced with the wide diversity of environments in human physiology. Hence, engineered living cells present inherent risks when deployed as therapeutics. SCs, on the other hand, are assembled bottom-up from known
components and are therefore better defined and more predictable. Additionally, SCs will not replicate (unless they are programmed to). Therefore, SCs can offer considerable safety advantages over living cells.
SCs can also perform tasks that living cells cannot (Figure 16). For example, SCs can utilize non-natural and toxic molecules to a degree not possible in extant living cells\textsuperscript{73}. Non-natural amino acids have been shown to endow proteins with valuable properties such as longer half-lives and enabling biochemistry\textsuperscript{166,167}. Highly toxic molecules that would otherwise kill living cells can also be produced with in vitro transcription/translation (IVTT) systems encapsulated in SCs\textsuperscript{168–170}. Composing SCs of other exotic chemistry can therefore endow them with unique advantages in terms of stability as well as the functions they can enact inside the body.
Additionally, while manufacturing of SCs presents its own challenges (more below), it promises certain advantages over the manufacturing of engineered living cell therapies. Autologous cell therapies currently require extensive handling. The process of purifying, engineering, amplifying, and re-administering autologous cell therapies makes their manufacture extraordinarily expensive and time consuming\textsuperscript{171}. Synthetic cells, on the other hand, could in theory be generated at centralized facilities, lyophilized or otherwise preserved, and shipped to hospitals, much like current biotherapeutics. Their manufacturing is scalable via microfluidics and can be generalized across different indications and compositions. At the same time, their manufacture at a smaller scale would still allow customization for personalized medicine.
Here, we review how the capabilities of synthetic cells can be leveraged for therapeutic effect. First, we describe the structure and components of SCs and review some of the manufacturing approaches developed to date. We then discuss how the life-like processes that can be engineered in synthetic cells—directed localization, sense and
respond behavior, gene expression, metabolism—can offer unique therapeutic strategies. Finally, we discuss both the technical and regulatory hurdles that challenge the development of SC therapeutics.
5.3 Composition and structure
Synthetic cells mainly comprise a membrane and an internal payload. In the context of drug delivery, the membrane has several key functions. First, it protects the payload from destabilizing factors in the external environment. Second, it prevents the payload from getting out too quickly and triggering physiological responses (e.g., anaphylaxis). Third, it concentrates the payload in the interior, enabling critical biochemistry or the delivery of the payload to its target at a high concentration. Last, the membrane itself allows for the anchoring of membrane proteins or other moieties that further stabilize or functionalize the SC.
The composition of the membrane is critical to the SC's stability and function and must be carefully considered. The membrane may comprise phospholipids, proteins\textsuperscript{172}, polymers\textsuperscript{173}, peptides\textsuperscript{174}, colloids\textsuperscript{175}, virus membrane, or capsids\textsuperscript{176,177}, or other amphiphilic molecules as well as small molecules such as cholesterol that have a stabilizing effect\textsuperscript{178}. As such, the membrane composition can be tuned to endow the SC with varying stability in different environments. This, in effect, enables the SC to "sense" the environment (see below). The composition of the membrane can also affect the function of embedded proteins\textsuperscript{179}. During formation of liposomes, the inner and outer leaflets can be produced separately, making their composition unique\textsuperscript{180,181}. This enables unique functions to be incorporated at the interior and exterior of the membrane.
Inside a patient, SCs experience diverse, challenging environments. Once injected, a unique protein corona will form around the SC\textsuperscript{182}. The composition of the protein corona is dynamic and depends on many variables, including the membrane composition,
charge, zeta potential, and size, among others\textsuperscript{183–185}. Undecorated SCs are typically recognized as nonself and cleared by the reticuloendothelial system (RES), mainly in the liver and spleen\textsuperscript{186}. Once opsonized, the SCs are recognized by macrophages and cleared via phagocytosis\textsuperscript{186}. SCs can also be damaged via enzyme activity, which further reduces their half-life. The use of PEG to shield the outside of the liposome from the surrounding matrix has been a highly successful strategy in lengthening nanoparticle half-lives in vivo\textsuperscript{187,188}. Many strategies have been developed to improve on current shielding effects\textsuperscript{189–191}.
The interior of the SC contains the payload, which can be drug or aqueous solutions that further endow the SC with function. In the simplest case, the compartment houses only a small molecule drug to be delivered to the site of action. In one of the most complex cases, the compartment houses an IVTT reaction mixture that can generate genetically encoded RNA or protein\textsuperscript{192}. In some cases, SCs can house entire particles, vesicles\textsuperscript{193}, or condensates\textsuperscript{194,195} that can further endow the SC with functions such as sensing, metabolism\textsuperscript{196}, and movements\textsuperscript{197} (more below).
A variety of methods have been developed to manufacture synthetic cells. These include thin-film hydration\textsuperscript{198}, reverse emulsion\textsuperscript{199–201}, electroemulsion\textsuperscript{202}, and others\textsuperscript{174,176,203}. Recently, microfluidic platforms and other techniques have been developed to improve the efficiency, speed, and reliability of SC generation: electroformation and hydration\textsuperscript{204}, extrusion\textsuperscript{205}, hydrodynamic focusing\textsuperscript{206}, pulsed jetting\textsuperscript{207–209}, double emulsion templating\textsuperscript{210}, transient membrane ejection\textsuperscript{211}, droplet emulsion transfer\textsuperscript{212}, reverse emulsion (cDICE)\textsuperscript{213}, droplet-supported dsGUV\textsuperscript{214,215}, octanol-assisted liposome assembly\textsuperscript{216}, wedge splitting\textsuperscript{217}, and toroidal mixing\textsuperscript{218}. This rapid innovation suggests that many hurdles to microfluidic manufacturing may soon be overcome, which could prove catalytic to the field\textsuperscript{219}. The synthetic cells that result from these processes tend to
range from 500 nm to several tens of microns in size. The larger the particle, the faster it is cleared from the body, so therapeutic nanoparticles are generally made as small as possible, on the order of 10–100 nm\textsuperscript{220}. The more complicated the SC composition, the more difficult the manufacturing process becomes and places considerable technical and cost constraints on SC therapeutics.
**5.4 Applications of synthetic cells**
How synthetic cells are utilized in nanomedicine is determined by their capabilities (Figure 17). Life-like capabilities that can be engineered include directed localization, sense-and-respond behavior, gene expression, metabolism, and high in vivo stability. Applications of these properties range from diagnostics to therapeutics.
**5.4.1 Directed localization**
A key strategy of living things is to move toward resources that benefit them. Similarly, there is great value in engineering synthetic cells that move to or localize at a target site. This physically concentrates SC’s activity at the target and reduces off-target toxicity. Targeted localization can be accomplished either actively (by energy-consuming movement) or passively (by increasing their affinity to the target tissue).
Significant progress has been made in endowing SCs with active chemotactic systems. While liposomes have been used to study natural systems of cell locomotion, these systems have proven difficult to employ due to their complexity\textsuperscript{197,221}. Recently, relatively simple synthetic systems that leverage biophysical principles have provided more traction\textsuperscript{222}. Conjugation of enzymes to the surface of liposomes has been shown to endow them with the ability to move up or even down a pH or metabolite gradient\textsuperscript{223,224,225}. This strategy has also proven effective in polymersomes\textsuperscript{226}. Battaglia and colleagues created polymersomes with asymmetrically thick membranes that use encapsulated enzymes to generate a motor force\textsuperscript{227}. Another type of polymersome used
a platinum nanoparticle to catalyze peroxide oxidation to chemotax toward neutrophils\textsuperscript{228}. Other mechanisms for directed chemotaxis include the conjugation of complementary DNA oligomers or light-activated protein binders to a surface\textsuperscript{229,230}. However, such strategies are more difficult to implement in vivo. Another method for directed localization is the conjugation of nanoparticles to living cells as “cellular backpacks”\textsuperscript{231–234}, but this does not require life-like behavior from the nanoparticle itself.
Passive targeting can be accomplished by increasing the affinity of SCs to the target tissue while relying on diffusion and circulation to do the work of carrying them to the tissue. In these cases, the surface of SCs can be modified with polymers, protein ligands, or antibodies that increase their targeting specificity\textsuperscript{235–237}. When multiple targeting moieties are used, the specificity of the targeting increases\textsuperscript{238–242}. While implementing these strategies, engineers must carefully consider the conjugation chemistry and orientation of the targeting molecules.
The physical properties of synthetic cells can also passively target them to specific tissues. For example, the small size of nanoparticles tends to concentrate them in tissues in which the enhanced permeability and retention (EPR) effect is observed, such as tumors and inflamed or otherwise damaged tissue\textsuperscript{243–246}. However, recent work has shown that the EPR effect is dynamic and depends greatly on the composition and structure of the tissue\textsuperscript{247–249}. As another example, the strong positive charge of cationic lipid nanoparticles leads them to be taken up by the liver at high efficiencies\textsuperscript{250}. This has made cationic lipid nanoparticles excellent delivery vehicles for nucleic acid-based gene therapies such as Patisiran\textsuperscript{251}.
Another approach to achieve localization is to coat nanoparticles with natural membranes\textsuperscript{252}. For example, nanoparticles decorated with red blood cells (RBCs) membranes can target macrophages\textsuperscript{253}. To target cancer cells, nanoparticles can be
decorated with cell membranes of platelets\textsuperscript{254}. Platelet membranes can be additionally labeled with anti-CD22 monoclonal antibodies to precisely deliver drugs to tumor cells\textsuperscript{255,256}. As an alternative anti-cancer approach, one can use cancer cell membranes to coat nanoparticles that will be presented to antigen-presenting cells and promote anticancer immune response\textsuperscript{257}.
5.4.2 Sense and respond
Living organisms can sense key environmental cues and subsequently respond with the appropriate action. Such seemingly “smart” behaviors are key to survival and are a highly desirable function in nanomedicines for several reasons. First, they enable more precise delivery to target tissues. Second, they enable more “analog” responses in which the output can be titrated to the strength of the input signal, thereby avoiding undue toxicity in neighboring tissue. The landscape of such “smart” sensing in vesicles has been extensively reviewed elsewhere\textsuperscript{196,258–260}.
Sense-and-response functions can be facilitated directly via changes in SC membrane structure. Membranes have been composed of molecules sensitive to temperature\textsuperscript{261–267}, light\textsuperscript{268–272}, magnetism\textsuperscript{273–277}, acoustics\textsuperscript{278–280}, pH\textsuperscript{235,281,282}, redox states\textsuperscript{283–285}, and enzymes\textsuperscript{286,287}. By combining these materials, the membrane can sometimes be made sensitive to multiple types of stimuli\textsuperscript{288,289}, enabling even more precise targeting. The major limitation of these materials is that few respond to the specific molecules of interest, such as certain cell surface receptors or cancer metabolites. For this, more specific sensors such as protein receptors are required.
Sensing can also be accomplished by membrane-embedded amphiphiles or proteins that are sensitive to specific molecules or conditions. These can transduce detected signals into the interior of the SC through various mechanisms\textsuperscript{290}. Protein and peptide pores that respond to osmotic pressure, heat, pH, and electrical potential by creating
selective and nonselective pores have been shown to work in liposomes\textsuperscript{58,291–295}. One group developed a membrane-spanning amphiphile that responds to changes in pH or protein unbinding by localizing at the interior leaflet of the liposome and inducing catalysis that results in the release of drug\textsuperscript{296,297}. Several bacterial 2-component systems\textsuperscript{298} have been functionally reconstituted in liposomes\textsuperscript{299–302}, though none of them have been used to induce downstream protein production. Additionally, few other natural or engineered protein transducers (e.g., the SynNotch receptor\textsuperscript{303}) have been successfully tested in synthetic cells. This speaks to the sensitivity and complexity of many membrane-bound protein transduction systems and the difficulty with which they can be implemented in synthetic systems.
Another strategy is to embed nonspecific, permanently open pores into the membrane to enable passage of small molecule signals that then stimulate activity inside the SC. To that end, Staphylococcus aureus $\alpha$-hemolysin has become a favorite tool for synthetic cell engineers due to its ability to spontaneously insert into a wide diversity of membranes and form nonspecific pores. This has been used to allow nutrients\textsuperscript{57}, chemical inducers (e.g., IPTG\textsuperscript{304}), and other small molecules\textsuperscript{305,306} to traffic the SC. Furthermore, SNAREs and DNA oligos have been used to facilitate SC fusions\textsuperscript{307,308} and thereby deliver molecular messengers into the interior of the target SC. Once inside the SC, these messengers can then induce catalysis or even protein production via gene expression.
Transcription factors, RNA riboswitches, and enzymes can also act as sensors inside the SC compartment. These sensors are limited to sensing the interior of the SC, so only molecules that can pass through the membrane or pore can be detected. Enzymes will detect their substrates, and the resulting reactions can change the ambient conditions, such as the pH\textsuperscript{309}. Various transcription factors and riboswitches that are sensitive to the
presence of diverse small molecules\textsuperscript{86,310–312} and even light\textsuperscript{313,314} can be used to control transcription and translation in SCs (see below). Combining sensor signals into transcriptional logic can enable powerful programming of Boolean behaviors\textsuperscript{59,315,316}. Communication between SCs and natural living cells has also been engineered and can give rise to complex interactions between synthetic and natural populations\textsuperscript{304,317}. Furthermore, the communication that results from mass exchange and sensing among SCs enables the formation of complex multicellular “synthetic tissue”\textsuperscript{59,195,296,318–322}. Transcriptional and translational responses to chemicals, however, are relatively slow compared to other sensing mechanisms. To program rapid responses such as those needed for a SC-based bionic jellyfish\textsuperscript{323}, electromechanical sensors and actuators still need to be developed.
**5.4.3 Gene expression**
Another powerful capability of synthetic cells is their ability to express genes. Producing protein or small molecules \textit{in situ} is advantageous in drug delivery when the drug is unstable, needs to be titrated or is so reactive that it would kill living cells. Through the action of encapsulated IVTT reaction mixture, SCs can produce RNA, proteins, or even small molecule drugs \textit{in situ}. For this, nucleic acids encoding the desired gene must be co-encapsulated. IVTT reaction mixtures may include purified cell extract\textsuperscript{26,27} or defined mixtures of recombinant protein such as the PURE system\textsuperscript{40,324,325}. Gene expression can be induced when a triggering signal is sensed (see above). RNA that is produced could serve as a diagnostic signal that can be detected by sequencing RNA extracted from whole blood\textsuperscript{326}. Translated proteins can be enzymes that together comprise a metabolic pathway that generates a small molecule drug\textsuperscript{77,327}. SCs can also synthesize membrane proteins that will spontaneously insert into membranes and act as uptake signals to target cells\textsuperscript{328,329}.
Previously, in situ protein production could only be accomplished by living cells. These were delivered into the body encapsulated in polymer membranes, where they could survive a long time while ameliorating chronic conditions such as diabetes\textsuperscript{330–334}, neurological diseases\textsuperscript{335}, hemophilia\textsuperscript{336}, or cancer\textsuperscript{337} and are reviewed elsewhere\textsuperscript{338}. Recent development of synthetic cells that encapsulate IVTT reactions offers an alternative approach to encapsulated whole cells. Schroeder and colleagues pioneered SC therapy by demonstrating that liposomes containing IVTT could be used to synthesize anti-cancer proteins inside tumors. In this work, they showed that synthetic cells producing Pseudomonas exotoxin A killed most cancer cells in culture and caused robust apoptosis when injected into 4 T1 tumors in mice\textsuperscript{339}.
Beyond its utility in direct therapeutic intervention, cell-free gene expressions has enabled other biomedical technologies and novel research tools. For instance, the high stability of freeze-dried IVTT reactions has enabled the development of on-demand biotherapeutic manufacturing platforms\textsuperscript{340–343}. Another example is liposome display, a technology that uniquely enables in vitro selection and directed evolution of protein pores\textsuperscript{344,345}. Membrane-bound IVTT protein production can also control the orientation of integral membrane proteins\textsuperscript{346,347}. Challenges these technologies still face include relatively low titers of protein produced, reproduction of critical post-translational modifications, and the limitations on controlling the insertion and orientation of membrane proteins. Nonetheless, due to the close ties between the fields of cell-free biochemistry and synthetic cell engineering, each will doubtless benefit from the other’s continued advancement.
**5.4.4 Metabolism**
Living cells maintain their functions through active metabolism. This allows them to act against entropy repeatedly or continuously over extended periods of time, a behavior
that is challenging to engineer in nanoparticle drug delivery systems. SCs, however, can be loaded with complex biochemistry that can mimic many of the metabolic processes that living cells perform. These include production of energy molecules such as ATP, the regeneration of essential cofactors, or chemical transformation of target metabolites. The value of this is both to sustain the therapeutic function of the SC as well as directly metabolize toxic metabolites.
By actively generating ATP or other energy molecules, SCs can maintain a sustained response instead of generating only a short burst of activity from the ATP encapsulated during production. Several different approaches have been taken to endow SCs with the ability to generate ATP. A common strategy is to create a proton gradient that can then be used by ATP synthase to drive ATP production. To generate the proton gradient, light-activated bacteriorhodopsin\textsuperscript{348–350} or other proton pumping systems\textsuperscript{351–353} can be embedded in the membrane. The resulting light-dependent ATP synthesis can then drive IVTT protein production\textsuperscript{50} or other ATP-dependent processes. Though this approach has been fruitful, it is challenging to implement in vivo because light only penetrates a few millimeters into the skin\textsuperscript{354}. Instead, ATP synthesis can be driven via catabolic chemistry on ambient energy-rich molecules\textsuperscript{355–358}. The feedstocks for these pathways are also substantially cheaper than the high-energy molecules used in some batch reactions.
Regeneration of cofactors such as nicotinamide adenine dinucleotide phosphate is often essential to maintain biochemical reactions. This can be accomplished by encapsulating enzymes that catalyze the regenerating reaction\textsuperscript{359}. Hirst and colleagues recently demonstrated sustained ATP synthesis by coupling ATP synthase to NADH oxidation\textsuperscript{355}. Integrating novel ways to import or regenerate cofactors and other reagents is critical for longer sustained reactions in synthetic cells.
Chemically transforming metabolites can provide vital therapeutic benefits. Vesicles that contain enzymes have been developed for therapeutic application since the 1960s.
Seminal work by Thomas Chang demonstrated that compartmentalized enzymes could provide therapeutic effects in animals lacking normal enzyme activity\textsuperscript{360}. Since then, therapeutic encapsulations of urease\textsuperscript{361–364}, catalase\textsuperscript{365,366}, superoxide dismutase\textsuperscript{367–369}, β-galactosidase\textsuperscript{370}, bacterial DNA repair enzymes\textsuperscript{371–373}, alcohol oxidases\textsuperscript{374–376}, glucose oxidase\textsuperscript{194} among others, have opened doors to novel therapies. Many of these formulations aim to remove membrane-permeable metabolites from the body. Pratsinis et al. employed liposomes bearing either alcohol oxidase or catalase in their membranes in peritoneal dialysis to remove ethanol from the blood of rats\textsuperscript{374}. This work follows older efforts in which alcohol dehydrogenase and aldehyde dehydrogenase are encapsulated together to break down ethanol in vivo. In these systems, another enzyme (e.g., malate dehydrogenase) is used to regenerate the NAD+ cofactor required to maintain the oxidation reaction, highlighting the importance of cofactor regeneration to maintaining high catabolic rates\textsuperscript{377–379}.
Encapsulated enzymes provide value to an impressive diversity of indications. A recent clinically tested example include Lipoxysan, a transdermal liposomal encapsulation of superoxide dismutase, which was recently tested in Peyronie’s disease in Phase 2 clinical trials\textsuperscript{368}. Mann and colleagues demonstrated that complex assemblies of glucose oxidase-containing coacervate and hemoglobin-containing RBC-derived membranes were able to generate nitric oxide in vivo, inducing vasodilation\textsuperscript{194}. An example in which SCs serve to aid in diagnosis is in the work by Molina and colleagues. In this work, the authors generated different SCs containing mixtures of three or more different enzymes. Based on the metabolites present, SCs would generate different colored products. Incubating these SCs in urine aided in the diagnosis of prediabetic states in patients\textsuperscript{380}.
Multilamellar liposomes, vesosomes, and different species of liposomes can work together to control reactions. Incompatible enzymes can be separated in defined compartments allowing the spatial organization and segregation of the multistep tandem reaction\textsuperscript{381}. Different liposomes containing varied enzymes can be connected via α-hemolysis channels. Polymer SCs containing two distinct populations of enzyme-encapsulating vesicles have been demonstrated to function inside living cells\textsuperscript{382}. To prevent the deactivation of catalysts in water or avoid unwanted cross-reactions, catalysts are often site-isolated in nanopockets or separately stored in compartments. These examples show that control of the localization of enzymes within an SC can be as valuable to the SCs function as the enzyme activity itself.
5.4.5 High stability
One of the most desirable characteristics of living cells is their ability to remain intact in the blood for long periods of time. Nanoparticles, on the other hand, are typically less stable and are rapidly cleared by the RES (Sercombe et al., 2015). This is typically due to both their physical nature (large, spherical, and stiff objects are more quickly removed from the blood) and to the fact that they do not display proteins that mark the nanoparticle as the body’s own cell\textsuperscript{383–385}.
Numerous strategies have been taken to endow nanoparticles with longer half-lives in blood. The decoration of the particles with polyethylene glycol (PEG) is perhaps the most successful “stealth” strategy. PEGylation, however, is falling out of favor due to the production and presence of anti-PEG antibodies\textsuperscript{386}, PEG tissue accumulation\textsuperscript{387,388}, evidence of lack of PEG degradation, potentially creating vacuoles\textsuperscript{389,390}, and alteration of enzyme activity\textsuperscript{391}. As such, alternatives to PEG such as heparosan are being developed\textsuperscript{387,388}.
Decoration of particles with membranes derived from living cells is a powerful strategy to shield nanoparticles. This “semi-synthetic” approach, pioneered by Hu and colleagues, has proven highly versatile\textsuperscript{392}. All manner of cell membranes and cell membrane proteins have been used to coat nanoparticles and SCs\textsuperscript{392–399}. This effectively shields the SCs from the RES and endows them with some of the signaling properties of the cells from which their borrowed membranes derive. As mentioned above, this strategy also enables targeting.
5.5 Challenges facing synthetic cell therapeutics
The field of synthetic cell engineering is relatively new, and many challenges still remain to be solved or even identified. These challenges include need for molecular tools, integration of disparate technologies, difficult manufacturing, and regulatory frameworks that disfavor complex drug formulations (Figure 18).
To coordinate release of therapeutic agents at the right location (e.g., at a tumor), more robust sense and respond mechanisms are needed. Currently, there is a relative lack of sensors that activate SCs in response to specific molecules, such as membrane proteins overexpressed on cancer cells. Such tools are now readily available in living cell therapies, such as CAR-T cells. Transferring natural membrane transduction systems to synthetic membranes is difficult due to their size, complexity, and requirements for post-translational modification and membrane insertion machinery. While bacterial transduction systems are smaller and relatively more robust proteins, they are likely immunogenic and cannot recognize eukaryotic membrane proteins. To enable reliable sensing of eukaryotic molecular markers of disease, a concerted effort is needed to engineer membrane transduction systems that function specifically in SCs.
A similar problem is the limited repertoire of trans-membrane channels available in synthetic cell systems. Living cells tightly control the flow of molecules in and out of the
cell through channel proteins or membrane budding mechanisms. SCs, however, currently lack most of these systems. This is reflected in the prolific use of α-hemolysin, a simple and robust bacterial toxin that enables passive transport of small molecules. Only a few active transporters have been demonstrated in synthetic cells, including proteins as complex as ATP synthase. If more reliable membrane transporters could be identified and engineered to spontaneously insert into the membrane in the desired orientation, it would greatly broaden the sensing and delivery repertoire of SCs.
An issue for the entire field of synthetic cell engineering, including all therapeutic applications of this technology, is the integration of subsystems into one robust entity. As described in earlier sections of this review, many SC subsystems have been developed to demonstrate specific functionalities. Because each subsystem is engineered ad hoc, it is often difficult to reconcile their diverse chemistries and structures. To address this, several approaches can be taken. First, engineers in the field could standardize the chemical and structural framework in which they develop SCs. To encourage this, funding agencies could require adherence to these frameworks when it is sensible. Second, subsystems could be engineered with integration in mind by reporting subsystem performance across a variety of contexts. Last, computational models rooted in empirical data could be developed to guide the integration, much like what was done to guide the integration of synthetic genetic circuits\textsuperscript{400}.
To use synthetic cells as human therapeutics, other issues will need to be solved as well, like the toxicity of cell-free IVTT systems. While defined systems such as PURE contain mostly purified proteins, cell-derived fractions of ribosomes still contain some amount of endotoxins (i.e., lipopolysaccharides), which are highly pyrogenic. So far, only direct tumor injection was demonstrated as a method for localizing synthetic cells into a
solid tumor in mice\textsuperscript{339}, and there is a relative lack of available data on half-lives and dose-dependent toxicity of synthetic cell formulations in animals.
As therapeutic applications of synthetic cells progress through foundational research and commercial R&D pipelines, the field will need to face technical challenges related to scaling up production of those novel therapeutics. Among those challenges, two areas present the most well-defined focus points: the compartment and the chemicals inside it.
Scaling up manufacturing of lipid vesicles to create membrane encapsulating synthetic cells will require progress in current microfluidic technology, or perhaps development of entirely new class of liposome formation technologies. Synthetic cells are typically larger than liposome drug delivery vehicles (single microns vs. tens of nanometers in diameter), and enzymes encapsulated inside synthetic cells cannot be encapsulated via remote loading used for some liposomal drugs. This creates a need for a whole new class of reliable, reproducible and scalable encapsulation techniques.
Similarly, producing large amounts of proteins and small molecules needed to provide therapeutic quantities of synthetic cells might require adjustment in supply chains. Production of cell-free protein expression systems is already scalable to 100-liter reaction volumes\textsuperscript{33}, but availability of certain high value reagents remains a limiting step. We as a field anxiously await the invention of “PURE that makes PURE”—a cell-free IVTT reaction that can make every one of its own functional components and need little more than raw material as feedstock—as an idealized solution to the scaling problem.
Once synthetic cell technologies pass into animal testing, the need to fulfill FDA approval requirements will become critical. Currently, there are few guidelines for developing therapies as molecularly complex as synthetic cells. FDA approval is granted either for drugs with precisely controlled chemical composition, or for natural cell therapeutics.
Synthetic cells, being made from synthetic components but not being descended from known living cells, may require a new framework by which such systems are evaluated. Uniformity of the formulation will remain critical, putting pressure on the above mentioned supply chain and scalability of membrane formulations. The FDA is already aware of the needs that might arise with progress of novel therapies using untested chassis, facilitating development of new oversight rules through the FDA Emerging Technologies Program. (Center for Drug Evaluation and Research, 2019) It will be critical that the synthetic cell community works closely with regulatory agencies to develop a supply pipeline and draft new frameworks for the testing and eventual deployment of those therapies for patient use.
5.6 Discussion and outlook
Many have noted in recent years that as increased resources are devoted to development of drugs, ever fewer result in approved therapies\textsuperscript{401}. This phenomenon, known as Eroom's law (the reverse of Moore's law), highlights the need for new therapeutic modalities and approaches. Here we describe how synthetic cells offer a unique, engineerable platform for achieving a range of valuable therapeutic behaviors. These offer to augment existing means of drug delivery as well as tools for research and drug discovery pipelines. Though significant technical progress has been made in mimicking several advantageous features of living systems, the integration of these features remains a challenge, as do the development and manufacturing of such systems. Given recent progress, the vision of a synthetic cell that can identify and ameliorate disease in a programmable manner without adding risk of adverse effects looks less like a moonshot than an inevitable next step for medicine.
Synthetic cells tend to fall between liposomes and living cells in terms of complexity. Their capabilities extend beyond those of liposomes but cannot match the sustained, nuanced behaviors of living cells. This relative simplicity also endows them with advantages, such as complete programmability and zero risk of uncontrolled replication.
Synthetic cells are engineered with various chemical tools to mimic one or more functions of living cells. The physical properties of the SCs affect both their stability and localization through the enhanced permeability and retention effect.
Most fundamentally, new innovations and solutions are needed to endow SCs with modular functions that can perform reliably in physiological conditions. Next, production and cost barriers need to be addressed. Finally, therapeutic SCs will encounter regulatory hurdles that may require adapting current frameworks.
Chapter 6 – Full list of author’s publications
Sato, W., Sharon, J., Cash, B., Deich, C., Gaut, N. J., Heili, J., Engelhart, A. E., Adamala, K. P. (2022) **One-pot cloning and protein expression platform for genetic engineering**. In preparation
Sato, W., Rasmussen, M., Gaut, N., Devarajan, M., Stokes, K., Deich, C., Engelhart, A. E., Adamala, K. P. (2022) **A gene expression control technology for cell-free systems and synthetic cells via targeted gene silencing and transfection**. Submitted
Deich, C., Cash, B., Sato, W., Sharon, J., Aufdembrink, L., Gaut, N. J., Heili, J., Stokes, K., Engelhart, A. E., Adamala, K. P. (2022) **T7Max Transcription System**. Accepted
Sato, W., Sharon, J., Deich, C., Gaut, N., Cash, B., Engelhart, A. E., Adamala, K. P. (2022) **Akaby—Cell-free protein expression system for linear templates**. *PLoS One* 17, e0266272.
Sato, W., Zajkowski, T., Moser, F., Adamala, K. P. (2022) **Synthetic cells in biomedical applications**. *Wiley Interdisciplinary Reviews: Nanomedicine and Nanobiotechnology*, 14(2), e1761.
Nagappa L. K, Sato W., Alam F., Chengan K., Smales C. M., Von Der Haar T., Polizzi K. M., Adamala K. P., Moore S. J. (2022) **A ubiquitous amino acid source for prokaryotic and eukaryotic cell-free transcription-translation systems**. *Front. Bioeng. Biotechnol*. 10:992708.
Sato, W., Rasmussen, M., Deich, C., Aaron, A. E., Adamala, K. P. (2022) **Expanding luciferase reporter systems for cell-free protein expression**. *Sci Rep* 12, 11489
Venero, O. M., Sato, W., Heili, J. M., Deich, C., Adamala, K. P. (2022) *Liposome Preparation by 3D-Printed Microcapillary-Based Apparatus*. In: Karim, A.S., Jewett, M.C. (eds) Cell-Free Gene Expression. Methods in Molecular Biology, vol 2433. Humana, New York, NY.
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Fluorescence and mRNA abundance were measured at 0, 1, 4, and 8 hours. The eGFP fluorescence was measured at $\lambda_{\text{ex}}$ 488 nm and $\lambda_{\text{em}}$ 509 nm. Fluorescence generated (A) in Akaby TXTL and (B) in Rosetta 2 TXTL. RT-qPCR was performed with a primer pair targeting the eGFP gene. Cq values of mRNA (C) in Akaby TXTL and (D) in Rosetta 2 TXTL. T7, the T7 RNA polymerase promoter; template named with BamHI, linearized.
plasmids by BamHI; NTC, no template control; Cq, quantitation cycle. The graphs show means with error bars that signify SEM (n = 3).
Fluorescence and mRNA abundance were measured at 0, 1, 4, and 8 hours. The TXTL reactions were incubated in a black-bottom well plate in a plate reader measuring at $\lambda_{\text{ex}}$ 488 nm and $\lambda_{\text{em}}$ 509 nm. Fluorescence generated (A) in Akaby + GamS TXTL and (B) in Rosetta 2 + GamS TXTL. RT-qPCR was performed with a primer pair targeting the eGFP gene. The Cq values of mRNA transcribed (C) in Akaby + GamS TXTL and (D) in Rosetta 2 + GamS TXTL. T7, the T7 RNA polymerase promoter; T7Max, the enhanced T7 RNA polymerase promoter; template name with BamHI, linearized plasmids by BamHI; Cq, quantitation cycle. The graphs show means with error bars that signify SEM ($n = 3$).
qPCR was performed on samples after DNase treatment without reverse transcription. The samples used were Akaby TXTL, expressing eGFP from T7Max-eGFP or T7Max-eGFP:BamHI, at 0, 1, 4, and 8h incubations. qPCR was performed with a primer pair targeting the eGFP gene. T7Max, the enhanced T7 RNA polymerase promoter; eGFP, enhanced green fluorescence protein gene; NTC, no template control; Cq quantitation cycle.
Figure S4 The short DNA fragment stability and its mRNA abundance with GamS supplementation
The short DNA fragments in Fig. 4A were incubated in TXTL with GamS supplementation. (Left) DNA in the TXTL was purified with a miniprep kit and qPCR was performed. (Right) mRNA abundance was measured by RT-qPCR. TXTL samples was DNase treated and then reverse transcribed, followed by qPCR measurement.
Figure S5 DNA abundance after DNase treatment in the short DNA fragment stability test
qPCR was performed on samples after DNase treatment without reverse transcription. The samples used were NEB5α or NEB5α+GamS TXTL, containing short DNA fragment in Fig 4A. The TXTL was incubated for 4 or 8 hours before qPCR procedure. qPCR was performed with a primer pair targeting the short DNA fragment described in Fig. 4A.
Luminescence signals were measured with emission filters at the wavelength appropriate for each luciferase. The substrate mixtures were prepared as “All” (D-luciferin, Coelenterazine h, hispidin, octanaldehyde, Mg$^+$, ATP, NADPH, FMN) or “All minus” (without D-luciferin, Coelenterazine h, hispidin, octanaldehyde).
minus one” that contains all except one that a substrate is supposed to react with a tested luciferase. The assay was performed by mixing substrates with TXTL expressing each luciferase. The emission filter at 300 nM was used for the negative control. The graphs show means with error bars that signify SEM (n = 3).
The luciferases used in the reaction are indicated as FLuc, RLuc, H3H-Luz, or LuxAB-Fre. Control stands for reaction without enzyme expression. Substrates in the reaction were indicated as “All” (D-luciferin, coelenterazine h, hispidin, octanaldehyde) or “All minus one”, that one is the substrate supposed to react with the tested luciferase. The graphs show means with error bars that signify SEM (n = 3).
Western blot gels from the substrate specificity reactions. The loaded samples directly came from the reactions shown in Fig. 7B, indicating that the luciferase enzymes were expressed in the reactions. 15 µl of TxTL was loaded on each lane. FLuc and RLuc samples were fractionated on a 7.5% gel for 70 minutes at 100V. NanoLuc and H3H-Luz samples were fractionated on a 12% gel for 80 minutes at 100V. M, BLUEstain 2 Protein ladder, 5-245 kDa (Goldbio, P008-500); substrate names, a substrate that is contained
in the reaction; T7RNAP, N-terminal His-tagged T7 RNA polymerase; FLuc, firefly luciferase with C-terminal His-tag; RLuc, Renilla luciferase with C-terminal His-tag; NanoLuc, NanoLuc luciferase with C-terminal His-Tag; H3H, hispidin-3-hydroxylase with C-terminal His-tag; Luz, fungi luciferase with C-terminal His-tag. Fig. S26 are the original blot images.
10 µl of TXTL expressing Fre was loaded on the right lane and fractionated on a 12% gel for 80 minutes at 100V. The left lane labeled with M stands for BLUEstain 2 Protein ladder, 5-245 kDa (Goldbio, P008-500). The bottom image is the original data. Samples loaded next to the Fre were TXTL reactions expressing His-tag proteins (Fre in the middle lane, LuxAB and LuxG in the left lane).
After expressing LuxABCDE+Fre or LuxAB+Fre in TXTL, 1 mM octanaldehyde was added as the substrate (time = 0). The luminescence was measured after 0.5, 1, 6, 8 hours. LuxABCDE-Fre, a reaction with TXTL expressing LuxAB-Fre and LuxCDE; LuxAB-Fre, a reaction with TXTL expressing LuxAB-Fre; Control, reaction with TXTL without enzyme expression. The graphs show means with error bars that signify SEM (n = 3).
In this experiment, the luminescence was the highest at 0.5 hours, while the starting time (t = 0) was the highest in the similar experiment using decanoic acid (Fig. 8C). This luminescence delay was caused probably because we held mixed reactions on ice for 10 minutes, during the recovery of the connection error between a plate reader and a computer. We think this holding on ice cooled the reactions and caused the delay reaching the maximum luminescence.
This figure was adapted from Khakhar et al. paper\textsuperscript{131}. In the fungi luciferase system, hispidin is converted to 3-hydroxyhispidin by \textit{Neonothopanus nambi} (\textit{N. nambi}) hispidin-3-hydroxylase (H3H), and then \textit{N. nambi} luciferase (Luz) yields light by reacting with 3-hydroxyhispidin. Caffeylpyruvic acid can be recycled into caffeic acid by caffeylpyruvate hydrolase (CPH). Caffeic acid can be converted into hispidin by hispidin synthase (Hisps). Hisps needs to be post-translationally activated by 4'-phosphopantetheinyl transferase (NPGA)\textsuperscript{129–131}.
RT-qPCR was performed to monitor the Luz mRNA level during the Fig. 9B kinetic reactions. The graphs show means with error bars that signify SEM (n = 3).
Western blot of Lux-expressing TXTL during the Fig. 9B kinetic reactions. 15 µl of TXTL was loaded on each lane and fractionated on a 12% gel for 90 minutes at 100V. The lane labeled with M stands for BLUEstain 2 Protein ladder, 5-245 kDa (Goldbio, P008-500). The bottom image is the original data.
Western blot of Luz-GFP fusion proteins. 15 µl of TXTL was loaded on each lane and fractionated on a 7.5% gel for 60 minutes at 100V. The lane labeled with M stands for BLUEstain 2 Protein ladder, 5-245 kDa (Goldbio, P008-500). The protein names used for lane labels represent the fusion protein constructs from N-terminal to C-terminal order. His, His-Tag; GFP, enhanced green fluorescent protein; 2GS, two GS-linker sequence (GGGGS) repeats; 3GS, three GS-linker sequence repeats; T7 RNAP, T7 RNA polymerase. The bottom image is the original data.
Figure S15 Fluorescence generated from eGFP-luciferase fusion proteins (Luz) with extended GS-linker
All fusion proteins were expressed in TXTL at 30 °C for 8 hours, followed by fluorescence measurement. 19 µl of TXTL was used for the measurement. eGFP and luciferases are linked through 3x GS-linker (GGGGS.) Control stands for a reaction without protein expression.
Figure S16 LuxA and LuxB capability as fusion proteins
(A and B) eGFP fluorescence measurement in TXTL. Fusion LuxA and LuxB were expressed in TXTL at 30°C for 8 hours, followed by the fluorescence measurement. (C) Luminescence measurement with all the combinations of LuxA and LuxB fusion constructs. LuxA and LuxB were expressed in TXTL, and then 1 mM Octanaldehyde was added, followed by luminescence measurement. Green shading behind the construct images indicates that the constructs fluorescence when expressed in TXTL. N-GFP, N-terminal eGFP fusion luciferase; C-GFP, C-terminal eGFP fusion luciferase; Control, reaction without enzyme expression.
15 µl of TXTL was loaded on each lane and fractionated on a 7.5% gel for 60 minutes at 100V. The lane labeled with M stands for BLUEstain 2 Protein ladder, 5-245 kDa (Goldbio, P008-500). The protein names used for lane labels represent the fusion protein constructs from N-terminal to C-terminal order. His, His-Tag; GFP, enhanced green fluorescent protein; 2GS, two GS-linker sequence (GGGGS) repeats; 3GS, three GS-linker sequence repeats; T7 RNAP, T7 RNA polymerase. The bottom images are the original data.
Figure S18 Fluorescence generated from eGFP-luciferase fusion proteins (LuxA and LuxB) with extended GS-linker
All fusion proteins were expressed in TXTL at 30 °C for 8 hours, followed by fluorescence measurement. 19 µl of TXTL was used for the measurement. eGFP and luciferases are linked through 3x GS-linker (GGGGS.) Control stands for a reaction without protein expression.
15 µl of TXTL was loaded on each lane and fractionated on 7.5% gel for 60 minutes at 100V. The lane labeled with M stands for BLUEstain 2 Protein ladder, 5-245 kDa (Goldbio, P008-500). The protein names used for lane labels represent the protein structure from N-terminal to C-terminal order. His, His-Tag; GFP, enhanced green fluorescent protein; 2GS, two GS-linker sequence (GGGGS) repeats; T7 RNAP, T7 RNA polymerase. The bottom image is the original data.
RT-qPCR was performed to monitor the HiBiT fused eGFP mRNA level during the Fig. 11D kinetic reactions. The graphs show means with error bars that signify SEM (n = 3).
Western blot of C-term eGFP fused HiBiT expressing TXTL during the Fig. 11D kinetic reactions. 15 µl of TXTL was loaded on each lane and fractionated on a 12% gel for 90 minutes at 100V. The lane labeled with M stands for BLUEstain 2 Protein ladder, 5-245 kDa (Goldbio, P008-500). The bottom image is the original data.
10 µl of TXTL was loaded on each lane and fractionated on 7.5% gel for 70 minutes at 100V. The left lane labeled with M stands for BLUEstain 2 Protein ladder, 5-245 kDa (Goldbio, P008-500). The other lanes were labeled with the protein names that were expressed in the TXTL. NPGA, 4'-phosphopantetheinyl transferase; Hisps, hispidin synthase; T7 RNAP, T7 RNA polymerase. The bottom image is the original data.
10 µl of TXTL was loaded on each lane and fractionated on 7.5% gel for 70 minutes at 100V. The left lane labeled with M stands for BLUEstain 2 Protein ladder, 5-245 kDa (Goldbio, P008-500). The other lanes were labeled with the protein names that were expressed in the TXTL. CPH, caffeylpyruvate hydrolase; T7 RNAP, T7 RNA polymerase. The bottom image is the original data.
NPGA, Hisps, H3H, and Luz were individually expressed in TXTL and mixed with cofactors and substrates (caffeic acid or hispidin). The luminescence was measured at 25°C for 1 hour, every 5 minutes. While the reaction with hispidin generated light, the reaction with caffeic acid did not. This indicates that the caffeic acid was not converted into hispidin. Control contains TXTLs without enzyme expression.
NPGA, Hisps, H3H, and Luz were individually expressed in TXTL. NPGA and Hisps TXTLs were first mixed with cofactors and substrates (caffeic acid or hispidin). The reaction was incubated at 37°C for 30 minutes to facilitate phosphopanthetheinylation. The aliquot of the reaction was taken for HPLC analysis after this incubation. Then, H3H and Luz TXTLs were added to the reaction and measured the luminescence at 25°C for 1 hour, every 5 minutes. The reaction with hispidin slightly generated light. The reaction with caffeic acid was as same as Control reaction. This indicates that the caffeic acid
was not converted into hispidin. Control stands for a reaction contains TXTLs without enzyme expression.
Figure S26 Original blots used in Fig. S8
Blots for FLuc reaction
Blots for RLuc reaction
Blots for NanoLuc reaction
Blots for H3H-Luz
The part of DNA sequence from C-terminal His-tagged eGFP plasmid (Addgene, No. 178422). The silencing oligo binding positions are indicated with black lines with text labels. qPCR primers binding sequences are indicated with green arrows. The individual silencing oligo sequences are also listed in Table S6.
eGFP was expressed with various silencing oligos in TXTL + GamS (3.5 μM). The silencing oligos were named in the order of “oligo structure – targeting position.” For the structure, the following abbreviations were used: “2OMe-,” 2-O-methylated oligo; “Unmod-,” unmodified DNA oligo; “RNA-,” unmodified RNA oligo. The start codon targeting was abbreviated as “Start.” Control reaction contains eGFP plasmid without silencing oligo. Error bars indicate SEM, n=3.
eGFP was expressed with various silencing oligos in Akaby TXTL. Akaby is the $\Delta recB$ *E. coli* strain. The silencing oligos were named in the order of “oligo structure – targeting position.” For the structure, the following abbreviations were used: “2OMe-,” 2-O-methylated oligo; “Unmod-,” unmodified DNA oligo; “RNA-,” unmodified RNA oligo. The start codon targeting was abbreviated as “Start.” Control reaction contains eGFP plasmid without silencing oligo. Error bars indicate SEM, n=3.
Figure S30 Other silencing oligo designs that tested
**a** Duplex-ends DNA
**b** DNAzyme 8-17
**c** DNAzyme 10-23
**d**
**a** Duplex-ends oligo consists of two DNA strands. One strand contains a complementary sequence to its target mRNA, and another contains a random sequence in the middle. Both edges are designed to form a duplex.
**b**, **c** DNazyme design, the 8-17 catalytic motif (**b**) and the 10-23 catalytic motif (**c**). The figures were adapted from the Santoro and Joyce (1997) paper. The DNAzyme (bottom strand) binds to mRNA through Watson-Crick base pairing. Cleavage occurs at the position indicated by the arrow. R = A or G; Y = U or C.
**d** eGFP was expressed with different designs of the silencing oligo in TXTL. For the 8-17 motif, ver.1 and ver.2 were designed to target different eGFP mRNA positions. Control reaction contains eGFP plasmid without silencing oligo.
Oligo sequences are in Table S6. Error bars indicate SEM, n=3.
eGFP expression with 2OMe-Chrom oligo. The eGFP plasmid concentrations were 1, 5, 10, and 15 nM. The eGFP expression efficiency was compared by varying oligo concentrations. Error bars indicate SEM, $n=3$.
eGFP expression with Dumbbell-Chrom oligo. The eGFP plasmid concentrations were 1, 5, 10, and 15 nM. The silencing oligo’s inhibition efficiency was compared. Error bars indicate SEM, $n=3$.
eGFP mRNA was measured in the TXTL reaction with 2OMe-oligos, Pos.1, Pos.2, and Pos.3. qPCR was performed after 2, 4, and 8 hours of incubation. The location relationships of the 2OMe-oligo binding position and qPCR amplicon are indicated above the graphs. Control is the reaction with eGFP plasmid without 2OMe-oligo. No plasmid is the reaction without eGFP plasmid. Error bars indicate SEM, n=3.
eGFP mRNA was measured in the PURE reaction with 2OMe-oligo, Pos.1, Pos.2, and Pos.3. qPCR was performed after 2, 4, and 8 hours of incubation. The location relationships of the 2OMe-oligo binding position and qPCR amplicon are indicated above the graphs. Control is the reaction with eGFP plasmid without 2OMe-oligo. No plasmid is the reaction without eGFP plasmid. Error bars indicate SEM, n=3.
Figure S35 The effect of excess amount of RNase H supplementation in Akaby TXTL with silencing oligos
eGFP expression in Akaby TXTL with 2OMe or unmodified DNA oligos. 0.25 units/μl RNase H was added in the reactions indicated with “+ RNase H.” Control is the reaction with eGFP plasmid without oligo. Error bars indicate SEM, n=3.
Figure S36 Colony PCR to confirm successful Hina III and Hina HI engineering
a, b The colony PCR primer designs for Hina III (a) and Hina HI (b) strains. Primer sequences are listed in Table S8. Primer 6 and 7 are the insert specific primers, targeting kanamycin resistant gene ($\text{Km}^R$). Primer 5, 8, 9, and 10 are the locus-specific primers. RNase III and RNase HI are encoded by $\text{rnc}$ and $\text{rnhA}$ genes, respectively.
c Agarose gel image of colony PCR. 1% agarose gel was run at 125 V for 20 minutes, stained with sYBR safe DNA Gel stain. Lane M: 1 kb DNA ladder (Goldbio, D010-500), Lane 1-5: Hina III colonies, Lane 6 and 7: Hina HI colonies, the expected product size: upper lane 1-5, 842 bp; upper lane 6 and 7, 666 bp; bottom lane 1-5, 1038 bp; bottom lane 6 and 7, 1042 bp.
His Tag Elisa kit (LS-F55748) was purchased from LifeSpan Bioscience, inc. The cell-free preps were diluted to one-fifth with water, and the ELISA assay was performed following the manufacturer’s protocol. The standard curve was prepared using the standard sample prepared by the manufacturer. We confirmed the significant decrease of His-tagged protein in the Hina HI extract (After Ni-NTA treatment) compared to the Hina HI extract (Before Ni-NTA treatment. Error bars indicate SEM, n=3.
Figure S38 Western blotting of ΔRNase HI TXTL reactions
| Lane | 1 | 2 | 3 | 4 |
|------|-----|-----|-----|-----|
| eGFP | o | o | o | - |
| 2OMe (Pos.3) | o | o | - | - |
| anti-ssrA | o | o | - | - |
Cell extract Rosetta 2 ΔRNase HI ΔRNase HI ΔRNase HI
T7 RNAP 99 kDa →
eGFP 27 kDa →
Truncated eGFP 17 kDa →
Original blot image with ladder
Original blot image without ladder
TXTL reactions were fractionated on a 12% polyacrylamide gel for 90 minutes. N-terminal His-tagged T7 RNA polymerase is 99 kDa. Full-length N-terminal His-tagged eGFP is 27 kDa. The truncated eGFP by 2OMe-oligo interruption is 17 kDa. anti-ssrA oligo is added to prevent tmRNA-associated truncated protein degradation. The table above the gel indicates which components mixed in the TXTL reaction: “o” means the component was contained in the reaction and “–” means the component was not
added. While normal TXTL (Rosetta 2) shows the truncated eGFP, ΔRNase HI TXTL did not produce it even with anti-ssrA supplementation.
2OMe-oligo inhibits gene expression in two different mechanisms. When 2OMe-oligo binds near the start codon, the gene expression is inhibited by preventing ribosomes from starting translation. When 2OMe-oligo binds somewhere in the middle of the sequence, RNase H cleaves the mRNA at the DNA/RNA duplex. Ribosomes translate the mRNA up to the cleaved mRNA position, then get stalled. tmRNA releases the stalled ribosomes and adds a ssrA-tag on the partially translated protein. The mRNA and the truncated protein are degraded, and ribosomes are recycled.
eGFP expression was measured in $\Delta$RNase III TXTL with 2OMe-oligo, Pos.1, Pos.2, and Pos.3. Control is the reaction with eGFP plasmid without 2OMe-oligo. Error bars indicate SEM, $n=3$.
Figure S41 Western blotting image of eGFP expression in ΔRNase III TXTL with anti-ssrA oligo
| Lane | 1 | 2 | 3 | 4 |
|------|-----|-----|-----|-----|
| eGFP | o | o | o | - |
| 2OMe (Pos.3) | o | o | - | - |
| anti-ssrA | o | o | - | - |
Cell extract Rosetta 2 ΔRNase III ΔRNase III ΔRNase III
T7 RNAP 99 kDa →
eGFP 27 kDa →
Truncated eGFP 17 kDa →
Original blot image with ladder
Original blot image without ladder
TXTL reactions were fractionated on a 12% polyacrylamide gel for 90 minutes. N-terminal His-tagged T7 RNA polymerase is 99 kDa. Full-length N-terminal His-tagged eGFP is 27 kDa. The truncated eGFP by 2OMe-oligo interruption is 17 kDa. anti-ssrA oligo is added to prevent tmRNA-associated truncated protein degradation. The table above the gel indicates which components mixed in the TXTL reaction: “o” means the component was contained in the reaction and “-” means the component was not.
added. While normal TXTL (Rosetta 2) shows the truncated eGFP, ΔRNase III TXTL did not produce it even with anti-ssrA supplementation.
Figure S42 Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes
Samples on 1% agarose gel with SybrSafe.
1 - Lipofectamine RNAiMAX Reagent
a - 0.5ul transfection reagent
b - 1.0ul transfection reagent
c - 1.5ul transfection reagent
2 - Minus TransIT-LT1
a - 0.5ul transfection reagent
b - 1.0ul transfection reagent
c - 1.5ul transfection reagent
Figure S43 Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes
Samples on 1% agarose gel with SybrSafe.
1. SuI, DNA ladder
2. SuI, DNA dilution, SuI, loading dye (10ng)
3. Sample 1a (25ul water, SuI, loading dye)
4. Sample 2a (25ul water, SuI, loading dye)
5. Sample 3a (25ul water, SuI, loading dye)
6. Sample 4a (25ul water, SuI, loading dye)
Samples 1a-1c had GenePORTER Gold Transfection Reagent, GenePORTER Gold Diluent and GenePORTER Gold Enhancer,
Samples 2a-2c had GenePORTER Gold Transfection Reagent and GenePORTER Gold Diluent,
Samples 3a-3c had GenePORTER Gold Transfection Reagent and GenePORTER Gold Enhancer, 5
Samples 4a-4c had GenePORTER Gold Transfection Reagent.
1. SuI, DNA ladder
2. SuI, DNA dilution, SuI, loading dye (10ng)
3. Sample 1b (25ul water, SuI, loading dye)
4. Sample 2b (25ul water, SuI, loading dye)
5. Sample 3b (25ul water, SuI, loading dye)
6. Sample 4b (25ul water, SuI, loading dye)
Samples 1a-1c had GenePORTER Gold Transfection Reagent, GenePORTER Gold Diluent, and GenePORTER Gold Enhancer,
Samples 2a-2c had GenePORTER Gold Transfection Reagent and GenePORTER Gold Diluent,
Samples 3a-3c had GenePORTER Gold Transfection Reagent and GenePORTER Gold Enhancer, 5
Samples 4a-4c had GenePORTER Gold Transfection Reagent.
Figure S44 Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes
Samples on 1% agarose gel with SybrSafe.
1. Sul DNA ladder
2. Sul DNA dilution, 1ul, loading dye (10ng)
3. Sample 1c (25ul water, 5ul loading dye)
4. Sample 2c (25ul water, 5ul loading dye)
5. Sample 3c (25ul water, 5ul loading dye)
6. Sample 4c (25ul water, 5ul loading dye)
7. Negative Control (25ul water, 5ul loading dye)
Samples 1a-1c had GenePORTER Gold Transfection Reagent, GenePORTER Gold Diluent, and GenePORTER Gold Enhancer.
Samples 2a-2c had GenePORTER Gold Transfection Reagent and GenePORTER Gold Enhancer.
Samples 3a-3c had GenePORTER Gold Transfection Reagent and GenePORTER Gold Enhancer, 5
Samples 4a-4c had GenePORTER Gold Transfection Reagent,
1a = 0.5ul GenePORTER 3000 Reagent, 3.57ul GenePORTER 3000 Diluent
1b = 1.0ul GenePORTER 3000 Reagent, 7.14ul GenePORTER 3000 Diluent
1c = 2.5ul GenePORTER 3000 Reagent, 14.28ul GenePORTER 3000 Diluent
2a = 0.5ul GenePORTER 3000 Reagent
2b = 1.0ul GenePORTER 3000 Reagent
2c = 1.5ul GenePORTER 3000 Reagent
Figure S45 Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes
Samples on 1% agarose gel with SybrSafe.
Figure S46 Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes
Samples on 1% agarose gel with SybrSafe.
Figure S47 Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes
Samples on 1% agarose gel with SybrSafe.
Figure S48 Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes
Samples on 1% agarose gel with SybrSafe.
Sample 1 - GeneFect Transfection Reagent
1g:1 had (agent:enhancer) ratio of 1:2
1j:1l, had only the reagent - no enhancer
1. Sul DNA ladder
2. Sul DNA dilution, 1ul, loading dye [10ng]
3. Sample 1a (25ul, water, Sul loading dye)
4. Sample 1h (25ul, water, Sul loading dye)
5. Sample 1j (25ul, water, Sul loading dye)
6. Sample 1k (25ul, water, Sul loading dye)
7. Sample 1k (25ul, water, Sul loading dye)
8. Sample 1l (25ul, water, Sul loading dye)
Sample 2 - Ufect 293 In Vitro DNA Transfection Reagent
1. Sul DNA ladder
2. Sul DNA dilution, 1ul, loading dye [10ng]
3. Sample 2a (25ul, water, Sul loading dye)
4. Sample 2h (25ul, water, Sul loading dye)
5. Sample 2j (25ul, water, Sul loading dye)
6. Negative Control (25ul, water, Sul loading dye)
Figure S49 Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes
Samples on 1% agarose gel with SybrSafe.
Sample 1: Minus TransIT mRNA and Minus mRNA Boost
Sample 2: Minus TransIT mRNA (no mRNA Boost)
1. SuL DNA
2. SuL DNA dilution, 1xL loading dye (10μg)
3. Sample 1a (25μL water, 5xL loading dye)
4. Sample 1b (25μL water, 5xL loading dye)
5. Sample 1c (25μL water, 5xL loading dye)
6. Sample 2a (25μL water, 5xL loading dye)
7. Sample 2b (25μL water, 5xL loading dye)
8. Sample 2c (25μL water, 5xL loading dye)
Sample 3 - Minus Transit-X2
Sample 4 - Lipofectamine 2000 Reagent
1. SuL DNA
2. SuL DNA dilution, 1xL loading dye (10μg)
3. Sample 3a (25μL water, 5xL loading dye)
4. Sample 3b (25μL water, 5xL loading dye)
5. Sample 3c (25μL water, 5xL loading dye)
6. Sample 4a (25μL water, 5xL loading dye)
7. Sample 4b (25μL water, 5xL loading dye)
8. Sample 4c (25μL water, 5xL loading dye)
Figure S50 Analysis of restriction enzyme digest of transfection reagent test in synthetic cell liposomes
Samples on 1% agarose gel with SybrSafe.
Sample 5 - ViaFect Transfection Reagent
1. 5ul, DNA ladder
2. 5ul, DNA dilution, 1ul, loading dye (10ng)
3. Sample 5a (25ul, water, 5ul, loading dye)
4. Sample 5b (25ul, water, 5ul, loading dye)
5. Sample 5c (25ul, water, 5ul, loading dye)
Figure S51 eGFP fluorescence of TXTL reactions shown in Fig. 12d
eGFP fluorescence [AU]
- 2OMe-Shine-Dalgarno
- 2OMe-Start
- 2OMe-Start-6bases
- 2OMe-BeforeChrom
- 2OMe-Chrom
- Unmod-Shine-Dalgarno
- Unmod-Start
- Unmod-Chrom
- eGFP plasmid only
- No eGFP plasmid control
- eGFP plasmid only (for 2OMe-BeforeChrom)
- No eGFP plasmid control (for 2OMe-BeforeChrom)
Figure S52 eGFP fluorescence of TXTL reactions shown in Fig. 12e
eGFP fluorescence [AU]
- 10 µM
- 1 µM
- 100 nM
- 10 nM
- 10 µM
- 1 µM
- 100 nM
- 10 nM
- eGFP plasmid, no oligo
- No eGFP plasmid
2OMe-Chrom
2OMe-Unspecific
Figure S53 eGFP and mCherry fluorescence of TXTL reactions shown in Fig. 12f
eGFP fluorescence [AU]
- 10 µM
- 5 µM
- 1 µM
- 100 nM
- 10 nM
- plasmids, no oligo
- no plasmids
mCherry fluorescence [AU]
- 10 µM
- 5 µM
- 1 µM
- 100 nM
- 10 nM
- plasmids, no oligo
- no plasmids
Figure S54 eGFP fluorescence of TXTL reactions shown in Fig. 12h
eGFP fluorescence [AU]
- Dumbbell-Shine-Dalgarno: 3,700 AU
- Dumbbell-Start: 3,500 AU
- Dumbbell-Chrom: 3,400 AU
- eGFP plasmid, no oligo: 6,900 AU
- No eGFP plasmid: 100 AU
Figure S55 eGFP fluorescence of TXTL reactions shown in Fig. 12i
eGFP fluorescence [AU]
Dumbbell-Unspecific
- 10 µM
- 1 µM
- 100 nM
- 10 nM
eGFP plasmid, no oligo (for Dumbbell-Unspecific)
No eGFP plasmid (for Dumbbell-Unspecific)
Dumbbell-Chrom
- 10 µM
- 1 µM
- 100 nM
- 10 nM
eGFP plasmid, no oligo (for Dumbbell-Chrom)
No eGFP plasmid (for Dumbbell-Chrom)
Figure S56 eGFP fluorescence of TXTL reactions shown in Fig. 12k
TXTL
eGFP fluorescence [AU]
RNA None NTC
PURE
eGFP fluorescence [AU]
RNA None NTC
Figure S57 eGFP fluorescence of TXTL reactions shown in Fig. 12I
eGFP fluorescence [AU]
- 2OMe-Start
- Dumbbell-Start
- Unmod-Start
- eGFP plasmid, no oligo
- No eGFP plasmid
Figure S58 eGFP fluorescence of TXTL reactions shown in Fig. 13b and d
TXTL
eGFP fluorescence [AU]
Pos.1 Pos.2 Pos.3 eGFP plasmid, no oligo No eGFP plasmid
PURE
eGFP fluorescence [AU]
Pos.1 Pos.2 Pos.3 eGFP plasmid, no oligo No eGFP plasmid
Figure S59 eGFP fluorescence of TXTL reactions shown in Fig. 13f, g, and h
ΔRNase HI TXTL
eGFP fluorescence [AU]
Pos. 1 Pos. 2 Pos. 3 eGFP plasmid, no oligo No eGFP plasmid
ΔRNase HI TXTL + RNase H
eGFP fluorescence [AU]
Pos. 1 Pos. 2 Pos. 3 eGFP plasmid, no oligo No eGFP plasmid
PURE + RNase H
eGFP fluorescence [AU]
Pos. 1 Pos. 2 Pos. 3 eGFP plasmid, no oligo No eGFP plasmid
Figure S60 Original blot image shown in Fig. 13i
Original blot image without ladder
Original blot image with ladder
Figure S61 Transfection experiments using Diamond Dye lysis assay, three top performing transfection reagents, DNA payload
- **pUC19 DNA, 1 µl GreenFect**
- **pUC19 DNA, 10 µl GreenFect**
- **pUC19 DNA, 1 µl Lipofectamine 2000**
- **pUC19 DNA, 10 µl Lipofectamine 2000**
- **pUC19 DNA, 1 µl Lipofectamine RNAiMAX**
- **pUC19 DNA, 10 µl Lipofectamine RNAiMAX**
- **pUC19 DNA, negative control (no transfection reagent)**
- **pUC19 digested DNA, 1 µl GreenFect**
- **pUC19 digested DNA, 10 µl GreenFect**
- **pUC19 digested DNA, 1 µl Lipofectamine 2000**
- **pUC19 digested DNA, 10 µl Lipofectamine 2000**
- **pUC19 digested DNA, 1 µl Lipofectamine RNAiMAX**
- **pUC19 digested DNA, 10 µl Lipofectamine RNAiMAX**
- **pUC19 digested DNA, negative control (no transfection reagent)**
- **GFP DNA, 1 µl GreenFect**
- **GFP DNA, 10 µl GreenFect**
- **GFP DNA, 1 µl Lipofectamine 2000**
- **GFP DNA, 10 µl Lipofectamine 2000**
- **GFP DNA, 1 µl Lipofectamine RNAiMAX**
- **GFP DNA, 10 µl Lipofectamine RNAiMAX**
- **GFP DNA, negative control (no transfection reagent)**
Figure S62 Transfection experiments using Diamond Dye lysis assay, three top performing transfection reagents, RNA payload
Fluorescence [AU]
- **tRNA, 1 µl GreenFect**
- **tRNA, 10 µl GreenFect**
- **tRNA, 1 µl Lipofectamine 2000**
- **tRNA, 10 µl Lipofectamine 2000**
- **tRNA, 1 µl Lipofectamine RNAiMAX**
- **tRNA, 10 µl Lipofectamine RNAiMAX**
- **tRNA, negative control (no transfection reagent)**
- **Broccoli RNA, 1 µl GreenFect**
- **Broccoli RNA, 10 µl GreenFect**
- **Broccoli RNA, 1 µl Lipofectamine 2000**
- **Broccoli RNA, 10 µl Lipofectamine 2000**
- **Broccoli RNA, 1 µl Lipofectamine RNAiMAX**
- **Broccoli RNA, 10 µl Lipofectamine RNAiMAX**
- **Broccoli RNA, negative control (no transfection reagent)**
## 8.1 Supplemental tables
### Table S1 Oligonucleotide sequences used in chapter 2
| Name | 5'-3' oligonucleotide sequence | Purpose |
|---------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------|
| HR FW primer | TTCTGTGCAGATTTCCGGCAGCCAGAAACGGGAAAGCGAATATGTACACCCCTGAAGGCTGGAAAGTGTGGAGAAACGTCAAGCGCGTTGCAGCAAACAATGCCCTGATGAGTGA AAAAGAGTGTAGGCTGGAGCTGCTTCG | recB knockout |
| HR RV primer | GTGCCGCGCGCAGGGGTGACGGGCAGGATGTTCATCTCCGCCACGGTCAGGGCAAATTGCACATCCACGCGGGCGTAGCTGTTTGTCCTCACAGCTTCCAGTAATTGCTTTTGCAATTTTCACATATGAATATCCTCCTTA | recB knockout |
| Primer 1 | ATTTCTTCCATCAGCGGTT | Colony PCR |
| Primer 2 | CAGTCATAGCCGAATAGCCT | Colony PCR |
| Primer 3 | CGGTGCCCTGAATGAACTGC | Colony PCR |
| Primer 4 | GTCCTCTCCGGCATCATGA | Colony PCR |
| Primer 5 | AAGTTCATCTGCACCACC | RT-qPCR |
| Primer 6 | TTGAAGTCGATGCCCTTC | RT-qPCR |
| Primer 7 | AAACGGCCACAAGTTTCAGC | RT-qPCR |
| Primer 8 | GCTTCATGTGGTCGGGGTA | RT-qPCR |
| Oligo template| CTCACATGGCTCGACAGATCTAATTCTAATACGACTCACTATAAGGGAATCTCTGGTCGAGCTGGACGGCGACGTAACACGGCCACAAGTTTCAGCGTGTCGGCGGAGGGCGAGGGCGATGCCACCTACGGCAAGCTGACCCCTGAAGTTCATCTGCACCACCCGGCAAGCTGCCC GTGCCCCTGGCCACCTCGTGACCCACCCCTGACCTACGGCGTGCACTGTC TCAAGCCGCTACCCCGACCCACATGAAGCAGCACGACCTCTTCAAGTCCGCCATGCCCGAAGGCTACGTCCAGGAGCGCACCATCTTCTTCAAGGACGACGGCAACTACAA GACCCCGCGCCGAGGTTGAAG | Short oligo stability in TXTL |
| Primer 9 | CTCACATGGCTCGACAGATCTAATTTC | Short oligo stability in TXTL |
| Primer 10 | CTTCACCTCGGCGCG | Short oligo stability in TXTL |
| Primer 11 | CCGCTTTTTTGCCACAACATGG | PCR for eGFP and FLuc gene |
| Primer 12 | TCCTCCGATCGTTGTCAGAA | PCR for eGFP and FLuc gene |
|-----------|----------------------|----------------------------|
| T7Max promoter | AATTCTAATACGACTCACTATAGGGA | GFP expression in TXTL |
| eGFP gene | ATGGAGCTTTTCACTGGCGTTGTCCCCATCCTGGTCGAGCTGGACGGGCACGTAACCGGCCACAAGTTCAGCGTGTCGGCGGAGGGCGAGGGCGATGCCACCTACGGCAAGCTGACCCCTGAAGTTCATCTGCAACCACCGGCAAGCTGCCGTGCCCTGGCCCACCCTCGTGACCCACCTGACCTACGGCGTGCACTGCTTCAAGCCGCTACCCCGACCAACATGAAGCAGCACGACTTCTTCAAGTCCGCCATGCCCGAAGGCTACGTCAGGAGCGCAACCATCTCTTCAAGGACGACGGCAACTACAAGACCCGCGCCGAGGTAAGTTCGAGGGCGACACCCCTGGTGAAACCGATCGAGCTGAAGGCATCGACTTCAAGGAGGACGGCAACATCCTGGGGCACAAGCTGGAGTACAACATAAACAGCCACAACGTCTATATCATGGCCGACAAGCAGAAGAAACGGCATCAAGGTGAACCTCAAGATCCGCCACAAACATCGAGGAGGCACGCTGCACTCGCCGACACCACTACCGCAGAAACACCCCATCGCCGAGGCGCCCGTGCTGCTGCCGACACCACTACCTGACGACCCCACTCGCCCTGAAGCAAAACCCAAACGAGAAGCGCGATCACATGGTCCTGCTGGAGTTCTGACCGCCGCGCCGGGATC | GFP expression in TXTL |
| FLuc gene | ATGGAAGACGCCAAAACATAAAAGAAAGGCCCGGCCCATCTATCCGCTGGAAAGATGGAAACCGCTGGAGAGCAACTGCATAAGGCTATGAAAGATAAGCCCTGGTTCCCTGAACAAATTGCTTTTACAGATGCACATATCGAGGTGGACATCACTTACGCTGAGTACTTCAAAATGTCCGTTCGGTTGGCAGAAAGCTATGAAAACGATATGGGCTGATAACAAATCACAGAATCGTCGTATGCACTGAAAAACTCTCTTCAATTCTTATGCGGTTGTTGGGGCGGTATTATTAACGGAGTTGCAGTTGCGCCCGCGAACGACATTTATAATGAACGTTGAATTGCTCAACAGTATGGGCATTTTCGACGCCTACCGTGTTGTTGCTTTCCAAAAAAGGGGTTGCAA AAAAATTGGAAACGTGAAAAAAAAAGCTCCCAATCATC CAAAAAATATTATCATGGATTCTAAAAACGGATTACCAAGGGATTTTCAGTCGATGTACACGTTCGTCACATCTCATCTACCTCCCGGTTTTTAATGAATACGATTTTTGTGCCAGAGTCCTTCGATAGGGACAAGACAATTGCACTGATCATGAACCTCCTCGGATCTACTGGTCGCTCAAAGGTGTCGCTCTGCCTCATAGAAACTGCCTCGCGTGAGATTTCTCGCAGTGCCAGAGATCCTATTTTTGGCAATCAAAATCATCCGGATACTGCGATTTTTAAGTGTGTTCCATTCATCACGGTTTTGGAAATGTTTACTACACTCGGATATTTGATATGTGGATTTTCGAGTCGTCCTTAATGTATAGATTTGAAAGAGAGCTGTTTCTGAGGAGGCCTTCAGGATTACAAGATT |
| | CAAAGTGCGCTGCTGGTGCCAACCCATTCTCCTTCTT
CGCCAAAAGCACTCTGATTTGACAATAACGATTTATCT
AATTTACAGAAATTGCTTCTGGTGCGCTCCCCCTCT
CTAAGGAAGTCGGGGAAGCGGTGGCCAAGAGGTCCC
ATCTGCCAGGTATCAGGCAAGGATATGGGCTCACTG
AGACTACATCAGCTATTCTGATTACACCCGAGGGGG
ATGATAAACCGGGCGCGGTCGGTAAAGTTGTCCCAT
TTTTGAAGCGAAAGTTGTGGATCTGGATACCGGGA
AAACGCTGGGCCTTAATCAAAGAGGCGAACTGTGTG
TGAGAGGTCCATGATTATGTCCGGTTATGTAACAA
TCCGGAAGCGACCAACGCCTTGAITTGACAAGGATGG
ATGGCTACATTTCTGGAGACATAGCTTACTXGGGACGA
AGACGAACACTTCTTCATCGTTIGACCGCTCTGAAGTCT
CTGATTAAGTACAIAAGGCTATCAGGTGGCTCCCGCT
GAATTGGAAATCCATCTTGCTCCAACACCCCAACATCTT
CGACGCAGGTGTCGCAAGGTCTCCCGACGATGACGC
CGGTGAACCTTCCGCGCCGCTTTGTGTTTTGGAACAC
GGAAAGACGATGACGAAAAAGAGATCGTGGATTA
CGTCGCCAGTCAAGTAACAACCGCGAAAAAGTTGGG
CGGAGGAGTTGTGTTTGTTGGAACGAAGTACCGAAG
GTCTTACCGAAAACCTGAGCGCAAGA AAAAATCAGAG
AGATCCTCATAAAGGCCAAGAAGGGCGGAAGATCGCCGTG | |
| Name | Purpose |
|--------------------|----------------------------------------------|
| pKDsgRNA-trml | *recB* knockout |
| pKD4 | *recB* knockout |
| T7-GFP | eGFP expression in TXTL |
| T7Max-GFP | eGFP expression in TXTL, PCR template for eGFP gene |
| T7Max-Fluc | PCR template for Fluc gene |
| Name | Sequence |
|--------|--------------------------------------------------------------------------|
| Primer1| AGCATACTAGTATGGCATCCTTTGAAAAATTCACTCA |
| Primer2| CTGTAACGCGTAGCTGAGTTGGATGATCGC |
| Primer3| AGCATACTAGTATGCGTATCAACATCTCCC |
| Primer4| CTGTAACGCGTTTTGGCATTCTCGAGGAT |
| Primer5| AGCATACTAGTATGGAATTTGGAAACTTTTTGCTTACATACCAA |
| Primer6| TACAGCTCGAGTTAATATAATAGCGAACGTTGTTTTTCTTTAAGAAAATGG |
| Primer7| AGCATACTAGTATGGAATTTGGATTGTTCCTCCTTAACTTCATC |
| Primer8| TACAGCTCGAGTTAGGTATATCCATGTGGTACTTCTTAATATTATCATCAA |
| Primer9| AGCATACTAGTATGACTAAAAAAAAATTTCATTCTATTATAACGGCCAG |
| Primer10| TACAGCTCGAGTTATGGGACAATACAAGGAACTTATCTTCTT |
| Primer11| AGCATACTAGTATGGA AAAATGAATCAAAAATATAAAAACCATCGACC |
| Primer12| TACAGCTCGAGTTAAGACAGAGAAAATTGCTTGATTTTCAATCTC |
| Primer13| AGCATACTAGTATGACTTCTATATGTTGATAAAACAAGAAAATTACAGC |
| Primer14| TACAGCTCGAGTTAACTATCAAACGCTTCGGTTAAGC |
| Primer15| AGCATACTAGTATGACGACCCTGTCCGTGAAA |
| Primer16| CCTGTAACGCGTGATAAAACGCGAACGCATCAC |
| Primer17| AGCATACTAGTATGGAAAGACGCCAAAAACATAAAAGAAA |
| Primer18| CCTGTAACGCGTCACGGCGATCTTTCCGC |
| Primer19| AGCATACTAGTATGACTTCGAAAGTTTATGATCCAGAAC |
| Primer20| CCTGTAACGCGTTTGTTTCATTTTTGAGAAACTCGCTCAA |
| Primer21| AGCATACTAGTATGGTCTTCACACTCGAAGATTTTC |
| Primer22| CCTGTAACGCGTCGCCAGAATGCGTTTCGC |
| Primer23| ACTAGTATGGAGCTTTTCACTGG |
| Primer24| TGATCCCCCTCCGCCCGATCCACCACTCCGATCCCGCGGC |
| Primer25| GCGGAGGGGGGATCAATGCGTATCAACATCTCCCTG |
| Primer26| GCTCGAGTTAACGCGTTATTTGGCATTCTCGACGATTTTACC |
| Primer | Sequence |
|----------|-----------------------------------------------|
| Primer27 | ACGCGTTAACTCGAGCAAA |
| Primer28 | CCAGTGAAAAGCTCCATACTAGTGCACCTCCGTGGT |
| Primer29 | GCGGAGGGGGATCAATGGAGCTTTTCACTGGCG |
| Primer30 | TTATCCGTTGGTGATGGTGATG |
| Primer31 | CATCACCATCACACCGATAACTCGAGCAAAGCCCG |
| Primer32 | TGATCCCCCTCCGCCCGATCCACCCACCTCCTTTGGCATTCTCGACGATTTTACC |
| Primer33 | TGACCTGCAGGCATGC |
| Primer34 | ACGTATCCTCCAAGCCTGA |
| Primer35 | TCAGGCTTGAGGAGATACTGATGGCATCCTTTGAAAAATTCACTCA |
| Primer36 | CATGCCTGCAGGTCAAAGCTGAGTTGGATGATCGC |
| Primer37 | TTCTGACAACGATCGGAGGA |
| Primer38 | AGCCGCCAGCCGCTCACCATTTGATCCCCCTCCGC |
| Primer39 | ATGGTGAGCGGCTGGCGGCTGTTCAAGAAGATTAGCTAACTCGAGCAAAGCCCG |
| Primer40 | TCCTCCGATCGTTGTCAGAA |
| Primer41 | AACAGCGCCAGCCGCTCACCATACTAGTCATACCGGTATATCTCCTTCTTA |
| Primer42 | GTGAGCGGCTGGCGGCTGTTCAAGAAGATTAGCGGAGGTGGGTGGATCGG |
| Primer43 | TTCAGGCTTGAGGATACGTATGGTCTTTCACACTCGAAGATTT |
| Primer44 | GCTTGATGCCTGCAGGTCAGCTGTTGATGGTTACTCGGAA |
| Primer45 | CCGCTTTTTTGCAACAACATGG |
| Primer46 | CCATGTTGTGCAAAAAAGCGG |
| Gene | Sequence |
|----------|---------------------------------------------------------------------------|
| gblock1, Luz gene | ATGC GTATAAATATCTCTCTGTCTAGCTTATT CGAGAGATTAAGCAAACTCAGCTTCCGTAGCATAGCTTATTACATGTTGGTGTCGTCCCTCGCCTCTGCTATTTGCTTTTTCCCATATACAGCGAGATTATACAGACGTTCTTAGAGGTTGGTCTCAGCTATGCCCTCTAAAATTTTCGAGGCTACATTATCGTTTGC GTACTCAGCTTGTTCGACAAGAGCAAAAAGGGTTGGCAATCTACGACAGACTCCCAAGAGAAGAGAAATGGCTGGCCGATCTCCCATTTCGTGAAGGTACTAGACCTAGTATAAACATCACACATAATACAGAGACAGCGA ACTCAACTTGTAGACCAAAGAGTTTGCACACAGGAACGTATAGACAAAGTTATTTCCAGGGTGCAAGCACGACATACAGATAAAAACATTTTTGAG CACGAGCAAGTTTGAATTTCTATGCTAAAGCCATTTTTCCGTITGCCAAGTATTCCCTATAAAACGACCCTTTAAACATACCTAGTCATGATACGGTTCTGTAAGAACGAAACGAGAGATTGCAACATCGATGACTACCCAGACTGTACTCTTCACTTAGCTCTTGCGACTCAAGATGGAAAAGAAGTCTCGAAAAAAGGCTGGGGGCCAACGTCATCCGCTTGCCGGGGCCGGGTATACCTGGGC CGCCCGACAGAAATGGACCTTTTATACGACCCCCGTAATAGGAGAAGAA GCTAGGGTAGTAGAAAATGATTGTCGAGGCAAGTATCGGATACATGACTAATGATCCGGCAGGTTAAAATCGTCGAGAAATGCCAAATGA |
| gblock2, Fre gene | ATGAGCAGCCCTGTCCCTGTAAAGTTACGAGCGTAGAAAGCGATACCGGATACCGTTACCGTACCGTGAGAAATGTCCTGATGCTGCCTTCAGTTTTAGGGCGGGGCACTACCTAATGGTTGTGATGGATGAACCGCGACAACACGACCGTTAGATGGACTGCATATTGGCGCATCAGAAATCAATTATATGCAA AAAAGCTGTGATGGACCGCATCTGAAGAATCACCAAGATTTGTCGTTGATATCCCGCATGGCGAAGCATGGCTGCGGGATGATGAAGAGCGTCCAATGATTCTTATCGCTGGTGGCACTTGGTTTCACTACGCCCCTGCGATATTGCTCACACGCGTG GCCCGTAACCCGAACCGTGATATACCATCTATTTGGGGGGTGCTGAAGAACAAACCTTGATGATTNTGTGCGAGCTGGAGGCGCCCTGTCGCTGA AGCATCCCGCCCTGCAGGTAAGTGCCGCTAGTGCCGTAAGTGGAACAACCAGAGGCTGGGTGGCGTGGGACGCACTGGCACAGTTCTTACCGCACTGCTTCAGGACATGGGAACGTTAGCCGAACACGACATTATATTGCCGCTGCGCTTGA GATGGCAAAAATCGCGCGCGATTTATTTTGCTCTGAACGTAATGCGCGCGAAGACCGTCTGTTCCGTTGATGCGTTCGCGTTTATC |
| H3H | ATGGCATCCTTTGAAAATTCACTCAGTGTCCTTAATAGTTGGGGCTGGCTTAGGTGTTTTGGCCGCTGCTATAGCACTCGGAAGGCAAGGACATGTAGTCAAGATATACGATAGTTTCTCATTAAGGCGAATTGGGAGCAGGATTAGCTGTACCCACCCAAATACTCTCCGTTTCCCTGCAACAACTGGGCT GTAATACAGAAAACCTGAACGGAGTAGACAACCTCTGCTTTACGGCCATGGGATACGACGGGAGTGTAAGGTATGATGAATAATATGACCGACTACCGTGAGGCATACGGCACCTTCCGGAATAATGGTACATCGAGTGGATCTCCACAAACGAGCTGATGCGAGTGCGGCTTTGGGATCCGGGCGGTTAGGGCCTCCTGCCACTCTTTCACCTTAACCATCGTGTATTACGTTCTGCGATGTGGATGCGTACAGTCACGTTTACGGAACGGGACGACACAGCTGTCGACTTGATTGTGGGAGCTGATGGTATTAGGTCTACGATTCGAAGATTCTGTTGGAGGAGGACGTACTGTTCCAGCTAGCGGAATTTGTCGGCTTTTCGA |
| | |
|---|---|
| | TGGTTGGTCCAGGCCGATGCTCTCGACCCATATCCGAACTGGATTGGATTTGTCAAAAAAACCAACCTTGGAGCCAGGTTGATTTCTACTCCACAGAACCCGCAGAGTGGGCGTAGGACTGCGCCGATAGACGAACGATCATTATTACGCATGCAGAGGTGGGACCATGGTTAATGTATTAGCCGTACACGACGACGAAAGAGATCAAACACTGCTGATTTGGTCCGTTCCCGCATCAAAAGGATGATTATTCAGAGTGTTTCACGATTACCATCCAAGATTCCGACGACTCTTAGAGTTAGCACAGGACATTAATTATGGCAGATGAGGGTGGTCCCGGTCTTGAAAAAAAAAGGTGAACAAGAGGGTATGCTTGCTGGGTGATGCCGCCCATGCTTCACTGCCCACACTTGGACAAGGCTTCGGGATGGGTTGGAGGATGCAAGTGCTTTGGGCACGTTGTTGCTCAAAGGAAACGACCGCATCACAGATCGAGACAAGGCTGGCCGTTTACGAACAGCTGCGAAAGGATCGAGCTGAGTTTGTCGCCGCAAGAGCCTATGAGGAGCAATATGTCCCAGAGATGAGAGGGCTGTACCTTAAAGTCCAAAAGAATTGAGAGACAGAGTGTATGGTTATGATATTAAGGTAGAGTCAGAGAAGGTTTTGGAACACTTGTTCGCAATCCAACTCAGCT |
| Luz | ATGCGTATCAACATCTCCCTGTCGTCGTTATTCGAACGGTTAAAGATAACTGAGCTCTCGTTCAATTGCAGATTACCTGTGGAGGTTTGTCCTCGCCCTGCTATTTGCTTTTTCCCATCATACCGTCGGGATTATCAGACGTTCCCTGGAGGTTGGTCCTAGCTATGCCCCGCAAACACTTTCCGCGGCTACATTATCGTTTGC GTACTTAGCTTGTTCCGCCAAGAGCAGAGAAAGGCTGGCGATCTACGACCGGGCTCCCAAGAGAAGCGCCGCTGGCGGGAATCTGCCAATTCTCGTAAGGTACCAAGACCGAGTATTACCTCACACATTATCCAGCGCCAGCGCACTCAACTTGTGGATCAGGAATTTTGCCACACGTTGAACCTGATTGACAAGGTTATTCCGAGGGGTGCAAGCACGACATACCGATAAAAACATTTTTGAGACACGAGCAAGTTTIGAATTTCATGCGGAAGCCATTTTCCGTGTTGCCATGATTTCCAATCAACGACCCGCTGAAACATAACCTAGTCTGATAGCGTGCGTCGAACGAAACGGCAAATTGCCCAATGCTGATGACTATCAGGATTGCAACCTTCACCTAGCTCTGGCGCACAAGGATGGAAAAGAAGTCTGAAAAAAGGCTGGGGCCAGCGTCATCCGCTGGCGGGGCCGGGTTGCGCTGGGCGGCCGACTGAATGGACTTTCTTATAACGCACCCCCGTAATGAGGAAGAGCGCGCGTGTTAGAAAATGATTGTGGAAGCATCCATCGGCTATATGACCAATGATCCGGCAGGTAAAATCGTCGAGAAATGCCAAA |
| LuxA | ATGAAATTTGGAAAACCTTTTGCCTACATAACCAACCTCCCAAATTTCCTC AAACAGAGGTAAATGAAACCTTTGGTTAAATTAGGTGCGCATCTCTGAG GAGTGTGGTTTTTGATACCGTATGGTTACTGGAGACATTTTCACGGAG TTTGGTTTGCTTGGAACCCCTTATGTGCGCTGCTGCATATTTAATTCTGGCG CGACTAAAAAATTGAATGTAGGAACGTGCCGCTATTGTTCCTCCCACAG CCCATCCAGTACGGCCAACCTTGAAAGATGTGAATTATTGGATCAAAATGT CAAAAGGACGATTTCGGGTTTTGGTATTTGCCGAGGGCCTTACAACAAAG GACTTTTCGGTATTTCGGCACAGATATGAATAAACAGTTCGCGCCTTAGCG GAATGCTGGTACGGGCTGATAAAAGATGGCATGACAGAGGGATATA TGGAAGCTGATAATGAACATATCAAGTTCCATAAGGTAAAAAGTAAAC CCCGCGGCGTATAGCAGAGGTGGCCGACCCGGTTTATGTGGTGCGTG AATCAGCTTCGACGACTGAGTGGGCTGCTCAATTTTGGCCTACCGGTAT ATTAAGTTGGATTATAAATACTAACGAAAAGAAGCACAACCTTGAGCT TTATAATGAATGTGGCTCAAGAATATGGGCACGATATTCTATAATATCGA CCATTGCTTATCATATAATAACATCTGTAGATCATGACTCAATTAAAAGCG AAAGAGATTTTGCGGAAATTTCCTGGGCATTGGTATGATTCTTATGTG AATGCTACGACTATTTTTGATGATTTCAGACCAAACAAGAGGTTATGAT TTCAATAAAGGGCAGTGGCGCTGACTTTGTATTTAAAGGACATAAAGA TACTAATTCGCCGTATTGATTAACAGTTACGAAATCAATCCCGTGGAAC GCCGCAGGAATGTATTGACATAATTCAAAAAGACATTGATGCTACAG GAATATCAAAATTTTGTGTTGGATTITGGAAGCTTAATGGAAACTAGAC GAAATTATTGCTTCCATGAAGCTCTTCAGTCTGTATGTCATGCCCATTTC TTAAAGAAAAACAACGTTTCGCTATTATAT |
| LuxB | ATGAAATTTGGATTGTTCTTCCCTTAACTTCATCAATTCAACAACGTTC AAGAACAACAGTATAAGTTCCGATGCGAGGAAAATACGGAGATATGTGAT AAGTTGAATTTTGAACAGATTTTTAGTGATGAAAATACCTTTTCAGATA ATGGTGTTGTCGGCGCTCCTCTGACTGTTTCTGGTTTTTCGCTCGGTTT AACAGAGAAAAATTAAAATTTGGTTCATTAATACATCATTACAACCTCA TCATCTGTCCGCAATCGCGGAGGAAGCTTGCTTATTTGGATCAGTTAAG TGAAGGGAGATTTATTTTAGGTTTAGTGGATTGCGAAAAAAAAAGATG AAAATGCATTTTTTTAATCAGCCGGTTGAATATAACAGCAACATTGTGA AGAGTGTATGAAATCATTAACGATGCTTTAAACAACAGGCTATTGTAA TCCAGATAACGATTTTTATAGCTTCCCTAAAAATATCTGTAATATCCCCAT GCCTTATACGCCCAAGCGGACCTCGGAAATATGTAAACAGCAACCAAGTCA TCATATTTGTGAGTGGGCGGGCCAAAAAAAGGTATTTCTCTCATCTTTAA GTGGGATGATTCTTAATGATGTTAGATATGTAATATGCTGAAAGATATA AAGCCGTTGCGGATAAAATATGACGTTGACCTATCAGAGATAGACCAT CAGTTAATGATATTAGTTAACTATAACGAAGATAGTAATAAAAGCTAAA CAAGAGACGGCGTGCATTTTATTAGTGATTATGTGTTCTTGAAATGCAACCT AATGAAAATTTCGAAAATAAAACTTGAAAGAAATAATTGCAAGAAAACGC TGTCGGAAATTATACGGAGTGTTATAACTGCGGCTAAGTTGGCAATTG AAAAGTGTGGTGCGGAAAAGTGATATTGCTGTCCTTTGAACCAATGAAT GATTTGATGAGGCAAAAAAAATGTAATCAATATTGTTGATGATAATATT AAGAAGTACCACATGGAAATAACC
| LuxC | ATGACTAAAAAAAAATTCATTCAATTATAACGGCCAGGTTGAATCTTTCCCGAAGGTGATGTTTAGTGCAATCCATTAATTTTGGTGATAATAGTTTACCTGCCAATATGGAATGACTCTCATGTAAAAAAACATTATTGATTGTAATGGAAAAATAACGAATTACGGTTGCATAAACATTGTCAATTTTCTCTATACGGTAGGGGCAAAGATGGAAAAATGAAGAAATACTCAAGACGCAGGACATACATTCTGTGACTTTAAAAAAAAATATATGGGATATTCAAGAAGAAATGGCTAAGCTAGAGGCCAATTGGGATATCTATGATTTTATGTTCTAAAGGCGGCCTTTATGATGTTGTAGAAAATGAACCTTGGTTCTCGCCATATCATGGATGAATGGCTACCTCAGGATGAAAGTTATGTTCGGGCTTTTCGGAAGGTAAATCTGTACATCTGTGGCAGGTAATGTITCCATTATCTGGGATCAITGTCATATATTACGCGCACAATTTTAACAAGAATCAGTGTATTATAAAAACATCGTCAACCGATCCTTTTACCCTAATGCAATTAGCGTTAAAGTTTATTGATGTAGACCCCTAATCATCCGATAACCGCCTTTTATCTGTTTATATATTGGCCCCACCAAGGTTGATACATCACTCGCAAAGAAAATTTATGCACACATGCGGATGTTATTGTCGCTTTGGGGAGGGCCAGATGCGGATTAATTTGGCGGTAGAGCATGCGCCATCTTTATGCTGATGTTGATTTAAAATTGTTCTAAAAAGAGTCTTTGCATTATCGATAATCCTGTTGATTTTGACGTCCGCAGCGACAGGTGCGGCTCATGATTTTTGTTTTTACGATCAGCGAGCTGTTTTTCTGCCCAAAACATATATTACATGGGAAATCATTATGAGGAAATTAAATAGCGTTGATAGAAAAAACTTAATCTATATGCGCATATATACCGAATGCCAAAAAAAGATTTTGATGAAAAGGCGGCCTATTCTTTAGTTCAAAAGAAGACTTTTGCTGGATTTAAAGTAGAGGTTGGATATTCAACACGTTGGGATGATTATTGAGTCAAATGCGAGTTGTTGGAATTTAATCAACCATTTGGCAGATGTGTTGTAACCTTCATCACGTCGATAATATTGAGCAAAATATGCTTTATGTTCAAAAAAATAAGACGCAAAACCATATCTATTTTTCTCTTGGGAGTCATCATTTAAATATCGAGATGCGTTAGCATTTAAAGGTGCGGAAAGGATTGTAGAAGCAGGAATGAATAACATATTTGAGTTGTTGGAATCTCATGACGGAATGAGACCGTTGCAACGATTAGTGACATATATTTCTCATGAAGGCCATCTAACTATACGGCTAAGGATGTTGCGGTTGAAATAGAACAGACTCGATTCTGGAAAGAAGATAAGTTCCCTGTATTTGTCCCCA |
| LuxD | ATGGAAAATGAATCAAAATATAAAACCATCGACCAGTTATTGTGTTGAAGGAAATAAAAAAATTCATGTTTGGGAAACGCTGCAGAAAGAAAACAGCCCAAAGAGAAAGAATGCGCATTATTATTTGCGCTCTGGTTTTGCCGCAGGATGGATCATTTTTGCTGTTCTGGCGGAATATTATTCGCGGAATG GATTTCATGTTGATCCGCTATGATTGCTTCAACACGTTTGGATTGAGTTCAAGGACAATTGATGAAITTTACAATGTCTATAGGAAAGCAGAGCTTGT TAGCAGTGGTTGATGGTTAAACTACACGAAAAATAAAATAACTTCGGTA TGTGGCTTCAAGCTTATCTGCGCGGATAGCTTATGCAAGCCTATCTG AAATCAATGCTTCGTTTTTAATCACGCGAGTCGCGTGTGTTAACTTAAG ATATTCTCTTGAAAGAGCCTTAGGGTTTGATTATCTCAGTCTACCCATT AATGAATTGCCGAATAATCTAGATTTTGAAGGCCATAAAATTGGTGCT GAAGTCTTTGCGAGAGATTTGCTTGATTTTGTTGGGAAGATTAGCT TCTACAATTAATAACATGATGATATCTTGATATACCGTTTATTGCTTTTAC TGCAAATAACGATAATTTGGGTCAAAGCAAGATGAAGTTATCACATTGT ATCAAAATTTTCGTGTAATTCGATGCAAGAAGATATATTCTTTGTTAGGAAG TTTCGATGACTTGGAGTGAATAATTAGTGGTCCCTGCGCAATTTTTATCA ATCGGTTAGGAAAGCGCTATCGCGATGGATAATGATCATCTGGATAT TGATGTTGATATTACTGAACCGTCAATTGAAACATTTAACTATTGCGACA GTCAATGAAACGCCGAATGAGAATTGAGATTGAAAATCAAGCAATTCTCTGTCT |
| --- | --- |
| LuxE | ATGACTTCATATGTTGATAAAACAAGAAAATTCAAGCAAGCTCGAAATTGATGATTGATTTTTTCGAGGAGATCCATTAGTGTTGCTTACGACGAG CAGGAAAAAATCAGAAAGAAAACTTGTGCTTGATGTCATTTCGTAATCAT TATAAACATTTGTCGAGAATATCGTCACTACTGTCTAGGCACAAAGTA GATGACAATATTACGGAAAATTTGATGACATAACCTGTATTTCCAAACATCG GTTTTTAAGTTTACTCGCTTATTAACCTTCAGGAAAACAGGATTTGAAA GTTGGTTACACGATAGCGGCACGAATGGTTAAAAAAGTCAGGTTGGCG CGTGACAGATTAAGTATTGAGAGACTCTTAGGCTCTGTGAGTTATGGC ATGAAATATGTTGGTAGTTTGTTGATCATCAAATAGAATTAGTCAAT TTGGGACACAGATGATTTAATGCTCATAATATTTGGTTAAATATGTTA TGAGTTTGTTGGAATTGTTATATCTCTACGACATTACCGTAACAGAAG AACGAATAGATTTTGTTAAAAACATTTGAATAGTCTTGAACGAATAAAAAA ATCAAGGGAAGAGATCTTTTGCTTTATTTGGTTGCCCATACTTTTATTTT ACTCTGCCCATTATATGAAAGATAAAAAAAAAATCTCATTTCTGGAGATAA AAGCCTTTATATCATAAACCGGAGGCGGCTGGAAAAAGTTGCAAAAAAG AATCTCTGAAACGTTGATGATTTCATCATCTTTTATTTGATACTTTCAAT CTCAGTGATATTAGTCAGATCCGAGATATATTTAATCAAGTTGAACCTC AACACTTGTTTCTTTGAGGATGAAATGCAGCGTAAACATGTTCCGCGTG GGGTATATGCGCGAGCGCCTTGATCCTGAACGTTGAAAACCTGTACCT GATGGAACGCGCGGGTTGATGAGTTATATGGATGCGTCAGCAACAG TTATCCAGCATTTATTGTTACCGATGATGTCGGGATAATTAGCAGAGA ATATGGTAAGTATCCCGCGTGCTGCTGTTGAAAATTTTACGTCGCGTCAA TACGAGGACGCGAGAAAGGGTGTGCTTTAAGCTTAACCGAAGCGTTTG ATAGT |
| FLuc | ATGGAAGACGCCAAAAACATAAAAGAAAGGCCCGCGCCATTTCTATCCGCTGGAAGATGGAAACCCTGGAGAGGCAACTGCATAAAGGCTATGAAGAGATACGCCCTGGTTCTGGAAACAATTGCTTTTACAGATGCACATATCGAGGTGGACATCACTTAGCCTGGAAGTACTTCGAATATGTCGGTCCGGTTGGCAGAAGCTATGAAACGATATGGGCTGAATACAAATCACAGAATCGTCCGATGCACTGGAAGACTCTCTTCAATTCTTTATGCCCGBTITGGGGCGC GTTATTTATCGGAGGTTGCAGTTGCGCCCGCGAACGACATTTTATAATGAACGTGAATTGCTCAACAGTATGGGCATTTTCGAGCCTACCGTGTTT CGTTTCCA AAAAAGGGGTTGCAAAAAAATTTTGAACGTCGAAAAAAAAGCTCCCAATCATCCAAAAAAATTATTATCATGGAATTCTAAAACGGGATTACCA GGGATTTTCAGTCGATGTACAGCTTTCGTCAACTCTCATCTACCTCCC GGTTTAATGAATACGATTTTTGTGCCAGAGTCCCTCGATAGGGACAAGACA ATTGCACTGATCATGAACCTCCTCTGGATCTACTGGTCTGCCTAAAGGT GTCGCTCTGCCCTCATAGAACCTGCCTGCGTGAGATTTCTGCATGCCAGA GATCCCTATTTTTGGCAATCAAACTATCCGGATACTCGCATTTTAAATG TTGTTCCATTCCATCAGGGTTTTGGAAATGTITTAACACTCGGATATT TTGATATGTGGATTTTCGAGTCTGCTTTAATGTATAGATTTGAAGAAGAGCT GTTTCTGAGGGAGCCCTTCAGGATTACAAGATTCAAAGTGCGCTGCTG GTGCCAAACCCATTTCTCCTTCTCCGCCAAAAAGCACTCTGATTGACAATAC GATTATCTAATTTACGAAATTGCTTCTGGTGCCGCTCCCCCTCTCTA AGGAAAGTCGGGGGAAGCGGTTTGCCAAAGGTTCCATCTGCCAGGATATC AGGCAAGGATATGGGCTCACTGAGACTACATCAGCTATCTTGATTACA CCCGAGGGGGATGATAAAACCGGGCGCGGTCGGTAAAGTTGTTCCATT TTTTGAAAGCGAAGGTTGTGATCTGGATAACCGGGA AAAACGCTGGGCG TTAATCAAAAGAGGCGAACTGTGTGTGAGAGGGTCTCTATGATTATGTCC GGTATGTTAAAACATCCGGAAGCGACCCAACGCTTGTATTGACAAGGA TGGATGGCTACATTCTGGGAAGACATAGCTTACTGGGACGAAGAGGAAC ACTTCTTCATCGTTGACCGCCCTGGAAGTCTCTGATTTAAAGTACAAAGGCT ATCAGGTGGCTCCCGCTGAATTGGAATCCATCTTGCTCCAACACCCCA ACATCTTCGACGCAGGTTGTCGCCAGGTCTTCCGACGATGACGCGG GTGAACCTCCCGCCGCGCGTTGTGTTTTTGAGACCGAAAGACGATGAC GGAAAAAAGAGATCGTGGAATTACGTCGCCAGTCAAGTAACAAACCGCG AAAAGTTGCGCGGAGGAGTTGTGTTTTGTGGACGAAGTACCGGAAAGG TCCTTACCGGAAAAACTCGACGCAAGAAAAATCAGAGAGATCCTCATAA AGGCCAAGAAGGGCGGAAAGATCGCCGTG |
| Protein | Sequence |
|---------|----------|
| RLuc | ATGACTTGCAGAAGTTTATGATCCAGAACAAAGGAAACGGATGATAACTGGTCCGCAAGTGTTGGGGCACATGTAAACAATGAATGTTCCTGTATTCAATTATTATATTATGATTCAAGAAAAACATGCAGAAAATGCTGTATTTTTTACATGGTAACCGCGGCCCTTCTTCTTATTATGGCGACATGTGTGTCCACATATTGAGGCCAGTAGCCGCGGTGATTATACCAGACCTTATTGGTATGGGCAAATCAGGCAAAATCTGGTAATGGTTCTTATAGGTTACTGTATCATTACAATATCTTACTGCATGGTTTGAACTCTTAATTTACCAAAGAAGATCATTTTTGTGCGGCCATGATTGGGGTGCTTGTITTTGGCATTTTCATTAAGCTATGAGCATCAAGATAAGATCAAAGCAATAGTTCACGCTGAAAATGTAGTAGATGTGATTGAATCATGGGATGAATGGCCTGATATTGAAAGAATATTGCGTTGATCAATCTGAAGAAGGAGAAAAATGTGTTTGGGAGAATACTTCTTCGTTGGAACCATGTGGCCATCAAAATATCGAGAAAGTTAGAAACAGAAAGAATTTCGAGCATATCTTGAACCATTCAAAGAAGAAGGTTGAAGTTCGTCGTCGCAACATTTATCATGGCCTCGTGAATCCCTTAGTAGAAAAAGGTGTAACCTGACGTTTGTAACAAATTGTTTAGAATTATAATGCTTATCTACGTGCAAGATGATGATTACCAAAAAATGTTTATGATCAGGACCCAGGATTCTTTTCCAATGCTATTGTGTAAGGTGCCAAGAAGTTTCCTAATACTGAATTITGCTAAAGTAAAAGGTCTTCTATTTTCGCAAGAAGATGCACCTGTAGTAAATGGGAAAATATATCAAAATCGTTCGTTAGCGAGTTCTCAAAAAATGAACAA |
| NanoLuc | ATGGTCTTCACACTCGAAGATTTCTGGTGGGACTGGGCACAGACAGCCGGCTACAAACCTGGACCAAGTCCCTTGAAACAGGGAGGTTGTGTCAGTTTGTTTCGAAATCTCGGGGTGTCCGTAACCTCGATCCAAAGGATTGTCCTGAGCGGTGAAAATGGGCTGAAGATCGACATCCATCATGTCATCATCCCGTATGAAGGTTCTGAGGCGGCACCAAAATGGGCAAGATCGAAAATAATTTTAAGGTTGGTGTAACCTCTGGGATGATCATCACTTTAAGGTGATCCTGCACTATGGCACACTGGTAATCGACGGGTTACGGCGAACATGATCGACTATTTCCGAGCGCCGTATGAAGGCATCGCCGTGTTCGACGGCAAAAGATCACTGTAAACAGGGACCCCTGTGGAACGGCAACAAAATATCGACGAGGGCCTGATCAACCCCGACGGCTCCCTGCTGTTCCGAGTAACCATCAACGGAGTGACCCGGCTGGCGGCTGTGCGGAACCGCATTCCTGGCG |
| LgBiT | ATGGTCTTCACACTCGAAGATTTCTGGTGGGACTGGGAACAGACAGCCGGTACAAACCTGGACCAAGTCCCTTGAAACAGGGAGGTTGTGTCAGTTTGCTGCAAGAATCTCGCGGTGTCCGTAACCTCGATCCAAAGGATTGTCCGCAGCGGTGAAAATGCGCTGAAGATCGACATCCATCATGTCATCATCCCGTATGAAGGTTCTGAGGCGCGACCAAAATGGCAACAGATCGAAGAAGTTTTAAGGTTGGTGTAACCTCTGGGATGATCATCACTTTAAGGTGATCCTGCGTATGGCACACTGGTAATCGACGGGTTACGGCGAACATGCTGAACATTTTCGAGCGCCGTATGAAGGCATCGCCGTGTTTCGACGGCAAAAGATCACTGTAAACAGGGACCCCTGTGGAACGGCAACAAAATATCGACGAGGGCCTGATCAACCCCGACGGCTCCATGCTGTTCCGAGTAACCATCAACAGC |
| Nterm-His-eGFP | ATGGGCCATCACCATCATCACCATCACCATCACACGGAGGTGGCACTAGTATGGAGCTTTTCACTGGCGTTGTTCCCATCTGGTCGAGCTGGACGGCGACGTAAACGGCCACAAGTTCAAGCTGTCGTCGGCGGAGGGCGAGGGCGATGCCACCTACGGGCAAGCTGACCCCTGAAGTTCATCTGCACCACCGGCAA GCTGCCCCGTGCCCTGGCCCACCCCTCGTGACCACCTGACCTACGGCGTGCAGTGCTTCAGCCGCTACCCCGACCCACATGAAGCAGCACGACTCTTCAAGTCCGCCATGCCCGAAGGCTACGTCCAGGAGCGCACCATCTTCTTCAAGGACACGGCAACTACAAGACCCGCGCCGAGGTGAAGTTCGAGGGCGACCCCTGGTGAAACCGCATCGAGCTGAAGGGCATCGACTTCAA GGAGGACACGGCAACATCTCGGGGCAAAAGCTGGAGTACAACATAAACAGCCACAAGCTCTATATCATGCCCACAAGCAGAAAGAACGGCATCAA GGTGAACCTCAAGATCCGCCAACAACATCGAGGAGCGCACGCTGCAGCTCGCCGACCACTACCCAGCAGAAACCCCCCATCGGCGACGGCCCGTGCTGCTGCCGACAACCACTACCTGAGCACCCAGTCCGCCCCTGAGCAA GACCCCAACGGAGAAACGGCATCACATGGTCTCTGCTGGAGTTTCGTACCGCCCGGGGATC |
| Cterm-His-eGFP | ATGGAGCTTTTCACTGGCGTTGTTCCCATCTCTGGTCGAGCTGGACGGCGACGTAACGGCCACAACAGTTCAAGCTCAGCGTGTCCGGCGGAGGGCGAGGGCGATGCCCACCTACGGGCAAGCTGACCCCTGAAGTTCATCTGCACCACCGCAAGCTGCCCCGTGCCCTGGCCCACCCCTCGTGACCACCTGACCTACGGCGTGCACTGCTTCAGCCGCTACCCCGACCCACATGAAGCAGCACGACTCTTCTCAAGTCCGCCATGCCCGAAGGCTACGTCCAGGAGCGCACCATCTTCTCTCAAGGACACGGCAACTACAAGACCCGCGCCGAGGTGAAGTTCGAGGGCGACCCCTGGTGAAACCGCATCGAGCTGAAGGGCATCGACTTCAAGGAGGACACGGCAACATCTCGGGGCAAAAGCTGGAGTACAACATAACACAGCCACAACGTCTATATCATGCCCACAAGCAGAAAGAACGGCATCAAGGTGAACCTCAAGATCCGCCAACAACATCGAGGAGCGCACGCTGCAGCTCGCCGACCACTACCCAGCAGAAACCCCCATCGGCGACGGCCCGTGCTGCTGCCGACAACCACTACCTGAGCACCCAGTCCGCCCCTGAGCAAAGACCCCAACGGAGAAACGGCATCACATGGTCTCTGCTGGAGTTTCGTACCGCCCGGGGATCAGCCGTTGGAGGTGGCCATCACCATCATCACCATCACACGGATAA |
| Name | Purpose |
|-----------------------------|----------------------------------------------|
| pTXTL-T7max-H3H | H3H TXTL expression |
| pTXTL-T7max-Luz | Luz TXTL expression |
| pTXTL-T7max-LuxA | LuxA TXTL expression |
| pTXTL-T7max-LuxB | LuxB TXTL expression |
| pTXTL-T7max-LuxC | LuxC TXTL expression |
| pTXTL-T7max-LuxD | LuxD TXTL expression |
| pTXTL-T7max-LuxE | LuxE TXTL expression |
| pTXTL-T7max-Fre | Fre TXTL expression |
| pTXTL-T7max-FLuc | FLuc TXTL expression |
| pTXTL-T7max-RLuc | RLuc TXTL expression |
| pTXTL-T7max-NanoLuc | NanoLuc TXTL expression |
| pTXTL-T7max-HisGFPLuz | N-terminal His-tag eGFP fused Luz TXTL expression |
| pTXTL-T7max-LuzGFPHis | C-terminal His-tag eGFP fused Luz TXTL expression |
| pTXTL-T7max-HisGFPHiBiT | N-terminal His-tag eGFP fused HiBiT TXTL expression |
| pTXTL-T7max-HiBiTGFPHis | C-terminal His-tag eGFP fused HiBiT TXTL expression |
| pLumi-H3H | H3H carrying Rosetta 2 extract preparation |
| pLumi-LgBiT | LgBiT carrying Rosetta 2 extract preparation |
Table S6 Silencing oligo sequences
- Dumbbell oligo: Same color sequences (green and blue) hybridizes to form dumbbell structure.
- Duplex-ends oligo: Oligo 8 and 9 hybridize to form circle structure, the same color sequences (green and blue) are complemental sequences. Oligo 8 contains the complement sequence of deGFP mRNA.
- DNAzyme: Orange sequences are the catalytic sequence for the DNAzyme. Black sequences are complementary to deGFP mRNA.
- Oligo table
| Name | Sequence |
|-----------------------|--------------------------------------------------------------------------|
| Unmod-Shine-Dalgarno | CGGTATATCTCCTTCTTTAAA |
| 2OMe-Shine-Dalgarno | mCmGmGmUATATCTCCTCTTmUmAmAmA |
| Dumbbell-Shine-Dalgarno | GTCAGTCTAAATGGCACCGCGCCATTAGACTGACCGGTATATCTCCTTCTTTAAA AAGCTTACCGCGATCCTGCATCGCGTAAGCT |
| Unmod-Start | CATACTAGTCATAC |
| 2OMe-Start (Pos. 1) | mCmAmUmAmCTAGTmCmAmUmAmC |
| 2OMe-Start+6bases | mCmUmCmCATACTAGTCATAmCmCmGmG |
| Dumbbell-Start | GTCAGTCTAAATGGCACCGCGCCATTAGACTGACCATACTAGTCATACAGCTT ACGCGATCCTGCATCGCGTAAGCT |
| Duplex-Start | ATTGTGCGACGATTCCATACTAGTCATACTAGTACTAGCAGCTC |
| Duplex-Start pair strand | GACTGCTAGTACTAGCATTATGCTTTGA GAATCGTCGACAAT |
| RNA-Start | rCrArUrArCrUrArGrUrCrArUrArC |
| 2OMe-BeforeChrom | mUmGmGmUmCACGAGmGmGmGmG |
| Dumbbell-BeforeChrom | GTCAGTCTAAATGGCACCGCGCCATTAGACTGACGTGGTGCAAGATGAACAGC TTACCGCGATCCTGCATCGCGTAAGCT |
| Unmod-Chrom | GCCGTAGGTCAGGGT |
| 2OMe-Chrom (Pos. 2) | mGmCmCmGmUAGGTCmAmGmGmGmU |
| Dumbbell-Chrom | GTCAGTCTAAATGGCACCGCGCCATTAGACTGACGCCGTAGGTCAGGGTAGC TTACCGCGATCCTGCATCGCGTAAGCT |
| Pos. 3 | mUmAmCmUmCCAGCTmUmGmUmGmC |
| DNAzyme1: DNAzyme 8-17 | GGGTAGGACCAG TCCGAGCCGGGACGA CGACCTGCGCG |
| DNAzyme2: DNAzyme 8-17 | GCACAGGCCGTCCGAGCCGGACGAACCGCTCCC |
|------------------------|-------------------------------------|
| DNAzyme3: DNAzyme 10-27 | GACCAGCTCGA**GGCTAGCTACAACGA**CTGCCGCTGC |
| 2OMe-Unspecific | mCmCmAmGmCACCAAmCmAmAmUmG |
| Dumbbell-Unspecific | **GTCAGTCTAATGGC**ACCGCGCCATTAGACTGACCCAGCACCAACAATG**AGC**TTACGCGATCCTGCATCGCGTAAGCT |
| Transfection reagent | Did it work? (qualitative assessment only) | Gel analysis |
|----------------------------------------------------------|--------------------------------------------|--------------|
| Mirus TransIT-LT1 | no | Figs. S42, S45 |
| GenePORTER Gold Transfection Reagent | no | Figs. S43, S44 |
| GenePORTER Gold with Diluent | no | Figs. S43, S44 |
| GenePORTER Gold with Enhancer | no | Figs. S43, S44 |
| GenePORTER 3000 Transfection Reagent | yes | Fig. S44 |
| GenePORTER 3000 with Diluent | yes | Fig. S44 |
| Canvax Canfast Transfection Reagent | no | Fig. S46 |
| ICAFectin 441 (K) DNA Transfection Reagent | no | Fig. S46 |
| ICAFectin 441 (P) DNA Transfection Reagent | no | Fig. S46 |
| ICAFectin mRNA (K) mRNA Transfection Reagent | yes | Fig. S46 |
| ICAFectin mRNA (P) mRNA Transfection Reagent | no | Figs. S46, S47 |
| LiFect293 DNA Transfection Reagent | no | Fig. S48 |
| GreenFect Transfection Reagent | yes | Figs. S47, S48 |
| GreenFect with Enhancer Reagent | no | Figs. S47, S48 |
| Avalanche-Omni Transfection Reagent | no | Fig. S45 |
| Lipofectamine RNAiMAX Reagent | yes | Figs. S42, S45 |
| Lentifectin Reagent | no | Fig. S42 |
| DNAfectin Plus Transfection Reagent | no | Fig. S46 |
| Mirus TransIT-mRNA | no | Fig. S49 |
| Mirus mRNA Boost | no | Fig. S49 |
| Mirus TransIT-X2 | no | Fig. S49 |
| Lipofectamine 2000 Reagent | yes | Fig. S49 |
| ViaFect Transfection Reagent | no | Figs. S47, S50 |
| No | Name | Sequence | Purpose |
|----|--------|--------------------------------------------------------------------------|----------------------------------------------|
| 1 | Primer 1 | TTCAATCCGGTGGTTTTCGGTATCGAGAAACGATCTGGCGTGTAATTGCAGTGCTCATAGCGGTCAATTATGTCAGACTATCGTTTTACAGITTCGATTCAATTACAGGAAGTCTACCAGAGGTTAGGCTGGAGCTGC | FW primer to PCR kanamycin resistant gene for Hina H |
| 2 | Primer 2 | GCGGGTGTAGCCTCGCCTAAGGTTTTCTCGCGTCCCGGATAGCGTAAAATAGCGCCGTAACCCCCAGGTCTCTGGATTGCCAGACACGAACCATCGGTTGAAAAAATTCTACCTGTTTAAGACTAGTGCACACTCCCGTGGTGATGGTGATGATGGTGATGGCCCATCGGATACCAAGCCATGGTCCATATGAATATCCTC | RV primer to PCR kanamycin resistant gene for Hina H |
| 3 | Primer 3 | TGCCACGGCACACGAAACACGGTTGGTCCCATATACCGCTAAACTGAAACTGCAGCGAAGCAGTTAGCAGAGCCATGTATATACCAAGGTCTGTTTCGTTGCTGATATTGTTGACGCATTTAGTGTAAGGCTGGAGCTGC | FW primer to PCR kanamycin resistant gene for Hina III |
| 4 | Primer 4 | TTCTAAACGCTCGTTATGTTTGCTGCTGGCACTACGATGAGTTAATGCCTGCTGCAACAGTTCCCTGATGATAAAAGTGATATCCAGCTTCCGTTGAAGCCGATTAATTACGATGGGGTTACTAGTGCCACCTCCCGTGGTGATGGTGATGATGGTGATGGCCCATCGGATACCAA GCCATGGTCCATATGAATATCCTC | RV primer to PCR kanamycin resistant gene for Hina III |
| 5 | Primer 5 | AACGGCTATCTGGATGAGC | Colony PCR for Hina III |
| 6 | Primer 6 | CAGTCATAGCCGAATAGCCT | Colony PCR for Hina III and Hina H |
| 7 | Primer 7 | CGGTGCCCTGAATGAACCTGC | Colony PCR for Hina III and Hina H |
| 8 | Primer 8 | CGATGAGTTAATGCCTGCTGCA | Colony PCR for Hina III |
| 9 | Primer 9 | CACCAATCTCAATGATCTTGTGG | Colony PCR for Hina H |
| 10 | Primer 10 | GCGTCCGCGATAGCGTAAA | Colony PCR for Hina H |
| 11 | Primer 11 | TAGCAGACGCGTGATCCCGGCGGC | Reverse transcription for eGFP qPCR |
| 12 | Primer 12 | AAGTTCATCTGCACCCACC | qPCR FW primer for eGFP |
| 13 | Primer 13 | TTGAAGTCGATGCCCTTC | pPCR RV primer for eGFP |
| Name | Sequence |
|----------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| eGFP-CHis | ATGACTAGTATGGAGCTTTTCACTGGCGTTGTTCCCATCTCTGGTCGAGCTGGACGGCGACGTAAACGGGCCAAAGTTCAGCGTGTCGGCGGAGGGCGAGGGCGATGCCACCTACGGCAAGCTGACCCTGAAGTTCTATCTGCACCAACCGGCAAGCTGCCCGTGCCCCTGGCCCACCCCTCGTGACCACCCCTGACCTACGGCGTGCACTGCTTCAGCCGCTACCCCGACCACATGAAGCAGCACGACACTCTTCAAGTCCGCAATGCCGAAGGGCTACGTCAGGAGCGCACCATCTCTTTCAAGGACAGCAGGCAACTACAAGACCCGCGCCAGGTTGAAGTTCGAGGGCGGACACCCCTGGTGAAACCGGCAATCGAGCTGAAGGGCATCGACTTTCAAGGAGGCGCAACATCTTGGGGCAAACTGGAGTACAACACTACAACAGCCCAACGCTCTATATCATGGCCGACAAGCAGAAGAAACGGGATCAAGGTGAACCTTTCAAGATTCGCCCACAACTCGGAGACCCCGTACCTACGGCGACACTACCCAGCAAGCAGCACGACTTCCGGGACGGGCCCCTGGTGCTGCTGCCCGCAAAACCTACCTTGAGGCACCCAGTCCGCCCCTGAGCAAAAGACCCCAACCTACCTGCTGAGGTTTCGTTGACC GCCGCGGGGATCACGGCGTGGAAGTGGGCCATCACCATCATCACCATCACCCACCGGATAA |
| NHis-eGFP | ATGGGCCATCACCATCATCACCATCACCAACCGGAGGTGGCACTAGTATGGAGCTTTTCACTGGCGTTGTTCCCATCTCTGGTGCGAGCTGGAGCGGCGACGTAACAGGCCACAAGTTCAGCGTGTCGGGCGAGGGCGAGGGCGATGCCACCTACGGCAAGCTGACCCTGAAGTTTCATCTGCACCAACCCGGCAAGCTGCCCCGTGCCCTGGCCCAACCCCTGCTGACCAACCTGACCTACCGGCGTGCACTGCTTCAGCCGCTACCCCGGACCCACATGAAGCAGCACGACTTCTTCAAGTCCGCCATGCCCGAAGGCTACGTCAGGAGGCGCAACATCTTCTTTCAAGGACGACGGCAACTACAAGACCCGCGCCGAGGTTGAAGTTTCGAGGGCGACACCCCTGGTGAAACCGCATCGAGCTGAAGGGCATCGACTTCAAGGAGGGACGGCAACATCTCTGGGGCAAAAGCTGGAGTACAACACTACAACAGCCCAAAACGTCTATATCATGGCCGACAAGCAGAGAACGGGATCAAGGTGAACCTTCAAGATCCGCCACAACATCGAGGACGGGCAAGCTGCAGCTCGCCGCAACCACTACCCAGCAAGCAGCACGACTTGCCCGACAACCACTACCTGAGCACCCAGTCCGCCCCTGAGCAAAGACCCCAACGGAAGGCGGATCACATGGTCTGCTGGAGTTTCGTTGACC |
| mCherry-CHis | ATGAGCAAGGGCGAGGGAGATAACATGGCCATCATCAAGGAGTTCATGCGCTTCAAGGTGCACATGGAGGGCTCCGTGAACGGCCACGAGTTGGAGATCGAGGGCGAGGGCGAGGGGCCGCCCCTACGAGGGCACCCAGACCGCCAAGCTGAAGGTGACCAAGGGTGCCCCCCTGCCCCTCGCCCTGGGACATCCCTGTCCCCCTCAGTTCATGTACGGCTCCAAGGCCTACGTAAGGCACCCCGCCGACATCCCCGACTACTTGAAGCTGTCTCTTCCCAGAAGGCCTCAAGTGGGAGGCGCGTGATGAACCTCGAGGACGGCGGCGTGTTGACCGTGACCCAGGACTCCTCCCCTGCAGGACGGCGGAGTTCATCTACAAGGTTGAAGCTGCGCGGCAACAACTTCCCCTCGACGGCCCCGTAATGCAGAAAGAAGACTATGGGCTGGAGGCGCTCTCCGAGCGGATGTACCCCGAGGACGGCGCCCTGAAGGGCGAGATCAAGCAGAGGCTGAAGCTGAAGGACGGCGGCACTACGACGCTGAGGTCAAAGACCACTACAAGGCCAAGAAAGCCCGTGCAAGCTGCCGGCGCCTACAACGTCAAACATCAAGTTGGAATCACCTCCCACAACGAGGACTACACCATCGTGGAAACAGTACGAACGCGCCGAGGGCCGCACTCCACCGCGCGCATGGACCGAGCTGTACAAGACTAGTGAAATTCCGTACGACGCGTGGAGGTTGGCCATCACCATCATCACCATCACCAACCGGATAA |
8.3 Supplemental experiments
Efforts to engineer the fungi luciferase substrate regeneration pathway.
NPGA, Hisps, and CPH are required in addition to Luz-H3H system for reconstructing the fungi substrate regeneration pathway (Fig. S11). First, we cloned NPGA, Hisps, and CPH genes into a vector plasmid, pCI-T7Max-UTR1-CTerminus8xHis-T500 or pCI-T7Max-UTR1-NTerminus8xHis-T500\textsuperscript{24}. Those genes’ expressions were confirmed by Western blot (Fig. S22, S23). We used C-terminal His-tag constructs for NPGA, Hisps, and CPH, in later experiments, because of more robust expression in TXTL (Fig. S22, S23).
First, we expressed NPGA, Hisps, H3H, and Luz individually in 4 different TXTLs at 30°C for 8 hours. Then, in 90 µl reaction, we mixed the following components: 20 µl of each TXTLs, 2 mM ATP, 2 mM malonyl CoA, 1 mM CoA, and 1 mM NADPH. For substrate, we added 2 mM Caffeic acid or 200 µM Hispidin. We incubated the reaction at 25°C and measured the luminescence for 1 hour, every 5 minutes. However, only Hispidin-containing reaction produced luminescence (Fig. S24).
In a previous report, \textit{in vitro} phosphopanthetheinylation assay with NPGA was performed at 37°C, instead of 30°C (our TXTL reaction)\textsuperscript{402}. Thus, we split the reaction into two steps: (1) Conversion of caffeic acid to hispidin and (2) light generative reaction from hispidin. Briefly, we expressed NPGA, Hisps, H3H, and Luz individually at 30°C for 8 hours. Then, we mixed NPGA and Hisps TXTLs with 2 mM ATP, 2 mM malonyl CoA, 1 mM CoA, 1 mM NADPH, and 10 mM MgCl\textsubscript{2}. MgCl\textsubscript{2} was added to make the reaction condition similar to the previous \textit{in vitro} assay\textsuperscript{33}. The reaction was incubated at 37°C for 30 minutes. The aliquot of samples was analyzed by high-performance liquid chromatography (HPLC); however, we did not detect the conversion from caffeic acid to hispidin. We then added H3H and Luz TXTLs to the reaction mixture and measured the
luminescence at 25°C for 1 hour, every 5 minutes. We observed slight luminescence from a reaction containing hispidin as the substrate; however, the reaction containing caffeic acid did not generate any light (Fig. S25).
Lastly, we purified both NPGA and Hisps through His-tagged protein purification and performed an *in vitro* assay to see the conversion from caffeic acid to hispidin. The 40 µl reaction contained 100 mM Tris-HCl buffer (pH6.8), 1 µM NPGA, 1 µM Hisps, 2 mM ATP, 2 mM malonyl CoA, 500 µM CoA, and 40 mM MgCl₂. The substrate was either 2 mM caffeic acid or 200 µM hispidin. The reaction was incubated at 37°C for 30 minutes. After the incubation, we stopped the reaction by adding 200 µl of ethanol, and the liquid was evaporated completely by a speed vacuum concentrator. The pellets were dissolved in methanol to inject HPLC. However, we could not detect the conversion of caffeic acid to hispidin by HPLC.
8.4 Copyright permissions
8.4.1 Akaby—Cell-free protein expression system for linear templates
The reuse of the article content is permitted under the Creative Commons Attribution 4.0 International (CC BY) license.
8.4.2 Expanding luciferase reporter systems for cell-free protein expression
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8.4.3 Synthetic cells in biomedical applications
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Quantized Vortices Mediated Annealing
Airat Kamaletdinov$^1$ and Natalia G. Berloff$^{1,2,*}$
$^1$Skolkovo Institute of Science and Technology, Bolshoy Boulevard 30, bld.1, Moscow, 121205, Russian Federation and $^2$Department of Applied Mathematics and Theoretical Physics, University of Cambridge, Cambridge CB3 0WA, United Kingdom
The complex matter-field lattice model is a ubiquitous and universal physics model that directly links to many universal spin models. However, finding the ground state of such a model for the most general interactions between the lattice sites is an NP-hard problem. The knowledge of the ground state is crucially essential for the range of applications from quantum annealing to predicting new materials and understanding the behaviour of spin glasses. Here we show how letting the quantised quasi-3D vortex loops pass through the system during the dissipative quench dynamics helps it find its ground state. Such quantized vortices mediated annealing (QVMA) is achieved by introducing and dynamically changing selected couplings between the lattice sites that either affect the local dimensionality of the medium or change the local mobility of the defects. Analysing the performance of QVMA on strongly glassy systems, we demonstrate that QVMA represents a highly efficient mode of physics enhanced computation.
Introduction. Many different physical implementations and models for quantum and classical analog computing have been proposed in recent years. The physical implementations include superconducting qubits, neutral atoms in optical lattices, trapped ions, nuclear magnetic resonances, quantum dots, photons, nuclear spins, optical computing systems [1]. Each physical implementation assumes a particular model of computation ranging from the quantum circuit model characteristic of a universal quantum computation [2], adiabatic quantum annealing [3], topological computing based on the braiding of a certain type of quasiparticles called anyons [4], quantum random walk [5], quantum Turing machines [6], measurement based quantum computing, permutational computing [7], the one clean qubit model [8], gain-dissipative optical systems [9–12]. The variability of models of quantum computation provides alternative frameworks for both discovering new quantum algorithms and devising new physical implementations of quantum computers or simulators. In particular, the adiabatic model seems particularly promising for implementation in superconducting systems [13], while loss minimisation of gain-dissipative systems is suitable for optical implementation [9–11]. Simulators can be classified into digital when they use discrete quantum-gate operations and analog when they implement a spin Hamiltonian in an analog fashion [14]. The former is hugely demanding technology to design and build. It requires single quantum particles to be localized and controlled for long enough to apply hundreds or thousands of precise manipulations to them and then measured individually with high fidelity. The latter type of simulators is considered the most promising type of simulators achievable on the shorter time scale using a wide variety of experimental platforms. A particular type of computationally intractable problem that such simulator can address consists of finding a global minimum of universal classical spin models such as Ising, XY, Potts, etc., with the most general coupling matrix. The universality means that any minimization problem of interest can be mapped into any of these universal classical spin models with at most polynomial overhead on the number of variables [15]. For instance, the minimization of spin Hamiltonians is performed in quantum annealing machines using adiabatic mode of quantum computation (e.g. D-wave) and in optical computing using the gain-dissipative principle of computation (e.g. Coherent Ising Machines). Such physics enhanced computation is an emergent field of research that promises to facilitate the developments in machine learning, neural networks and large-scale optimization.
In this Letter, we propose and justify a novel model of physics enhanced computation based on quantized vortices that aims at finding the ground state of the Hamiltonian of the universal complex matter field lattice model [16]
$$H = -\frac{1}{2} \sum_{i,j} J_{ij} (\psi_i^\dagger \psi_j + c.c.) + g \sum_i (1 - |\psi_i|^2)^2,$$
where $\psi_i$ represents the wavefunction associated with the $i$–th lattice site, $g > 0$ is the strength of the nonlinear repulsive self-interactions within the $i$–th site, and $J_{ij}$ is the strength of the coupling between the lattice sites $i$ and $j$. A large variety of the classical and quantum complex-field systems on a lattice from ultra-cold BECs in an optical lattice to superconducting qubits, planar magnets, 2D solids, Josephson-junction arrays, photon and polariton systems, superfluid and superconductor films, etc. realise this Hamiltonian [17]. The correspondence of this model with the XY model can be seen by observing that the second term on the right-hand side represents the penalty for the deviation of the occupation $|\psi_i|^2$ from one. For sufficiently strong nonlinear self-interactions, therefore, the ground state (GS) configuration favours $\psi_i = \exp(i\theta_i)$ and reduces to the XY model $H = H_{XY}$. The XY Hamiltonian for $N$ spins denoted as a vector
on a unit circle \( \mathbf{s}_i = (\cos \phi_i, \sin \phi_i) \) takes form
\[
H_{XY} = -\frac{1}{2} \sum_{i=1}^{N} \sum_{j=1}^{N} J_{ij} \mathbf{s}_i \cdot \mathbf{s}_j = -\frac{1}{2} \sum_{i=1}^{N} \sum_{j=1}^{N} J_{ij} \cos(\phi_i - \phi_j).
\]
The time evolution of the system obeys the Hamiltonian dynamics
\( i \dot{\psi}_i = \frac{\partial H}{\partial \psi_i^*} \) and for Eq. (1) becomes
\[
i \frac{d\psi_i}{dt} = -\sum_{j,j \neq i} J_{ij} \psi_j + g(1 - |\psi_i|^2)\psi_i. \tag{2}
\]
If the particular case of \( J_{ij} = J > 0 \) representing the nearest neighbor (NN) interaction on a square grid, Eq. (2) reduces to the discrete Gross-Pitaevskii model [18] where the Laplacian operator is replaced with its discretized version. Low-density Bose-Einstein condensates (BECs) embedded into optical lattices also obey a lattice model with \( J_{ij} = J \) (NN interactions of the Josephson type) when the tight-binding approximation is employed [19]. The sign and magnitude of the interactions can be engineered to take a range of values [20] and beyond NN [21]. From the point of global minimisation, we are interested in the spin-glass couplings that include long-range interactions (or even all-to-all) so we consider the sign and magnitude varying \( J_{ij} \). The systems governed by anisotropic and potentially frustrating couplings are ubiquitous from magnetic nanoparticle ensembles to molecular clusters bonded by electric dipolar and quadrupolar interactions [22]. Finding GS of these systems is a highly non-trivial task and sophisticated algorithms borrowed from computer science are often employed.
In this Letter, we address the question of bringing the system to the ground state by experimentally accessible means and, therefore, to the GS of the lattice model having two crucial applications in mind.
Firstly, the quantum annealing protocol starts with preparing the system in a GS of an “easy” (often referred to as the “driver”) Hamiltonian [3, 23]. The ground state of the driver Hamiltonian is assumed to be unique and easily prepared. The drivers are routinely taken as the ground state of the system with ferromagnetic couplings \( J_{ij} = J > 0 \) [24]. However, the connectivity of the driver Hamiltonian is not arbitrary. The embedding of practical optimization problems on experimental quantum annealers requires the construction of driver Hamiltonians that commute with the constraints of the problem [25]. The resulting connectivity (adjacency) matrix is likely to contain lower-dimensional subsystems (1D and 2D), preventing the GS achievement of the driver Hamiltonian. We show that the nonlinearity, dissipation and quasi-3D nonplanar adiabatic connections can resolve this problem while driving the system to the true GS.
Secondly and more importantly, we show that the analysis of local mobility of quantised vortices in the physical system can be used to develop an annealing scheme (that does not have to be adiabatic) to drive the spin glass to a lower energy state and even to GS with dramatically improved success probabilities in comparison with unassisted quenched dynamics or with annealing from the ferromagnetic state.
**Classical lattice model meets Khalatnikov’s two-fluid model.** Equation (2) describes the time dynamics of a conservative Hamiltonian system: a condensate, however, has no preferred reference frame. In the actual experiments, the reference frame is set by noncondensed or reservoir particles that have to enter the theory. For instance, Khalatnikov’s theory of mutual friction between the superfluid and normal fluid at finite temperatures involves three independent kinetic coefficients to describe the energy transfer between the components [26]. According to this theory, the integrated superfluid momentum equation is
\[
\dot{\phi}_i + \frac{i}{2} \dot{u}^2 + \mu = -\zeta_3 \nabla \cdot (\rho u w),
\]
where \( \phi \) is the phase of the field, \( \dot{u} = \nabla \phi \) is the superfluid velocity, \( \rho \) is the superfluid density, \( \mu \) is the chemical potential, \( w \) is the velocity of the normal fluid relative to the superfluid and \( \zeta_3 > 0 \) is the third kinetic coefficient of Khalatnikov’s theory. Using the equation of mass conservation
\[
\rho_t + \nabla \cdot (\rho u) = 0
\]
and assuming that the normal component is stationary in our reference frame (\( w = -u \)) we obtain
\[
\frac{\partial \phi}{\partial t} + \frac{1}{2} u^2 + \mu = -\zeta_3 \frac{\partial \rho}{\partial t}. \tag{3}
\]
To modify Eq. (2) according to Khalatnikov’s theory, we need to consider instead
\[
i \frac{d\psi_i}{dt} = -\sum_{j,j \neq i} J_{ij} \psi_j + g(1 - |\psi_i|^2)\psi_i \\
- i K \psi_i \sum_{j,j \neq i} J_{ij} (\psi_j^* \psi_i - \psi_j \psi_i^*), \tag{4}
\]
where \( K = \zeta_3 \). To see the correspondence with Eq. (3) we use the Maddang transformation \( \psi_i = \sqrt{\rho_i} \exp[i \phi_i] \) in Eq. (4) so that the imaginary part yields
\[
\dot{\rho}_i = 2 \sum_{j,j \neq i} \sqrt{\rho_i \rho_j} \sin \phi_{ij},
\]
and the real part becomes
\[
\dot{\phi}_i = \sum_{j,j \neq i} J_{ij} \sqrt{\rho_i \rho_j} \cos \phi_{ij} + g \left(1 - \rho_i \right) = K \dot{\rho}_i,
\]
where we denoted \( \phi_{ij} = \phi_i - \phi_j \). If the continuous wavefunction is discretized on a square grid with the lattice constant \( \Delta \) and \( J_{ij} = 1/2 \Delta^2 \) NN interactions, then
\[
-\sum_{j,j \neq i} J_{ij} \cos \phi_{ij} = -\frac{1}{2 \Delta^2} \left(4 - \frac{1}{2} (\phi_i - \phi_{i+1})^2 - \frac{1}{2} (\phi_i - \phi_{i+N})^2\right) = const + \frac{1}{2} (\nabla \phi)^2 = const + \frac{1}{2} u^2.
\]
Associating \( \mu = const + g(1 - \rho_i) \) and \( \rho_i = \rho_j \) completes the justification of the Khalatnikov’s correction to Eq. (2). We note that Eq. (4) for \( J_{ij} = J > 0 \) and NN interactions only (and the time-dependent \( K \)) were used to study the non-equilibrium quenches [27, 28] in laser-induced melting of the charge-density-wave order in solid [29]. The steady state is achieved when
\[
\sum_{j,j \neq i} \frac{\rho_i \rho_j}{\sqrt{\rho_i \rho_j}} \sin \phi_{ij} = 0
\]
which corresponds to the minimum of the XY model if \( \rho_i = 1 \) as the penalty in the Hamiltonian \( H \) dictates. Now we consider the quenching dynamics of the system described by Eq. 4 and determine the conditions that prevent the system from achieving its GS.
**Low-dimensional topologies of coupling matrix.** The formation of domains and topological structures on the route to GS is well understood for the classical lattice models with \( J_{ij} = J > 0 \) in the context of BEC formation (quench dynamics) from a strongly degenerate gas
of weakly interacting bosons [30–32]. In toroidal 1D geometry, a global and persistent phase winding can spontaneously form [33]. In 2D, the establishment of the long-range order and a genuine condensate in GS is replaced by the persistence of the isolated vortices according to the Berezinskii–Kosterlitz–Thouless (BKT) transition scenario [34, 35]. We conclude that the existence of fully or partially disjoined toroidal 1D or planar subsets in the adjacency matrix $J$ prevents the system from achieving its GS. In toroidal 1D configurations, the global phase windings characterize the excited states of the system, while topological protection prohibits further transition to the GS. Strongly converging vortex-antivortex pairs (VAPs) in 2D can eventually annihilate, bringing the system to the vortex-free GS. However, the larger is effective separation of vortices, the less likely they interact, the more likely the 2D subsystem remains in the excited state. The detailed analysis of these two scenarios is presented in the Supplementary Information (SI), where we also studied their strong dependence on nonlinearity $g$ and the rate of dissipation $K$. Both of these parameters can vary from system to system and often can be controlled within one system (e.g. using Feshbach resonance in ultracold atomic BECs to change $g$ [36] or the cooling rate to control $K$.) The effective vortex core size depends on $g$ as $\xi \sim (J/g)^{1/2}$ which sets a competition between two opposing effects. Stronger nonlinearity leads to stronger interactions and, therefore, more efficient vortex annihilation. On the other hand, sufficiently large $g$ reduces the scale at which isolated vortices can still interact with each other, which leads to freezing of plane vortices; see Fig. 1(c,d). Moreover, for each size of the 2D subsystem, there is an optimal $g$ that maximizes the success probability for finding GS; see Fig. 1(in the inset of d).
The distinctive feature of the quench dynamics of 3D systems is the formation of vortex filaments emerging from the local symmetry breaking [30]. The closed filaments — vortex rings — are the torus-shaped regions of phases rotating by $2\pi$ around a closed contours. When the system evolves according to Eq. (4), the vortex rings decay bringing the system to the true GS without any topological defects persisting at the final state. This suggests that we can help the system achieve its GS by temporarily introducing non-planar (quasi-3D) couplings that prevent the appearance of the global winding and turn isolated VAPs into vortex rings to enable them to shrink annihilate. To describe this procedure, we consider the graph configuration of the interacting spins $G = (U,V)$, as shown in Fig. 2. The nodes of $G$ are characterised by $\psi_i \in U$ while $(\psi_i,\psi_j) \in V$ represent the edges; see Fig. 2(a). $J$ becomes the adjacency matrix of $G$. We define the coupling scheme $S^p = (U^k,V^k)$ of the individual node $\psi_k$ as the subgraph of $G$ containing all nodes $\psi_j \in U^k$ adjacent to $\psi_k$ and all edges $(\psi_k,\psi_j) \in V^k$ between them; see Fig. 2(a). We say that graph $G$ and the corresponding $J$ are generated by the scheme $S$ if each individual node of $G$ can be described by $S$.
In 2D square geometry and NN interactions, $G$ is planar. To implement a quasi-3D geometry we introduce additional non-planar interactions shown in Fig. 2(b). With these couplings, $G$ becomes non-planar and VAPs are replaced with vortex filaments, as schematically illustrated in Fig. 2(c). Under the action of non-energy preserving dissipation in Eq. (4), the radius $R(t)$ of 3D vortex rings obeys $R'(t) = -\frac{1}{2}a(K)\log(8A(t))/R(t)$, where $a(K)$ is the rate of the vortex ring dissipation [37, 38]. An average radius of the ring arising during the quench with linear dimensionless domain size $L/K$ is $R_0 = L/\delta C$. To estimate the characteristic time for VAPs to pass through the terromagnetic quasi-3D system, we place VAP with separation $2R_0$ and numerically calculate $a(K)$ from Eq. (4) for different values of $K$ and $g$ as $a(K) = \dot{R}_0^2/\log(8R_0)T$, where $T$ is the dimensionless time it takes to completely annihilate VAP. Here, we used the result that the square of the vortex line length decays linearly with time [38]. We determined the phenomenological form of $a(K)$ as $a(K) = 1.35K + 50.5$ (the fit of this formula to the numerical data is shown in Fig. S.5). The VAP dissipation rate $a(K)$ does not depend on $g$, which supports our assumption that VAP motion in quasi-3D geometry resembles the motion of the vortex rings in 3D.
This suggests that to help the system to reach the ground state, we can introduce additional non-planar couplings $B_{ij}$ (see Fig. 2(b)) by replacing planar $J_{ij}$ with $J_{ij} + \eta(t)B_{ij}$, where $\eta(t)$ is a monotonically decaying function of $t$, chosen here as the Fermi function $\eta(t) = (\exp[5(t-t_0+1)]-1)^{-1}$. For sufficiently long attenuation times $t_0 \sim T$, all VAPs annihilate and bring the system to the GS with 100% probability; see Fig. 1(d) for the characteristic time evolution of $H$.
We fulfilled the first task on the proposed route to find the GS of the general coupling matrix that consists of quenching dynamics while changing the system’s topology to allow the topological defects to dissipate and annihilate while propagating through the system. However, for the general (sign and magnitude changing) form of adjacency matrix $J$ the potential energy landscape becomes rough so that topological structures are likely to become trapped in one of many local minima (traps), manifesting massive complexity of the problem of finding GS for spin glasses. However, not every glassy system traps excitations. For these systems, the vortex phase imprinting (or quench with vortices spontaneously generated) brings the system to the GS, as we illustrate in the SI. So next, we develop an annealing scheme that allows excitations to escape the traps. We consider the local mobility of VAPs in the neighborhood of each node. If VAPs are mobile, no changes to couplings are necessary during the annealing phase. If VAPs get trapped around some $\psi_i$, the task is to find the minimum set of edges connected to $\phi_i$ that allow VAPs to pass when changed. To fully characterize all possible states, we focus on physically relevant couplings that are generated by schemes $S$ shown in the inset to Fig. 3(a) and $J_{ij} = \pm J$. That gives us $2^{16} + 2^8 + 2^8$ possible coupling configurations.
The coupling matrices $J$ have been constructed by the following rule:
$$\hat{R}(Y)S^{(X,Y)}\hat{R}(X) = \begin{bmatrix}
0 & 1 \\
\vdots & \ddots \\
1 & 0
\end{bmatrix}^Y \begin{bmatrix}
0 & 1 \\
\vdots & \ddots \\
1 & 0
\end{bmatrix}^X,$$
$$\hat{R}(P) = \begin{bmatrix}
0 & 0 & 1 \\
0 & I_{3 \times 3} & 0 \\
1 & 0 & 0
\end{bmatrix}^F(P), \quad F(P) = \frac{P - P \mod 2}{2}.$$
Here $S^{(X,Y)}$ is a coupling scheme connecting $\psi(X,Y) \in G$ with its neighbours with coordinates denoted by $X, Y \in \mathbb{N}$ (Eq. (5) uses one example of such $S$).
Firstly, we need to determine the mobility of VAPs for different schemes. To do this, we prepare each 40 doubly-periodic lattice in the steady-state with some low energy $H_0$ (this can be done by integrating Eq. (2) in imaginary time or using the gain-dissipative networks [39]). We inject a VAP at random positions $(X_0, Y_0)$ by multiplying $\psi(X,Y)$ by $v(X-X_0, Y-Y_0)v^*(X-X_1, Y-Y_1)$ where $v(X,Y) = [1 + iY]/[X^2 + Y^2 + \xi]$ and $(X_1 - X_0)^2 + (Y_1 - Y_0)^2 = 10^{-2}$ [40]. We numerically integrate Eq. (4) until the steady state is found with energy $H_s$. If $H_s < H_0$, we redefine as $H_0 = H_s$ for the rest of the calculations. For each random VAP placement, VAPs either become trapped ($H_i > H_0$ for some $i$) or not ($H_i \leq H_0$ for all $i$). Figure 3(a) depicts the probability of VAPs to be trapped somewhere on the lattice as the function of $\sum_{i,j} J_{ij}/N^2D$ remarkably illustrating high probability (around 60%) of VAPs being trapped for any configuration away from either predominantly ferromagnetic or antiferromagnetic couplings.
Secondly, to demonstrate our quantized vortex mediated annealing (QVMA) approach, we selected the set $A$ of worst coupling schemes denoted by $A_i$ with $D = 16$ that trap VAPs with 100% probability. We denote by
$B = \{ \{ B_j \}_i \}$ the sets of coupling schemes where VAPs are free to move while each $B_j \in \{ B_j \}_i$ differs from $A_i \in A$ by a single coupling strength. In total there were $|A| = 3545$ and $|B| = 5418$ coupling schemes with this property. We study the quench dynamics according to Eq. (4) starting from $\{ \{ B_j \}_i \}$ and slowly (on the timescale of the vortex annihilation $T$) transform couplings from one such set (when several sets satisfy this property we will take the one with the minimum energy configuration reached at the end of the annealing). Such annealing transformation is realised by $J_{ij} = J^{B/F}_{ij}$ if $t < T_A$, $J_{ij} = (1 - (t - T_A)/\Delta T) J^{B/F}_{ij} + (t - T_A) J^A_{ij}/\Delta T$ if $T_A \leq t \leq T_F$, and $J_{ij} = J^A_{ij}$ if $t > T_F$. Here, $\Delta T = T_F - T_A$, $T_A$ and $T_F$ represent the beginning and the end moment of annealing: $T_A \approx T$ is the time required to reach a steady-state, and $T_F \approx 15T$. $J^{A[B,F]}_{ij}$ are the couplings given by scheme $A_i$ [$B_i$ or all ferromagnetic couplings.] For such set $A$, we calculated the fraction of matrices for which the lowest energy state within 0.5% of the corresponding spectral width was found using 80 random initial states per each matrix and three methods: (1) QVMA ($B \to A$); (2) quench dynamics without annealing ($A \to A$) and (3) from the ferromagnetic state with annealing ($F \to A$). QVMA ($B \to A$) achieved minimization of 76% of all 3545 matrices, compared with 13% for $F \to A$ and 44% for $A \to A$. The success probabilities of finding various energy states from 80 different initial configurations are depicted in Fig. 3(b) for three different schemes $A_i$ demonstrating a striking improvement of QVMA over other methods.
**In summary**, we argued that two main characteristics of the coupling graph of the universal complex matter field lattice systems prevent it from obtaining GS during the dissipative quench dynamics: (i) the presence of low (one- or two-) dimensional subgraphs that leads to either global winding or isolated noninteracting and, therefore, non-dissipative topological defects and (ii) the existence of trapping regions for mobile excitations. We have shown that both characteristics can be efficiently annealed from the modified coupling graphs with favourable characteristics bringing the original system to the ground state with high probability. Such modified coupling graphs satisfy the following properties: they are (a) non-planar (to facilitate quasi-3D vortex evolution); (b) do not trap vortex excitations; (c) have a minimum difference in couplings with the original graph. This is the first time the engineered mobility of quantized vortices was used as a mediator in the system’s transition to the GS. Our work suggests that bringing the graph topology, quench dynamics, and topological defects together may open new routes in global physically enhanced optimization.
**I. SUPPLEMENTARY INFORMATION: QUANTIZED VORTICES MEDIATED ANNEALING**
**A. Role of nonlinearity and dissipation in one- and two-dimensional graph topologies**
Here we consider 1D and 2D periodic lattices of size $N = 100$ and $N \times N = 100 \times 100$ respectively, with purely ferromagnetic nearest neighbour interactions. We define the winding number $W$ of phase configuration as the total number of times that phases rotate by $2\pi$ in positive (counter-clock) or negative (clockwise) directions. We numerically integrate Eq. (M.4) of the main text starting with $|\psi_i| = 1$ and randomly distributed phases of $\psi_i$. The quenching dynamics in the one-dimensional periodic lattices can result in the ground state with zero phase differences between the neighboring sites so that $W = 0$ or in the formation of the global phase winding $W \neq 0$ as shown in Fig. 4(c). Phase configurations with $W \neq 0$ characterize the excited states of the system, and topological protection prohibits their further transition to the ground state. We studied the numerical evolution of one thousand 1D spin-lattices (each of size $N = 100$) with various $g$ and $K$ system parameters. Figure 4(a) shows that the formation of the excited states with irreducible nonzero $W$ value strongly depends on nonlinearity of the self-interactions $g$ and the dissipation level $K$ of the system. Attainment of the final steady-state is estimated using the order parameter
$$O(t) = \left| \frac{1}{N} \sum_{i=1}^{N} \psi_i(t) \right|^2.$$
(6)
The final steady-state is characterized by the stabilization of $O(t)$ to 1 value in time. $O(t) = 1$ corresponds to the ground state. As shown in Fig. 4 (a), the formation of stable excited states with $W \neq 0$ decreases with the increase of $g$ in 1D systems. The local symmetry breaking occurring in 2D lattices leads to the formation of plane vortices from domains with independent choices of broken symmetry.
Strongly converging vortex-antivortex pairs can eventually annihilate, bringing the system to the vortex-free ground state. The rate of the system transition to the ground state strongly depends on their separation distances which are characterized by the vortex core sizes $\xi$ that are set by the balance between the interactions between the sites that scales as $J/\xi^2$ and the potential energy of self-interactions characterised by $g$. Therefore, $\xi \sim (J/g)^{1/2}$.
There is a competition between two opposing effects: stronger nonlinearity leads to stronger interactions and therefore more efficient vortex annihilation. On the other hand, sufficiently large $g$ values reduce the scale at which isolated vortices can still interact with each other. For sufficiently large $g$ values and fixed lattice size this results in the final state with the presence of “frozen” plane vortices, as shown in Fig. M.1 (c) of the main text.
We verify this by starting from the set of 100 randomly distributed initial conditions with \(|\psi_i| = 1\), and numerically evolving Eq. (M.4) (from the main text) up to the stabilization of \(H(t)\) dependence in time. Averaging \(H(t)\) dynamics over all 100 initial conditions, we provide \(\langle H(t) \rangle\) distribution shown in Fig. M.1 (d). Comparing the final state Hamiltonian with the expected value of the ground state \(H_{GS} = -\sum_{ij} J_{ij}\), we conclude whether the "frozen" vortices remain in the system by the end of the quenching process or not. Figure M.1 (d inset) depicts the obtained success probability distribution for achieving the vortex-free ground state for different magnitudes of nonlinear self-interactions \(g\) in the \(100 \times 100\) system.
Note that the periodic boundary conditions we used endow the lattice with a toroidal topological structure that has zero Euler characteristic \(\chi\). According to the Poincaré–Hopf theorem, the sum of the singularity indices should satisfy the expression \(\chi = \sum I_i = 0\), where \(I_i = \text{sign} W\). Therefore, local violation of the \(U(1)\) symmetry leads to the formation of an equal number of vortices and anti-vortices, which makes the annihilation of all vortex-anti-vortex pairs fundamentally achievable.
**Figure 4.** (a) Probability distribution of Winding Numbers obtained by numerical integration of Eq. (M.4) (of the main text) on 1D lattice of size \(N = 100\) with NN interactions and various \(g\) and \(K\) parameters with the set of 1000 randomly distributed initial states (\(|\psi_i| = 1\) and random phases \(\phi_i \in [0, 2\pi]\)). (b) The phase representations of 10 horizontally oriented initial states. (c) The phase representations of different final states (depicted are only 10 of 1000).
### B. Time evolution of energy during the quench process in glassy systems with and without annealing
The energy time dynamics with and without annealing shows different stages of the transformation. When spin-glass system undergoes the quench process, the energy monotonically decreases in time and achieves the excited state as the localised excited states dissipate and get trapped by the potential energy landscape. When QVMA is implemented, the energy of the system may increase when the annealing phase starts, but as the trapped localised states are allowed to escape the system achieves a lower state at the end of the annealing process. Figure 5 schematically illustrates this process.
**Figure 5.** Schematics representation of the quench dynamics of the average energy of the system. Time evolution of the system marked as \(A \rightarrow A\) does not involve annealing procedure. The other one (marked as \(B \rightarrow A\)) starts with a coupling scheme \(B\) that differs from \(A\) by one coupling strength while admitting free propagation of localised excitations through the system. The adiabatic transformation of \(B\) into \(A\) takes place between \(t = T_1\) and \(t = T_f\) as discussed in the main text. Here \(T_1 \approx T\) denotes the time required for the system to pass to the steady state and \(T_f \approx 15 \cdot T\).
### C. Effect of vortex imprinting on transition to a lower energy state
Here we show that by introducing the vortex-antivortex pair we can bring a glassy system into a lower energy state. Such imprinting can be realized experimentally, for example, using a laser beam [41]. Such imprinting is accompanied by an energy injection, which may be enough to overcome the local potential barrier and bring the system into a lower energy state. To demonstrate this, we numerically integrate Eq. (M.4) from the main text with \(K = 100\), \(g = 500\), and \(J_{ij}\) as shown in the inset to Fig. 6(f) starting with \(\psi_i(t = 0) = 1\). During the time evolution the system settles into an excited steady state with energy \(H_1\). At time \(T_0\) we introduce vortex-antivortex pair as discussed in the main text. This leads to a spike in the energy followed by a slow relaxation to the true ground state with energy \(H_0\) as Fig. 6 illustrates.
### D. Vortex trapping probability for other coupling rules
Clearly, Fig. M.3 of the main text does not exhaust all possible types of couplings. The rule we have chosen for constructing matrix \(J_{ij}\), described by Eq. (M.5) of the main text, is only one of many possible rules. However, the general characteristics of the vortex trapping probability we discussed in the main text are quite robust: the trapping probability saturates at about 60%-
Figure 6. Time-evolution of the energy (see Eq. (M.1) (from the main text) of spin-glass of size $N \times N = 60 \times 60$ governed by Eq. (M.4) (of the main text) with couplings given in the inset (f) from uniformly distributed initial state $\psi_i \equiv 1$ and $K = 100, g = 500$. The consecutive time snapshots of phases following the vortex pair injection at $t = T_0$ are given in (a - e).
70% away from the couplings that are predominantly ferro- or antiferromagnetic as Fig. 7(a) illustrates. The coupling strengths represented in Fig. 7(b) give another rule for constructing matrix $J_{ij}$. Here, the edges of same color have the same ferromagnetic or anti-ferromagnetic coupling strengths. For each of $2^8$ possible choices of $J_{ij} \in \{-1, 1\}$ satisfying described rules, the system evolution from 50 different initial conditions with a randomly located single vortex-antivortex pairs separated by distance 20 on $40 \times 40$ lattice sites was investigated by the numerical integration of Eq. (M.4) with $K = 100$ and $g = 500$.
Figure 7. (a) The probabilities of vortex trapping in spin-glasses of size $N \times N = 40 \times 40$ obtained by numerical evolution of Eq. (M.4) of the main text with the structure of interactions shown in (b) and $K = 100, g = 500$. Here, $D = 8$ is the degree of each node, different colors correspond to different ferromagnetic or anti-ferromagnetic couplings, and edges with the same color have the same coupling strength. Probability has been calculated via 50 vortex-antivortex pairs (VAPs) inquiring in each of $2^8$ possible $J_{ij}$ structures. Detailed description of how this distribution was obtained is given in the last part of the main text.
E. Evaluation of the vortex dissipation
To quantify the dynamics of vortices on spin glasses, we evaluate the VAPs decay rate dependence $a(K)$ for glassy spin systems using the procedure presented in the main text for ferromagnetic couplings; see Fig. 8(a). The scheme with additional long-range non-planar interactions represented in Fig. 8(b inset) endow the lattice with quasi-3D geometry. The lattice generated by this scheme does not contain any trapping regions for vortices. Therefore, we expect that nothing will prevent the vortices from passing through the lattice, and the system has to reach its global minimum eventually. Using the expression $a(K) = R_0^2/\log(8R_0)T$ derived in the main text, we estimate the characteristic time for the vortices to pass through the glassy system placing VAPs at a distance of $2R_0$ from each other. Here $R_0$ denotes the average radius of the vortex ring arising in the purely ferromagnetic 3D system. Evolving Eq. (M.4) of the main text in time we calculate the time $T$ required for the vortices to annihilate. Finally, we calculate $a(K)$ for several $g$ values; see Fig. 8(b). We conclude that the vortex decay rate dependence on dissipation level remains close to linear for glassy quasi-3D systems in the absence of traps. However, the evolution proceeds much slower in comparison with the case of purely ferromagnetic systems considered previously and shown in Fig. 8(a).
F. Effect of the distance between trapping regions on the vortex dynamics
We studied the influence of the separation between the vortex traps on the capacity of vortices to avoid them. The simplest vortex trap can be realized by the insertion
of the frustrated square loop into the lattice. We will call such frustrated or non-frustrated square loops represented in Fig. 9(b inset) plaquettes. Twelve internal and external coupling strengths of the inserted plaquette are depicted in Fig. 9(b inset), and coupling strength can take either +1 or −1 value. We denote by $M$ the total sum of the internal and external plaquette coupling strengths. Starting from the ground state of the purely ferromagnetic system with an imprinted VAP, we insert two plaquettes of the same structure at a distance $r$ from each other between vortices. VAPs propagate through the system and enter the plaquettes region. There they can either be trapped or pass freely. Vortex trapping rate can be estimated by comparing the final state with the system’s global minimum. We evolve the Eq. (M.4) with $K = 200$ and $g = 500$ numerically with all possible $2^{12}$ configurations of inserted plaquettes and different separations $r$ between them. The probabilities of vortices to be trapped by the inserted plaquettes are shown in Fig. 9(a). The smaller is the distance between the plaquettes the higher is the escape probability.
Figure 9. (a) The probabilities of VAPs to get trapped on two plaquettes placed at a distance $r$ from each other, between the VAPS and along the trajectory of their motion. The plaquettes are the frustrated or non-frustrated square loops with the structure shown in (b inset). Colours depict the internal and external coupling strengths of the inserted plaquette, and each color can take either +1 or −1 value. Here $M$ is the total sum of the internal and external plaquette coupling strengths. For short separations $r$ the attraction of VAPs assists in the escape probability. (b) The dependence of the system’s dissipation level $K$ on the trapping probabilities for plaquettes separated by $r = 16$ and $g = 500$.
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|-------|-------------|---------|
| 1 | Requisition Number | NTIA9110-8-26067 |
| 2 | Contract No. | DG133508CN0002 |
| 3 | Award/Effective Date | Oct 18, 2007 |
| 4 | Order Number | |
| 5 | Solicitation Number | NTIA9110-7-12841 |
| 6 | Solicitation Issue Date | Jul 07, 2007 |
| 7 | For Solicitation Information Call: | a. Name DIANE R. TRICE firstname.lastname@example.org |
| | | b. Telephone Number (No collect calls) 301-713-0838 x 102 |
| 8 | Offer Due Date/Local Time | / |
| 9 | Issued By | DOC/NOAA/AGO STAFF OFFICE & EXTERNAL CLIENTS, AD 1305 EAST WEST HIGHWAY, RM 7601 SILVER SPRING, MD 20910 |
| 10 | This Acquisition is | Unrestricted Set-Aside % for Small Business Emerging Small Business HUBZone Small Business Service-Disabled Veteran-Owned 8(a) NAICS: Size Standard: |
| 11 | Delivery for FOB Destination Unless Block is Marked. | See Schedule |
| 12 | Discount Terms | Discount: 0% Net due: 30 |
| 13a | This contract is a rated order under DPAS (15 CFR 700) | |
| 13b | Rating | |
| 14 | Method of Solicitation | X RFQ IFB RFP |
| 15 | Deliver To | DEPARTMENT OF COMMERCE / NTIA 1401 CONSTITUTION AVENUE, NW ROOM 4725 WASHINGTON, DC 20230 |
| 16 | Administered By | DOC/NOAA/AGO STAFF OFFICE & EXTERNAL CLIENTS, AD 1305 EAST WEST HIGHWAY, RM 7601 SILVER SPRING, MD 20910 |
| 17a | Contractor/Offeror | NEUSTAR, INC. 46000 CENTER OAK PLAZA STERLING VA 201666593 |
| 17b | Check if Remittance is Different and Put Such Address in Offer. | |
| 18a | Payment Will Be Made By | Code NISTOPAY |
| 18b | Submit Invoices to Address Shown in Block 18a Unless Box Below is Checked. | X See Addendum. |
| 19 | ITEM NO. | |
| 20 | SCHEDULE OF SUPPLIES/SERVICES | |
| 21 | QUANTITY | |
| 22 | UNIT | |
| 23 | UNIT PRICE | |
| 24 | AMOUNT | |
| 25 | Accounting and Appropriation Data | 61081050012100120101000080000000000000002590000000000 |
| 26 | Total Award Amount (For Govt. Use Only) | US 0.00 |
| 27a | Solicitation incorporates by reference FAR 52.212-1, 52.212-4, FAR 52.212-3 and 52.212-5 are attached. Addenda | are not attached |
| 27b | Contract/Purchase Order incorporates by reference FAR 52.212-4. 52.212-5 is attached. Addenda | X are not attached |
| 28 | Contractor is required to sign this document and return 3 copies to Issuing Office. Contractor agrees to furnish and deliver all items set forth or otherwise identified above and on any additional sheets subject to the terms and conditions specified herein. | |
| 29 | Award of Contract: Reference. Quote Offer Dated Jul 30, 2007 Your offer on Solicitation (Block 5), including any additions or changes which are set forth herein, is accepted as to items. |
| 30a | Signature of Offeror/Contractor | |
| 30b | Name and Title of Signer (Type or Print) | RICHARD THOMAS VICE PRESIDENT REGISTRAR |
| 30c | Date Signed | 10/18/07 |
| 31a | United States of America (Signature of Contracting Officer) | |
| 31b | Name of Contracting Officer (Type or Print) | DIANE R. TRICE email@example.com |
| 31c | Date Signed | 10/18/07 |
| 32a | Quantity in Column 21 Has Been | Received Inspected Accepted, and Conforms to the Contract, Except as Noted: |
| 32b | Signature of Authorized Government Representative | |
| 32c | Date | |
| 32d | Printed Name and Title of Authorized Government Representative | |
| 32e | Mailing Address of Authorized Government Representative | |
| 32f | Telephone Number of Authorized Government Representative | |
| 32g | E-mail of Authorized Government Representative | |
| 33 | Ship Number | |
| 34 | Voucher Number | |
| 35 | Amount Verified Correct For | |
| 36 | Payment | Complete Partial Final |
| 37 | Check Number | |
| 38 | S/R Account Number | |
| 39 | S/R Voucher Number | |
| 40 | Paid By | |
| 41a | I certify this account is correct and proper for payment | |
| 41b | Signature and Title of Certifying Officer | |
| 41c | Date | |
| 42a | Received By (Print) | |
| 42b | Received At (Location) | |
| 42c | Date Rec'd (YY/MM/DD) | |
| 42d | Total Containers | |
**STANDARD FORM 1449 (REV 3/2005)**
Prescribed by GSA - FAR (48 CFR) 53.212
| Item No. | Supplies/Services | Quantity | Unit | Unit Price | Amount |
|---------|----------------------------------------------------------------------------------|----------|------|------------|--------|
| 0001 | BASE PERIOD
Perform the services required by the SOW
Period of Performance: Base 3 year period plus 2 option years (5 years), beginning on October 26, 2007.
OPTION PERIOD ONE | 1 | EA | 0.00 | 0.00 |
| 0002 | Perform the services required by the SOW.
Option year One.
Period of Performance: 365 days, beginning the day after the base period expires.
Option Period Two | 1 | EA | 0.00 | 0.00 |
| 0003 | Perform the services required by the SOW.
Option Period Two
Period of Performance: 365 days, beginning the day after Option One expires. | 1 | EA | 0.00 | 0.00 |
| Section | Page |
|------------------------------------------------------------------------|------|
| SECTION C - DESCRIPTION/SPECIFICATIONS/WORK STATEMENT | 4 |
| C.1 52.212-4 CONTRACT TERMS AND CONDITIONS--COMMERCIAL ITEMS (FEB 2007) | 4 |
| C.2 52.212-5 CONTRACT TERMS AND CONDITIONS REQUIRED TO IMPLEMENT STATUTES OR EXECUTIVE ORDERS--COMMERCIAL ITEMS (SEP 2007) | 7 |
| C.3 Statement Of Work \Ocswinnt13\noaa$\\NOAADRT\US\usTLD SOW.doc | 11 |
| C.4 52.217-2 CANCELLATION UNDER MULTI-YEAR CONTRACTS (OCT 1997) | 25 |
| C.5 52.217-8 OPTION TO EXTEND SERVICES (NOV 1999) | 27 |
| C.6 52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT (MAR 2000) | 27 |
| SECTION F - DELIVERIES OR PERFORMANCE | 28 |
| F.1 1352.215-70 PERIOD OF PERFORMANCE (MAR 2000) | 28 |
| SECTION G - CONTRACT ADMINISTRATION DATA | 29 |
| G.1 1352.201-71 CONTRACTING OFFICER'S TECHNICAL REPRESENTATIVE (COTR) (FEB 2005) | 29 |
| SECTION H - SPECIAL CONTRACT REQUIREMENTS | 30 |
| H.1 1352.208-70 PRINTING (MAR 2000) | 30 |
| H.2 1352.209-71 ORGANIZATIONAL CONFLICT OF INTEREST (MAR 2000) | 30 |
| H.3 1352.209-72 RESTRICTIONS AGAINST DISCLOSURE (MAR 2000) | 30 |
| H.4 1352.209-73 COMPLIANCE WITH THE LAWS (MAR 2000) | 30 |
| H.5 1352.231-70 DUPLICATION OF EFFORT (MAR 2000) | 30 |
| H.6 1352.252-70 REGULATORY NOTICE (MAR 2000) | 31 |
C.1 52.212-4 CONTRACT TERMS AND CONDITIONS--COMMERCIAL ITEMS (FEB 2007)
(a) "Inspection/Acceptance." The Contractor shall only tender for acceptance those items that conform to the requirements of this contract. The Government reserves the right to inspect or test any supplies or services that have been tendered for acceptance. The Government may require repair or replacement of nonconforming supplies or reperformance of nonconforming services at no increase in contract price. If repair/replacement or reperformance will not correct the defects or is not possible, the Government may seek an equitable price reduction or adequate consideration for acceptance of nonconforming supplies or services. The Government must exercise its post-acceptance rights--
(1) Within a reasonable time after the defect was discovered or should have been discovered; and
(2) Before any substantial change occurs in the condition of the item, unless the change is due to the defect in the item.
(b) "Assignment." The Contractor or its assignee may assign its rights to receive payment due as a result of performance of this contract to a bank, trust company, or other financing institution, including any Federal lending agency in accordance with the Assignment of Claims Act (31 U.S.C. 3727). However, when a third party makes payment (e.g., use of the Governmentwide commercial purchase card), the Contractor may not assign its rights to receive payment under this contract.
(c) "Changes." Changes in the terms and conditions of this contract may be made only by written agreement of the parties.
(d) "Disputes." This contract is subject to the Contract Disputes Act of 1978, as amended (41 U.S.C. 601-613). Failure of the parties to this contract to reach agreement on any request for equitable adjustment, claim, appeal or action arising under or relating to this contract shall be a dispute to be resolved in accordance with the clause at FAR 52.233-1, Disputes, which is incorporated herein by reference. The Contractor shall proceed diligently with performance of this contract, pending final resolution of any dispute arising under the contract.
(e) "Definitions." The clause at FAR 52.202-1, Definitions, is incorporated herein by reference.
(f) "Excusable delays." The Contractor shall be liable for default unless nonperformance is caused by an occurrence beyond the reasonable control of the Contractor and without its fault or negligence such as, acts of God or the public enemy, acts of the Government in either its sovereign or contractual capacity, fires, floods, epidemics, quarantine restrictions, strikes, unusually severe weather, and delays of common carriers. The Contractor shall notify the Contracting Officer in writing as soon as it is reasonably possible after the commencement of any excusable delay, setting forth the full particulars in connection therewith, shall remedy such occurrence with all reasonable dispatch, and shall promptly give written notice to the Contracting Officer of the cessation of such occurrence.
(g) "Invoice."
(1) The Contractor shall submit an original invoice and three copies (or electronic invoice, if authorized) to the address designated in the contract to receive invoices. An invoice must include--
(i) Name and address of the Contractor;
(ii) Invoice date and number;
(iii) Contract number, contract line item number and, if applicable, the order number;
(iv) Description, quantity, unit of measure, unit price and extended price of the items delivered;
(v) Shipping number and date of shipment, including the bill of lading number and weight of shipment if shipped on Government bill of lading;
(vi) Terms of any discount for prompt payment offered;
(vii) Name and address of official to whom payment is to be sent;
(viii) Name, title, and phone number of person to notify in event of defective invoice; and
(ix) Taxpayer Identification Number (TIN). The Contractor shall include its TIN on the invoice only if required elsewhere in this contract.
(x) Electronic funds transfer (EFT) banking information.
(A) The Contractor shall include EFT banking information on the invoice only if required elsewhere in this contract.
(B) If EFT banking information is not required to be on the invoice, in order for the invoice to be a proper invoice, the Contractor shall have submitted correct EFT banking information in accordance with the applicable solicitation provision, contract clause (e.g., 52.232-33, Payment by Electronic Funds Transfer-Central Contractor Registration, or 52.232-34, Payment by Electronic Funds Transfer-Other Than Central Contractor Registration), or applicable agency procedures.
(C) EFT banking information is not required if the Government waived the requirement to pay by EFT.
(2) Invoices will be handled in accordance with the Prompt Payment Act (31 U.S.C. 3903) and Office of Management and Budget (OMB) prompt payment regulations at 5 CFR part 1315.
(h) "Patent indemnity." The Contractor shall indemnify the Government and its officers, employees and agents against liability, including costs, for actual or alleged direct or contributory infringement of, or inducement to infringe, any United States or foreign patent, trademark or copyright, arising out of the performance of this contract, provided the Contractor is reasonably notified of such claims and proceedings.
(i) "Payment."
(1) "Items accepted." Payment shall be made for items accepted by the Government that have been delivered to the delivery destinations set forth in this contract.
(2) "Prompt payment." The Government will make payment in accordance with the Prompt Payment Act (31 U.S.C. 3903) and prompt payment regulations at 5 CFR part 1315.
(3) "Electronic Funds Transfer (EFT)." If the Government makes payment by EFT, see 52.212-5(b) for the appropriate EFT clause.
(4) "Discount." In connection with any discount offered for early payment, time shall be computed from the date of the invoice. For the purpose of computing the discount earned, payment shall be considered to have been made on the date which appears on the payment check or the specified payment date if an electronic funds transfer payment is made.
(5) "Overpayments." If the Contractor becomes aware of a duplicate contract financing or invoice payment or that the Government has otherwise overpaid on a contract financing or invoice payment, the Contractor shall immediately notify the Contracting Officer and request instructions for disposition of the overpayment.
(j) "Risk of loss." Unless the contract specifically provides otherwise, risk of loss or damage to the supplies provided under this contract shall remain with the Contractor until, and shall pass to the Government upon:
(1) Delivery of the supplies to a carrier, if transportation is f.o.b. origin; or
(2) Delivery of the supplies to the Government at the destination specified in the contract, if transportation is f.o.b. destination.
(k) "Taxes." The contract price includes all applicable Federal, State, and local taxes and duties.
(l) "Termination for the Government's convenience." The Government reserves the right to terminate this contract, or any part hereof, for its sole convenience. In the event of such termination, the Contractor shall immediately stop all work hereunder and shall immediately cause any and all of its suppliers and subcontractors to cease work. Subject to the terms of this contract, the Contractor shall be paid a percentage of the contract price reflecting the percentage of the work performed prior to the notice of termination, plus reasonable charges the Contractor can demonstrate to the satisfaction of the
Government using its standard record keeping system, have resulted from the termination. The Contractor shall not be required to comply with the cost accounting standards or contract cost principles for this purpose. This paragraph does not give the Government any right to audit the Contractor's records. The Contractor shall not be paid for any work performed or costs incurred which reasonably could have been avoided.
(m) "Termination for cause." The Government may terminate this contract, or any part hereof, for cause in the event of any default by the Contractor, or if the Contractor fails to comply with any contract terms and conditions, or fails to provide the Government, upon request, with adequate assurances of future performance. In the event of termination for cause, the Government shall not be liable to the Contractor for any amount for supplies or services not accepted, and the Contractor shall be liable to the Government for any and all rights and remedies provided by law. If it is determined that the Government improperly terminated this contract for default, such termination shall be deemed a termination for convenience.
(n) "Title." Unless specified elsewhere in this contract, title to items furnished under this contract shall pass to the Government upon acceptance, regardless of when or where the Government takes physical possession.
(o) "Warranty." The Contractor warrants and implies that the items delivered hereunder are merchantable and fit for use for the particular purpose described in this contract.
(p) "Limitation of liability." Except as otherwise provided by an express warranty, the Contractor will not be liable to the Government for consequential damages resulting from any defect or deficiencies in accepted items.
(q) "Other compliances." The Contractor shall comply with all applicable Federal, State and local laws, executive orders, rules and regulations applicable to its performance under this contract.
(r) "Compliance with laws unique to Government contracts." The Contractor agrees to comply with 31 U.S.C. 1352 relating to limitations on the use of appropriated funds to influence certain Federal contracts; 18 U.S.C. 431 relating to officials not to benefit; 40 U.S.C. 3701, et seq., Contract Work Hours and Safety Standards Act; 41 U.S.C. 51-58, Anti-Kickback Act of 1986; 41 U.S.C. 265 and 10 U.S.C. 2409 relating to whistleblower protections; 49 U.S.C. 40118, Fly American; and 41 U.S.C. 423 relating to procurement integrity.
(s) "Order of precedence." Any inconsistencies in this solicitation or contract shall be resolved by giving precedence in the following order:
(1) The schedule of supplies/services.
(2) The Assignments, Disputes, Payments, Invoice, Other Compliances, and Compliance with Laws Unique to Government Contracts paragraphs of this clause.
(3) The clause at 52.212-5.
(4) Addenda to this solicitation or contract, including any license agreements for computer software.
(5) Solicitation provisions if this is a solicitation.
(6) Other paragraphs of this clause.
(7) The Standard Form 1449.
(8) Other documents, exhibits, and attachments.
(9) The specification.
(t) "Central Contractor Registration (CCR)."
(1) Unless exempted by an addendum to this contract, the Contractor is responsible during performance and through final payment of any contract for the accuracy and completeness of the data within the CCR database, and for any liability resulting from the Government's reliance on inaccurate or incomplete data. To remain registered in the CCR database after the initial registration, the Contractor is required to review and update on an annual basis from the date of initial registration or subsequent updates its information in the CCR database to ensure it is current, accurate and complete. Updating information in the CCR does not alter the terms and conditions of this contract and is not a substitute for a properly executed contractual document.
(i) If a Contractor has legally changed its business name, "doing business as" name, or division name (whichever is shown on the contract), or has transferred the assets used in performing the contract, but has not completed the necessary requirements regarding novation and change-of-name agreements in FAR Subpart 42.12, the Contractor shall provide the responsible Contracting Officer a minimum of one business day's written notification of its intention to
(A) change the name in the CCR database;
(B) comply with the requirements of Subpart 42.12; and
(C) agree in writing to the timeline and procedures specified by the responsible Contracting Officer. The Contractor must provide with the notification sufficient documentation to support the legally changed name.
(ii) If the Contractor fails to comply with the requirements of paragraph (t)(2)(i) of this clause, or fails to perform the agreement at paragraph (t)(2)(i)(C) of this clause, and, in the absence of a properly executed novation or change-of-name agreement, the CCR information that shows the Contractor to be other than the Contractor indicated in the contract will be considered to be incorrect information within the meaning of the "Suspension of Payment" paragraph of the electronic funds transfer (EFT) clause of this contract.
(3) The Contractor shall not change the name or address for EFT payments or manual payments, as appropriate, in the CCR record to reflect an assignee for the purpose of assignment of claims (see Subpart 32.8, Assignment of Claims). Assignees shall be separately registered in the CCR database. Information provided to the Contractor's CCR record that indicates payments, including those made by EFT, to an ultimate recipient other than that Contractor will be considered to be incorrect information within the meaning of the "Suspension of payment" paragraph of the EFT clause of this contract.
(4) Offerors and Contractors may obtain information on registration and annual confirmation requirements via the internet at http://www.ccr.gov or by calling 1-888-227-2423 or 269-961-5757.
(End of Clause)
C.2 52.212-5 CONTRACT TERMS AND CONDITIONS REQUIRED TO IMPLEMENT STATUTES OR EXECUTIVE ORDERS--COMMERCIAL ITEMS (SEP 2007)
(a) The Contractor shall comply with the following Federal Acquisition Regulation (FAR) clause, which is incorporated in this contract by reference, to implement provisions of law or Executive orders applicable to acquisitions of commercial items:
(1) 52.233-3, Protest after Award (Aug 1996) (31 U.S.C. 3553).
(2) 5.233-4, Applicable Law for Breach of Contract Claim (Oct 2004) (Pub. L. 108-77, 108-78).
(b) The Contractor shall comply with the FAR clauses in this paragraph (b) that the Contracting Officer has indicated as being incorporated in this contract by reference to implement provisions of law or Executive orders applicable to acquisitions of commercial items:
_________ (1) 52.203-6, Restrictions on Subcontractor Sales to the Government (Sep 2006), with Alternate I (Oct 1995) (41 U.S.C. 253g and 10 U.S.C. 2402).
_________ (2) 52.219-3, Notice of Total HUBZone Set-Aside (Jan 1999) (15 U.S.C. 657a).
_________ (3) 52.219-4, Notice of Price Evaluation Preference for HUBZone Small Business Concerns (July 2005) (if the offeror elects to waive the preference, it shall so indicate in its offer) (15 U.S.C. 657a).
(4) [Reserved]
(5)
_________ (i) 52.219-6, Notice of Total Small Business Set-Aside (June 2003) (15 U.S.C. 644).
(ii) Alternate I (Oct 1995) of 52.219-6.
(iii) Alternate II (Mar 2004) of 52.219-6.
(6)
(i) 52.219-7, Notice of Partial Small Business Set-Aside
(June 2003) (15 U.S.C. 644).
(ii) Alternate I (Oct 1995) of 52.219-7.
(iii) Alternate II (Mar 2004) of 52.219-7.
(7) 52.219-8, Utilization of Small Business Concerns (May 2004) (15 U.S.C. 637(d)(2) and (3)).
(8)
XX (i) 52.219-9, Small Business Subcontracting Plan (Sep 2007) (15 U.S.C. 637(d)(4).
(ii) Alternate I (Oct 2001) of 52.219-9.
(iii) Alternate II (Oct 2001) of 52.219-9.
(9) 52.219-14, Limitations on Subcontracting (Dec 1996) (15 U.S.C. 637(a)(14)).
(10) 52.219-16, Liquidated Damages--Subcontracting Plan (Jan 1999) (15 U.S.C. 637(d)(4)(F)(i)).
(11)
(i) 52.219-23, Notice of Price Evaluation Adjustment for Small Disadvantaged Business Concerns (Sept 2005) (10 U.S.C. 2323) (if the offeror elects to waive the adjustment, it shall so indicate in its offer).
(ii) Alternate I (June 2003) of 52.219-23.
(12) 52.219-25, Small Disadvantaged Business Participation Program--Disadvantaged Status and Reporting (Oct 1999) (Pub. L. 103-355, section 7102, and 10 U.S.C. 2323).
(13) 52.219-26, Small Disadvantaged Business Participation Program--Incentive Subcontracting (Oct 2000) (Pub. L. 103-355, section 7102, and 10 U.S.C. 2323).
(14) 52.219-27, Notice of Total Service-Disabled Veteran-Owned Small Business Set-Aside (May 2004) (15 U.S.C. 657 f).
XX (15) 52.219-28, Post Award Small Business Program Rerepresentation (June 2007) (15 U.S.C. 632(a)(2)).
(16) 52.222-3, Convict Labor (June 2003) (E.O. 11755).
(17) 52.222-19, Child Labor--Cooperation with Authorities and Remedies (Aug 2006) (E.O. 13126).
(18) 52.222-21, Prohibition of Segregated Facilities (Feb 1999).
(19) 52.222-26, Equal Opportunity (Apr 2002) (E.O. 11246).
(20) 52.222-35, Equal Opportunity for Special Disabled Veterans,
Veterans of the Vietnam Era, and Other Eligible Veterans (Sept 2006) (38 U.S.C. 4212).
(21) 52.222-36, Affirmative Action for Workers with Disabilities (Jun 1998) (29 U.S.C. 793).
(22) 52.222-37, Employment Reports on Special Disabled Veterans,
Veterans of the Vietnam Era, and Other Eligible Veterans (Sept 2006) (38 U.S.C. 4212).
(23) 52.222-39, Notification of Employee Rights Concerning Payment of Union Dues or Fees (Dec 2004) (E.O. 13201).
(24)
(i) 52.222-50, Combating Trafficking in Persons (Aug 2007) (Applies to all contracts).
(ii) Alternate I (Aug 2007) of 52.222-50.
(25)
(i) 52.223-9, Estimate of Percentage of Recovered Material Content for EPA-Designated Products (Aug 2000) (42 U.S.C. 6962(c)(3)(A)(ii)).
(ii) Alternate I (Aug 2000) of 52.223-9 (42 U.S.C. 6962(i)(2)(C)).
(26) 52.225-1, Buy American Act-Supplies (June 2003) (41 U.S.C. 10a-10d).
(27)
(i) 52.225-3, Buy American Act-Free Trade Agreements-Israeli Trade Act (Aug 2007) (41 U.S.C. 10a-10d, 19 U.S.C. 3301 note, 19 U.S.C. 2112 note, Pub. L. 108-77, 108-78, 108-286, 109-53 and 109-169.
(ii) Alternate I (Jan 2004) of 52.225-3.
(iii) Alternate II (Jan 2004) of 52.225-3.
(28) 52.225-5, Trade Agreements (Nov 2006) (19 U.S.C. 2501, et seq., 19 U.S.C. 3301 note).
(29) 52.225-13, Restrictions on Certain Foreign Purchases (Feb 2006) (E.o.s, proclamations, and statutes administered by the Office of Foreign Assets Control of the Department of the Treasury).
(30) 52.226-4, Notice of Disaster or Emergency Area Set-Aside (Aug 2006) (42 U.S.C. 5150).
(31) 52.226-5, Restrictions on Subcontracting Outside Disaster or Emergency Area (Aug 2006) (42 U.S.C. 5150).
(32) 52.232-29, Terms for Financing of Purchases of Commercial Items (Feb 2002) (41 U.S.C. 255(f), 10 U.S.C. 2307(f)).
(33) 52.232-30, Installment Payments for Commercial Items (Oct 1995) (41 U.S.C. 255(f), 10 U.S.C. 2307(f)).
(34) 52.232-33, Payment by Electronic Funds Transfer-Central Contractor Registration (Oct 2003) (31 U.S.C. 3332).
(35) 52.232-34, Payment by Electronic Funds Transfer-Other than Central Contractor Registration (May 1999) (31 U.S.C. 3332).
(36) 52.232-36, Payment by Third Party (May 1999) (31 U.S.C. 3332).
XX (37) 52.239-1, Privacy or Security Safeguards (Aug 1996) (5 U.S.C. 552a).
(38)
(i) 52.247-64, Preference for Privately Owned U.S.-Flag Commercial Vessels (Feb 2006) (46 U.S.C. Appx 1241(b) and 10 U.S.C. 2631).
(ii) Alternate I (Apr 1984) of 52.247-64.
(c) The Contractor shall comply with the FAR clauses in this paragraph (c), applicable to commercial services, that the Contracting Officer has indicated as being incorporated in this contract by reference to implement provisions of law or Executive orders applicable to acquisitions of commercial items:
(1) 52.222-41, Service Contract Act of 1965, as Amended (July 2005)
(41 U.S.C. 351, et seq.).
(2) 52.222-42, Statement of Equivalent Rates for Federal Hires (May 1989) (29 U.S.C. 206 and 41 U.S.C. 351, et seq.).
(3) 52.222-43, Fair Labor Standards Act and Service Contract Price Adjustment (Multiple Year and Option Contracts) (May 1989) (29 U.S.C. 206 and 41 U.S.C. 351, et seq.).
(4) 52.222-44, Fair Labor Standards Act and Service Contract Price Adjustment (Feb 2002) (29 U.S.C. 206 and 41 U.S.C. 351, et seq.).
(5) 52.237-11, Accepting and Dispensing of $1 Coin (Aug 2007) (31 U.S.C. 5112(p)(1)).
(d) Comptroller General Examination of Record. The Contractor shall comply with the provisions of this paragraph (d) if this contract was awarded using other than sealed bid, is in excess of the simplified acquisition threshold, and does not contain the clause at 52.215-2, Audit and Records-Negotiation.
(1) The Comptroller General of the United States, or an authorized representative of the Comptroller General, shall have access to and right to examine any of the Contractor's directly pertinent records involving transactions related to this contract.
(2) The Contractor shall make available at its offices at all reasonable times the records, materials, and other evidence for examination, audit, or reproduction, until 3 years after final payment under this contract or for any shorter period specified in FAR Subpart 4.7, Contractor Records Retention, of the other clauses of this contract. If this contract is completely or partially terminated, the records relating to the work terminated shall be made available for 3 years after any resulting final termination settlement. Records relating to appeals under the disputes clause or to litigation or the settlement of claims arising under or relating to this contract shall be made available until such appeals, litigation, or claims are finally resolved.
(3) As used in this clause, records include books, documents, accounting procedures and practices, and other data, regardless of type and regardless of form. This does not require the Contractor to create or maintain any record that the Contractor does not maintain in the ordinary course of business or pursuant to a provision of law.
(e)
(1) Notwithstanding the requirements of the clauses in paragraphs (a), (b), (c), and (d) of this clause, the Contractor is not required to flow down any FAR clause, other than those in paragraphs (i) through (vii) of this paragraph in a subcontract for commercial items. Unless otherwise indicated below, the extent of the flow down shall be as required by the clause--
(i) 52.219-8, Utilization of Small Business Concerns (May 2004) (15 U.S.C. 637(d)(2) and (3)), in all subcontracts that offer further subcontracting opportunities. If the subcontract (except subcontracts to small business concerns) exceeds $550,000 ($1,000,000 for construction of any public facility), the subcontractor must include 52.219-8 in lower tier subcontracts that offer subcontracting opportunities.
(ii) 52.222-26, Equal Opportunity (Mar 2007) (E.O. 11246).
(iii) 52.222-35, Equal Opportunity for Special Disabled Veterans, Veterans of the Vietnam Era, and Other Eligible Veterans (Sept 2006) (38 U.S.C. 4212).
(iv) 52.222-36, Affirmative Action for Workers with Disabilities (June 1998) (29 U.S.C. 793).
(v) 52.222-39, Notification of Employee Rights Concerning Payment of Union Dues or Fees (DEC 2004) (E.O. 13201).
(vi) 52.222-41, Service Contract Act of 1965, as Amended (July 2005), flow down required for all subcontracts subject to the Service Contract Act of 1965 (41 U.S.C. 351, et seq.).
(vii) 52.222-50, Combating Trafficking in Persons (Aug 2007) (22 U.S.C. 7104(g)). Flow down required in accordance with paragraph (f) of FAR clause 52.222-50.
(viii) 52.247-64, Preference for Privately Owned U.S.-Flag Commercial Vessels (Feb 2006) (46 U.S.C. Appx 1241 (b) and 10 U.S.C. 2631). Flow down required in accordance with paragraph (d) of FAR clause 52.247-64.
(2) While not required, the contractor may include in its subcontracts for commercial items a minimal number of additional clauses necessary to satisfy its contractual obligations.
(End of Clause)
C.3 Statement Of Work
A. BACKGROUND
A. 1. The U. S. Department of Commerce (DoC), National Telecommunications and Information Administration (NTIA), is committed to preserving the stability and security of the Internet domain name and addressing system (DNS). NTIA has ensured the stability and security of the DNS country code top-level domain for the United States (usTLD or .us domain) by supervising administration of the usTLD for the benefit of the nation’s Internet community.
A.2. On October 26, 2001, the DoC awarded a contract to NeuStar, Inc. (current contractor) to manage the usTLD for an initial four-year term expiring on October 25, 2005. The .us contract provided for two additional one-year contract term extensions. The Dot Kids Implementation and Efficiency Act of 2002, Pub. L. No. 107-317, (the Dot Kids Act) required creation and maintenance of a second-level domain within the usTLD as a safe place on the Internet for children. Accordingly, the DoC amended the .us contract to implement the Act’s requirements. Upon finding that the current contractor had satisfactorily performed its obligations under the Dot Kids Act and the .us contract, DoC exercised each of the two one-year option periods as the Act mandated. The .us contract expires on October 25, 2007. Therefore, DoC intends to procure the services of a Contractor to manage, maintain, and operate the usTLD under NTIA’s supervision, in accordance with Federal Acquisition Regulations (FAR) Part 12.
A.3. The usTLD is partially composed of a known universe of approximately 17,000 domain names reflecting political geography based on two-letter state abbreviations and divided further into localities, including cities, counties, parishes, townships, or local names (e.g., <Alexandria.va.us>). In addition to geographical locality names, the usTLD also includes certain affinity names such as, for example, STATE, FED, KL2, LIB, and NSN (Native Sovereign Nation). Locality and affinity names collectively compose the “locality space”. Individuals, organizations, as well as state and local governments received delegations to provide registry and registration services in the locality space. The current contractor estimated, as of December 31, 2006, 3,523 known “delegated managers” continued to support a widely distributed hierarchy within the usTLD. As of March 23, 2007, the current contractor served as the default delegated manager for approximately 3,460 locality names. However, the identity of many delegated managers and the contact information for the .us domains they serve remains unknown. Under the .us contract, the current contractor provides free registry and registration services for localities without a delegated manager.
A.4. Prior to DoC’s supervision of the usTLD, locality space delegations occurred without adequate records or service and technical requirements. Consequently, the .us contract required the current contractor to increase the usTLD’s reliability and viability by improving the locality space, developing a delegated manager database, and a WHOIS database. Improvements in the locality space have been implemented, including a requirement that delegated managers execute an agreement imposing certain technical and service requirements, as well as maintain publicly accessible accurate WHOIS and dispute resolution procedures. The current delegated manager agreement also requires locality domain managers to execute contracts with the .us name holders it serves to ensure that these requirements and policies flow through to all .us name holders. The current contractor serves as delegated manager at no cost for domain name holders whose delegated manager will not execute the required agreement or whose identity is unknown. Presently, domain name holders who do not register any sub-domains or service any .us domain name holders must execute a locality name registration agreement. As of March 23, 2007, the current contractor had received agreements for approximately 2,800 locality domain names, however, about 10,700 locality names remain that are not subject to signed agreements. To continue this progress, DoC seeks proposals that will provide further improvements to the usTLD locality space.
A.5. In 2001, DoC authorized expansion of the usTLD beyond the locality space recognizing that the hierarchical nature of the locality naming structure limited the appeal of the usTLD and curtailed registrations. This expansion opened up (for the first time) second-level registrations directly beneath the usTLD (such as organization.us). To maximize competition for such second-level registrations, the .us contract prohibits the current contractor from providing registrar services in the expanded usTLD space. As of December 31, 2006, 98 accredited usTLD registrars served nearly 1,033,400 second-level .us domain names. The current contractor charges an initial $1,000 accreditation fee for new registrars and an annual $6.00 fee for each domain transaction with an accredited .us registrar.
A.6. During this expansion of the usTLD at the second level, the current contractor, in consultation with the DoC, reserved certain names including city, state and local names, Federal Government names, and others to ensure their availability to these entities. As registrar for these reserved names, the current contractor developed a registration process. This registration process includes a validation process, and establishes the following registration fees: 3-year registration at $168; 5-year registration at $180; and a lifetime registration at $395. In addition, it charges $152 to reserve a qualified domain name permanently. At the conclusion of the limited registration of these names, the current contractor released (for registration by the public) all city, state, and government names not included on the permanent reservation list. In addition, prior to the release of the kids.us names for general registration, the current contractor reserved certain Federal Government names for registration by these government entities. The current contractor also serves as registrar for such names. The complete list of reserved usTLD names is available at http://www.nic.us/registrarfs/fcfs/dotus_reservedlist_v3.zip. Therefore, DoC seeks proposals to maintain the permanent reservation list and reservation registration system, as well as proposed modifications to the list and release of certain names.
A.7. The Dot Kids Act discussed in paragraph A.2. above requires the initial and successor contractors to establish, maintain, and operate a second-level domain in the **usTLD** to provide a safe space on the Internet for children aged 13 and younger. Consequently, **kids.us** sites must comply with certain content standards and exclude hyperlinks that direct visitors away from the **kids.us** domain. Between 2004, the first full year of the kids.us domain’s operation, and 2006, registrations declined from 1505 to 1145, while active approved sites decreased from 23 to 20 during the same period. The current contractor's annual wholesale price to registrars for each kids.us domain name is $6 and the annual content management fee charged to each **.us** domain name holder is $125. The DoC seeks proposals to increase utilization and awareness of the kids.us domain.
A.8. As the Internet and the Domain Name System have evolved certain practices have emerged that may harm, mislead, or confuse consumers and misuse intellectual property in the **usTLD**. These practices may include the misuse of automated registration technologies, and the add/drop grace period, and these have been given various names such as tasting, kiting, and spying. The DoC seeks proposals that include a set of policies and mechanisms to prevent and combat abuses of the usTLD registration system.
B. SCOPE OF SERVICES
B.1. The Contractor shall provide centralized management and coordination of registry, registrar (where specified), database, and information services for the **usTLD**. The **usTLD** provides a locus for registering domain names and serving the Internet community in the United States. As such, DoC intends the **usTLD** be available to a wide range of registrants. Accordingly, the Contractor must achieve the following:
B.1.1. Ensure that procedures and an accountability framework for the delegation and the administration of the **usTLD** support a more robust, certain, and reliable DNS.
B.1.2. Promote increased use of the **usTLD**, including **kids.us**, by the Internet community of the United States (including small businesses, consumers, not-for-profit organizations, and state and local governments), with a residence or bona fide presence in the United States by introducing enhanced technical and other services, disseminating information about the **usTLD**, and improving registration and customer services.
B.1.3. Create a centrally administered and efficiently managed structure that ensures registrant and consumer confidence, and infrastructure stability by coordinating delegations and implementing other appropriate functions.
B.1.4. Create a stable and flexible **usTLD** environment that advances and encourages innovation and that will meet the future demands of potential registrants.
B.1.5. Ensure continued stability of the entire DNS and the **usTLD**, particularly during transition from the current management structure to the Contractor’s proposed structure and to any successor Contractor’s structure.
B.1.6. Manage the usTLD consistent with the Internet Corporation for Assigned Names and Numbers' (ICANN) technical management of the DNS.
B.1.7. Adequately protect intellectual property in the usTLD and as developments in the expanded and the locality usTLD space may necessitate. In the event of further expansion of the usTLD space, the Contractor shall implement a "sunrise period" for qualified trademark owners to pre-register their trademarks as domain names prior to the wider registration for non-trademark owners and a dispute resolution procedure to address "cybersquatting" conflicts between trademarks and domain names in the usTLD. See C.2.2.3 below.
B.1.8. Establish and maintain consistent communication between the Contracting Officer’s Technical Representative (COTR), the Contractor, and ICANN. The Contractor shall represent the usTLD in the ICANN Country Code Names Supporting Organization (ccNSO) and contribute to ICANN's operating costs as ICANN may apportion to the usTLD.
B.1.9. Promote robust competition within the usTLD, including registration services, to ensure greater choice and improved services for usTLD users.
C. DESCRIPTION OF SERVICES
C.1 The Contractor shall perform the required services for this acquisition as a prime Contractor, not as an agent or subcontractor. The Contractor may, however, provide the required services by coordinating the resources and services of entities other than the prime Contractor. The Contractor shall be: (a) incorporated in one of the fifty states of the United States or the District of Columbia; or (b) organized under a law of a state of the United States or the District of Columbia.
C.1.1. The Contractor shall possess and maintain through the performance of this procurement a physical address within the United States and must be able to demonstrate that all primary registry services will remain within the United States (including the District of Columbia).
C.2 The Contractor will manage, maintain, and operate the usTLD under NTIA’s supervision. The Contractor shall furnish the necessary personnel, material, equipment, services, and facilities to perform the requirements outlined in this Statement of Work without any cost to the U.S. Government.
C.2.1. On or after the effective date of this contract, the Contractor may establish and collect fees from third parties other than the U.S. Government for the requirements performed under this contract. A possibility exists that the expenses incurred to perform the contract may exceed the fees received during the base period or any option period of the contract. The Contracting Officer shall approve such fees before they take effect, which approval shall not be unreasonably withheld and provided the fees are fair and reasonable.
C.2.2. In addition, the Contractor shall not implement any policies, procedures, rules, mechanisms, or execute any agreements or subcontracts in fulfillment of the contract’s
requirements without the prior approval of the Contracting Officer, which approval shall not be unreasonably withheld.
C.3 Core Registry Functions
C.3.1 The Contractor shall provide, at a minimum, the services listed below, although such services are not exhaustive of the requirements sought. The Contractor shall provide all systems, software, hardware, facilities, infrastructure, and operation for the following functions listed in C.3.2(i) – (xiii), inclusive.
C.3.2 The Contractor shall:
(i) Operate and maintain the primary authoritative server for the usTLD;
(ii) Operate and/or administer a constellation of secondary servers for the usTLD;
(iii) Compile, generate, and propagate the usTLD zone file(s);
(iv) Maintain a publicly accessible, accurate and up-to-date registration (WHOIS) database for all usTLD registrations;
(v) Maintain a publicly accessible, accurate and up-to-date registration (WHOIS) database of usTLD delegated managers and their associated delegated locality registrations;
(vi) Establish a data escrow for usTLD zone file and domain name registration information, including all registration and delegated manager data;
(vii) Comply with applicable Internet Engineering Task Force (IETF), including RFC 1480, and ICANN policies for the functions outlined herein; and
(viii) Promote awareness and increase registrations in the usTLD, including the second-level kids.us, and maintain a website with up-to-date policy and registration information for the usTLD.
(ix) Develop and distribute to registrars provisioning protocol software and procedures to facilitate a secure and efficient interface with the usTLD registry and provide technical support to such registrars.
(x) Perform annual technical compliance monitoring of locality delegees, and continually access zone file information for sub-delegees to compare the results with the centralized usTLD database to ensure the database is accurate and up-to-date.
(xi) Ensure customer support and satisfaction by implementing procedures, guides, training, and other methods, as well as maintaining an automated reporting of registrar and registrant interaction with the usTLD registry.
(xii) Ensure the security, reliability, and stability of the usTLD.
(xiii) Serve as registrar for all reserved name registrations, including those in the kids.us second-level domain, and for all locality domains names not serviced by a delegated manager subject to an agreement with the Contractor.
C.4 Core Policy Requirements
C.4.1 The Contractor shall:
(i) Implement United States Nexus Requirement. The Contractor shall operate the usTLD as a country code top level domain intended to serve the Internet community of the United States, including small businesses, consumers, not-for-profit organizations, and state and local governments with a residence or bona fide presence in the United States. The usTLD is not intended to attract or otherwise encourage registrations from outside the United States. In addition to the current policy set forth in RFC 1480 requiring that usTLD domain name registrations be hosted on computers located within the United States, the Contractor must implement a United States nexus policy for the locality-based usTLD structure and the expanded usTLD space, which may be the same or similar to the current contractor’s United States Nexus Requirement available at: http://www.neustar.us/policies/docs/usTLD_nexus_requirements.pdf.
(ii) Implement Registrar and Registrant Agreements. The Contractor shall establish contractual arrangements with all accredited usTLD registrars incorporating the requirements relating to usTLD policies such as nexus, WHOIS, and dispute resolution, and ensuring prompt, reliable, and effective technical and customer service. The Contractor shall require that each accredited usTLD registrar implement a registrant agreement that requires each registrant to agree to all applicable usTLD policies.
(iii) Implement a Uniform Domain Name Dispute Resolution Procedure and Sunrise Policy. The Contractor shall implement a uniform domain name dispute resolution procedure intended to resolve "cybersquatting" disputes in the usTLD. The Contractor shall base such policy on the ICANN Uniform Domain Name Dispute Resolution Procedure and modify it as necessary to make such policy applicable to the usTLD specifically. As developments in the expanded usTLD space may necessitate, the Contractor shall also implement a "sunrise period" for qualified trademark owners to pre-register their trademarks as domain names in the expanded usTLD space prior to the wider registration for non-trademark owners.
(iv) Abide by Government Advisory Committee Principles. The Contractor shall abide by the principles and procedures described in the Government Advisory Committee document, "Principles and Guidelines for the Delegation and Administration of Country-Code Top Level Domains," unless inconsistent with U.S. law or regulation or otherwise directed by the DoC. This document is available at http://gac.icann.org/web/home/ccTLD_Principles.rtf.
(v) Implement and enforce policies concerning:
(a) Data Rights and Use. The Contractor shall prohibit the use of registrant and other data obtained from registrars and delegated managers for purposes other than providing .usTLD administration services;
(b) Publicly Accessible, Accurate, and Up-to-Date WHOIS Database. The Contractor shall implement a policy that addresses the continued public access to accurate WHOIS, including a prohibition of proxy and anonymous services offered by registrars, registrar affiliates and partners, and delegated managers. The Contractor shall regularly monitor the current practices of the registrars and delegated managers to ensure compliance with this requirement;
(c) Reserved Domain Names. The Contractor shall implement a policy to manage a list of permanently reserved names not available for registration, and if appropriate, the release of certain names that are currently reserved (see A.6 above);
(d) Domain Name Transfers. The Contractor shall implement a mechanism that facilitates the transfer of a domain name registration from one usTLD registrar to another usTLD registrar at the request of the domain name registrant. This policy may be the same or similar to the current contractor’s “Policy on Transfer of Sponsorship of Registrations between Registrars,” which is available at: http://www.neustar.us/policies/docs/USTRansferPolicy.pdf;
(e) Redemption Grace Period. The Contractor shall implement a policy that allows registrants to restore domain name registrations that have expired within a reasonable time period. This policy may be the same or similar to the current contractor’s Redemption Grace Period Policy available at: http://www.ntia.doc.gov/ntiahome/domainname/usca/usamend13.pdf;
(f) Domain Name Review. The Contractor shall implement a policy that allows the Contractor the right to refuse the registration of any domain name in the usTLD. This policy may be the same or similar to the current contractor’s Registration Review Policy available at: http://www.neustar.us/policies/docs/Policy_Statement_usTLD_Admin.pdf
(g) Registration Abuse. The Contractor shall implement a policy that prevents and combats abuses of the usTLD registration system including practices that harm, mislead, or confuse consumers and that misuse intellectual property in the usTLD. This policy may include methods to curb the misuse of automated registration technologies and the add/drop grace period; and
(h) Other Policies. The Contractor may propose such other policies as are necessary to fulfill the Contract’s requirements and increase the use of or otherwise improve the usTLD.
(i) The Contractor will establish a comprehensive marketing plan with the objective of improving the usage and value of the usTLD and kids.us. Inclusive in this requirement, the contractor shall: develop and execute a business and marketing plan, design and implement targeted sales programs for Registrars, manage marketing research and surveys, manage branding and messaging, design and develop collateral material, working with Registrars to implement programs for usTLD and kids.us, identify initiatives to help gain visibility and registration volumes, and to develop, implement, and manage the programs related to reserve names and growing usTLD Directory and zip codes.
(vi) Adhere to a Code of Conduct. The Contractor shall adopt a code of conduct requiring it to administer the usTLD impartially and without discriminating, operate the usTLD in the public interest, and protect proprietary information of usTLD registrars.
C.5 Locality-based usTLD Structure Functions
C.5.1 The Contractor shall:
(i) Provide Service for Existing Delees and Registrants.
(a) The Contractor shall provide service and support for existing delees and registrants in the locality-based usTLD structure under current practice.
(b) The Contractor shall develop and implement a procedure and a mechanism to require all delegated managers to abide by usTLD policies and to maintain certain minimum technical and service requirements for the locality registrants each serves. This shall include, at a minimum, the following:
(1) The Contractor shall develop appropriate minimum technical and service requirements for delegated managers;
(2) The Contractor shall develop a mechanism that facilitates each delegated manager’s compliance with the usTLD policies and the requirements;
(3) With the consent of the DOC, the Contractor shall rescind the delegation for delegated managers unwilling or unable to agree to abide by the usTLD policies and maintain minimum technical and service requirements;
(4) The Contractor shall serve as the delegated manager for a locality space when: the Contractor has rescinded the delegation for any delegated manager as described in (3) above or the delegated manager for that locality space voluntarily relinquishes its delegation and/or seeks to change its status to become a locality registrant;
(5) The Contractor shall seek to identify all delegated managers and locality registrants that are currently unknown; and
(6) The Contractor may propose additional procedures and/or mechanisms that facilitate the continued improvement of the locality space.
(ii) Provide Services for Undelegated Third Level Sub-Domains. The Contractor shall provide direct registry and registrar services for all other undelegated third-level locality sub-domains, including services for those names registered below CO (county) and CI (city) (e.g. Montgomery.co.us), and, undelegated affinity domains, such as those names registered below STATE, FED, K12, LIB, and NSN (e.g. agency.fed.us).
(iii) Maintain Modernized Locality-Based usTLD Processes. The Contractor shall maintain and update, as necessary, the existing automated locality-based usTLD delegation and registration process under the control of the usTLD administrator, including the electronic database of historical usTLD registration data.
(iv) Coordinate Locality-Based usTLD Users. The Contractor shall maintain a website for delegated managers, locality registrants, and other interested parties to provide information about the usTLD and to facilitate discussion of administrative, technical, customer service, and policy issues related to the operation and management of the locality-based usTLD structure.
(v) Maintain and Update WHOIS Database of usTLD Delegated Managers.
(a) The Contractor shall maintain, update and make publicly available such database with current and verified contact information for all delegated managers in the usTLD, including locality-level and affinity second-level (where delegated) administrators and, where applicable, for all sub-delegations made by such locality-level or second level administrators.
(b) The WHOIS database shall support multiple string and field searching through a reliable, free, public, web-based interface.
(c) The WHOIS database shall, at a minimum, consist of the following elements:
(1) The name of the delegated manager;
(2) The IP address of the primary nameserver and secondary nameserver(s) for the delegation;
(3) The corresponding names of such nameservers;
(4) The date of delegation;
(5) The name, postal address, e-mail address, and telephone and fax numbers of the delegated manager;
(6) The name, postal address, e-mail address, and telephone and fax numbers of the technical contact for the delegated manager;
(7) The name, postal address, e-mail address, and telephone and fax numbers of the administrative contact for the delegated manager;
(8) The website or other contact information through which the delegated manager accepts registrations under that delegation; and
(9) The nexus category for the delegated manager and each of the other contacts listed above in C.5.1(v)(c)(5)-(7).
(vi) Maintain and Update Registrant WHOIS Database
(a) The Contractor shall maintain, update, and make publicly available such database with current and verified information for all locality-based usTLD registrants, including the registrants of delegated managers and, where applicable, registrants in delegated managers' sub-delegations.
(b) The WHOIS database shall allow multiple string and field searching through a reliable, free, public, web-based interface.
(c) The WHOIS database shall, at a minimum, consist of the following elements:
(1) The name of the registered domain;
(2) The Internet Protocol (IP) address of the primary nameserver and secondary nameserver(s) for the registered domain name;
(3) The corresponding names of such nameservers;
(4) The name of the delegated manager for the registered domain (if any);
(5) The creation date of the registration;
(6) The name, postal address, e-mail address, and telephone and fax numbers of the domain name holder;
(7) The name, postal address, e-mail address, and telephone and fax numbers of the technical contact for the domain name holder;
(8) The name, postal address, e-mail address, and telephone and fax numbers of the administrative contact for the domain name holder; and
(9) The nexus category for the domain name holder and each of the other contacts listed above at C.5.1(vi)(c)(6)-(8).
(vii) The Contractor shall establish a set of mechanisms to ensure the accuracy of WHOIS data obtained from the delegated managers and locality registrants. Such mechanisms shall include, at a minimum, periodic Contractor reviews, enforcement procedures and an annual report to the COTR.
These reports shall be provided to the CO as deliverables under this contract.
C.6 Expanded usTLD Space Functions
C.6.1 The Contractor shall, at a minimum, incorporate into its policies and procedures for the expanded usTLD structure the following:
(i) Maintain Shared Registration System. The Contractor shall maintain a shared registration system by which an unlimited number of accredited competing registrars may register, transfer, and update domain names for their customers in the expanded usTLD space (i.e., example.us), as well as obtain technical support.
(ii) Accredit usTLD Registrars. The Contractor shall implement a process for accrediting registrars to register names in the expanded usTLD. Such process shall include a contract with each accredited registrar prohibiting proxy and anonymous registration services.
(iii) Technical Certification of usTLD Registrars. The Contractor shall implement a technical certification process for registrars in the expanded usTLD space.
(iv) Maintain and Update the WHOIS Database.
(a) The Contractor shall maintain, update, and make publicly available the WHOIS database with current and verified contact information for all expanded usTLD registrations, including kids.us second-level domains. The Contractor shall operate the WHOIS database at the registry level (not at the level of individual accredited registrars).
(b) The WHOIS database shall allow multiple string and field searching through a reliable, free, public, web-based interface.
(c) The WHOIS database, at a minimum, shall consist of the following elements:
(1) The name of the second level domain registered;
(2) The IP address of the primary nameserver and secondary nameserver(s) for the registered domain name;
(3) The corresponding names of such nameservers;
(4) The creation date of the registration;
(5) The name, postal address, e-mail addresses, and telephone and fax numbers of the domain name holder;
(6) The name, postal address, e-mail address, and telephone and fax numbers of the technical contact for the domain name holder;
(7) The name, postal address, e-mail address, and telephone and fax numbers of the administrative contact for the domain name holder; and
(8) The nexus category for the domain name holder and each of the other contacts listed above at C.6.1(iv)(c)(5)-(7).
(v) The Contractor shall establish a set of mechanisms to ensure the accuracy of WHOIS data obtained from registrants. Such mechanisms shall include, at a minimum, periodic Contractor reviews, enforcement procedures, and an annual report to the COTR. These shall be provided to the CO as Contract deliverables.
(vi) The Contractor shall not serve as a registrar in the expanded usTLD space, unless otherwise noted in this Statement of Work.
C.7 Enhanced usTLD Functions
The Contractor shall maintain existing applications and develop and implement additional applications, public resource second-level usTLD domains, .us directory services, a usTLD search engine, and other functional enhancements to increase the visibility, utility, and value of the usTLD to its users.
C.8 Kids.us Second Level Domain Functions
C.8.1. The Contractor shall maintain and operate the second-level kids.us domain as a safe place on the Internet for children aged 13 or younger.
C.8.2. The Contractor shall establish written content standards for the kids.us domain that ensure access is limited to material that is suitable for minors and not harmful to minors as the Dot Kids Implementation and Efficiency Act of 2002, Pub. L. No. 107-317, as may be amended (Dot Kids Act), defines such terms.
C.8.3. The Contractor shall establish rules and procedures for enforcement and oversight to minimize the possibility the kids.us domain provides access to content that violates its standards and requirements.
C.8.4. The Contractor shall establish a process for removing from the kids.us domain any content that violates its standards and requirements, as may be necessary or required by the Dot Kids Act, as amended.
C.8.5. The Contractor shall establish a process to provide registrants in the kids.us domain with an opportunity for prompt, expeditious and impartial dispute resolution regarding any registrant material excluded from the kids.us domain.
C.8.6. The Contractor shall ensure the accuracy of the contact information submitted by registrants and retained by registrars in the kids.us domain by maintaining and updating the WHOIS database for such domain as described above.
C.8.7. The Contractor shall establish contracts with all kids.us registrars that provide for:
(i) ensuring use of the kids.us domain will comply with the Contractor’s standards and requirements for the domain;
(ii) requiring a written agreement with each kids.us registrant ensuring use of the kids.us domain will:
(a) comply with the Contractor’s standards and requirements for the domain;
(b) prohibit two-way and multi-user interactive services in the kids.us domain unless the registrant certifies to the registrar that such services will comply with the kids.us content standards developed by the Contractor and are designed to reduce the risk of exploitation of minors using such two-way and multi-user interactive services; and
(c) prohibit hyperlinks in the kids.us domain that take such users outside the kids.us domain.
And
(iii) incorporating usTLD policies including those relating to nexus, WHOIS, dispute resolution, and domain name review.
C.8.8. The Contractor shall submit to Congress an annual report on the Contractor’s monitoring and enforcement procedures for the kids.us domain as the Dot Kids Act, as may be amended, requires.
C.8.9. The Contractor shall maintain the current kids.us Reserved List and provide registrar services as needed for such names.
C.8.10. The Contractor shall serve as Content Manager and is therefore responsible for reviewing content at the initial registration stage and perform ongoing content monitoring while the kids.us site is active. The Contractor may perform these duties directly or subcontract a portion or all of these duties to a third party(ies).
C.8.11. The Contractor shall work with the U.S. Internet community, children’s advocacy groups, and other interested parties to increase utilization of the kids.us domain by, among other things, promoting awareness of such domain.
C.9 License to Use usTLD and kids.us Promotional Marks
The Contractor shall grant to the DoC a worldwide, non-exclusive, non-transferable, right to use any of the usTLD and kids.us logos, slogans, or other promotional marks domain developed by the Contractor in performance of this contract.
C.10 Transition to Successor Contractor
In the event the DoC selects a successor contractor, the Contractor shall ensure an orderly transition by submitting for the DoC’s approval a plan for the transition from the existing registry and the transition to a successor registry.
C.11 Secure Systems
The Contractor shall install and operate computing and communications systems in accordance with best business and security practices. The Contractor shall implement authenticated communications between it and its customers when performing all requirement of this contract and shall document such practices and the configuration of all systems.
C.12 Secure Data
The Contractor shall ensure the authentication, integrity, and reliability of the data in performing all requirements of this contract.
C.13 Computer Security Plan
The Contractor shall develop and implement a computer security plan. The Contractor shall also update such plan annually and deliver such plan to the DoC’s CO and COTR, upon request.
C.14 Director of Security
The Contractor shall designate a Director of Security, who shall be responsible for ensuring technical and physical security measures, such as personnel access controls. The Contractor shall provide the name of the designee prior to contract award and this person shall be designated as Key Personnel in the proposal. The Contractor shall notify and consult with the DoC’s COTR before changing personnel in this position in accordance with the Key Personnel Clause of this contract.
D. REPORTING REQUIREMENTS
D.1 Periodic Progress Reports
D.1.1 For the base period of the contract, the Contractor shall submit monthly written progress reports to the COTR detailing the Contractor's progress towards meeting the contract requirements. Thereafter, during each option period granted, Contractor shall provide quarterly progress reports to the COTR.
D.1.2 Progress reports shall include the status of all major events, as well as major work performed during the reporting period, including technical status, accomplishments, and complications experienced in fulfilling the contract requirements.
D.1.3 Reports must be submitted in such detail and form as the CO requires. Reports shall also provide performance data related to operation of the usTLD including, but not limited to, the following: the total number of registry transactions; the number of new, transferred or deleted registrations in the usTLD (including cumulative registrations over time); the number of delegated managers and changes in delegated managers in the locality-based usTLD space; the number of registrars accredited to register names in the expanded usTLD space, including the operational status of those registrars; the number of kids.us registrations, active sites, and any violations of Contractor’s kids.us content standards; and any
updates or modifications to the shared registration system made by the Contractor.
D.1.4 Within thirty days of the conclusion of the contract’s base period and each option period, the Contractor shall submit an uncertified financial report of the revenues received and expenses incurred under the contract.
D.2 Final Report
The Contractor shall prepare and submit, within 60 days after the conclusion of the contract, a final report on the usTLD that documents standard operating procedure, including a description of the techniques, methods, software, hardware, and tools employed in performing the requirements of this contract.
D.3 Security Audit Data and Reports
The Contractor shall generate and retain security process audit data and provide an annual audit report to the DoC’s CO and COTR. The Contractor shall also provide to the DoC’s CO and COTR specific audit data upon request.
D.4 Annual WHOIS Accuracy Report
The Contractor shall prepare and submit an annual WHOIS accuracy report. This report should include a statistical summary of the Contractor reviews and actions taken to correct inaccuracies reported and discovered.
E. DELIVERABLES
E.1 The following are regarded as deliverables that shall be provided to the CO during the course of performing this contract:
E.1.1 Periodic Progress Reports as described at D.1
E.1.2 Final Report as described at D.2
E.1.3 Security Audit Data and Reports as described at D.3
E.1.4 Annual WHOIS Accuracy Report as described at D.4
E.1.5 Revenue Financial Report as described at D.1.4
E.2 Deliverables Format
The Contractor shall submit all deliverables in Microsoft Word and such other formats as the Contracting Officer or COTR may require.
C.4 52.217-2 CANCELLATION UNDER MULTI-YEAR CONTRACTS (OCT 1997)
(a) "Cancellation," as used in this clause, means that the Government is canceling its requirements for all supplies or services in program years
subsequent to that in which notice of cancellation is provided. Cancellation shall occur by the date or within the time period specified in the Schedule, unless a later date is agreed to, if the Contracting Officer-
(1) Notifies the Contractor that funds are not available for contract performance for any subsequent program year; or
(2) Fails to notify the Contractor that funds are available for performance of the succeeding program year requirement.
(b) Except for cancellation under this clause or termination under the Default clause, any reduction by the Contracting Officer in the requirements of this contract shall be considered a termination under the Termination for Convenience of the Government clause.
(c) If cancellation under this clause occurs, the Contractor will be paid a cancellation charge not over the cancellation ceiling specified in the Schedule as applicable at the time of cancellation.
(d) The cancellation charge will cover only--
(1) Costs--
(i) Incurred by the Contractor and/or subcontractor;
(ii) Reasonably necessary for performance of the contract; and
(iii) That would have been equitably amortized over the entire multi-year contract period but, because of the cancellation, are not so amortized; and
(2) A reasonable profit or fee on the costs.
(e) The cancellation charge shall be computed and the claim made for it as if the claim were being made under the Termination for Convenience of the Government clause of this contract. The Contractor shall submit the claim promptly but no later than 1 year from the date--
(1) Of notification of the nonavailability of funds; or
(2) Specified in the Schedule by which notification of the availability of additional funds for the next succeeding program year is required to be issued, whichever is earlier, unless extensions in writing are granted by the Contracting Officer.
(f) The Contractor's claim may include--
(1) Reasonable nonrecurring costs (see Subpart 15.4 of the Federal Acquisition Regulation) which are applicable to and normally would have been amortized in all supplies or services which are multi-year requirements;
(2) Allocable portions of the costs of facilities acquired or established for the conduct of the work, to the extent that it is impracticable for the Contractor to use the facilities in its commercial work, and if the costs are not charged to the contract through overhead or otherwise depreciated;
(3) Costs incurred for the assembly, training, and transportation to and from the job site of a specialized work force; and
(4) Costs not amortized solely because the cancellation had precluded anticipated benefits of Contractor or subcontractor learning.
(g) The claim shall not include--
(1) Labor, material, or other expenses incurred by the Contractor or subcontractors for performance of the canceled work;
(2) Any cost already paid to the Contractor;
(3) Anticipated profit or unearned fee on the canceled work; or
(4) For service contracts, the remaining useful commercial life of facilities. "Useful commercial life" means the commercial utility of the facilities rather than their physical life with due consideration given to such factors as location of facilities, their specialized nature, and obsolescence.
(h) This contract may include an Option clause with the period for exercising the option limited to the date in the contract for notification that funds are available for the next succeeding program year. If so, the Contractor agrees not to include in option quantities any costs of a startup or nonrecurring nature that have been fully set forth in the contract. The Contractor further agrees that the option quantities will reflect only those recurring costs and a reasonable profit or fee necessary to furnish the additional option quantities.
(i) Quantities added to the original contract through the Option clause of this contract shall be included in the quantity canceled for the purpose of computing allowable cancellation charges.
C.5 52.217-8 OPTION TO EXTEND SERVICES (NOV 1999)
The Government may require continued performance of any services within the limits and at the rates specified in the contract. These rates may be adjusted only as a result of revisions to prevailing labor rates provided by the Secretary of Labor. The option provision may be exercised more than once, but the total extension of performance hereunder shall not exceed 6 months. The Contracting Officer may exercise the option by written notice to the Contractor within 30 days of end of period.
C.6 52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT (MAR 2000)
(a) The Government may extend the term of this contract by written notice to the Contractor within 30 days provided that the Government gives the Contractor a preliminary written notice of its intent to extend at least 30 days before the contract expires. The preliminary notice does not commit the Government to an extension.
(b) If the Government exercises this option, the extended contract shall be considered to include this option clause.
(c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed 5 years.
F.1 1352.215-70 PERIOD OF PERFORMANCE (MAR 2000)
a. The period of performance of this contract is from 10/26/2007 through 10/25/2010. If an option is exercised, the period of performance shall be extended through the end of that option period.
b. The option periods that may be exercised are as follows:
| Period | Start Date | End Date |
|--------|------------|----------|
| Option I | 10/26/2010 | 10/25/2011 |
| Option II | 10/26/2011 | 10/25/2012 |
| Option III | | |
| Option IV | | |
(End of clause)
G.1 1352.201-71 CONTRACTING OFFICER'S TECHNICAL REPRESENTATIVE (COTR) (FEB 2005)
a. Maureen Lewis is hereby designated as the Contracting Officer's Technical Representative (COTR). The COTR may be changed at any time by the Government without prior notice to the Contractor by a unilateral modification to the Contract. The COTR is located at:
Department of Commerce (NTIA)
1401 Constitution Avenue, NW (Room 4725)
Washington, DC 20230
b. The responsibilities and limitations of the COTR are as follows:
(1) The COTR is responsible for the technical aspects of the project and serves as technical liaison with the Contractor. The COTR is also responsible for the final inspection and acceptance of all reports, and such other responsibilities as may be specified in the contract.
(2) The COTR is not authorized to make any commitments or otherwise obligate the Government or authorize any changes which affect the Contract price, terms or conditions. Any Contractor request for changes shall be referred to the Contracting Officer directly or through the COTR. No such changes shall be made without the expressed prior authorization of the Contracting Officer (CO). The CO may designate assistant or alternate COTR(s) to act for the COTR by naming such assistant/alternate(s) in writing and transmitting a copy of such designation to the Contractor.
(End of clause)
H.1 1352.208-70 PRINTING (MAR 2000)
(Reference)
H.2 1352.209-71 ORGANIZATIONAL CONFLICT OF INTEREST (MAR 2000)
(a) The Contractor warrants that, to the best of the Contractor's knowledge and belief, there are no relevant facts or circumstances which would give rise to an organizational conflict of interest, as defined in FAR Subpart 9.5, or that the Contractor has disclosed all such relevant information.
(b) The Contractor agrees that if an actual or potential organizational conflict of interest is discovered after award, the Contractor will make a full disclosure in writing to the Contracting Officer. This disclosure shall include a description of actions which the Contractor has taken or proposes to take, after consultation with the Contracting Officer, to avoid, mitigate, or neutralize the actual or potential conflict.
(c) Remedies - The Contracting Officer may terminate this contract for convenience, in whole or in part, if it deems such termination necessary to avoid an organizational conflict of interest. If the Contractor was aware of a potential organizational conflict of interest prior to award or discovered an actual or potential conflict after award and did not disclose or misrepresented relevant information to the Contracting Officer, the Government may terminate the contract for default, debar the Contractor for Government contracting, or pursue such other remedies as may be permitted by law or this contract.
(d) The Contractor further agrees to insert provisions which shall conform substantially to the language of this clause, including this paragraph (d), in any subcontract or consultant agreement hereunder.
(End of clause)
H.3 1352.209-72 RESTRICTIONS AGAINST DISCLOSURE (MAR 2000)
a. The Contractor agrees, in the performance of this contract, to keep the information furnished by the Government and designated by the Contracting Officer or Contracting Officer's Technical Representative in the strictest confidence. The Contractor also agrees not to publish or otherwise divulge such information in whole or in part, in any manner or form, nor to authorize or permit others to do so, taking such reasonable measures as are necessary to restrict access to such information while in the Contractor's possession, to those employees needing such information to perform the work provided herein, i.e., on a "need to know" basis. The Contractor agrees to immediately notify the Contracting Officer in writing in the event that the Contractor determines or has reason to suspect a breach of this requirement.
b. The Contractor agrees that it will not disclose any information described in Subsection A to any persons or individual unless prior written approval is obtained from the Contracting Officer. The Contractor agrees to insert the substance of this clause in any consultant agreement or subcontract hereunder.
(End of clause)
H.4 1352.209-73 COMPLIANCE WITH THE LAWS (MAR 2000)
The Contractor shall comply with all applicable laws and rules and regulations having the force of law which deal with or relate to performance hereunder or the employment by the Contractor of the employees.
(End of clause)
H.5 1352.231-70 DUPLICATION OF EFFORT (MAR 2000)
The Contractor hereby certifies that costs for work to be performed under this contract and any subcontract hereunder are not duplicative of any costs charged against any other Government contract, subcontract, or other Government source.
SECTION H
SPECIAL CONTRACT REQUIREMENTS
The Contractor agrees to advise the Contracting Officer, in writing, of any other Government contract or subcontract it has performed or is performing which involves work directly related to the purpose of this contract. The Contractor also certifies and agrees that any and all work performed under this contract shall be directly and exclusively for the use and benefit of the Government, and not incidental to any other work, pursuit, research, or purpose of the Contractor, whose responsibility it will be to account for it accordingly.
(End of clause)
H.6 1352.252-70 REGULATORY NOTICE (MAR 2000)
Contractors are advised that certain provisions and clauses identified with a Commerce Acquisition Regulation (CAR) notation for identification purposes, have not yet been incorporated into the CAR. However, all of these items are binding for this acquisition and will eventually be contained in the CAR at Part 13 of Title 48 of the Code of Federal Regulations.
(End of clause) |
"Temporal Authority and the High Court in United Methodism"
(Community, Power, Authority and
The Judicial Council of The United Methodist Church)
Working Group Paper
by
Stephanie Anna Hixon
covenant of exclusiveness - hospitality
law, process as interpreters of rights / community
as evasion of
Law and Covenant
"The Discipline is the book of law of The United Methodist Church."¹ That is the first sentence in the "Episcopal Greetings" from the College of Bishops in *The Book of Discipline of The United Methodist Church 1996*, immediately following the salutation "Grace to you and peace from God our Father and the Lord Jesus Christ." (1 Corinthians 1:3) The second paragraph then begins:
This book of covenant sets forth the theological grounding of The United Methodist Church in biblical faith and affirms that we go forward as "loyal heirs to all that [is] best in the Christian past."²
The official declaration of *The Discipline* as a book of law was put forth by The Judicial Council of The Methodist Church in 1953:
Therefore...the *Discipline* of The Methodist Church is a Book of Law governing every aspect of the life and work of the Church, including its regulations relating to its temporal economy and to the ownership, use and disposition of church property. It is the only official and authoritative law book of the Church.³
Prior to this Decision, the Episcopal Greetings expressed similar dynamics of covenant and law without explicitly naming the *Discipline* as book of church law:
...the *Discipline* became not a book of definite rules nor yet a formal code, but rather a record of successive stages of spiritual insight attained by Methodists under the Grace of Christ. We therefore expected that the *Discipline* would be administered not merely as a legal document, but as revelation of the Holy Spirit working in and through our people.⁴
How do the themes of covenant and law inform the nature of church, witness and mission in United Methodism? What is the nature, role and function of the Judicial Council of the United Methodist Church? How was it constituted? Is the Judicial Council essentially a "high court" in United Methodism similar to the U.S. Supreme Court? How has American jurisprudence played a role in the establishment and function of the Council? What is the relationship of the Judicial Council to other councils, conferences, individuals and their respective rights and powers within the United Methodist Church? Does the Judicial Council enact justice? Does it protect against unjust, "ill-considered or prejudicial actions" which may be considered or implemented by an administrative officer or legislative body?⁵
I will engage these questions as I provide a sketch of the origin and evolution of The Judicial Council in United Methodism. The evolution of the creation of this Judiciary in United Methodism will hopefully provide the context for then describing the framework for my current
research involving a review of Judicial Council Decisions, related to the racial segregation of the jurisdictional conference structure in The Methodist Church and the path toward desegregation finally realized in The United Methodist Church.
**The Judicial Council - Constituted in The 1939 Plan of Union**
The establishment of The Judicial Council in 1939 as a constitutive element of The Plan of Union of three Methodist denominations, The Methodist Protestant Church, The Methodist Episcopal Church, South and The Methodist Episcopal Church to create The Methodist Church was lauded by its designers as a proper separation of legislative (delegated conferences), executive (episcopal leaders), and judicial (Judicial Council) powers of The Methodist Church.\(^6\) The evolution of power and locus of authority within Methodism in America has been marked by interplay between the powers of the general superintendency and the delegated conference.
This dynamic can be traced from Wesley’s Deed of Declaration entitled “The Rev. John Wesley’s Declaration and Appointment of the Conference of the People called Methodists” in 1784 which effectively laid out a plan to transfer power and authority from Wesley\(^7\) to the conference.\(^7\) Most importantly, The Restrictive Rules established in 1808 defined and limited powers of the conference and protected the itinerant general superintendency.\(^8\) The establishment of the delegated conference in 1812 was essentially the beginning of the conference as a political entity.\(^9\) Another fundamental protection in the Restrictive Rules was the right to trial by clergy and members. There were many streams of experience surrounding the right to trial by appeal and tests for constitutionality which fed the eventual consensus among the participating churches in the Plan of Union with regard to The Judicial Council.
A primary test of constitutionality involving two fundamental components of polity\(^{10}\) occurred during the meeting of The General Conference of The Methodist Episcopal Church in 1844. The debates over Bishop James O. Andrew, slaveholder by bequest and deed of trust, shifted from moral arguments to constitutional questions.\(^{11}\) “The General Conference is restricted against doing anything which will destroy our itinerant general superintendency” argues James Finley.\(^{12}\) L.L. Hamline argued that the General Conference had authority to remove a bishop “for anything unfitting that office, or that renders its exercise unwholesome to the Church.”\(^{13}\) After The Separation in 1844, The Methodist Episcopal Church, South would be characterized by a view of the episcopal office as a separate authority though elected by the General Conference. The Methodist Episcopal Church emphasized the supreme authority of the General Conference.
In order to keep a check on legislative power in The Methodist Episcopal Church South, the bishops were granted veto power in 1854. This was modified in 1870 to include a written review of constitutionality by the bishops.\(^{14}\) Presidents of The Methodist Protestant Annual Conferences were expected to rule on questions of law as they arose in the administration of the conference; these rulings were reported to the next General Conference.
In their 1856 episcopal address, the bishops made encouraged the General Conference of The Methodist Episcopal Church to establish a Conference of Appeals:
Similar difficulties are felt in trying appeals by this body. Cases may come before you so complex and voluminous, that the mere reading of the papers pertaining to one of them could scarcely be accomplished in a whole day, to say nothing of the time spent in the pleadings. And to expect fixed attention of over two hundred delegates, hurried with other important business, two or three days to one case is unreasonable. Besides, under the present rule, it often means that a brother expelled or suspended cannot have his appeal heard, and his case finally determined, for three years or more.\(^{15}\)
If the members and ministers of our Church have the right of trial by committee, and of appeal to a new and competent tribunal, then constitutional rights are secured. These are grave matters and worthy of patient consideration by The General Conference. As cases of trial and appeal increase in proportion, and as our ministers, traveling and local, multiply every year’s experience renders some relief more and more desirable.\(^{16}\)
The suggestion for a Conference of Appeals eventually led to a Committee on Appeals in 1868 and a Judiciary Committee in 1876.\(^{17}\)
Similarly, in 1910, Martin E. Lawson, a Missouri Conference delegate and practicing attorney introduced the idea of a Court of Appeals in The Methodist Episcopal Church, South.
It’s sole jurisdiction was to hear and decide appeals of ministers. Its decisions were final. It was the first court of last resort in the Methodist Churches. It was an innovation, but it worked well.\(^{18}\)
The scope of this Court of Appeals was expanded to include the power to decide questions of administrative law upon appeals from boards or councils within The Methodist Episcopal Church, South. Now named The Judicial Council, and confirmed by the annual conferences, it was included in the new constitution of The Methodist Episcopal Church, South in 1934. The most significant decision of The Judicial Council of The Methodist Episcopal Church, South concerned the controversy over the legality of the union of the churches during the 1938 General Conference of The Methodist Episcopal Church, South. This seemed to be a precursor of decisions of The Judicial Council of The Methodist Church related to consensus on mergers. According to Martin E. Lawson, then President of the Council:
It was contended by some prominent members that it was necessary to provide the favorable vote in each and every annual conference before unification was possible and, as one conference had a negative majority of eight votes, the MEC, South had not legally agreed. That technical point was urged with much vigor. The bishops appealed to the Judicial Council. The question was fully argued, carefully considered. An opinion was filed sustaining the legality of unification…\(^{19}\)
The Plan of Union of The Methodist Church called for the establishment of The Judicial Council by the first General Conference of The Methodist Church in 1940. During The Uniting Conference of The Methodist Church in 1939, the Committee on Judicial Administration and Committee on Ministry offered the concept of an Interim Judicial Council. The committee also proposed the same form of The Judicial Council in The Discipline of The Methodist Episcopal Church, South. The floor debate centered around nominations from the floor or by the bishops. In addition to revealing again the interplay between the power of the delegated conference and the general superintendency, some speeches offered preferences for the character and qualifications of Judicial Council members:
Therefore, I want to say, sir that it seems to me very important that in nominations from the floor, if there are such, and in nominations, if I may say so, from another higher source, we shall have a large number of men not only of thorough legal training, but men who have been admitted to the Bar, and men who will keep clearly in mind the purely legal and technical side of the decisions of this Council.
On the other hand, sir, it is very important that we have men whose training may not be primarily legal, but whose training has been of such character in respect of ecclesiastical action, in respect to ecclesiastical history, especially of the history of Methodism in the United States, that we will always have immediately at the command of this Council from within the Council the type of understanding which comes from large and clear experience in our own activities.\(^{20}\)
With the amendments adopted which called for nominations of members from the bishops as well as from the floor of The General Conference, Francis Bayley who convened the Committee on Judicial Administration, urged support from the members of The Uniting Conference:
I may say that upon that subcommittee there was a group of fine lawyers who were giving unstintingly of their knowledge to this work, but the lawyers differed. It seemed clear to us that since the lawyers differed, if we attempted to improve what our Southern brethren had had and if anywhere in the Church any group should take us into court\(^{21}\) on the ground that we had exceeded our power under the harmonizing provision\(^{22}\), the court might differ with us. Therefore it seemed the counsel of wisdom to raise no such question.\(^{23}\)
The proposal was affirmed and an interim Judicial Council elected until the meeting of The General Conference in 1940.\(^{24}\) In 1940 there was some discussion of the appellate jurisdiction conferred by the 1939 Uniting Conference. There was a decision to authorize publishing decisions of The Judicial Council.\(^{25}\) Clarification of the specific duties and powers conferred by The General Conference would be determined during The 1944 General Conference. These included the steps for appeal to the Council, the power to utter declaratory decisions equally binding as an appeal when there are multiple interpretations, and the ability of the Judicial Council to refuse moot and hypothetical questions.
The Judicial Council of The Methodist Church was established. Although the inauguration of the
Council in the Methodist Episcopal Church, South had given jurisdiction to consider appeals by clergy, the primary jurisdiction of The Judicial Council of The Methodist Church would be related to questions of law - organic, administrative law. Appeals by clergy would be go to a jurisdictional council.\textsuperscript{26} Establishment of jurisdictions was another constitutional element of The 1939 Plan of Union. The newly created Judicial Council would encounter constitutional tests related to this new conference design in The Methodist Church.
**The Jurisdictional Conferences: Segregation**
In the earliest discussions of The Plan of Union of The Methodist Church, it seemed that segregation of African American Methodists in the new organization was to be the response to the question “What shall be done with the black membership?”\textsuperscript{27} In a proposal from some members of The Commission on Union:
The Colored Methodists would best be served through a union of all the colored churches and members with the active financial and personal interests of the unified church...
If the union of colored churches cannot be cured, try a plan for the union of the Colored Methodist Episcopal Church and the colored membership of The Methodist Episcopal Church. If that is not practical, make another General Conference District for the colored membership, giving them the additional power to elect their bishops (with authority limited to their own district) and, as a fair offset, their delegates would not have voting power in the General Conference.\textsuperscript{28}
The final decision for The Plan of The Union of The Methodist Church created six jurisdictional conferences in the United States: five geographical conferences and one racial conference known as the Central Jurisdiction.\textsuperscript{29} The new constitution of the Methodist Church instituted The Central Jurisdiction which covered forty-eight states overlapped with other geographical conferences. The Central Jurisdiction connection was not regional, located by geography. A defining “boundary” was race. The rejection, humiliation, and loss of dignity experienced by African Americans in response to their prescribed place, role, and status embodied in the new church organization was evident during The Uniting Conference:
... when the General Conference rose to sing “We Are Marching to Zion,” the African American delegates remained seated and some of them wept.\textsuperscript{30}
Attitudes and practices of segregation were deeply imbedded in the fabric of the United States. At the same time that Methodists concerned about racial segregation were called to political justice, The laws and courts of the U.S.A. were promoting segregation in a politically volatile climate. Despite earlier amendments (Thirteen, Fourteen and Fifteen, 1865, 1870, 1875) granting freedom for slaves, due process rights and voting rights for African American men, The U.S. Supreme Court decisions supported segregation. In fact, the \textit{Plessy v. Ferguson} Decision of 1896 opened the door to a “separate but equal” manner of life in the U.S.A. Civil and human rights became part of the Gospel witness among many Methodists including Women’s Missionary Societies.\textsuperscript{31} These powerful energies surrounded what became a legislative and political journey toward desegregation of the Central Jurisdiction in The Methodist Church.
A Legislative and Judicial Road to Desegregation
The jurisdictional conference being a component of the conference structure embodied in The Constitution of The Methodist Church. Steps toward its elimination would necessarily involve constitutional changes. The 1944 General Conference affirmed the statement “We believe that God is Father of all peoples and races, Jesus Christ is his Son, that we and all men are brothers, and that man is of infinite worth as a Child of God”\(^{32}\). It called for study of ultimate elimination of racial discrimination, but the report back to the 1948 General Conference was referred to various boards and agencies of The Methodist Church for study and action.\(^{33}\) The call for witness to the gospel of Christ included the legislative and political arenas among the community of Methodists and pleadings before the highest judicial body of The Methodist Church - The Judicial Council.
The Focus of My Current Research: A Review of Judicial Council Decisions and The Covenant of Inclusiveness
Desegregation in The Methodist Church - elimination of the Central Jurisdiction through transfer and merger - was not completed until 1973 within The United Methodist Church. The Plan of Union which united the Evangelical United Brethren Church and The Methodist Church would effectively eliminate the racial segregation of conferences in the United States in its constitution. A constitutional amendment legislated in 1956 and ratified in 1958 had set the pattern for transfers among charge conferences and annual conferences and mergers between jurisdictional conferences.\(^{34}\) Enabling legislation adopted by The General Conference in 1966 would enable the uniting churches to move into the positions mandated by The General Conference. This legislation was before The Judicial Council two times and finally its was declared:
No Annual Conference of The United Methodist Church may unilaterally block the elimination of an Annual Conference based on race, even during the twelve year transitional period, if such elimination be in accord with the program outlined in...the Enabling Legislation or pursuant to any other constitutional procedure undertaken to secure a racially inclusive church. October 27, 1967\(^{35}\)
Elimination of The Central Jurisdiction involved over a dozen decisions by The Judicial Council. I am reviewing these decisions and related records of arguments. In addition to tracing a legislative and judicial history of this “labyrinth” route\(^{36}\), I am conducting personal interviews and reviewing pertinent correspondence and writings of those who walked this path.
The broader framework of my research involves a review of Judicial Council Decisions in relation to the covenant of inclusiveness within the constitution of The United Methodist Church:
*Inclusiveness of the Church* — The United Methodist Church is part of the church universal, which is one Body in Christ. Therefore all persons, without regard to race, color, national origin, status, or economic condition, shall be eligible to attend its worship services, to participate in its programs, and, when they take
appropriate vow, to be admitted into its membership in any local church in the connection. In The United Methodist Church no conference or other organizational unit of the Church shall be structured so as to exclude any member or any constituent body of the Church because of race, color, national origin, status, or economic condition.\textsuperscript{37}
I will continue to engage the aforementioned questions regarding law and covenant and consider “How does the nature of the organic organization of the United Methodist connection and its covenants bear witness to the love of Christ among its community and creation?”
1. \textit{The Book of Discipline of The United Methodist Church 1996} (Nashville: The United Methodist Publishing House, 1996) p. v.
2. Ibid.
3. Judicial Council Decision No. 96, \textit{Decisions of the Judicial Council of The Methodist Church, 1940-1968} (Nashville: The United Methodist Publishing House). This decision was rendered in response to the specific question “Is the \textit{Discipline} of The Methodist Church a Book of Law?” The question was raised by the Rev. Oscar M. Polhemus in relation to a lawsuit in the secular to recover abandoned church property. One of the references in the ruling of the Judge was a sentence from the Episcopal Greetings of the \textit{Discipline 1950} which stated that “the \textit{Discipline} became not a book of definite rules nor yet a formal code, but rather a record of successive stages of spiritual insight attained by Methodists under the Grace of Christ”. (as quoted in Decision No. 96)
4. \textit{Discipline of The Methodist Church, 1952} as quoted in Judicial Council Decision No. 96 in \textit{Decisions, 1940-1968}.
5. See the discussion on Interpretation of the Constitution in “United Methodism”, in Bucke, ed., \textit{History of American Methodism}, 510.
6. Martin E. Lawson, member of The Judicial Council of the Methodist Episcopal Church, South (1934-1938) and The Methodist Episcopal Church (1939-1952), “The Genesis and Development of the Judicial Council of The Methodist Church,” (Madison, NJ: Judicial Council Records of The General Commission on Archives and History of The United Methodist Church), n.d.
The parallel to the separation of powers within the United States government was acknowledged and acclaimed by many at the time as an excellent system of laws and regulations. See also \textit{A Record the Proceedings of the Uniting Conference of The Methodist Church, 1939}, pp 494-497 and Nolan B. Harmon, \textit{The Organization of The Methodist Church: Historic}
Development and Present Working Structure, 2nd revised edition (Nashville: The Methodist Publishing House, 1948, 1962).
7. Harmon, Organization, p. 194. The Deed of Declaration also forms the foundation for United Methodism’s rules and practices regarding property. See Richard P. Heitzenrater, Wesley and the People Called Methodists (Nashville: Abingdon Press, 1995) p. 283.
8. Harmon, Organization, p. 195.
9. Russell E. Richey, The Methodist Conference in America (Nashville: Kingswood Books, An Imprint of Abingdon Press, 1996) p. 67.
10. John J. Tigert, A Constitutional History of American Episcopal Methodism, 6th edition, revised and enlarged (Nashville: Publishing House of the M.E. Church, South, 1916), p. 15.
11. Russell E. Richey in The Methodist Conference in America offers a lively review of the debate and constitutional framing of this issue pp 104-108.
12. Debates, 150 as quoted in Richey, p. 105
13. Debates, 129 as quoted in Richey, p. 105
14. “Rebuilding the Southern Church” in History of American Methodism, pp. 294-295 and “Structural and Administrative Changes” in History of American Methodism, p. 39
15. Because The General Conference was the appellate body, unresolved or unheard cases were necessarily delayed until the next conference.
16. The General Conference Journal of The Methodist Episcopal Church, May 1, pp. 194-195.
17. Harmon, p. 200.
18. Lawson, “The Genesis”.
19. Ibid.
20. Lynn Harold Hough in Proceedings of The Uniting Conference, 1939, pp. 478--479.
10. Dr. Bayley is referring to a secular court.
22. The General Conference had the power to harmonize the Disciplines of the three churches.
23. Proceedings of The Uniting Conference, 1939, pp. 471-472 In light of the secular Methodist Property case which ensued after The Plan of Separation in 1844, this comment appears even more judicious. The case, in which the plaintiff, The Methodist Episcopal Church, South, sought
to divide the property of the Methodist Book Concern of The Methodist Episcopal Church was finally settled by The U.S. Supreme Court. Contrary to the claims of The Methodist Episcopal Church that the ministers and members who withdrew to organize constituted an unauthorized separation. The Court stated that the decision was made with proper authority and was legitimate:
But we do not agree that this Division was made without the proper authority. On the contrary, we entertain no doubt but that the General Conference of 1844 was competent to make it; and that each division of the Church, under separate organization, is just as legitimate, and can claim as high a sanction, ecclesiastical and temporal, as the Methodist Episcopal Church first founded in the United States. The same authority which founded that Church in 1784 has divided it, and established two separate and independent organizations occupying the place of the old one.
It is interesting to note that the U.S. Supreme Court further claimed that “the General Conference represents the sovereign power” in all other matters concerning the welfare of the church not so limited by the Six Restrictive Rules embodied in The Constitution of the Church in 1808. For the churches of American Methodism - voluntary associations in the context of the U.S.A.- the voices of U.S. courts would begin to intermingle with Methodism’s language and conversation related to power, rights and temporal authority.
16. Ibid., p. 497.
25. *The Daily Christian Advocate*, May 1, 1940
26. Lawson, “The Genesis”.
27. James S. Thomas, *Methodism’s Racial Dilemma: The Story of The Central Jurisdiction* (Nashville: Abingdon Press, 1992) p. 40. See also *A Working Conference on the Union of American Methodism, February 15-17, 1916* (New York: Methodist Book Concern, 1916) and Grant S. Schockley, ed. *Heritage and Hope: The African-American Presence in United Methodism* (Nashville: Abingdon Press, 1991).
28. John M. Moore. *The Long Road to Methodist Union* (Nashville: Abingdon Press, 1943) p. 91 as quoted in Thomas, *Dilemma*, p.40.
29. *Discipline of The Methodist Church* (New York: The Methodist Publishing House, 1940), Paragraph 26 “Boundaries”, p.28.
30. James P. Brawley, “Methodist Church from 1939,” *Central Christian Advocate*, October 15, 1967, p. 3 as quoted in Thomas, *Dilemma*.
31. Alice G. Knotts, *Fellowship of Love: Methodist Women Changing Racial Attitudes, 1920-1968* (Nashville: Kingswood, An Imprint of Abingdon) provides a valuable exploration of Methodist women in volunteer organization and witness for social justice.
32. As reported in James Brawley’s review of General Conference actions in *Journal of the Eighth Session of the Central Conference*, p. 124 and quoted in Thomas, *Dilemma*, p. 141.
33. Thomas, *Dilemma*, pp. 74-75.
34. *Discipline of The Methodist Church*, 1956, Paragraph 26, Article 1.
35. Judicial Council Decision 246 in *Decisions 1940-1968*.
36. Interview with Bishop James S. Thomas, June 5, 1997.
37. *Discipline*, 1996, Paragraph 4, Article IV. |
DIRECTORY OF BEHAVIORAL HEALTH SERVICES IN HOWARD COUNTY
January 2020
Updated 01/21/2020
Visit hchealth.org or call 410.313.6202 for more information
# Table of Contents
**CRISIS SERVICES** .......................................................................................................................... 5
- Mobile Crisis Team: .................................................................................................................. 5
- Crisis Beds ................................................................................................................................... 6
- Psychiatric Evaluation ................................................................................................................. 6
**OUTPATIENT MENTAL HEALTH CLINICS (OMHC)** ................................................................. 8
**GROUP PRACTICES** ..................................................................................................................... 9
**PSYCHIATRISTS** ............................................................................................................................ 16
**PSYCHOLOGISTS** .......................................................................................................................... 19
**SOCIAL WORKERS/LICENSED PROFESSIONAL COUNSELORS** .............................................. 27
**ANGER MANAGEMENT** ............................................................................................................... 47
**EATING DISORDERS** ..................................................................................................................... 49
**FAITH BASED COUNSELING** ....................................................................................................... 50
**GENDER IDENTITY/LGBTQ+** ...................................................................................................... 51
**MEDIATION** ................................................................................................................................ 53
**PSYCHIATRIC REHABILITATION PROGRAMS (PRPS)** ............................................................ 54
**RESIDENTIAL REHABILITATION PROGRAMS (RRPS)** .............................................................. 56
**SUPPORTED LIVING PROGRAM** .................................................................................................. 58
**SUPPORTED EMPLOYMENT PROGRAMS** ..................................................................................... 58
**HOSPITALS** .................................................................................................................................. 59
**HOUSING** .................................................................................................................................... 60
**CARE GIVER RESOURCES** .......................................................................................................... 61
**RESOURCES FOR OLDER ADULTS** ............................................................................................. 62
- Office on Aging and Independence .......................................................................................... 62
- Maryland Access Point ............................................................................................................. 62
- Adult Evaluation & Review Services (AERS) ........................................................................... 63
- SHIP – Senior Health Insurance Assistance Program ............................................................ 63
**SUBSTANCE USE DISORDER SERVICES** ..................................................................................... 64
**SUBSTANCE USE DISORDER TREATMENT ON-LINE RESOURCES** ........................................... 69
**CHILD & ADOLESCENT SERVICES** ............................................................................................. 70
**TRANSITION AGE YOUTH (TAY)** ............................................................................................... 75
- Healthy Transition-(HT) Services ............................................................................................. 75
- Maryland Early Intervention Program (EIP) ............................................................................. 75
**CASE MANAGEMENT/CARE COORDINATION** ........................................................................... 75
**ADVOCACY/SUPPORT GROUPS** .................................................................................................. 76
**BEREAVEMENT SUPPORT RESOURCES** ..................................................................................... 78
**24-HOUR HOTLINES** ................................................................................................................... 80
**MENTAL HEALTH SERVICES IN THE DETENTION CENTER** ....................................................... 81
**PROGRAMS SERVING THE DEVELOPMENTALLY DISABLED** .................................................... 81
**PROGRAMS SERVING THE HEARING IMPAIRED** ........................................................................ 82
**MARYLAND’S COMMITMENT TO VETERANS** .............................................................................. 83
- Veterans Affairs – Baltimore Community Referral and Resource Center ............................... 83
- Veterans Crisis Hotline ............................................................................................................. 83
- US Department of Veteran Affairs Homeless Call Center: ..................................................... 83
**GENERAL COMMUNITY RESOURCES** .......................................................................................... 84
**HOARDING** .................................................................................................................................. 90
**LEGAL SERVICES** ....................................................................................................................... 91
PROGRAMS SERVING THE HISPANIC COMMUNITY ................................................................. 91
PROGRAMS SERVING THE KOREAN COMMUNITY ............................................................. 92
TRANSPORTATION .................................................................................................................. 92
RTA Mobility ....................................................................................................................... 92
Howard County Medical Assistance Transportation Program ........................................... 92
Howard County Health Department (MA Healthchoice Transportation Program) ............ 92
Neighbor Ride ...................................................................................................................... 92
MISSION STATEMENT OF THE HOWARD COUNTY HEALTH DEPARTMENT
To Promote, Preserve and Protect the Health of All in Howard County.
Complaints
The Howard County Health Department/Bureau of Behavioral Health/Local Behavioral Health Authority is interested in hearing any concerns you may have regarding services you receive from the public behavioral health system. Please call 410-313-6202 to initiate a complaint. If you are receiving services from someone who is reimbursed by your private health insurance coverage, you should contact your Human Resource Department at your place of employment to request information regarding how to file a complaint or request a review/appeal when you are denied services directly from your insurance provider. You can also contact the Maryland Insurance Administration at 1-800-492-6116, if you cannot resolve your issue directly with your employer or insurance provider.
Network of Care
Network of Care websites: HOWARD.MD.networkofcare.org. www.mdveterans.networkofcare.org
Network of Care for Behavioral Health is an online information site for individuals, families and agencies concerned with behavioral and emotional wellness. This online community provides critical information, communication and advocacy tools with a single point of entry for the following:
- Service Directory – provides information about local community-based organizations
- Library – offers unbiased, evidence-based information on more than 4000 health topics
- Legislate – offers bill tracking section to follow state and federal legislation, email alerts when anything changes and allows you to directly email legislators
- Links – offers connection to government programs and non-profit organizations that specialize in behavioral health issues
- Insurance – learn about health coverage available in your community
- Support and Advocacy – identifies organizations that provide support and advocacy for individuals and family members living with mental illness
INFORMATION REGARDING BEHAVIORAL HEALTH SERVICES LISTED IN THIS DIRECTORY DOES NOT REFLECT ANY RECOMMENDATION OR ENDORSEMENT FOR THE PROVIDERS/PROFESSIONALS LISTED. THE HOWARD COUNTY HEALTH DEPARTMENT ASSUMES NO LIABILITY FOR ANY ACT OR OMISSION OF ANY PROVIDER LISTED IN THIS DIRECTORY.
PLEASE REPORT ANY ERRORS TO (410) 313-6202 or firstname.lastname@example.org
CRISIS SERVICES
Mobile Crisis Team:
410-531-6677
The Howard County Mobile Crisis Team (MCT) is available free of charge to any individual present in Howard County at the time of a mental health crisis. MCT is a partnership with the Howard County Health Department, Howard County Police Department, Humanim, and Grassroots. During hours of operation, MCT staff are able to respond to psychiatric crisis identified by the Police. Two mental health professionals go to where the individual is located and explore suitable support to de-escalate the crisis and help the person in trouble. If there is an issue of safety, the team is able to gain police assistance to have the person transported to the emergency room at Howard County General Hospital for a thorough psychiatric evaluation. The Mobile Crisis Team is available by calling 410-531-6677 or by calling the police at 911 and requesting the Mobile Crisis Team. MCT will refer the individual and family members to available community resources and follow-up to assure linkage.
MCT Hours of Operation
9 a.m. to 11 p.m. seven days a week
Grassroots Crisis Intervention Center
24 Hour Hotline: 410-531-6677
6700 Freetown Road
Columbia, MD 21044
410-531-6677 or 410-531-6006
Provides telephone counseling, free walk-in counseling, emergency shelter for homeless, 24-hour suicide hotline, Mobile Crisis Team 7 days/week, and a Runaway Teen Program that provides crisis intervention for runaway youth and their families. Immediate access is available to Language Line for telephone translation into most languages.
Crisis Textline
Text HOME to 741741
www.crisistextline.org
24/7 free service
There is Hope App
Grassroots Suicide Prevention App
Download the free app in both Apple and Google Play stores.
www.grassroots.hocomojo.org/services/the-re-is-hope-app
Help 4 MD Youth
www.help4mdyouth.org/chat
Monday - Friday, 4:00-9:00 PM
National Suicide Prevention Lifeline
www.suicidepreventionlifeline.org/gethelp/lifelinechat
1-800-273-8255. Free 24/7 confidential crisis support.
Hopeworks (Formerly the Domestic Violence Center)
9770 Patuxent Woods Drive, Suite 300
Columbia, MD 21046
410-997-0304 / Fax 410-997-1397
410-997-2272 – 24 hour Helpline
www.wearehopeworks.org
email@example.com
Safe shelter and transitional housing for victims of domestic violence, their children, counseling for survivors of domestic violence and sexual assault, (women, men and children), legal assistance, Abuser Intervention Program, pet-safe program, prevention, education and awareness programs.
Language – Spanish, French
Safe Journey House
6910 Annapolis Road
Hyattsville, MD 20784
301-925-9120 / Fax 301-851-5199
www.safejourneyhouse1.com
firstname.lastname@example.org
Provides short-term therapeutic residential treatment to address immediate crisis and prevent future crises from occurring. Inpatient admission prevention and inpatient admission alternative programs available.
Sheppard Pratt Health System
6501 N. Charles Street
Towson, MD 21204
410-938-5302
Crisis Walk-in Clinic will evaluate individuals of all ages in need of crisis assessment and triage. This service is designed for individuals who require direct admissions to inpatient and day hospital levels of care and who might otherwise be referred to an Emergency Department or who require current psychiatric evaluation.
Crisis Beds
Crisis beds provide 24/7 intensive mental health treatment and support services that are designed to provide clinical support to an individual in a psychiatric crisis. Crisis beds can be used as an alternative to in-patient hospitalization, when appropriate, or as a step-down from an in-patient psychiatric unit when the individual needs continued clinical support post-discharge. An individual is eligible for a Crisis Bed if he or she:
a) is over 18 years of age,
b) diagnosed with a serious mental illness,
c) due to acute symptomatology related to the individual’s psychiatric condition, has impaired ability to function within the individual’s community living situation and is in need of a crisis bed to avoid inpatient psychiatric admission or to shorten the length of inpatient stay,
d) for clinical reasons, if it is felt that the individual needs a temporary separation from the current living situation,
e) has agreed to be referred to a crisis bed,
f) expects, with staff support, to be able to comply with treatment recommendations, and
g) is able, with staff support, to care for physical needs and basic personal hygiene.
To access Crisis Beds, please call (410) 418-4048, fax # (410) 418-4019.
Psychiatric Evaluation
Family members or other concerned adults such as a therapist or the police may initiate an Emergency Evaluation process that will allow the police to transport an individual to the local hospital emergency room for a psychiatric evaluation. This emergency evaluation process is usually referred to as an “emergency petition” (EP). Also, any of the following mental health professionals can complete an Emergency Evaluation form that will allow the police to transport an individual to the local emergency room for a psychiatric evaluation: physician (MD), psychologist (Ph.D.), licensed clinical social worker (LCSW-C) or licensed clinical professional counselor (LCPC). If a family member or concerned adult is initiating the emergency evaluation process they would go to the Clerk’s Office at the District Courthouse (410-480-7700) located at 3451 Court House Drive in Ellicott City Maryland to file an emergency evaluation/petition between the hours of 8:30 a.m. to 4:30 p.m. Monday through Friday. After 4:30 p.m. you would go to the Court Commissioner’s Office to file an emergency evaluation petition. Information must be provided to a Judge or Commissioner regarding why this individual is a danger to themselves or others and therefore needs to be evaluated for a psychiatric hospitalization. If the Judge/Commissioner agrees that the individual being “petitioned” needs a
psychiatric evaluation, the police will be ordered to transport the individual to the nearest hospital emergency room for a psychiatric evaluation. **The Mobile Crisis Team (MCT) is available daily and can pursue an emergency evaluation if needed. Call 410-531-6677.**
A psychiatric evaluation determines whether hospitalization is needed or whether a less restrictive level of care may be more appropriate. Admissions to psychiatric facilities (private or community hospitals) can be either voluntary or involuntary. If an evaluation is completed and inpatient treatment is recommended, the patient will be asked to sign a voluntary admission agreement. In the case of a minor, a parent/legal guardian signs the voluntary admissions agreement. In Maryland, a person 16 years old or older may sign himself into a psychiatric hospital. However, the parent of a minor child can authorize in-patient treatment even over the objections of the adolescent who is 16-18 years old.
If the patient refuses to be hospitalized voluntarily, he or she may be admitted involuntarily on certificates signed by two physicians, or one physician and one licensed psychologist. The certificates attest to the need for hospitalization based on the following:
- the individual is suffering from a mental disorder
- the individual is in need of inpatient care
- the individual is in danger to self or others
Howard County General Hospital has an Emergency Room for psychiatric emergencies that is separate from the regular Emergency Room. This behavioral health Emergency Room is for individuals 18 and older. Individuals under 18 would use the Pediatric Emergency Room.
When a patient is admitted involuntarily to a hospital, a hearing must occur before an administrative law judge within 10 days to determine if the individual can continue to be involuntarily confined to an in-patient psychiatric facility against his wishes.
OUTPATIENT MENTAL HEALTH CLINICS (OMHC)
Community Behavioral Health
10774 Hickory Ridge Road
Columbia, MD 21044
844-224-5264 / Fax 888-509-0010
www.communitybehavioralhealth.net
Comprehensive services to children, adolescents, and adults, individual and family therapy; substance abuse, mental health; and medication management.
Insurance: Medical Assistance
MPB Group, Inc.
6440-D Dobbin Road
Columbia, MD 21045
410-730-2385
www.mpbhealth.com
email@example.com
Individual, family and group therapy, PRP (mentoring for youth), psychological and psychiatric evaluations, medication management to children, adolescents, and adults. Offers outpatient services as well as integrated (substance abuse) treatment services. Home Based Therapy available. Clinical issues: sexual abuse/physical abuse/neglect, attachment/bonding issues, trauma (PTSD), grief/loss & bereavement, substance abuse, anxiety/panic disorders, regulatory difficulties (ADHD, OCD), mood disorders (depression, anxiety), behavioral issues (oppositional defiant), play/therapy and parenting. We do not offer services related sex offense specific treatment.
Insurance: Medicaid, self-pay
Language: Spanish
MSA-The Child and Adolescent Center
10005 Old Columbia Road, Suite L260
Columbia, MD 21046
866-853-4397 (toll free) or 443-259-0400
MSA is a comprehensive community-based outpatient treatment center servicing patient age 3 thru 21. The center is licensed by the State of Maryland as is accredited by the Joint Commission. Services include Psychiatric Intensive Outpatient Program for adolescents and the only children’s Intensive Outpatient Program in Maryland. In addition, MSA provides traditional outpatient mental health care including psychiatric evaluations and medication management by board certified child/adolescent psychiatrists along with individual, family and group therapy by licensed therapist.
Insurance: Medicaid, Medicare and most major health insurance plans.
Sheppard Pratt @ Howard County
Way Station, Inc. (WSI)
9030 Route 108, Suite A
Columbia, MD 21045
410-740-1901 / Fax 410-740-2503
www.waystationinc.org
Outpatient mental health services include: Psychiatric evaluations, medication evaluation and management, individual, group and family therapy, psychological testing.
Language: Some providers are bi-lingual
Insurance: Medicaid, Medicare, Tri-Care, Blue Cross/Blue Shield.
**GROUP PRACTICES**
**Alternative Counseling & Wellness Center**
5136 Dorsey Hall Rd, 2nd floor
Ellicott City, MD 21042
410-828-0101 / Fax 410-828-6262
www.alternativecounseling.net
firstname.lastname@example.org
Private practice serving children, adolescents, adults, seniors, couples and families with a holistic viewpoint utilizing the latest methodologies.
Insurance: Medicare, Medical Assistance, Aetna, Cigna, Blue Cross Blue Shield, Tricare, Megellan, Johns Hopkins
**American Psychiatric Care**
8895 Center Park Drive, Suite E
Columbia, MD 21045
www.americanpsychcare.com
Evaluation of mental illness, addiction medicine, medication management, Vivitrol injection for opioid/alcohol dependence, psychiatric clearance for bariatric surgery, telemedicine appointments.
Insurance: Aetna, BC/BS, Carefirst BlueChoice, Cigna, Cigna Healthspring Megellan, Medicare, Priority Partners, Tri-Care, Value Options
**Anxiety Treatment Center of Maryland**
8865 Stanford Boulevard, Suite 202-A
Columbia, MD 21045
410-800-7591 / Fax 410-730-4750
www.anxietymaryland.com
email@example.com
A specialty behavioral health clinic offering cognitive and behavioral treatments for anxiety and related disorders. Provides treatment to children, adolescents, and adults experiencing problems with: selective mutism, social anxiety, separation anxiety, generalized anxiety, specific phobias, panic, agoraphobia, obsessive compulsive disorder, chronic tics or Tourette syndrome, hair-pulling or skin-picking conditions, depression, disruptive behavior, elimination disorders (toilet training difficulties), sleep problems, and co-occurring medical problems such as GI/urological problems, headaches, chronic pain, kidney disease, and diabetes.
Insurance: out of network
**Anne Arundel Counseling**
8840 Stanford Boulevard, Suite 1700
Columbia, MD 21044
410-768-5988 / Fax 410-768-5989
www.annearundelcounseling.com
firstname.lastname@example.org
Social skill development, behavior modification, anger management, loss/grief, addictions, eating disorders, trauma/abuse, family counseling, group counseling, assessments/evaluations.
Insurance: Most major insurance plans
Language: Spanish
**Arundel Psychological Associates**
8940 Route 108, Suite E
Columbia, MD 21045
410-299-5766 / Fax 410-987-4710
www.apacares.com
Psychotherapy, psychological assessments, neuropsychological assessments, substance abuse counseling and psychiatric services.
**Baltimore Psychiatry**
10709 Birmingham Way
Woodstick, MD 21163
www.BaltimorePsychiatry.com
Specializing in mood, anxiety, and substance use disorders in those 18 years of age and older. Offering holistic outpatient psychiatric evaluations, medication management, and collaborative psychotherapy services. Office based opioid treatment with Suboxone (buprenorphine) available.
Insurance: Self-Pay
Blake Psychotherapy & Associates
10632 Little Patuxent Parkway, Suite 340
Columbia, MD 21044
443-393-6996 / Fax 410-988-2024
www.blaketherapy.com
email@example.com
Outpatient therapy & nutrition center specializing in Eating Disorders, Addictions, Asperger's, Mood disorders and Trauma. We utilize therapies such as Cognitive Behavioral Therapy (CBT), Dialectical Behavior Therapy (DBT), Psychodynamic Therapy, Person Centered Therapy, Mindfulness and Short-Term Solution Based Counseling. Our nutritionists can work with all of the mental health issues, as well as working with individuals with medical issues. Serves children, adolescents and adults ages 10 and above.
Insurance: Carefirst, Aetna, Optum, Medicare
Columbia Addictions Center
5570 Sterrett Place, Suite 205
Columbia, MD 21044
410-730-1333
www.ColumbiaAddictions.com
firstname.lastname@example.org
Substance abuse and mental health counseling to adolescents and adults. Psychiatrist proficient in American Sign Language. Suboxone treatment.
The Body Image Therapy Center
9192 Red Branch Road, Suite 270
Columbia, MD 21045
877-674-2843
www.thebodyimagecenter.com
email@example.com
Comprehensive and compassionate care for those with eating disorders, and co-occurring disorders like substance abuse, self-harm behaviors or other destructive habits. Intensive Outpatient Programs (IOP) and Partial Hospitalization Programs (PHP) Specializes in the treatment of binge eating disorder, bulimia and related concerns. Adults 18 and over.
Insurance – all commercial insurances. In-network with most of the large companies.
Columbia Counseling Center
5525 Twin Knolls Road, Suite 327
Columbia, MD 21045
410-992-9149
www.counselingmaryland.com
Outpatient psychological and psychiatric services for children, adolescents, adults, couples and families; diagnostic and treatment for ADD/ADHD; medication evaluation and management.
Collaborative Counseling Center
5560 Sterrett Place, Suite 201
Columbia, MD 21044
443-546-1100
www.collaborativecounselingcenter.com
firstname.lastname@example.org
Dr. Brett Greenberger,
Child and Adolescent Psychiatrist
Emily Greenberger, LCSW-C,
Clinical Director, Therapist
Congruent Counseling Services
10630 Little Patuxent Pkwy, Suite 209
Columbia, MD 21044
410-740-8066 / Fax 410-740-8068
Congruent Counseling offers individual, family, marital, and group counseling. Psychiatric evaluations and medication management available. Therapists specialize in working with children, teens, and adults. A broad range of issues are addressed including depression, anxiety, attention deficit, acting out behaviors, substance use and addictions, marital difficulties, and more. DBT: Dialectic Behavioral Treatment for ages 8-21.
Insurance: Most insurance plans accepted. Language: Spanish
Cornerstone Psychological Services
10808 Hickory Ridge Rd
Columbia, MD 21044
240-593-7561 / Fax 410-997-0396
www.cornerstonepsychology.com
Individual psychotherapy, marital and couples counseling, group psychotherapy, psychological assessment, parent training.
Crossroads Psychological Associates
10784 Hickory Ridge Rd.
Columbia, MD 21044
410-964-0425
Individual adolescent, child and adult therapy, adolescent group therapy, adult group therapy, middle school group therapy, social skills group, family/couples therapy, medication management, psychological testing.
Language: German, Hebrew and Yiddish
Elkridge Family Psychiatry
7257 Parkway Drive, Suite 250
Hanover, MD 21076
443-492-9885 / 443-820-3754 Fax
www.elkridgespsychiatry.com
email@example.com
Outpatient treatment to the whole family, including children, teenagers, adults, and elders. Patients of all ages with concerns regarding mental illness, emotional disturbance, and abnormal behavior are welcome. Psychotherapy, Dialectic Behavioral Treatment (DBT) for ages 13+, and medication management services available.
Insurance: out-of-network
Family and Children's Services of Central Maryland
10451 Twin Rivers Road, Suite 100
Columbia, MD 21044
410-997-3557 / Fax 410-964-1791
www.fcsmd.org / firstname.lastname@example.org
Family and Children's Services at the Family Life Center is dedicated to providing high quality mental health, child abuse and elder abuse treatment services to the Howard County community.
The Family Center & Associates
4785 Dorsey Hall Drive, Suite 109
Ellicott City, MD 21042
410-531-5087
www.thefamilycenter.tv.
email@example.com
Provides counseling for adolescents, child/pediatric, couples, family, and individuals. Also includes pain management/biofeedback training, psychological/psycho-educational assessments, sports counseling and medication management. Child bereavement groups.
Language: Farsi, French, Arabic
Focused Solutions, LLC
5550 Sterrett Place, Suite 200
Columbia, MD 21044
410-884-6031 / Fax 410-884-6134
www.focusedsolution.net
Outpatient counseling services to children, adolescents, and adults.
Insurance – Carefirst, BC/BS, Cigna, United Healthcare, APS, Magellan, InforMed/Conifer, Tricare, Value Options, Medicare, Johns Hopkins Healthcare, Aetna, MHN, Medical Assistance, Multiplan/PHCS.
Gladstone Psychiatry and Wellness
Lakeview Office Terrace
9841 Broken Land Parkway, Suite 211
Columbia, MD 21046
443-708-5856
www.gladstonepsych.com
Specializes in Addictions, Adult Psychiatry, Adolescent Psychiatry, Anxiety, ADD/ADHD, Bipolar Disorder, Depression, OCD, Panic Disorder
Insurance: Blue Cross/Blue Shield, CareFirst, Aetna, and Cigna
Language: Sign Language
Greenbrook TMS NeuroHealth Center
8850 Stanford Boulevard, Suite 3300
Columbia, MD 21045
855-940-4867 / Fax 855-721-4867
www.greenbrooktms.com
firstname.lastname@example.org
Provides Transcranial Magnetic Stimulation Therapy (TMS Therapy) to patients with Major Depressive Disorder who have not experienced satisfactory improvement from antidepressant medication. TMS Therapy can be used in conjunction with medication or as a standalone treatment and works by stimulating specific areas of the brain involved in mood regulation. It is FDA-cleared, proven, non-sedating and there are no drug related side effects.
Payment Source: Medicare, United Healthcare, BCBS, Cigna, Aetna, Kaiser and many others
Innovative Therapeutic Services
14440 Cherry Lane, Suite 208
Laurel, MD 20707
301-604-1458 / Fax 301-604-1459
www.innovativetherapy.org
email@example.com
Provides treatment for traumatic experiences, anxiety disorders, attention deficit hyperactivity disorder, mood disorders, conduct disorders, co-occurring disorders, personality disorders, and a host of other diagnoses. Furthermore, ITS offers community and home visits as well as on-site services for psychiatric evaluations and medication management. Individual, family and group therapy to children and adults. Psychiatry services to children and adults, PRP services to children and adults.
Insurance: MA, private insurance, EAP
Languages: English, Spanish, Chinese.
The Howard Group, LLC
10760 Hickory Ridge Road, Suite 211
Columbia, MD 21044
410-740-7397 / Fax 410-740-7398
thehowardgroupllc.com
Offers individual, family and group counseling to adolescents and adults from diverse backgrounds. Counseling approaches have been effective, particularly to the unique challenges faced by African-American males.
Integrative Counseling, LLC
10630 Little Patuxent Pkwy, Suite 209
Columbia, MD 21044
410-740-8067 / Fax 410-740-8068
Treatment Groups for Substance Use, Abuse, and Dependence; Single Weekend DUI/DWI education program (State of MD Certified); DWI/DUI Education (State of MD Certified); Spanish Language DUI/DWI and Citation Services; Intensive Outpatient Program for Addiction and Dual Diagnosis for Teens and Adults; Parent Support; Relapse Prevention; Anger Management; Marriage/Couples Group; Educational and Psychological Testing; Psychiatrists and a Nurse Practitioner licensed to prescribe medication on Staff; Individual Licensed Therapists
Innovative Psychiatry
9256 Bendix Road, Suite 200-B
Columbia, MD 21045
443-542-0773
www.columbiapsychmd.com
Provides comprehensive mental health care to children, adolescents, and adults. Individual needs are met through assessment, medication evaluation, and psychotherapy. The goal of patient-centered approach is to ensure the treatment plan is designed to meet the patient’s need.
Joshi & Merchant M.D. P.A.
5500 Knoll North Drive, Suite #290
Columbia, MD 21045
301-317-6575
www.docjoshi.com
Provides diagnostic evaluations, on-going medication management, individual, family and couples therapy.
Insurance: Most insurance accepted, Medicare and Medicaid
Kennedy Krieger Institute
9810 Patuxent Woods Drive, Suite C
Columbia, MD 21046
443-923-7508
www.kennedykrieger.org
Provides assessment and treatment of children ages 2-18 with behavior problems, including sleep difficulties, tantrums, toileting issues and noncompliance in very young children, aggression, parent-child interaction issues, poor social skills and conduct-related problems in school-age youth. Specializes in serving both typically-developing children, and those with developmental delays and disabilities, such as autism spectrum disorders and intellectual disability.
LifePath Counseling Services
5122 Aver Court
Columbia, MD 21044
410-227-9074
www.Barbarapolonsky.com
Individual, child, adolescent, & family counseling. Therapy for personal growth and life changes; relationships/marital issues; parent-child relationships and discipline; anxiety/ depression; cognitive-behavior modification and behavioral management; divorce/separation. Children’s Life Skills Groups; ADHD; Asperger’s; Grief/Loss; Organizational/Study skills; Divorce/Separation; Anxiety.
Life Potential Services
10805 Hickory Ridge Road, Suite 103
Columbia, MD 21044
410-387-2763 / Fax 410-387-2764
www.liferenewalservices.net
Early Intervention, Outpatient, Intensive Outpatient, individual and group counseling for adults and minors
Insurance: Self-Pay, Medicaid
Life Renewal Services
10805 Hickory Ridge Road, Suite 103
Columbia, MD 21044
410-387-2763 / Fax 410-387-2764
www.liferenewalservices.net
Outpatient mental health center for children, adolescents, and adults. Individual, family, couples, and group therapy. On-site medication management. Psychiatric Rehabilitation Program (children to adults).
Insurance: Self-Pay, Medicaid, and PPO with out of network benefits.
The Maryland Centers for Psychiatry
3454 Ellicott Center Drive, Suite 106
Ellicott City, MD 21043
410-461-3760 / Fax 410-461-0526
Specialized and general mental health services for children, adolescents, and adults. Multidisciplinary teams evaluate a wide range of behavioral, learning and emotional problems and then design a program of care. The Centers also offer Neuropsychological Testing.
North Laurel – Savage Multi-Service Center
Patuxent Square
9900 Washington Blvd.
Laurel, MD 20723
410-880-5917
National Family Resiliency Center
10632 Little Patuxent Parkway, Suite 121
Columbia, MD 21044
410-740-9553
nfrchelp.org
NFRC provides educational and therapeutic services for children and parents; individual, family and group therapy, KidsConnex, & TeenConnex, parent education seminars, co-parent consultation, child-focused access planning, online FamilyConnex parenting program, volunteer peer counseling, community education, publications and professional CEU training and certification.
Psychiatry Specialties Clinics, LLC
3570 St. Johns Lane, Suite 207
Ellicott City, MD 21042
410-988-8092
www.psychmaryland.com
firstname.lastname@example.org
Provides treatment for all mental health and substance use concerns for youth ages 14+, adults, and older adults. Psychotherapy and medication management services available. Insurance: Medicare, all major insurances.
The Pro Bono Counseling Project
110 West Road, Suite 202
Baltimore, MD 21204
410-825-1001 / 877-323-5800
Fax 410-825-1388
probonocounseling.org
The Pro Bono Counseling Project is a non-profit organization that provides free mental health care to individuals, families and couples who cannot receive care from any other source. Approximately 800 licensed therapists whose offices are located throughout Maryland participate in the Pro Bono Counseling project.
Psychosocial Counseling Associates, Inc.
9650 Santiago Road
Columbia, MD 21045
443-980-7622 or 202-374-8322
email@example.com
Provides bi-lingual counseling services to individuals, couples and families who prefer to receive services in Spanish.
Psych Associates of Maryland
9520 Berger Rd, Suite 203
Columbia, MD 21046
410-290-6940 / Fax 410-290-9763
www.pamlc.us
Provides comprehensive behavioral health services for children, adolescents, adults, and the geriatric population. Services include psychotherapy, medication management, telehealth, TMS therapy, neuropsychological testing, evaluations, psychological testing, and applied behavior analysis (ABA).
Stanton Psychotherapy
8850 Columbia 100 Parkway, Suite 203
Columbia, MD 21045
443-546-4476
stantonpsychotherapy.com
An eclectic group of therapists committed to helping clients heal and improve their lives. Individual, couples and family therapy. Therapists have a variety of specialties including, children/adolescent issues, ADHD, substance abuse, domestic violence, trauma, marital issues. Insurance – Many insurances accepted.
Tides of Change Wellness, LLC
7330 Grace Drive, Suite B
Columbia, MD 21044
443-494-9550
firstname.lastname@example.org
www.tidesofchangewellness.com
Comprehensive Dialectic Behavioral Therapy Program featuring 24/7 on-call phone support, animal assisted therapy, skills groups, individual therapy and flexible schedule times. Age 6 and above.
Together Couples Counseling
Risa Ganel & Associates, LLC
8894 Stanford Blvd, Suite 103
Columbia, MD 21045
410-440-1413
www.togethercouplescounseling.com
Empowering couples, individuals, and families to thrive, even with difficult challenges and circumstances. Couples counseling, pre-marital, discernment, individual and family counseling, infertility, pregnancy and postpartum, adolescent counseling.
THRIVE Center for ADHD & Comprehensive Mental Health Care
6310 Stevens Forest Road, Suite #100
Columbia, MD 21046
410-740-3240 / Fax 443-276-6640
www.myTHRIVE.net
Therapists, Psychiatrists and Executive Function Coaches provide services for Children, Adolescents, Couples, Parents and Adults. Specialty programs in ADHD, Young Adults Struggling to Launch, Work Life mental health, Social Skills groups and Executive Function coaching.
Margaret (Peggy) Adams, MD
8388 Court Avenue
Ellicott City, MD 21043
410-313-8119
Psychotherapy and psychiatry services for parents-to-be, infants, toddlers, children, adolescents and adults. Medication can be provided as needed. Areas of treatment include: anxiety, mood disorders including depression, school problems, ADHD, OCD, PTSD, adoption, attachment dysfunction, developmental delays, autistic spectrum, family issues and life transition.
Richard Bacharach, MD
5450 Knoll North Drive, Suite 100
Columbia, MD 21045
410-715-1180
Insurance: Aetna, BC/BS, Carefirst, Cigna, Healthnet, Humana, One Net, United Health Care
David M. Band, MD
Crossroads Psychological Associates, LLC
10784 Hickory Ridge Road
Columbia, MD 21044
410-992-7288 x22
email@example.com
Comprehensive psychiatric services to children, adolescents and adults, including assessment, evaluation and treatment – psychopharmacology and psychotherapy. Expertise includes ADHD, mood and anxiety disorders, angry-depressed teenagers with behavioral and school problems, bipolar disorder, major depression, behavioral aspects of individuals with autistic spectrum disorders, PANDAS, and psychiatric aspects of Lyme Disease.
Enoch Barrios, MD
Behavioral Health Associates
10632 Little Patuxent Parkway, Suite 343
Columbia, MD 21044
410-997-7373
Insurance: BC/BS, Carefirst
Language: Spanish
Helen Bellete, MD
Crossroads Psychological Associates, LLC
10774 Hickory Ridge Road
Columbia, MD 21044
410-992-7288
Comprehensive psychiatric evaluations, medication management and psychotherapy using cognitive behavioral therapy. Areas of specialty include OCD, trichotillomania; working with survivors of traumatic experiences including those who have developed post-traumatic stress disorder; treatment resistant mood disorders (e.g. Major Depression, Bipolar disorder); and treatment resistant anxiety disorders (e.g. OCD, panic disorder, generalized anxiety disorder).
Stephanie Durruthy, MD
5074 Dorsey Hall Drive, Suite 105
Ellicott City, MD 21042
410-992-0272
Language: Spanish
Insurance: Most insurance accepted.
Dr. N. Joseph Gagliardi, M.D.
Integrative Counseling
10630 Little Patuxent Pkwy, Suite 209
Columbia, MD 21044
410-740-8067 / Fax 410-740-8068
www.Integrative-Counseling.com
Dr. Gagliardi is an Addiction Medicine Specialist with experience offering ambulatory (outpatient) Detoxification for alcohol and opiates.
Brett Greenberger, MD
Child and Adolescent Psychiatrist
Collaborative Counseling Center
5560 Sterrett Place, Suite 201
Columbia, MD 21044
443-546-1100
www.collaborativecounselingcenter.com
Sushma N. Jani, MD
10774 Hickory Ridge Road
Columbia, MD 21044
844-224-5264 ext. 17 / Fax 888-509-0010
www.communitybehavioralhealth.net
Child and Adolescent psychiatry
Insurance: MA and private insurance
Kevin Harrison, MD
Maryland Centers for Psychiatry
3454 Ellicott Center Drive, Suite 106
Ellicott City, MD 21043
410-461-3760 / Fax 410-461-0526
www.marylandpsychcenters.com
firstname.lastname@example.org
Child and adolescent psychiatry evaluations, consultation, and medication management.
Mertine Jermany, MD
10320 Little Patuxent Pkwy, Suite 200
Columbia, MD 21044
443-272-1541
Opioid dependent patients.
Insurance: Medical Assistance, BC/BS
Kim Jones-Fearing, MD
3905 National Drive, Suite 250
Burtonsville, MD 20866
301-421-9112 / Fax 301-421-9551
Medication management with psychotherapy.
Insurance: Tricare, APS, MDIPA-Optimum Choice, Choice Care, Value Options, MA, Medicare
Douglas W. Heinrichs, MD
5034 Dorsey Hall Drive, Suite 103
Ellicott City, MD 21042
410-964-6486 / Fax 410-964-6486
Psychiatric evaluation and treatment adults, adolescents and school age children. Treatment approaches include both pharmacological and psychotherapy interventions, with a special expertise in medication management for individuals with a history of poor response or tolerability to medications or with complex overlapping biological and psychological issues. Areas of special interest include depression, bipolar disorders, anxiety and panic conditions, OCD, ADHD, and psychotic disorders.
Ahmad N. Khan, MD
10715 Charter Drive, Suite 270
Columbia, MD 21044
443-542-0870 / Fax 443-542-0870
George C. James, MD
3905 National Drive, Suite 250
Burtonsville, MD 20866
301-421-4233 / Fax 301-421-9551
Psychiatric evaluation and pharmacological management of depression, anxiety, ADHD, bipolar.
Insurance: BC/BS, MDIPA, Aetna, United Health Care
Chul S. Kwon, MD
2908 Chainita Court
Ellicott City, MD 21042
410-235-2880 / Fax 410-313-9641
Psychiatry, neuropsychiatry, geriatric psychiatry
Language: Korean
Insurance: Private insurance, Medicare, MA
Karen Meckler, MD
Stevens Forest Professional Center
9650 Santiago Road, Suite 3
Columbia, MD 21045
410-964-2206
Specializes in eating disorders.
Insurance: Medicare, Johns Hopkins Health Insurance. Sliding fee scale.
Terrye Mowatt, MD
5550 Sterrett Place, Suite 314
Columbia, MD 21044
410-381-0060 / Fax 410-381-0900
Outpatient treatment of depression and anxiety for adults via medication management or cognitive behavioral therapy. Can see clients within a week. Language: Some Hindi
Alok Rawat, MD
3355 St. John’s Lane
Ellicott City, MD 21042
410-305-9083 / Fax 410-727-4006
www.daybreakpsych.com
email@example.com
Stanislav Spivak, MD
Integrative Counseling
10630 Little Patuxent Pkwy, Suite 209
Columbia, MD 21044
410-740-8067/ Fax 410-740-8068
www.Integrative-Counseling.com
Mental health evaluation and medication management. Dr. Spivak also sees patients in need of suboxone.
Joshua Rosenthal, MD
Integrative Counseling
10630 Little Patuxent Pkwy, Suite 209
Columbia, MD 21044
410-740-8067/ Fax 410-740-8068
www.Integrative-Counseling.com
Depression, seasonal affective disorder (SAD), anxiety, bipolar disorder, ADHD, OCD, substance abuse, autism, Asperger’s. Extensive experience in clinical trials of new medications for mood and anxiety disorders. Certified to prescribe Suboxone.
Laura C. Renbaum, M.D.
Crossroads Psychological Associates, LLC
10784 Hickory Ridge Road
Columbia, MD 21044
410-964-0425/Fax 410-964-0515
firstname.lastname@example.org
Outpatient psychiatric evaluation, medication management, and counseling for adolescents and adults. (Suboxone certified)
Jeanne Serafin, MD
3355 St. John’s Lane, Suite J
Ellicott City, MD 21042
410-461-9003 / Fax 410-480-0110
email@example.com
Adult psychiatrist that works with adults to treat anxiety, depression, and self-esteem issues. Also specializes in parenting, relationship issues, spirituality, stress management, life coaching, grief. Provides medication management.
Insurance: CareFirst, Out of Network
Irfan Saeed, MD
American Psychiatric Group
10632 Little Patuxent Pkwy, Suite 104
Columbia, MD 21044
410-599-9977
Maryland Psychological Association
10025 Governor Warfield Pkwy, Suite 102
Columbia, MD 21044
410-992-4258
www.marylandpsychology.org
This is the professional organization for licensed psychologists. This organization can provide information regarding individuals who are on their referral service.
Lenora Roat Arrington, Psy.D.
1 Park Avenue, Suite D
Mt. Airy, MD 21771
301-693-9275
www.re-directionscounseling.com
firstname.lastname@example.org
Provides outpatient counseling and psychotherapy for adults and adolescents. Treatment for depression, anxiety, trauma, identity, spiritual issues, relationships. Insurance: Medicare, sliding scale may be available.
Michael Baum, Ph.D.
6438 Tauler Court
Columbia, MD 21045
410-381-7832
Developmental disabilities, especially mental retardation; family, individual, psychological testing; organizational consultant, management training.
Elspeth Bell, Ph.D.
5850 Waterloo Road, Suite 140
Columbia, MD 21045
410-480-8052
www.elspethbellphd.com
email@example.com
Hoarding disorder, clutter-related issues, OCD, Anxiety, specific phobias, depression, perfectionism, procrastination, Body Focused Repetitive Behaviors (BFRBs).
Samuel Berkowitz, Ph.D.
5018 Dorsey Hall Drive, Suite 205
Ellicott City, MD 21042
410-730-5138
Outpatient psychotherapy services. Adults only, couples, marital, families. Treatment for anxiety, depression, self-esteem, communication, relationships, inner peace. Approaches: mindfulness, cognitive behavioral, communication skills, self discovery. Insurance: all accepted. Sliding scale available.
Joyce Hamilton Berry, Ph.D.
6357 Windharp Way
Columbia, MD 21045
301-596-2438
Conditions-anxiety, mood disorders, counseling-family, group and individual therapy. Insurance: Most insurance accepted.
Jeanne Bolton, Ph.D.
7270 Cradlerock Way
Columbia, MD 21045
410-290-6618
Cognitive behavioral, anxiety disorders/depression, and women’s issues. Families, individuals, children. Insurance: Will accept most insurance, providing does not need to be paneled provider with a managed care organization.
Talibah E. Buchanan, Ph.D.
8720 Georgia Avenue
Silver Spring, MD 20910
301-495-6393
Drtalibahbuchanan.webs.com
Outpatient therapy and psychological testing. Services for children, adolescents, and adults. Language – American Sign Language
Susan Rockwell Campbell, Ph.D.
7296 Kindler Road
Columbia, MD 21046
410-290-5901
www.drsusancampbell.com
Psychotherapy and counseling for adults and adolescents. Individual, couples and family therapy. Specializing in couples and relationship issues, sexual issues and disorders, women’s issues.
Insurance: sliding scale upon request.
Deborah S. Cole, Psy.D.
8840 Stanford Boulevard, Suite 4000
Columbia, MD 21045
410-381-7551 / Fax 410 715-0055
www.drdeborahcole.com
firstname.lastname@example.org
Provides services for ages 4-65+. Focus on Depression, Anxiety, Panic, Sexual Addiction, Obsessive Compulsive Disorder (OCD), Trichotillomania (hair pulling), Hoarding, Skin-Picking, Tics and Tourettes, Trauma and Dissociation. Treats children, adolescents, adults, and couples. Eye Movement Desensitization and Reprocessing (EMDR) for evidence-based trauma treatment (Certified in EMDR). Intensive Short-Term Dynamic Psychotherapy (Certified in ISTDP) for working through long-term personality issues which can lead to self-sabotage, depression, chronic pain, isolation, and anxiety. Home visits possible for Hoarding and OCD, when appropriate. Certified in Hypnosis.
Insurance: Out of Network, self-pay
Barbara Medine Deluty, Ph.D.
4783 Ilkley Moor Lane
Ellicott City, MD 21043
410-750-7610 / Cell 443-520-2818
Provide individual and family psychotherapy to a wide variety of clients with psychiatric disorders including complex cases of addiction and trauma.
John Donahue, PsyD
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066
www.congruentcounseling.com
Specializes in anxiety, mood disorders, trauma-related disorders, and emotion regulation difficulties.
Insurance: Most insurance plans accepted.
Anita Dworkin, Ph.D.
Edward Dworkin, PhD, MPH
10326 Sixpence Circle
Columbia, MD 21044
410-997-3961
www.marylandpsychologicalservices.com
Outpatient services to adults.
Insurance: Most insurance accepted.
Elinor Eden, Ph.D.
10715 Charter Drive, Suite 270
Columbia, MD 21044
301-596-5535
Individual, couples and family therapy for presenting problems including anxiety, depression, ADHD, relationship and adjustment issues.
Insurance: Medicare, Tricare, BCBS PPO, Cigna, Kaiser Permanente, Humana, MultiPlan, APS Healthcare, Value Options.
Evelyn Fielding, Ph.D.
Fielding Psychological Associates
9051 Baltimore National Pike, Suite 4B
Ellicott City, MD 21042
410-868-4142
email@example.com
Psychotherapy for adults and adolescents. Areas of treatment: life transitions, anxiety, depression, psychosocial oncology, bariatric surgery evaluations, perinatal mental health.
Insurance: BCBS, Cigna
Eric Fielding, Ph.D.
Fielding Psychological Associates
9051 Baltimore National Pike, Suite 4B
Ellicott City, MD 21042
410-868-4143
firstname.lastname@example.org
Outpatient psychoanalysis and psychotherapy for children, adolescents, and adults. Trained in trauma treatment. General practice.
Insurance – BCBS, Cigna, Medicare
David A. Gold, Ph.D.
Crossroads Psychological Associates, LLC
10784 Hickory Ridge Road
Columbia, MD 21044
410-964-0425 x16 / Fax 410-964-0515
www.crossroadspspych.net
email@example.com
Provides therapy for adolescents, adults, and families. Specializes in working with adolescents and complex family systems. Also provides therapeutic residential placements in therapeutic wilderness programs, therapeutic boarding schools and residential treatment centers.
Languages – German, Hebrew, Yiddish
Steve Gaeng, Ph.D.
Crossroads Psychological Associates, LLC
10784 Hickory Ridge Road
Columbia, MD 21044
410-964-0425 x12/Fax 410-964-0515
www.crossroadspspych.net
firstname.lastname@example.org
Individual, group and family therapy with school-aged children and their families. Individual, group and marital therapy with adults.
Judy Johnson Grados Psy.D. & Associates
10709 Birmingham Way
Woodstock, MD 21163
443-803-0288
Child psychotherapy; social skills groups for children; treatment of anxiety, ADHD and behavior management ages 2-college. Psychological testing for learning disabilities.
Ana Garcia-Fernandez, Psy.D.
Crossroads Psychological Associates, LLC
10784 Hickory Ridge Road
Columbia, MD 21044
410-964-0425
email@example.com
Counseling to children, adolescents, adults & families. Experience in psychological testing and assessments: adoption and forensic evaluations, neuropsychological, academic and vocational testing.
Language: Spanish
Sung Han, Ph.D.
St. John’s Professional Center
8394 Governor’s Run
Ellicott City, MD 21043-3448
410-750-1119
Provides counseling to individuals and families.
Language: Korean
Keith Hannan, Ph.D.
5116 Dorsey Hall Drive
Ellicott City, MD 21042
410-707-0100
www.tzkseminars.com
firstname.lastname@example.org
Adults and adolescents with depression, anxiety, personality disorders, relationship issues and disruptive behavior disorders. Trained in Transference Focused Psychotherapy and DBT.
Glassman Psychological Services
Stephanie K. Glassman, Psy.D.
9881 Broken Land Parkway, Suite 105
Columbia, MD 21046
410-695-4703
www.glassmanpsyd.com
Outpatient psychotherapy to adolescents, adults, families. Special training in stress, trauma, eating disorders.
Insurance: Medicare, Medicaid, APS, ComPsych, TriCare Standard PPO.
Don Hudson, Ph.D.
8640 Guilford Road, Suite 251
Columbia, MD 21046
410-381-2244
Counseling: couples and individual therapy, marital. Mood disorders and career direction.
Tina Jenkins, Psy.D.
Advanced Psychological Services
9881 Brokenland Parkway, Suite 105
Columbia, MD 21046
410-381-2874
www.advancedpsychologicalservices.com
email@example.com
Children, teens and adults. Groups: Trauma Victims, DBT for Teens with Eating Disorders, OCD Skills Training, Assertiveness Training. Specializes in trauma disorders, eating disorders, anxiety disorders, mood disorders, personality disorders, substance abuse and addictions, some thought disorders.
Insurance: Medicare, Medicaid, BCBS, Aetna
Stephanie Weiland Knarr Ph.D., LCMFT
9660 Iron Leaf Trail
Laurel, MD 20723
301-490-1011 / Fax 301-490-1484
www.drstephanieonline.com
firstname.lastname@example.org
Marriage and family therapy practice for adults, children and teens. Specializing in treatment of PTSD, depression, anxiety and eating disorders.
Insurance: BCBS, Tricare, Aetna, CareFirst
Melvin E. Klein, Ph.D.
11804 Bright Passage
Columbia, MD 21044
410-730-4564
email@example.com
Behavioral consultation in developmental disabilities. In-home services to children, adolescents and developmentally disabled adults.
Saul N. Lieberman, Ph.D.
8640 Guilford Road, Suite 220
Columbia, MD 21046
410-730-2633
firstname.lastname@example.org
Individual and family therapy along with parent and school consultation for preschool and school-aged children and adolescents. Specialties include assessment and treatment of ADHD, social-emotional problems and developmental disabilities.
Insurance: BCBS, Johns Hopkins, United Health Care.
Cynthia Kalodner, Ph.D.
10015 Old Columbia Road, Suite B215
Columbia, MD 21046
443-542-5855
email@example.com
Specializes in anxiety and mood issues, using cognitive behavioral approaches with mindfulness and positive psychology.
Individuals and couples, ages 16 and up.
Barbara Kaufman
8156 Main Street
Ellicott City, MD 21043
301-309-9362
www.drbkaufman.com
firstname.lastname@example.org
Specializes in couples therapy.
Insurance: Medicare, Value Options, Cigna.
Eileen Locklear, Ph.D.
1645 Liberty Road, Suite 104
Eldersburg, MD 21784
410-795-4764
email@example.com
Outpatient psychotherapy with adolescents and adults. Expertise in trauma, anxiety, aging issues, family conflicts and stress management.
Insurance: most insurances accepted.
Laura Margolis, Ph.D.
3454 Ellicott Center Drive, Suite 106
Ellicott City, MD 21043
410-461-3760
www.marylandpsychcenters.com
Outpatient individual, group and family therapy services to children, adolescents, and adults. Expertise in developmental disorders, mood and anxiety disorders, and adjustment to chronic illness.
Samantha Marks, Psy.D.
Stellar Marks, LLC
10440 Shaker Drive, #105
Columbia, MD 21046
443-878-3544
www.samanthamarks.com
firstname.lastname@example.org
Specializes in ADHD, Autism Spectrum Disorder. Works with teenagers and young adults with all issues, including “Failure to Launch”. Performance psychology with athletes, musicians, and other performers. Language: Spanish
Dayli N. Marrero, Ph.D.
10632 Little Patuxent Parkway, Suite 343
Columbia, MD 21044
410-997-7373 or 410-997-7878
Psychotherapy for children, adolescents and adults.
Insurance: Aetna, United Behavioral Health, Kaiser, Tri-Care, Carefirst
Language: Spanish
Gwen L. Martinsen, Ph.D.
9424 Bullring Lane
Columbia, MD 21045
410-963-9670
Outpatient counseling for parents with infants and toddlers. Individual counseling for children, adolescents, and young adults. Areas of expertise: infants and toddlers with temperament and behavior issues, e.g. irritability, sleep, eating, toileting, sibling and socialization skills. Highly sensitive children and adolescents with anxiety, oppositional or acting out behaviors. Young adults who are making college, career and relationship transitions.
Insurance: All Carefirst plans except HMO’s, Value Options, Tricare.
Julie A. Morrison, Psy.D.
10440 Shaker Drive, Suite 209
Columbia, MD 21046
410-952-9574 A
Drjuliemorrison.com
Psychological evaluation of children, teens, and adults to identify giftedness, learning disabilities, ADHD, and emotional disorders. Useful for obtaining special education services or accommodations.
Kim Moss, Psy.D.
3355 St. John’s Lane, Suite F
Ellicott City, MD 21042
410-655-1834
Psychotherapeutic services to adolescents and adults.
Insurance: BCBS, UHC, Kaiser, Medicare, Value Options. Sliding scale.
Robin J. Mullican, Psy.D.
6851 Oak Hall Lane, Suite 118
Columbia, MD 21045
443-847-0100
email@example.com
Outpatient psychological services for adults aged 18-65+ with behavioral health problems, including cognitive behavioral therapy for mood and anxiety disorders. Expertise includes mind-body approaches, help adjusting to and managing medical issues and chronic illness (such as Diabetes, HIV, pain issues, weight issues, sleep issues, and help improving healthy behaviors. Specialties in multicultural and LGBTQ issues.
Insurance: Carefirst BCBS PPO
Vicki Murphy, Ph.D.
5074 Dorsey Hall Drive, Suite 105
Ellicott City, MD 21042
410-418-8837
Individual psychotherapy for adults.
Insurance: most insurance accepted.
Peter H. Musser, Ph.D.
3355 St. John’s Lane
Ellicott City, MD 21042
firstname.lastname@example.org
Outpatient counseling services. Adult and young adult psychotherapy services. Expert areas of treatment include; addictions (substance abuse, sex, gambling, shopping, etc.) trauma, men’s issues, life transition.
Reginald Nettles, Ph.D., CGP
6217 Ironwood Way
Columbia, MD 21045
410-290-7999 / Cell 443-838-5548
Fax 443-583-2353
email@example.com
Individual, group and couple therapy for adults (age 18 and over) provided. Anxiety, depression, trauma related, interpersonal issues, gender and gender orientation related issues treated.
Marianne O’Leary, Ph.D.
3355 St. John’s Lane, Suite F
Ellicott City, MD 21042
410-465-5520
Marianneolearyphd.com
Outpatient psychotherapy services to adults, young adults and older adults. Areas of expertise include anxiety, mood disorders, and recovery from trauma. Insurance: Medicare.
Edward V. Pecukonis, MSW, Ph.D.
3244 Danmark Drive
Glenwood, MD 21738
410-493-1530
www.lechevalstable.org
firstname.lastname@example.org
Individuals, families, children in foster care, child welfare system with history of trauma.
Family therapy, Cognitive Behavioral Therapy, Applied Behavioral Analysis, Motivational Interviewing, Equine Assisted Psychotherapy ad counseling services. Substance abuse/abuse assessment, depression and anxiety disorders. Language – interpreters available on request including sign language.
Amy Rabinove, Ph.D.
8640 Guilford Road, Suite 224
Columbia, MD 21046
443-472-1198
Rabinovepsych.org
Outpatient services to older adolescents (16+) and adults. Areas of expertise include OCD, generalized anxiety disorder, panic disorder, phobias, social anxiety, trichotillomania (compulsive hair pulling), compulsive skin picking, hoarding, eating disorders and depression.
Harvey M. Rapp, Ph.D.
5401 Twin Knolls Road, Suite 7
Columbia, MD 21045
410-730-4442
email@example.com
Outpatient psychotherapy and psychological testing for children, adolescents, adults and seniors. Expert areas of treatment include ADD, learning disability, job stress, anxiety, depression. Insurance: most insurances accepted.
Sheela Reddy, ED.D
7021 Garden Walk
Columbia, MD 21044
443-546-4810
www.spiritherapy.com
firstname.lastname@example.org
Outpatient counseling services to children, adolescents and adults. Expert areas of treatment include anxiety, ADHD, depression, domestic violence, multicultural family counseling and divorce transitions.
Giovanni Scott, Psy.D
Integrative Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8067
www.congruentcounseling.com
Educational and psychological testing for children, adolescents and adults.
Paul Short, Ph.D
9881 Broken Land Parkway #105
Columbia, MD 21046
443-917-3102
Specializing in Parkinson’s Disease (patient and care partners), dementia evaluations, treatment of depression, anxiety and substance abuse among the elderly. Insurance: Medicare, BlueCross BlueShield. Payment plans and sliding scale available
Brenda Alpert Sigall, Ph.D., CEDS
5060 Castle Moor Drive
Columbia, MD 21044
410-730-6151
email@example.com
Outpatient psychotherapy services to individuals, couples, families, adolescents and adults. Eating disorders; anorexia nervosa, bulimia, binge eating disorder, mood disorders, anxiety, grief and loss, marriage and divorce, relationship issues, self-esteem, career development.
Bohne Silber, MS, Ph.D.
10025 Governor Warfield Pkwy., Suite 409
Columbia, MD 21044
410-929-7500
firstname.lastname@example.org
Couples therapist certified in Imago Relationship Therapy and trained in Emotion-Focused Therapy (EFT) and Gottman Couples Therapy Levels 1 and 2. Expert areas of treatment: communication, conflict management in intimate relationships, relationship building, infidelity, sexual connection. Insurance: BCBS/Carefirst, Johns Hopkins EHP
Thomas K. Swisher, J.D., Ph.D.
Swisher Mediation
3545 Ellicott Mills Drive
Ellicott City, MD 21043
410-750-2655
www.swishermediation.com
email@example.com
Family and individual counseling. Support groups (grief, divorce, caregivers). Unique services in coping with divorce and divorce mediation. Family focused therapy.
Michael Tebeleff, Ph.D.
8640 Guilford Road, Suite 252
Columbia, MD 21046
410-312-7250
www.marylandcounselingpsychologist.com
Outpatient counseling services for children, adolescents, adults and couples. Parent coordination services. Insurance: United Healthcare, Johns Hopkins/EHP, Value Options.
Kimberly Van-Putten-Gardner, Ph.D., LCPC, CFLE
10632 Little Patuxent Parkway, Suite 343
Columbia, MD 21044
888-737-3330
Individual, group & family counseling for eating, anxiety, and depressive disorders, multicultural, grief, career, social adjustment, body image, couples counseling; family life education for parenting, separated/divorced families, sandwich/boomerang generation issues, biracial couples, and trans-cultural adoptive/foster care families.
Gail K. Walter, Ph.D.
The Family Center
4785 Dorsey Hall Drive, Suite 109
Ellicott City, MD 21042
410-531-5087
Provides therapy for children, adolescents and families. Specializes in the treatment of anxiety and mood disorders, grief and loss issues and parenting challenges.
Scott T. Wolfe, Ph.D.
Associated Center for Therapy, LLC
7120 Minstrel Way, Suite 203
Columbia, MD 21045
410-381-4411 / Fax 410-381-4711
www.weekendcouplesworkshop.com
swolfephd.com
firstname.lastname@example.org
Certified Gottman Method Couples therapist, Bringing Baby Home Certified Gottman Educator. Counseling couples, adults, adolescents and children.
Insurance: Most insurances accepted.
Harold Ziesat, Ph.D.
Anxiety Treatment Program of Columbia
8640 Guilford Road, Suite 223
Columbia, MD 21046
410-997-1183
email@example.com
Specializing in the cognitive-behavioral treatment of adults with anxiety conditions, including panic disorder, phobias, and generalized anxiety disorder. Individualized treatment and/or group therapy.
Anne Marie Zwycewicz, Ph.D.
6510 Belleview Drive
Columbia, MD 21046
410-997-0026
Outpatient counseling services to young adults, adults, couples. Therapeutic approach is an integration of cognitive, behavioral, and experiential orientations.
Alisa Adamo, MSc, MSW
14440 Cherry Lane Court, Suite 203
Laurel, MD 20707
301-776-8080
General practice, all ages seen, all functioning levels with special emphasis on children.
Insurance: most insurances, Medicaid and Medicare.
Maria Adamos, LCPC
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066
www.congruentcounseling.com
Provides outpatient and intensive outpatient services. Provides therapeutic treatment for mental health conditions including Bipolar Disorder, Schizophrenia, Major Depressive Disorder, and Body Focused Repetitive Behaviors (i.e. trichotillomania, skin picking, etc.).
Insurance: Aetna, Blue Cross Blue Shield, Cigna, Johns Hopkins, Magellan
Sarah Agboli, MS, LCMFT
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066
www.congruentcounseling.com
Family, couple and individual therapy; depression, anxiety, low self-esteem, ADHD, family relational issues, behavioral problems, anger management, abuse, and grief.
Insurance: Most insurance plans accepted.
Dionne Aldridge, LCSW-C
Inspiring Minds Mental Health Services
1777 Reisterstown Road, Suite 390
Pikesville, MD 21208
443-416-5833
www.inspiringmindsllc.com
firstname.lastname@example.org
Mental health services for adolescents, adults, families, and couples. Depression, anxiety, difficulty co-parenting, partner relationship concerns, recovering from a divorce or break up, stress.
Insurance: Medicaid and sliding fee scale
Amanda Allison-Pacheco, LCPC
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066
www.congruentcounseling.com
Works with a variety of populations and topics such as anxiety, depression, eating disorders, substance use, and more. Experience with Cognitive Behavioral Therapy (CBT), Dialectical Behavioral Therapy (DBT), and trauma-informed care.
Insurance: Most insurance plans accepted.
Berni J. Antelman, MSW, LCSW-C
10630 Little Patuxent Parkway, Suite 307
Columbia, MD 21044-3204
410-740-0409
email@example.com
Children 2½ and up. Adolescents and adults. Individual, couples and family. Mental health – anxiety and depression, relationships. substance abuse difficulties, gay/lesbian, transgender issues, Autism Spectrum disorder, ADD/ADHD related problems, school problems, occupational/vocational problems.
Insurance: UBH, Aetna, Cigna, BCBS
Anne Arena, MA, CAS
The Family Center
4785 Dorsey Hall Drive, Suite 109
Ellicott City, MD 21042
410-531-5087
Psychological testing for attentional, learning, and behavioral issues. Academic and executive functioning coaching for adults, adolescents and children. Individual and family therapy.
Libby Barritt, LCPC
Crossroads Psychological Associates, LLC
10784 Hickory Ridge Road
Columbia, MD 21044
410-964-0425 x24/Fax 410-964-0515
firstname.lastname@example.org
Provides counseling to young adults with anxiety, depression, and substance abuse. Trained in Eye Movement Desensitization Reprocessing (EMDR) therapy.
Anshu Basnyat, LCPC
The Empowered Parent
3355 St. John’s Lane, Suite F
Ellicott City, MD 21042
443-574-3430
www.theempoweredparent.net
Outpatient counseling services to children, adolescents, and adults. Marriage and couples counseling. Areas of expertise include: anxiety, depression, refugee mental health, cross-cultural issues, parenting, ADHD, and relationship issues. Insurances: Medicaid, BCBS, Cigna, JHH-EHP, Aetna
Languages: Nepali, some Hindu
Katie Bingner, MS, LCPC
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066 / Fax 410-740-8068
www.congruentcounseling.com
Works with adults (18+) and couples. Combines classical talk-therapy with Cognitive Behavioral Therapy (CBT) and Dialectical Behavior Therapy (DBT)
Jane Marie Bisco, LCSW-C
5140 Celestial Way
Columbia, MD 21044
410-428-6801 / Fax 410-740-4105
www.columbiatherapy.webs.com
Adults, adolescents, children over age 6. Specializing in ADHD, anxiety disorders, relationship issues, trauma.
Tarrah Bonaparte, LCSW-C
Focused Solutions, LLC
5550 Sterrett Place, Suite 200
Columbia, MD 21044
410-884-6031 / Fax 410-884-6134
email@example.com
Provides therapeutic services to adolescents and adults seeking relief from and answers to life’s challenges with a focus on relationship stress and adjustment problems. Insurance: BCBS, Aetna, UBH
Barbara Borsi, LCPC
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066
www.congruentcounseling.com
Works in both the inpatient and outpatient settings with various psychological disorders including Bipolar Disorder, Schizophrenia, Major Depressive Disorder, and Body Focused Repetitive Behaviors (i.e. trichotillomania, skin picking, etc.). Insurance: Most insurance plans accepted.
Aaron Brager, BA, ADT
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066
www.congruentcounseling.com
Facilitates adult education and treatment groups, the Young Adult IOP, and the Anger Management Program.
Insurance: Most insurance plans accepted.
Elizabeth Brandon, LGSW, DBT-C
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066 / Fax 410-740-8068
www.congruentcounseling.com
Works with clients of all ages and is experienced working with bipolar disorder, borderline personality disorder, depression, anxiety, and mood disorders. Evidence-based treatment options such as Cognitive Behavioral Therapy (CBT), Mindfulness and Psychotherapy, Dialectical behavioral Therapy (DBT).
Insurance: Most insurance plans accepted.
Marilyn Brooks, LCSW-C
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066 / Fax 410-740-8068
www.congruentcounseling.com
Psychotherapist and substance abuse counselor for age 18 to senior adults.
Insurance: Most insurance plans accepted.
Colette Brunell, LCSW-C, LLC
5550 Sterrett Place, Suite 314
Columbia, MD 21044
410-730-6119
www.colettebrunell.com
firstname.lastname@example.org
Provides family mediation and co-mediation. Is a Collaborative Divorce Coach, Parenting Coordinator and psychotherapist treating anxiety, depression, issues of loss and grief, women’s issues, men’s issues and couples therapy.
Insurance: some insurances – call to check.
The Rev. Robert Burdette, D.Min, LCMFT
Papillio Pastoral Counseling
10505 Patuxent Ridge Way
Laurel, MD 20723
301-466-0480
www.papilliocounseling.weebly.com
email@example.com
Family and marriage relationships, human sexuality issues, spiritual formation/growth, pastoral care.
Insurance: sliding fee scale.
Robert J. Carbo, LCSW-C
6213 Ashton Park Court
Columbia, MD 21044
410-964-1770
Outpatient counseling services to adolescents and adults, individual and couples counseling
Insurance: most major insurances accepted.
Mary Carroll, LCPC, NCC
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066 / Fax 410-740-8068
www.congruentcounseling.com
Individual, group, family and couples counseling with persons aged 4-60 with primary issues of grief and trauma, bipolar and related mood disorders, and child and adolescent disorders including autistic spectrum disorders.
Insurance: Most insurance plans accepted.
Lauren Cash, LCPC
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066 / Fax 410-740-8068
www.congruentcounseling.com
Outpatient mental health and individual counseling.
Insurance: Most insurance plans accepted.
Brittany Cephas, M.Ed, LCPC, NCC
Growing Young Minds Counseling
10015 Old Columbia Road
Columbia, MD 21046
301-679-0277
www.grow-minds.com
Individual, group, and family counseling. Specialties include ADHD, Anxiety, Behavioral Issues, Depression, Emotional Disturbance, Family Conflict, Grief, Life Self-Harming, Sexual Abuse, Stress, Suicidal Ideation, Transgender, Trauma and PTSD. Types of approaches and therapy includes cognitive behavioral (CBT), dance/movement, expressive arts, multicultural, trauma focused, yoga.
Insurance: CareFirst BCBS, Cigna, Aetna
Jane Charnas, LCSW-C
6131 Triangle Drive
Columbia, MD 21044-4712
410-997-3730
firstname.lastname@example.org
Outpatient counseling to individuals and couples, mostly adults. Marital, depression, anxiety, crisis, grief.
Insurance: Aetna, United Healthcare, United Behavioral Health.
Lauren Chapman, LCPC
7226 Lee Deforest Drive, Suite 202
Columbia, MD 21046
301-909-8723
Outpatient counseling services to children, adolescents, and adults. Treatment areas of expertise include anxiety disorders, mood disorders, psychotic disorders, ADHD, and pervasive developmental disabilities. Insurance: Aetna, APS Healthcare, Cigna, United Healthcare. Sliding scale upon request.
Cindy Cisneros, LCPC-S, LPC
5560 Sterrett Place, Suite 103
Columbia, MD 21044
443-741-2294
www.creativelyllc.com
email@example.com
Artist and licensed professional counselor that provides individual therapy, creative workshops, and groups. Specializing in working with artists and creative personalities. Outpatient services for adolescents and adults, using cognitive behavioral, mindfulness, person centered and creative approaches. Diagnoses treated include anxiety, mood disorders, psychotic disorders, addictions, adjustment disorders and more.
Insurance: BCBS, FEP, CareFirst, Magellan, self-pay
Language: Some Spanish
Jodi Cobb, Ph.D., LCMFT
Ellicott City, MD 21043
443-574-5322
www.peerbridges.com
firstname.lastname@example.org
Psychotherapy for parents, children, teens, and families. Specialties include families impacted by autism spectrum disorders, attachment issues, adoption, foster care, sexual abuse, trauma, and LGBTQ issues.
Victoria Cofield-Aber, LCSW-C
5074 Dorsey Hall Drive, Suite 104
Ellicott City, MD 21042
443-745-8375 / Fax 410-730-1312
Individual, group, and family therapy to children age 3+ and families. School related issues, depression, anxiety and PTSD. Specialized training in working with children in foster and adoptive families. Special intervention skills with immigrants, individuals experiencing homelessness, and individuals with special needs.
Insurance: major insurances, Medicaid
Language: Spanish and Hindi interpreter
Lisa Cohen, LCPC, CAC-AD
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066
www.congruentcounseling.com
Adolescent Substance Treatment Services to address mental health, substance-related, family, legal, and school issues.
Insurance: Aetna, Blue Cross Blue Shield, Cigna, Johns Hopkins Health Care, Magellan
Eye Movement Desensitization and Reprocessing Therapy (EMDR), and Gestalt therapy.
Insurance: most private and public insurances, self-pay
Christina deGraft-Johnson, LCPC
IME Behavioral Health, LLC
8840 Stanford Blvd, Suite 1600
Columbia, MD 21045
410-929-6558
email@example.com
www.imebehavioralhealth.com
Outpatient counseling services for children, adolescents, and young adults.
Insurance: Self-pay, Blue Cross Blue Shield, Johns Hopkins
Linda Corr, LCSW-C
Acorn Counseling
3850 Shady Lane
Glenwood, MD 21738
301-335-3091
Adults 18 and over. Substance abuse recovery for addicts and/or family loved ones; anxiety depression, women’s issues, young adult transition issues.
Insurance: Blue Cross of MD. Fee for service with sliding scale.
Bob Denmark, LCPC
7350 Grace Drive
Columbia, MD 21044
443-857-9822
firstname.lastname@example.org
Grief therapy and couples counseling.
Insurance: Medicaid, private insurance
Jennifer Crawford McCormick, LCSW-C
Focused Solutions, LLC
5550 Sterrett Place, Suite 200
Columbia, MD 21044
410-884-6031/410-884-6134
email@example.com
Outpatient services to adults and adolescents. Areas of focus are depression, anxiety, post-trauma intervention and workplace issues, grief and mediation.
Michael Derry, LCSW-C
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066
www.congruentcounseling.com
Utilizes client-centered, strengths-based approaches with Cognitive Behavioral Therapy and motivational interviewing. Works with children, adolescents, and adults. Areas of interest include: Mood Disorders (Depression, Bipolar Disorder, Suicidality), Anxiety Disorders Substance Abuse (including Co-occurring Disorders), Play Therapy Parenting, Parent-Child Relationship problems, School and IEP Coordination, Relationship Counseling, Family Therapy Cognitive Behavioral Therapy, Self-Esteem and Core Belief Therapy Spirituality and Pastoral Counseling Insurance: Cigna, Johns Hopkins Health Care, Magellan, Onenet, United Healthcare
Jeffrey Crouch, LCSW-C
10632 Little Patuxent Parkway, Suite 313
Columbia, MD 21044
www.depressionhelpmd.com
firstname.lastname@example.org
Provides therapeutic services to children, teens, adults, and older adults. Individual and couples therapy available. Specializes in treatment for depression, bipolar disorder, anxiety, ADHD, anger management, PTSD, and job issues. Utilizes Cognitive Behavioral Therapy (CBT), Community Rehabilitation Treatment (CRT), Mindfulness, hypnosis,
Mark Donovan, MA, LCPC, LCADC
Congruent Counseling
10630 Little Patuxent Pkwy, Suite 209
Columbia, MD 21044
410-740-8066 ext. 68
www.congruentcounseling.com
Teens and adults with mental health issues including depression, anxiety, attention deficit problems, stress management, family difficulties, substance abuse and addiction.
Insurance: most insurance plans accepted.
Barbara E. Dougherty, LCSW-C
10451 Twin Rivers Road
Columbia, MD 21044
410-997-3557
www.fcsmd.org
Outpatient counseling services to children, adolescents, and adults. Expert areas of treatment include trauma work.
Insurance: some insurance accepted.
Katie Downes, LCPC
Congruent Counseling
10630 Little Patuxent Pkwy, Suite 209
Columbia, MD 21044
410-740-8066 ext. 68
www.congruentcounseling.com
Director of Adult Substance Treatment Services which include mental health, family, legal, and work/school issues.
Insurance: most insurance plans accepted.
Elaine K. Drewyer, LCSW-C
National Family Resiliency Center
10632 Little Patuxent Parkway, Suite 121
Columbia, MD 21044
410-740-9553 ext. 302
www.nfrchelp.org
Outpatient services for children, adolescents and adults, focus on families in transition and mental health/wellbeing due to change or loss; marriage counseling; individual, group, family therapy. Sliding fee scale available.
Cheryl Duffy-Williams, LCSW-C
3525 H Ellicott Mills Drive, Suite A
Ellicott City, MD 21043
443-224-8634
email@example.com
Works with children experiencing anxiety, depression, ADHD, oppositional defiant disorder, and general behavior difficulties. Counsels adults with depression, anxiety, ADHD, and relationships issues. Insurance: BC/BS, Magellan, USFHP, Medicare, and Medicaid. Sliding fee scale.
Shelia D. Duncan, LCSW-C
14201 Laurel Park Drive, Suite 221
Laurel, MD 20707
1-888-504-6681 / Fax 1-888-972-6562
www.sheliaduncan.com
firstname.lastname@example.org
Provides individual counseling for women ages 18-80. Works with a wide range of emotional and behavioral issues providing services than span from therapy for depression, bipolar disorder, anxiety, and ADD.
Insurance: CareFirst BCBS, Medicare
Dawn Duignan, LCSW-C
3881 Ten Oaks Road, Suite 2A
Glenelg, MD 21737
410-489-4550 / Fax 410-489-4475
Individual therapy for children, adolescents, families, adults and couples. Extensive experience working with children and families.
Insurance: some insurance plans.
Maryam Elbalghiti-Williams, LCSW-C
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066
www.congruentcounseling.com
Works with multicultural backgrounds and specializes in trauma and mood disorders. Insurance: Most insurance plans accepted.
Kate Emerson, LCSW-C
Strength In Me Counseling, LLC
7226 Lee Deforest Drive, Suite 202
Columbia, MD 21045
410-645-0738
strengthinmecounseling.com
Works with children, adolescents, adults, couples, and families using a multitude of therapeutic techniques in the area of trauma. Works as a team to help find your inner strength, peace and well-being.
Shanna J. Evering
11419 Ellington Street
Fulton, MD 20759
832-573-1473
email@example.com
Adolescents, adults, and couples. General counseling services for anxiety, depression, grief, life-transition, life-coaching, trauma, eating disorders, personality disorders, and multicultural issues. Mobile services available through phone therapy, email, skype and community-based locations (home, office)
Kay E. Fandetti, LCSW-C
201 Columbia Medical Center
11055 Little Patuxent Parkway
Columbia, MD 21044
410-992-4042
firstname.lastname@example.org
Outpatient counseling services to individuals suffering from depression, anxiety, marital discord. Also sees individuals dealing with major health issues.
Mario Faraone, LCSW-C
301-854-2331
email@example.com
Outpatient services to adolescents (16 and up) and adults. Cognitive and behavioral exploration with a Buddhist bend, using Buddhist principles and strategies to explore and resolved social, emotional and behavioral difficulties. Language: German
Stefanie Feldman, LCSW-C
10090 East Darlington Road
Columbia, MD 21044
410-740-3193
Domestic abuse, counseling-couples, individual and group therapy, women's issues.
Erin Fitzgerald, LCPC
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066
www.congruentcounseling.com
Provides services to children, adolescents, and adults. Cognitive-Behavioral Therapy. Insurance: Most insurance plans accepted.
Mackenzie Fleming, LGPC
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066 / Fax 410-740-8068
www.congruentcounseling.com
Provides therapeutic services for individual clients with various psychological disorders. Has extensive experience working with children using multiple modalities and approaches.
Christina Foerster Puglisi, LCSW-C
5643 Chelwynd Road
Baltimore, MD 21227
410-733-4702
firstname.lastname@example.org
Previously has worked with children and adolescents and their families in a foster care setting, diagnostic setting and currently in a school setting. In home services are available. Specializing in behavior problems, anxiety, depression, ADHD, and those who have experienced trauma. Compassionate about working with the LGBT community.
Barry B Frieman, Ed.D, LCSW-C
410-262-9006
email@example.com
Expert areas: families going through changes, parenting issues-dealing with children from early childhood to adolescence, men dealing with separation, divorces and parenting issues.
Linda Friskey, MSW, LCSW-C
9650 Santiago Road, Suite 3
Columbia, MD 21045
410-799-2982
firstname.lastname@example.org
Outpatient psychotherapy for most ages. Individuals, couples, families. Specializing in eating disorders, the intersection of physical and psychological problems, LGBTQ, 12-steps, gambling and other behavioral addictions such as compulsive shopping. Biopsychosocial and spiritual model.
Insurance: Aetna, Medicare (traditional), Medical Assistance (if secondary to Medicare), Sliding Scale, Tricare (non-par provider).
Harriet Gailey, LCSW-C
8640 Guilford Road, Suite 252
Columbia, MD 21046
410-312-7250 ext. 205
Outpatient counseling to adults. Areas of expertise; mood disorders (depression and bipolar), anxiety, separation/divorce, family issues, parenting.
Insurance: most major insurance accepted.
John Geremia, LCSW-C
8331 Lincoln Drive
Jessup, MD 20794-9454
410-799-5092
www.johngeremiatherapist.com
Mood and social issues; depression, anxiety, grief, sexuality, adult ADHD, bipolar, marital, anger, and stress management.
Insurance: Aetna, APS, BC/BS, Carefirst, Cigna, GEHA, Healthnet, Tricare, Johns Hopkins, Magellan, MHN, Medicare, NCAS, United Healthcare, Value Options.
Bonnie L. Goldschmidt, LCSW-C, LCADC
9017 Red Branch Road, Suite 204
Columbia, MD 21045
410-730-400
Outpatient counseling services to adolescents and adults, specializing in substance abuse and mental health. Sliding scale upon request.
Lev Grotel, LCSW-C
Focused Solutions, LLC
5550 Sterrett Place, Suite 200
Columbia, MD 21044
410-884-6031 / Fax 410-884-6134
email@example.com
Specializes in relationship and sexual issues, anxiety, stress, panic attacks, depression, low self-esteem, abuse/trauma, sexual identity concerns, life transitions, interpersonal issues and family struggles.
Penny Harrigan, LCPC
The Education and Therapy Center
8940 Route 108, Suite F
Columbia, MD 21045
410-599-3834
firstname.lastname@example.org
Provides outpatient counseling services to children, adolescents and families.
Insurance: sliding scale upon request.
Liza Hicks
419 Oella Avenue
Catonsville, MD 21228
443-848-1366
LizaHicks.com
email@example.com
Outpatient counseling services to adults and adolescents. Expert areas of treatment include trauma and grief.
Insurance: Carefirst, BC/BS
Melinda Hoffman, LCPC
9881 Broken Land Parkway, Suite 105
Columbia, MD 21046
410-997-0996
www.melindahoffmanlcpc.com
firstname.lastname@example.org
Outpatient counseling services to children age 8+, adolescents and adults. Depression, anxiety, trauma, abuse, domestic violence victims, PTSD, parenting support. Some training in TF-CBT; CBT. Insurance: BC/BS, Johns Hopkins, Magellan, Medicaid. Sliding Scale upon request.
Carmen Howlette, LCSW-C
3355 St. John’s Lane, Suite F
Ellicott City, MD 21042
301-503-5696
www.CarmenHowlette.com
email@example.com
Individual, couples and family therapy, EMDR therapy. Specializes in treatment of trauma & PTSD. Insurance: Cigna, CareFirst BCBS, APS Healthcare, Maryland Medicaid, Magellan, Value Options, Ceridian EAP, LifeWork Strategies EAP.
Lydia Holloway, LCSW-C
10220 S. Dolfield Road, Suite 106
Owings Mills, MD 21117
443-630-9600 / Fax 410-772-3797
firstname.lastname@example.org
Individual, family and couples therapy. Anxiety, depression, grief, trauma, relationship issues, etc. Insurance: Most insurances accepted Fluent in Spanish
Roberto Huie Jr., LCSW-C
5300 Dorsey Hall Drive, Suite 203
Ellicott City, MD 21042
410-292-9809
email@example.com
Outpatient services for adolescents, adults, couples and family. Expertise in treating mood and anxiety disorders, addiction, dual diagnosis, co-dependency, separation, divorce. Also works with personality issues, abuse, trauma, grief and loss. Fluent in Spanish
Janet Hosford-Lamb, LCSW-C
Focused Solutions LLC
5550 Sterrett Place, Suite 200
Columbia, MD 21044
410-884-6031 / Fax 410-884-6134
firstname.lastname@example.org
Offers workplace consultations to workplaces focusing on employee behavioral concerns, potential workplace violence concerns, workgroup behavior concerns impacting productivity. Clinical brief interventions with employees and family members. Outpatient mental health and substance abuse counseling.
Barbara Hunter, PhD, LCPC
5211 New Prospect Court
Ellicott City, MD 21043
443-794-3001
www.drhuntercounseling.com
Outpatient services including depression, anxiety, life transitions for adults. Pastoral counseling.
Karen K. Johnson, LCSW-C
10632 Little Patuxent Parkway, Suite 313
Columbia, MD 21044
443-803-6791
email@example.com
Outpatient counseling services to children, adolescents, and families, young adults, women’s issues, autism spectrum disorder, usually teens and young adults high-functioning, mental health, ADHD, depression, bipolar disorders.
Paul Kelner, LCSW-C, CSAT, CAMS-II
Action Recovery
5114 Dorsey Hall Drive
Ellicott City, MD 21042
301-388-0178
www.sexaddiction-recovery.com
firstname.lastname@example.org
Specializes in working with those who are recovering from out-of-control sexual behaviors: chronic porn use, serial infidelities, anonymous hook-ups, etc. Anger management counseling for court-referred adults or others who wish to address anger issues. Certified Sexual Addictions Therapist and Certified Anger Management Specialist. Confidential individual and group treatment.
Janeta Koelsch, LCSW-C
In Home Therapy, LLC
6520 Wingflash Lane
Columbia, MD 21045
410-245-5316
email@example.com
Providing therapy to adults, adolescents and families in their home for treatment of a wide variety of issues including but not limited to depression, anxiety, trauma, behavior problems, and anger management.
Insurance: Medicaid, self-pay
Karen Kirkpatrick, LCSW-C
10630 Little Patuxent Parkway, Suite 307
Columbia, MD 21044
443-326-2785
firstname.lastname@example.org
Individuals, couples, teens and children. Specializes in EAP, crisis work.
Insurance: Aetna, Blue Cross, Magellan
Julie Kotler, LCPC, LCPAT, ATR-BC
7350 Grace Drive
Columbia, MD 21044
301-793-1520
www.palettepartners.com
email@example.com
Outpatient counseling and art therapy specializing in treating depression and anxiety with a focus in women’s health and wellness working in developing better approaches to life transitions, grief, and changing relationships.
Kathaleen Klotz, LCSW-C
3355 St. John’s Lane, Ste F, St. John’s Station
Ellicott City, MD 21042
443-310-4980
firstname.lastname@example.org
Specializes in trauma, domestic violence, relationship issues including individual and couples, PTSD, anger management, women’s issues.
Insurance: Blue Cross Blue Shield, Medicare and Medical Assistance.
Sean Lare, LCSW
6851 Oak Hall Lane, Suite 118
Columbia, MD 21045
410-689-9074
www.seanlare.com
email@example.com
Counseling to LGBTQ children, youth, adults, and their family members. Helps individuals develop new identities, navigate their transition and coming out process, attend to their relationships, and care for their mental health needs. Also provides consultation and training services focused on increasing the sensitivity to LGBTQ issues in the workplace.
Cynthia Lengrand, LCSW-C
8165 Cyprus Cedar Lane, Suite 201
Ellicott City, MD 21043
410-715-1606
firstname.lastname@example.org
Individual and family therapy for children, adolescents and adults. Anxiety, depression, life stressors, grief, ADHD, PTSD, family issues. Specialize in trauma – trained in EMDR.
Insurance: APS, Aetna, UBH, MA, Medicare.
Marcie Lovell, LCSW-C
Focused Solutions, LLC
5550 Sterrett Place, Suite 200
Columbia, MD 21044
410-884-6031 / Fax 410 -884-6134
email@example.com
Outpatient counseling services to children, adolescents and adults. Some expert areas of treatment include early childhood trauma, attachment, bereavement, and adoption.
Insurance: most insurances accepted.
Suzanne Lescht, LCSW-C
10632 Little Patuxent Parkway, Suite 245
Columbia, MD 21044
410-997-1919
Outpatient counseling to adults and couples.
Insurance: all insurance
Dolores DeLuise Madiou, LCSW-C
7360 Grace Drive
Columbia, MD 21044
410-914-7205
firstname.lastname@example.org
Outpatient therapy for adults, couples and adolescents. Specializing in trauma informed practices, trauma abuse history, couples and relationship issues, adjustment and mood disorders, grief and loss, family problems, and other life stressors.
Insurance: Aetna, United Healthcare, Care First, BCBS, Coventry Health Care.
Rona Levi, LCSW-C
10632 Little Patuxent Parkway, Suite 325
Columbia, MD 21044
410-730-5081
Outpatient counseling with Individual, couples and family.
Insurance: most insurance accepted
Linda Linton, LCSW-C
A Healing Place
7050 Oakland Mills Road, Suite 140
Columbia, MD 21046
410-309-0909
Ahealingplaceincolumbia.com
Outpatient counseling services to adults. Areas of interest include trauma, both childhood trauma and recent single incident experiences. Trained in EMDR, EFT (Emotion Free Technique) and TAT (Tapas Acupressure Technique).
Jennifer Manning Plassnig, LCSW-C
10709 Birmingham Way
Woodstock, MD 21163
410-203-2411
www.JenniferManningPlassnig.com
email@example.com
Serves Children, adolescents, adults, families, and groups. Cognitive Behavioral Therapy, Hypnosis, EMDR (Eye Movement Desensitization and Reprocessing), EFT (Emotional Freedom Technique), Process Acupressure, Play Therapy, Relaxation and Visual Imagery Techniques, Meditation and Breathing Techniques.
Ruth C. Lobe, LCSW-C
3355 St. Johns Lane, Suite F
Ellicott City, MD 21042
410-465-6297
Adult individual and couples therapy for interpersonal relationship issues, stress management, depression, anxiety, parenting concerns, grief, loss, adjustment to life’s changes.
Insurance: most private insurances. Sliding scale.
Joy Patricia Martin, Ph.D, LCSW-C
5344 Racegate Run
Columbia, MD 21045
443-745-0767
Adults and couples. Works with difficult emotions (anger, anxiety, depression) using a variety of modalities, including mindfulness or body-centered awareness, inner child work and gestalt techniques. Insurance: most major insurance, Medicare and MA.
Kathi McGaha, LCSW-C
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066
www.congruentcounseling.com
Depression, anxiety, self-esteem issues, adjustment disorders, dual diagnosis, grief/loss, PTSD & trauma, addiction or substance abuse, infertility issues. Insurance: most insurance plans accepted.
Brenda L. May, LCSW-C
Crossroads Psychological Associates, LLC
10784 Hickory Ridge Road
Columbia, MD 21044
410-964-0425 x21/Fax 410-964-0515
firstname.lastname@example.org
Outpatient counseling services to children, adolescents and adults. Individual, couples and family therapy. Specialty in anxiety disorders and mood disorders.
Valerie R. McManus, LCSW-C
Healing Therapies Counseling
3525 Ellicott Mills Drive, Suite N
Ellicott City, MD 21043
410-465-8687
www.HealingTherapiesOnline.com
email@example.com
Intuitive psychotherapist specializing in depression, anxiety and other mood symptoms, relationship issues, work life, personal transformation & growth, parenting challenges, grief & loss, attention & distractibility and adjustments to change. Qualified postpartum disorders specialist.
Erin McClintock Smith, LCSW-C
5126 Dorsey Hall Drive, 2nd Floor
Ellicott City, MD 21042
410-564-8288
firstname.lastname@example.org
Outpatient services to adolescents, teens, and adults. Specializing in depression, anxiety, ADHD, and life transitions. LGBTQ-informed and allied. Certified in trauma treatment.
Danny Miller, LCPC
Healing Songs Therapy
3565 Ellicott Mills Drive, Suite 208
Ellicott City, MD 21043
240-583-0351
www.healingsongstherapy.com
email@example.com
Cognitive Behavioral Therapy (CBT), schema therapy, prolonged exposure therapy, Exposure and Response Prevention (ERP), and dialectical behavior therapy for adults, couples, and young people. Specialties include acute stress caused traumatic events, chronic distress caused by long-term abuse or neglect, complex grief, anxiety disorders, adolescent/young adult issues, and patterns of unhelpful behavior leading to profound distress and relational difficulties. Insurance: Self-Pay, Out of Network
Jadranka Milovanovic, LCPC
10632 Little Patuxent Parkway, Suite 343
Columbia, MD 21044
443-955-4592 / Fax 410-997-7878
Children, adolescents, families: adjustment disorders, depression, anxiety, ADD/ADHD, anger management and behavioral problems. Couples, addiction, grief counseling. Sensitive to and competent in working with people of various cultural and religious backgrounds.
Insurance: Carefirst, Aetna, BC/BS, MHN/Managed Health Network, Magellan BH.
Languages: Italian, Serbian, Croatian, Bosnian
Indrani Mookerjee, DSW, LCSW-C
IME Behavioral Health, LLC
8840 Stanford Boulevard, Suite 1600
Columbia, MD 21045
240-512-0141/Fax 240-512-0151
www.imebehavioralhealth.com
Specializes in trauma, addiction, relationship issues, mood disorders, behavioral problems, psychosis, and ADD treatment for adults, adolescents, children and families. Medication management and psychotherapy services.
Insurance: Blue Cross, Johns Hopkins EHP and USFHP, Medicare.
Jennifer Molinari, LCPC, NCC
10715 Charter Drive, Suite 270
Columbia, MD 21044
410-709-3974
www.jennifermolinari.com
Outpatient counseling services for adults, couples, and families. Holistic approach. Anxiety, depression, self-esteem, parenting issues, communication skill enhancement, conflict resolution, relaxation skill training, marriage/couple counseling.
Insurance: Aetna, BCBS, Tricare, Magellan.
Juana Sancho Davila Moreland, LCSW
INCA Energy Institute
8774 Endless Ocean Way
Columbia, MD 21045
www.energytherapyceuworkshops.com
202-374-8322
Provides bi-lingual counseling services to individuals, couples and families who prefer to receive services in Spanish.
Peggy Montgomery, LCSW-C
10750 Hickory Ridge Road, Suite 113
Columbia, MD 21044
443-621-0583
www.pmontgomery.com
Psychotherapy practice specializing in trauma and addiction for couples, families and adolescents. CBT, dialectical behavioral therapy, mindfulness and emotional freedom technique to provide individualized care to clients. Cultural sensitive serving clients of various ethnicities and the LGBTQ community.
Ashton Morgan, LCMFT
Family Therapy Group
5570 Sterrett Place, Suite 305
Columbia, MD 21044
443-485-5473
www.familytherapygroupllc.com
firstname.lastname@example.org
Sabrina N’Diaye, Ph.D, LCSW-C
4 West Rolling Crossroads #3
Catonsville, MD 21244
410-455-5464
Specializes in Women's Health, Relationship Issues, Addictions, Spirituality,
Interventions: Integrative Psychotherapy, Guided Imagery, Hypnosis, Movement, Imago Relationship Therapy, Sufi Healing Identified as a Muslim therapist.
Kathleen A. Norton, M.B.A., Life Coach
9829 Diversified Lane
Ellicott City, MD 21042
410-206-7329 / Fax 410-203-0804
email@example.com
Life coaching for teens and young adults. Practical solutions and support for social pressures, academic stress, future plans, time and self-management.
Yi-Ching (Emma) Ostendorp, LCPC
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066 / Fax 410-740-8068
www.congruentcounseling.com
Provides therapeutic treatment for adults, adolescents, children, and families. Areas of expertise include mental health disorders such as depression, anxiety, ADHD, complicated grief, bipolar disorder, cultural and adjustment issues, couples and family relational difficulties, emotional and sexual abuse, and feelings regulations.
Insurance: Aetna, Blue Cross Blue Shield, CareFirst, Cigna, Johns Hopkins, Magellan Behavioral Health, United Healthcare
Language: English, Mandarin
Matt Otto, LCPC
Crossroads Psychological Associates, LLC
10784 Hickory Ridge Road
Columbia, MD 21044
410-964-0425/Fax 410-964-0515
firstname.lastname@example.org
www.matt-otto.com
www.crossroadspsych.net
Individual and group therapy specializing in adolescents, young adults and pastoral counseling.
Carlos Pastor, LCSW-C
10632 Little Patuxent Parkway, Suite 245
Columbia, MD 21044
410-419-1708
Provides counseling for adolescents, family, couples, and individuals.
Insurance: most commercial insurance accepted. Sliding scale upon request.
Hetal Patel, LCSW-C
3355 St. Johns Lane
Ellicott City, MD 21042
443-451-0159
email@example.com
Individual and family therapy, play therapy. Child and adolescents, adults. Depression, anxiety, ADHD, ODD, OCD, infertility, parent-management training).
Insurance: BCBS, Medicaid. Sliding scale.
Language: Gujarati, Hindi
Anne Peurasaari, LCSW-C, RN
5018 Dorsey Hall Drive, Suite 205
Ellicott City, MD 21042
410-992-4940
Adults, older teenagers. Same gender couples, spiritual aspects in counseling, alternative aspects compared to medication.
Insurance: Most insurances accepted, sliding scale.
Language: German
Elizabeth Pilson, LCSW-C
5126 Dorsey Hall Drive, Suite 202
Ellicott City, MD 21042
410-868-7431
www.elizabethpilson.com
firstname.lastname@example.org
Provides individual adult psychotherapy to adults ages 20+. Areas of expertise include anxiety, relationship conflicts, life transitions, grief and loss, codependency, and stress management. Treatment includes an eclectic approach that combines Cognitive-Behavioral, Psychodynamic and Internal Family Systems theories. Provides education to individuals about vital communication skills based on training in Gottman and Emotionally Focused Couples Therapy.
Insurance: CareFirst, BCBS, Hopkins EHP, Medicare
Barbara M. Polonsky, LCSW-C
5122 Aver Court
Columbia, MD 21044
410-227-9074
email@example.com
Outpatient counseling for individuals (adults), children, adolescents. Areas of expertise include Anxiety and Depression, Interpersonal relationship conflicts, Codependency Issues, Parenting struggles, Stage of Life Transitions, and women’s issues.
Insurance: Some insurances accepted. Sliding scale.
Mary Prendergast, LCPC
Crossan Counseling Services
3901 Putty Hill Avenue
Nottingham, MD 21236
443-326-6217
firstname.lastname@example.org
Outpatient services to children, adolescents and adults, experiencing anger management problems, anxiety, depression, chronic pain, stress related issues, relationship issues, LGBT/transgender issues. Individual and group therapy. Coaching for ADHD and Executive Functioning related problems.
Insurance: Maryland MA, Carefirst, Magellan, Magellan EAP and others.
Bill Ray, LCSW-C
Crossroads Psychological Associates, LLC
10784 Hickory Ridge Road
Columbia, MD 21044
410-964-0425 x19
email@example.com
Outpatient counseling services for adolescents and adults. Areas of expertise include substance abuse and dependence, anxiety, depression, marital and relationship issues.
Stacey Rempert, LCSW-C
10632 Little Patuxent Parkway, Suite 100
Columbia, MD 21044
410-206-8573
www.columbiatherapist.guru
Outpatient counseling for adolescents ages13+ and adults. Expert areas of treatment include addictions, trauma, self-harming behaviors, and anxiety.
Insurance: some sliding scale.
Kathryn Reynolds, LCPC, NCC, DAPA
5114 Dorsey Hall Drive
Ellicott City, MD 21042
410-689-5181
www.kreytherapy.com
Specializing in anxiety, depression, grief, helping people overcome trauma and child abuse.
Robert D. Robinson, LCPC
The Family Center
4785 Dorsey Hall Drive, Suite 109
Ellicott City, MD 21042
410-531-5087 / 410-997-1556
firstname.lastname@example.org
Child, adolescent and family counseling specializing in child & adolescent. Anxiety, depression, self-esteem, peer relationship issues, school-related problems and abuse issues. Also counsels individual, adult and couples, as well as teen and adult group therapy.
Ann J. Rochford, LCSW-C
5513 Twin Knolls Road, Suite 220
Columbia, MD 21045
410-707-0657
email@example.com
Outpatient psychotherapy for adolescents and adults. Expert areas include anxiety, depression and transitions to new stages of life. Psychotherapeutic approaches include Behavior Modification, Interpersonal Psychotherapy and Role Playing.
Insurance: all medical insurance, Medicare, Tricare.
Yvonne Rogers, MS, LCPC
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066 / Fax 410-740-8068
www.congruentcounseling.com
Cognitive-Behavioral Therapy (CBT) for depression and anxiety, anger management, suicide prevention, substance abuse and addictions counseling. Provides services for children, adolescents, and adults.
Insurance: Aetna, Blue Cross Blue Shield, Cigna, Johns Hopkins, Magellan, United Healthcare.
Anne Roth, LCSW-C
2000-Century Plaza
10632 Little Patuxent Parkway, Suite 325
Columbia, MD 21044-3205
410-992-5670
Counseling-adolescent, adult, couples, family, & individual therapy.
Insurance: Most insurances accepted.
Mimi Ryans, LICSW, LCSW-C, RPT
Lighthouse Center for Therapy and Play
10632 Little Patuxent Parkway, Suite 327
Columbia, MD 21044
443-864-5647 / Fax 443-276-0905
www.lighthouseplaytherapy.com
firstname.lastname@example.org
A private group practice that works specifically with adults, children, and families (ages 0-64). We have a Registered Play Therapist-Supervisor on staff, trauma professionals and are a trauma-informed practice. We accept most insurance plans and will work with those clients that are unable to access services.
Insurance – Medicaid, Medicare, Aetna, Cigna, CareFirst BC/BS, Magellan, Beacon Health/ValueOptions
Molly King Safren, LCSW-C
9575 Angelina Circle
Columbia, MD 21045
301-596-2858
email@example.com
Psychotherapy for adults, couples, some adolescents. Specialties include work with grief, anxiety and depression, adult children of alcoholics, gay and lesbian issues, substance abuse and recovery, and marital infidelity and other couples issues.
Christian Sanders, MS, LCPC
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066
www.congruentcounseling.com
Counseling for learning and academic issues, adjustment, mood and anxiety disorders, opposition, defiance, conduct disorder, executive functioning, substance abuse, and dual diagnosis.
Insurance: most insurance plans accepted
Melissa Schnaar, LCSW-C
Collaborative Counseling Center
5560 Sterrett Place, Suite 201
Columbia, MD 21044
410-546-1100
Collaborativecounselingcenter.com
firstname.lastname@example.org
Outpatient mental health services to children, adolescents and their families, including psychiatric services, individual, group and family counseling.
Myra G. Schneider, PhD, LCSW-C
5052 Dorsey Hall Drive, Suite 202A
Ellicott City, MD 21042
410-652-1610
email@example.com
Outpatient counseling services to families, individuals, and couples. Specialties include couple/family relationships, parenting, divorce adjustment, women’s issues, life transitions, depression, anxiety, health related issues, loss/grief, EAP assessments and work systems issues. Insurance: BCBS, United, Cigna, Aetna, Hopkins. Sliding scale available.
Ruth Shor-Jannati, LCSW-C
9520 Berger Road, Suite 203
Columbia, MD 21046
443-668-6861, 410-290-6940 ext. 21
Outpatient counseling services for adults. Mood disorders, grief and loss, addiction, life transitions, couples issues. Insurance: some insurance accepted.
KristiLee Sheffler, LCSW-C
Restorative Counseling and Wellness Ctr.
5052 Dorsey Hall, 2nd Floor
Ellicott City, MD 21042
443-429-1471
www.counselingrcwc.com
firstname.lastname@example.org
Areas of practice include personality, mood, and adjustment disorders; depression, anxiety, and grief issues; trauma; and relationship conflicts. Insurance: Aetna, Blue Care, BC/BS, CareFirst, Cigna, Cofinity, EHP First Health Johns Hopkins.
Jennifer Schoo, LCSW-C
8165 Cyprus Cedar Lane, Suite 201
Ellicott City, MD 21043
410-220-7697
www.therapysquare.com
email@example.com
Individual, family and group therapy for children and adults with ADHD, behavioral problems at home and school, depression, anxiety, interpersonal relationships, family contact, physical /sexual /emotional abuse and substance abuse. Groups for adults, children and adolescents to include self-esteem, interpersonal relationships, behavior modification, ADHD, anxiety, depression, substance abuse, parenting and anger management. Insurance: Aetna, APS, Tricare, UBH and MA
Lori Simmons, LCMFT
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066
www.congruentcounseling.com
Specialties include ADHD/ADD, adjustment disorders, crisis counseling, depression, family issues, school problems, PTSD/trauma, parenting issues, self-esteem, grief/loss, anger management, marital/couples counseling, communication skills. Insurance: most insurance plans accepted.
Jacke L. Schroeder, MSW, LCSW-C
2731 Westminster Road
Ellicott City, MD 21043
410-365-4157
firstname.lastname@example.org
Outpatient counseling services to adults, individuals & couples. Depression, anxiety, grief and loss, divorce, pre-marital, life transitions, spirituality, trauma.
Bayard Solomon, LGPC
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066 / Fax 410-740-8068
www.congruentcounseling.com
Provides behavioral health services to all ages. Insurance: Blue Cross Blue Shield
Tammy J. Spengler, MSW, LCSW-C
Focused Solutions, LLC
5550 Sterrett Place, Suite 200
Columbia, MD 21044
410-884-6031
email@example.com
Outpatient counseling services to adolescents and adults. Expert areas of treatment include PTSD, domestic violence, adoption, and childhood maltreatment. Holistic approach.
Insurance: most insurances accepted.
Dr. Lillian M. Sylvester, Ph.D., LCPC
Teal Fire Counseling and Consulting, LLC
10630 Little Patuxent Parkway, Suite 401
Columbia, MD 21044
240-708-4947 / Fax 240-708-4962
www.TealFireCounseling.com
firstname.lastname@example.org
Provides outpatient mental health services for individuals ages 8+. Individual, family, and group therapy services provided; LGBTQ+ competent and affirming. GCS consultation and surgery preparedness letters.
Insurance: CareFirst BCBS, CIGNA, Johns Hopkins Healthcare, Medicaid, self-pay
Andrew Stanton, LCSW-C
8850 Columbia 100 Parkway, Ste. 203
Columbia, MD 21045
443-546-4476
www.StantonPsychotherapy.com
Individual, couples and family therapy. Specialties include children/adolescents, substance abuse, trauma, hypnotherapy, sports and other performance improvements, ADHD, anxiety, depression and managing life changes.
Jennifer M. Steier, LCSW-C
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066 / 443-538-8294
email@example.com
Outpatient counseling services to children, adolescents, and adults.
Insurance: most insurance plans accepted.
Norma Stevens, MS, NCC, LCPC
6011 University Blvd., Suite 100
Ellicott City, MD 21043
410-919-8275
www.normastevenslcpc.com
firstname.lastname@example.org
Provides outpatient counseling services for young adults, adults, and seniors/older adults. Specializes in depression, anxiety, PTSD, anger, recovery from abuse and trauma, life transitions, grief and loss, self-esteem, codependency, spirituality, and interpersonal relationships.
Insurance: sliding scale is available upon request.
Chun-Shin Taylor, Ph.D., LCPC
3355 St. Johns Lane, Suite J
Ellicott City, MD 21042
479-445-2634
www.livingharmonycounseling.com
email@example.com
Individual, couples and family counseling. Specializes in mental illness, cross-cultural couples and families and the integration of religion/spirituality into psychology.
Insurance: Medicaid and major insurances. Language: Korean
Iris Thomas, LCSW-C, LLC
7120 Minstrel Way, Suite 203
Columbia, MD 21045
410-730-2240 / Fax 410-779-9109
Children, adolescents and young adults (21 and under) with mental health concerns including Generalized Anxiety, Panic, Separation Anxiety, Phobia, OCD, Trichotillomania, Selective Mutism, Depression, ADHD, Oppositional Defiant, Grief and Loss, PTSD.
Insurance: most major insurance plans accepted.
Language: Spanish
Rachael Thomas, LCPC
5022 Dorsey Hall Drive, Suite 201
Ellicott City, MD 21042
240-621-2272
Outpatient therapy and nutrition services to children, adolescents, young adults, and families. Individual, family and nutrition therapy in the home and office. Works with individuals with eating disorders, anxiety, depression, ADHD, ADD, weight management, school refusal, food refusal and general behavioral issues.
Anne. M. Waller, LCSW-C
5300 Dorsey Hall Drive, Suite 203
Ellicott City, MD 21042
410-718-2229
postpartumfamilyservices.com
firstname.lastname@example.org
Provides outpatient counseling for individuals and couples. Special expertise in treating mood and anxiety disorders during pregnancy and postpartum.
Insurance: Out of network
Virginia Voight, LCSW-C
St. John’s Professional Center
3355 St. John’s Lane, Suite F
Ellicott City, MD 21042
410-808-3422
email@example.com
Outpatient therapy for clients ages 11 and up. Individual, group, couple and family therapy services. Self-psychological and relational orientation. Expertise in mood disorders, anxiety disorders, addictions, relationship, parenting and family issues. Free phone consultation.
Joyce Warner-Burke, LCSW-C
6274 Gay Topaz
Columbia, MD 21045
410-290-8028
Adolescent & adult therapy. ADD/ADHD, anxiety, mood disorders.
Insurance: Most insurances accepted.
Brenda von Rautenkranz, LGPC
vR Equine Growth and Learning Center
13425 Forsythe Road
Sykesville, MD 21784
301-641-0031
www.vrtherapycenter.com
Equine Assisted Psychotherapy provides a hands-on approach that challenges individuals to look at themselves and the world around them in a new way. Equine therapy is an alternative to traditional counseling that involves using horses as part of the therapy process. It has been effective with clients with depression, ADD conducts disorders, dissociative disorders, anxiety, PTSD, autism and other disorders and disabilities. Children, adolescents, families, marriage, individual and group.
M. Carol Wayda, LCSW-C
5905 Tall Branches Pass
Clarksville, MD 21029
410-531-5769
firstname.lastname@example.org
Family counseling, military and their families, and older adults (55+).
Insurance: Most insurances accepted.
Flori Willard, MS, LCMFT
3355 St. John’s Lane, Suite J
Ellicott City, MD 21042
410-733-8804
selectcounseling.com
email@example.com
Marriage and family therapist offers couples, individual & family therapy.
Women’s Psychotherapy Institute, Ltd.
5022 Dorsey Hall Drive
Ellicott City, MD 21042
443-629-8876
www.wpi ltd.com
Outpatient services to adults, families and couples. Areas of expertise include stress, anxiety, mood disorders, trauma, relationships, work conflicts.
Rod Wright, BS, ADT
Congruent Counseling
10630 Little Patuxent Parkway, Suite 209
Columbia, MD 21044
410-740-8066
www.congruentcounseling.com
Adolescents, young adults and anger management teams and GLBT population.
Insurance: most insurance plans accepted.
Orlando Wright, Ph.D., LCSW-C
Halcyon Clinical Services, LLC
6304 Woodside Court, Suite 110G
Columbia, MD 21046
443-855-4631 / Fax 425-795-1406
www.HalcyonClinical.com
firstname.lastname@example.org
Halcyon Clinical Services provides outpatient mental health services to children, adults, and families. We are trained experts in Dialectical Behavior Therapy (DBT), Cognitive Behavioral Therapy (CBT), and Motivational Interviewing (MI). Additionally, we coordinate with primary care physicians regarding behavioral health needs.
Roslyn Zinner, LCSW-C, ACSW
8228 Telegraph Road, Suite A
Odenton, MD 21113
410-672-2237
Specialties include geriatrics, marital therapy, depression and anxiety. Divorce mediation, custody and parenting plans, property division.
Insurance: Aetna, BC/BS, Medicare, UHC, Carefirst, Medicaid.
ANGER MANAGEMENT
A Better Way Counseling Services
9017 Red Branch Road, Suite 204
Columbia, MD 21045
410-730-4500 / Fax 410-730-5119
Provides outpatient substance abuse and mental health program for adults & adolescents. Individual, group and family therapy, state certified program, drunk driving, DWI offenders, anger management. Sliding scale fee
Insurance: Most Private Insurance.
Shelia D. Duncan, LCSW-C
14201 Laurel Park Drive, Suite 221
Laurel, MD 20707
1-888-504-6681 / Fax 1-888-972-6562
www.sheliaduncan.com
email@example.com
Provides individual, couple, and family therapy for children, adults, and families from age 6 to 80 years. Therapeutic services for depression, bipolar, anxiety, ADHD, PTSD, anger management, stress management, grief counseling, parenting support and couples counseling.
Insurance: CareFirst BCBS, Medicare
Congruent Counseling Services
10630 Little Patuxent Pkwy, Suite 209
Columbia, MD 21044
410-740-8066 / Fax 410-740-8068
Individual, family, marital, and group counseling. Psychiatrist provides psychiatric evaluations and medication management. Therapists who specialize in working with children, teens, and adults. Depression, anxiety, attention deficit, acting out behaviors, anger management, substance use and addictions, marital difficulties, and more.
Insurance: Most insurance plans accepted.
Language: Spanish
HopeWorks (formally known as the Domestic Violence Center)
New Behaviors Program (Abuse Intervention)
9770 Patuxent Woods Drive, Suite 300
Columbia, MD 21046
410-997-0304
www.wearehopeworks.org
firstname.lastname@example.org
Contact: Galina Portnoy
Fees: Sliding scale
Crossan Counseling Services
Mary Prendergast, LCPC
3901 Putty Hill Avenue
Nottingham, MD 21236
443-326-6217
email@example.com
Outpatient services to children, adolescents and adults, experiencing anger management problems, anxiety, depression, chronic pain, stress related issues, relationship issues, LGBT/transgender issues. Individual and group therapy. Coaching for ADHD and Executive Functioning related problems.
Insurance – Maryland MA, Carefirst, Magellan, Magellan EAP and others.
Paul Kelner, LCSW-C, CSAT, CAMS-II
Action Recovery
5114 Dorsey Hall Drive
Ellicott City, MD 21042
301-388-0178
www.sexaddiction-recovery.com
firstname.lastname@example.org
Specializes in working with men and women who are recovering from out-of-control sexual behaviors, such as chronic porn use, serial infidelities, anonymous hook-ups, etc. Anger management counseling for court-referred adults or others who wish to address anger issues. Certified Sexual Addictions Therapist and Certified Anger Management Specialist. Confidential individual and group treatment.
Kathaleen Klotz, LCSW-C
3355 St. John’s Lane
Suite F, St. John’s Station
Ellicott City, MD 21042
443-310-4980
Specializes in trauma, domestic violence, PTSD, anger management, women’s issues.
Jadranka Milovanovic, LCPC
10632 Little Patuxent Parkway, Suite 343
Columbia, MD 21044
443-955-4592 / Fax 410-997-7878
Children, adolescents, families: adjustment disorders, depression, anxiety, ADD/ADHD, anger management and behavioral problems. Couples, addiction, grief counseling. Sensitive to and competent in working with people of various cultural and religious backgrounds.
Insurance: Carefirst, Aetna, BC/BS, MHN/Managed Health Network, Magellan Behavior Health.
Languages: Italian, Serbian, Croatian, Bosnian
Jennifer Schoo, LCSW-C
8940 Route 108, Suite E
Columbia, MD 21045
410-220-7697
www.therapysquare.com
email@example.com
Individual, family and group therapy for children and adults. Works with individuals with ADHD, behavioral problems at home and school, depression, anxiety, interpersonal relationships, family contact, physical/sexual/emotional abuse and substance abuse. Groups for adults, children and adolescents to include self-esteem, interpersonal relationships, behavior modification, ADHD, anxiety, depression, substance abuse, parenting and anger management.
Insurance: Aetna, APS, Tricare, UBH and MA
The Center for Eating Disorders at Sheppard Pratt
Sheppard & Enoch Pratt Hospital
6501 N. Charles Street, Units B1, 2 and 3
Baltimore, Maryland 21204
410-938-5252 / Fax 410-938-5250
The Center for Eating Disorders at Sheppard Pratt offers a comprehensive continuum of treatment services for the patient with complex eating disorders. This includes inpatient, day hospital and intensive outpatient services, as well as ongoing outpatient treatment provided by The Center for Eating Disorders, P.A. The program is designed to respond to both the psychiatric and medical aspects of eating disorders, with a comprehensive array of mental health and consultative medical resources.
Johns Hopkins Department of Psychiatry & Behavioral Sciences at Howard County
10710 Charter Dr
Columbia, MD 21044
410-720-8530
The outpatient Eating disorders clinic provides comprehensive consultation and evaluation services as well as on-going outpatient treatment that combines nutritional counselling, therapy and medication management for patients with variety of eating disorders, including anorexia nervosa, bulimia nervosa, binge eating disorder, avoidant/restrictive food intake disorder, and compulsive overeating. Insurance: Most private insurance and Medicaid
The Johns Hopkins Eating Disorders Program
Meyer 101, Johns Hopkins Hospital
600 North Wolfe Street
Baltimore, MD 21287
410-955-3863
The Johns Hopkins Eating Disorders Program offers three levels of care for patients with eating disorders – inpatient, day hospital, and outpatient clinic – all of which incorporate findings of the latest research.
National Institute of Mental Health
6001 Executive Boulevard
Bethesda, MD 20892
1-866-615-6464
www.nimh.nih.gov
National Association of Anorexia Nervosa and Associated Disorders
P.O. Box 7
Highland Park, IL 60035
Hotline: 1-847-831-3438
www.anad.org
National Eating Disorders Association Informational and Referral Program
603 Stewart Street, Suite 803
Seattle, WA 98101
1-800-931-2237
www.nationaleatingdisorders.org
**FAITH BASED COUNSELING**
**Associated Catholic Charities**
320 Cathedral Street
Baltimore, MD 21201
410-547-5508
Family and individual counseling, support groups for children, adults and for substance abuse. Sliding fee scale.
**Baptist Family and Children’s Services, Inc.**
7175 Columbia Gateway Drive, Suite F
Columbia, MD 21046
410-872-1050
Counseling, adolescent, child/pediatric and family therapy, geriatrics, marital, pastoral. Provides case management and treatment for adolescent addictions. Foster care available.
**Christian Counseling Associates, Inc.**
9650 Santiago Road, Suite 101
Columbia, MD 21045
410-995-5587
Outpatient mental health therapy, fall and spring painting classes, couple communication classes.
**Metro Maryland Counseling Center (Christian)**
3300 North Ridge Road, Suite 110
Ellicott City, MD 21043
410-750-3330
Abuse-child, domestic/violence, sexual/assault/rape, conditions-anxiety, depression, eating disorders, counseling-adult, child/pediatric, family, group, individual and pastoral therapy. Insurance: Most insurances accepted.
**Safe Harbor Christian Counseling**
8200 Old Columbia Road
Fulton, MD 20759
410-992-4075 / Fax 410-569-0094
www.safeharbor1.com
firstname.lastname@example.org
Provides Christian-based, clinically sound counseling so that people experience the recovery of their hearts. Our unique approach to marriage, family, and individual counseling includes offering an inviting atmosphere whereby a healing relationship is experienced in the counseling room.
**Sheep Gate Christian Counseling**
3450 Fort Meade Road, Suite 105
Laurel, MD 20724
301-490-3825 / Fax 301-490-3827
www.sheep-gate.com
email@example.com
Mood Disorders (Depression/Bipolar), Anxiety Disorders, (Phobias, Panic, PTSD, OCD), Substance Abuse Co-occurring Disorders, Premarital, Couples and Marital Counseling, Anger and Stress Management, Domestic Violence, Parenting Issues, Grief & Loss, Addiction Issues (Sexual, Gambling, Overeating, etc.), Co-Dependency/Self-Esteem Issues, Child & Adolescent Issues (ADHD, Conduct, Oppositional Defiant Disorders), Counseling Individuals, Couples, Families, Children & Adolescents. Insurance: Medicaid, CareFirst Blue Choice, BC/BS (Local, National, Federal, Blue), APS Healthcare, EHP, US Healthcare, Tricare, Aetna.
PFLAG
P.O. Box 1479
Columbia, MD 21044
443-718-0474
www.pflagmd.org
firstname.lastname@example.org
PFLAG (Parents, Families and Friends of Lesbians and Gays) promotes the health and well-being of gay, lesbian, bisexual, & transgendered persons, their families and friends through: support of each other, education of the broader community, and advocacy for equality.
Transgender Support Group
3rd Wednesday of the month, 7:30 p.m.
Owen Brown Interfaith Center
7246 Cradlerock Way
Columbia, MD 21045
410-381-2000
The Trevor Project
www.thetrevorproject.org
National organization which provides crisis intervention and suicide prevention services to lesbian, gay, bisexual, transgender, and questioning (LGBTQ) youth population aged 13-24.
Berni J. Antelman, MSW, LCSW-C
10630 Little Patuxent Parkway, Suite 307
Columbia, MD 21044-3204
410-740-0409
email@example.com
Outpatient services for children, adolescents and adults. Individual, couples and family. Specialties include: anxiety and depression, relationships, substance abuse difficulties, gay/lesbian, transgender issues, Autism Spectrum disorder, ADD/ADHD related problems, school problems, occupational/vocational problems.
Insurance: UBH, Aetna, Cigna, BCBS
Sean Lare, LCSW
6851 Oak Hall Lane, Suite 118
Columbia, MD 21045
410-689-9074
www.seanlare.com
firstname.lastname@example.org
Counseling to LGBTQ children, youth, adults, and their family members. Helps individuals develop new identities, navigate the transition and coming out process, attend to their relationships, and care for their mental health needs. Also provides consultation and training services focused on increasing the sensitivity to LGBTQ issues in the workplace.
Erin McClintock Smith, LCSW-C
5126 Dorsey Hall Drive, 2nd Floor
Ellicott City, MD 21042
410-564-8288
email@example.com
Provides counseling to adolescents and adults. Specializing in depression, anxiety, ADHD, and life transitions. LGBTQ-informed and allied. Certified in trauma treatment.
Elizabeth Pilson, LCSW-C
5126 Dorsey Hall Drive, Suite 202
Ellicott City, MD 21042
410-868-7431
www.elizabethpilson.com
firstname.lastname@example.org
Provides individual adult psychotherapy to adults ages 20+. Areas of expertise include anxiety, relationship conflicts, life transitions, grief and loss, codependency, and stress management. Treatment includes an eclectic approach that combines Cognitive-Behavioral, Psychodynamic and Internal Family Systems theories. Provides education to individuals about vital communication skills based on training in Gottman and Emotionally Focused Couples Therapy.
Insurance: CareFirst, BCBS, Hopkins EHP, Medicare
Molly King Safren, LCSW-C
9575 Angelina Circle
Columbia, MD 21045
301-596-2858
email@example.com
Psychotherapy for adults, couples, some adolescents. Specialties include work with grief, anxiety and depression, adult children of alcoholics, gay and lesbian issues, substance abuse and recovery, and marital infidelity and other couples issues.
Dr. Lillian M. Sylvester, Ph.D., LCPC
Teal Fire Counseling and Consulting, LLC
10630 Little Patuxent Parkway, Suite 401
Columbia, MD 21044
240-708-4947 / Fax 240-708-4962
www.tealfirecounseling.com
Provides outpatient mental health services for individuals ages 8+. Individual, family, and group therapy services provided; LGBTQ+ competent and affirming. GCS consultation and surgery preparedness letters.
Insurance: CareFirst BCBS, CIGNA, Johns Hopkins Healthcare, Medicaid, self-pay
Colette Brunell, LCSW-C, LLC
5550 Sterrett Place, Suite 314
Columbia, MD 21044
410-730-6119
www.colettebrunell.com
firstname.lastname@example.org
Provides family mediation and co-mediation. Is a Collaborative Divorce Coach, Parenting Coordinator and psychotherapist treating anxiety, depression, issues of loss and grief, women’s issues, men’s issues and couples therapy.
Insurance: some insurances – call to check.
Family First Mediation, LLC
Sally Jones, LCSW-C
204 Center Street
Mount Airy, MD 21771
301-748-1104
Familyfirstmediation.com
Family mediation services working with couples in the process of separation or divorce in a collaborative, cooperative, and family focused effort.
Columbia Mediation
10974 Trotting Ridge Way
Columbia, MD 21044
410-997-9755
Maryland Mediation Service
10326 Sixpense Circle
Columbia, MD 21044
410-997-3961
Mediation for separation and divorce
The Mediation Center
3355 St. John’s Lane
Ellicott City, MD 21042
410-480-1700
Mediation and Conflict Resolution Center
9770 Patuxent Woods Drive, Suite 306
Columbia, MD 21046
443-518-7693
www.mcrchoward.org
email@example.com
local nonprofit organization providing affordable, accessible conflict resolution services to assist individuals and organizations in Howard County with a variety of types of conflict. Services include: community mediation, family mediation, prisoner re-entry mediation, youth restorative practices, conflict management workshops, and group facilitation.
Target Group: MCRC services are available to all who live or work in Howard County.
Fees: Our services to individuals are priced so that they are accessible to all. Many services are at no cost to participants. Please inquire about our sliding scale fee structure for services with an associated charge. Please inquire about pricing for services to organizations.
Insurance: Please inquire about our sliding fee structure for services with an associated charge. Many services are at no cost to participants.
Swisher Mediation
2875 Bethany Road
Ellicott City, MD 21042
410-750-2655
www.swishermediation.com
firstname.lastname@example.org
Mediation service to help resolve divorce issues. Dispute resolution firm comprises of several judges as an alternative to litigation.
Psychiatric Rehabilitation Programs (PRPs) are licensed under COMAR 10.63. Individuals are eligible for PRP services, both at the day program site (on-site) and in their living arrangement or other community setting (off-site) if: 1) they receive Medical Assistance (MA), 2) are diagnosed with a serious mental illness that meets the state’s priority population, and 3) meet the medical necessity criteria established for this service.
**ACIDD Maryland**
5999 Harpers Farm Road, Ste. E-250
Columbia, MD 21044
443-319-5010 / Fax 443-319-5265
www.aciddmaryland.com
email@example.com
ACIDD Maryland provides on and off-site services through a wraparound Psychiatric Rehabilitation Program (PRP) and a Mental Health Vocational Program to adults with a serious and persistent mental illness throughout the Howard County area. Programs are also offered to individuals who have the other dual diagnosis of Intellectual Disability (ID) and Mental Disorders.
Insurance: Medicaid, self-pay
**Clinical Service Connections, Inc.**
8930 Route 108, Suite A
Columbia, MD 21045
443-276-3125 / Fax 443-661-1175
firstname.lastname@example.org
PRP services for adults and minors include a full range of rehabilitation activities and supports. Services for adults are organized to facilitate an individual’s recovery which includes the ability to make decisions about life and create opportunities for choice regarding home, school or work and community. Services for minors will facilitate an individual’s development of independent living and social skills including making decisions and creating opportunities for choice to the degree that is age and developmentally appropriate regarding home, school or work and community. CSC will develop individualized service plans in collaboration with the consumer and, as appropriate, the parent or legal guardian and other collaborating service providers as authorized.
Target Group: minors age 13-17; adults age 18-64; open to all eligible regardless of age. Will serve individuals with co-occurring diagnosis of intellectual disability.
Insurance: Medicaid
**Humanim**
6355 Woodside Court
Columbia, MD 21046
410-381-7171
www.humanim.com
Psychosocial Rehabilitation Program (PRP) Services at Humanim provide a safe and therapeutic environment for individuals with mental illness. The primary aim of services is to empower individuals to manage their illnesses, develop their own goals for recovery and make informed decisions about their treatment by teaching them the necessary knowledge and skills to live healthy, successful lives in the community. Services are primarily divided into three domains including education, vocation, and illness management. Services are delivered through community integration and psychosocial group programming derived from the Substance Abuse and Mental Health Administration’s (SAMHA) Illness Management and Recovery (IMR) Evidenced Based Practice. Services are specifically designed and implemented to: Support the recovery, health and/or well-being of the persons served, enhance the quality of life of the persons served, reduce symptoms or needs and build resilience, restore and/or improve quality of life, support the integration of persons served into the community, promote selfadvocacy, increase access to non-disability related social resources, increase Community Integration, offer cultural, spiritual and self-help opportunities, and increase independence on and access to public transportation.
**J & A Positive Image, LLC**
6755 Business Parkway, Suite 409
Elkridge, MD 21075
410-796-2039 / Fax 410-796-1410
www.japositiveimage.com
email@example.com
Psychiatric rehabilitation program providing wraparound services to both youth and adults. Services include, mobility and transportation support, linkage to community resources, entitlements, housing stability, linkage to therapy providers, personal hygiene & grooming, medication monitoring, nutrition and food preparation, symptom management, employment support, time management, activities to support individual's culture and interests, money management skills and job search, anger management, conflict resolution, stress management and coping skills, IEP support, substance abuse and safe sex education, Behavior modification techniques, medical and dental support. Insurance: Medicaid, disability Medicare, Tricare
**Partnership Development Group**
1110 Benfield Blvd. Suite B
Millersville, MD 21108
410-863-7213 / Fax 410-987-3154
www.pdgrehab.com
Partnership Development Group (PDG) provides quality Psychiatric Rehabilitation Services to adults with severe mental illnesses throughout the Baltimore-Washington corridor. PDG’s services are out-patient and community-based. PDG’s Psychiatric Rehabilitation Program accepts Medicaid and rarely has a waitlist.
**Therapeutic Connections**
2850 North Ridge Rd, Suite 210
Ellicott City, MD 21043
410-961-8423 / Fax 443-288-4646
www.therapeutic-connections.net
firstname.lastname@example.org
Therapeutic Connections is a Psychiatric Rehabilitation Program (PRP) that provides independent, social and life skills to youth, minors, and adults with a mental health diagnosis.
Languages: Spanish and Greek
**Way Station at Howard County**
9030 Route 108, Suite A
Columbia, MD 21045
410-740-8262
www.waystationinc.org
Clinical and vocational rehabilitation services to individuals with psychiatric disabilities. Provides vocational services that includes job placement, job coaching and on-going support.
Residential Rehabilitation Programs (RRPs) are licensed under COMAR 10.21.22. Residential beds are targeted to those individuals served by the public behavioral health system who are diagnosed with a serious mental illness and need assistance/support services to live in the community. Priority for placement in RRP is given to individuals returning to the community from State in-patient hospitalizations and individuals who are diagnosed with a mental illness and are homeless. All referrals for residential placement are screened by the Howard County Health Department/Bureau of Behavioral Health/LBHA to assure that the referral meets the criteria for placement. **Individual RRP providers can not authorize residential placements.** Please contact 410-313-6202 for a referral packet.
The Howard County Health Department has a Transition-Age Youth (TAY) Initiative that serves young adults between the ages of 18-25 who need residential services. This program is to assist young adults in becoming self-sufficient through educational/vocational services as well as other mental health support services. Priority for placement into the Transition-Age Youth (TAY) program is given to individuals age 18 who are aging out of inpatient settings such as Residential Treatment Centers (RTCs) and individuals who have utilized multiple treatment services in the public behavioral health system prior to age 18.
**Childhelp**
**The Alice C. Tyler Village of Childhelp**
21364 Dragoon Road
Lignum, VA 22726
540-399-1926
[www.childhelpvirginia.org](http://www.childhelpvirginia.org)
Therapeutic treatment for children in crisis. Childhelp programs and services help to work towards meeting the physical, emotional, educational, and spiritual needs of the abused, neglected, and at-risk children.
Insurance: Medicaid (VA, WV, NC, MD, NJ, PA), accepts most insurances including Medicaid MCO’s
**Humanim, Inc.**
6355 Woodside Court
Columbia, MD 21046
410-381-1500
The Community Housing Program assists individuals in achieving independence within the community by providing a stable place to live. It provides support services that promote a person’s ability to engage and participate in community activities, and in a supportive environment, improve and restore independent living and social skills necessary to support an individual’s recovery, ability to make informed decisions and choices, and participate in community life. A person-centered Individual Rehabilitation Plan (IRP) will be developed, identifying goals and objectives that reflect needed areas of development and preferences. Services are individualized with the objective of moving the person to a more independent living situation; either within the program or moving them into their own residence. **Services Available:** Affordable subsidized housing, Strength identification; Person-centered and strengths based goal development; Coaching and accountability towards goal achievement; Rehabilitative counseling; Education about mental health conditions and treatment; Assistance developing coping skills; Supportive counseling and problem solving; Life skills training community life; Medication Management; Case Management; Primary care integration through enrollment in our Health Homes Program; 24 Hour Crisis Response and Intervention Services; Benefits Counseling
and Entitlements Management; Vocational and employment services through enrollment in our Evidenced Based Supported Employment Program; Community integration activities.
**Way Station, Inc. at Howard County**
9030 Route 108, Suite A
Columbia, MD 21045
410-740-8262
Provides residential rehabilitation services to individuals with psychiatric disability. Housing, entitlement assistance and case management are provided.
The Supported Living Program at Humanim assists individuals with mental illness in maintaining independent living within the community. The program provides a continuum of services to meet the unique needs of the individual. Services and activities are designed to assist individuals in improving self-sufficiency, increasing choice, gaining control of their lives and increasing participation in the community. The optimal use of natural supports; whereby each person builds their own network of supports are integral components of the Supported Living Program. Individuals will identify their community support network (family, friends, church members, self-help group members). Case Coordinators will collaborate with the person’s network of supports in planning and goal setting. Supported Living services are provided in the individual’s home and at various locations throughout the community based upon the needs of the individual served.
Clinical and vocational rehabilitation services to individuals with psychiatric disabilities.
Humanim’s Evidence Based Supported Employment (EBSE) Program works with individuals with chronic and severe mental illness. The model is implemented in conjunction with the Behavioral Health Administration and the University of Maryland School of Medicine, Department of Psychiatry. Our Employment Consultants are involved in every aspect of the vocational process, focus on individualized career planning, and are an active part of the individual’s clinical team. All employment services focus on individualized person-centered planning; services include career assessment, career exploration, skill development, benefits counseling, job placement, on-going job support, including on and off site job coaching. Our goal is to work with individuals and his/her treatment team to create an integrated plan of care that increases the individual’s independence, self-efficacy, and recovery.
Clinical and vocational rehabilitation services to individuals with psychiatric disabilities. Provides vocational services that includes job placement, job coaching and on-going support.
The following are hospitals that provide in-patient psychiatric treatment services and are used by residents of Howard County.
**Howard County General Hospital**
5755 Cedar Lane
Columbia, MD 21044
410-740-7890
www.hcgh.org
General hospital that offers emergency room assessments and acute inpatient psychiatric care. Psychiatric in-patient unit has several beds dedicated to adolescents. Insurance: All insurances accepted.
**Carroll Hospital Center**
200 Memorial Avenue
Westminster, MD 21157
410-848-3000
General hospital that offers emergency room assessments and acute inpatient psychiatric care. In-patient unit accepts individuals who are certified for a non-voluntary admission. Insurance: All insurances accepted.
**Laurel Regional Hospital Center**
7300 Van Dusen Road
Laurel, MD 20707
301-497-7980
www.umms.org
General hospital that offers inpatient psychiatry and dual diagnosis services, an acute inpatient adolescent program, outpatient addictions program & emergency room assessments. Insurance: All insurances accepted.
**Laurel Regional Hospital**
Outpatient Behavioral Health Services
Partial Hospitalization Services
7300 Van Dusen Road
Laurel, MD 20707
301-362-2086
www.umcapitalregion.org
The Partial Hospitalization Program offers the structure of a psychiatric program while allowing patients to go home in the evening and remain connected to family, friends and other support systems. The PHP provides assessment and evaluation, psycho-education, individual, group and family therapy. Insurance: Most commercial insurance plans, Medicare and Medical Assistance.
**Sheppard Pratt at Ellicott City**
4100 College Avenue
Ellicott City, MD 21041
1-800-883-3322 or 410-465-3322
Admissions 410-938-3800
www.sheppardpratt.org
Private psychiatric facility providing voluntary and involuntary inpatient services.
**Springfield Hospital Center**
6655 Sykesville Road
Sykesville, MD 21784
410-970-7000
State operated facility for long-term psychiatric services, including inpatient day unit and outpatient services for the deaf/hearing impaired.
The Department of Housing and Community Development provides affordable housing opportunities for low and moderate income residents of Howard County. The Housing Commission is a separate legal entity which serves as the Public Housing Authority for the purpose of developing and managing housing resources for low and moderate income residents of Howard County.
**The Housing Choice Voucher Program (formerly known as “Section 8”),** provides assistance for very low-income households (single or family), the elderly, and the disabled to afford decent, safe, and sanitary housing in the private market. Participants who receive vouchers search for their own housing, which may include single-family homes, townhouses, and apartments, or even the family’s present residence. The housing subsidy is paid to the participating landlord directly by the Howard County Housing on behalf of the resident. This payment is paid with the caveat that the housing unit meets the requirements of the program.
**The Public Housing Program** is funded and regulated by the United States Department of Housing and Urban Development (HUD), created to assist lower income families live in affordable, decent and safe housing. The housing agency owns the units rented to approved families. The participating families are required to pay 30% of their adjusted gross income toward rent and utilities.
**Rental Assistance Program** is funded and regulated by the Maryland Department of Housing and Community Development, providing grants to local governments to assist low income families who either are homeless or have an emergency housing need with flat rent subsidies. The ultimate goal is to help families transition from homelessness or temporary emergency housing to permanent housing. Participating families find their own housing for rent, boarding house rooms, other single room occupancy arrangements, apartments, group homes, transitional housing (provided it is not temporary emergency housing), single family houses, and mobile homes.
**Affordable Housing:** The Rental Housing Program leases affordable, decent and safe units, of varying size and type, to low-to-moderate income County residents. The family’s monthly rent payment varies and is based on factors such as gross income, unit size and the affordable rent structure associated with the unit.
An application is maintained until it reaches the top of the waiting list. At such time, an eligibility determination will begin and an interview will be scheduled to complete the eligibility determination. The amount of time that an applicant remains on the waiting list varies and is dependent on several factors. While on the waiting list, Howard County Housing (HCH) may send letters from time to time requesting information to update existing application files or asking if applicants are still interested in housing assistance. Applicants that do not respond will be removed from the waiting list.
For more information contact the Howard County Housing (HCH):
Howard County Department of Housing
9970 Patuxent Woods Drive, Suite 100
Columbia, MD 21046
443-518-7800
www.househoward.org
Local Homeless Shelter
Grassroots Crisis Intervention Center
6700 Freetown Road
Columbia, MD 21044
410-531-6677 (24 hours), 410-531-6006
Provides shelter services to homeless individuals. Operates a Cold Weather Shelter from November thru March at various locations throughout the community. Staffs the Route 1 Resource Center for homeless individuals three days a week (call for specific hours). The Resource Center addresses the basic needs of the homeless population such as provide a place for showers, a hot meal and referral to community services.
CARE GIVER RESOURCES
Alzheimer’s Association, Maryland Chapter
1850 York Road, Suite D
Timonium, MD 21093
410-561-9099
National Family Caregiver Support Program
6751 Columbia Gateway Drive
Columbia, MD 21046
410-313-1234
The NFCSP offers a range of services to support family caregivers. Five primary services are offered including information to caregivers about available services, assistance to caregivers in gaining access to the services, individual counseling, organization of support groups, and caregiver training, respite care, and supplemental services, on a limited basis.
Caregiver Resource Coalition of Howard County
6751 Columbia Gateway Drive
Columbia, MD 21046
410-313-6560
National Family Caregivers Association
10400 Connecticut Avenue, Suite 500
Kensington, MD 20895
1-800-896-3650
Senior Care Services (offered through the Howard County Office on Aging and Independence MD Access Point)
410-313-1234
The Howard County Health Department Bureau of Behavioral Health has a Psychogeriatric Coordinator providing free consultation for providers and agencies serving older adults with behavioral health needs and the community at large. This position also provides training for caregivers concerning behavioral management, referral and linkage to behavioral health and aging services and agencies, liaison and after care coordination for older adults transitioning into the community from state psychiatric hospitals and community outreach in partnership with local services. For more information call the Bureau of Behavioral Health at 410-313-6202.
The Howard County Office on Aging and Independence offers many programs and services that are accessed through Maryland Access Point (MAP) at 410-313-1234 or www.howardcountymd.gov and click on “seniors”. A directory of senior resources can be obtained at any Senior Center and the Howard County Department of Community Resources and Services/Office on Aging and Independence by calling MD Access Point (410-313-1234).
Case management or care management for older adults who may need a wide array of community support services is available through various financial arrangements. Fees will be no cost or will be determined by the practitioner, including some sliding scale fees. Contact Maryland Access Point (MAP) at 410-313-1234 or www.howardcountymd.gov and click on “seniors”.
Office on Aging and Independence
9830 Patuxent Woods Drive
Columbia, MD 21046
410-313-1234
www.howardcountymd.gov
Maryland Access Point
Howard County Office on Aging and Independence
9830 Patuxent Woods Drive
Columbia, MD 21046
410-313-1234 / 1-844-MAP-LINK
Fax 410-313-5970
www.howardcountyaging.org
email@example.com
Maryland Access Point (MAP) is a trusted source of information and assistance for Howard County residents who need or want to plan for their immediate and future needs. MAP serves adults 50 years and older, adults 18 years and older with a disability, family members and other caregivers, and health or business professionals. MAP resource specialists help individuals balance needs, wants, and resources to develop options to stay in the community; refer individuals to local, state, and federal programs and benefits and help individuals plan for their future needs. Services are free, confidential, unbiased. Language: Korean
Guardianship/Public Program
Under the public guardianship program, case management services are provided to individuals ages 65 and older who are declared incompetent by the court and who have no relatives or family to serve as guardian. Call 410-313-1234 for more information regarding this program.
Adult Evaluation & Review Services (AERS)
8930 Stanford Boulevard
Columbia, MD 21045
410-313-1234
This is a program sponsored by the Health Department that provides screening, consultation, free multidisciplinary assessment and access to public services for persons needing support to live in the community. This is a critical step in determining need for in-home, assisted living and nursing home care.
Housing Assistance
Older adults with mental health needs have several housing options:
1. **Office on Aging and Independence**—contact MD Access Point – 410-313-1234. This may include an array of housing resources, home modification and home repair.
2. **Apartment communities for senior citizens**: contact Howard County Office on Aging and Independence’s Housing Program at 410-313-1234. Check the Shoppers Guide to Community and Apartment Living for an up to date listing.
3. **Section 8 Certificate & Housing Vouchers**: “Tenant based” subsidies, which allow elderly/disabled individuals to rent apartments or homes. Vouchers are transferable between counties and states. Contact the Office of Community Housing and Development at 410-313-6318.
4. **Residential Rehabilitation Programs**: Limited housing available to financially eligible individuals with serious mental health disabilities. Contact the Howard County Health Department/Bureau of Behavioral Health/Local Behavioral Health Authority for more information at 410-313-6202.
5. **Assisted Living Facilities**: Provides personal care to people who need help with the activities of daily living and other services as a result of physical or cognitive impairment. Contact the Office on Aging and Independence Program at 410-313-1234.
6. **Nursing Homes**: These facilities provide a higher level of care than assisted living facilities, addressing physical and medical needs. A list of nursing homes can be found in the Senior Resources Guide or by calling Howard County Office on Aging and Independence Program at 410-313-1234.
Maryland Home and Community Based Services for Older Adults
Home and Community Based Services are offered to older adults and individuals with disabilities as part of the Medicaid Waiver Program. The Medicaid Waiver enables older adults to remain in the community setting even though the individual meets medical eligibility criteria for placement in a nursing home facility. The Medicaid Waiver allows those services usually covered by Medicaid only in a nursing home setting, to be provided to eligible individuals in their own home or in assisted living facilities in the community. Assisted living and in-home services for individuals are available for those who meet Medicaid Waiver eligibility. There may be an extensive waiting period. You should contact the Howard County Office on Aging and Independence. For this and for more information on the Medicaid Home and Community Based Waiver Program, contact the MAP (Maryland Access Point) office at 410-313-1234.
SHIP – Senior Health Insurance Assistance Program
The Howard County Office on Aging and Independence provides information and health insurance counseling services to people age 50+ and Medicare beneficiaries of any age. Office visits and home visits for homebound are available. Call 410-313-7392.
The health department plans, manages, and monitors the publicly funded substance use disorder services in Howard County.
**Howard County Health Department:**
**Bureau of Behavioral Health/Local Behavioral Health Authority**
Roe Rodgers Bonaccorsy, Bureau Director
8930 Stanford Boulevard
Columbia, MD 21045
410-313-6202 / Fax 410-313-6212
www.hchealth.org/gethelp
firstname.lastname@example.org
Services include linkage to care, outpatient treatment at the Detention Center, care coordination, peer recovery support, drug court/DUI court case management, private insurance behavioral health advocacy, behavioral health community liaison, screen and referrals at the Department of Social Services, overdose response program, and opioid misuse prevention program.
**American Psychiatric Care**
8895 Center Park Drive, Suite E
Columbia, MD 21045
www.americanpsychcare.com
Evaluation of mental illness, addiction medicine, medication management, Vivitrol injection for opioid/alcohol dependence, psychiatric clearance for bariatric surgery, telemedicine appointments.
Insurance: Aetna, BC/BS, Carefirst BlueChoice, Cigna, Cigna Healthspring Megellan, Medicare, Priority Partners, Tri-Care, Value Options
**American Psychiatric Group**
10632 Little Patuxent Parkway, Suite 104
Columbia, MD 21044
410-599-9977
Americanpsychiatricgroup.com
Early intervention, DUI/DWI, outpatient, intensive outpatient, and partial hospitalization services. Medically assisted substance treatment. Individual, group and family therapy. Court-ordered clients.
Insurance: Private insurance, Medical Assistance/Medicaid and Medicare
**A Better Way Counseling Services**
9017 Red Branch Road, Suite 204
Columbia, MD 21045
410-730-4500 / Fax 410-730-5119
Provides outpatient substance abuse and mental health program for adults & adolescents. Individual, group and family therapy, state certified program, drunk driving, DWI offenders, anger management. Sliding scale fee
Insurance: Most Private Insurance.
**Anne Arundel Counseling**
8840 Stanford Boulevard, Suite 1700
Columbia, MD 21045
410-768-5988 / Fax 410-768-5989
www.annearundelcounseling.com
email@example.com
DUI Education, Early Intervention and Outpatient Adult and adolescent services
Insurance: Self-Pay, Commercial Insurance
**ACT II Counseling Services**
413 Main Street, #1
Laurel, MD 20707
301-498-5766/Fax 301-490-7861
Behavioral Health Counseling, Intensive Outpatient, Outpatient, Early Intervention, Mental Health Services
Insurance: Medicaid, private, fee scaling
Robert Cadogan, M.D.
8940 Old Annapolis Road, Suite E
State Route 108
Columbia, MD 21045
410-300-4545
Patients with opioid addiction and alcohol dependence.
Insurance: Medicaid
Columbia Addictions Center
5570 Sterrett Place, Suite 205
Columbia, MD 21044
410-730-1333 / Fax 410-730-1559
www.columbiaddictions.com
Substance-Related Disorder Assessment and Referral (SAR), Substance-Related counseling, DUI Education Program Early Intervention .05 Program; Anger Management Evaluations and Psycho-educational Groups; SAP Services for DOT Violations Co-Occurring and Mental health assessments and treatment. Spanish services available.
Adult and adolescent services.
Insurance: Self-Pay
Community Behavioral Health
10774 Hickory Ridge Road
Columbia, MD 21044
844-224-5264 x16
www.communitybehavioralhealth.net
Early Intervention, Outpatient, Intensive Outpatient, Partial Hospitalization, Buprenorphine, Vivitrol
Adult and adolescent services
Insurance: Self pay, Medicaid
Congruent Counseling Services, LLC
10630 Little Patuxent Pkwy, Suite 209
Columbia, MD 21044
410-740-8066 / Fax 410-740-8068
Intensive Outpatient Programs for adolescents, young adults, and adults. Both mental health and substance use related issues addressed, utilizing group therapy, psychoeducation, individual therapy, family group sessions, and family counseling. Intended for individuals with serious family, social, legal, or school problems; who might not have succeeded in treatment previously; or have a serious addiction.
Insurance: Program covered by most major insurances. Adolescent IOP covered by Medical Assistance.
Counseling Resources, Inc.
8388 Court Avenue
Ellicott City, MD 21043
410-461-8662 / Fax 410-480-4744
Co-occurring mental health and substance use disorders, outpatient, adolescent and adult, DWI Education. Adult and adolescent services
Insurance: Self-Pay with a sliding fee
Delphi Behavioral Health Group
9523 Hickory Falls Way
Nottingham, MD 21236
443-966-5591 (Local Line)
844-216-2500 (24/7 Immediate Assistance)
www.delphihealthgroup.com
firstname.lastname@example.org
Delphi Behavioral Health Group is a leading nationwide network of substance abuse treatment facilities that aim to raise the standard of addiction treatment in the U.S. Delphi is dedicated to providing the full continuum of care across the nation.
Affiliated with Maryland House Detox.
Insurance: BCBS, United Healthcare, Cigna, Aetna
Erica Dixon, LCPC, LCADC
IME Behavioral Health, LLC
8840 Stanford Boulevard, Suite 1600
Columbia, MD 21045
240-512-0141/Fax 240-512-0151
www.imebehavioralhealth.com
DUI assessments, DUI education
Gladstone Psychiatry and Wellness
9841 Brokenland Parkway, Suite 211
Columbia, MD 21046
443-708-5856/667-212-5095 Fax
www.gladstonepsych.com
Buprenorphine, Vivitrol,
Psychiatric/Medication Monitoring. Child,
Adolescent and Adult services.
Insurance: Self-Pay, Aetna, BC/BS, Carefirst,
Cigna, United Healthcare
Hilda’s Place
2480 Roxbury Mills Road, #10
Cooksville, MD 21723
410-489-3737
Intensive Outpatient, Outpatient, detox,
DUI/DWI education, acupuncture and
meditation, grief counseling, anger
management, youth services, family
support services, NA and AA.
Transportation Available
Language: Spanish and Burmese
Interpreters
Howard House
9876 Clarksville Pike
Ellicott City, MD 21042
410-772-3915 / Fax 410-772-3916
www.tuerkhouse.org
Residential substance abuse facility funded
by the Health Department and operated by
Vanguard Services for males over the age of
18.
Integrative Counseling
10630 Little Patuxent Pkwy, Suite 209
Columbia, MD 21044
410-740-8067 / Fax 410-964-8068
Outpatient group and individual counseling
for substance abuse and addiction issues, as
well as outpatient buprenorphine
maintenance with separate programs for
adults and adolescents. Also offers DWI
assessment and treatment/education options
and work closely with lawyers, Judges and
local DDMP offices. Affiliated with
Congruent Counseling and can easily provide
mental health counseling and psychiatric
evaluation and medication management.
JAEI Health Services
10176 Baltimore National Pike, #115
Ellicott City, MD 21042
410-203-2120/410-203-2123 Fax
www.jaelhealth.com
Opioid dependent adults
JEM Comprehensive
6700 Alexander Bell Drive, Suite 200
Columbia, MD 21046
410-324-7624
www.Jemcomprehensive.com
Drug/Alcohol Early Intervention and DUI
Education Programs.
Johns Hopkins Department of Psychiatry &
Behavioral Sciences at Howard County
10710 Charter Drive, Suite G
Columbia, MD 21044
410-720-8530 / Fax 410-720-7263
Outpatient, General psychiatry for Adults,
Adolescents and Adults for Eating disorders
Insurance: Commercial insurance, Medicaid
Kolmac Outpatient Recovery Centers
10632 Little Patuxent Pkwy, #410
Columbia, MD 21044
443-276-0556 / Fax 410-313-1449
Admissions 301-589-0255
www.kolmac.com
Adult males & females, young adults. Day
and evening hours, and telephonic and
walk-in intake appointment.
Buprenorphine services available 9:30 AM –
12:30 PM for private insurance.
Insurance: All major commercial insurance
including Tricare.
Life Renewal Services
10805 Hickory Ridge Road, Suite 103
Columbia, MD 21044
410-387-2763 / Fax 410-387-2764
www.liferenewalservices.net
Outpatient mental health center for children, adolescents, and adults. Individual, family, couples, and group therapy. On-site medication management. Psychiatric Rehabilitation Program (children to adults).
Insurance: Self-Pay, Medicaid, and PPO with out of network benefits.
Maryland House Detox
Delphi Behavioral Health Group Company
817 South Camp Meade Road
Linthicum Heights, MD 21090
410-923-6700 – available 24/7
1-844-411-8183
www.delphihealthgroup.com
www.mhdetox.com
As the only a free-standing detox facility in the state, Maryland House Detox works to provide an essential first step to addiction treatment by creating a secure environment for an effective detox and helping those towards recovery. Provides services for adults 18+.
Insurance: BCBS, United Healthcare, Cigna, Aetna
Life’s Potential Services
10805 Hickory Ridge Road, Suite 103
Columbia, MD 21044
410-387-2763 / Fax 410-387-2764
www.liferenewalservices.net
Early Intervention, Outpatient, Intensive Outpatient, Individual and Group Counseling, Adult and minor services.
Insurance: Self-Pay and Medicaid
MPB Group
6440 Dobbin Road, Suite D
Columbia, MD 21045
410-730-2385
www.mphhealth.com
email@example.com
Individual, family and group therapy, PRP (mentoring for youth), psychological and psychiatric evaluations, medication management to children, adolescents, and adults. Offers outpatient services as well as integrated (substance abuse) treatment services. Home Based Therapy available. Clinical issues: sexual abuse/physical abuse/neglect, attachment/bonding issues, trauma (PTSD), grief/loss & bereavement, substance abuse, anxiety/panic disorders, regulatory difficulties (ADHD, OCD), mood disorders (depression, anxiety), behavioral issues (oppositional defiant), play/therapy and parenting. We do not offer services related sex offense specific treatment.
Insurance: Medicaid, self-pay
Language: Spanish
Martin Counseling & Associates, LLC
5126 Dorsey Hall Drive, Second Floor
Ellicott City, MD 21042
443-610-2404
www.martincounselingllc.com
firstname.lastname@example.org
Provides comprehensive mental health and substance abuse assessment, evaluation and therapeutic services for adolescents, adults, and families. Mental health issues, to include: Anxiety Disorders, Mood Disorders, PTSD and Complex PTSD and Dissociative Disorders, Mood Disorders, ADHD, OCD, Conduct Disorders, Attachment Disorders, and related Substance Abuse Disorders. Alternative treatment modalities include, acupuncture, Reiki, reflexology, holistic nursing and holistic medicine.
Maryland Driving School, LLC
6851 Oak Hall Lane, Suite 201
Columbia, MD 21045
410-381-0770 / Fax 410-312-9273
Espanol 301-585-2232
Sibus Treatment Services
6170 Hunt Club Road
Elkridge, MD 21075
443-820-3234
www.sibus-mat.com
A comprehensive, medically assisted opioid treatment program that provides a person-centered culture and tailors treatment for each individual based on his/her personalized needs. Provides Methadone and Buprenorphine.
Insurance: Medicaid, self-pay
Therapeutic Connections
2850 North Ridge Road, Suite 210
Ellicott City, MD 21043
410-961-8423
www.therapeutic-connections.net
DUI Education, Early Intervention, Substance-Related Disorder Assessment and Referral.
Silverman Treatment Solutions
8930 Stanford Boulevard, #M100
Columbia, MD 21045
443-285-0807
www.silvermantreatment.com
Opioid Maintenance Therapy, Early Intervention, Outpatient, Intensive Outpatient, Ambulatory Detox, Methadone and Buprenorphine. Adult males and females & pregnant females.
Way Station
9030 MD-108
Columbia, MD 21045
410-740-1901
Mental health outpatient, co-occurring mental health and substance use disorder outpatient and IOP, psychiatric evaluation, medication monitoring
Insurance: self-pay, commercial, Medicaid
SUBSTANCE USE DISORDER TREATMENT ON-LINE RESOURCES
All Treatment: Local Teen Rehab Center Locator
www.alltreatment.com/teen-addiction-treatment
Breaking Heroin’s Grip: Road to Recovery – Maryland Public Television
www.mpt.org/breakingheroin / 800-422-0009
Bureau of Behavioral Health – Howard County Health Department
www.hchealth.org/gethelp / 410-313-6202
CDC’s Guidelines for Prescribing Opioids
www.cdc.gov/drugoverdose/prescribing/guideline.html / 800-232-4635
Local Teen Drug and Alcohol Rehab Center Locator-Gov’t Data
www.alltreatment.com/teen-addiction-treatment
Maryland Crisis Hotline
www.suicide.org/hotlines/maryland-suicide-hotlines.html/ 800-422-0009
Maryland State Department of Education, Preventing Opioid Use and Abuse
www.marylandpublicschools.org/pages/heroinprevention/index.aspx / 410-767-0100
SAMHSA’s Behavioral Health Treatment Services Locator
www.findtreatment.samhsa.gov / 1-800-662-4357
Advanced Behavioral Health
Intake Coordinator: 301-345-1022
Fax Referrals: 301-560-5558
Off-Site Counseling Services (OCS) – In-home therapy provided by licensed therapists to children, adolescents and their families who have Medicaid/MA as their health insurance. Minimum 2 visits per week in the home, school or other client-determined location. Goals:
• Reduce risk of out-of-home placement (hospitalization, foster care, detention)
• Reduce risk of higher intensity school placement
• Improve mental health/well-being of children, adolescents and their caregivers
• Reduce family conflict
• Improve family functioning
• Increase pro-social behaviors in home, school and community
• Empower individuals and families to explore, define and make better behavioral choices
Applied Behavioral Mental Health Counseling
1997 Annapolis Exchange Pkwy, Suite 300
Annapolis, MD 21401
410-231-7613 / Fax 718-874-0052
www.appliedabc.com
Applied Behavioral Mental Health Counseling provides home based behavioral therapy (ABA) for children and young adults ages 0-21. We strive to provide the best possible clinical techniques for children with ASD (Autistic Spectrum Disorder) and other pervasive developmental disorders.
Insurance: Autism services are covered by many insurance policies.
Camp Attaway
Camp Director: Saul Lieberman, Ph.D.
8640 Guilford Road, Suite 220
Columbia, MD 21046
410-730-2633
www.campattaway.org
email@example.com
Summer therapeutic recreation day camp for children, ages 7-13 with emotional and behavioral disorders. Activities include art and crafts, swimming, sports, games, rock climbing and nature. Staff to child ratio of 1:2. Parent education and support group. Generous scholarship program.
The Care Center – Early Childhood Mental Health Project
410-313-CARE
firstname.lastname@example.org
www.howardcountymd.gov/carecenter
The Early Childhood Mental Health program can help child care providers and early childhood educators with children ages 0-5 years of age that have difficult and disruptive behavior. CARE Center behavior specialists work on site and provide observations and consultations with families and educators to provide intervention and support to decrease challenging behaviors such as:
• Anxiety
• Aggression/biting
• Trouble following directions
• Hard to soothe
• Difficulty forming relationships/developing friendships
Behavior specialists work on these issues with the goal of keeping children in care, giving them a better chance to enter school ready to learn. The CARE Center can answer questions about school readiness and success in school, positive youth development, community services, concerns about your child’s emotional or mental health, difficult or inappropriate
behaviors, child care programs and preschools, developmental delays, including speech, physical disabilities or hearing, local recreation and sports programs, classes for parents on child development, positive discipline and parenting skills, financial assistance, support groups for parents and children, intensive needs services and respite care, drug or alcohol use or abuse.
**Center for Child and Family Traumatic Stress at Kennedy Krieger Institute**
9730 Patuxent Woods Drive
Columbia, MD 21046
443-923-5980 / Fax 443-923-5905
www.KennedyKrieger.org/TraumaticStressCenter
email@example.com
Center for Child and Family Traumatic Stress at Kennedy Krieger Institute provides evidenced-based mental health treatment to children, adolescents and families who have experienced trauma such as physical or sexual abuse, neglect, domestic violence and community violence. The education and training and offered to parents, professionals and community organizations promote greater understanding of the developmental, emotional and behavioral consequences of trauma and communicates the most effective ways to provide care. The Center for Child and Family Traumatic Stress is an affiliate member of the National Child Traumatic Stress Network, which is a national resource focused on childhood trauma.
Insurance: Medical Assistance, Tri-Care and most private insurance plans
Language: Spanish
Dr. Brett Greenberger, Owner, Child and Adolescent Psychiatrist
Emily Greenberger, LCSW-C,
Child, adolescent and family mental health services. Individual, group and family counseling, art therapy and cognitive behavioral therapy. Psychiatric services include Diagnostic Evaluation and medication management.
Insurance: Carefirst, Aetna, Optum, Medicare
**Congruent Counseling Services, LLC**
10630 Little Patuxent Pkwy, Suite 209
Columbia, MD 21044
410-740-8066 / Fax 410-740-8068
www.congruentcounseling.com
Congruent Counseling has 40 therapists and counselors on staff, most of whom see children, teens, and families. Treatment is provided at Sykesville, Columbia, Olney, Glen Burnie and Towson. Visit the website for full list of staff and their specialties.
Intensive Outpatient Treatment (IOP) for teens with substance use and mental health issues also provided.
Insurance: Most major insurances
**Grassroots Crisis Intervention Services**
**Crisis Hotline**
1-800-422-0009
Provides a 24-hour suicide hotline telephone counseling and a Runaway Teen Program. Grassroots also provides a service for runaways in Howard County (410-531-6677). All services are free.
Holistic Child Psychiatry
Phyllis Heffner, MD
10801 Hickory Ridge Road, Suite 215
Columbia, MD 21046
410-260-0344 / Fax 410-260-0344
www.holisticchildpsychiatry.com
firstname.lastname@example.org
Holistic and Integrative Child and Adolescent Psychiatry with primary focus on assessing and treating symptoms of Autism, Attention Deficit Hyperactivity Disorder, Depression and Anxiety and more in people from age 2 - 65 using biomedical, nutritional, lifestyle, stress management, EEG Neurofeedback, Heart Rate Variability Training, and other techniques to lessen or avoid the use of medication if possible.
Insurance – Private pay, out of network for all insurance
Integrative Counseling
10630 Little Patuxent Pkwy, Suite 209
Columbia, MD 21044
410-740-8067 / Fax 410-740-8068
www.Integrative-Counseling.com
Provides Psychological Testing, Outpatient Substance Use treatment and education, DBT Informed Treatment, Girls and Boys Skills/Social Skills Groups, and Psychiatrist/medication management for children and teens.
Kidsline
410-461-1833
United Way sponsored telephone counseling for youngsters during after-school hours.
Kennedy Krieger Institute
9810 Patuxent Woods Drive, Suite C
Columbia, MD 21046
443-923-7508
Provides assessment and treatment to children between the ages of 2 to 18 years with a variety of behavior problems including sleep difficulties, tantrums, toileting issues, poor social skills and conduct related problems. This clinic specializes in serving children with developmental delays and disabilities, such as autism spectrum disorders and intellectual disabilities as well as children without the above issues.
In-Home Intervention Services
Way Station, Inc.,
Child & Adolescent Division
9030 Route 108, Suite A
Columbia, MD 21045
410-740-1901 ext. 7726
Provides outreach and engagement to children/adolescents who are at risk of being removed from their home or who are re-integrating into the home and community from an out of home placement. Time limited (3-6 months) with focus on integrating child and family into existing community treatment and support services.
Lighthouse Center for Therapy and Play
10632 Little Patuxent Parkway, Suite 327
Columbia, MD 21044
443-864-5647 / Fax 443-276-0905
www.lighthouseplaytherapy.com
email@example.com
firstname.lastname@example.org
A private group practice that works specifically with adults, children, and families (ages 0-64). We have a Registered Play Therapist-Supervisor on staff, trauma professionals and are a trauma-informed practice. We accept most insurance plans
and will work with those clients that are unable to access services.
Insurance – Medicaid, Medicare, Aetna, Cigna, CareFirst BC/BS, Magellan, Beacon Health/ValueOptions
**Maryland Coalition of Families for Children’s Mental Health (MCF)**
10632 Little Patuxent Parkway, Suite 234
Columbia, MD 21044
410-730-8267 or 1-888-607-3637
Fax 410-730-8331
www.mdcoalition.org
email@example.com
The Maryland Coalition of Families for Children’s Mental Health is a grassroots coalition of family and advocacy organizations dedicated to improving services for children with mental health needs and their families and building a network of information and support for families across Maryland. Visit our website to learn about Coalition initiatives and browse our online directory of resources.
**The Family Navigators Program:** Family Navigators are not lawyers or therapists and do not provide legal representation or counseling. Navigators do not advise families on decisions pertaining to their children, but provide support and information to discuss options with families so they can make the best choices for their children. A Family Navigator can provide:
- Information, referral and linkage to appropriate services for your child
- One-to-one support and advocacy for your family
- Guidance in completing forms and applications for services
- Support at meetings related to your child, when possible
- Education on laws, policies and procedures to access services to your child
- Workshops to inform you and other families on services and ways to effectively advocate for your child.
Family Navigators also work in partnership with local agencies and participate on planning and advisory boards to provide a family perspective on policies and programs for children with special needs. Navigators make every effort to involve many families in leadership roles in their community.
**Milestones Counseling and Consulting Services**
10632 Little Patuxent Parkway, Suite 330
Columbia, MD 21044
443-574-4295/443-574-6515 Fax
www.milestonesccs.com
firstname.lastname@example.org
Counseling for social skills, problem solving skills and helps promote a better understanding of self. Works with children and adolescents, and young adults who experience challenges in everyday life including school, work, recreational, home and work settings. Consults with families of special needs students regarding IEP’s, 504s, and behavioral interventions. We provide individual therapy, family therapy, group therapy, & consulting services. Areas of expertise include: ADHD, anger management, anxiety, autism, behavioral issues, bipolar disorder, coping skills, depression, school/learning issues, mood disorders, parent-child conflict, and family systems. Treatment modalities include: Cognitive Behavioral Therapy (CBT), Family Systems, Solution Focused Brief Therapy (SFBT), Trauma Focused, Play Therapy, & Motivational Interviewing.
Insurance: BlueCross BlueShield, CareFirst, Magellan, Cigna, Out of Network
MSA-The Child and Adolescent Center
10005 Old Columbia Road, Suite L260
Columbia, MD 21046
443-259-0400 / Toll Free 866-853-4397
Fax 443-259-0044
MSA is a comprehensive community-based outpatient treatment center servicing patients age 3 thru 21. Services include Psychiatric Intensive Outpatient Program for adolescents and the only children’s Intensive Outpatient Program in Maryland. MSA provides traditional outpatient mental health care including psychiatric evaluations and medication management by board certified child/adolescent psychiatrists along with individual, family and group therapy by licensed therapist.
Insurance: Medicaid, Medicare and most major health insurance plans.
Runaway Switchboard
1-800-621-4000
A national service based in Chicago. Provides assistance, including transportation, to runaway children. Crisis intervention, advice to parents, message center.
Sandstone Care
11820 Parklawn Drive, Suite 430
Rockville, MD 20852
301-329-8067
www.sandstonecare.com
Drug, alcohol, and mental health treatment for teens and young adults. Treatment for mental health concerns include anxiety, depression, trauma, and personality disorders. Continuum of care program is provided; this includes medical detox, young adult residential treatment, or teen residential treatment, young adult day treatment, young adult intensive outpatient (IOP), and therapeutic sober living.
Insurance: Cigna, BlueCross BlueShield, Aetna, Humana, MultiPlan, UnitedHealthcare, United Behavioral Health, Value Options
National Family Resiliency Center, Inc.
10632 Little Patuxent Parkway, Suite 121
Columbia, MD 21044
410-740-9553
Educational and therapeutic services for children and parents; individual, family and group counseling, educational programs, mediation, child-focused access planning, online Family Connections parenting plan program; volunteer peer counseling, community education, publications, advocacy and professional training and certification.
Newport Academy
12300 Twinbrook Parkway, #250
Rockville, MD 20852
866-265-5898
www.newportacademy.com
Provides outpatient and residential programs for adolescents and young adults (ages 12-27) who struggle with mental health conditions and substance use. Day school programs and continuing care programs are also available. Areas of treatment include depression, trauma, anxiety, addiction, suicide, eating disorders, behavioral addictions, and other mental health conditions.
Insurance: call for details
Stand-Up HoCo: A Campaign to Prevent Bullying
Stand Up HoCo is a safe way to report:
• Bullying, harassment or intimidation
• Cyberbullying (e.g. Facebook, Twitter, Text Message, Instant Message)
• Fights, drugs, alcohol or weapons
• Friends who talk about hurting themselves
There are two ways to STAND UP:
1. Connect on Facebook to join the conversation:
facebook.com/StandUpHoCo
2. Report incidents of bullying on hoco.sprigeo.com
Healthy Transition-(HT) Services
This program is an effort to educate, support and assist emerging youth and young adults 16-25 years of age with behavioral health challenges regain and maintain independence in the community, while assisting with the unique challenges of transitioning into adulthood. These services are an individualized, strengths and evidence based supports for youth and young adults which include Life Skills Coaching and Teaching, Peer Mentoring, Case Management, Evidence Based Supportive Employment, Vocational Services, and in some cases housing. Individuals who are willing to participate with HT-Services must meet the priority population diagnosis for adults. Exceptions to the diagnosis requirement can be made on a case by case basis. The HT provider for Howard County is Humanim. Contact the Howard County Health Department/Bureau of Behavioral Health/Local Behavioral Health Authority at 410-313-6202 or Humanim at 410-381-7171 for more information or a referral packet.
Maryland Early Intervention Program (EIP)
The Early Intervention Program is being established at the University of Maryland, School of Medicine (UMSOM) to provide early identification, evaluation, and comprehensive psychiatric treatment to adolescents and young adults with psychotic disorders. Recent advances in mental illness science support a paradigm shift from the treatment of individuals with an already established illness to early detection and intervention of people who are at high risk for the development of a psychotic illness or are in the initial stages of such an illness. The goal of this new approach is to alter the course of illness, reduce disability, and maximize the likelihood of recovery. More information about EIP can be found at marylandeip.com.
CASE MANAGEMENT/CARE COORDINATION
The goal of case management/care coordination is to help youth and families remain together with substantial community-based services to meet their ongoing needs. Mental Health Case Management services assist individuals by linking them to rehabilitation and treatment services, entitlements/benefits for which they may be eligible, housing, social supports, vocational and educational services. Medicare and private insurances do not pay for case management services. Individuals who are eligible for case management services cannot be receiving case management services from another agency and must be willing to voluntarily agree to participate in case management services. The child and adolescent care coordination/case management provider is Center for Children, Inc. Call 240-320-2023 or the Howard County Health Department/Bureau of Behavioral Health/LBHA at 410-313-6202. The adult care coordination/case management provider is: Humanim, Inc. 6355 Woodside Court Columbia, MD 21046 410-381-1500 www.humanim.com
**DBSA (Depression & Bipolar Support Alliance)**
Medical Pavilion at Howard County
10710 Charter Drive, Suite 100
Columbia, MD 21044
443-583-3290 / 1-800-826-3632
www.dbsalliance.org
email@example.com
**HC Drug Free**
5305 Village Center Drive, Suite 206
Columbia, MD 21044
443-325-0040
www.hcdrugfree.org
firstname.lastname@example.org
Provides resources and education on prevention, treatment, recovery, and health and wellness to help Howard County residents develop knowledge and skills to understand and address behavioral health (substance use and mental health) disorders.
**Loyola Clinical Centers TBI Survivors and Family Support Group**
Loyola University’s Columbia Graduate Ctr
8890 McGaw Road,
Columbia, MD 21045
410-617-1200
Graduate students in pastoral counseling and speech-language pathology will direct this group with direct supervision from licensed and certified professionals. The group is for TBI survivors and their family and will focus on peer support, adjustment issues, and cognitive skills training. Individual and family therapy is also offered at the center.
**Maryland Coalition of Families for Children’s Mental Health (MCF)**
10632 Little Patuxent Parkway, Suite 234
Columbia, MD 21044
410-730-8267 or 1-888-607-3637
www.mdcoalition.org
The Maryland Coalition of Families for Children’s Mental Health is a grassroots coalition of family and advocacy organizations dedicated to improving services for children with mental health needs and their families and building a network of information and support for families across Maryland. Visit our website to learn about Coalition initiatives and browse our online directory of resources.
**The Family Navigators Program:** Family Navigators are not lawyers or therapists and do not provide legal representation or counseling. Navigators do not advise families on decisions pertaining to their children, but provide support and information to discuss options with families so they can make the best choices for their children. A Family Navigator can provide:
- Information, referral and linkage to appropriate services for your child
- One-to-one support and advocacy for your family
- Guidance in completing forms and applications for services
- Support at meetings related to your child, when possible
- Education on laws, policies and procedures to access services to your child
- Workshops to inform you and other families on services and ways to effectively advocate for your child.
Family Navigators also work in partnership with local agencies and participate on planning and advisory boards to provide a family perspective on policies and programs for children with special needs. Navigators make every effort to involve many families in leadership roles in their community.
Mental Health Association of Maryland
1301 York Road, Suite 505
Lutherville, MD 21093
443-901-1550 / Fax 443-901-0038
www.mhamd.org
The Mental Health Association of Maryland is a voluntary, nonprofit citizens’ organization that brings together consumers, families, professionals, advocates and concerned citizens for unified action in all aspects of mental health and mental illness. Dedicated to promoting mental health, preventing mental disorders and achieving victory over mental illness through advocacy, education, research and service.
NAMI Howard County MD
9650 Santiago Road, Suite 1
Columbia, MD 21045
410-772-9300 / Fax 410-772-9307
www.namihowardcounty.org
email@example.com
NAMI – Howard County is a grassroots, self-help, non-profit organization dedicated to improving the lives of individuals and families living with mental illness, by providing education, support, advocacy, and outreach programs. **Support Groups:** Call NAMI for information about support groups and education programs for family members and individuals who have a chronic mental illness.
On Our Own of Howard County, Inc.
6440 Dobbin Road, Suite B
Columbia, MD 21045
410-772-7905 / Fax 410-772-7906
**Wellness & Recovery Center:** a Wellness & Recovery Center is open at various times on weekdays and weekends and on holidays for county residents who have a behavioral health issue (i.e. mental health or substance abuse disorders.) This is a peer-operated service that provides socialization, advocacy, educational and natural support opportunities for individuals with mental illness. Many of the recipients of mental health services who come to the Wellness & Recovery Center say it is a place to relax and feel comfortable. Members share similar experiences and discuss ways of coping with their illness. Transportation is provided for those individuals who would have a problem getting to the center without it. Contact the Program Director at 410-772-7905 for further information.
Parkinson’s Support Group & Parkinson’s Partner Support Group
Parkinson’s Disease & Movement Disorders Center of Maryland
8180 Lark Brown Drive, Suite 101
Elkridge, MD 21075
443-831-6350
Parkinson’s Support Group meets the third Monday of every month at 7:00 pm. Parkinson’s Partner Support Group meeting the first Wednesday of every month at 7:00 p.m.
Serenity Center
9650 Basket Ring Road
Columbia, MD 21045-3421
410-884-6088 / Fax 410-884-6099
www.theserenitycentercolumbia.org
firstname.lastname@example.org
Meeting house for 12-step meetings - Al-Anon, Alcoholics Anonymous, Alcoholicos Anonimos, Co-Dependents Anonymous, Narcotics Anonymous, Gamblers Anonymous, Chemically Dependent Anonymous, Nicotine Anonymous, Overeaters Anonymous, Sexaholics Anonymous, Sex and Love Addicts Anonymous, Adult Children of Alcoholics, Alateen, Nar-Anon, Emotions Anonymous. All meetings are open to the public unless otherwise indicated.
The Family Center
4785 Dorsey Hall Drive
Ellicott City
410-531-5087
Individual counseling and bereavement groups.
Howard County General Hospital
Chaplaincy Services Department
5755 Cedar Lane
Columbia, MD 21044
410-740-7898
Individual/group counseling support for families of patients who have died in the hospital. Counseling is provided by graduate student interns from Loyola University’s pastoral counseling program.
GRASP (Grief Recovery After a Substance Passing)
Howard County Group Chapter
Arielle Sokoll-Ward
www.grasphelp.org
email@example.com
443-535-5415
GriefShare
www.griefshare.org
Gilchrist Hospice of Howard County
5537 Twin Knolls Road
Columbia, MD 21045
410-730-5072
Cancer/other illnesses; grief support for all.
Compassionate Friends - Patapsco Valley
P.O. Box 1818
Ellicott City, MD 21042
Meetings held at:
St. John’s Episcopal Church
9120 Frederick Road
Ellicott City, MD 21042
410-356-3375
www.tcfpatapscovalley.org
firstname.lastname@example.org
The mission of The Compassionate Friends (TCF) is to assist families toward the positive resolution of grief following the death of a child of any age, any cause and to provide information to help others be supportive. TCF is a national nonprofit, self-help support organization that offers friendship, understanding, and hope to bereaved parents, grandparents and siblings. Meetings are held on the first Thursday of every month for a support group meeting. There is no religious affiliation and there are no membership dues or fees.
Bereavement Group for Seniors
Bain Center in Columbia
Ellicott City Senior Center
Glenwood Senior Center
Howard County Office on Aging and Independence
410-313-7466 Karen Hull
410-313-7283 Elaine
Bereavement Group for seniors (50 and older).
Rising Hope
Howard County General Hospital
5755 Cedar Lane
Columbia, MD 21044
410-740-7845
Grief support for mothers who have experienced still birth or miscarriage.
St. Francis of Assisi Catholic Church
8300 Old Columbia Road
Fulton, MD
410-792-0470
Bereavement support group for adults.
Meets on the 4th Tuesday of every month.
Survivors of Suicide Loss Support Group
Grassroots Crisis Intervention Center
6700 Freetown Road
Columbia, MD 21044
Meets two times per month for those who have lost a loved one to suicide.
For registration and information contact email@example.com
## 24-HOUR HOTLINES
| Hotline Name | Phone Number | Description |
|--------------------------------------------------|-------------------------------------|-----------------------------------------------------------------------------|
| Grassroots Crisis Hotline | 410-531-6677 | Provides 24/7 counseling services |
| Suicide Hotline | 1-800-SUICIDE (1-800-784-2433) or 410-749-9424 | Provides counseling for suicide prevention |
| Youth Crisis Hotline | 1-800-422-0009 | Crisis intervention, support and referrals |
| Runaway Hotline | 1-800-621-4000 | |
| For All Seasons, Inc. Hotline | 1-800-310-7273 | Counseling, advocacy, and education to victims of rape, sexual assault and abuse. |
| Mid-Shore Council on Family Violence | 1-800-927-4673 | Provides direct services for victims of family violence including a 24-hour hotline, crisis intervention, counseling, support group, emergency shelter, client advocacy, children’s program, court accompaniment, information and referral. |
| Life Crisis Center Hotline | 1-800-422-0009 or 410-749-HELP | |
| Homerun Hotline | 1-800-HIT-HOME or 1-800-448-4663 | Information and referral; staffed by trained listeners. |
| Maryland State (AIDS) Hotline | 1-800-638-6252, 1-800-553-3140 (Hearing Impaired) | Information on testing and other referrals. |
| Americans with Disabilities Act Hotline | 1-800-USA-ABLE | Information on the Americans with Disabilities Act |
| National Association of Anorexia Nervosa & Associated Disorders | 1-847-831-3438 | |
| Veterans Crisis Hotline | 1-800-273-8255 Press 1. www.veteranscrisisline.net | Veterans and their loved ones can call, chat online, or send a text message to 838255 to receive confidential support 24/7. |
Individuals incarcerated at the Howard County Detention Center who are suffering with a mental illness are eligible to receive mental health treatment services from a licensed Mental Health Clinician. Referrals are received through the Medical Services Department of the Detention Center, the Mental Health Authority or the Court system. Case management services are provided to the individual while in the Detention Center and post-discharge to assist with transition back to the community. Call 410-313-5267 to speak with the Mental Health Clinician who is staff for this Maryland Community Criminal Justice Treatment Project (MCCJTP). The Detention Center Medical Unit also provides a psychologist and psychiatrist to evaluate the mental health needs of incarcerated individuals.
**PROGRAMS SERVING THE DEVELOPMENTALLY DISABLED**
**Developmental Disabilities Administration**
201 W. Preston Street, 4th Floor
Baltimore, MD 21201
410-767-5600 / 877-4MD-DHMH
The Developmental Disabilities Administration (DDA) has four regional offices throughout the state. DDA is a department under the state agency Department of Health and Mental Hygiene (DHMH).
Howard County residents are part of the Central Maryland Region:
Developmental Disabilities Administration, Central Maryland Regional Office
1401 Severn Street
Baltimore, MD 21230
410-234-8200 or 1-877-874-2494
eMerge, Inc.
9180 Rumsey Road, Suite D2
Columbia, MD 21045
410-884-4420
Provides assistance to individuals with diverse challenges. Individualized assistance may include support, residential services, transportation, supported employment, vocational programs. State and Federally funded.
**The ARC of Howard County**
11735 Homewood Road
Ellicott City, MD 21042
410-730-0638
Residential, individual and family support, respite care, vocational and day support for those with developmental disabilities, parenting classes.
**Athelas Institute, Inc.**
9104 Red Branch Road
Columbia, MD 21045
410-964-1241 / Fax 410-964-3140
Provides a full array of services for individuals with developmental disabilities
**Humanim, Inc.**
9380 Gerwig Lane
Columbia, MD 21046
410-381-7171/Fax 410-381-2964
www.Humanim.org
firstname.lastname@example.org
Provides an array of individualized support services for adults with intellectual and developmental disabilities, including day, vocational, residential, and personal supports.
**Springfield Hospital Center**
6655 Sykesville Road
Sykesville, MD 21784
410-970-7000
State operated facility for long-term psychiatric services, including inpatient day unit and outpatient services for the deaf/hearing impaired
Bipolar Disorder, Depression, OCD, Panic Disorder
Insurance: Blue Cross/Blue Shield, CareFirst, Aetna, and Cigna
Language: Sign Language
**Talibah E. Buchanan, Ph.D.**
8720 Georgia Avenue
Silver Spring, MD 20910
301-495-6393
www.Drtalibahbuchanan.webs.com
Outpatient therapy and psychological testing. Services for children, adolescents, and adults.
Language – American Sign Language
**Gladstone Psychiatry and Wellness**
Lakeview Office Terrace
9841 Broken Land Parkway, Suite 211
Columbia, MD 21046
443-708-5856
www.gladstonepsych.com
Specializes in Addictions, Adult Psychiatry, Adolescent Psychiatry, Anxiety, ADD/ADHD,
MARYLAND’S COMMITMENT TO VETERANS
Maryland’s Commitment to Veterans helps navigate the transition to civilian life. Regional Resource Coordinators (RRCs) serve as navigators for post-deployment needs. The tasks that veterans trained for on the battlefield are worlds away from the daily hardships that now surface. RRCs are here to assist veterans and their families obtain services through the Department of Veterans Affairs (VA) and other available local resources. RRCs offer knowledge and assistance in:
- Crisis and Emergency Services
- Substance Abuse Services
- Individual, Family & Group Therapy
- Issues of Homelessness
- VA Benefits
- Unemployment Issues
The coordinators also work with service members with less than honorable discharges to explore the possibility of a discharge status change, to increase eligibility for VA benefits. Contact a Regional Office location serving every county.
Contact Information: 1-877-770-4801
Veterans Affairs – Baltimore Community Referral and Resource Center
M-F 7:00 a.m. - 4:30 p.m. 410-637-3246
The CRRC serves as a hub to combat homelessness among Veterans. These facilities centralize federal and local partners to provide services to homeless and at-risk Veterans. The building includes a Primary Care Clinic, a complete kitchen, laundry and shower facilities as well as a host of other community services.
Veterans Crisis Hotline
1-800-273-8255 Press 1.
www.veteranscrisisline.net
Veterans and their loved ones can call, chat online, or send a text message to 838255 to receive confidential support 24/7.
VA Maryland Health Care System (includes VA Medical Centers, Community Based Outpatient Clinics and Vet Centers).
1-800-865-2441
www.maryland.va.gov
US Department of Veteran Affairs
Homeless Call Center:
1-877-4AID VET
Platoon 22
www.platoon22.org
Mission is to reduce the number of Veteran suicides each year. Objectives include fundraising research to be able to better diagnose and treat PTSD.
Alcoholics Anonymous
410-433-4843
Information about meetings and related services throughout Howard County.
Association of Community Services of Howard County (ACS)
9770 Patuxent Woods Drive, Suite 301
Columbia, MD 21046
410-715-9545
Mission of ACS is to advance human services in Howard County.
Bread of Life Food Pantry
First Baptist Church of Savage
8901 Washington Street
Savage, MD 20763
301-725-3944
Hours of Operation:
Wednesdays 5:30 p.m. - 7:30 p.m.
Saturdays 8:30 a.m. - 10:30 a.m.
Assist families with their immediate food needs.
Brain Injury Association of Maryland
Director, Bryan Pugh
2200 Kernan Drive
Baltimore, MD 21207
1-800-221-6443 or 410-448-2924
www.biamd.org
email@example.com
Resource information for individuals with Brain Injury, their family members & professionals who work with them. No Direct Services.
The CARE Line
9830 Patuxent Woods Drive
Columbia, MD 21046
410-313-2273/410-313-1430 Fax
www.howardcountymd.gov/children
firstname.lastname@example.org
A free information and referral service to help Howard County families identify needs and link them to agencies, programs and organizations.
Chase Brexton Health Care: Columbia Center
5500 Knoll Drive, Suite 370
Columbia, MD 21045
410-837-2050 x2050 (x4301 en Español)
www.chasebrexton.org
Services and programs include adult primary care; pediatric care; HIV, Hep C, & Infectious Disease care, including free, walk-in HIV testing; transgender primary care (pediatric & adult); dental care (pediatric & adult); behavioral health treatment, social work & outreach services; full-service pharmacy and on-site lab services.
Languages: English, Spanish
Insurance: Medical Assistance, most commercial insurances, sliding fee scale.
Accepts clients that are uninsured or underinsured.
Child Care Resource Center
9830 Patuxent Woods Drive
Columbia, MD 21046
410-313-1940
www.howardcountymd.gov/children
email@example.com
Offering resources, training, mentoring and support to current and prospective early care and education professionals with the goal of improving the overall quality of child care options in the County. Our Resource Room is open to the public and includes on-site access to a laminator, die-cuts and a book-binding machine.
Christ Church Link
Christ Episcopal Church
6800 Oakland Mills Road
Columbia, MD 21045
410-381-9365
www.christchurchcolumbia.org
firstname.lastname@example.org
Information and referral for help with childcare, clothing, food, utilities,
employment/job training, housing and immigration issues. Visit website for information on help with eviction, utility turnoff, food, shelter, clothing, prescriptions, job, other emergency needs.
**Community Action Council**
6751 Columbia Gateway Drive
Columbia, MD 21046
410-313-6440
Immediate, short-term assistance to prevent hardship due to lack of food, shelter, fuel or money.
**Community Emergency Response Network**
CERN’s mission is to facilitate the development of a community-based disaster response plan for Howard County to ensure optimum preparedness in the advent of a natural or man-made disaster. CERN supports the County government’s disaster planning through the coordination of the emergency plans and resources of various community agencies. Contact CERN’s website [www.CERN.us](http://www.CERN.us) to learn more about emergency procedures.
**Consumer Quality Team of Maryland**
1301 York Road, Suite 505
Lutherville, MD 21093
443-901-1560 / Fax 443-901-0039
[www.cqtmd.org](http://www.cqtmd.org)
A group of mental health consumers and family members who conduct qualitative interviews with mental health consumers using the public behavioral health system, and report their needs to program management and the funding agency, to obtain real-time solutions.
**Coordinated System of Homeless Services**
CSHS is comprised of service providers and government agencies which offer resources to households in need, to prevent loss of stable housing or regain housing that has been lost. Financial assistance is available through multiple community partners, households needing additional resources may contact the system’s Single Point of Entry for assessment ad connection to varying levels of support.
**Grassroots crisis hotline:** 410-531-6677
**Creative Options, Inc.**
9411 Philadelphia Road, Suite H
Rosedale, MD 21237
[www.creativeoptionsmd.com](http://www.creativeoptionsmd.com)
[email@example.com](mailto:firstname.lastname@example.org)
Provides supportive care in housing, employment and leisure activities for youth and adults with intellectual and developmental disabilities. Must be eligible for service funded via the Developmental Disabilities Administration.
**Lisa Farley, L.Ac, M.Ac.**
5570 Sterrett Place, Suite 308
Columbia, MD 21044
443-538-2498
[www.LisaFarley.com](http://www.LisaFarley.com)
Acupuncture and Zero Balancing can be effective in helping to relieve stress, a frequent contributing cause to anxiety, depression and other mental health issues.
**211 Maryland/United Way Helpline**
P.O. Box 1576
Baltimore, MD 21203-1576
Dial 211 or
1-800-492-0618 or 410-685-0525
24 hour toll free health and human service resource helpline. Information on assistance with utility bills, housing, food and many others. Subscriber to Language Line, which provides interpreters for 140 languages as needed.
The Family Institute
9830 Patuxent Woods Drive
Columbia, MD 21046
410-313-1440/410-313-1430 Fax
www.howardcountymd.gov/children
email@example.com
A parent education and community outreach program that promotes positive parenting for all ages and stages. The Family Institute offers workshops, information sessions, outreach campaigns, the Parent Pages newsletter and ReadyRosie access to help parent support the success of their children.
Fish of Howard County, Inc.
P.O. Box 34
Ellicott City, MD 21041
410-964-8660
Provides emergency food, financial assistance, referral information and pharmacy assistance to those in need.
F.I.R.N. (Foreign-Born Information and Referral Network)
5999 Harpers Farm Road, Suite E-200
Columbia, MD 21044
410-992-1923 / Fax 410 730-0113
www.firnonline.org
Services to immigrants, refugees, & other foreign-born individuals. Information and referral for help with jobs, housing, immigration law, health, mental health, crisis intervention and tutoring services. Languages: Portuguese, Urdu, Punjabi, Farsi & Swedish
Hospice Services of Howard County
5537 Twin Knolls Road, Suite 433
Columbia, MD 21045
410-730-5072
Services to terminally ill Howard County residents and their families. Support services, bereavement programs for children, adolescents and adults.
Howard Community College
Division of Continuing Education
10901 Little Patuxent Parkway
Columbia, MD 21044
410-772-4986
www.howardcc.edu
Credit and Continued Education Courses, ESOL for families, Child Development Center
Howard County Autism Society
9770 Patuxent Woods Drive
Columbia, MD 21046
410-290-3466 / Cell 443-977-0513
www.howard-autism.org
Howard County Dept. of Community Resources and Services
9830 Patuxent Woods Drive
Columbia, MD 21046
410-313-6400
Encompasses the Office on Aging and Independence, Office of Consumer Protection, Disabilities Services and Children and Families Services. Multiple and varied services to many populations, as well as many publications about available resources.
Howard County Dept. of Juvenile Services
3451 Courthouse Drive
Ellicott City, MD 21043
410-480-7878
Howard County Dept. of Social Services
9830 Patuxent Woods Drive
Columbia, MD 21046
410-872-8700
www.dhr.state.md.us
Emergency financial and housing assistance for persons in crisis, child protective services, food stamps, income maintenance, medical assistance, adoption and foster care.
Howard County Division of Rehabilitation Services (DORS)
Columbia Workforce Center
7161 Columbia Gateway Drive, Suite D
Columbia, MD 21046
410-290-2640 / Fax 410-290-2651
www.dors.state.md.us
Assist disabled individuals to enter or return to the workplace through a comprehensive array of services.
Howard County Food Bank/Pantry
9385 Gerwig Lane, Suite J
Columbia, MD 21046
410-313-6185
Tue, Wed, Thur 1-4 p.m. Wed 5-8 p.m. (by appt.) Sat 9-12 (by appt.)
Provides emergency food grants to families to ensure families have adequate nutritious food. Eligibility is based on income.
Howard County Health Department
8930 Stanford Boulevard
Columbia, MD 21045
410-313-6300 / Fax 410-313-6306
866-313-6300 Toll free
www.hchealth.org
The following services are provided. For a complete list contact the Health Department:
1. HIV/Pregnancy Tests
2. Adult/Child Immunizations
3. Hearing/Vision Screenings
4. Teen Clinic
5. Blood Pressure/Cholesterol Screening
6. Rabies Clinic
7. Various Cancer Screenings – Colorectal, Skin, Oral, Prostrate, Breast
Language: Chinese, French, Hindi/Bengali/Gujarati, Spanish. Also fluent in Amharic, Czechoslovakian, Nigerian, Oromiffa, and Urdu.
Insurance: Most insurances accepted.
Howard County Information and Referral
3430 Courthouse Drive
Ellicott City, MD 21043
410-313-3000
Howard County government, non-profit.
Howard County Office on Aging and Independence
9830 Patuxent Woods Drive
Columbia, MD 21046
410-313-6410
The Office on Aging and Independence promotes a full and dignified life for older people in Howard County, encouraging their involvement in all aspects of life and recognizing them as a vital force in the community. Some services offered are:
• Information and Assistance
• Alzheimer’s Support
• Assisted Living Facility Subsidy
• State Health Insurance Assistance Program (SHIP)/Senior Medicare Patrol (SMP)
• Seniors Together
Howard County Police: Youth Division
3525 G Ellicott Mills Drive
Ellicott City, MD 21043
410-313-2620
firstname.lastname@example.org
Twitter @HCPDNews
Instagram @HoCoPolice
Facebook: Howard County Police Department
Next Door: Howard County Police Department
HCPD, Youth Division provides prevention, intervention, suppression, and enforcement on matters pertaining to youth. Services include: First Offender Diversion Program, Runaway Investigation, Explorer Post 1952, Harpers Choice After School Program, PLEDGE Leadership Camps, and various initiatives designed to enhance public safety and community outreach.
Howard County Public Schools
410-313-6696
Child find program for early intervention, extended day kindergarten, Extended Elementary Education Program (EEEP), family and outreach development programs.
Judy Center
Judith P. Hoyer Early Child Care and Education Center, Cradlerock School
6700 Cradlerock Way
Columbia, MD 21045
410-381-9024
Promotes school readiness through collaboration among community-based agencies and organizations. Fosters a young child’s social linguistic and cognitive abilities and provides resources for parents.
Language Line
Contact Person: Frank Masin
877-862-1816
email@example.com
- Interpreters are available 24/7 via telephone and speak 170 languages
- Association of Community Services (Howard Cty) can register for this service. This will permit a $1.30/min rate. All others will have to pay the regular rate.
- Charge begins when the interpreter gets on the line.
Laurel Advocacy and Referral Services
311 Laurel Avenue
Laurel, MD 20707
301-776-0442 / Fax 301-604-7076
Provides emergency services, assistance vouchers for food, shelter, eviction prevention, utility assistance, prescriptions, transportation and clothing for people in crisis based on the availability of funds or resources. Also provides services to the homeless, transitional housing.
Local Children’s Board (LCB) (Also known as Local Management Board (LMB))
410-313-1917
The LCB is responsible for assessing the needs of the community and, in collaboration with service providers, policy makers, community leaders and others, make sure that children and families get needed services and supports. LCB’s role is to assure that services are coordinated among local agencies and organizations.
Disability Rights MD (formerly MD Disabilities Law Center)
1500 Union Avenue, Suite 2000
Baltimore MD 21211
410-727-352 / Toll Dree 1-800-233-7201
Maryland Community Services Locator (MDCSL)
www.mdcsl.org
The MDCSL is funded by a grant from the Governor’s Office of Crime Control and Prevention. This is a website where you can locate a broad array of community services throughout the state. In addition to mental health services, you can locate HIV/AIDS resources, job readiness/adult education programs, parole/probation offices, Juvenile Services offices, Victim Services and many other resources.
Parents As Teachers
9830 Patuxent Woods Drive
Columbia, MD 21046
410-313-1940/410-313-1430 Fax
www.howardcountymd.gov/children
firstname.lastname@example.org
A home visiting program available to Howard County families with children ages 0-5. Through home visits with certified parent educators and in group meetings, parents discover ways to encourage language development, intellectual growth, social development and motor skills and strengthen their relationship with their child.
Language: Spanish
PFLAG
P.O. Box 1479
Columbia, MD 21044
443-718-0474
www.pflagmd.org
email@example.com
Promotes the health and well-being of gay, lesbian, bisexual, and transgendered persons, their families and friends through: support of each other, education of the broader community, and advocacy for equality.
Steven Daniel Jeffreys Foundation
5430-F Lynx Lane, Suite 246
Columbia, MD 21044
410-730-3310
Grief counseling referral service, professionally led specialized grief (Tears and Smiles) counseling groups for children and parents.
Tough Love
800-705-9980 or 410-442-1853
Support groups for parents experiencing unacceptable or out-of-control behavior from their children. Nominal charge per family.
HOARDING
To report Hoarding in Howard County email firstname.lastname@example.org, or call 410-313-2207
Address Our Mess
2132 Eskow Avenue
Halethorpe, MD 21227
866-575-7455
www.clutterhoardingcleanup.com
email@example.com
Address Our Mess is a specialty heavy duty cleaning company that specializes in hoarding and clutter cleanup services.
Comprehensive Hoarding Resource Center launched in May 2010 by International OCD Foundation
www.ocfoundation.org/hoarding
Children of Hoarders (COH) – Maryland Chapter
www.childrenofhoarders.com
Link to treatment and remediation resources across the state.
Clutterers Anonymous (CLA)
12-step group with at least two Maryland chapters (Salisbury and Baltimore City).
Clutterbusters
15521 Grinnell Terrace
Rockville, MD 20855
1-866-CLUTTER / 301-309-1481
clutterbusters.com
Hands on organizing solutions for hoarders.
Hoarding Cleanup Help/Maryland
hoardingcleanup.com/maryland
National Association of Professional Organizers
Baltimore Chapter
www.napobaltimore.org
firstname.lastname@example.org
Elspeth Bell, Ph.D.
5850 Waterloo Road, Suite 140
Columbia, MD 21045
410-480-8052
www.elspethbellphd.com
email@example.com
Hoarder disorder, clutter-related issues, OCD, Anxiety, specific phobias, depression, perfectionism, procrastination, Body Focused Repetitive Behaviors (BFRBs).
Organized! By Romanic
Susan Romanic, Professional Organizer
410-995-0435
www.OrganizedByRomanic.com
firstname.lastname@example.org
Organized! By Romanic has specialized in working with people who hoard since March 2000. She also works with seniors and people with physical challenges that make it difficult to get and stay organized.
Animal Hoarding
To report animal hoarding in Howard County contact Animal Control on 410-313-2780 (911 for emergencies) or email email@example.com
American Society for the Prevention of Cruelty to Animals (ASPCA)
www.aspca.org/fight-animal-cruelty/animal-hoarding.html
Humane Society of the US
www.humanesociety.org/issues/abuse_neglect/facts/hoarding.html
LEGAL SERVICES
Where to find legal help:
- Office of the Public Defender
3451 Court House Drive
Ellicott City, MD 21043
(410) 480-7777
- Pro Bono Resource Center of Maryland:
probonomd.org
- Disabilities Rights MD
410-727-6352 www.mdclaw.org
- Maryland Legal Aid: mdlab.org.
Local office 410-480-1057
- Maryland Volunteer Lawyers Service:
mvlslaw.org
- Maryland People’s Law Library: peoples-law.info
- Maryland State Bar Association:
msba.org
- American Bar Association:
findlegalaid.org
- To search for attorneys admitted to practice in MD:
www.courts.state.md.us
- Attorney disciplinary actions:
www.courts.state.md.us/attygrievance/sanctions.html
PROGRAMS SERVING THE HISPANIC COMMUNITY
Mental Health Services Grant
Provides limited outpatient mental health treatment for a targeted population who are uninsured, low-income and need a Spanish-speaking therapist. Call the Howard County Health Department/Bureau of Behavioral Health/Local Behavioral Health Authority at 410-313-6202 to access services funded by this grant. If a bi-lingual staff person is needed call 410-313-7376.
Spanish Speaking Providers listed in Directory:
Congruent Counseling Services
Psychosocial Counseling Associates, Inc.
Enoch Barrios, MD
Victoria Cofield-Aber, LCSW-C
Stephany Durruthy, MD
Dayli Marrero, PhD
Ana Garcia-Fernandez, Psy D
Samantha Marks Psy D
Iris Thomas, LCSW-C
Lydia Holloway, LCSW-C
Roberto Huie, LCSW-C
Nancy Alexander, MISA
A brochure is available in Spanish that identifies various community services and how to access them. To obtain copies, visit www.howardcountymd.gov or call the Howard County Health Department/Bureau of Behavioral Health/Local Behavioral Health Authority at 410-313-6202.
PROGRAMS SERVING THE KOREAN COMMUNITY
Korean Resource Center
410-203-1111
www.ikorean.org
10328 Baltimore National Pike
Ellicott City, MD 21042
The Korean Resource Center provides home health care along with education and training in management of chronic diseases in Korean.
Maryland Access Point
410-313-1234
www.howardcountyaging.org
Maryland Access Point (MAP) provides two Korean resource specialists to help older adult individuals or those with a disability balance needs, wants, and resources to develop options to stay in the community; refer individuals to local, state, and federal programs and benefits and help individuals plan for their future needs.
TRANSPORTATION
RTA Mobility
RTA ADA Paratransit: requires 2-part medical certification; person must live within 3/4 mile of a fixed bus route.
1-800-270-9553 for application.
RTA General Paratransit or Curb-to-Curb: service is provided anywhere within Howard County, with trip purposes limited to medical appointments, senior centers, social service agencies, employment and colleges. Service is available Monday through Friday 8:00 AM to 5:00 PM. In addition, service to medical appointments at designated Baltimore City hospitals is available on Mondays, Wednesday, and Fridays. Limit of one round trip per day. Certification required. Advanced reservations required
1-800-270-9553.
Howard County Medical Assistance Transportation Program
Hart to Heart Transportation
1-866-276-9554
Howard County Health Department (MA Healthchoice Transportation Program)
877-577-1050 Option #3
Provides assistance with transportation to and from medical appointments for individuals with Medical Assistance (MA
Neighbor Ride
5570 Sterrett Place, Suite 102
Columbia, MD 21044
410-884-7433
Neighborride.org/wordpress
firstname.lastname@example.org
Neighbor Ride enhances the health and quality of life for Howard County’s seniors by providing the comfort and peace of mind of affordable, passenger-focused transportation services through a reliable, volunteer-based system. Clients must be 60 years of age, be Howard County Residents and be mobile. This service can be used for both medical and non-medical trips. Available daily and roundtrip fares range from $8-$36; must reserve at least 3 days in advance. Subsidies are available for income-eligible passengers. |
Mapping the Brain’s electric fields with Magnetoelectric nanoparticles
R. Guduru\textsuperscript{1,2}, P. Liang\textsuperscript{3}, M. Yousef\textsuperscript{4}, J. Horstmyer\textsuperscript{4} and S. Khizroev\textsuperscript{1,2,4*}
**Abstract**
**Background:** Neurodegenerative diseases are devastating diagnoses. Examining local electric fields in response to neural activity in real time could shed light on understanding the origins of these diseases. To date, there has not been found a way to directly map these fields without interfering with the electric circuitry of the brain. This theoretical study is focused on a nanotechnology concept to overcome the challenge of brain electric field mapping in real time. The paper shows that coupling the magnetoelectric effect of multiferroic nanoparticles, known as magnetoelectric nanoparticles (MENs), with the ultra-fast and high-sensitivity imaging capability of the recently emerged magnetic particle imaging (MPI) can enable wirelessly conducted electric-field mapping with specifications to meet the requirements for monitoring neural activity in real time.
**Methods:** The MPI signal is numerically simulated on a realistic human brain template obtained from BrainWeb, while brain segmentation was performed with BrainSuite software. The finite element mesh is generated with Computer Geometry Algorithm Library. The effect of MENs is modeled through local point magnetization changes according to the magnetoelectric effect.
**Results:** It is shown that, unlike traditional magnetic nanoparticles, MENs, when coupled with MPI, provide information containing electric field’s spatial and temporal patterns due to local neural activity with signal sensitivities adequate for detection of minute changes at the sub-cellular level corresponding to early stage disease processes.
**Conclusions:** Like no other nanoparticles known to date, MENs coupled with MPI can be used for mapping electric field activity of the brain at the sub-neuronal level in real time. The potential applications span from prevention and treatment of neurodegenerative diseases to paving the way to fundamental understanding and reverse engineering the brain.
**Keywords:** Nanotechnology, Brain mapping, Magnetoelectric, Nanoparticles, Magnetic particle imaging, Reverse engineering the brain
**Background**
It is difficult to overestimate the significance of the capability to map intrinsic electric fields induced by neural activity deep in the brain with adequately high spatial and temporal resolutions to monitor this activity in real time (Fox & Raichle, 2007; Marblestone et al., 2013). The potential applications span from prevention and treatment of neurodegenerative diseases to paving the way to fundamental understanding and reverse engineering the brain (Koch & Reid, 2012). This paper presents a theoretical study to exploit a nanotechnology solution for addressing this challenge. To underscore the significance of the novel concept, the discussion of the study is preceded by a brief overview of the current state of the art.
**State of the art**
Functionalized brain imaging aims to study basic mechanisms of electric-field-driven cognitive processes (Cabeza & Nyberg, 2000; Pascual-Marqui, 2002). In spite of significant advances in this field especially during the last two decades, the existing technologies for recording neural activity are severely limited in their capabilities. These technologies include electroencephalography (EEG) (Coenen,
functional magnetic resonance imaging (fMRI) and diffusion MRI (dMRI), also known as diffusion tensor imaging (DTI), or a combination of these two (DFMRI) (Yassa et al., 2010), positron emission tomography (Lee et al., 2012; Grafton et al., 1992), magnetoencephalography (MEG) (de Pasquale et al., 2010), neuronal optogenetics (Toetchter et al., 2010), molecular recording (Zamft et al., 2012), and others. Brain imaging with a spatial resolution of 1 mm can be achieved non-invasively with the MRI approaches; however, these mostly provide a structural map and only indirectly and with a limited accuracy reflect the electric field perturbations due to neural activity; their temporal resolutions are limited by the hemodynamic response to approximately 1 s. To detect the neural activity through the hemodynamic response, fMRI and dMRI use the blood-oxygen-level dependent (BOLD) contrast and the contrast based on the strength of the diffusion of water molecules, respectively. PET, with a comparable spatial resolution of 1 mm, can be used to monitor the brain metabolism and neurochemistry; like the MRI approaches, this technique only indirectly depends on the local electric field and is limited only to the processes which can be observed with radioactively labeled organic molecules. MEG can detect a magnetic field induced by the small electric currents due to neural activity; however, this approach is limited by both the complexity of the sensor technology required to detect the extremely weak stray magnetic field (~ 10 fT) above the skull and the difficulty of solving the notorious inverse problem required for mapping the brain. EEG is capable of a sub-millisecond temporal resolution but requires the use of large arrays of electrodes and is 2D limited; moreover, like MEG, it deals with the same mathematical challenge of the inverse problem. Neuronal optogenetics is a relatively new and promising approach; however, it has too many open questions associated with the optical readout from many neurons (Deisseroth et al., 2006). Single-neuron level molecular recording has been proposed; however, this approach is still at its conceptual level (Zamft et al., 2012). Technical and fundamental limitations of these and other existing technologies are described in more detail elsewhere (Marblestone et al., 2013). In summary, for decades, progress in neuroimaging has significantly improved our understanding of the field dynamics in the brain; nevertheless, still there is no practical way to directly map local electric fields in response to neural activity in real time without interfering with the normal operation of the brain.
**Nanotechnology solution**
Recently, a concept has been pioneered to exploit unique properties of magnetoelectric nanoparticles (MENs) (Eerenstein et al., 2006) to wirelessly access a local electric field activity deep in the brain for both wirelessly controlled local stimulation and mapping of neural activity (Yue et al., 2012; Guduru et al., 2015). Similar to traditional magnetic nanoparticles (MNs), MENs have a non-zero magnetic moment. Therefore, they can be remotely detected through a magnetic imaging approach and/or transported across the blood-brain barrier (BBB) and then to a desired target site(s) deep in the brain via application of a specially timed and image-guided sequence of magnetic field gradients (Nair et al., 2013). In addition, unlike MNs, MENs display a non-zero magnetoelectric (ME) effect. This effect, e.g., present in some type I multiferroics due to the relatively strong strain-related coupling between the ferroelectric and ferromagnetic components, can be explained thermodynamically according to the phenomenological Landau theory of multiferroics through the 2nd order cross-term of the free energy, $G$ (Landau & Lifshitz, 1960):
$$G(E,H) = -\alpha_{ij}E_iH_j,$$
(1)
where $E_i$ and $H_j$ stand for the i-th and j-th components of the local electric or magnetic fields, respectively, and $\alpha_{ij}$ represents the magnetoelectric tensor. As a result, in this approximation, the induced magnetization change of the nanoparticle depends on the local electric field according to the following linear expression:
$$\Delta M_i = -\frac{\partial G}{\partial H_i} = \alpha_{ij}E_i.$$
(2)
For example, considering the value for $\alpha$ on the order of 0.1 G cm V$^{-1}$, a typical local electric field due to an action potential at the neuronal membrane on the order of 1 V/cm would induce a magnetization change of 1 emu/cc (Rodzinski et al., 2016; Guduru et al., 2013; McFadden, 2002; Stimpfl & et al., 2017). Assuming the MEN’s saturation magnetization is on the order of 10 emu/cc, the relative change in the magnetization on the order of 10% would be quite significant for a magnetic imaging technique to provide an adequate contrast. For example, if MENs are used instead of traditional MNs, e.g., superparamagnetic iron oxide nanoparticles (SPIONs), to enhance the image contrast, not only can they provide a structural image but also they can generate an electric field map.
Mapping the electric field deep in the brain at the cellular level could provide an important insight into our understanding of the brain. It is important to have a temporal resolution in the microsecond range or better to be able to record neural activity in real time. It is noteworthy that magnetic nanoparticles are used together with the traditional MRI system to enhance the image contrast. Unfortunately, MRI with a temporal
resolution on the order of a second would not be adequately fast for the purpose of imaging in real time. A significant part of the neural activity takes place in a time domain on a millisecond scale or faster. Therefore, integration of MENs with the recently emerged approach known as magnetic particle imaging (MPI), which fundamentally provides a significantly faster detection rate compared to MRI, could pave a way to the next generation real-time neuroimaging (Gleich & Weizenecker, 2005; Goodwill et al., 2009; Weizenecker et al., 2009; Buzug and Borgert, 2012). Though in general the MPI setup might look similar to the traditional MRI system, the underlying physics is quite different in these two cases. For comparison, the MRI signal is enhanced through the shift of the nuclear spin relaxation times T1 and T2 by the nanoparticle-induced local magnetic fields and thus the temporal resolution of MRI is limited by the nuclear spin relaxation time. In contrast with MPI, the signal is independent of the nuclear relaxation times and instead is directly determined by the switching dynamic of the electron spin within the nanoparticle and therefore is limited by the ferromagnetic resonance time constant, which in turn is determined by the anisotropy energy of the nanostructure. For relatively high anisotropy magnetic nanostructures, the switching time can be in a sub-microsecond or even sub-nanosecond range. To select an image plane (section) in MPI, special selection coils, similar to the gradient coils in MRI, are used; however, the field generated by the selection coils is oppositely directed while comparable in magnitude to the uniform background field. This field ensures that the selected nanoparticles in the sectioned region are not magnetically saturated and thus can provide a relatively strong linear response to a small a.c. magnetic field. The a.c. frequency can be chosen in a wide range depending on the specific application requirements. For example, with MENs, the frequency can be chosen to maximize the magnetoelectric coupling, which is known to be frequency dependent (Nagesetti et al., 2017). Because of this different physics, MPI is supposed to provide orders of magnitude better sensitivity compared to the state-of-the-art MRI. The signal originates from the electron spin rather the nuclear spin (in MRI); the electron spin is approximately two thousand times larger than the nuclear spin. In addition, MPI doesn’t require either a high background field (in the Tesla range) or an extremely high field uniformity (of better than 1 ppm). For example, if MENs with a coercivity field of approximately 100 Oe are used, a background field of 500 Oe is sufficient to magnetically saturate the nanoparticles. The requirement on the background field uniformity is also quite relaxed. Indeed, the oppositely directed selection field of $-500 \pm 50$ Oe could ensure that the moment of the selected particle is driven in the linear unsaturated region near zero field. Last but not least, the fundamental temporal resolution of MPI ($<1 \mu s$) is superior to that of MRI ($<1$ s).
In summary, if MENs are used instead of MNs together with MPI, they are expected to modulate the magnetic (structural) image with the local electric field due to the neural network activity with a 3D spatial resolution comparable to that of MRI or better and with a temporal resolution in the sub-microsecond range to meet the requirements for real-time monitoring of neural activity. Because of the use of nanoparticles, the spatial resolution can be eventually further improved through implementing advanced electromagnetic sources and signal processing and is fundamentally limited only by the nanoparticle size.
**Numerical methods**
In this numerical computation, all the MPI signal simulations were performed on a realistic human brain template (using T1 and PD weighted phantom images) obtained from BrainWeb (Cocosco et al., 2003). Brain segmentation (WM, GM, and CSF) of the template was performed using BrainSuite software (Klaushen et al., 2009). The finite element (FE) mesh required for the segmented brain was generated using Computer Geometry Algorithm Library (CGAL) according to previously described method (Lee et al., 2012). The relative magnetization, $M_{\text{rel}}$, defined as the ratio $M/M_S$, where $M_S$ is the saturation magnetization, was computed using standard magnetic dynamic formalism described elsewhere (Ivanov et al., 2007; Mikhaylova et al., 2004). The effect of the local electric field was modeled through the local point magnetization change according to the aforementioned linear expression for the ME effect. To estimate the change of the electric polarization, we assumed that local neural firings resulted in instantaneous currents density of 70 pA/$\mu$m$^2$ (Tottene et al., 2002) and the electric field intensity was modeled considering the direct current conduction finite element method (FEM) (Miranda et al., 2012). To calculate the resulting electric field profiles, the system was divided into the following three segments, each with a uniform isotropic electrical conductivity: (i) white matter (WM) – 0.14 S/m, (ii) grey matter (GM) – 0.33 S/m, (iii) cerebrospinal fluid (CSF) – 1.79 S/m (Wolters et al., 2006).
The following modeling parameters were used for 50-nm nanoparticles: the saturation magnetization, $M_s$, of 10 and 100 emu/g for MENs and MNs, respectively, the isotropic ME coefficient, $\alpha$ ($\alpha_{ij} = \alpha$), of 0.1 G cm V$^{-1}$ for MENs, and the uniform microenvironment temperature, $T$, of 300 K. The basic physics of the MENs’ surface charge dependence on the field-dependent microenvironment was described in our previous publications (Guduru & Khizroev, 2014).
It was assumed that MENs could be administrated intravenously and then transported across BBB via
application of a magnetic field gradient, as previously demonstrated through in vitro and in vivo studies (Guduru et al., 2015; Nair et al., 2013). By default, the modeled nanoparticle dose was approximately 0.1-mmol per 1 kg bodyweight or approximately 2.3 g of MENs for a 50-Kg weight subject. The concentration was comparable to the typical concentration of clinically used gadolinium based contrast agent (GBCA) (Voth et al., 2009).
To illustrate the main concept, the effects of MENs on MPI-based brain imaging were studied on examples of relatively well-known neurocognitive responses that reflect specific functions in specific brain regions. MENs were compared to equivalent MNs. Again, the main distinction between MENs and MNs was the presence of the ME effect in MENs and its lack in MNs. As a result, the magnetic response of individual MENs depended not only on the magnetic moment but also on its surface charge; in contrast, the magnetic response of individual MNs did not depend on the surface charge. Assuming the nanoparticles were adequately separated from each other to exclude quantum-mechanical interactions between them (> 5 nm) but yet not too far (~ 1 μm) to ignore their collective effect due to the dipole-dipole interaction, their local collective behavior at the micron-size scale could be described by a mean-field theory of a paramagnetic gas using Langevin functions. The magnetic moment of each MN, \( m_{MN} \), was found as the product of its saturation magnetization, \( M_S \), and volume, \( V \):
\[
m_{MN} = M_S V
\]
(4)
As discussed above, unlike MNs, MENs had an additional shift in their magnetization value due to the ME effect, \( \Delta M_{MEN} \). In an isotropic approximation, the dependence of the magnetic moment shift on the averaged local electric field, \( E \), was approximately given by the trivial linear expression:
\[
\Delta m_{MEN} = \alpha E V
\]
(5)
**Results**
Figure 1 illustrates how the MEN-based approach can be used to map the electric field in the brain. The main concept is illustrated on a popular example of an action potential travelling down an axon, which is consequently experiencing an electric polarity change across the membrane. The exaggerated illustration shows how the magnetic moment of a MEN near the membrane can be flipped by the reversed local electric field as the action potential travels by the MEN. The flipped magnetic moment and consequently the changed action potential can be detected through the resulting local contrast change in the magnetic image. It should be understood that this simplified example is used merely for the purpose of a conceptual illustration. In real applications, the complete 180-degree reversal (flipping) of the magnetic moment is not required as long as the change of the magnetic moment triggered by the local change of the electric field in a selected direction can be detected by the imaging system. Further, because the excitatory postsynaptic potentials (EPSPs) that are generated at the neuron’s apical dendritic tree last longer than the original action potentials, it is possible that they would make a significantly stronger contribution to the local electric field change and therefore would be easier to detect (compared to instantaneous action potentials). However, to succinctly describe the new fundamental concept we focus on the basic scenario of the instantaneous electric field change induced by an action potential. With the above, this paper presents a theoretical study to demonstrate how MPI using MENs could be used to read neuronal firing in the brain.
The locally averaged (at the micron scale) field-dependent magnetizations of individual 50-nm MNs and MENs are shown in Figs. 2a and b, respectively. No hysteresis is considered in this calculation. As described above, with MENs, the magnetic moment was affected by a local electric field. For example, the field dependences of the magnetization for five values of the local electric field, 5, 10, 20, 40, and 100 V/m, respectively, are shown in Fig. 2b. The field values were on the same order as endogenous electric fields deep in the brain. The relative magnetization was defined as the ratio of the magnetization and its saturated value. The calculated MPI signals for both MNs and MENs for the five electric field values are shown in Fig. 2c.
For comparison, normalized MPI images enhanced with both MNs and MENs at two different view angles of the frontal lobes of the cerebral cortex during a neuronal firing are shown in Fig. 3. The signal is normalized to the maximum magnetic signal, specific to each set of the MPI setup and the magnetic properties of the nanoparticles. The region with a simulated neuronal firing is highlighted by the dotted circle. The synchronous firing is modeled to take place in a 2-mm local spot in the left pre-frontal region of the cortex. The images are taken at the initial instance after neuron firing. The neural oscillations in the brain are alpha rhythmic in the range of 8–12 Hz, with each oscillation period in the 100-ms range (Strijkstra et al., 2003; Li & Hopfield, 1989). No significant electric field variation as a result of such firing could be detected in the images taken with MNs. In contrast, with MENs, the signal in the region of the neuronal firing was different from that in the same region in its normal state (pre-firing) by approximately a factor of two, which reflected the fact that the locally generated electric fields were converted into local nanoparticles’
Fig. 1 A schematic illustrating how MENs can be used to detect the electric field due to the neural activity deep in the brain. The exaggerated illustration shows how the magnetic moment of a MEN in the proximity of the membrane can be reversed by flipping the local electric field as the action potential travels by the MEN.
Fig. 2 Magnetic field response of MNs and MENs depending on the nanoparticle size and local electric field at the micron-size scale. **a** $M_{\text{rel}}(H)$ for MNs. **b** $M_{\text{rel}}(H)$ for MENs for five different values of the local electric field: $E_1 = 5$, $E_2 = 10$, $E_3 = 20$, $E_4 = 40$, $E_5 = 100$ V/m. The relative magnetization is the ratio of the magnetization and its saturated value.
magnetization changes, which, in turn, could be detected by MPI as a change in the magnetic signal due to their ME effect. In other words, the local electric fields due to the synchronous firing modulated the magnetic image.
The images of the same region obtained as a result of the demodulation of the MPI-MEN signal with the MPI-MN signal are shown in Fig. 4. According to this model, the de-modulated image shows the electric field map at the first instance after the neural firing in the highlighted region.
To understand the effect of the nanoparticle density on the image quality, the MPI’s signal and spatial resolution dependencies on the density are shown in Fig. 5. On the one hand, decreasing the distance between adjacent nanoparticles, in other words, with a density increase, should lead to a stronger signal. On the other hand, a shorter distance would lead to a stronger collective effect, which in turn interferes with the spatial resolution, which could explain the non-linear dependence of the spatial resolution on the density.
**Discussion**
The objective of this computational study was to demonstrate the new capability of MENs, not provided by any other nanoparticle type, to map local intrinsic electric fields due to neural activity deep in the brain. The main hypothesis relied on the fact that MENs administrated into the brain served as energy-efficient local centers that coupled local intrinsic electric fields (due to neural activity) to an external magnetic imaging tool. As the imaging tool, the recently emerged approach of MPI was chosen because of its many advantages over the traditional MRI system, e.g., (i) a temporal resolution of faster than 1 μs, (ii) a weak or no dependence on the nuclear spin relaxation times and consequently, a superior sensitivity (arguably, at least three orders of magnitude better, depending on the specific MPI method), (iii) relaxed requirements on the background magnetic field strength and uniformity. With MPI, any magnetic nanoparticles, i.e. traditional MNs or recently developed MENs, could serve as imaging centers. Like the traditional MNs, if administrated intravenously, MENs could be steered through the blood system to the brain across the BBB via application of magnetic field gradients (Li & Hopfield, 1989). The approach of navigating MENs in the brain would be similar to that used in the conventional MRI with traditional MNs, e.g., SPIONs or...
gadolinium based nanoparticles, as contrast agents. After the nanoparticles enter the brain, they are not exposed to the relatively strong hydrodynamic force due to the blood circulation and therefore could be considered adequately stationary for the imaging duration. Assuming that there were enough MENs per each neuron to provide sufficient electric-field connectivity between the nanoparticles and the neuron, which was justified for the nanoparticle density range under study, each signal pixel in the MPI image reflected the local nanoparticle’s average magnetization i.e., $S_{\text{MEN}} \sim M_{\text{av}}$ (Fig. 2) (Probst et al., 2011). As expected, with the traditional MNs, the saturation magnetization didn’t depend on the electric-field microenvironment and therefore, represented mostly the brain’s structure (Fig. 2). In contrast, when MENs were used instead of MNs, because of the ME effect, the signal depended also on the local intrinsic electric field and therefore, reflected not only the local physical structure but also the local electric field due to the neural activity in the brain (Figs. 2 and 3). According to this model, the MPI-MEN signal was the result of the modulation of the structural image with the local electric field. Considering that MPI-MN provided mostly the structural image, similar to the one provided by conventional MRI, to obtain the electric field map of the brain, we de-modulated the MPI-MEN image with the equivalent MPI-MN image (Fig. 4). As for the spatial resolution, although the MPI signal significantly increased with increasing the nanoparticles’ density, the spatial resolution was limited to approximately 100 nm for 50-nm MENs, which could be explained by the collective dipole-dipole interaction effects at such high densities (Fig. 5). As for the temporal resolution, it is noteworthy that the MPI’s resolution (of < 1 μs depending on the MEN’s magnetic anisotropy) would be sufficient to monitor most neural activity in the brain in real time. Also, it could be noted that the studied electric-field mapping approach is relatively energy efficient and therefore would not cause any damaging thermal dissipation effects. To estimate the power that dissipates as a result of MPI-MEN imaging, we can make the following conservative back-of-the-envelope analysis. Assuming MENs are made of the popular coreshell composition of BaTiO$_3$-CoFe$_2$O$_4$, with an atomic density of approximately 5 g/cc, a saturation magnetization of 10 emu/cc, and a coercivity field of 100 Oe, for a MENs’ net weight of 2.5 g, the nanoparticles would dissipate approximately $10^{-7}$ J of energy in each M-H cycle. Then, taken an imaging frequency of 10 kHz, the dissipated power would be approximately 1 W, which, according to the thermal transport equation in the brain (Sotero & Iturria-Medina, 2011), would be significantly below the acceptable limit (of ~ 50 W) to avoid steady temperature rise by over 2 degrees. Last but not least, it is worth mentioning how the nanoparticles would be cleared from the brain post imaging. With the current rapid progress of nanotechnology and nanomedicine, eventually, biodegradable MENs will be developed, possibly made of biocompatible iron and/or carbon (Hong et al., 2012). However, there are several other alternatives which could be used in the not-so-distant future. For example, it has been shown that these nanoparticles are excreted naturally within 2 to 8 weeks depending on the nanoparticle’s size (Hadijkhani et al., 2017). Optionally, reversing magnetic field gradients, to ensure the maximum field is generated outside the brain region, could push the particles back to the blood circulation system and thus greatly accelerate the clearance process.
**Conclusions**
In summary, this paper for the first time presented a theoretical study, supported through numerical simulations, which could pave the way to next-generation wireless electric-field mapping of the brain in real time. The main concept was based on integration of MENs with MPI to provide unique diagnostic and measurement capabilities. It was shown that placing MENs in the
brain and then imaging them with MPI could allow to wirelessly monitor electric field activity deep in the brain at the sub-neuronal level in real time. In turn, such a capability could enable early screening and prevention of neurodegenerative diseases as well as pave the way to reverse engineering the brain.
Abbreviations
BBB: blood brain barrier; BOLD: blood-oxygen-level dependent; CGAL: computer geometry algorithm library; CSF: cerebrospinal fluid; DfMRI: diffusion functional magnetic resonance imaging; dMRI: diffusion magnetic resonance imaging; DTI: diffusion tensor imaging; EEG: electroencephalography; EPSPs: excitatory postsynaptic potentials; FE: finite element; fMRI: functional magnetic resonance imaging; GM: grey matter; MRE: magnetic resonance; MEG: magnetoencephalography; MENs: magnetoelectric nanoparticles; MNs: magnetic nanoparticles; MPI: magnetic particle imaging; MRI: magnetic resonance imaging; PET: positron emission tomography; SPION: superparamagnetic iron-oxid nanoparticles; WM: white matter
Acknowledgements
The authors acknowledge many insightful discussions with Dr. Andrew Schally of Miami VA Health Center.
Funding
We acknowledge partial financial support from National Science Foundation (NSF) awards: # ECCS-1408163, ECCS-095914, and IIP-123/818, National Institutes of Health (NIH) DA # R01DA034547–01, and Neuroscience Centers of Florida Foundation (NCSF).
Availability of data and materials
- The datasets generated and/or analysed during the current study are available in the [NAME] repository, [PERSISTENT WEB LINK TO DATASETS].
- The datasets used and/or analysed during the current study are available from the corresponding author on reasonable request.
- All data generated or analysed during this study are included in this article [and its supplementary information files].
- The datasets generated and/or analysed during the current study are not publicly available due [REASON WHY DATA ARE NOT PUBLIC] but are available from the corresponding author on reasonable request.
- Data sharing is not applicable to this article as no datasets were generated or analysed during the current study.
- The data that support the findings of this study are available from [third party name] but restrictions apply to the availability of these data, which were used under license for the current study and so are not publicly available. Data are however available from the authors upon reasonable request and with permission of [third party name].
Not applicable. If your manuscript does not contain any data, please state ‘Not applicable’ in this section.
Authors’ contributions
SK has designed and oversaw the project. RG has conducted the simulation studies. PL has worked with the development of the magnetic field control system. SK, RG, PL, MY, and JH have been involved in drafting the manuscript. Given final approval of the version to be published, the authors agree to be accountable for all aspects of the work.
Ethics approval and consent to participate
Not applicable.
Consent for publication
Not applicable.
Competing interests
The authors declare they have no competing interests.
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Author details
1Center for Personalized Nanomedicine, Florida International University, 11200 SW 8th ST, Miami, Florida 33199, USA. 2Department of Electrical and Computer Engineering, Florida International University, Miami, Florida 33174, USA. 3Department of Electrical and Computer Engineering, University of California, Riverside, California 92521, USA. 4Brain Center, Miami, Florida 33124, USA.
Received: 16 March 2018 Accepted: 20 July 2018
Published online: 06 August 2018
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Public Service Commission
211 Sower Boulevard, P.O. Box 615
Frankfort, Kentucky 40602-0615
Re: Big Rivers Electric Corporation’s 2010 Integrated Resource Plan
PSC Case No. 2010-00443
Dear Mr. DeRouen:
Enclosed for filing in the above referenced matter are an original and ten copies of Big Rivers Electric Corporation’s responses to the Commission Staff’s First Information Request and to the Attorney General’s Initial Requests for Information. I certify that a copy of this letter and the responses have been served on the parties on the attached service list.
Sincerely yours,
Tyson Kamuf
TAK/ej
Enclosures
cc; w/enclosure: Service List
Hon. Dennis G. Howard, II
Hon. Lawrence W. Cook
Assistant Attorney General
1024 Capital Center Drive
Suite 200
Frankfort, KY 40601
Office of the Attorney General of
the Commonwealth of Kentucky
Michael L. Kurtz, Esq.
Boehm, Kurtz & Lowry
36 East Seventh Street
Suite 1510
Cincinnati, Ohio 45202
David C. Brown, Esq.
Stites & Harbison
1800 Providian Center
400 West Market Street
Louisville, KY 40202
Counsel for Alcan Primary Products Corporation
and Century Aluminum of Kentucky General Partnership
VERIFICATION
I, David G. Crockett, verify, state, and affirm that I prepared, or supervised the preparation of, the data request responses for which I am the respondent and filed with this verification, and that those responses are true and accurate to the best of my knowledge, information, and belief formed after a reasonable inquiry.
David G. Crockett
COMMONWEALTH OF KENTUCKY
COUNTY OF HENDERSON
SUBSCRIBED AND SWORN TO before me by David G. Crockett on this the 28th day of January, 2011.
Paula Mitchell
Notary Public, Ky. State at Large
My Commission Expires 1-12-13
VERIFICATION
I, Mark A. Hite, verify, state, and affirm that I prepared, or supervised the preparation of, the data request responses for which I am the respondent and filed with this verification, and that those responses are true and accurate to the best of my knowledge, information, and belief formed after a reasonable inquiry.
Mark A. Hite
COMMONWEALTH OF KENTUCKY
COUNTY OF HENDERSON
SUBSCRIBED AND SWORN TO before me by Mark A. Hite on this the 28th day of January, 2011.
Paula Mitchell
Notary Public, Ky. State at Large
My Commission Expires 1-12-13
VERIFICATION
I, Jeffrey R. Huber, verify, state, and affirm that I prepared, or supervised the preparation of, the data request responses for which I am the respondent and filed with this verification, and that those responses are true and accurate to the best of my knowledge, information, and belief formed after a reasonable inquiry.
__________________________
Jeffrey R. Huber
STATE OF GEORGIA
COUNTY OF COBB
SUBSCRIBED AND SWORN TO before me by Jeffrey R. Huber on this the 27th day of January, 2011.
[Notary Seal]
PEGGY HICKS
EXPIRES Notary Public,
GEORGIA
JAN 7, 2015
County Commission Expires 1-7-2015
VERIFICATION
I, John W. Hutts, verify, state, and affirm that I prepared, or supervised the preparation of, the data request responses for which I am the respondent and filed with this verification, and that those responses are true and accurate to the best of my knowledge, information, and belief formed after a reasonable inquiry.
John W. Hutts
STATE OF GEORGIA)
COUNTY OF COBB )
SUBSCRIBED AND SWORN TO before me by John W. Hutts on this the _27th__ day of January, 2011.
Peggy Hicks
Notary Public, State of Georgia
Commission Expires 1-7-2015
VERIFICATION
I, Michael J. Mattox, verify, state, and affirm that I prepared, or supervised the preparation of, the data request responses for which I am the respondent and filed with this verification, and that those responses are true and accurate to the best of my knowledge, information, and belief formed after a reasonable inquiry.
______________________________
Michael J. Mattox
COMMONWEALTH OF KENTUCKY
COUNTY OF HENDERSON
SUBSCRIBED AND SWORN TO before me by Michael J. Mattox on this the 28th day of January, 2011.
______________________________
Paula Mitchell
Notary Public, Ky. State at Large
My Commission Expires 1-12-13
VERIFICATION
I, Russell L. Pogue, verify, state, and affirm that I prepared, or supervised the preparation of, the data request responses for which I am the respondent and filed with this verification, and that those responses are true and accurate to the best of my knowledge, information, and belief formed after a reasonable inquiry.
Russell L. Pogue
COMMONWEALTH OF KENTUCKY
COUNTY OF HENDERSON
SUBSCRIBED AND SWORN TO before me by Russell L. Pogue on this the 28th day of January, 2011.
Paula Mitchell
Notary Public, Ky. State at Large
My Commission Expires 1-12-13
VERIFICATION
I, Amber M. Roberts, verify, state, and affirm that I prepared, or supervised the preparation of, the data request responses for which I am the respondent and filed with this verification, and that those responses are true and accurate to the best of my knowledge, information, and belief formed after a reasonable inquiry.
Amber M. Roberts
STATE OF GEORGIA
COUNTY OF COBB
SUBSCRIBED AND SWORN TO before me by Amber M. Roberts on this the 27 day of January, 2011.
Peggy Hicks
Notary Public
My Commission Expires 1-7-2015
VERIFICATION
I, Thomas L. Shaw, verify, state, and affirm that I prepared, or supervised the preparation of, the data request responses for which I am the respondent and filed with this verification, and that those responses are true and accurate to the best of my knowledge, information, and belief formed after a reasonable inquiry.
Thomas L. Shaw
COMMONWEALTH OF KENTUCKY
COUNTY OF HENDERSON
SUBSCRIBED AND SWORN TO before me by Thomas L. Shaw on this the 28th day of January, 2011.
Paula Mitchell
Notary Public, Ky. State at Large
My Commission Expires 1-12-13
VERIFICATION
I, Jacob M. Thomas, verify, state, and affirm that I prepared, or supervised the preparation of, the data request responses for which I am the respondent and filed with this verification, and that those responses are true and accurate to the best of my knowledge, information, and belief formed after a reasonable inquiry.
Jacob M. Thomas
STATE OF GEORGIA)
COUNTY OF COBB)
SUBSCRIBED AND SWORN TO before me by Jacob M. Thomas on this the 27th day of January, 2011.
PEGGY HICKS
NOTARY PUBLIC
EXPIRES 1-9-2015
Notary Public, State of Georgia
My Commission Expires 1-9-2015
Item 1) The filing indicates BREC has available to it 1.444 GW generating capacity, with 385 MW of additional capacity available, 207 MW of which is owned by Henderson Municipal Power and Light (“HMPL”). State, if known, what plans, including the costs associated with same, HMPL has to comply with new EPA regulations, which include: the Clean Air Transport Rule (CAIR); National Ambient Air Quality Standards (NAAQS); Coal Combustion Residuals (CCR); HAPs MACT; and Water Quality 316 (a) and 316 (b) [collectively referred to hereinafter as “the EPA Regulations”].
a. Has HMPL communicated to BREC any information regarding impacts the EPA regulations will have on HMPL, which it may have to pass on to BREC? If so, please provide any and all information relevant to this request.
Response) Under the Station Two Contracts, Big Rivers is responsible for keeping Station 2 compliant with environmental regulations, and the costs related thereto are split based on the agreements between Big Rivers and HMP&L, which split the bulk of those costs based on capacity.
a. Big Rivers is unaware of any communication from Henderson Municipal Power and Light (“HMP&L”) regarding the impact of any EPA regulations on HMP&L.
Respondents) Thomas L. Shaw
Mark A. Hite
Item 2) In the event HMPL must comply with any additional EPA regulations not indicated in question number 1 above, please identify same as well as the company’s plans to comply with same, including the costs associated therewith.
Response) Please see Big Rivers’ response to Item AG 1-1 of the Attorney General’s First Information Request (“AG’s Initial Data Requests”). Big Rivers has no knowledge regarding EPA regulations, unrelated to Station Two, with which HMP&L must comply.
Respondent) Thomas L. Shaw
Item 3) The filing indicates that of the 385 MW of additional capacity available to the company, 178 MW comes from SEPA which it derives from the Wolf Creek hydro plant. Since one of the impacts of the EPA regulations will be to place a greater demand on alternative sources of generation (including renewables such as hydro), will the company still be able to obtain the SEPA generation at current pricing?
Response) Rates for SEPA power (Cumberland system) are cost-based. Therefore, SEPA would not be able to charge Big Rivers a premium if this power qualified as renewable under future EPA rules. In addition, since EPA regulations are not finalized it is impossible to determine if SEPA costs to generate and transmit hydroelectric power would be impacted. Please refer to the following link for SEPA’s discussion of how rates are determined: http://www.sepa.doe.gov/Power/?c=10.
Respondent) Michael J. Mattox
Item 4) The filing indicates that the Reid unit can co-fire with coal or gas, but that no gas line is in place, and the company has not secured the necessary permits to burn natural gas. Does the company believe it would be prudent to begin the planning and preparatory measures necessary to install a gas line to Reid and/or any of its other generating equipment that are capable of co-firing operations, or could be converted to co-firing operations without any such permits?
Response) The Reid Unit 1 natural gas line is complete and in place. Yes, Big Rivers is investigating natural gas conversion and co-firing operations possibilities at all units, but is awaiting a final EPA ruling on proposed regulations. A change from coal to natural gas at any Big Rivers generating unit will require a modification to the appropriate Big Rivers’ Title V permit.
Respondent) Thomas L. Shaw
Item 5) Regarding BREC’s load forecast, state whether any scenarios were run in which one or both smelters left the Commonwealth. If so, please provide complete details.
Response) Big Rivers’ Load Forecast has no explicit scenarios in which one or both smelters leave the Commonwealth.
Respondent) Michael J. Mattox
Item 6) Confirm that BREC’s load forecast indicates its load will grow by 8 MW per year. If that is not the projected growth, please provide updated information related to same.
Response) Projected energy and peak demand requirements are presented in Table 5.1, page 5-8, of Big Rivers’ 2010 Integrated Resource Plan (“the 2010 IRP”). The system peak is projected to increase from 1,496 MW in 2010 to 1,613 MW in 2015, averaging growth of 7.8 MW per year. The forecast has not changed since the filing of Big Rivers’ 2010 IRP in November 2010.
Respondent) John W. Hutts
Item 7) The filing indicates MISO will require BREC to maintain a planning reserve margin of 4.5%. Please confirm that this would result in a reduction of approximately 65 MW of generation available to BREC.
a. State how BREC plans to replace the generation that will have to be dedicated toward meeting the MISO planning reserve margin.
b. If the reduction is not 65 MW, please provide the accurate number as well as BREC’s plans as requested in question a. above.
Response) a.-b. The question implies the Midwest ISO planning reserve margin of 4.5% is incremental to the 15% target margin used in the base case. That implication is not correct. In the Midwest ISO case, the 4.5% reserve margin replaces the 15% reserve margin target used in all other cases. Therefore, there is not a 65 MW reduction in available capacity to Big Rivers.
Respondent) Michael J. Mattox
The 2016-2017 school year was a very successful one for the students and staff at the University of Maryland Eastern Shore. The University continued to grow in enrollment, research, and service to the community. The University also continued to be recognized by national publications such as U.S. News & World Report, Kiplinger’s Personal Finance, and Forbes. The University was also ranked among the top 100 public universities in the nation by U.S. News & World Report.
The University of Maryland Eastern Shore is committed to providing a high-quality education that prepares students for success in their chosen fields and in life. The University offers a wide range of academic programs, including undergraduate and graduate degrees, as well as certificate programs. The University also has a strong commitment to research and scholarship, with faculty members engaged in cutting-edge research across a variety of disciplines.
The University of Maryland Eastern Shore is located in Princess Anne, Maryland, and is easily accessible from the surrounding area. The campus is situated on a beautiful 350-acre campus, which includes a variety of facilities and resources for students and faculty. The University also has a strong commitment to community engagement, with a number of programs and initiatives aimed at improving the quality of life in the region.
The University of Maryland Eastern Shore is proud of its long history of excellence and is committed to continuing to provide a high-quality education to its students. The University is also committed to fostering a culture of innovation and creativity, and to working closely with the community to address the challenges facing the region.
Item 8) State whether the EPA regulations will have an impact on BREC’s future planning process, and if so, provide details.
Response) Big Rivers reviews proposed EPA regulations and generally looks for impacts to forecasted emissions based on generation. No firm actions are taken until any proposed EPA rule is final since possible changes in the regulatory requirements, following from the comment period, could affect Big Rivers’ preliminary compliance strategy. Also, control equipment design cannot begin until any final EPA rule is published and the final compliance limits are known.
Respondent) Thomas L. Shaw
Item 9) Were the EPA regulations taken into consideration in the instant filing? If so, provide full details. If not, why not? Please explain.
Response) Pending EPA regulations were not taken into consideration in the instant filing.
Even under the most optimistic EPA regulatory assumptions, Big Rivers will be faced with deciding whether to make significant environmental investments in its existing units or secure other power supplies, either by purchasing from other utilities or by developing new resources. In evaluating these decisions, it will be important not only to carefully quantify the costs of modifying and operating existing generation units, but also to recognize the direct and indirect impacts the new regulations will have upon the installed costs of other technologies and the fuel supplies for these technologies. If one or more coal units are retired, demand for other technologies and “cleaner” fuels will undoubtedly increase, with a resulting expected increase in costs. Similarly, with only a short time allowed for compliance under the Utility MACT, the demand (and resulting cost) for emission reduction could result in pricing volatility. All of these factors will have to be robustly examined to support the decision-making process for what will undoubtedly result in the development of major projects or a significant change in Big Rivers’ existing portfolio. Big Rivers recognizes the importance in addressing the impacts of EPA regulations on its 2010 IRP. However, Big Rivers believes that it is prudent to wait until more definitive information about the proposed EPA regulations becomes available before assessing such impacts.
Respondent) Thomas L. Shaw and Michael J. Mattox
Item 10) Does BREC anticipate making additional purchased power arrangements as a means of meeting compliance with the EPA regulations? If so, has the company performed any pricing analyses indicating how much more expensive purchased power will become as more of the EPA regulations become effective, as opposed to if the EPA regulations were not in place? If yes, please provide details.
a. In your response, please also include any estimates the company may have regarding the difference in costs BREC will incur as more of the EPA regulations come into effect in future years for additional power purchases the company may make in order to achieve compliance with the EPA regulations, versus the costs for self-generation the company would have incurred if the EPA regulations do not go into effect.
b. If BREC did not perform any pricing analyses, please explain why not.
Response) a-b. Big Rivers did not specifically address pending EPA regulations in development of its 2010 IRP. Therefore, at this time, Big Rivers does not anticipate making additional purchased power arrangements due to potential EPA regulation impacts. Please refer to Big Rivers’ response to Item AG 1-9 of the AG’s Initial Data Requests.
Respondent) Michael J. Mattox
Item 11) In the event BREC purchases power, does its MISO membership require it to first seek to obtain it from the MISO market?
Response) Big Rivers’ membership in the Midwest ISO does not require it to first seek to obtain power from the Midwest ISO market when purchasing power.
Respondent) Michael J. Mattox
Item 12) In the event BREC is required to increase its purchases of power as a result of attempting to achieve compliance with the EPA regulations, does it have adequate transmission and/or interconnection in place?
Response) Since future EPA regulations are not finalized it is impossible to determine by what amount, if any, Big Rivers would have to increase purchases and if associated transmission and/or interconnections are adequate. Please see Big Rivers’ response to Item AG 1-9 of the AG’s Initial Data Requests.
Respondent) Michael J. Mattox
Item 13) If the answer to question 12 above is in the negative, please explain in detail what the company intends to do to address any transmission and/or interconnection issues.
Response) Since future EPA regulations are not finalized it is impossible to determine if there will be any transmission and/or interconnection issues. Please see Big Rivers’ response to Item AG 1-9 of the AG’s Initial Data Requests.
Respondent) Michael J. Mattox
Item 14) Has BREC conducted, or is it aware of any studies indicating the costs BREC would incur in complying with carbon removal and sequestration requirements? If so, please provide copies of such studies or other relevant information.
Response) Big Rivers has not conducted, and is not aware of, any studies that specifically indicate the costs Big Rivers would incur in complying with carbon removal and sequestration requirements. The National Energy Technology Laboratory along with the United States Department of Energy published a study (see www.netl.doe.gov/technologies/carbon_seq/refshelf/CCSRoadmap.pdf) that estimates using today’s commercially available Carbon Capture and Sequestration technologies would add around 80 percent to the cost of electricity for a new Pulverized Coal plant.
Respondent) Thomas L. Shaw
Item 15) Will BREC incur any reliability concerns as a result of achieving or attempting to achieve compliance with the EPA regulations?
Response) Big Rivers is not aware of any reliability concerns will result from changes in the operation of the system generation resources required to comply with the EPA regulations. This stems in the large part from the lack of certainty surrounding the specific requirements that may be contained in the final EPA regulations.
Respondent) David G. Crockett
Item 16) Does BREC know whether the utilities surrounding its service territory will also be pursuing additional purchased power acquisitions as a result of attempting to achieve compliance with the EPA regulations? If so, (a) have any studies been conducted indicating how much additional power those other utilities will require; and (b) provide any information thereto relevant.
Response) Big Rivers does not know if the utilities surrounding its service area will pursue additional purchased power acquisitions to comply with any EPA regulations.
Respondent) Michael J. Mattox
The following is a list of the most common types of software that are used in the field of computer science:
1. Operating Systems: These are the programs that manage the hardware and software resources of a computer system.
2. Programming Languages: These are the languages used to write computer programs.
3. Database Management Systems: These are the programs that manage the storage, retrieval, and manipulation of data.
4. Web Development Tools: These are the tools used to create websites and web applications.
5. Software Development Tools: These are the tools used to develop software applications.
6. Data Analysis Tools: These are the tools used to analyze data and make decisions based on the analysis.
7. Project Management Tools: These are the tools used to manage projects and ensure that they are completed on time and within budget.
8. Collaboration Tools: These are the tools used to collaborate with others on projects and share information.
9. Security Tools: These are the tools used to protect computer systems from unauthorized access and attacks.
10. Virtualization Tools: These are the tools used to create virtual machines and run multiple operating systems on a single physical machine.
Item 17) In the event BREC decided to switch fuel on one or more of its generating units, could such an event trigger a “New Source” review by the EPA? If so, would such a review increase costs for BREC’s ratepayers? If so, please explain in detail.
Response) Switching fuel on one or more generating units could trigger a “New Source” review of a utility. Big Rivers evaluates new projects for compliance with New Source review issues. Projects meeting a certain threshold, which might have impacts, affecting New Source issues are redesigned to remove or eliminate the issue. The internal New Source review is completed to reduce the possibility of non-compliance with EPA regulations and, therefore, reduce the cost risk to the ratepayers.
Respondent) Thomas L. Shaw
Item 18) Regarding BREC’s planned transmission system additions, as set forth in Sec. 6-4 of the filing, state whether MISO will or could make any contributions to the costs of these projects. If the company does not yet have sufficient information to reply to this question, will the company make all reasonable efforts to acquire MISO financial contributions to as many of the transmission projects outlines in the filing as possible?
Response) Big Rivers does not anticipate that the Midwest ISO will make any contributions toward the payment of costs to complete any of the planned transmission system additions set forth in Section 6.4 of the report. Big Rivers inquired about Midwest ISO cost sharing of those projects in the list which were approved for construction prior to its integration into the Midwest ISO. The Midwest ISO confirmed that those projects were not subject to cost sharing under its Transmission Expansion Planning approval process. All remaining Big Rivers’ projects would likely be excluded from the Midwest ISO cost sharing since they are required for load serving functions only. However, Big Rivers will make all reasonable efforts to acquire Midwest ISO financial contributions to any future transmission projects, if possible.
Respondent) David G. Crockett
Item 19) Regarding BREC’s planned transmission system additions, will the time frames for any of these projects need to be accelerated in the event BREC anticipates the need for additional purchased power transactions due to the impact of the EPA regulations? If so, please explain in detail.
Response) Big Rivers does not anticipate that any of the currently planned transmission system additions will require accelerated time frames due to the impact of the EPA regulations. However, Big Rivers cannot rule out the possibility that additional transmission system additions might be required as a result of those EPA regulations. Please see Big Rivers’ response to Item AG 1-9 of the AG’s Initial Data Requests.
Respondent) David G. Crockett
Item 20) Regarding Section 7-8 of the filing, the company states 109,000 CFLs have been distributed “at no cost to members”. Does this statement mean that BREC’s three member co-ops did not have to pay any price for the bulbs, or that the co-ops’ residential customers did not have to pay for bulbs when each individual residential customer received bulbs?
a. How much of the cost for the 109,000 CFL bulbs will be passed on to the ratepayers in BREC’s next rate case? Please explain your answer both in dollar figure and a percentage, if applicable.
b. If the costs will not be passed along to its members, how will the costs be paid?
Response) Big Rivers reimbursed its Member Cooperatives for the cost of the bulbs.
a. The 109,000 CFL bulbs were purchased for distribution from 2003 through 2009. Only the cost of CFL bulbs distributed in 2011 and beyond may be included in any future rate case filings.
b. For Demand Side Management (“DSM”) programs with a Total Resource Cost (“TRC”) test greater than one; the net present value of the benefits is greater than the cost. The distribution of the CFL bulbs has a TRC of 2.4. Hence, the benefit of the CFL bulbs far exceeds its costs. See Big Rivers’ response to Item AG 1-20(a) of the AG’s Initial Data Requests.
Respondent) Russell L. Pogue
The following is a list of the most common types of data that can be collected and analyzed using the methods described in this paper.
- **Demographic Data**: Information about the age, gender, race, ethnicity, education level, income, employment status, and other demographic characteristics of individuals or groups.
- **Behavioral Data**: Information about the behaviors and actions of individuals or groups, such as their online activity, social media usage, and purchasing habits.
- **Geospatial Data**: Information about the location and movement of individuals or groups, such as their travel patterns, residential addresses, and work locations.
- **Health Data**: Information about the health and well-being of individuals or groups, such as their medical records, health insurance information, and disease prevalence.
- **Financial Data**: Information about the financial transactions and assets of individuals or groups, such as their bank accounts, credit scores, and investment portfolios.
- **Legal Data**: Information about the legal status and history of individuals or groups, such as their criminal records, court cases, and legal proceedings.
- **Educational Data**: Information about the educational attainment and experiences of individuals or groups, such as their academic records, test scores, and course enrollments.
- **Environmental Data**: Information about the natural environment and its impact on individuals or groups, such as air quality, water quality, and climate change.
- **Political Data**: Information about the political affiliations and activities of individuals or groups, such as their voting records, campaign contributions, and political activism.
- **Social Media Data**: Information about the content and interactions on social media platforms, such as tweets, posts, and comments.
- **Internet Data**: Information about the use of the internet by individuals or groups, such as their web browsing history, search queries, and online purchases.
- **Mobile Data**: Information about the use of mobile devices by individuals or groups, such as their phone calls, texts, and app usage.
- **Biometric Data**: Information about the physical and biological characteristics of individuals or groups, such as their fingerprints, DNA, and facial recognition.
- **Artificial Intelligence Data**: Information about the development and deployment of artificial intelligence systems, such as their algorithms, models, and applications.
Item 21) Regarding Section 7-16 of the filing, the company states it provided energy saving analyses “by combining efforts with the member systems, the DOE and U of L’s Kentucky Pollution Prevention Center”.
a. Please explain in detail the nature of this collaborative effort, and the roles each entity played.
b. Does BREC anticipate working with the University of Louisville’s Kentucky Pollution Prevention Center in any future projects? If so, please provide as many details as possible.
c. Has BREC considered working with the Kentucky School Board in any future DSM programs?
Response) a. Big Rivers and its Member Cooperatives’ staffs participated with an Industrial Assessment Center, sponsored by the U.S. Department of Energy and located at the University of Louisville (“UofL”), to provide detailed confidential energy use assessments for industrial customers that defined waste reduction methods. The UofL provided engineering and supervisory staff, and Big Rivers and its Members provided expertise and support for metering, rates and billing. For additional information about the Industrial Assessment Centers, please see the attached Industrial Assessment Centers Student and Alumni Newsletter of January 2007.
b. Yes. Big Rivers and its Members appreciate the value and support that the Kentucky Pollution Prevention Center can provide and will continue to work with them to the benefit of the Members.
c. Yes. Big Rivers and its Members have worked closely with local school districts in their service territories and would appreciate support from the Kentucky School Board for future DSM programs.
Respondent) Russell L. Pogue
Greetings IAC students and alumni! This past year was quite eventful for the IAC program – including the re-compete of IAC schools, budget reductions and IAC contributions to DOE’s Save Energy Now Initiative. The latest DOE solicitation resulted in awards to 26 ABET-accredited engineering schools. A map of the current Industrial Assessment Centers is found below. We have five new primary centers including the Universities of Delaware, Washington, Missouri-Columbia, Alabama-Tuscaloosa, and Tennessee Technological University. As you’ll read in this newsletter, the faculty and students at the new schools have participated in orientation training and are already up and running. Congratulations and good luck to our newly awarded centers!
As I mentioned in last year’s newsletter, the IAC program budget took a significant hit in 2007. While the DOE kept the number of centers level at 26, they asked the centers to reduce assessment loads by 50% which resulted in lost opportunities for many great IAC students and faculty. This was also unfortunate for the many organizations who are aggressively recruiting our new graduates and alumni. As we move into the 2008 budget debate this spring, the fate of the IAC is still very much up in the air. I received many inquiries and words of support from our alumni last year and with the IAC’s recent contribution to DOE’s Save Energy Now Initiative (see story below), I am hopeful that DOE will recognize the importance of the program in the upcoming budget request.
In closing, I would like to remind all soon-to-be graduates and alumni to regularly use the IAC student/alumni website to post resumes and review job postings. Due to the current market conditions, I receive at least three calls every week from corporate recruiters who have immediate needs for IAC engineers. There is no question that the market is hot and your experience and expertise is in extremely high demand. I initially refer all recruiters to our website, located at www.iacforum.org, so it is important to keep it loaded with great resumes and to respond to their job postings. Additionally, I also encourage alumni whose employers are hiring, to post opportunities on the website. If you are uncomfortable posting your resume or your organization’s position announcement on the website, please send it to me and I will forward it directly to recruiters, centers or alumni as appropriate.
Michaela Martin, PE, CEM
IAC Student Activities Coordinator
R&D Staff Member
Oak Ridge National Laboratory
firstname.lastname@example.org
DOE’s Save Energy Now Initiative: IACs Contribute to Astounding Results
Michaela Martin (email@example.com)
In 2006 DOE’s Industrial Technologies Program launched the **Save Energy Now** Initiative by sending DOE-contracted Energy Experts to the nation’s top 200 energy-intensive manufacturing facilities. A large number of these experts were IAC directors, assistant directors and alumni. These experts were selected competitively and hold DOE Qualified Specialist designations in process heating and steam. Additionally, IAC faculty held web-based seminars on topics including Building Energy Efficiency, Boiler Efficiency, CHP and Combustion Systems (see [http://iac.rutgers.edu](http://iac.rutgers.edu) for archived seminars). November 2006 assessment results from 162 plant assessments identified total potential energy cost savings of $395 million (nearly $2.5 million per plant!) and potential natural gas savings of 42 Trillion Btu per year. Six-month implementation reports are currently being conducted by IAC students. For updated information on assessments and training offered through the Save Energy Now Initiative, visit [http://www1.eere.energy.gov/industry/saveenergynow/index.html](http://www1.eere.energy.gov/industry/saveenergynow/index.html).
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Linking Productivity and Energy Savings
Laura Locke (firstname.lastname@example.org) and Dr. Diane Schaub (email@example.com),
University of Florida Industrial Assessment Center
When recommending energy saving practices, the University of Florida Industrial Assessment Center recognizes that energy efficiency enhancements can also result in increases in productivity. For example, increased worker throughput due to more temperate working temperatures or decreased absenteeism due to day-lighting enhancements can drastically affect the payback associated with energy savings. Because productivity savings are difficult to quantify, usually only energy savings are included in the cost savings calculations of IAC recommendations. The following article is a summary of research conducted by the University of Florida and published in the 2006 Institute of Industrial Engineering’s Annual Research Conference Proceedings. This research is focused on quantifying productivity savings resulting from two of the most common energy efficiency recommendations: lighting and temperature.
Environmental temperatures outside the human comfort zone have been shown to negatively affect productivity through mental performance such as creative thinking and problem solving, safety, and physical performance. For example, a study of apparel factory workers reported an 8% productivity decrease when temperatures rose from 23.9°C to 32.2°C. Some common assessment recommendations resulting in productivity savings include insulating boilers or machines that give off extra heat and applying a coat of reflective paint to a rooftop to reduce the absorption of heat in a facility.
The following is a recommendation to insulate a machine located in the middle of a manufacturing facility. See Figure 1. By insulating this machine, energy usage is reduced because the machine will use less heat when operating and the air-conditioning load is decreased since the heat from the machine will no longer add to the room temperature. Productivity savings on the other hand result from an allowance reduction in the standard time of a task. Standard time is the measured time with additional time (an allowance) given to compensate for time not spent working. Table 1 developed by the International Labor Organization in 1992 gives the allowances for physical fatigue due to temperature effects. Though the surface temperature of the machine is 140°F, the temperature at the location of the machine operator is...
100°F while ambient temperature is 79°F. Using Table 1, the fatigue allowance given at 100°F, is 10% while at 79°F, it is 2%. Therefore, the allowance reduction is 8%. This results in productivity savings of:
\[ PS = \text{Allowance reduction} \times \text{Hours/shift} \times \text{Wage/hour} \times \text{shifts/week} \times \text{weeks/year} \]
\[ = 0.08 \times 8 \text{ hrs/shift} \times \$15/\text{hr} \times 5 \text{ shifts/week} \times 50 \text{ weeks/year} = \$2,400/\text{employee per year} \]
| Table 1. Temperature Allowances (%) [1] | Temperature °C |
|----------------------------------------|----------------|
| Ventilation and Circulation and Humidity | Below -1 | -1 to 13 | 13 to 24 | 24 to 38 |
| Adequate ventilation and circulation; normal climatic humidity | 10 to 20 | 1 to 10 | 0 | 1 to 10 |
| Nonstandard climatic conditions, causing some discomfort | 20 to 25 | 5 to 10 | 0 to 5 | 5 to 15 |
| Very poor ventilation and circulation, fumes, dust, steam, causing irritation to eyes, skin, nose, throat | 20 to 30 | 10 to 20 | 5 to 10 | 10 to 20 |
Lighting has also been shown to have a diverse effect on productivity through alertness and mood, attitude and absenteeism, maintainability and safety. Certain jobs that involve inspection or close detail work can be affected directly by light quality. For example, workers’ ability to detect flaws in jet panels at a manufacturing facility of a US defense contractor improved by 20% when daylighting was added to the facility. Common assessment recommendations that experience these savings are installing new skylights or windows, cleaning existing windows, skylights, and lamps, painting walls and ceilings lighter colors, and lowering lamps.
To illustrate the calculations that go into determining the productivity savings, the following example is a recommendation for installing skylights. The energy savings result from having sufficient daylight to turn off a fraction of indoor lighting. Productivity savings on the other hand result from an allowance reduction and are calculated similarly to the insulation example. Using Table 2 below, an allowance reduction of 1% would apply after installing skylights. Productivity savings would be:
\[ PS = \text{Allowance reduction} \times \text{Hours/shift} \times \text{Wage/hour} \times \text{shifts/week} \times \text{weeks/year} \]
\[ = 0.01 \times 8\text{hrs/shift} \times \$15/\text{hr} \times 5 \text{ shifts/week} \times 50 \text{ weeks/year} \times 50 \text{ employees} = \$15,000/\text{year} \]
This example will also experience absenteeism savings, the calculations of which can be found in the full version of this paper [2].
| Table 2. Light Allowances (%) [1] |
|-----------------------------------|
| Allowance | Category |
| 1 | “Normal” lighting (200 to 500 lux in most industries; 500 to 1000 if offices and inspection) |
| 2 | Occasional glare is inherent part of job or where substandard or special lighting is required. |
| 3 | Work in absence of light or where sight is obstructed; eyes not used or are straining |
In conclusion, though difficult to compute at times, environmental temperature and lighting do have a substantial effect on worker productivity. This effect can be calculated through standard time allowances. Despite the fact that studies measuring the effect of temperature or lighting on productivity have found varying results, all agree there is a measurable link between productivity and environmental conditions.
**References**
1. Konz, S. and Johnson, S. *Work Design: Industrial Ergonomics*. 5th Ed. Holcomb Hathaway, Publishers, Inc. 2000.
2. Locke, Laura and Schaub, Diane, “Linking Productivity and Energy Savings”, Institute of Industrial Engineering’s Annual Research Conference Proceedings, May 2006.
UIC Keeps A Busy Summer Schedule
Aaron Hart (firstname.lastname@example.org)
Alton Steel Mill Assessment
During summer break, the University of Illinois-Chicago (UIC) IAC team traveled to Alton Steel Inc., a steel mill in Alton, Illinois. The purpose of the visit was to conduct an energy assessment to economize energy usage and ultimately reduce energy costs for the facility. The total energy budget of this facility is approximately $9.5 million annually.
The primary products of this facility are steel blooms and billets. Steel blooms are produced from raw and scrap steel that are melted in this facility's electric arc furnace (EAF). The main EAF at this facility is rated at 66 MW. When the chemical composition of the molten steel has been adjusted to the proper specifications, the steel is poured into the facility's continuous caster. The continuous caster then forms the molten steel into steel blooms.
In addition to steel casting, this facility also operates a milling operation. Before the steel blooms can be milled, they must first be cooled after being casted and inspected for quality. The steel blooms are then sent to a natural gas fired walking-beam reheat furnace so they can be hot milled. The steel blooms are reheated to 2,100°F and then milled to a desired size.
Currently, the main electric arc furnace exhausts 180 MMBtu/hr of energy. The assessment team proposed the installation of a heat recovery steam generator (HRSG) in order to reclaim the waste heat to create steam. The steam generated from the HRSG can be sold to a neighboring facility in order to generate additional revenue. The total annual revenue increase from this recommendation is $2.6 million. With an implementation cost of $12.5 million, this recommendation will have a simple payback of about five years.
Due to the inefficiencies of the current natural gas fired reheat furnace, the IAC team proposed the installation of a more efficient furnace. The proposed furnace is equipped with a recuperator that will be capable of preheating the combustion air of the furnace to 700°F. Along with new refractory and advanced combustion and chamber controls, the proposed furnace will be almost twice as efficient as the current model. The savings that will result from the installation of the proposed furnace are $1.5 million annually. With an implementation cost of $6.8 million, this recommendation will have a simple payback of about 4.5 years.
In all, the report generated by the IAC team identified five recommendations that, if implemented by this facility, will increase total revenue by $2.6 million and result in a cost savings of $2.5 million annually. With an implementation cost of $12.5 million, the increased profit and utility cost savings will pay back in a little over four years.
Coal Gen Expo
During the summer break, three UIC undergraduate students from the IAC program traveled to Cincinnati, Ohio to attend the Coal Gen Expo. The Expo is the main event for the coal industry, bringing together professionals from several engineering fields to discuss the latest topics affecting the design, operation and maintenance of coal-fueled power plants.
Milos Stefanovic and Neb Kisic discuss the Coal Gen Expo in the IAC office
The three students, Borko Andric, Milos Stefanovic, and Nebojsa Kisic, initially developed interest in coal gasification technology through a combined
heat and power (CHP) design project in one of their classes. They recognized the potential of coal gasification technology and decided to use their knowledge and interest to develop a Senior Design project in early 2007. As they advanced towards the next stage of their project, they realized that coal gasification technology is not yet employed to its full potential, and for that reason information pertinent to their project was not readily available online or through published articles. In addition to possibly providing the needed information, the Coal Gen Expo was an opportunity for them to make valuable contacts with engineers in the coal gasification field.
In order to attend the Expo, the students first had to secure the funds for the trip and admission. The first sources of money and support considered were DOE, the local ASHRAE chapter, and the organizers of the Coal Gen Expo. However, DOE was unable to assist them in this project, ASHRAE funds had already been depleted in support of a previous student trip to Quebec, Canada, and the Expo organizers were not able to provide student passes at reduced cost. Upon realizing this, the students revised their approach. They realized the only way to get sponsors was to identify and highlight the mutual benefits of the trip to those organizations. They requested that UIC’s Department of Mechanical and Industrial Engineering extend Senior Design project funds one semester ahead of time. Next, they turned to the Midwest CHP Application Center (MAC) and identified the tie-ins between the proposed trip and work the MAC was conducting. The MAC agreed to help sponsor the trip in order for the students to bring back knowledge of the technology that could be further developed by the MAC’s professional staff. Finally, the IAC came up with the additional funding to bridge the final gap.
During the Expo, the students attended various sessions on advanced coal power generation technologies and discussed their Senior Design project with the coal gasification technology experts. Even though they went into the Expo knowing the basics of CHP design and coal gasification, they were surprised by the extent of design aspects they had not considered before. They learned about the difficulties that coal users are faced with when it comes to complying with continuously changing EPA standards. The students believe that coal gasification offers one possible answer to the questions regarding use of dirty coal.
For the students, this trip was a great learning experience, introducing them to many aspects of coal gasification while teaching them how to identify and pursue funding sources. Furthermore, this proved to be a valuable opportunity to establish contacts with engineers in the coal gasification field and continue to develop their professional networks.
**IAC Alumni at home in Kentucky**
*Sieglinde Kinne* (*email@example.com*)
IAC Alumni, Sieglinde Kinne and Sri Iyer, have found a home at the Kentucky Pollution Prevention Center. Kinne is a graduate of Colorado State University, where she worked in the IAC program in 2001 and 2002 and participated in 29 audits. Iyer received a master’s degree from Bradley University and worked in their IAC program from 2003 to 2004, participating in 23 audits. Because of their experience with auditing industrial facilities, both were hired at KPPC, Kinne in June of 2004, and Iyer in February of 2005.
KPPC at the University of Louisville provides free technical assistance to help Kentucky industrial, commercial and public sectors with pollution prevention and energy efficiency. The center’s mission is to facilitate and promote the proactive implementation of management systems and technologies to improve environmental performance as well as improve the competitiveness of organizations and businesses in the Commonwealth of Kentucky. KPPC’s Energy Efficiency Program began in 2001 due to client
interest in the area and the demand for energy services, and it has been growing ever since.
Since June 2004, KPPC has provided energy efficiency services for 14 industrial facilities, seven commercial facilities and 27 public sector buildings. The center also provides training and bill analysis. Louisville, Ky., has undertaken a commitment to environmental leadership called the Partnership for a Green City. In this partnership, Louisville Metro Government, the University of Louisville and the Jefferson County Public Schools are collaborating on various environmental initiatives. KPPC’s energy team has been instrumental in facilitating a committee to address energy use in the 500-plus buildings belonging to the three organizations.
“The IAC experience that Sieglinde and Sri brought to the center has paid dividends and value-added to our energy efficiency services,” says Cam Metcalf, KPPC’s Executive Director. “They were able to hit the ground performing E2 audits and have now honed their skills to provide additional technical assistance through pilot demonstrations and deployment of the practices and technologies they identified in the audits.”
University of Dayton Industrial Assessment Center Receives Award from Ohio’s Governor Taft
Bill Eger
On November 15, 2006 the University of Dayton Industrial Assessment Center was honored by the governor of Ohio to receive a 2006 State of Ohio Governor’s Award for Excellence in Energy. The award recognizes individuals, businesses, industries and organizations from the state of Ohio that have implemented innovative approaches to increasing energy efficiency, protecting the environment, and improving Ohio’s economic competitiveness.
Becky Blust (Assistant Director) and Kelly Kissock (Director) pose with Ohio Governor Bob Taft
The UD-IAC was one of six organizations to receive this award. Dr. Kelly Kissock, director of the UD-IAC said, “I was honored to receive this award on behalf of the students and people who have worked very hard to advance and support the Industrial Assessment Center program.” It is through this hard work and immense dedication of all past and present students, and administrators alike, that the reception of this award was made possible. Current UDIAC student Dan Trombley summarized, “It is great to see recognition go to such a valuable program!”
Advancing Clean Fuels in Volunteer Country
Jonathan Overly (firstname.lastname@example.org)
With a lot of help from working partners, I founded the East Tennessee Clean Fuels Coalition (ETCFC) in early 2002. Since then, there have been good times and there have been hard times, but this has turned into the most rewarding job I’ve ever had.
The coalition focuses on getting alternative fuels in use in the 33 counties that are a part of East Tennessee. Our greatest successes to date have definitely come in the networking/outreach and biodiesel arenas where we have significant connections to folks all over the area now and have succeeded in getting 25 public biodiesel stations in place... not to mention growing biodiesel (as B100) consumption from 0 gallons in 2003 to 800,000 gallons in 2005 (and we expect to hit roughly 1.5 million gallons in 2006). For us, success is all about reaching out to find partners, and that is what has been the primary catalyst in our fairly fast rise from designation in 2004 to receiving a national coalition of the year award in 2006.
This kind of job takes some thick skin and a strong desire to make a difference. I find myself sometimes recognizing that I’m talking to a stop sign and I need to quit! You have to try on almost
every front to make a believer and actor out of almost all that cross your path, and you end up winning some and losing some. What seems to be the grease for the wheel is recognizing who’s a stop sign, and who’s a green light. Find those that in their heart want to do good and want to do something and help them find out what it is that they can effectively do within the confines they have.
On almost a weekly basis I end up talking to fleet managers that basically say “I can’t pay anything more for fuel.” They cannot break out of the mentality that although diesel prices have gone through about $1.50 price swing in 1.5 years, they believe that the price of diesel is the only fuel price that exists in the world. Thankfully, I also speak with more open-minded, forward-thinking fleet managers that just get it: they see the bigger picture and understand that our foreign oil (and oil period) dependence and environmental degradation situations need attention, and that we can’t wait for the federal government to save us. It takes local actors; Actors for Change. I don’t know if that old saying *Think Globally, Act Locally* has a better application than our transportation sector’s (and country’s) addiction to oil.
*Jonathan worked with the IAC at the University of Tennessee for four years, conducting assessments at 35 plants. He graduated in 1997. He is now the Executive Director of the East Tennessee Clean Fuels Coalition.*
**University News Briefs**
**University of Alabama**-- The University of Alabama was awarded one of five new centers in the U.S. Department of Energy’s Industrial Assessment Center program. The Alabama Industrial Assessment Center (AIAC) began operation at the start of the Fall 2006 semester and continues to ramp up. The Center is housed in the Mechanical Engineering Department and is directed by Dr. Keith Woodbury (ME). Dr. Robert Taylor (ME) and Dr. Gary Moynihan (IE) are assistant directors.
The AIAC recruited and hired six students. Blair Clinton is a mechanical engineering graduate student and serves as the Lead Student. Four undergraduate mechanical engineering students, David Reeves, Dimos Triantafillu, John Lindley, and Byron Randall, and one undergraduate industrial engineering student, Jenna Cook, complete the team.
Tuskegee University is a partner center in the AIAC. Mechanical engineering professor Dr. Essam Ibrahim directs the Tuskegee center. Dr. Ibrahim is recruiting students, and the Tuskegee center will become operational in January 2007.
Drs. Taylor and Woodbury attended the training for new center directors at Rutgers University in October. In addition, Dr. Woodbury attended a Compressed Air Challenge “Advanced Management of Compressed Air Systems - Level 2” training in Upper Darby, PA, and Dr. Taylor attended the DOE PHAST qualified specialist certification training in Downey, CA.
We’ve gotten a big boost from our neighboring center at Mississippi State University. The MSU IAC agreed to let some of our AIAC team “shadow” them on an assessment. In late October, Drs. Taylor and Moynihan and lead student Blair Clinton, accompanied the MSU team to a plant near Tupelo, MS. This exercise was tremendously beneficial to the AIAC personnel, and we are indebted to our friends at MSU for this big assist! In the following weeks, the AIAC is planning to accept an invitation from the MSU IAC to visit them and tour their center.
The AIAC is exploring the possibility of co-hosting a workshop on Fundamentals of Compressed Air Systems at the University of Alabama. This would be held at UA through the Compressed Air Challenge.
As our research and planning progresses here at the new center, we look forward to facing the energy challenges presented to us by the industries in Alabama. The staff here at the Alabama Industrial Assessment Center is excited about opportunities involved in conducting successful assessments to meet the energy management needs of our clients.
Bradley University-- Bradley University IAC student Eric Ross served an EPA internship at Mitsubishi Motors and discussed his experiences in a presentation at the 2006 IAC Student Meeting in Washington DC.
Colorado State University-- Colorado State University has completed almost 600 assessments in the Mountain West area (596 to be exact). We revisited New Mexico and Wyoming, as well as road trips through more remote areas of Colorado. The theme for manufacturers this year was crystallization from chocolate to sodium bicarbonate in foods, to glass, concrete, asphalt, and polymers for less palatable items. The food theme continued for two dairies (including ice cream!), soda, cereal, and containers of plastic, metal, and pressed paper cups. We included some more high tech manufacturers of robotics and printed circuit boards. This spring we hosted an energy efficiency teleconference sponsored by the Northwest Food Processors Association and put on a Save Energy Now workshop in Denver as well as participating in the Save Energy Now web cast.
AirMaster+ has become more useful to us for determining air leaks from pressure reduction profiles, as well as PSAT for pump analysis at several plants. MotorMaster+ and 3EPlus still function as mainstays to verify feasible energy saving ideas. Our most productive lighting AR is doubtless changing from 400W metal halide fixtures to high bay fluorescent fixtures, and we have found a good 28W fluorescent replacement for the 34W T8s. We have pursued biofuels and geothermal alternatives. We have found a renewable solar energy alternative in recommending photovoltaic cells in Colorado and New Mexico, since Amendment 37 legislation in Colorado provides rebates from the largest electric utility that virtually guarantees a payback in less than 3 years. Every plant has roof area, especially over the warehouse, and we can almost always recommend at least a 10 kW system.
During this transitional period, our staff has been maintained at three graduate students and five undergraduate students, with all but three returning from the previous year. Two of our graduated seniors and a graduating senior were able to find professional work in the energy efficiency industry. Also one of our current students has reached the milestone of 100 plants. Continued weekly training programs cover the software, dataloggers, and recommendations we use regularly. Last year, we also invited Ms. Leslie Beu-Siemens, one of our recent graduates that now works for Siemens Building Technologies to visit with the current CSU IAC staff and talk about her job and how it relates to the IAC experience. We are looking forward to another great year and completing our 600th plant visit.
University of Dayton-- Over the years, the UD-IAC has provided energy conservation, waste reduction productivity improvement advice for Ohio’s industries. Last year, the UD-IAC supported the Save Energy Now (SEN) program by performing 5 SEN assessments.
At the UD-IAC, the SEN assessments were performed in a slightly different way than conventional IAC assessments. On SEN assessments, one student member of the team would train plant personnel in the PHAST and SSAT Best Practices Software tools. During this training, the student would explore possible energy savings opportunities. In the mean time, the rest of the team would analyze different areas like compressed
air systems, motor systems, and pumping systems for possible energy savings opportunities. The response from our SEN clients about the training was encouraging and we expect very good implementation rates.
Apart from IAC field work, the UD-IAC has been very active writing technical papers. We aim to publish 9 technical papers by end of summer 2007. The papers would be presented at various national conferences and journals. Further, Dr. Kissock is offering a combined undergraduate and graduate level course called Energy Efficient Manufacturing, which is taught using the UD-IAC assessment format. The main focus of the course is to show students how to identify and quantify opportunities to reduce industrial energy use. The students also get opportunity to do real time projects by doing one-day assessment at local industry. For further information visit: http://www.engr.udayton.edu/faculty/jkissock/http/EEM/EEMmain.htm
The University of Dayton would like to congratulate Bill Eger on graduation and a successful two and a half years with the UD-IAC program. In April, Bill was awarded the Dr. Henry Chuang award for his significant contributions to energy-efficiency and energy conservation during his impressive 50+ assessments.
University of Delaware—The University of Delaware is one of the new centers selected in the recent IAC solicitation. The director is Dr. Keith Goossen.
University of Florida-- The UF IAC has enjoyed another hurricane-free year! Besides our regular audits, we have been involved with research on roof coatings and with linking productivity and energy (see article within this newsletter). Also, the UF IAC has signed a contract to work a university in Peru to help them establish an IAC-type program in their country. Work will begin next spring.
Georgia Institute of Technology-- The Georgia Tech IAC is looking forward to the start of a new fiscal year with half of the plants trips already lined up. As we face the new fiscal year, many of the current IAC students are nearing graduation and preparing to move on to their promising new careers. We will be sorry to lose the valuable contributions of these students. New students will be starting in January.
University of Illinois-Chicago—University of Illinois-Chicago IAC Student Paul Nigro has been awarded an IAC certificate and three more UIC students have met the requirements to receive certificates in March 2007.
Iowa State University-- This has been a productive year for the Iowa State University IAC. First, undergraduate, Trevor Gilbertson received his IAC certification. Alex Rodrigues, Som Shrestha, and Mirka Deza, completed the Fundamentals of Compressed Air Systems and Advanced Management of Compressed Air Systems levels of compressed air training. Alex also went to Ann Arbor, MI and got certification in process heating. Iowa State has also named a new lead student, Justin Walker. Justin will be entering graduate school for Industrial Engineering in Spring, 2006.
Lehigh University-- Lehigh University's Industrial Assessment Center (LUIAC) hosted an energy savings workshop on July 7, 2006, in partnership with the Department of Energy's Save Energy Now (SEN) Program. Approximately fifty people, representing 25 local industrial companies, participated in the Workshop, along with representatives from the Department of Environmental Protection of the state of Pennsylvania. The Workshop focused on common energy saving practices for industry and the validation for the cost savings calculations used to justify the expenditures. The format of the Workshop was such that representatives from industry were given the opportunity to ask specific questions pertaining to the energy use of their respective facilities. Industry representatives were able to give valuable insight through their firsthand knowledge of many of the energy saving projects.
LUIAC published an article entitled "Save Energy Now", regarding popular energy recommendations, in Flow Control in August, 2006. With IAC funds from ORNL, an LUIAC graduate student, Bhaskar Vempati, presented a research paper at the
International Mechanical Engineering Congress and Exposition (IMECE), Orlando, Florida, in November, 2005. He was also a co-author on a research paper in the *Journal of Fluids Engineering* and on a research paper at the IMECE conference in 2006. In other news, the following LUIAC students will graduate in May, 2007, receiving their IAC certificates: Bhaskar Vempati (Ph.D.), Yijun Yang (M.S.), Christopher Shages (M.S.), Alok Moroka (B.S), and Ka Wai Kwok (B.S). Yijun Yang will continue his Ph.D. studies at Lehigh University.
**University of Louisiana-Lafayette**-- This year has gone by far more smoothly than last. The hurricanes, Katrina and Rita, did not let us schedule any assessments for most of the Fall semester, which made us very busy in the Spring. In contrast, by the end of this fall semester we will have already finished half of our assessments, which includes working with 2 MEP’s. Although, we are only averaging about one assessment a month because of our reduction in assigned assessments. We do miss visiting the number of companies we did in previous years, but as many of us are graduating, we are making good use of the extra time we have. Next year we will be looking forward to an almost entirely new staff.
**Loyola Marymount University**-- Loyola Marymount has had 10 students meet the Department of Energy requirements for IAC certificates in 2006.
**University of Massachusetts**—Dr. Lawrence Ambs has retired as director if the University of Massachusetts Industrial Assessment Center. Former Assistant Director Dr. Beka Kosanovic has been named as the new director.
**University of Michigan**-- Four members of the University of Michigan’s Industrial Assessment Center earned IAC student certificates this past year: Shangchao Lin, Marie Wolbert, Eric Schlichting, and Devin Rauss. Shangchao has since graduated from UM and is now a Ph.D. student at MIT. The IAC has been busy with energy assessments, many working to help local automotive-related manufacturers improve efficiency and remain competitive. Our center director, Professor Arvind Atreya, presented the May 4th, 2006 National IAC Webcast Lecture, titled “Optimizing Combustion Systems.” This webcast is available for viewing at: [http://iac.rutgers.edu/lectures2006/arch_lectures.php](http://iac.rutgers.edu/lectures2006/arch_lectures.php)
Since much of our center’s work deals with process heating, it is of interest that both Professor Atreya and our center's assistant director, Professor Margaret Wooldridge, had some of their research work presented at The Combustion Institute’s 31st International Symposium this past summer in Heidelberg, Germany. IAC graduate students Won Chan Park and Bradley Zigler also participated in the conference.
**University of Missouri**-- The newly established Missouri Industrial Assessment Center is up to full steam in the “show me” state. Officially opened in September 2006, the Center is located in the University of Missouri-Columbia, and currently has 15 staff and associates, including five faculty (Director and Assistant Director, Technical Specialist, Education Specialist, and an Outreach Coordinator), five graduate students (three staff and two associates) and five undergraduate student staff. The current student staffs involve students majoring in industrial engineering, mechanical engineering, chemical engineering, physics, as well as management.
Despite the fact that the Center is only a few weeks’ old, it has attracted a lot of attention from various sectors in the state, and has received a large number of enquires and assessment requests, clearly demonstrating the significant level of
interest and needs for the services offered by the IAC Program in the state of Missouri. Although the Center, in close collaboration with Missouri Department of Natural Resources, has carried out four previous energy audits, its first official IAC assessment will be conducted on the 30th in November. The Center plans to carry out 12 assessments in its first year of operation.
The Center has established an extensive partnership with the Missouri State Department of Natural Resources, the State Department of Economic Development, the University of Missouri Extension, and the Missouri Manufacturing Extension Partnership (MEP) center. In addition to the preparation for its first assessments, the Center has also been active in areas of MEP collaboration, education and outreach activities. Since the center’s opening, we have had a member of meetings with the Missouri MEP Program, and established a joint strategy to deliver a more comprehensive range of business services and solutions to the manufacturers in the state (to help clients to become more competitive through achieving lean production AND energy efficiency and waste minimization). Working with MU Business Development Programs, the Center is in the process of developing and delivering four workshops on industrial energy efficiency to the manufacturing companies in the state, between Dec 2006 and Feb 2007 (Columbia - December 8; Rolla - January 30 2007; Kansas City - February 5th 2007, St. Louis - February 19th 2007).
We have also written an academic paper to promote our IAC activities, entitled: *Promoting Awareness of Industrial Energy Efficiency and Waste Reduction in the University Students Population*. This has been accepted by the Conference of American Society of Engineering Education, and will be presented and published in June 2007. Finally, we have developed a rather cool (we think) MS Project template for the project management of assessment planning and execution. If any of you are interested in it, please let us know and we will be more than happy to sharing it with you!
So, all in all, the young Missouri IAC is now truly up to full steam!
We want to send our warm greetings to our fellow IAC faculty and student colleagues in the other states and, if any of you happen to be in the Show Me state, you will always be welcome to visit us here at MU!
**University of Miami**-- During the 2005-2006 year, the University of Miami coordinated efforts with the South Florida Manufacturers Association (SFMA) as well as the Florida Chamber of Commerce. Our data logging capture process continues to deliver precise data for quantifying exact energy consumption and energy savings. We have also extended our data logging strategy to address specific decision makers’ concerns. By focusing on these areas, we have been able provide valuable insight into current and proposed manufacturing and energy management practices. This past year has been quite successful as our average company energy cost savings was about $100,000.
We are also bidding farewell to one of our IAC graduate students who started working at Chevron Corporation in Fort Lauderdale as a Measurement & Verification Specialist. Two IAC graduate students, nearing completion of their Masters degree, are currently working on their theses and are focusing on solar energy and photovoltaic cell technology. One new graduate student joined the center this year and is now fully trained. She has already taken a lead role on several reports and projects.
**Mississippi State University**—3 students from MSU's IAC have met all of the requirements for certificates in 2006.
**North Carolina State University**-- The NCSU has had an interesting year reaching a variety of manufacturers, ranging from beer to pantyhose. The NCSU IAC has welcomed several new students in the program, and sent several graduates to the
workforce and to other schools to further their academic studies.
Dr. Herb Eckerlin has assumed the leadership role as Director and Dr. Stephen Terry is now the Assistant Director. Former Director, Dr. Jim Leach, has stepped down to pursue other research interests, but will stay connected to the NCSU IAC in the future. We certainly wish him well.
The NCSU IAC won the Center of Excellence Award this year at the 2006 Annual Director’s Meeting in Washington, D.C. in August.
The staff at the NCSU IAC plans to continue working with manufacturers this next year through the IAC program, working with North Carolina A&T University and Shaw University to reach additional students. The NCSU IAC is part of a joint collaboration with the IAC’s at Georgia Tech and Mississippi State, and the State Energy Offices of Georgia, Mississippi, and North Carolina. This program will provide additional training and in-depth assessments to a variety of manufacturers and provide research money for several energy related projects.
**Oklahoma State University**-- This past summer was a busy one in Stillwater. We had the distinction of having two of our IAC students successfully defend their Ph.D. research work. On August 14, Wisit Kumphai defended his research regarding energy indices for small and medium-sized plants (“Energy Index Decomposition Methodology at the Plant Level”). Then, on August 15, Robert Scott Frazier defended his research regarding value-based energy assessments (“An Exergy Diagnostic Methodology for Energy Management in Manufacturing”). Needless to say, we are all very excited to see our IAC working in both the real world and in the academic world.
**Oregon State University**-- At the OSU IAC, we have recently completed our 500th report. Dr. Greg Wheeler, OSU IAC Director, got the ball rolling at Oregon State in the late ‘80’s and with the help of Assistant Director Joe Junker, the OSU IAC continues to succeed in producing unique reports and quality analysts.
Early last summer, the OSU IAC hired 10 new team members, including mechanical, civil, and chemical engineering students. Because of the large influx of new employees, the center’s two veterans, Jeff Gagatko and Wayne Johnson, where able to help our center’s new employees spend the summer training hard and where able to revamp our program and start fresh. We’re proud to say that all of these team members are still with us and doing very well. Almost half of them showed such strong performance that they are now leading reports.
One of our newer team members, Yuming Qui, has recently been awarded the honor of Oregon State University’s College of Engineering 2005-06 Outstanding Graduate Teaching Assistant Award. During the summer we were able to make several changes to constructing our reports. We started by making the review process digital by utilizing the ‘Reviewing’ toolbar in MSWord. We also separated our recommendations into two distinct sections; a Narrative, and a Calculation Methodology. The Calculation Methodology contains all the equations, calculations, and other technical matter pertaining to the recommendation. The Narrative consists of an easier, more attractive presentation of the recommendation and is targeted to a more general audience. We have also added tabs to these two sections and others to help readers navigate our report.
**San Diego State University**-- The past year has been exceptionally busy and unique for the IAC students and faculty at SDSU. As a graduate student in mechanical engineering, Anthony Sclafani was appointed as the lead student. Ryan Miller graduated with his BSME in spring ’06 and began graduate school at Cal-Poly San Luis Obispo after obtaining his IAC student certificate. IAC students Ara Abnous and Crosby Johnson have been hired by Hamilton Sundstrand’s design of gas turbine air propulsion unit’s team.
In entrepreneurial news, Dave Richards and former lead student Nicole Kennard have formed New Leaf Biofuel; a San Diego based biodiesel production company that focuses on improving the environment, waste management, and also community outreach by hosting workshops with such clients as San Diego City Schools.
Speaking of community outreach, the SDSU IAC held workshops last spring and summer in conjunction with the Association of Energy Engineers and the San Diego Regional Energy Office to inform engineers and facility managers about the SDSU IAC, the SEN program, and current information about natural gas prices and the resulting effects on CHP installations in southern California.
We are proud to announce, several of last year’s graduating students Amit Kanungo, Lawrence W. Nu and Sasha Spoor have received jobs at RLW Analytics, Nexant, and Nexant respectively. RLW Analytics, Inc. is a recognized industry leader providing innovative analytical, engineering and market research consulting for energy companies and end users. Nexant helps clients unlock the value of their energy assets by enabling them to make informed decisions with greater confidence, speed, and reliability.
San Francisco State University-- We would like to start by thanking our directors Dr. Ahmad Ganji, Dr. Shy-Shenq Liou, Dr. Anthony Wheeler and Dr. Ricardo Valverde for their insight and guidance throughout the year. And also take a minute to thank the students at the San Francisco State University IAC center. Through hard work and dedication by all members of our IAC center, our funding has been renewed for 2007.
Last but not least, our current IAC student Yin Yin Wu has been awarded the 2006 AEE/Siemens’ Scholarship from the Foundation of the Association of Energy Engineers. Congratulations Yin Yin!
Tennessee Technological University-- The TN 3-Star Industrial Assessment Center is a joint effort among Tennessee Tech University, East Tennessee State University, and University of Memphis. We are a new IAC and are pleased to be joining with other universities across the country in this effort. Since we are a new center, we have been very busy promoting the IAC in our area through local newspaper publications and by creating a brochure and website. Dr. Currie, our assistant director, will also be featured on our local PBS station to discuss the new IAC.
This last year brought us to many exciting and challenging locations, such as Odwalla Juice Company and Christopher Ranch, the largest and smelliest garlic producer on the West Coast. We even performed three separate audits, all for GraniteRock, at various locations and conducted a comprehensive presentation incorporating all three sites.
IAC students and faculty conducted a DOE Sponsored Boiler Efficiency Workshop to inform past and future clients on boiler efficiency and PG&E rebates. Pacific Gas and Electric Company (PG&E) hosted the workshop at one of their training centers in Stockton, California and R.F. MacDonald Co. co-hosted the event proving invaluable information on boiler energy saving techniques.
We have been ordering supplies and equipment needed for the first of many assessments. We at TTU have hired four students and our first industrial assessment is scheduled for December 18th.
In addition, we are working with many electric and gas utilities as well as the TN Department of Economic and Community Development to develop a partnership across TN to help industries across
our state conserve energy and ultimately improve their bottom line.
Also, we have an Energy Efficient Commercial and Industrial Lighting workshop scheduled for November 20th in Memphis, TN.
We are looking forward to good interaction with the MEP folks in Texas. Texas has great need for DOE services in the industrial area because it uses almost 20% of the industrial energy expended in the US. In fact, of the plants involved in the recent Large Energy User contact program, 240 were assigned to the Texas A&M IAC—all located in Texas!
Texas A&M University-- The Texas A&M University IAC has enjoyed a long run of interesting assessment visits and none more interesting than the 800 cow brute per day slaughter plant with which activities began in 2006. The year was also marked by visits to a number of larger plants which were overflow from the Save Energy Now visits announced by Secretary Bodman. In particular, we were able to visit some large semiconductor plants normally outside our size range which provided interesting HVAC problems that usually are not encountered. Our chemical engineers discovered in these plants that isopropyl alcohol could better be used in thermal oxidizers than in providing waste that the plants must pay contractors to remove!
Even with our significant reduction in student numbers, we find we still must employ some new students in the spring and we are enthusiastic about welcoming these new student employees on board. So, we are looking forward to that first assessment visit in January—but it will not be a slaughter house this time!
University of Washington-- The Industrial Activities Center at the University of Washington has started its activities with a series of weekly presentations by political, industrial, and academic leaders involved in energy efficiency. The presentation topics ranged from paper mills (the largest industrial energy consumer in the State of Washington) to litigation cases, to energy demands of data centers for information technology companies. The campus responded with enthusiasm: many departments were represented in the audience, the auditorium was completely filled every time, and the post-presentation questions and discussions usually lasted for about 30 minutes. Several speakers are now assisting with the process of forming an advisory board for the center. Meanwhile, the IAC is building partnerships with existing organizations. The strategic presentation about the new IAC at a semi-annual conference of the Center for Processing Analytical Chemistry held in Seattle in November 2006 was heard by representatives of about 40 companies and led to several budding initiatives, mainly in food processing and forest products industries.
West Virginia University-- This year has been really exciting for IAC-WVU. It performed nine "Save Energy Now" (SEN) assessments. The annual workshop titled "Reducing Natural Gas Usage in Industry" was well received by all the attendees. With more than 20 people from different industries attending the workshop, the feedback
score of 4.08 (on a scale of 1 to 5 with 1 being the worst and 5 being the best).
The center was represented by the IAC directors and lead students at the IOF-WV Day at the State Capitol in Charleston. They explained IAC activities to the West Virginia Manufacturers. Several other presentations were made by the directors and students at different venues to explain the IAC and DOE/ITP activities.
IAC students Deepak Gupta, Bret Crowder, and Raviraj Chavan completed their MS degree in Industrial Engineering. Deepak developed energy efficient machining economics model and continued as a PhD student. Bret Crowder accepted a position in American Woodmark Corp. Raviraj Chavan accepted a job in energy field in Philadelphia. IAC students Katherine Taylor and Amber Staud accepted job and internship respectively.
Dr. Gopala helped a student on developing software tool for energy balance system in boilers. Other IAC students are encouraged and many are already working on different topics related to energy efficiency in industry.
**IAC Program Contact Information**
Newsletter Editor and IAC Student Activities Coordinator: Michaela Martin, email@example.com
U.S. Department of Energy, IAC Manager: Lisa Barnett, firstname.lastname@example.org
Rutgers IAC Field Management
Director: Dr. Mike Muller, email@example.com
Manager of Technical Operations: Don Kasten, firstname.lastname@example.org
IAC Database: Mike B. Muller, email@example.com, database location: http://iac.rutgers.edu
**Calendar of Events and Training**
- **2007 IAC Lead Student Meeting**, February 1-2, 2007, Oak Ridge National Laboratory, Oak Ridge, TN. Proceedings may be found at www.IACforum.org.
- **ASHRAE Winter Meeting (with Energy Focus)**, January 26–31, 2007. Dallas, TX. http://www.ashrae.org/events/page/562.
- **Industrial Energy Technology Conference (IETC)**, May 8-11, 2007, New Orleans, http://ietc.tamu.edu/
- **ACEEE Summer Study in Industry**, July 24-27, 2007, White Plains, NY. http://www.aceee.org/conf/07ss/07ssindex.htm.
- **AEE World Energy Engineering Congress 2007**, August 15-17, 2007, Atlanta, GA. https://www.aeecenter.org/Shows/
- **DOE Industrial Technologies Program Qualified Specialists and End-User Training**, throughout 2007, http://www1.eere.energy.gov/industry/bestpractices/training.html.
The following is a list of the most common types of software that are used in the field of computer science:
1. Operating Systems: These are the programs that manage the hardware and software resources of a computer system.
2. Programming Languages: These are the languages used to write computer programs.
3. Database Management Systems: These are the programs that manage the storage, retrieval, and manipulation of data.
4. Web Development Tools: These are the tools used to create websites and web applications.
5. Software Development Tools: These are the tools used to develop software applications.
6. Data Analysis Tools: These are the tools used to analyze data and make decisions based on the analysis.
7. Project Management Tools: These are the tools used to manage projects and ensure that they are completed on time and within budget.
8. Collaboration Tools: These are the tools used to collaborate with others on projects and share information.
9. Security Tools: These are the tools used to protect computer systems from unauthorized access and attacks.
10. Virtualization Tools: These are the tools used to create virtual machines and run multiple operating systems on a single physical machine.
Item 22) The filing indicates BREC’s intention to seek several DSM programs. If the member co-ops implement these programs, will they be the first DSM programs in the company’s service territory? If BREC or its member co-ops have ever previously proposed any DSM programs, please provide the relevant case number(s).
Response) Big Rivers and its Members have offered DSM programs in the past. Any DSM programs previously implemented by Big Rivers have been funded through base rates and not through the DSM mechanism as defined by KRS 278.285. Therefore, there are no case numbers for implementing separate DSM mechanisms.
Respondent) Russell L. Pogue
Item 23) Is it the company’s intent, and that of its member co-ops, to initiate a DSM collaborative?
Response) Big Rivers is open to considering the benefits of a DSM collaborative as the planning process for new DSM programs moves forward.
Respondent) Russell L. Pogue
Item 24) Please state whether the distribution cooperatives which BREC serves have all agreed with the terms of the DSM programs in this filing. If they have not, and for each one that has not, please provide any and all details regarding same including any refusals, concerns, alternatives offered, or demands requested of BREC in exchange for offering the program(s).
Response) Yes. All of Big Rivers’ Member Cooperatives have agreed with the terms of the DSM programs outlined in Big Rivers’ 2010 IRP. For additional information, see Big Rivers’ response to Item PSC 1-3 of the Commission Staff’s First Information Request (“Staff’s Initial Data Request”).
Respondent) Russell L. Pogue
Item 25) Reference the company’s response to the prior question. Please provide any and all documentation in the company’s possession regarding same.
Response) Please see Big Rivers’ response to Item PSC 1-3 of the Staff’s Initial Data Request.
Respondent) Russell L. Pogue
Item 26) Notwithstanding the language in KRS 278.285, given the fact that BREC and its ratepayers are equity owners of the company and not shareholders as with investor owned utility companies, does BREC plan on seeking recovery of lost sales from its distribution member cooperatives?
Response) Big Rivers has no such plans at this time. Big Rivers’ corporate structure as a cooperative is independent of its need to recover its cost of service and a reasonable margin. If Big Rivers’ net margins do not permit it to comply with its financial covenants, it must take corrective action including the possibility of seeking an increase in its rates. Big Rivers may seek recovery from its Members of lost revenue resulting from implementing DSM programs, whether as a natural consequence of a general rate proceeding, or through a special proceeding under KRS 278.285.
Respondent) Mark A. Hite
Item 27) If the response to the prior question is in the affirmative, please provide any and all documentation regarding same.
Response) Big Rivers has no documentation regarding a plan to seek recovery from its Members of lost revenues resulting from the implementation of DSM programs.
Respondent) Mark A. Hite
Item 28) Not withstanding the language in KRS 278.285, given the fact that BREC’s ratepayers are equity owners of the company and not shareholders as with investor owned utility companies, does BREC plan on seeking recovery of any financial incentive for implementing the program(s)?
Response) Big Rivers has no definitive plans to seek recovery through rates of financial incentives to Big Rivers for implementing cost-effective DSM programs.
Respondent) Mark A. Hite
Item 29) To the best of BREC’s knowledge, will any of its member cooperatives seek recovery for any lost sales? If so, please provide details of same along with any documentation in its possession.
Response) Big Rivers is unaware if any of its Member Cooperatives will seek recovery of lost revenues.
Respondent) Mark A. Hite
The following is a list of the most common types of data that can be collected and analyzed using the methods described in this paper:
- **Demographic Data**: Information about the age, gender, race, ethnicity, education level, income, employment status, and other demographic characteristics of individuals or groups.
- **Behavioral Data**: Information about the behaviors and actions of individuals or groups, such as their online activities, purchasing habits, and social interactions.
- **Geospatial Data**: Information about the location and movement of individuals or groups, such as their travel patterns, residential addresses, and business locations.
- **Financial Data**: Information about the financial transactions and assets of individuals or groups, such as their bank accounts, credit scores, and investment portfolios.
- **Health Data**: Information about the health and wellness of individuals or groups, such as their medical records, fitness levels, and disease prevalence.
- **Environmental Data**: Information about the natural environment and its impact on individuals or groups, such as air quality, water quality, and climate change.
- **Social Media Data**: Information about the content and interactions on social media platforms, such as tweets, posts, and comments.
- **Educational Data**: Information about the educational experiences and outcomes of individuals or groups, such as test scores, graduation rates, and course enrollments.
- **Legal Data**: Information about the legal system and its impact on individuals or groups, such as court cases, arrests, and convictions.
- **Political Data**: Information about the political system and its impact on individuals or groups, such as elections, voting patterns, and political affiliations.
- **Cultural Data**: Information about the cultural practices and beliefs of individuals or groups, such as language, religion, and customs.
- **Technological Data**: Information about the technological devices and systems used by individuals or groups, such as smartphones, computers, and internet connectivity.
- **Economic Data**: Information about the economic conditions and policies affecting individuals or groups, such as inflation, unemployment, and government spending.
- **Sports Data**: Information about the performance and achievements of athletes and teams, such as scores, statistics, and rankings.
- **Entertainment Data**: Information about the entertainment industry and its products, such as movie ratings, album sales, and TV show ratings.
- **Sports Data**: Information about the performance and achievements of athletes and teams, such as scores, statistics, and rankings.
- **Entertainment Data**: Information about the entertainment industry and its products, such as movie ratings, album sales, and TV show ratings.
Item 30) To the best of BREC’s knowledge, will any of its member cooperatives seek recovery of any financial incentives for implementing any program(s)? If so, please provide details of same along with any documentation in its possession.
Response) Big Rivers is unaware if any of its Member Cooperatives will seek recovery of financial incentives, for themselves, for implementing cost-effective, DSM programs.
Respondent) Mark A. Hite
Item 31) If any of the responses to questions 24 through 28, above, were in the negative, please explain why.
Response) To the extent that Big Rivers’ responses to Items AG 1-27 and AG 1-28 of the AG’s Initial Data Request are considered negative responses, the explanations are that no such documentation or plans, respectively, exists.
Respondent) Mark A. Hite
Item 32) With regard to the GDS Associates study, Fig. 1.1 on p.8, for each of the four (4) types of DSM potential savings identified therein, provide all estimates of costs BREC’s ratepayers would have to bear, including but not limited to net revenues lost due to reduced sales, and financial reward incentives. Please provide a break-down of these costs by ratepayer class.
Response) Since GDS used the Total Resource Cost (“TRC”) test as the primary cost-effectiveness screening criteria, rate impacts were not assessed for each of the four potential scenarios.
Respondent) Amber M. Roberts
Item 33) With regard to the GDS Associates study, Table. 1.1 on p.9, please confirm that: (a) for the residential programs, the study estimates that a weatherization program would provide the greatest cumulative annual MWh savings from 2011-2020; and (b) for the C & I programs, the study estimates that a prescriptive lighting program would provide the greatest annual MWh savings over the same time frame.
Response)
a. Yes, that is correct.
b. Yes, that is correct.
Respondent) Amber M. Roberts
Item 34) With regard to a residential weatherization program, please state whether the company intends to use the program for existing structures, new construction, or both.
Response) The weatherization program analyzed in the DSM potential report is for existing structures.
Respondent) Russell L. Pogue
Item 35) Confirm that the GDS Associates study, p. 66, recommends that BREC not pursue a formal demand response program at this time because it would not be cost-effective.
Response) The study does not recommend that Big Rivers pursue demand response programs at this time because they are not cost effective. The study recommends Big Rivers continue to monitor the costs and benefits of demand response programs in order to identify opportunities for cost effective control of peak demand in the future.
Respondent) Jacob M. Thomas |
A Note From Father Donald Staib
On the octagon tables in the lobby this week are self-nomination forms to serve on our Parish Council. The Parish Council is most helpful to me in guiding our parish and its programs. These forms are orange color in the church, but they can also be downloaded by clicking here.
I am most grateful to those who give their time and efforts to help our parish grow and strive to attend to the needs we have in this community. We are grateful to those members who will retire this term: Steve Dudzinski, Dennis Taylor, and Jeffrey Stumpf. They have given generously of their time and talent for our parish.
Deacon Joe LaPierre will be absent from our worship for a while, as he is helping a family member during a time of illness. Please keep his family in your prayers.
CONFESIONS: There will not be Confessions on Saturday December 1 because of the 25th ordination anniversary of Bishop Luis Rafael Zarama and a wedding at StMM. There will be Confessions on Saturday December 8 at 10:30. The list of the Advent Penance Services is in our bulletin this week.
HOLYDAY - Feast of the Immaculate Conception Saturday December 8. I do not remember it being on a Saturday before, but I am sure that happened. The only Mass for this holyday at StMM will be a Vigil Mass on Friday at 5 pm, most likely in our Chapel. Our Cathedral will have Masses on Friday at 7 pm in Spanish and on Saturday at 9 am in English.
Father Donald Staib
firstname.lastname@example.org
St. Mary Magdalene E-News
Our 10:45am Mass is Live Streamed!
Sacraments
BAPTISMS - See the Guidelines on the Website - then email the Pastor. First time parents must attend a baptism class [a good time is during the 9 months prior to birth.] Baptisms are usually, not always, at 10am on Saturdays or at weekend Masses.
CONFessions - Always check the Pastor's Paragraph in the weekly Bulletin or our E-News mailed on Fridays. Confessions are usually, but not every week, at 10:30am on Saturdays in the Church.
WEDDINGS - See the Guidelines on the Website - then email the Pastor.
Reflection
When I go to re-read an account of what I did each day, I'm always amazed as how rich and full life was on those days, except that I wasn't much aware of it at the time. While actually living through those days, mostly I was struggling to get my work done, to stay healthy, to meet expectations, to carve out some moments of friendship and recreation amidst the pressures of the day, and to get to bed at a reasonable hour. There wasn't a lot of soul there, just a lot of routine, work, and hurry.
I suspect that this is typical. We tend to take life, health, energy, and work for granted, until they are taken away from us. Only after the fact do we realize how rich our life has been and how little of those riches we drank in at the time.
Our souls eventually do catch up with us, but it would be good if we didn't wait until we were in the retirement home for this to happen. We need regularly to stop and wait for our souls to catch up. - Father Ron Rolheiser OMI
Financial Matters
Stock Donations Before Year's End? If you are considering a tax deductible stock donation before the end of 2018 the process is easy. Go to http://dioceseofraleigh.org/give and download the stock donation form. A contact person is listed on the form should you have questions. All stock donations are processed through the Diocese of Raleigh and proceeds are forwarded to the parish.
OUR NEW CHURCH - We have the obligation to make large monthly payments for 14 years for the construction of the church. In addition we are challenged to respond to new parish endeavors in all our parish programs. We are grateful to those who help us in the weekly Offertory for regular expenses and in the monthly white envelope for debt payments for the church.
DONATE NOW TO OUR NEW CHURCH
(Click on the above link to Donate)
Advent Penance Services
Saint Michael, Monday, Dec 3 at 11am
Holy Name of Jesus Cathedral, Tuesday, Dec 4 at 7pm
Saint Bernadette, Fuquay-Varina, Wednesday, Dec 5 at 7pm
Saint Francis, Raleigh, Wednesday, December 12 at 11am
Saint Raphael, Monday Dec 17 at 7pm
Saint Raphael, Tuesday Dec 18 at 11am
Saint Michael, Cary, Wednesday Dec 19 at 7pm
Saint Bernadette, Fuquay-Varina, Thursday, Dec 20 at 11am
Advent Mission 2018
Keep Watch
ADVENT MISSION 2018
SARAH KROGER DOM QUAGLIA
WITH SPECIAL GUEST TOM YOUNG
Sunday, Dec. 2nd
St. Mary Magdalene Catholic Church, Apex, NC
6:30pm-8:00pm. Open to all families, all ages, and all friends!
Baby Formula Collection for Venezuela
Special collection of baby formula for Babies in Venezuela: We are collecting Baby Formula (0-12 months), PediaSure and baby bottles. Bring your donations to the Saint Mary Magdalene masses on Sunday, December 2nd or to the Advent Mission on 12/2. The donations collected will be sent to a
Charlotte based nonprofit organization called VIDA (working towards the same goal as VPT), and they will ship it to Venezuela. The donations will take from 3 to 5 weeks to get to the Children’s Hospital San Juan de Dios, located in Caracas. If for some reason you are not able to bring your donation on Dec 2nd you can drop it off at Chipotle Restaurant (1516 Village Market Place, Morrisville) on Dec 9th from 5-9 pm. We are having a fundraiser over there to collect more baby formula.
**Youth Ministry Haiti Service Project**
StMM Youth Ministry programs are teaming up to build a house in Jeremie, Haiti through the group, Haiti Mission Inc. You can learn more about this organization on their website at [http://www.haitimissioninc.com/](http://www.haitimissioninc.com/). We are challenging every teen who is registered in either the EDGE, The Way, and Apostello to donate $7.25 between now and April 1st. This would give us the $3,750 to partner with HMI and provide a safe new home for a family in Haiti. In April 2018 Janine and Liz went on a mission trip to Haiti and saw firsthand the incredibly life changing work HMI is doing in the Jeremie area and felt a strong call to connect our StMM YM teens & families with HMI. Our youth can have a profound impact on the life of a family living in complete despair and allow them to have a safe place to sleep, gather, eat, live….something all of us take for granted. Anybody can donate to this cause and if we raise more than the $3,750 minimum, we’ll build two houses! Our vision is for our community to accompany the people of Jeremie and join HMI in their mission of moving people from despair into poverty. Thank you for your support! To donate, click [HERE](https://www.haitimissioninc.com/).
**Extraordinary Ministers of Holy Communion Training**
Extraordinary Ministers of Holy Communion in the Sacred Liturgy Training date is set for Sunday, December 9th from 2p-4p in Church Room 4. Use the entrance behind the statue of Jonah on the piazza. Contact Lisa at email@example.com by Friday, December 7, if attending.
**Holy Land Olive Wood Crafts**
"HOLYLAND OLIVE WOOD CRAFTS" - After Masses this weekend in the Narthex, there will be a display of beautiful Olivewood hand carvings from the town of Bethlehem. These carvings are made by Christians of Bethlehem who use them as their source of income. These brothers and sisters of ours are enduring hardships at this moment because of the volatile situation in their home country. Christians in the Holy land used to be more than 30% of the population, now they are less than 1.5% because of the situation. You can support them by purchasing these carvings. By sending the proceeds back to the craftsmen's families, this solution has allowed Christian families to remain in their homeland and work at their traditional crafts.
**Blessing and Lighting of the Nativity**
Please join us for the blessing and lighting of the nativity scene outside the main church entrance this Saturday, December 1st, immediately following the 5pm Mass. Refreshments will be provided by the Knights of Columbus.
**Landscaping Committee**
StMM Landscaping Committee is having the first Christmas Landscaping Clean Up and Refresh of our campus; we need volunteers to pick up trash/debris & spread mulch/pine straw; December 9th starting at 2pm; bring yourself, family, and friends; if you have, bring rake, shovel, and wheelbarrow; email us at firstname.lastname@example.org if you are planning on joining us!
Angel Tree
The Angel Tree is in the lobby filled with ornaments for needy children and families from several Wake County non-profit organizations. Please attach the ornament to the gift/food/contribution to help us track all donations. Feel free to wrap or bag gifts for the children (star tags). No other gifts should be wrapped. All contributions should be placed under the tree no later than 10:45am on Dec. 16th.
Pajama and Shoe Drive
The StMM first grades are sponsoring a pajama drive in conjunction with Scholastic books. For every pair of pajamas that is donated through the Great Bedtime Story Pajama Drive, Scholastic Book Clubs will donate a brand-new book to Pajama Program to give kids affected by instability a good night - for a good day! Please consider donating a new pair of pajamas from size newborn to adult. There will be collection bins in the school lobby from Dec 3 - 12. Thank you for making a child’s Christmas brighter!
The StMM second grade is hosting a shoe drive from Dec 3 - 12. During this season of giving, we are asking you to please donate new or gently used shoes to those in need. Boxes will be located in the school lobby for you to deposit your shoe donations. Please tie laces of shoes/sneakers together before bringing them to school. For shoes/sneakers without laces, kindly place them in a plastic bag. The shoe donations are given to Brown Bag Ministry who distributes them to those in need. These essential items of living will be greatly appreciated, especially with the cold weather.
Choir Concert
Mark your calendars! To get everyone in the Christmas mood, the choir will be hosting a carol concert and will perform some traditional Christmas music on Saturday, Dec 8th from 6:15 - 7:15, following the 5:00pm mass. All are invited to attend, sing a few carols and listen to the choir in the amazing setting of our new Church. Hope you can make it!
Children's Liturgy of the Word
We are celebrating Advent at Children's Liturgy of the Word (CLOW). Please be sure you have registered your child(ren) to participate. To register, please send an email to our ministry at email@example.com, as all parents will need to use the online sign-up to serve as parent assistant or C-Level leader throughout the year. This co-op ministry is geared for children ages 3 years to first grade, guiding them through a portion of the Mass in a prayerful, kid-centered way. Thank you for helping to make this ministry flourish!
Health Promotions Committee
"Are you worried about someone in your life?" Join us for an informational seminar featuring Sister Anne Heath, Counseling Specialist from Catholic Charities on Sunday, December 9th at 10am in Room #1, immediately following mass. For more information contact firstname.lastname@example.org.
Eucharistic Adoration
Adoration of the Blessed Sacrament/Eucharistic Adoration-StMM has Adoration available every Friday in the Chapel after daily Mass. On the First Friday of each month Adoration begins after daily Mass and ends at 7pm. Join us on Dec 7th and Jan 4th. This requires that we have many people committed to praying in front of the Blessed Sacrament throughout the day. We always need more people for this ministry! Please consider committing 1 hour each month. Take advantage of these opportunities to spend time with the Lord. If you would like to participate contact Anita Becker at 919-642-0441 or email@example.com.
Catholic Senior Organization
The CSO (Catholic Senior Organization for men and women 60+) meets every third Monday of the month, September through May. Our next meeting will take place Monday, Dec 17, 9:30 - 11am, in Church meeting room #1. For more information, please contact Miriam Moore, firstname.lastname@example.org, 919-387-8676, or Fran Hughes, email@example.com.
'Knight's Corner'
Calling all Catholic Men to the Knights of Columbus
"A Catholic Fraternal Service Organization"
Your Knights at StMM Council 7186 have been active in: Hurricane Florence relief, CPO Food Drive, Coats for Kids, Building the Domestic Church, StMM Parish Projects, Visiting Seniors, Serving meals at Men's Homeless Shelter. Are You Being Called? Please join us to help those in need.
Did You Know Your StMM KofC Council 7186:
• Donated (36) winter coats for children to CPO last week as a result of our work and your support.
• Provided truck and Knights for CPO Food drive that collected nearly 3,000 lbs. of food and $1,800.
• Distributed over $30,000 in Hurricane Florence food and supplies and $20,000 in gift cards donated by Knights of Columbus headquarters. Our local StMM council 'man power' distributed those supplies and money to Lumberton, Fayetteville, Wallace, New Bern, Wilmington and Jacksonville.
• Monthly we visit seniors in assisted living center and serve meals at Men's Homeless Shelter.
For more information to becoming a Knight:
Visit our website: http://kofc7186.org
Please Contact: Grand Knight (Tom Blum) at firstname.lastname@example.org or our Membership Committee at email@example.com
Event Highlight: Christmas Cards are for sale (before and after all masses).
We also have some Christmas Ornaments for sale as well.
Calendar
- Saturday Dec 1st: Nativity setup (8am) and lighting (after 5pm Mass)
- Sunday Dec 9th: Sunday Breakfast (after 9am & 10:45 mass)- "KIDS EAT FREE" in celebration of St. Nicholas Day
- Tuesday Dec 25th: Serve meals at Men's Homeless Shelter (5:15pm-6:30pm) |
COMMONWEALTH OF KENTUCKY
BEFORE THE PUBLIC SERVICE COMMISSION
In the Matter of:
APPLICATION OF BIG RIVERS ELECTRIC CORPORATION, INC. FOR AN ADJUSTMENT OF RATES
Case No. 2013-00199
ATTORNEY GENERAL’S POST-HEARING BRIEF
PUBLIC REDACTED VERSION
Respectfully submitted,
JACK CONWAY
ATTORNEY GENERAL
JENNIFER BLACK HANS
LAWRENCE W. COOK
ANGELA M. GOAD
ASSISTANT ATTORNEYS GENERAL
1024 CAPITAL CENTER DRIVE
SUITE 200
FRANKFORT KY 40601-8204
(502) 696-5453
FAX: (502) 573-8315
firstname.lastname@example.org
email@example.com
firstname.lastname@example.org
# TABLE OF CONTENTS
Introduction .................................................................................................................. 1
Factual Background .................................................................................................... 4
ARGUMENT .................................................................................................................. 10
1. BREC’s Proposed Rates are Unfair, Unjust and Unreasonable,
as Public Comments and Evidence in the Record Unequivocally Reveal ........... 10
2. Generation Facilities Idled for Significant Periods Are by Definition Not
“Used or Useful,” and Should Be Excluded from Big Rivers’ Rate Base .......... 14
A. The Commission and Kentucky Courts Have a Long History of
Excluding Plant that Is Not “Used or Useful” from Utility Rate Base .......... 15
B. The Commission’s Historical Application of “Used or Useful” Doctrine
Regarding Big Rivers ....................................................................................... 18
C. The Commission Has the Statutory Authority to Determine Value of Utility
Plant in Connection with Rates ....................................................................... 25
3. The Mitigation Plan, Load Replacement Estimates, and BREC’s “Singularly
Unreliable” Long Term Projections ..................................................................... 26
A. BREC’s Mitigation Plan Fails to Analyze the Plan from a Member/Consumer
Perspective, Using Basic Financial Net Present Value [“NPV”] Techniques
which Consider Risk and the Time Value of Money .................................... 29
B. BREC Fails to Assess and Consider the Market Value of Coleman and Wilson
in Setting a Sale Price for those Plants, as opposed to their Book
Value ................................................................................................................. 32
C. BREC Shifts Financial Costs and Risks Associated with the Mitigation Plan
to Existing Members and Consumers for an Indefinite
Time Period ...................................................................................................... 35
D. BREC’s Mitigation Plan’s Assumptions Regarding the Value of Wilson and
Coleman have Significantly Changed; Assumptions Regarding Development of
Replacement Load are Unrealistic and Unfounded ...................................... 36
E. BREC Again Relies Upon Higher Market Prices to Resolve
Financial Problems Arising from Excess Capacity ....................................... 38
F. BREC's Mitigation Plan Contains Inherent Inconsistencies and Problematic Assumptions, and Fails to Reflect Price Elasticity of Demand ................................................................. 39
4. BREC's Lenders Should Bear Their Portion of the Risk .................................................. 46
5. Revenue Requirement ........................................................................................................... 49
A. Summary of Revenue Requirements ............................................................................. 49
B. Problems with BREC's Proposed TIER of 1.24 ....................................................... 52
6. The Attorney General Supports the KIUC Recommended Rate Plan Regarding the Use of Reserve Funds ........................................................................................................ 53
7. BREC's Filed-For Revenue Requirement Must be Reduced to Recognize Smelter Transmission and Ancillary Service Revenue ................................................................. 55
8. The Commission Should Exercise its Discretion to Order a Comprehensive Management Audit of Big Rivers .................................................................................................... 58
CONCLUSION .......................................................................................................................... 61
In the Matter of:
APPLICATION OF BIG RIVERS ELECTRIC CORPORATION, INC. FOR AN ADJUSTMENT OF RATES
Case No. 2013-00199
Comes now the intervenor, the Attorney General of the Commonwealth of Kentucky, by and through his Office of Rate Intervention, and states as follows for his post-hearing brief in the above-styled matter.
Introduction
Big Rivers Electric Corporation ["Big Rivers" or "BREC"] is a not-for-profit generation and transmission cooperative ["G&T"] serving approximately 113,000 customers in western Kentucky.\(^1\) However, Big Rivers, over the course of several decades, built 70% of its electric generation and transmission capacity to serve just two customers \(^2\) under special contracts. These industrial customers, aluminum smelters located in Hawesville and Sebree Kentucky, respectively, carried a combined load of approximately 850 MW, or enough energy to serve as many as 800,000 homes.\(^3\)
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\(^1\) See Big Rivers’ website at http://www.bigrivers.com/intro.aspx. BREC states as its mission that it “exists for the principal purpose of providing the wholesale electricity requirements of its three distribution cooperative member-owners ....” Direct Testimony of David Brevitz, p. 49, line 5.
\(^2\) See, “Energy Rate Impacts on Kentucky Industry,” Executive Summary at p. X, of which the Commission can take administrative notice, at: http://www.caenergy.com/downloads/Morey Kirsch Kentucky Energy Rate Impacts 2012.pdf
\(^3\) See, e.g., http://answers.yahoo.com/question/index?qid=20100503225758AAcZLtb.
aluminum prices have been depressed for many years.\(^4\) The historically contentious relationship between Big Rivers and its two-largest customers has been well-established over several decades throughout multiple cases heard before the Kentucky Public Service Commission [“PSC” or “Commission”] and appealed to and through the Kentucky court system. It is fair to say that this contentious, yet symbiotic relationship has drained the attention, energy and resources of Big Rivers’ management, the Commission, and Kentucky policymakers. Moreover, this antagonistic interconnection has played a key role in causing several periods of major financial hardship for Big Rivers.\(^5\) In fact, both smelters have now left BREC’s system altogether, which has placed Big Rivers in the current, and most precarious financial crisis in its history.
BREC’s controversial solution to this crisis, for which it continues to seek the approval of the Kentucky Public Service Commission, is to ask its remaining 112,998 customers — who were not responsible for causing the costs of providing service to the two smelters — to pay for the excess capacity that the smelters leave in their wake after exiting BREC’s system. In fact, BREC’s system is now more than twice as large as it needs to be to serve its entire remaining captive native load. The two smelter customers together consumed over 70% of BREC’s power production and provided at least 66% of
\(^4\) See, e.g., “Aluminum: Shock and Ore,” *Financial Times*, http://www.ft.com/intl/cms/s/0/5912a91e-0ed0-11e2-9343-00144feabdc0.html.
\(^5\) For more on this history of Big Rivers’ financial difficulties and troubled relationship with the smelters, see the Attorney General’s post-hearing brief filed in Case No. 2012-00535 at: http://www.psc.ky.gov/PSCSCF/2012%20cases/2012-0535/20130726_AG_Post%20Hearing%20Brief.pdf
its revenues.\(^6\) BREC’s proposal is all the more troubling because it comes in an era of sharply depressed off-system sales [“OSS”].\(^7\) Therefore, OSS cannot serve to mitigate the amount of the rate increases being forced onto the backs of BREC’s remaining captive ratepayers.
BREC incurred major costs in order to build the utility infrastructure necessary to serve the smelters, and the smelters were paying those costs while they remained on BREC’s system. However, the smelters have now left BREC’s system by virtue of obtaining market-priced power. Since the smelters’ departure, BREC is left with a great deal of *excess capacity* (850 MW of generation in the Wilson and Coleman generating stations), for which BREC is asking its remaining captive ratepayers to pay. In fact, BREC maintains that it is fair, just and reasonable to require the company’s remaining captive ratepayers to pay those costs. Those captive ratepayers, as demonstrated in their public comments, are especially troubled by this proposal because they themselves have never needed or used most of this excess capacity, and now are being asked by BREC to shoulder the full fixed cost of that excess capacity.
The Office of the Attorney General, in Case No. 2007-00455 [“the Unwind Case”], was the sole party to oppose BREC’s proposal to reacquire the responsibility and risk associated with generation and transmission assets, after another utility had operated those assets for a period of time following BREC’s 1994 bankruptcy. In that case, the Attorney General’s witness, David Brevitz, could not support the transaction as
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\(^6\) See Standard & Poor’s ratings downgrade of Feb. 4, 2013, p. 2, filed in Direct Testimony of Billie Richert, Case No. 2013-00199, Exhibit Richert-4.
\(^7\) Bailey direct testimony, p. 5 lines 11-13.
proposed due to a lack of due diligence on BREC’s part, and forecasts showing extensive rate increases facing BREC’s rural class of ratepayers if the Commission approved the transaction, among other reasons.\(^8\) The concerns raised by the Attorney General in the Unwind Case have now, in fact, come to pass.
The Attorney General, charged with representing the interests of BREC’s ratepayers in this matter, believes that BREC’s proposed solution, if approved, will lead to unfair, unjust and unreasonable utility rates for the Western Kentucky ratepayers remaining on BREC’s system, and could cause other ratepayers to leave BREC’s system. The consequences to ratepayers, and to the Commonwealth’s economy, of the outcome of this proceeding are potentially the most urgent this Commission has confronted.
**FACTUAL BACKGROUND**
As part of the transaction approved in the Unwind Case, the two smelters negotiated special contracts for the price of power. These 2009 electric service agreements [“2009 Retail Agreements”] obligated BREC, as the wholesale generation and transmission provider, and its member-owner Kenergy Corporation [“Kenergy”], to provide service for the smelters, and were lauded by the virtually all of parties to the Unwind transaction as a solution for years to come. Shortly after the Unwind was consummated, however, the smelters began discussions with BREC seeking even further concessions on the price of power. By January of 2012, the nature of those discussions took on a significantly different turn when Century and Alcan first began
\(^8\) See Supplemental Direct Testimony of David Brevitz, Case No. 2007-00455 (in particular pp. 3-8), at: http://www.psc.ky.gov/PSCSCF/2007%20cases/2007-00455/20081121_AGs_Brevitz_Testimony.PDF
discussions with BREC regarding the smelters’ desire to obtain market-priced power — which was completely the opposite of the smelters’ position in the Unwind Case, in which they wanted to avoid market-priced power. The management of both smelters also began meetings with state officials in the first few months of that year, and a meeting with the Kentucky Legislature occurred in March 2012. Big Rivers recognized the possibility of the smelters’ departure from its system, and as a result began developing its “Load Concentration Analysis and Mitigation Plan” [“Mitigation Plan”] in the November, 2011 – January, 2012 timeframe, at least six (6) – eight (8) months before it was completed, in June, 2012. The Big Rivers’ Board of Directors was advised of the Mitigation Plan from the very outset of that process.
Even while BREC was making plans for the smelters’ departure, on March 28, 2012, the company filed an application in Case No. 2012-00119, seeking permission to issue new debt in the sum of $537 million from CoBank and National Rural Utilities Cooperative Finance Corporation [“CFC”]. The purpose of this new financing was to prepay existing Rural Utility Service [“RUS”] debt in the amount of $442 million; to fund $60 million in new capital expenditures; and to use $35 million to replenish the
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9 Bailey Cross-Examination, January 7, 2014 Video Transcript of Evidence [“VTE”] at approximately 12:16:00 – 12:16:31.
10 Case No. 2007-00455, Order dated March 6, 2009, pp. 14-16.
11 Bailey Cross-Examination, Jan. 7, 2014 VTE at approximately 12:16:00 – 12:16:31.
12 Provided as a confidential attachment to BREC’s response to Post-Hearing Data Request No. 4. BREC in this report (p. 9) describes the mitigation efforts the company will take upon closure of a smelter.
13 Bailey Cross-Examination, Jan. 7, 2014 VTE at 13:51:35 – 13:52:05.
14 Id. at approximately 12:19:00; 13:45:12.
15 Id. at 13:50:30.
16 See application in that case, numerical paragraph 13. http://www.psc.ky.gov/PSCSCF/2012%20cases/2012-00119/20120328_Big_Rivers_Application.pdf. The PSC issued its Final Order approving BREC’s application in that case on May 25, 2012.
Transition Reserve created in the Unwind Case, which had been used to prepay on the RUS Note on April 1, 2011. This refinancing proposal served to greatly reduce RUS’s exposure to Big Rivers’ risks associated with concentrated load, and transfer those risks to CoBank and CFC.
As required by the terms of its Series 1983 Ohio County Pollution Control Refunding Bonds,\(^{17}\) Big Rivers filed a Disclosure Statement dated July 12, 2012,\(^{18}\) in which BREC disclosed to the public and its lenders: (1) that the two smelters had advised Kentucky State Government officials that they “could not envision a future with Big Rivers;” (2) that BREC’s rates were “not sustainable;” (3) that BREC’s rates placed the smelters’ viability at great risk; and (4) that there could be no assurances that one or both smelters would not give their one-year notice of termination.\(^{19}\) Two weeks later, on July 27, 2012,\(^{20}\) BREC and its lenders closed on the new financing—in excess of one-half billion dollars.
As predicted in the disclosure statement, however, events did indeed take a sharp turn for the worse barely three weeks later when on August 20, 2012, Century
\(^{17}\) Those bonds were “being held as bank bonds by the liquidity provider, bearing an interest rate of 3.25%, as the remarketing agent has been unsuccessful at marketing them at the prescribed maximum rate, 120% of the variable rate index.” *See* Big Rivers’ July 12, 2012 Disclosure Statement, introduced as OAG Hearing Exhibit 6, p. 22 in the original pagination.
\(^{18}\) *See* OAG Hearing Exhibit 6. This document was provided in discovery for the first time on Jan. 3, 2013, in Case No. 2012-00492, in response to KIUC 1-9, pp. 295-459. This document was prepared by BREC’s previous Chief Financial Officer, Mark Hite and filed at approximately the same time as his departure from BREC. *See* Richert cross-examination, Jan. 7, 2014 VTE at 17:44:40 – 17:45:35.
\(^{19}\) *See* OAG Hearing Exhibit 6, pp. 39-40.
\(^{20}\) On this same date, perhaps coincidentally, Mark Hite, Big Rivers’ then-Vice President of Accounting and Interim CFO, left the company as the refinancing documents were being executed, according to a company press release issued ten days earlier: http://www.bigrivers.com/documents/MarkHiteretires.pdf. *See also* Case No. 2012-00063, BREC’s letter to the Commission filed July 27, 2012, indicating Mark Hite had resigned to accept another position: http://www.psc.ky.gov/PSCSCF/2012%20cases/2012-00063/20120727_Big%20Rivers%20Witness%20Substitution%20Table.pdf.
Aluminum -- BREC’s single-largest power consumer -- gave notice to BREC and its local distribution cooperative Kenergy that Century would exercise its option to terminate the 2009 Retail Agreements for the supply of electricity that Century consumes at its Hawesville aluminum smelter. Only two days after Century submitted its termination notice, Moody’s on Aug. 22, 2012 downgraded BREC’s credit rating to Baa2, and a few days later, Fitch and S & P both placed BREC’s credit on negative watch.\(^{21}\)
On November 14, 2012, BREC filed a new financing application in Case No. 2012-00492, in which it sought to refinance its maturing Series 1983 Ohio County pollution control bonds with new, Series 2013A bonds.
On December 4, 2012, BREC, pursuant to its Mitigation Plan, filed its notice of intent in Case No. 2012-00535 that it would seek to raise rates, primarily to replace $63 million in contribution to margins the company would lose when the Century Hawesville smelter left BREC’s system.\(^{22}\) Significantly, a portion of the proposed massive rate increase in that case was designed to impose a $25.551 million annual increase on the then-remaining smelter,\(^{23}\) then BREC’s second-largest customer, Alcan Primary Products Corporation [“Alcan”], relating to its Sebree aluminum smelting facility.\(^{24}\)
\(^{21}\) See Case No. 2012-00492, application at p. 7.
\(^{22}\) Bailey Rebuttal Testimony, p. 6, wherein he states Century Hawesville’s power purchases contributed $205 mil. to BREC revenues in 2012, while Century Sebree’s facility contributed $155 mil.
\(^{23}\) Bailey Direct Testimony, Case No. 2012-00535, pp. 12-13.
\(^{24}\) Subsequent to that time, Alcan sold its Sebree smelter to Century. See, e.g., article, “Century Completes Acquisition of Sebree Smelter,” at the following link: http://www.courierpress.com/news/2013/jun/03/century-completes-acquisition-of-sebree-aluminum/?print=1].
On January 24, 2013, the company amended the application in the financing Case No. 2012-00492, stating it:
"... has decided that the potential cumulative impact on prospective bond purchasers of the Century Aluminum notice to terminate its retail service agreement, the uncertainty about the outcome of Big Rivers' pending rate case, and the impact of that rate case on Alcan Primary Products Corporation's Sebree facility weigh in favor of postponing the offering of debt until some or all of that uncertainty has been eliminated."
One week after the Amended Application was filed in the financing case, and not even eight (8) weeks after BREC filed its rate case in Case No. 2012-00535, Alcan provided its Notice of Termination on January 31, 2013. Just a few days following Alcan’s January 31st notice of termination, Standard & Poor’s on Feb. 4, 2013 downgraded Big Rivers to BB-, a rating below investment grade. Additional downgrades from Moody’s [downgrade to Ba1], and Fitch [downgrade to BB with negative outlook] quickly followed.
In response to Alcan’s notice of termination, Big Rivers filed a second base rate (the instant case, 2013-00199), even before the hearing in Case No. 2012-00535 had been held. In this current case, BREC seeks an additional $71.2 mil. in new revenues from its remaining captive ratepayers, virtually all of which would go to replace revenues and contribution to margins lost from serving the Sebree smelter load. As such, BREC continues to seek a rate case solution to its revenue problems by asking its capti
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25 Case No. 2012-00492, Amended Application, paragraph 2.
26 This ratings action applied to both the company itself, and to its Series 2010A Ohio County pollution control bonds.
27 This revised figure is increased from the original amount of $70.4 mil. set forth in BREC’s application. See Wolfram Rebuttal Testimony, p. 36, lines 7-8.
ratepayers to pay stranded costs which the two smelters avoided by leaving Big Rivers’ system, the majority of which system was built to serve those two customers.\textsuperscript{28} \textsuperscript{29} This includes $25.551 million in increased revenues which Big Rivers sought to assess to the Century Sebree smelter in the 2012-00535 case, but which Century Sebree has avoided paying by leaving BREC’s system and instead obtaining market-priced power.\textsuperscript{30}
BREC’s pre-filed direct testimony in both Case Nos. 2012-00535 and 2013-00199 indicate that the company’s OSS, upon which the company relies for almost all of its margins, have been depressed,\textsuperscript{31} and in fact have been depressed since at least 2010.\textsuperscript{32} The company attempted to deal with this depressed OSS market by reducing maintenance, deferring outages, cutting costs and by filing for an increase in base rates\textsuperscript{33} in Case No. 2011-00036.\textsuperscript{34} None of those measures, however, were enough to stem the massive loss of revenues the company has experienced from losing nearly 66% of its stream of revenue.
\textsuperscript{28} See, e.g., Bailey Direct Testimony, p. 5 lines 14-23; p. 6 lines 1-7.
\textsuperscript{29} In Case No. 2012-00221, the Commission in its final order dated Aug. 14, 2013 approved new contracts filed by BREC and Kenergy which allowed Century Hawesville to leave BREC’s system, and to instead obtain market-priced power from MISO. In Case No. 2013-00413, the Commission in its final order dated Jan. 30, 2014 approved of similar contracts allowing the Century Sebree smelter to leave BREC’s system and instead obtain market-priced power.
\textsuperscript{30} Case No. 2013-00199, Bailey Direct Testimony, p. 5. Note that the proposed Alcan revenue increase figures differ between the cases.
\textsuperscript{31} Bailey Direct Testimony, p. 5 lines 11-13.
\textsuperscript{32} See, e.g., Case No. 2012-00535, Bailey Direct Testimony, p. 8.
\textsuperscript{33} Id.
\textsuperscript{34} Notice of intent filed Jan. 31, 2011; Final Order dated Nov. 17, 2011, granting an increase in base rates of $26.744 mil.; the Final Order on Rehearing dated Jan. 29, 2013, granted an additional $1,042 mil. in new revenues, for a total of $27.787 mil. in new revenues; see Final Order on Rehearing at pp. 24-25.
On October 29, 2013, the PSC issued its Final Order in Case No. 2012-00535, awarding BREC $54.227 million in new revenues,\(^{35}\) amounting to 73% of the amount BREC initially requested. Despite this significant increase, Big Rivers unfortunately maintains that its financial difficulties have continued, due primarily to the loss of the Sebree smelter’s load. If the Commission should award the full amount of revenues BREC seeks in the instant case, then the effect of the rate increase from Case No. 2012-00535, when combined with new revenues from the instant case, would be to raise “all-in rates”\(^{36}\) for Rural class ratepayers 108.9% at wholesale, and 69% at retail, while the increase for Large Industrial ratepayers would be 107%.\(^{37}\)
**ARGUMENT**
1. **BREC’s Proposed Rates are Unfair, Unjust and Unreasonable, as Public Comments and Evidence in the Record Unequivocally Reveal**
- “We can’t keep raising the rates, it’s got to stop someplace . . . They got us by the neck; we’re stuck and can’t buy our power from anyplace else, and they control it. They are killing us . . . I feel like that Century got off scot free and we are left, like I said, left holding the bag.”\(^{38}\)
Unlike Big Rivers, which has the ability to sell its power to multiple parties, BREC’s members are captive customers who sell only to their own captive ratepayers,
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\(^{35}\) Case No. 2012-00535, Final Order dated Oct. 29, 2013. The increase amounted to a 15.5% increase in wholesale rates. The Commission also did not allow BREC to recover depreciation expense for the to-be-idled Coleman plant during the period of its lay-up, instead deferring recovery of those expenses to a later date. *Id.* at pp. 32-33. This adjustment reduced BREC’s test-year revenue request by $6,192,660. *Id.* at 33.
\(^{36}\) The term “all-in rates” includes environmental surcharge rates and fuel adjustment charge rates, together with base rates.
\(^{37}\) See Direct Testimony of Lane Kollen, pp. 12-15. This percentage would equate to an additional $838 per year for the average residential customer on an all-in basis.
\(^{38}\) Larry Heistand, Dec. 17, 2013 Public Comment Hearing, video transcript at 9:12; 10:38.
\(^{39}\) Peggy Nance, *Id.* at 13:40.
by virtue of the Commonwealth’s territorial service law, and as such, they lack the Commission-approved ability of Century’s Hawesville and Sebree smelters to obtain market-priced power. As a result, Big Rivers’ ratepayers are in a struggle for survival.
- "More of our income comes from industry than about any other county in the country... it truly impacts us as far as attracting new industry to the area... we have gone from one of the lowest rates in the state of Kentucky to one of the highest."
Big Rivers has employed a strategy of filing continual rate cases in order, illogically and contrary to the regulatory compact, to maintain and possess generating capacity that exceeds its remaining, captive load by approximately 1,169 Megawatts, or 180%. In fact, BREC’s CEO testified that should the next-largest industrial load (40 MW) leave BREC’s system, it would create revenue concerns that might lead to another rate increase. This strategy will devastate the many industrial customers located within the service territories of its members Kenergy and Jackson Purchase. As demonstrated in the testimony of several KIUC members, many of BREC’s customers
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40 KRS 278.016.
41 As the Commission noted in Case No. 9613: "...BREC’s ratepayers, unlike shareholders in investor-owned utility, do not vote their stock in proportion to their economic interest, nor could they sell their stock if they disagreed with management decisions." Order dated March 17, 1987, p. 30.
42 Richard Basham, President of Hancock County Industrial Foundation, Dec. 17, 2013 Public Comment Hearing, video transcript at 17.55, 18.21, and 18.58. See also comments of Hancock County Judge Executive Jack McCasland, "This will be devastating to industry." Jan. 7, 2014 VTE at approximately 10:22:00.
43 Holloway Direct Testimony, p.7, l6-11.
44 Baily Cross-Examination, Jan. 7, 2014 VTE at approximately 11:13:30.
45 In the 1980s, BREC was going through other financial difficulties that led to the development of a workout plan with its creditors [which ultimately failed]. The Commission, as set forth in Case No. 9613 (Order dated March 17, 1987, pp. 16-17), noted that the workout plan:
"...was thus achieved by merely deferring present financial obligations to future periods and thereby committing Big Rivers' ratepayers to two projected rate increases, in 1989 and 1991, and an indeterminate number thereafter. Rather than provide a workable solution, the plan would intensify the climate of uncertainty. The result would very likely be a severe erosion in the economic base -- including the aluminum industry that supports the Big Rivers system. This would be a disastrous result not only for Big Rivers and its customers, but also for its creditors." [Emphasis added].
will lose their competitive edge and are already becoming desperate to find solutions.\textsuperscript{46} Adversely-affected businesses may have no other choice but to leave, and will take many good-paying jobs with them.\textsuperscript{47} In concert with other responses businesses and consumers will make to reduce their demand through energy efficiency and other measures, this is certain to create a death spiral for BREC, a tide that even a Commission-approved rate case solution will not be able to stem, and in fact will only exacerbate. The existence of any plan to mitigate rate increases to BREC’s remaining industrial customers is conspicuously absent in this case.
\begin{itemize}
\item “People that live on the opposite side of the street can pay as much as 40-50% more just because of who has the monopoly rights essential to their jurisdiction... They have always known, or at least they should have known, they were always vulnerable to the aluminum industry and the peaks and valleys that are included in it... Big Rivers should return to what its original goal was – to be a low cost producer of electricity.”\textsuperscript{48}
\item “I am concerned about the impact it is going to have on the overall competitiveness of this area... I don’t want to have to wind up in another rust belt arrangement here, and that is what you are headed to.”\textsuperscript{49}
\item “Being a board member of the JPEC [BREC member coop Jackson Purchase Energy Cooperative] Board of Directors for the past 15 years, and a member of the coop for the past 55 years, I have seen the ups and downs of Big Rivers... The cooperative program was started for the people and small businesses of America. These people...have been pushed to the bottom of the food chain....These people will pay their fair share, but let us
\end{itemize}
\textsuperscript{46} See, e.g., direct testimony of Steve Henry on Behalf of Domtar Paper, p. 4, line 3, wherein he states the 111% all-in increase the company would experience from the combined increases in both Case No. 2012-00535 and 2013-00199 will leave Domtar’s Hawesville mill with the highest power rates of any of the company’s five (5) U.S.-based mills; and direct testimony of Bill Cummings on behalf of Kimberly-Clark, wherein he states the 112% combined all-in rate increase from both cases for his company (pp. 5-6) will leave the Owensboro mill with the highest per unit rates of any Kimberly-Clark tissue mill in the U.S. (p. 4, lines 8-10), which in turn may force the company to expand its co-gen facility and leave the BREC system, which would reduce BREC’s native load by an additional 9.4% (p. 7, lines 22-23 – p. 8 line 1).
\textsuperscript{47} See KIUC Hearing Exhibit 8, “The Vulnerability of Kentucky’s Manufacturing Economy to Increasing Electricity Prices,” published by the Commonwealth of Kentucky Energy and Environment Cabinet.
\textsuperscript{48} Chuck Stagg, Dec. 17, 2013 Public Comment Hearing, video transcript at 20:07, 22:54, and 25:30.
\textsuperscript{49} Michael Hunter, \textit{Id.} at 29:34, and 29:53.
BREC’s continual rate case solution will fundamentally alter the core economy within Big Rivers’ territory, and will make it vastly uncompetitive with its neighboring utilities. BREC’s failure to recognize or admit to any elasticity of demand for its large industrial class\(^{51}\) will only further exacerbate the situation, and will likely lead to a death spiral as previously noted. Both Big Rivers – and its lenders – were well aware of the *extraordinary risk* this utility faced in serving the concentrated load of two aluminum smelters, a risk which had already been an aggravating factor in BREC’s bankruptcy in the 1990s.\(^{52}\) History conclusively proves that unbalanced and unjust utility rates yield high unemployment and poverty, and leave governments lacking the revenue necessary to meet their constituents’ needs.\(^{53}\)
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\(^{50}\) Mr. Jack Marshall, Jackson Purchase RECC Board of Directors Member. Public Comment Hearing, Jan. 8, 2014, VTE at 10:44:30 – 10:46:00. Mr. Marshall testified on behalf of Jackson Purchase, not as an individual. Bailey cross-examination, Jan. 9, 2014 VTE at approximately 11:58.
\(^{51}\) *See generally* cross-examination of Lindsay Barron, Jan. 9, 2014 VTE at 11:06:20 – 11:06:31.
\(^{52}\) *See* the Commission’s ruling in Case No. 9613, Order dated March 17, 1987, pp. 13-13, wherein it stated:
“This overwhelming dependence on two huge customers creates a tremendous risk for the utility. If the aluminum industry goes sour, the result for Big Rivers and its 75,000 customers will be catastrophic. When the aluminum industry entered a deep recession beginning in 1983, Big Rivers found itself in a nightmarish position. To add to its misery, the utility’s remaining load growth had leveled off, the prospect of a synthetic fuels industry had evaporated, and the $900 million Wilson Unit No. 1 was nearly completed. **Big Rivers was paying the price for being basically a one-industry utility.**” [Emphasis added.]
\(^{53}\) *See, e.g.*, public comments of Rita Stevens, Mayor of City of Hawesville, who stated “We have had all we can take. City services are dependent on electricity. We have infrastructure way past due for replacement.” In the aftermath of Big Rivers’ rate increase authorized in Case No. 2012-00535, the city’s electric bill has increased from $6800.00 / mo. to $9400.00 / mo., and has forced the city to raise its water rates. As a result, some city residents cannot afford to pay their water bills. Jan. 7, 2014 VTE at 10:24:30 – 10:27:18. *See also* public comments of Mr. Kyle Estes, Superintendent, Hancock County Public Schools, who stated that if Domtar Paper should close its mill, the school system would suffer a $900,000 net revenue loss (8.5% of the district’s total budget). *Id.* at 10:19:50 – 10:20:20.
2. Generation Facilities Idled for Significant Periods Are by Definition Not “Used or Useful,” and Should Be Excluded from Big Rivers’ Rate Base
As a result of the departure of 70% of its load, Big Rivers obviously will be left with far more capacity than it needs. Moreover, BREC’s plans for idling both Wilson and all three of its Coleman units indicate the company intends to use the longer-term “mothballed” status to accomplish the idling.\(^{54}\) This status is designed to insure that idled plants do not appreciably age or degrade while idled.\(^{55}\) Additionally, the company acknowledged that it would take approximately 43 days to restore a unit from mothballed status, a procedure which would cost at least $1.470 million.\(^{56}\) BREC obviously intends for one or more of these generating units to be idled for years, and will not be able to return to active status without extensive work. Finally, the fact that the company has now publicly disclosed that one or even both plants are for sale is certainly strong evidence that the to-be-idled plant[s] are not “used or useful.”
Moreover, since the conclusion of the regular, non-rehearing issues in Case No. 2012-00535,\(^{57}\) the Commission has now allowed both Century’s Hawesville smelter,\(^{58}\)
\(^{54}\) See Case No. 2012-00535, BREC Response to PSC 2-21(e). Big Rivers indicated that in IEEE Std. 762-2006, there are three identified deactivated shutdown states. Of those, BREC states that it intends to utilize what this standard terms the “mothballed” status, meaning a “state where unit is unavailable for service, but can be brought back into service with the appropriate amount of notification, typically weeks or months.”
\(^{55}\) Case No. 2012-00535, Holloway Direct Testimony, p. 33.
\(^{56}\) Case No. 2012-00535, BREC Response to AG 1-111.
\(^{57}\) Although the Commission in Case No. 2012-00535 stated that the Coleman plant is “excess capacity” (Final Order dated Oct. 29, 2013, p. 20) and excluded depreciation costs for the Coleman plant while it is in mothball status (\(Id.\), at p. 19), nonetheless all fixed costs related to Coleman must be excluded for at least the time that Coleman is in mothball status, and its full value must be removed from Big Rivers’ rate base during that period.
\(^{58}\) Case No. 2013-00221.
and its Sebree smelter, to leave the BREC system. Therefore, the departure of both smelters from the BREC system will leave the company's ratepayers with the bill for major stranded costs which they will be paying for many years to come—absent Commission action. These stranded costs offer perhaps the most solid evidence that Wilson and Coleman are not "used or useful," and therefore the value of both plants should be removed from the company's rate base.
Finally, ratepayers should only pay for the energy they use. It is axiomatic that the used or useful doctrine should apply to all plant which is not necessary to meet a utility's native load. In this case, even if the Wilson plant operates for two or potentially more months, it is still useful only for Big Rivers' merchant operation, i.e., solely for OSS. The fact that Wilson's extended operation is useful only for OSS graphically illustrates the immediate need to right-size BREC, perhaps by creating a merchant generation affiliate or taking some other action to separate the costs of BREC's merchant-generating function away from burdening BREC's remaining ratepayers.
A. The Commission and Kentucky Courts Have a Long History of Excluding Plant that Is Not "Used or Useful" from Utility Rate Base
Well-settled decisions of the Commission and Kentucky courts leave no doubt that the used or useful test has been, and continues to be a vital part of the statutory "fair, just, and reasonable" ratemaking standard. The strong public policy behind the used and useful doctrine is needed today just as critically as it was in the past, because it provides a stern message to utilities: both companies and lenders are responsible for
59 Case No. 2013-00413.
60 See KRS 278.030(1).
insuring that facilities are deployed only when true need is clearly expected. Absent the used or useful doctrine, utilities and lenders are encouraged to pursue and continue bad decision-making.
" . . . [A] customer or consumer should not be required to pay for investments made by the utility which are of no benefit to the consumer. The "used and useful" concept protects against rates based upon such "useless" investments."61
In *Fern Lake Co. v. Public Service Comm'n*, 357 S.W.2d 701, 704-705 (Ky. 1962), the Court of Appeals held "excess facilities were not used or useful so as to be a proper factor in establishing a rate base" and that "over-adequate facilities" should be excluded for ratemaking purposes, "as a matter of law." In *Blue Grass State Telephone Co. v. Public Service Comm'n*, 382 S.W.2d 81, 82-83 (Ky. 1964), the Court adjusted that utility's rate base to exclude facilities "not entirely usable."
The rulings of the Commission reflect a similar adoption and implementation of the doctrine of used or useful. In its decision in *In Re Kentucky-American Water Co.*, Case No. 8571 (Order dated February 17, 1983), the Commission held that "... [a] utility's rate base should include only those items of plant that are used and useful, i.e., reasonably necessary to provide adequate and efficient service."62 In *In Re Kentucky Utilities Co.*, 52 PUR 4th 406, 436 (1983), the Commission excluded investment in a proposed electric generating plant because it "seems doubtful that the investment in
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61 National-Southwire Aluminum Co. v. Big Rivers Elec. Corp., 785 S.W.2d 503, 518 (Ky. App. 1990), Wilhoit, J., concurring in part and dissenting in part.
62 Order dated Feb. 17, 1983, p. 7 (citing San Diego Land and Town Company V. Jasper, et. al., 189 U.S. 439 (1902)). In Case No. 8571, the Commission found that Kentucky-American had an excess capacity of 6 MGD, that shareholders should share $903,037 of the cost of this excess capacity with the ratepayers, and thus removed that sum from rate base. *Id.* at 8.
Hancock will ever be used and useful for providing service." In *In Re Kentucky Power Co.*, Case No. 8904, the Commission excluded the cost of transmission ". . . facilities greatly in excess of jurisdictional needs constructed to meet the needs of non-jurisdictional customers." In *In Re Kentucky Power Co.*, Case No. 8734 (56 PUR 4th 151, 156, Order dated September 20, 1983), the Commission excluded property not needed for nine years, in which the system had a 43% reserve capacity.
The Commission has also considered matters of fairness in its analysis of the used or useful doctrine. In *In Re South Central Bell Telephone Co.*, Case No. 9160 (Order dated May 2, 1985, p. 16), the Commission held it "unfair to require Bell's ratepayers to pay a current cash return on a plant not used and useful because that would not match cost and benefit." Additionally, the Commission applied *Fern Lake, supra*, to disallow rate recovery of Louisville Gas and Electric Co.'s 25% interest in the Trimble County generating station. See *In re: A Formal Review of the Current Status of Trimble County Unit No. 1*, Case No. 9934, Order dated July 1, 1988, at 33.
Finally, the PSC again embraced the used or useful doctrine in Case No. 2012-00535, when it refused to allow the depreciation costs for BREC's Coleman plant into the ratebase while the plant is in mothball status.
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63 An Investigation of The Necessity and Usefulness of the Cost Responsibility For the Hanging Rock-Jefferson 765 Kv Transmission Line Under Construction by Kentucky Power Company, Order Denying Rehearing, dated Sept. 11, 1984, pp. 6-7; aff'd, In Re Kentucky Power, Case No. 9061, 64 P.U.R. 4th 56, 66 (1984), Order dated Dec. 4, 1984.
64 See Case No. 2012-00535, Final Order dated Oct. 29, 2013, pp. 20, 33.
Therefore, the history of the application of the used or useful doctrine in Kentucky jurisprudence and the regulatory precedent of the Commission clearly require exclusion of plant that is not used or useful.
B. The Commission’s Historical Application of “Used or Useful” Doctrine Regarding Big Rivers
The Commission correctly found in Case No. 9613\(^{65}\) that, in balancing the interests to determine fair, just and reasonable rates, the used or useful doctrine can and should be applied in full measure to Big Rivers, as a generation co-op.\(^{66}\) The PSC also noted that it could not impose a “mechanical application” of the used or useful doctrine, and that the analysis of determining the need for facilities [and hence whether to include them in rate base] should include several factors, including: (a) whether they are used or useful; (b) the need for improved reliability; (c) the system’s load characteristics; (d) the potential for growth of both system load and load factor; and (e) other relevant economic and engineering factors.\(^{67}\) Finally, the analysis includes an allocation of risk.\(^{68}\)
Just as in Case No. 2012-00535, the record in the instant case establishes that any plant(s) BREC chooses to idle: (a) will not be used or useful, by definition and as demonstrated by BREC’s own actions; (b) the plants to be idled are not needed for
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\(^{65}\) *In re: Big Rivers Electric Corp.’s Notice of Changes in Rates for Wholesale Electric Service and of a Financial Workout Plan*, Order Dated March 17, 1987.
\(^{66}\) *Id.* at 39 [explaining distinction between co-op and industry-owned utility ["IOU"], but applying used or useful doctrine in parallel fashion, even though a co-op lacks shareholders].
\(^{67}\) *Id.* at 38.
\(^{68}\) *Id.* at 39.
system reliability; there is nothing inherent in the BREC system's load characteristics that indicates the mothballed plant(s) are necessary for the foreseeable future; and (d) no other economic or engineering factors indicate the mothballed plant(s) should be included in rate base. Simply stated, the record is devoid of any indication, other than the self-serving opinions of management based solely on its own Load Mitigation and Replacement Plan, that there is any committed potential for load replacement at any time in the next several years.
In its March 17, 1987 order in Case No. 9613, the Commission extended to Big Rivers, its creditors and the parties time to develop a new Workout plan based on variable smelter rates tied to world aluminum prices. In addition, the Commission offered guidelines for a revised workout, most of which remain relevant even now, to wit:
1. . . . [A] good starting point for negotiation is the Sunflower Electric cooperative Debt Restructure Plan. Recognizing the disturbing lack of load diversity and Big Rivers' dependence upon a sluggish aluminum industry, provisions similar to the Sunflower Plan which are not contingent upon an immediate rate increase and guaranteed full repayment of debt are desirable;
2. The immediate and primary source for debt service is off-system sales; Therefore, an agreement on off-system sales should be used in calculating any schedule of debt repayment. Big Rivers' ratepayers should not have unlimited responsibility for the payment of Big Rivers' debt. Furthermore, they should
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69 Although MISO has determined that the Coleman plant is necessary on an SSR basis, this SSR status will be removed as soon as Century's Hawesville smelter installs the necessary protective relay equipment; hence its SSR status is only temporary.
70 Case No. 9613, Order dated March 17, 1987, at 42.
71 In the Matter of the Application of Sunflower Electric Cooperative, Inc., for approval of the State Corporation Commission to Make Certain Changes in its Charges for Sale of Electricity to its Member Cooperatives; Docket No. 143,069-U, Order dated April 2, 1985; a copy of the complete final order in that case is attached to the testimony of David Brevitz in Case No. 2012-00535, as Exhibit DB-3.
not be required to provide all the revenues required to offset shortfalls arising from insufficient off-system sales;
3. The interests of all affected parties must be considered: rural consumers, industrial customers and creditors. Big Rivers should meet with the creditors to negotiate a revised workout plan. Big Rivers and the aluminum companies should negotiate a flexible rate-plan that recognizes the cyclical nature of the industry and the revenue requirements of the utility. Big Rivers, the Attorney General, and other interested parties should meet to discuss the negotiation and determine how the interests of customers other than NSA and Alcan can best be protected;
4. While the Commission expects and the public interest requires that all participants negotiate expeditiously and in good faith, the Commission will make the ultimate decision as to a reasonable long-term solution and no participant will have a veto. The Commission wishes to see the results of negotiations within the time frame established herein;
5. The payment of Big Rivers' obligations to its creditors should take into consideration longer terms, reduced interest rates, deferral of principal and interest payments, preferred stock options, payments tied to off-system sales, and reduction of principal;
6. Consideration should be given to sale or disposal of Wilson to another entity or through establishment of a generating subsidiary as a possible long-term solution;
7. The plan should include well documented projections of system and off-system sales and cash flow over both the short and long term. Documentation should include a thorough explanation of all assumptions, reasonable specificity of targets, and detailed work papers supporting the long and short run cash flow projections;...
9. Priority of disbursements with regard to principal and interest should be clearly established... [Emphasis added.]
72 Id. at 43-45.
Quite remarkably, these eight (8) points taken together should, in the Attorney General’s opinion, comprise a basic groundwork for developing a similar plan to deal with the issues facing BREC and its ratepayers in the immediate rate case, as follows:
1. BREC must meet with its creditors to establish a Workout Plan;
2. BREC’s creditors should not be allowed to escape the significant risk they bear in agreeing to continually make major loans to the utility, despite knowing that the smelters’ departure was inevitable and was approaching very rapidly; accordingly, the creditors should agree to negotiate with BREC;
3. BREC’s sluggish OSS should be dealt with by removing plant which is not used or useful from the company’s rate base;
4. The payment of Big Rivers' obligations to its creditors should take into consideration longer terms, reduced interest rates, deferral of principal and interest payments, payments tied to off-system sales, and reduction of principal;
5. The company should continue to consider sale or disposal of Wilson and Coleman and/or such additional plant as may be necessary, or alternatively, consider establishing a generating subsidiary as a possible long-term solution; and
6. Unlike the projections set forth in the current financial and production cost models, the new Workout Plan should be based on well-documented projections of system and off-system sales, and cash flow over both the short and long term. Documentation should include a thorough explanation of all assumptions, reasonable specificity of targets, and detailed work papers supporting the long and short run cash flow projections together with manuals completely illustrating how the models were constructed, and their inputs and outputs.
In its final analysis in Case No. 9613, the PSC in its March 17, 1987 Order in Case No. 9613 put-off for a later date any decision on whether to include the Wilson plant’s costs into rate base, and simultaneously initiated, *sua sponte*, an investigation into BREC’s rates, Case No. 9885. In that case, the PSC noted that REA:
"... had already made significant concessions in the current workout proposal. It has agreed to a variable power rate, clarified uncertainties about future rate requests, provided longer terms for repayment, a lower interest rate, and a deferral of certain principal and interest payments." *Id.* at 29.
In Case No. 9885, the PSC noted that in Case No. 9613, it rejected:
"a mechanical application of the used and useful standard as the sole determinant of whether the Wilson station would be included in rates. . . . [T]he Commission is under no statutory obligation to apply a used and useful standard exclusively, or any other single, rigid standard."
The PSC found further support for its ruling in *Federal Power Comm'n v. Hope Nat. Gas Co.*, 320 U.S. 575 (1944), which stated in pertinent part:
"The Constitution does not bind rate-making bodies to the service of any single formula or combination of formulas. Agencies to whom this legislative power has been delegated are free, within the ambit of their statutory authority, to make pragmatic adjustments which may be called for by particular circumstances."
The PSC concluded, in Case No. 9885, that the Revised Workout Plan it developed, which included variable smelter rates based on world aluminum prices, represented a fair and just resolution and provided fair rates to its customers.
However, BREC's problems were far from over, and the new Workout Plan the PSC developed in Case No. 9885 would be contested. The smelters appeal of the PSC's final order in that case, claimed, *inter alia*, that the PSC should have applied the used or useful doctrine to exclude the Wilson plant's costs from rate base. That appeal
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73 Case No. 9885, Order dated Aug. 10, 1987, p. 8.
74 *Id.*, 320 U.S. at 586.
75 Case No. 9885, Order dated Aug. 10, 1987, p. 10. In so ruling, the PSC also noted that BREC's rates had not been raised since 1981. *Id.* at 10-11.
eventually came before the Court of Appeals in *National-Southwire Aluminum Co. v. Big Rivers Elec. Corp.*, 785 S.W.2d 503 (Ky. App. 1990). In *National-Southwire*, supra, the Court of Appeals upheld, *inter alia*, the PSC's ruling in Case No. 9885 which refused to apply the used or useful doctrine in a "mechanical application." However, the Court also made the following key observations:
(a) "[T]he PSC did not totally ignore the used and useful concept in this case. It simply refused to apply it in as strict a manner as requested by the aluminum companies."\(^{76}\)
(b) Wilson at that time was certainly not a "useless" plant.\(^{77}\)
(c) "[I]t would be more appropriate for the PSC to first determine a value for a utility before setting a rate for recovery of the investment plus operating costs, and the value should not include any unreasonable, useless excesses to be borne by the consumers."\(^{78}\)
(d) Although the Court was satisfied with the result the PSC reached and affirmed it, nonetheless "it would be good to see more clear concern for the consumer, a clearer burden of proof on the producer to show that the excess capacity was a prudent investment, and a clear finding of just how much excess exists."\(^{79}\) [Emphasis added].
(e) Finally, the Court found that "it appears to be part of our public policy to insure that utility consumers do not pay unreasonable rates and that utilities do not make unreasonable expansions."\(^{80}\) [Emphasis Added].
Therefore, it is abundantly clear that the *used or useful doctrine is still viable under Kentucky law*. Moreover, its application in the instant case is even more
\(^{76}\) *National-Southwire* at 513.
\(^{77}\) *Id.* The Court specifically found that Wilson enabled Big Rivers "to provide continuous uninterrupted service and to be ready to make available on demand enormous amounts of energy" to the smelters. *Id.* at 515.
\(^{78}\) *Id.*
\(^{79}\) *Id.* at 513-514.
\(^{80}\) *Id.* at 510.
warranted than in Case Nos. 9613 and 9885, because BREC now proposes to "lay-up" two generating plants [as set forth in Case Nos. 2012-00535 and 2013-00199] for as long as five (5) years. Unlike the situation in the prior cases, Wilson and Coleman will indeed become not used or useful in the context of serving BREC's current customer base, and the costs of those plants should clearly not be borne by ratepayers. The Attorney General advocates that the Commission again demonstrate its clear concern for consumers by exercising its statutory authority to remove plant that is neither used nor useful from Big Rivers' rate base.
Finally, the Commission in Case No. 9885 was incorrect in finding support from *Hope*, *supra*, for its decision to not remove Wilson from BREC's ratebase at that particular time. In a subsequent ruling, the U.S. Supreme Court in *Duquesne Light Co. v. Barasch*, 109 S.Ct. 609, 615–620 (1989), held that nothing in *Hope* or the Constitution itself precludes a state from applying the used and useful principle to prevent a utility from recovering its investment in unneeded plant. This was later held to be the case even where application of this principle ultimately resulted in the utility's bankruptcy. *In Re Public Service Co.*, 539 A.2d 263 (N.H. 1988) (*appeal dismissed, no federal question, 488 U.S. 1035 (1989)*). Therefore, nothing in *Hope*, *supra* or its progeny require the PSC to restore BREC's financial integrity by including the costs of two generating plants that are not "used or useful" in rates to be paid by consumers.\(^{81}\)
\(^{81}\) See also, *Market St. Ry. Co. v. Railroad Comm'n of State of Cal.*, 324 U.S. 548, 566, 65 S.Ct. at 770, 779 (1945)("It was noted in the Hope Natural Gas case that regulation does not assure that the regulated business make a profit"; *Id.* at 65 S.Ct. 779, citing *Hope*, 320 U.S. at 603, 64 S.Ct. at 288, 88 L.Ed. 333).
C. The Commission Has the Statutory Authority to Determine Value of Utility Plant in Connection with Rates
The Commission has the statutory authority, pursuant to KRS 278.290, to determine the amount of excess plant and capacity that exists. As noted by the Court of Appeals in *National-Southwire*, KRS 278.290 is applicable in determining what constitutes a fair, just and reasonable rate.\(^{82}\) Indeed, it is through this statute that the Commission determines the value of a utility's used or useful plant to be included in rate base.
The Commission's own precedent recognizes this authority. The Commission in Case No. 9613 noted that in order to establish rates that are fair, just and reasonable, the Commission must: (a) determine the appropriate level of operating expenses; (b) fix a value on the utility's property; and (c) in the case of a co-op such as BREC, establish a time interest earned ration ["TIER"] to allow payment of interest and principle.\(^{83}\) The Kentucky Public Service Commission has all the authority it needs to exclude utility plant that is not used or useful from a utility's rate base. KRS 278.290 provides, in pertinent part:
"(1) Subject to the provisions of subsection (2) of this section, the commission may ascertain and fix the value of the whole or any part of the property of any utility in so far as the value is material to the exercise of the jurisdiction of the commission . . . In fixing the value of any property under this subsection, the commission shall give due consideration to the history and development of the utility and its property. . . and other elements of value recognized by the law of the land for rate-making purposes."
\(^{82}\) *National-Southwire*, supra at 512-513.
\(^{83}\) Case No. 9613, Order (March 17, 1987) at 38.
(2) The commission shall not value or revalue the property of any utility unless the valuation or revaluation is necessary or advisable in order to determine the legality or reasonableness of any rate or service . . . ." [Emphasis added.]
While normally this might not be a difficult task, the information BREC provided in this case relevant to the value of Wilson and Coleman has been scant, and tends to be skewed toward showing only what BREC believes is the net book value, rather than the market value. Significantly, it failed to perform a net-present value analysis which could have provided more information in this regard. The Attorney General urges the Commission in this particular case to exclude the value of all plant in BREC’s system that is no longer used or useful, unless or until such time as it returns to being used or useful.
3. The Mitigation Plan, Load Replacement Estimates, and BREC’s “Singularly Unreliable” Long Term Projections
After presenting and emphasizing its Load Concentration Analysis and Mitigation Plan ["Mitigation Plan"] to the Commission, Commission staff and intervenors in both Case No. 2012-00535 and the current case, Big Rivers has reversed itself in its rebuttal and hearing testimony in an effort to shield the Mitigation Plan from analysis and scrutiny:
- "It is our perspective" that intervenor arguments about problems with the Mitigation Plan are "not relevant";
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84 See, e.g., Berry Direct Testimony at pp. 19-25 in Case No. 2012-00535; the "Load Concentration Analysis and Mitigation Plan" itself was provided in response to AG 1-89 in that case.
85 See, e.g., Bailey Direct Testimony at pp. 8-12, and Berry Direct Testimony at pp. 9-18. Big Rivers provided the Mitigation Plan itself in response to Commission Staff's Post-Hearing Data Request, Item No. 4.
86 Bailey Cross-Examination by Vice Chairman Gardner, Jan. 7, 2014 VTE at 16:21.
"This case is not about the Mitigation Plan,"\textsuperscript{87}
". . . [W]hile consideration of Big Rivers' Load Concentration Analysis and Mitigation Plan provides some context for justifying Big Rivers' proposed rates, that fact should not divert attention from the primary focus on evaluating the base period and forecasted test period revenues and expenses for ratemaking purposes."\textsuperscript{88}
"The Mitigation Plan is not the basis for this proceeding."\textsuperscript{89}
BREC's new position in this hearing contradicts the Commission's findings on rehearing, as the Order on Rehearing explicitly allows "the parties to explore this issue" [the Mitigation Plan], and that "evidence on the load-mitigation plan shall be taken in Case No. 2013-00199."\textsuperscript{90} BREC's latest position in this hearing also contradicts its extensive discussion and reliance upon the Mitigation Plan in its Post-Hearing Brief in the 2012-00535 case, wherein it spent fully sixteen (16) pages explaining the tight fit between its rate increase requests and the Mitigation Plan, including the following:
"In light of Big Rivers' unique circumstances, as discussed in Section IV.A., Mr. Bailey has similarly requested 'the Commission to evaluate [Big Rivers'] rate request not just on the basis of the current factual circumstances, but also on the basis of the long-running historical context and reasonable future opportunities for Big Rivers and its members."\textsuperscript{91}
"In designing its rates and planning for its operations after Century's termination, Big Rivers planned for long-term success and developed an operational strategy likely to produce long-term benefits to its Members, and their member-owners."\textsuperscript{92}
\textsuperscript{87} Bailey cross-examination, Jan. 7, 2014 VTE at 11:11:05 - 11:24:00.
\textsuperscript{88} Wolfram Rebuttal Testimony, p. 3, l. 23.
\textsuperscript{89} Barron cross-examination, Jan. 9, 2014 VTE at approximately 10:31:00.
\textsuperscript{90} Case No. 2012-00535, Order on Rehearing, dated Dec. 10, 2013, p. 8.
\textsuperscript{91} Post-Hearing Brief of Big Rivers, Case No. 2012-00535, July 26, 2013, at p. 38, l. 12. Vice-Chairman Gardner, during Mr. Bailey's cross-examination, also inquired concerning this statement. Jan. 7, 2014 VTE, at approximately 16:23:00.
\textsuperscript{92} Id. at p. 37, l. 20.
Every element of these statements are critically relevant to BREC’s future. The Mitigation Plan is inextricably related to Big Rivers’ rate increase requests, and Big Rivers cannot now claim it is irrelevant. The Commission should not condone or accept BREC’s strategic attempt to put the Mitigation Plan “off limits” for inquiry now that both the Commission and the intervenors have devoted substantial analysis to both its viability and the reasonableness of its assumptions and forecasts.
As BREC describes, the Mitigation Plan essentially consists of three elements: “Petition the Commission for a rate increase...market all excess power...idle or reduce generation...[and] execute forward bilateral sales with counterparties, enter into wholesale power agreements, and/or participate in capacity markets.”93 The intervenors in the instant case have conducted the first thorough and comprehensive review of BREC’s Mitigation Plan.
BREC’s “Financial Forecast (2014 – 2027) 5-16-2013,”94 a spreadsheet workbook based on BREC’s Financial Model tool derives its inputs from BREC’s plans and assumptions regarding execution of the Mitigation Plan. The data and results for the first four years of this Long Term Financial Forecast are the same as the four year financial modeling that BREC presents for and includes to support its forecasted test period.95 This Long Term Financial Forecast has been presented to BREC’s Board of Directors.96
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93 Berry Direct Testimony, pp. 10-11.
94 This spreadsheet model was provided in response to PSC 2-14.
95 Warren Cross-Examination, Jan. 9, 2014 VTE at 12:08:50.
96 Id. at 12:40:20.
No financial entity – not the RUS, nor any of BREC’s other lenders, nor the credit rating agencies – have reviewed critically the assumptions regarding the Mitigation Plan that are embedded in BREC’s Long Term Financial Forecast, or the test period financial modeling. While this may be viewed as a little surprising at one level, the lack of perceived need to conduct a thorough and critical review of the Mitigation Plan and Long Term Financial Forecast is understandable especially as long as the Commission facilitates rate increases for BREC—which, by way of analogy, turns the purported three elements of the Mitigation Plan into what is essentially a one-legged stool.
Had the credit rating agencies, the RUS and BREC’s other lenders critically reviewed BREC’s Mitigation Plan, they would have discovered the following issues that would warrant their direct involvement.
A. BREC’s Mitigation Plan Fails to Analyze the Plan from a Member/Consumer Perspective, Using Basic Financial Net Present Value [“NPV”] Techniques which Consider Risk and the Time Value of Money.
As stated by the Attorney General’s expert: “Basic management and managerial finance practices would require [member benefit] statements to be supported by NPV analysis, especially since this is an exceptional watershed moment for Big Rivers and its assets/operations, over a long time horizon. NPV analysis is employed by corporate management for decisions regarding assets, capital investment and strategic
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97 Richert Cross-Examination, Jan. 8, 2014 VTE at 13:19:10.
98 Id.
99 See Berry Direct Testimony, pp. 10-11.
decisions." Big Rivers has not only failed to contradict this testimony, it has even confirmed it by: (a) recognizing that "market values are based on cash flow," yet failing to perform an NPV financial analysis of cash flows associated with its proposed Mitigation Plan to more adequately inform the Commission, lenders and financial entities regarding perhaps the most important strategic decision of its existence; and (b) stating that "asset decisions must be made with a long term view," yet failing to perform NPV financial analysis of cash flows set forth in its Long Term Financial Forecast—which in turn embodies the Mitigation Plan's assumptions—to more adequately inform the Commission, lenders and financial entities of what, once again, is arguably the most important strategic decision of its existence.
There is a startling contrast between the aggressiveness with which BREC asserts its actions are for the benefit of its members and with what arguably appears to be an intentional blind view BREC management takes regarding basic financial management NPV analysis for a watershed moment in its corporate existence. The Attorney General, utilizing BREC's own Long Term Financial Forecast as presented to its Board of Directors, which embodies the Mitigation Plan's analyses and assumptions, did what BREC failed to do by performing an NPV analysis. This Member Benefit Analysis clearly shows that "continued ownership of [the Coleman and Wilson plants] costs Big
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100 Attorney General’s Direct Testimony of David Brevitz, p. 36, l. 14 – p. 37, l. 2.
101 Bailey Cross-Examination, Jan. 7, 2014 VTE at 12:27:10.
102 BREC Post-Hearing Brief, Case No. 2012-00535, p. 38, fn. 174 (citing Bailey Rebuttal Testimony at p. 10, lines 17-22).
103 Brevitz Direct Testimony at pp. 37 – 39; Holloway Direct Testimony, Exhibit Holloway-3, “Member Benefit Analysis for Rate Treatment of Coleman and Wilson Costs.”
Rivers' members far more than any future benefits" estimated under the Long Term Financial Forecast.
BREC criticizes the use in the Member Benefit Analysis of a 10% discount rate for distant revenues from off-system sales and replacement load. However, it is entirely appropriate in this instance to use differential discount rates, since the revenue sources are entirely different in nature. Discount factors are used to reflect risk. The two estimated revenue streams are of entirely different natures. The revenues from member consumers are public utility in nature, and associated with demand for an essential service in a certificated territory with no direct competition. A lower cost-of-service level discount rate is appropriate here, and the Member Benefit Analysis uses a 5% discount rate representing BREC's cost of debt for this less risky, currently existing revenue stream. On the other hand, the estimated revenue streams from replacement load and off-system sales are competitive in nature, and are characteristic of a merchant generator operation, with all the high risks that pertain to such an operation. Use of a significantly higher discount rate is clearly warranted in this case, and in fact the 10% discount rate used in the Member Benefit Analysis is conservative, and could have been higher to reflect the cost of capital associated with a merchant generator.
Further proof of the appropriateness of the 10% discount rate can be derived from the Commission's own experience in electric utility rate cases. The overall rate of return requested by electric companies in state public utility rate cases commonly is
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104 Holloway Direct Testimony, Exhibit Holloway-3, p. 2.
105 Wolfram Rebuttal Testimony, p. 17, line 11.
106 Brevitz Direct Testimony at p. 44, line 2.
10% or higher (although the Attorney General and other intervenors frequently challenge ROR requests which they believe are inappropriate and unjustified). Seen in this light, use of the 10% discount factor in the Member Benefit Analysis for estimated merchant generation revenues from load replacement and off-system sales is conservative.
B. BREC Fails to Assess and Consider the Market Value of Coleman and Wilson in Setting a Sale Price for those Plants, as Opposed to Their Book Value.
It is evident in this case that BREC has tunnel vision and intends to retain the two idled power plants through higher rates charged to remaining consumers unless a buyer materializes that is willing to pay a premium for the plants. BREC states it has been actively engaged in trying to sell the plants, and "has offered them to many who have had requests for power." When asked by staff counsel about pricing relative to market value of the plants, BREC stated it "hadn't done any analysis" of the market value of the plants. When asked if the attempted sales are at or above book value, BREC stated it had "priced them at a modest increase above book value level." BREC further states that its lenders have not been approached regarding any proposal or sale of plants, whether at NBV or below.
BREC has maintained through both Case No. 2012-00535 and the current case that it has performed no studies or analyses regarding market value, and thus has no information on the market value of the Coleman and Wilson plants. However, in the
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107 Bailey Cross-Examination by Staff Counsel, Jan. 7, 2014 VTE at 15:39.
108 Id., 15:38.
109 Id., 15:40:39.
110 Richert Cross-Examination by Staff Counsel, Jan. 8, 2014 VTE at 12:41 – 12:43.
hearing BREC disclosed it “has obtained some information” on the market value of its plants. In response to questioning from the Attorney General, BREC indicated “We have obtained some information on what plants are currently selling for or had sold for, so we had some of that information.”\(^{111}\) BREC stated it “demonstrated that information to the Board.”\(^{112}\)
However, without explanation, Mr. Bailey indicated he “wasn’t the direct recipient of that [market value study] information, but I am aware of it,” which begs the question of who was the direct recipient of that information regarding such a crucial matter, and why wouldn’t the CEO be a direct recipient of that crucial information. But the matter became even more vague and uncertain when Mr. Berry, asked whether the company had made any effort [BEGIN CONFIDENTIAL] [END CONFIDENTIAL].\(^{113}\)
The market value information to which BREC was referring thus remains unknown, in spite of clear data requests from Commission Staff and the intervenors to provide such information. Based on BREC’s circuitous and non-substantive responses, the intervenors must conclude that BREC is trying to hide something.\(^{114}\) BREC to date has failed to explain why it did not provide this market value data in response to data
\(^{111}\) Bailey Cross-Examination, Jan. 7, 2014 VTE, at 12:28.
\(^{112}\) Bailey Cross-Examination, Jan. 7, 2014 VTE at 12:28:45.
\(^{113}\) Berry Cross-Examination, Jan. 8, 2014 Confidential VTE at 20:05:24 – 20:06:13.
\(^{114}\) See BREC Response to Sierra Club 1-38 in the current case, which references BREC Response to Sierra Club 2-6 in Case No. 2012-00535, which further references BREC Response to PSC 2-18 in Case No. 2012-00535, and ultimately provides no information on market value of the generating plants.
requests for this information in spite of its statement in response to PSC 2-18 in Case No. 2012-00535 that such information is provided and attached. The confidential response to PSC 2-18 states: [BEGIN CONFIDENTIAL]
[END CONFIDENTIAL] Yet BREC failed to provide the attachment which it clearly indicated was to be provided. Later, when BREC filed its petition for confidential treatment regarding that response, BREC stated that it would provide this information only to the PSC, and not to the intervenors, despite the fact that all intervenors had signed binding confidentiality agreements with the company. This is one clear confirmation of Commissioner Breathitt’s observation that “we are only getting bits and pieces of the financial picture.”
The Commission should require BREC to provide this attachment forthwith to it and the parties, along with a clear explanation of why it did not provide the attachment in a timely fashion. If it is not clear from the attachment who the intended “direct recipients” of the information were, the Commission should require BREC to state who were the direct recipients of the information, and equally important, why the CEO of the organization would not be a “direct recipient.” Finally, the Commission
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115 BREC Confidential Response to PSC 2-18, at p. 4, l. 13.
116 Richert Cross-Examination by Commissioner Breathitt, Jan. 8, 2014 VTE at 12:44:45.
should permit supplemental briefing limited to this issue, to be filed promptly upon provision of the attachment to the intervenors.
C. BREC Shifts Financial Costs and Risks Associated with the Mitigation Plan to Existing Members and Consumers for an Indefinite Time Period.
Under the Mitigation Plan, BREC’s members and their retail ratepayers are expected to pay the substantial fixed costs associated with two extra power plants that are not used or useful in producing the power those members consume—in addition to paying for the two power plants that do produce power necessary to serve their needs. The Mitigation Plan therefore requires consumers to underwrite the risks associated with sales efforts seeking load—or, merchant generation. The time period for which member/consumers are obliged to bear this heavy financial burden under BREC’s plan is unknown, but estimated in BREC’s Long Term Financial Forecast to be the better part of five years, at minimum. The Attorney General has quantified this heavy burden through the Member Benefit Analysis\(^{117}\)—and was obliged to do so by BREC’s failure to back up its claims of “member benefit” using the net present value technique associated with standard “best practice” financial management.
The heavy burden of this cost and risk is epitomized by the fact that BREC knows of no prior circumstance or example where a utility has idled a generation plant and then brought it back into service five years later\(^{118}\)—let alone idling two generation plants and bringing them back into service five years later. The actual return to service
\(^{117}\) Holloway Direct Testimony, Exhibit Holloway-3, “Member Benefit Analysis for Rate Treatment of Coleman and Wilson Costs.”
\(^{118}\) Wolfram Cross-Examination, Jan. 9, 2014 VTE at 14:03:30.
of the two generating plants to be idled under BREC’s Mitigation Plan is truly uncertain and dependent on many unknown circumstances associated with future developments in the energy sector. This leaves the heavy burden of cost and risk on consumers served by BREC for an indeterminate time, which is unacceptable to BREC’s ratepayers.
D. BREC’s Mitigation Plan’s Assumptions Regarding the Value of Wilson and Coleman have Significantly Changed; Assumptions Regarding Development of Replacement Load are Unrealistic and Unfounded
In Case No. 2012-00535, the Mitigation Plan’s assumptions as to the future value of both the Wilson and Coleman plants was based upon inconsistent assumptions regarding wholesale prices of electricity. Those assumptions, which have never been based upon solid forecasting, showed a huge jump in price in 2019 which in the hearing of Case No. 2012-00535 was referred to as a “hockey stick” curve. BREC claimed it would be economical to bring Wilson and Coleman back on-line at the inflection point of the “hockey stick” because of this optimistic, inconsistent forecast. However, in the instant case, BREC now states that the value inherent in Wilson and Coleman lies in projections of replacement load which BREC believes it could find and serve.
Regardless of the apparently changing nature of the Mitigation Plan’s assumptions, they remain highly unrealistic because: (a) BREC is merely hoping\(^{119}\) that it can obtain 800 MW in replacement load by 2021, which it further believes can be priced at 25% above market prices;\(^{120}\) and (b) BREC’s assumptions fail to take into
\(^{119}\) See BREC’s response to KIUC 2-7.
\(^{120}\) See Hayett Direct Testimony, pp. 11-12.
consideration critical environmental requirements.\textsuperscript{121} Moreover, assuming BREC can find 800 MW of replacement load by 2021, which it believes it can, that replacement power alone would be significantly greater than BREC’s current entire native load.\textsuperscript{122} Whereas BREC believes its system will grow by a compound average growth rate of 17.5% beginning in 2015,\textsuperscript{123} the U.S. Energy Information Administration forecasts that national load growth will only be 0.9% over this period.\textsuperscript{124} This means that essentially all of BREC’s estimated replacement load must be taken from other entities currently serving that load—with all which that scenario entails, including the great lengths to which the entities currently serving the respective loads will go to in order to maintain the customer relationship.
BREC’s replacement load estimate is the product of an insular process which did not include testing of the assumptions for reality in the outside world, or otherwise subjecting them to external review. Economic development entities in the BREC area were “not invited” to review BREC’s projection of replacement load.\textsuperscript{125} BREC did not seek the expertise of economic development professionals in the creation of the load replacement estimates\textsuperscript{126}—even though the load replacement clearly relies on economic development activities. The apparent lack of any economic development expert input in BREC’s development of its Economic Development rate, which is part of BREC’s plan
\textsuperscript{121} \textit{Id.} at p. 39, l. 18 – p. 40 l. 2, discussing additional costs that should be included in the Wilson and Coleman restart analysis for CO2, MATS, CCR and the Cooling Water Intake Rule.
\textsuperscript{122} \textit{Id.} at p. 14.
\textsuperscript{123} \textit{Id.} at p. 22, lines 1-6.
\textsuperscript{124} \url{http://www.ela.gov/forecasts/aeo/pdf/0383(2013).pdf} at p. 71.
\textsuperscript{125} Bailey Cross-Examination, Jan. 7, 2014 VTE at 12:10:50.
\textsuperscript{126} Barron Cross-Examination, Jan. 9, 2014 VTE beginning at approximately 9:37:00 – 9:38:00.
to attract replacement load, is as extraordinary as it is lacking. No external parties were involved in the development of the load replacement estimates\(^{127}\) — they were created solely within the four walls of BREC offices. Load replacement projections were "sketched out on the white board" at BREC, and "more closely resemble 'plug' numbers necessary to make the [financial] projections 'work.'"\(^{128}\) This insular approach to development of load replacement assumptions for the Long Term Financial Forecast is the main support for BREC's claim of "member benefit," and the Commission should find it wanting of any robust analysis and derivation, or external input or review.
**E. BREC Again Relies Upon Higher Market Prices to Resolve Financial Problems Arising from Excess Capacity**
In the Unwind case, BREC advised the Commission it should have no concerns if the smelters terminated their special contract agreements since BREC would simply sell the excess power on the market at projected high market rates, and make even higher margins.\(^{129}\) This reliance on projected high market prices proved highly inaccurate and damaging. Now, in the two smelter contract termination cases before the Commission, BREC again relies upon projections of higher market prices to justify its rate requests, and endorse its Mitigation Plan. The Commission should not rely upon projections of higher market prices within BREC's Long Term Financial Forecast to address BREC's significant financial issues caused by excess capacity in the form of two generating plants which are not used or useful in the provision of public utility service. The Commission need look no further than BREC's prior reliance on market price forecasts,
\(^{127}\) *Id.* at 9:37:50.
\(^{128}\) Brevitz Direct Testimony, p. 42, line 1.
\(^{129}\) *See, e.g.,* Blackburn Rebuttal Testimony, Case No. 2007-00455, pp. 14-15.
especially in light of the testimony of BREC’s own witness, Mr. Mabey, for why it should not rely upon projections of future market prices:
Q.: “Would it concern you that under the long-term financial plan, the company reaches a 1.24 TIER only twice out through 2027?”
A.: “It doesn’t concern me because in my modest experience, in predicting electrical power costs and demand over the years it has been singularly unreliable. And I don’t think you can project reliably very far in the future. Certainly we were burned by Southern Montana G & T Coop, [which] is in bankruptcy right now because it bet wrong with respect to costs of power. I’m just a little skeptical about long term projections.”\(^{130}\) [Emphasis supplied by the Witness].
BREC’s recent history demonstrates the severe consequences to consumers from relying upon market price projections, which in the words of BREC’s own witness are “singularly unreliable.”
F. BREC’s Mitigation Plan Contains Inherent Inconsistencies and Problematic Assumptions, and Fails to Reflect Price Elasticity of Demand.
There are numerous inconsistencies and problematic assumptions associated with BREC’s Mitigation Plan. As described above, BREC’s continued rate increase requests will not provide it with financial stability. This will make it “difficult at best to attract new large industrial customers who will see the prospect of continued rate increases to support excess capacity in a coal-based generation fleet subject in addition to uncertainty over expected more stringent pollution control regulations.”\(^{131}\) Furthermore, there will be stiff competition among competitors for this load, including but not limited to the Tennessee Valley Authority (TVA). “TVA has suffered a
\(^{130}\) Mabey Cross-Examination, Jan. 8, 2014 VTE at 15:43:35 – 15:44:46.
\(^{131}\) Brevizt Direct Testimony, p. 25, l. 9. Note that BREC recognizes this increased cost in its proposals attached to PSC 2-18 in Case No. 2012-00535, but refuses to acknowledge this cost in its financial modeling for the forecasted test period or in its Long Term Financial Forecast.
'staggering loss' in power sales ..., down $1.5 billion in the past five years.' This will spark an effort by TVA to set rates at competitive levels in order to attract and retain large industrial customers."\textsuperscript{132}
One large customer TVA has lost due to closure is USEC’s Gaseous Diffusion Plant in Paducah, which is directly adjacent to BREC member Jackson Purchase’s service territory. This plant has a large, highly-paid workforce \textsuperscript{133} so with its closure, "... Jackson Purchase sales to consumers and small businesses will be reduced as the impact of reduced employment ripples through the economy in the area. There is both a direct and indirect effect of reduced employment from plant closure that will affect Jackson Purchase sales."\textsuperscript{134} Despite its own member Jackson Purchase’s concern about this impact on sales, BREC decided not to recognize this in its load forecast associated with this case and the financial modeling presented in it.\textsuperscript{135} This means that BREC’s Long Term Financial Forecast as it incorporates the Mitigation Plan assumptions overestimates revenues and margins going forward, to the extent of the impact of the USEC plant closure on sales. While Kentucky policymakers, including the Attorney General have taken extraordinary steps to ensure the retention of jobs and the continuing efficacy of USEC site for Western Kentucky, BREC’s management and experts turned a blind eye to this issue, despite being warned by its own member.
\textsuperscript{132} Id., p. 26, l. 9 (quoting "TVA Chief Works to Slim Down Agency," Chattanooga Times Free Press, October 11, 2013).
\textsuperscript{133} Id. at p. 26, l. 14 (citing "The Effects of Losing USEC"; The Paducah Sun, September 15, 2013).
\textsuperscript{134} Id. at p. 26, line 16 – p. 27, l. 3.
\textsuperscript{135} Id., p. 27.
This is not the only example of this selective sight with the Mitigation Plan. BREC’s treatment of the large industrial class under the Mitigation Plan is internally inconsistent and entirely problematic. BREC proposes substantial rate increases for Large Industrial customers at the same time it is attempting to attract new load by offering discounted economic development rates. The large gap between the higher proposed rate for existing large industrial customers and the $7.50 proposed economic development rate\(^{136}\) will create substantial discord regarding discriminatory and preferential rates. The proposed economic development demand rate of $7.50 is substantially lower than the proposed Large Industrial demand rate in this case of $17.979. The questions which BREC expressed in its presentation to the Kentucky Economic Development Cabinet make clear the discriminatory and preferential nature of the proposed economic development rate — BREC questioned how the rate can be “fenced in” and kept away from existing large industrial customers: “Should the [economic development rate] only apply to new businesses to avoid existing industries from gaming the system by renaming a business to capture the EDR pricing? i.e. Avoid having XYZ company change its name to ABC company to access the rate?”\(^{137}\) BREC also notes other inherent problems with economic development rates there, such as how to handle terminations prior to contract expirations.
\(^{136}\) See BREC Response to Post-Hearing Data Request No. 18, Big Rivers’ Presentation on “Economic Development in Western Kentucky,” as presented to the Kentucky Economic Development Cabinet, May 2013, at p. 14. Although BREC’s Response to KIUC 2-36 on October 1, 2013 claimed this rate as confidential, and was treated as such in testimony and at hearing, it had obviously been publicly disclosed several months prior to that date. BREC’s reason for the confidentiality claim well past public disclosure of the rate has not been explained.
\(^{137}\) Id. at p. 15 [Emphasis in original].
BREC claims that "discounted rates are not an issue in this proceeding,"\textsuperscript{138} but this is entirely inconsistent with the Mitigation Plan's emphasis on attracting replacement load, and the reliance on replacement load contained in BREC's modeling of the Mitigation Plan's execution in its Long Term Financial Forecast. In yet a further material inconsistency, BREC's Long Term Financial Forecast does not use and include the proposed economic development rate applied to load replacement estimates. Load replacement "revenues are calculated using a different and higher rate."\textsuperscript{139} This will lead to lower revenues than estimated in the Long Term Financial Forecast with all the implications that would be associated with lower revenues, including deferred rate reductions, deferred restart of plants, etc.
Another problem with the Mitigation Plan is that BREC intentionally uses no, or low, price elasticity of demand in its load forecasting, which in turn is incorporated into the Long Term Financial Forecast that assumes execution of the Mitigation Plan. BREC assumes no price elasticity of demand for large industrial customers \textsuperscript{140} and assumes low (short-term) price elasticity of demand for rural consumers, which is based on historical prices that did not include any large or significant price increases.\textsuperscript{141} Even this low, short-term estimate of price elasticity of demand produces an estimated 15.12% reduction in usage by the average customer.\textsuperscript{142} BREC's choice to assume no price elasticity of demand for large industrial customers, and a low, short-term estimate
\textsuperscript{138} Bailey Cross-Examination, Jan. 7, 2014 VTE at 11:16:30.
\textsuperscript{139} Brevitz Direct Testimony, p. 31, l. 17.
\textsuperscript{140} BREC Response to PSC 2-20.
\textsuperscript{141} Brevitz Direct Testimony, p. 31, l. 2.
\textsuperscript{142} Id. at p. 30, l. 15.
for rural consumers appears to be intentional in order to understate the rate increases necessarily associated with BREC’s Mitigation Plan.\textsuperscript{143}
It is an axiomatic rule of economics that the change in price of a good or service will cause a demand response among consumers.\textsuperscript{144} With its choice to assume zero demand elasticity for large industrial customers, and low, short-run price elasticity for rural consumers, BREC is again giving the Commission “bits and pieces”\textsuperscript{145} of its financial picture by employing these clearly understated assumptions in the financial modeling it presents to the Commission and the intervenors. Under basic principles of economics, there will surely be significant demand response to the significantly increased prices proposed by BREC. Big Rivers demonstrates a cavalier attitude to the large industrial customer class, by assuming those customers will just “pay up” and not make any response or adaptation to significantly increased prices. This is clearly contradicted by the testimony of the KIUC intervenors, and by analysis of current trends by reputable sources such as \textit{The Wall Street Journal}.\textsuperscript{146} Rural price elasticity of demand is underestimated by use of price history in the statistical analysis that is relatively smooth and contains no significant price increases, and moreover by use of the short term measure rather than long term. As a “simple rule of thumb, long run elasticities are about twice the level of short run elasticities.”\textsuperscript{147} Significant demand response intentionally understated by BREC in its load forecasting will create a revenue
\textsuperscript{143} Barron Cross-Examination, Jan. 9, 2014 VTE at 10:29:30.
\textsuperscript{144} Brevitz Cross-Examination by Vice Chairman Gardner, Jan. 9, 2014 VTE at 18:47:30 – 18:48:45.
\textsuperscript{145} Richert Cross-Examination by Commissioner Breathitt, Jan. 8, 2014 VTE at 12:44:45.
\textsuperscript{146} Brevitz Direct Testimony, at page 24, line 5, citing “Power Play: Companies Unplug from Grid, Delivering Jolt to Utilities”; \textit{The Wall Street Journal}, p. 1, September 18, 2013.
\textsuperscript{147} Cross-Examination of Dr. Ackerman, Jan. 9, 2014 VTE at 17:25:40 – 17:26:11.
shortfall which BREC has intentionally not recognized in its financial forecasting, which—all other things equal—will in turn place BREC before the Commission, sooner rather than later, with another significant rate increase request—quickly on the heels of the immediate two cases.
One of BREC’s own members —Jackson Purchase—recognizes the impact of price elasticity, and expressed the view that large rate increases and USEC plant closure will “surely also have an effect on consumption.”\(^{148}\) This guidance apparently went unavailing at BREC, which continued in the direction of underestimating price elasticity of demand impacts on its financial picture in order to make its rate request appear less shocking. The environment has changed, and today’s consumers are much more frequently thinking about energy efficiency. Increased rates will cause demand response, and this is typified by the public comment of one consumer, stating that in anticipation of the impact of the first rate increase “I unplugged everything I possibly could, [but] my utility bill went up $50 the next month. How do you explain that?”\(^{149}\)
The directionality of all the above inconsistencies or problematic assumptions regarding the Mitigation Plan, as it is estimated by BREC to be executed in its Long Term Financial Forecast, is to overestimate the amount and pace of revenue generation, and consequently paint for the Commission and the intervenors a “rosy scenario” where everything works out if the Commission will just give BREC its rate increases. The Commission should be very concerned at BREC’s measured feeding of “bits and
\(^{148}\) Brevitz Direct Testimony, p. 27, l. 20 (quoting email from Chuck Williamson of Jackson Purchase to John Hutts of GDS Associates, copying Michael Mattox and Lindsay Barron, from BREC’s Response to KIUC 1-92, Attachment, p. 133).
\(^{149}\) Comments of Pam Hazelwood, Dec. 16, 2013 Public Comment Session, Video Transcript at 27:45.
pieces\textsuperscript{150} of crucial financial information, and should take no further steps down the path of rate increases sought by BREC.
Both The Attorney General and BREC point out the importance and appropriateness of the Commission considering the history of this public utility in making its determinations in this case. As demonstrated above, there has been a long history of concern regarding excess generating capacity, dating back to the 1980's.
Consistent with its history, and especially as established in the Unwind Case, BREC again relies on projected higher market prices to bail it out of the financial problems caused by the severe mismatch between system capacity needed to serve its members, and its total owned generating capacity. In its rendition of history, BREC leaves out these important facts and asks the Commission to accept a "one-legged stool" approach, effectively relying on proposed rate increases which will break consumer budgets, and significantly worsen business conditions in the regional economy—while nonetheless expecting (contrary to all logic) that it will be able to attract new load to the area. Additionally, BREC leaves out its long-standing excess capacity problems, and again relies on projected higher market prices for salvation—which projections BREC's own witness states are "singularly unreliable." BREC's lenders have knowingly continued to advance funds to it despite at least two opportunities in connection with new financing (the Unwind transaction, and the July 27, 2012 refinancing transaction) to work with BREC to develop a robust approach to dealing with its load concentration and excess capacity.
\textsuperscript{150} Richert Cross-Examination by Commissioner Breathitt, Jan. 8, 2014 VTE at 12:44:45.
BREC’s excess scale is a much larger problem than consumers can support. BREC’s current significant efforts to sell its excess power and capacity should be lauded and should continue, but it must be recognized that is not a permanent solution to addressing the excess scale of BREC’s system. Sales efforts are necessary now, but the ultimate focus of BREC and its lenders needs to be on reducing scale during these sales efforts.
4. **BREC’s Lenders Should Bear Their Portion of the Risk**
As is the case with every commercial lender, BREC’s lenders have various levels of control over significant management decisions. For several decades, BREC’s sophisticated lenders were aware of the unique risk that the utility faced in providing service to two aluminum smelters. At the time of the Unwind Case, however, BREC’s lenders apparently failed to insist that the smelters be held to long-term contracts with BREC, which would have provided a more reliable revenue stream for BREC in order to repay its loans.
This lack of comprehensive financial oversight in fact continued into BREC’s latest major re-finance case, Case No. 2012-00119, in which the RUS approved BREC’s request for over $500 million in new financing despite being made aware of the fact the smelters were seriously considering leaving BREC’s system\(^{151}\) – and that is exactly what happened mere weeks following the closing of that financing.
\(^{151}\) See BREC Disclosure Statement dated July 12, 2012, OAG Hearing Exhibit 8.
This Commission should do just as the Kentucky Commission did in Case No. 9613, when — quite significantly — it refused to agree with BREC and its creditors in their pursuit of a continuous base rate case solution:
We emphatically reject the claim of REA, the banks, and Big Rivers that the members of the cooperative ultimately bear the total risk and responsibility for the utility's debts. The distribution cooperatives and their members do not stand in the same position as shareholders of an investor-owned company. The REA, with its oversight and monitoring responsibility, bears a substantial amount of the risk associated with Big Rivers' actions. The creditor banks are compensated for the risks they take. Cooperative members must shoulder a portion of the risk, too, since they have a say in the affairs of the utility. Nor are the aluminum companies exempt from responsibility. [Emphasis added.]
The PSC in that case correctly, and courageously, moved down a path of placing at least some of the risk where it belonged: on BREC's lenders, who were well-aware of the great degree of risk BREC took upon itself when it became a utility primarily geared toward serving two individual loads, which together comprised approximately 70% of its total load. BREC's ratepayers are truly captive to management decisions, and have no alternatives. As the PSC noted in Case No. 9613, ". . . BREC's ratepayers, unlike shareholders in investor-owned utility, do not vote their stock in proportion to their economic interest, nor could they sell their stock if they disagreed with management decisions."
Despite the fact that BREC, during the last thirty (30) years has not been able to diversify its load, the lenders continued to provide access to capital. As noted above, the lenders in fact continued to provide BREC with access to capital despite BREC's
152 Case No. 9613, Order dated March 17, 1987, at p. 19.
153 Id. at 30.
disclosure statement which made it abundantly clear that the smelters’ departure from the BREC system was imminent.\textsuperscript{154} Clearly, BREC’s creditors served to extend the co-dependent relationship between BREC and the smelters by continuing to provide capital — a co-dependent relationship which they knew was headed toward a day of reckoning.
In a separate case arising out of the construction costs associated with the abandoned Marble Hill, Indiana nuclear power plant, the Seventh Circuit Court of Appeals, in invalidating two REA regulations by which the agency attempted to assert jurisdiction over utility ratemaking in the event of a utility bankruptcy, also found that lenders should share in the risk. In that ruling, the court noted:
“As with any other lender, the REA assumes the business risk of advancing money to a specific organization, the risk that the organization will not be able to repay. Given the history and function of the RE Act, the scope of this risk incorporates the possibility that state regulation may occasionally impede the ability of power supply cooperatives to repay their loans. One could reasonably argue that the structure and operation of the subsidies provided through the REA reflect a congressional preference for the government’s bearing this risk, rather than cooperative members. In any event, it is clear that the REA may not dictate who shall bear the risk because that would amount to the agency conferring power on itself.”\textsuperscript{155}
[Emphasis added.]
The need for BREC and the Commission to involve its lenders is obvious, and one wonders why BREC is “scared” to talk to them under present circumstances. BREC’s lenders should be involved now while an effective workout plan \textit{can} be reached, rather than wait until it is too late, the economic environment has been
\textsuperscript{154} See OAG Hearing Exhibit 8 (BREC Disclosure Statement, dated July 12, 2012).
\textsuperscript{155} Wabash Valley Power Ass’n v. Rural Elec. Admin., 988 F.2d 1480, 1491 (7th Cir. 1993).
severely damaged by excessive rate increases, and the "death spiral" is accelerating. BREC cannot gain financial stability from rate increases of the size sought in these cases. Under that path the Commission should expect to see more and more BREC cases filed, under increasingly urgent circumstances, and with fewer available options.
5. Revenue Requirement
A. Summary of Revenue Requirements
The Attorney General ("OAG") urges that the Commission not award any new revenues to Big Rivers in the instant case, and that its TIER be set at 1.10, based upon the Direct Testimony of Bion Ostrander.\(^{156}\)
The OAG's recommendation is all the more relevant now that the results for BREC's calendar year 2013 reveal that the company is apparently earning a "normalized" TIER of 1.5 for the twelve months ending December 2013,\(^{157}\) reflecting margins of $21.7 million. This would mean that BREC's margins have been doubled from what the PSC authorized in Case No. 2012-00535. This additional level of margins will be enhanced because BREC, in an apparent effort to recoup revenues which the PSC did not authorize in Case No. 2012-00535,\(^{158}\) reduced its forecasted revenues by $8.937 mil.
\(^{156}\) Ostrander Direct Testimony, p. 12, 21-52 and related exhibits. See also Brevitz Direct Testimony, and Holloway Direct Testimony.
\(^{157}\) See BREC's Attachment to its 7th Updated Response to PSC 1-43. This figure is based on removing the unusual A&G expense reported for Dec. 2013. In both 2012 and 2013, Big Rivers' average A&G per month from Jan. - Nov. was $2.2 million. In Dec. 2012, the A&G was $2.6 million. If the Dec. 2012 amount of $2.6 million is used as the "normalized" amount for Dec. 2013 in lieu of the actual Dec. 2013 amount of $15.2 million, then the 2013 margin will increase from $8.7 million actual to $21.7 million, resulting in a 1.5 TIER.
\(^{158}\) See Wolfram Rebuttal Testimony, p. 32.
Mr. Ostrander provided two adjusted revenue requirement options (both using a 1.10 TIER) for the Commission to consider, both of which show that rate increases are not necessary. Option 1, the primary recommendation, removes BREC’s $71.2 million\(^{159}\) estimated revenue requirement impact related to the loss of the Sebree smelter through Adjustment OAG-1-DB. Option 2, the alternative recommendation,\(^{160}\) follows a traditional rate case approach and removes certain expenses related to idling both Wilson and Coleman plants along with other rate case adjustments. Two revised adjustments pertaining to Option 2 are described below.
In OAG-4-BCO Mr. Ostrander proposed to decrease forecasted payroll expense by an amount of $3,594,280 because BREC’s forecasted payroll costs were excessive and unreasonable.\(^{161}\) However, in response to Staff Data Request Question No. 7, Mr. Ostrander provided a revised adjustment is more accurate and more consistent with the actual increased reduction in BREC headcount.\(^{162}\)
The OAG also proposes a change to accommodate the Commission’s Final Order in Case No. 2012-00535, which was issued after the OAG’s testimony was filed. OAG-6-BCO proposed a two-part adjustment to decrease forecasted rate case expense for both Case No. 2012-00535 and the current rate case, because BREC’s filing included
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\(^{159}\) This increase from the original adjustment of $70.4 mil., as set forth in Ostrander Direct Testimony, pp. 2, 6, and 11, to the current $71.2 mil. was required based upon BREC’s revised revenue requirement. See Bailey Rebuttal, p. 6, 19-21; and Wolfram Rebuttal, page 37, Table 2. The OAG’s recommendations in both Options 1 and 2 are sufficient to offset the revised revenue requirement of $71.2 million such that no rate increases are necessary.
\(^{160}\) Ostrander Direct Testimony, pp. 1-22.
\(^{161}\) Ostrander Direct Testimony, Confidential Exhibit BCO-2, Schedule A-5, Adj. OAG-4-BCO.
\(^{162}\) This is because BREC’s actual reduction in employee levels is greater than its forecasted reduction in employee levels (as shown at the Attachment to Staff Question No. 7). Thus BREC’s actual payroll expense is less than its forecasted payroll expense included in the rate case, and Mr. Ostrander’s revised payroll expense adjustment is appropriate.
amortized rate case expense for both cases. Because the Commission’s Order allowed BREC to recover its rate case expense from the prior rate case, the OAG is withdrawing that portion of Mr. Ostrander’s rate case expense adjustment of $342,651 to be consistent with the Commission’s Order. However, the remaining portion of Mr. Ostrander’s rate case expense adjustment is not changed because the OAG is contesting BREC’s forecasted rate case expense in the current case based on different rationale.
BREC’s actual financial results for the twelve-month calendar year ending December 31, 2013 only serve to strengthen the OAG’s concerns regarding BREC’s proposed TIER, inaccurate forecasts, and understated earnings. For the twelve months ending December 31, 2013, BREC earned a “normalized” TIER of 1.50, which conclusively establishes that BREC can indeed earn an actual TIER substantially in excess of its current authorized TIER of 1.20.
Furthermore, these year-end actual results reveal BREC is earning a “normalized” margin of $21.7 million (more than double (149%) the margins of $8.7 million which the Commission authorized in Case No. 2012-00535). In fact, this normalized margin of $21.7 million is conservative and understated because it does not
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163 Commission Order issued October 29, 2013, Case No. 2012-00535, pages 27-30.
164 Ostrander Direct Testimony, Confidential Exhibit BCO-2, Schedule A-7, Adj. OAG-6-BCO.
165 Provided in BREC’s 7th Updated Response to PSC 1-43 and filed Jan. 31, 2014. This data was not available at the time the Attorney General filed his direct testimony on Oct. 28, 2013.
166 Order dated Oct. 29, 2013, Case No. 2012-00535, p. 43. The recommended authorized TIER of 1.10 does not limit the actual TIER which the Company can earn.
167 The normalization removes unusual, excessive and unsupported increases in A&G expenses for the month of December 2013. Normalization is appropriate because of the highly unusual increase in this expense—A&G jumped from $2.0 mil. in Nov. 2013 to $15.2 mil. in Dec. 2013. Average monthly A&G expense through Nov. 2013, was only $2.16 mil., which is the same average monthly A&G expense through Nov. 2012.
168 Order dated Oct. 29, Case No. 2012-00535, p. 43.
include the normalized impact of the Commission’s authorized rate increase of $54.2 million.\textsuperscript{169}
This new data also highlights significant inaccuracies in BREC’s forecasting process and the related forecasted test period, and suggest that BREC’s forecasts may have been manipulated to \textit{substantially understate its earnings and TIER}. BREC’s twelve months ending \textit{forecasted} December 31, 2013 margin of $4.95 million and related forecasted TIER of 1.11\textsuperscript{170} is substantially exceeded by the \textit{actual} December 31, 2013 normalized margin of $21.3 million and related TIER of 1.50 – indicating an understatement of actual earnings by $16.75 million ($21.3 m - 4.95 m), or 338%. It can be reasonably concluded that this same significant inaccuracy in BREC’s forecasts will carry over to its forecasted test period, based on the inaccuracy of its forecasted base period which in fact is the case.
\textbf{B. Problems with BREC’s Proposed TIER of 1.24}
The OAG’s recommendation for a 1.10 TIER is appropriate because it is the only TIER required of BREC at this time, per existing loan agreements.\textsuperscript{171} BREC’s reliance on 2011 and 2012 data from the G&T Directory to support its 1.24 TIER is misplaced and improper because: (a) the G&T Directories reflect “actual earned” TIERs which are excessive and inapplicable, or the same as “Commission-authorized” TIERs, and BREC cannot establish a direct correlation between “actual earned” TIERs and
\textsuperscript{169} Id. at p. 2.
\textsuperscript{170} BREC’s forecasted margin and related TIER for the twelve month ending December 31, 2013 were provided in BREC’s Attachment to its response to AG 1-73, p. 276. The related margin of $4.95 mil. is shown on p. 276, and the related conventional TIER of 1.11 (Case No. 2013-00199) is shown on p. 280.
\textsuperscript{171} Ostrander Direct Testimony, pp. 1-10.
"Commission-authorized" TIERs; (b) the TIER data is only a snapshot in time for some G&Ts, and actual TIERs can fluctuate from year-to-year, whereas "authorized" TIERs remain the same unless changed by regulatory agencies; (c) BREC has not shown that it is financially and operationally comparable to all of the G&T's to which it compares itself; and (d) a higher TIER does not solve BREC's greater financial problems.\(^{172}\)
6. **The Attorney General Supports the KIUC Recommended Rate Plan Regarding Use of Reserve Funds**
The Attorney General urges that the Commission not award any new revenues to Big Rivers in the instant case, and that the Company's TIER be set to 1.10.\(^{173}\) However, regardless of whether the Commission awards new revenues, the Attorney General believes that any use of the Economic Reserve and the Rural Economic Reserve ["RER"] must be conducted in a just manner. For that reason, he supports the plan which KIUC presented to the Commission during the hearing of this matter, as set forth below.\(^{174}\)
In the event the Commission awards a rate increase and establishes a specific TIER but BREC is unable to reach that TIER, then BREC would draw on the revenues from the reserve funds\(^{175}\) in order to achieve the Commission-approved TIER.
---
\(^{172}\) Ostrander Direct Testimony, pp. 1-17.
\(^{173}\) See Direct Testimony of Bion Ostrander on behalf of the Office of the Attorney General, pp. 8-9, 22-23.
\(^{174}\) The Attorney General, however, does not support that portion of the KIUC plan which calls for a rate increase to be awarded in the instant case.
\(^{175}\) Based on BREC's response to PSC 3-3, the balance of the Economic Reserve as of Aug. 31, 2013 was $66.130 mil., while the balance of the RER as of that same time was $65.350 mil.
could be accomplished by means of a monthly true-up based on actual achieved TIER contrasted with BREC's projected revenues and expenses. This approach would benefit Big Rivers because it provides financial stability, while providing more time to reach a broader long-term solution to right-size the company. This plan would also benefit ratepayers because: (a) the residential portion of BREC's Rural Class of ratepayers would continue to receive the full amount of the RER in accordance with the Commission's prior allocation; (b) it prevents or at least mitigates rate shock; and (c) it prevents BREC from either overearning or any potential underearning by removing unknown variables from the fully forecasted test year.
The KIUC rate plan calls for: (a) allowing BREC to first utilize the funds from the Economic Reserve as an offset to any potential rate increases; and (b) split the RER into two separate funds - a Rural Residential amount, and a Rural Business/Large Industrial amount. Residential members of the Rural class would still receive the full amount of funds they would even if the Commission does not accept the KIUC plan (65.4%), whereas the Rural Business/Large Industrial would receive the remaining 34.6% of those funds.\(^{176}\)
The KIUC plan will also resolve an inequity within the Rural class, which contains many businesses (primarily commercial and smaller industrials), some of which due to the nature of their respective operations consume more power than some
\(^{176}\) See also KIUC's response to post-hearing data request no. 1. Rural Residential members thus would receive 65.4% of the total RER fund balance, while the Rural Business/Large Industrial customers would receive the remaining 34.6% of the RER fund balance. The Rural Residential share would be equal to the share of the RER fund that all Residential customers would receive under BREC's proposal.
members of the Large Industrial class.\textsuperscript{177} The end effect of the KIUC plan would be to treat all business customers equally (both Rural and Large Industrial), while the residential portion of the Rural class would continue to receive all of the funds they would have received if the Commission elects to not alter usage of the existing funds.\textsuperscript{178}
7. BREC’s Filed-For Revenue Requirement Must be Reduced to Recognize Smelter Transmission and Ancillary Service Revenue
Big Rivers’ initial application failed to recognize that the company will receive quite significant amounts of transmission revenue from the smelters during the forecasted test period.\textsuperscript{179} After the Attorney General’s direct testimony pointed out this fact,\textsuperscript{180} BREC’s rebuttal testimony conceded such,\textsuperscript{181} yet asserted that its revenue requirements should not be reduced in an amount commensurate with the amount of transmission revenues it will receive from the two smelters.\textsuperscript{182} Nonetheless, BREC now proposes, in what is as least somewhat of a concession, that the smelter transmission
\textsuperscript{177} Thus, load size by itself is not the sole criterion for determining whether a business falls within the Rural class, or Large Industrial class.
\textsuperscript{178} The Attorney General believes that since the Commission created both the Economic Reserve and the Rural Economic Reserve, it can certainly alter the terms of their usage, just as the Commission did with regard to the Transition Reserve in Case No. 2012-00492, Order dated March 26, 2013. Another example of how the Commission could alter terms of usage of the two funds comes in BREC’s proposal (discussed in more detail, infra) to use the Economic Reserve as a tool to receive any transmission revenues the smelters pay to BREC.
\textsuperscript{179} See Berry Direct Testimony, p. 17, l.4-7: “... At this time, the contracts among Big Rivers, Kenergy, and Century have been filed with the Commission, but they have not been approved or executed. Until the contracts are approved and executed, it would be speculative and inappropriate to include revenues that could arise under the contracts in the forecast.”
\textsuperscript{180} Holloway Direct Testimony, p. 19, lines 11-20.
\textsuperscript{181} See Berry Rebuttal Exhibit 5.
\textsuperscript{182} See, e.g., Berry rebuttal at p. 22.
and ancillary service revenues should be used to replenish the Economic Reserve and offset a portion of any potential rate increase.\textsuperscript{183}
During the hearing in this matter, Mr. Berry testified that the Sebree smelter has increased its load from 368 MW to 385 MW, which means that BREC will receive even more transmission revenue than it anticipated ($6,000,917, contrasted with the original estimate of $5.736 million).\textsuperscript{184} Mr. Berry also testified that he did not revise the total figures for transmission revenues.\textsuperscript{185} When this revised, increased figure is placed into the chart set forth in Berry Rebuttal Exhibit 5 (which also recognizes the revenue from ancillary service provided to the smelters), the new total figure becomes $15.792 million, as follows in Fig. 1:
\begin{center}
\begin{tabular}{|l|c|c|c|}
\hline
& Century Hawesville & Century Sebree & TOTAL \\
\hline
Sch. 1 Revenue to BREC & 1,027,651 & 783,943 & 1,811,594 \\
Sch. 2 Revenue to BREC & 261,192 & 199,950 & 460,442 \\
Sch. 9 Revenue to BREC & 7,519,098 & 6,000,917 & 13,520,015 \\
Total Realized Transmission & & & \\
Ancillary Service Revenue & 8,807,941 & 6,984,110 & 15,792,051 \\
\hline
\end{tabular}
\end{center}
Fig. 1
During cross-examination of BREC witness Wolfram at the hearing, the Attorney General introduced OAG Hearing Exhibit 8 ("Allocation of Smelter Transmission
\textsuperscript{183} Berry Rebuttal p. 23, lines 12-14.
\textsuperscript{184} Berry hearing testimony, January 8, 2014 VTE at 17:01:25 – 17:02:45.
\textsuperscript{185} \textit{Id.}
Revenue to Customers"). While the Attorney General would prefer to have the smelter transmission revenue directly reduce the revenue requirement in the manner set forth in his Hearing Exhibit 8, nonetheless Big Rivers' proposal to place revenues from transmission and ancillary service to the smelters into the Economic Reserve is also reasonable. BREC's proposal would thus allow increases in smelter transmission and ancillary service revenues to immediately benefit ratepayers.
However, while Big Rivers' overall approach may be reasonable (provided the revenue is automatically passed through to the members), the Commission should adjust the allocation methodology. Currently the economic reserve is allocated to Rural and Industrial customers based on energy.\(^{186}\) However, transmission costs included in Big Rivers' forecasted test period are allocated between the Industrial and the Rural customers based on coincident peak.\(^{187}\) The difference is significant. Allocation of smelter transmission revenues to the economic reserve based on energy, instead of the proper transmission cost allocation of coincident peak, would cause the Rural customers to subsidize the Large Industrial class by over $1,200,000 a year.\(^{188}\)
If the Commission adopts Big Rivers' proposal to direct the smelter transmission revenue to the economic reserve, the Attorney General urges the Commission to also direct Big Rivers to allocate these revenues between the Rural and Industrial customers based on coincident peak, not energy. Additionally, the Commission should assure that regardless of the mechanism it orders to be used, the smelter transmission revenue
\(^{186}\) See, e.g., Wolfram cross-examination, January 9, 2014 VTE, 14:27:25 – 14:27:35 ("[The] economic reserve is based on energy").
\(^{187}\) Id. at 14:10:17.
\(^{188}\) See OAG Hearing Exhibit 8.
should immediately flow through to benefit ratepayers, as it would in an offset to revenue requirements as originally proposed by the Attorney General.
8. The Commission Should Order a Comprehensive Management Audit of Big Rivers
As has been thoroughly demonstrated in the course of the last three years, and over the course of many cases,\(^{189}\) Big Rivers has brought itself to a precarious financial situation and is at a cross-roads. Big Rivers is a utility that has lost 70% of its load, and that now seeks, on the one hand, to transform itself into a merchant operation, while on the other hand holding onto its status as a regulated utility whereby it can continue to rely on rate increases. While clinging to its internal plans for the future, which lack any independent evaluation, the true nature of this proceeding and anticipated future rate applications by Big Rivers is to seek the Commission’s approval to allow BREC to require ratepayers to fund its merchant operation. While the Attorney General wishes to fully avoid casting aspersions on the personal character of Big Rivers’ management, nonetheless the evidence presented to the Commission establishes that this company’s actions during the past several years have not been consistent with the best interests of its members and its ultimate, retail customers.\(^{190}\)
Therefore, the need for a comprehensive management audit is abundantly clear. The key goal in any such audit should be to find the most effective means to “right-
\(^{189}\) E.g., Case Nos. 2011-00036; 2012-00063; 2012-00119; 2012-00492; 2012-005353; 2013-00221; 2013-00413; and 2013-00199.
\(^{190}\) See OAG Hearing Exhibit 3, public comment letter (“whistleblower letter”) filed with the Commission Dec. 26, 2013. While the Attorney General did not introduce this letter, nor cite it in this Brief for the truth of the assertions set forth therein, nonetheless the letter should be considered in the appropriate context of the entire record.
size” Big Rivers. In Case No. 2008-00436, the Commission ordered a management audit of East Kentucky Power Cooperative which proved very beneficial to both the company, its member-owners and its retail ratepayers. There is every reason to believe that a similar result could be reached in the case of BREC. The Attorney General recommends that in addition to the items of concern to which KIUC witness Lane Kollen testified,\(^{191}\) the following items should be examined and addressed within the scope of any such audit:
- The clear contradiction between BREC’s claim that it is acting in its members’ interests, and BREC’s failure to conduct any basic financial net present value analysis from a member point of view at this critical juncture for the organization;
- The conflict between BREC’s current direction of operating as a merchant generator versus its stated mission of providing cost effective power for its members, together with its long-term history of excess capacity;
- BREC’s use of “blinders” in setting possible sales prices for generating plants which are not used and useful, and evident failure to have meaningful conversations with lenders on implications and requirements associated with sale of generating plants;\(^{192}\)
- The very close proximity in time between BREC’s closing on refinancing (July 27, 2012), and the first smelter termination notice (August 20, 2012);
- The “extraordinary level of retirements and departures this year”\(^{193}\) experienced by BREC;
- BREC’s “fear”\(^{194}\) of talking to its lenders when a workout plan is clearly needed due to the departure of 70% of BREC’s load, and consequent failure to have a robust understanding of alternative strategies;
\(^{191}\) See Direct Testimony of Lane Kollen, generally, and his cross-examination by Vice Chairman Gardner at Jan. 9, 2014 VTE at 19:32:00 – 19:40:10.
\(^{192}\) Richert Cross-Examination by Vice Chair Gardner, Jan. 7, 2014 Confidential VTE, 17:56:10 - 17:57:07.
\(^{193}\) Bailey Cross-Examination, Jan. 7, 2014 VTE at 15:34.
\(^{194}\) Bailey Cross-Examination, Case No. 2012-00535, July 1, 2013 VTE beginning after 1:08.
• BREC’s presentation to the Commission of only “bits and pieces”\textsuperscript{195} of its financial picture, with continued additional revelations only upon examination;
• Consequent failure to develop alternative runs of the Financial Forecast for management and Board of Directors review and discussion, based on robust understanding of alternative strategies;\textsuperscript{196}
• BREC’s insular approach to development of replacement load estimates—a crucial input to the Long Term Financial Forecast—without the involvement or counsel of economic development authorities, economic development professionals, especially when Big Rivers “does not personally solicit new economic development prospects”\textsuperscript{197} and thus does not have the requisite economic development experience;
• The fact that BREC’s Mitigation Plan fails to directly align the scale of its operations to its remaining customer base and member load;
• Significant public comment questioning BREC management decisions, including but not limited to the “whistleblower letter” introduced as OAG Hearing Exhibit 3; and,
• Consequent questions of whether the BREC Board of Directors has maintained reasonable independence from BREC officers and executive management, and is executing its fiduciary responsibilities, based on the above.
The Commission possesses the authority to order an audit under KRS 278.250 and 278.255. No specific acts or allegations regarding company management are required in order for the Commission to require a management audit. However, the items set forth above, together with BREC’s self-acknowledged “precarious financial position” are clearly indicative of the need for a comprehensive management audit at this stage of its corporate existence, and especially given the history of the organization with which the Commission is all too familiar.
\textsuperscript{195} Richert Cross-Examination by Commissioner Breathitt, Jan. 8, 2014 VTE at 12:44:45.
\textsuperscript{196} Warren Cross-Examination, Jan. 9, 2014, VTE about noon.
\textsuperscript{197} BREC Response to PSC 2-18, Case No. 2012-00535, at page 2, line 20.
The management audit should be conducted under the Commission's supervision. The Commission should ensure that the Request for Proposals for the management audit specify and include the above-referenced issues and areas among those to be examined, and should require that the contract with the successful bidder incorporate those specific issues and areas as well. The Commission should have a role in the evaluation of the proposals, and approve of the bidder that is selected. Moreover, any reporting requirements the Commission may impose as part of the audit should, as appropriate, include regular updates to the intervenors in the instant proceeding, including the Attorney General.
CONCLUSION
WHEREFORE, the Attorney General requests that the Commission:
(1) Deny the rate increase proposed by Big Rivers as unfair, unjust and unreasonable;
(2) Find that the generation assets proposed to be idled by Big Rivers are not used or useful and, therefore, should be excluded from rate base;
(3) Find that the evidence presented by Big Rivers, including but not limited to the Mitigation Plan, Load Replacement Estimates and Long-Term Forecasting and Projections are inherently unreliable and, therefore, Big Rivers has failed to sustain its burden of proof under KRS 278.190(3) to demonstrate that the proposed rates are fair, just and reasonable;
(4) Find (a) that Big Rivers failed to produce key documents necessary for the Commission and the intervenors to determine the true value of plants.
proposed to be idled, (b) that this information is necessary for the Commission to determine the value of this plant, and (c) that Big Rivers shall produce this information to the Commission and intervenors forthwith and that intervenors shall be permitted supplemental briefing limited to this issue, to be filed promptly upon provision of the attachment to the intervenors;
(5) Find that the rate increase proposed by Big Rivers does not result in a balance of interests, and that Big Rivers' lenders must share the risks they undertook in lending to Big Rivers;
(6) Find that the revenue requirement and the application of a TIER of 1.24 proposed by Big Rivers will not result in rates that are fair, just and reasonable;
(7) Find that the KIUC rate plan as described herein is reasonable and that the use of the Reserve Funds as proposed is consistent with the Commission's findings in the Unwind Order;
(8) Find that any and all transmission and ancillary revenues collected by Big Rivers should be used to reduce Big Rivers as-filed revenue requirement;
(9) Order a management audit of Big Rivers consistent with KRS 278.250 and 278.255 to investigate management effectiveness and operating efficiency consistent with the Attorney General's recommendations herein.
Respectfully submitted,
JACK CONWAY
ATTORNEY GENERAL
JENNIFER BLACK HANS
LAWRENCE W. COOK
ANGELA M. GOAD
ASSISTANT ATTORNEYS GENERAL
1024 CAPITAL CENTER DRIVE
SUITE 200
FRANKFORT KY 40601-8204
(502) 696-5453
FAX: (502) 573-8315
email@example.com
firstname.lastname@example.org
email@example.com
Counsel certifies that an original and ten photocopies of the foregoing were served and filed by hand delivery to Jeff Derouen, Executive Director, Public Service Commission, 211 Sower Boulevard, Frankfort, Kentucky 40601; counsel further states that true and accurate copies of the foregoing were mailed via First Class U.S. Mail, postage pre-paid, to:
Mark A. Bailey
President and CEO
Big Rivers Electric Corporation
201 Third St.
Henderson, KY 42420
Hon. Thomas C. Brite
Brite and Hopkins PLLC
P.O. Box 309
Hardinsburg, KY 40143
Hon. James M. Miller
Sullivan, Mountjoy, Stainback & Miller, PSC
P.O. Box 727
Owensboro, KY 42302-0727
Kelly Nuckols
President & CEO
Jackson Purchase Energy Corp.
PO Box 3188
Paducah, KY 42002-3188
Hon. Michael L. Kurtz
Boehm, Kurtz & Lowry
36 E. 7th St.
Ste. 1510
Cincinnati, OH 45202
Hon. Melissa Yates
P.O. Box 929
Paducah, KY 42002-0929
Edward T. Depp
Dinsmore & Shohl, LLP
101 South Fifth Street
Ste. 2500
Louisville, KY 40202
Gregory Starheim
President and CEO
Kenergy Corp.
P. O. Box 18
Henderson, KY 42419-0018
Hon. J. Christopher Hopgood
Dorsey, King, Gray, Norment & Hopgood
318 Second St.
Henderson, KY 42420
Burns Mercer
Meade County RECC
P.O. Box 489
Brandenburg, KY 40108
Kristin Henry
Ruben Mojica
Staff Attorneys
Sierra Club
85 Second Street
San Francisco, CA 94105
Thomas J. Cmar
5042 N. Leavitt Street, Ste. 1
Chicago, IL 60625
Shannon Fisk
Earthjustice
1617 JFK Blvd. Suite 1675
Philadelphia, PA 19103
this 14th day of February, 2014
[Signature]
Assistant Attorney General |
It's a fact!
A 640-pound Chester White Hog may not seem all that exciting to today's average fairgoer. But at one of the first Minnesota state fairs, it was the star attraction.
The first Minnesota State Fair was held in 1859, near what is now the intersection of Fifth Street and Marquette Avenue in Minneapolis. Highlights included a two-hour speech delivered by Kentucky politician Cassius Clay, an exhibition by fire engine companies, and a runner known as the "Flying Dutchman" that trotted a mile in 4 minutes and 11 seconds.
Early fairs emphasized agriculture and exhibited products of the Minnesota soil. Fair promoters also spent a lot of time countering reports that the Minnesota climate could not sustain a profitable agriculture.
Members of the General Legislation, Veterans Affairs and Gaming Committee saw samples of Minnesota's first lottery tickets March 29.
Scratch those tickets
The state's first lottery game will have a $5,000 top prize and is scheduled to begin April 17, says George Andersen, director of the Minnesota State Lottery.
Andersen gave an overview of the state's new lottery March 29 to the General Legislation, Veterans Affairs and Gaming Committee.
The first "scratch-off" prizes will range from $2 to $5,000. Andersen says the odds of winning a prize for the first game are about one in eight. About 4,000 retailers will be selling tickets for the first game.
Winning tickets of up to $100 can be redeemed by any retailer in the state. Winning tickets over $100 can be redeemed by mail or at one of the lottery's regional offices. Tourists can redeem their winning tickets by mail.
A scratch-off lottery ticket will cost $1 and is played by simply rubbing off the numbers — similar to the games fast food restaurants and other businesses distribute.
The bigger, on-line lotto game is scheduled to begin this fall. Andersen says about 2,500 retailers will be selling tickets for the on-line lottery. He says final decisions have yet to be made on how the game will be organized, and that he's also looking into joining Lotto America.
Andersen says 50 percent of the lottery's revenue will go to pay prizes; 25 percent will go for paying sales tax, operating expenses, and fees to retailers. The remaining 25 percent will be split
between the Greater Minnesota Corporation and the Environmental Trust Fund as the Legislature specified last year.
The lottery, part of the Department of Gaming, has about 130 employees. Its headquarters and metro regional office are in Roseville; other regional offices are located in Virginia, Marshall, Brainerd, Owatonna, and Detroit Lakes.
**Student work bans**
A measure that would restrict high school students from working past 11 p.m. on school nights withstood two moves to relax the work curfew during floor debate on the omnibus K-12 bill March 28.
The bill, sponsored by Rep. Ken Nelson (DFL-Mpls), passed the House, 129-2, with the student work provision unchanged. It was the second year in a row the House approved the measure.
It would bar 16- and 17-year-olds from working past 11 p.m. on school nights. Employers who repeatedly violate this prohibition would be guilty of a misdemeanor.
One amendment would have allowed students to work past 11 p.m. if they had written permission from their parents or guardians. The second modification would have pushed the deadline from 11 p.m. to midnight in addition to requiring written authorization from the parents or guardians.
The language was taken from a bill Rep. Len Price (DFL-Woodbury) sponsored last session that passed the House but languished in the Senate.
HF2200 now moves to the Senate for further consideration.
**Tax bill approval**
On a 94-36 vote, the House approved a measure March 27 that would cut property taxes for suburban homeowners and slightly reduce local government aid to cities, counties, and other local governments.
The omnibus tax bill would reduce state spending by $26 million for the 1990-91 spending cycle.
The bulk of that reduction would come as a result of a $17 million cut in state aid to cities, counties, and other local governments.
But the measure would also raise an additional $10.5 million in additional revenues, primarily through an increase in the corporate alternative minimum tax.
Minority Leader Bill Schreiber (IR-Brooklyn Park) says he disapproves of the way in which additional revenue is raised under the measure.
"This bill is the most unbalanced property tax program that I have witnessed before this Legislature," says Schreiber. He says even though the percentages of the property tax increases are small, they amount to a lot of money for some property taxpayers.
He says property taxes on agricultural land are going up an unprecedented amount, up to 30 percent in some parts of the state. He says that can mean a $650 increase a year. He says that's not fair because some parts of the state will only see a 10 percent increase in property taxes. He says property taxpayers shouldn't be burdened with $364 million in property taxes.
Suburban home owners would be the chief beneficiaries of the bill's provision that would reduce the tax rate to 2 percent of that portion of a home valued between 100,000 and $115,000. The current tax rate is 3 percent.
Rep. Paul Ogren (DFL-Aitkin), author of the bill, says property taxes will rise less than under either the Senate's or governor's budget proposals. He says he also supports using some of the state's budget reserve to help lessen the budget shortfall the state is facing.
"We recognize in this body that a budget reserve made up of old taxes long since collected is better spent than egregious cuts in local government aid that result in new taxes being applied on the property tax base," he says.
He says the cuts in local government aid are neither serious nor inappropriate, and mostly amount to reductions in the growth of future aid payments.
The Senate will consider the bill next.
Sex education
A proposal that would set up limited guidelines for teaching sex education classes in K-12 schools was given final approval by the House March 28 on a 130-1 vote.
Rep. Kathleen Vellenga (DFL-St. Paul) offered the amendment that would provide schools with teaching guidelines for "age appropriate" students on contraception, sexually transmitted diseases, and abstinence, and would encourage students to make responsible and ethical decisions about their sexual behavior.
The proposal, however, wouldn't require schools to teach sex education.
Vellenga's measure significantly toned down a more strict set of guidelines that Rep. Eileen Tompkins (IR-Apple Valley) offered. Those guidelines would have, among other things, emphasized the teaching of abstinence as the only guarantee to prevent teenage pregnancies and sexually transmitted diseases. They also would have required school personnel to notify students that pre-marital sex is against the law, and would have banned the use of sexually explicit materials for Kindergarten through fourth grade pupils.
Tompkins her plan would attempt "to counteract societies' portrayal of casual sex and free love as the norm."
Vellenga voiced concern over the sexually explicit materials ban in Tompkins' amendment.
"I don't think we want to start asking teachers, school nurses, and counselors to use funny, children's words for things," said Vellenga, adding that if children only know "baby words" or the words they learn off the street, "they don't ask the questions, and if you don't ask the questions, you never get the right answers."
The sex education amendment was tacked on to the omnibus K-12 education bill, which the House also approved March 28.
Budget cuts
The Greater Minnesota Corporation (GMC) and other agencies would receive a cut in state funding under an Agriculture, Transportation and Semi-State Division proposal approved by the Appropriations Committee March 28.
The GMC would take a $10 million cut in funds if the bill is signed into law, and $421,000 would be carved from the Department of Agriculture's budget.
The budgets for the Department of Commerce and the Board of Animal Health would also be cut by more than $100,000, and $527,000 would be stripped from Department of Public Safety, with the bulk of that amount from the Bureau of Criminal Apprehension (BCA).
However, under the proposal, the BCA would receive $326,000 to fund six additional positions to enhance narcotic investigation activities in greater Minnesota.
Echoing the drug concern, the committee approved a $50,000 appropriation to the Office of Drug Policy to match a federal grant to evaluate drug control programs.
But the division did substantially increase funding to the Department of Gaming. A total of $1.6 million was allocated to the department to fund 30 positions to regulate lawful gambling.
The division also allocated $1.1 million to the Department of Public Safety for the enforcement of lawful gambling laws, provided a separate bill on lawful gambling is approved.
The division also allocated $25,000 to the Department of Agriculture for research on the use of bovine growth hormone in dairy cows, $140,000 to the Indian Affairs Council for the Indian Business Loan Program, and so that Indian remains in several Minnesota museums and universities can be properly laid to rest in accordance with Indian tradition.
A $35,000 appropriation to the World Trade Center would be used to conduct the World Export Processing Zone Association International Convention in Minnesota in May 1991. This allocation would be matched with $25,000 from other sources.
The committee also approved an allocation of $116,000 to the Board of the Arts to match a grant from the National Endowment for the Arts.
The measure now goes to the House Floor for further review.
Alternative licensure grants
In effort to draw more minorities into teaching, the omnibus K-12 education bill includes a program that would award grants to people interested in alternative preparation for teaching licensure.
A measure sponsored by Rep. Ken Nelson (DFL-Mpls) that was approved by the House March 28 on a 129-2 vote would appropriate $50,000 to the Board of Teaching for 10 grants of $5,000 each to qualified minority applicants.
As part of the fellowship agreement, recipients would have to agree to work as teachers in the district for two years upon completing the program.
Besides meeting qualification standards that include having a bachelor's
degree, the applicants also must have an offer to teach. Qualified prospective teachers would receive provisional licensure and would be supervised by a team of mentors once in the classroom. The provision also outlines how the Board of Teaching would grant licenses to participants once they’ve completed the alternative licensure program.
“These [grants] would provide mentorship. There are people who are well educated but not in the field of education,” Nelson told the Appropriations Committee March 27. “With these grants, they can be pulled into the classroom through an expedited process.”
The bill also appropriates $100,000 to assess the qualifications of all licensure candidates, and $75,000 for evaluation of the baccalaureate, post-baccalaureate, and alternative preparation programs.
**Tobacco vending machines**
Restrictions on where tobacco vending machines can be placed wouldn’t stop cities from imposing even tougher tobacco vending machine laws under a bill the House approved March 22.
The bill would require owners to place tobacco vending machines in areas inaccessible to minors under age 18 or within view of an employee. In businesses open to the general public, an employee would have to monitor vending machine sales via an electronic switch.
Rep. Sally Olsen’s (IR-St. Louis Park) amendment, approved on the floor by a 119-6 vote, would allow local governments to impose more strict regulations, including an outright ban on tobacco vending machines.
“We’re asking you not to take away the authority of the local community,” says Jerry Briggs, mayor of White Bear Lake. Nine Minnesota communities, including White Bear Lake, have enacted bans on tobacco vending machines; 14 other cities have adopted some form of restriction.
Major spending items in the bill include $12 million in funding for drug abuse prevention programs. This appropriation is part of the governor’s drug plan.
A $10 million allocation was approved for the expansion of the Children’s Health Plan for 1991. The plan would expand eligibility to all pregnant women and children from birth to age 18 — regardless of income.
A $4.8 million allocation was authorized to ensure child care for STRIDE participants. STRIDE is an employment and training program for AFDC recipients and for the eligible working poor.
The division also allocated another $7 million for alternative care grants that would allow 1,000 new elderly clients to remain at home instead of going to nursing homes.
Under the measure, the Department of Human Services would be required establish a program to pay private health plan premiums for those who have the AIDS virus. The proposal would require payment of group plan continuation coverage for 18 months after termination of employment, and payment of individual plan premiums for two years after initial application. Applicants would have to meet certain eligibility requirements.
A $1.7 million appropriation to the Department of Corrections would be used to pay for staff and support costs to open a 60-bed women’s prison at the Moose Lake Regional Center.
Lawmakers sent the measure to the House Floor.
**Grave robbers**
A bill that would require cemetery owners to report any grave robberies was unanimously passed on a 132-0 vote by the House March 27.
Bill sponsor Rep. Kathleen Blatz (IR-Bloomington) says the measure is a response to a recent incident in which a family was not immediately notified that their son’s body was stolen from a Minneapolis gravesite. Under the measure, failure to report a body theft would be a misdemeanor.
The bill awaits the governor’s signature.
**Human services**
A $115.1 million human services bill was approved by the Appropriations Committee March 29.
The measure would appropriate funds to the departments of Human services, Health, Jobs and Training, Corrections, the Sentencing Guidelines Commission, and several health-related boards.
being prevented from completely closing, says Rep. Milbert (DFL-South St. Paul). The standard was developed by Underwriters Laboratories.
Also, by Jan. 1, 1993, all garage door openers would have to have a fail-safe system that would prevent the door from closing if the reverse mechanism didn’t work.
The measure was prompted by the recent deaths of young children who were crushed by garage doors with faulty openers.
HF2393 will go to the Senate floor for further consideration.
**Maximum effort loans**
Legislators should stand up for education and fund all maximum effort school loan requests, Rep. Dennis Ozment (IR-Rosemount) told members of the House March 26.
Five of 10 requests were approved by the House as part of its omnibus bonding bill (HF2651).
Maximum effort school loans are given to districts that need to rebuild or renovate facilities because of student growth and/or health and safety problems, but lack the property tax-base to levy for the money. Just over $36.5 million between the five schools was approved. Over $86 million had been requested.
“The bottom line, folks, is that there’s a big need out there, and they’re going to keep coming back and coming back until we come up with a comprehensive plan to deal with this problem,” Ozment says.
Rep. Wayne Simoneau (DFL-Fridley), chief author of the bonding bill, says that the state, like the districts applying for the loan, can’t afford to fund all the loan requests.
“If I had an extra $50 million, I’d give you a piece of it. But the money just isn’t there,” says Simoneau.
School districts approved for loans were Osakis, New London-Spicer, Roseau, Sartell, and St. Michael-Albertville. The other five districts were Cass Lake, Farmington, Lake of the Woods, Pierz, and Dover-Eyota.
HF2651 was sent to the Senate for consideration.
**Lake Superior Center**
Creation of a Lake Superior Authority, approved March 27 by the Agriculture, Transportation and Semi-State Division of the Appropriations Committee, would get the state more involved in informing people of the role freshwater lakes play in the environment.
The authority would work with the Lake Superior Center, a non-profit corporation near Lake Superior in Duluth, to develop educational material and research projects on the significance of large freshwater lakes.
It’s important that people realize the importance of preserving and restoring large freshwater lakes, says Rep. Mike Jaros (DFL-Duluth), author of the measure.
He adds that the center would not only make freshwater educational information available to the public, but would provide scientific findings on large freshwater lakes to state, national, and international policymakers.
No money was appropriated for the authority; Jaros says backers of the proposal hope to combine public and private financing for the project. But his measure would make the authority a state agency and would establish a five-person board.
HF2459 goes now to the Appropriations Committee for further consideration.
**Campaign tax credits**
Fund-raisers during legislative sessions would be outlawed as part of a sweeping elections and campaign initiative that the Appropriations Committee approved March 27.
The measure, sponsored by Rep. Linda Scheid (DFL-Brooklyn Center), would bar incumbents and challengers from fund-raising activities during legislative sessions. Earlier this session, the House adopted a similar position as part of its permanent rules.
The election reforms bill also includes a tax credit for taxpayers contributing to political campaigns. For people filing individual returns, the credit is $50; for couples filing joint returns, the credit is $100.
“We want to encourage individuals to
contribute to political campaigns," Scheid says. "We're talking about small dollars here."
The measure would reinstate a similar tax credit that was in place prior to 1987. The committee sent HF2666 to the House floor for further review.
**School building inspections**
The state fire marshal would inspect school buildings at least once every three years under an omnibus education finance bill the House approved March 26.
The measure, authored by Rep. Ken Nelson (DFL-Mpls), follows school districts' requests of the Department of Education for building loans.
Nelson says estimates indicate that there are at least 600 school buildings over 50 years old, and that many of these haven't been maintained properly.
These buildings present fire hazards to the students using them, he says. The bill requires the state fire marshal to inspect school buildings at least once every three years, and for the commissioner of education to have final say over building condemnations and proposed new building construction.
Nelson says building loans would go to communities that don't have the money to build new facilities. They would also have to have 80 pupils in each grade with a projected enrollment growth over the next 10 years.
The program isn't expected to cost additional money because school districts will be allowed to use money from their health and safety levies. School districts would also be allowed to receive building loans from the state.
Loans couldn't be used for swimming pools, ice arenas, and other facilities the Department of Education deems unrelated to classroom education.
The committee sent HF2200 to the Senate for further action.
**Membership travel contracts**
People who sign up to join a travel group that offers discounts on hotel or travel rates could have up to 10 days to change their minds under a bill the House approved on a vote of 131-0 March 28.
The bill calls for a 10-day cooling-off period to allow people to cancel their so-called "membership travel contracts." A bill sponsored by Rep. Randy Kelly (DFL-St. Paul) originally called for a three-day cooling-off period, but the Senate version of the bill increased that time to 10 days. The House went along with the changes.
Kelly has said contract sales personnel typically employ high-pressure sales tactics to get people to sign up for long-term agreements. But the buyers of these contracts often later discovered that they could not easily cancel the contracts if they changed their minds.
"This a good strong consumer protection bill," Kelly told colleagues on the House floor.
HF1841 now goes to the governor for his signature.
**Bonding bill**
A $330.4 million bonding bill cleared its final hurdle in the House March 26. It was approved on a 112-29 vote.
More than one-third of the funds would be used to finance higher education projects. The University of Minnesota would receive $44.1 million; State University System, $27.3 million; technical college system, $25.5 million; and community colleges, $23.4 million.
Some of the University of Minnesota's big ticket items include a $17.4 million addition to the biological sciences building, renovations, and an addition to the veterinary diagnostic lab ($8.5 million).
In the human services area, $7.3 million was allotted for detailed drawings and plans for three regional treatment centers at Anoka, Fergus Falls, and Moose Lake. An additional $4.1 million was allotted for the construction of 16 additional state-operated community services homes for people with developmental disabilities.
The Department of Corrections would receive $15.1 million in bonding money, with the bulk of those funds going for the conversion of an auditorium at the Stillwater prison and the continued conversion of a section of the Faribault Regional Center into a medium-security prison. Two additional medium-security cottages are proposed for the prison at Lino Lakes.
A $14.6 million allocation to the Minnesota Pollution Control Agency (MPCA) was approved to pay for improvements to St. Paul's sewer systems, which are designed to separate storm and waste sewers. The appropriation was part of a $43.9 million allocation to the MPCA.
In the State Departments area, a $2.5 million allotment was made to the Department of Administration for completion of the first phase of the judicial building, and an additional $5 million was authorized to renovate the first and second floors of the Centennial Building.
Other allocations included a $23.2 million appropriation to the Department of Natural Resources for a variety of projects, including $4.6 million to acquire and improve public water access sites, and $1.7 million for the first phase of an International Wolf Center in Ely.
**State departments**
State agency appropriations would be slashed $21.8 million to meet the anticipated $145 million budget shortfall under a bill approved March 28 by the Appropriations Committee.
Virtually all state agencies faced budget cuts. The $7.5 million cut to the State Planning Agency would effectively eliminate the department. Other agencies would absorb the agency's duties.
Rep. Phyllis Kahn (DFL-Mpls), chair of the committee's State Departments Division, says government needs to streamline its operations.
Other agencies and their proposed reductions in funds and personnel include:
- Office of Waste Management, $2.9 million, 16 positions;
- Minnesota Pollution Control Agency, $2.5 million, 26 positions;
- Department of Natural Resources, $2.1 million, 42 positions.
The Department of Finance would be trimmed by $2.2 million, primarily through reductions in employee retirement plans.
The division cut the Department of Trade and Economic Development (DTED) budget by $4.1 million by lowering various economic enhancement programs.
The division also eliminated deputy commissioner positions in the departments of Human Rights and Finance, and in the state Treasurer's Office.
Although DTED faced a hefty reduction, it did get some increased appropriations. The DTED received $865,000 for the Job Skills Partnership Program, the Office of Tourism, and the Minnesota Trade Office.
The Attorney General's Office would receive $120,000 to prosecute drug-related, lawful gambling, and criminal tax cases. And the Department of Revenue would get $400,000 to add five investigators to investigate lawful gambling violations.
A provision in the bill that would have reduced the Greater Minnesota Corporation's share of state lottery revenues from 50 percent to 20 percent was defeated. This change would have channeled 30 percent of the funds to the Reinvest in Minnesota program. The committee, however, deleted this provision.
The Appropriations Committee sent the bill to the House floor for further discussion.
**Long-term care**
Insurance companies would be required to mail cancellation notices of long-term care policies to more than just the policyholders if a bill the House approved March 22 becomes law.
Bill sponsor Rep. Wes Skoglund (DFL-Mpls) says policyholders with Alzheimer's disease, for example, sometimes forget to pay their premiums and have their policies canceled at a time when they need the benefits the most. Mailing cancellation notices to a relative or a friend would help prevent that situation.
Another provision in the bill would allow social workers as well as physicians and registered nurses to make decisions about the kinds of services elderly people need in their daily lives. Supporters of the bill say that allowing social workers to make such decisions would give insurance companies the incentive to write policies that cover home care services.
Senior citizens could choose to live in their own homes instead of nursing homes. They could benefit from services such as housekeeping, adult day care, and meals on wheels that are sometimes overlooked by physicians or nurses who may be unaware of these opportunities.
The House unanimously passed HF2474. The Senate will consider the bill next.
**Child care report**
Improving ways to help students get child care funding beyond four years and finding a simpler method for calculating child care credit were two recommendations offered in a recent House subcommittee's report on child care at Minnesota colleges and universities.
The Appropriation Committee's child care subcommittee met several times during the session to collect information about child care and the state's child care grant program. The Legislature in 1987 created the child care funding program to provide money for students who don't qualify for help through the Aid to Families with Dependent Children (AFDC) program.
The subcommittee said the current four-year ceiling forces students who otherwise qualify for aid to drop the program when they finish four years, regardless of whether they complete their degree.
The report notes that non-traditional students in need of child care may take longer to complete their degrees, and that some programs such as architecture, require more than four years to complete. Because of the tight budget, the panel suggested that a loan program could help students who still need child care after their eligibility ends.
Artists, writers, and musicians will once again be taking to the streets of Hopkins this spring on Saturday, May 12.
The Hopkins Arts Fair and Small Press Review is the focal point of Hopkins Main Street Days celebration, and one of the fastest growing arts fairs in Minnesota, says Dick Stanley, promoter of the fair. The one-day event, which is being held this year as part of the "Celebrate Minnesota" campaign, is expected to display the works of between 80 and 100 artists. It began five years ago with 20 exhibitors.
Small press writers will be on hand to read poetry and prose. Theater groups will also be performing. "There's a good variety of creative, quality fine art that will appeal to a broad range of people," says fair organizer Marge Bohlander.
The fair starts at 10 a.m. with musical entertainment running from noon until 1 a.m. Featured performers will include the Minnesota Sinfonia under the direction of Jay Fishman, with an ice cream social following the performance.
The event is free, but officials ask for food donations for food shelves.
State taxpayers would be able to make contributions to food shelf programs from their state tax returns under an amendment to the omnibus tax bill the House adopted March 28. The proposal was offered by Rep. Peter McLaughlin (DFL-Mpls). The new checkoff will join the current non-game wildlife fund checkoff on both the short and long forms. The tax bill, HF2478 (Ogren, DFL-Aitkin), will be considered further by the Senate.
Retail stores could sell state park permits if a bill approved by the House March 22 becomes law. Bill sponsor Rep. Mary Jo McGuire (DFL-Falcon Heights) says she hopes making park permits more accessible will increase revenue for the state’s parks. Store owners can add up to a 4 percent charge to the permit’s price for handling and selling. The bill was sent to the Senate floor.
Counties and townships in designated grasshopper control zones would be reimbursed for up to 50 percent of the costs incurred for grasshopper control activities during 1989 under a bill approved March 28 by the Appropriations Committee. The measure, included in the omnibus appropriations bill, goes to the House floor for further review. Appropriations total $597,000 for the reimbursements.
The Minnesota Zoological Garden in Apple Valley may have a new addition: the Spheniscus demersus, or Jackass Penguin. The House bonding bill, approved on a 112-21 vote March 26, requires that the penguin be included in a zoo exhibit. HF2651 will go to the Senate for further consideration.
Tickets for the 1992 Super Bowl at the Metrodome in Minneapolis won’t include the state’s sales tax under a measure in the omnibus tax bill approved March 27 by the House. The measure also includes a $750,000 payment from the Metropolitan Sports Facilities Commission to the National Football League (NFL) for costs associated with getting the game to Minnesota. The NFL requires the sales tax exemption on tickets. The Senate will consider HF2478 (Ogren, DFL-Aitkin) next.
The Minnesota Ethical Practices Board would have a new name if an elections reform bill becomes law. A bill approved March 27 by the Appropriations Committee would change the name to the Minnesota Campaign Reporting Board. Lawmakers sent HF2666 (Scheid, DFL-Brooklyn Park) to the House floor.
The Minnesota Supreme Court was appropriated $25,000 to establish a task force to study racial bias and discrimination within the judicial system. The Appropriations Committee’s State Departments Division directed the Supreme Court March 27 to study sentencing patterns, jury selection, and to identify any other areas within the judicial system where minority groups may be treated unequally. HF1158 (Dawkins, DFL-St. Paul) was sent to the full Appropriations Committee for further review.
A $90,000 appropriation for the reburial of American Indian remains was approved March 27 by the Appropriations Committee. The money, the first of an expected $360,000 over the next four years, will be used to rebury Indian remains currently held at the University of Minnesota, Hamline University, and the Minnesota Science Museum. The remains will be buried in accordance with traditional Indian practices.
Paul Hansen, director of the Isaac Walton League, showed members of the Regulated Industries Committee a 75-watt light bulb March 26 that he says would help lower consumers’ demand for electricity and conserve energy in the future. Hansen testified in support of a bill sponsored by Rep. Joe Quinn (DFL-Coon Rapids) that would require utility companies to develop methods that would conserve energy. No action was taken on the bill.
Trying to understand what the Legislature does during session, and why they do it can be a monumental task when you consider more than 2,000 bills are introduced each year.
But that’s the task of 25 reporters who are hunkered down in the Capitol press bunker every day in the basement.
“We try to find stories that both interest our readers and are important to them,” says Bill Salisbury, a reporter for the *St. Paul Pioneer Press*.
Adds *St. Cloud Times* reporter Bill McAllister, “I’m trying to make the Byzantine ways at the Capitol understandable to folks out there; it’s hard enough to understand when you’re here.”
In addition to the pressure of sorting out the complicated tax and spending bills under deadline, some of the reporters also have to keep a close eye on the competition.
Salisbury says his paper and the *Star Tribune* engage in “friendly and fierce competition.”
“We try to scoop them everyday and they try to scoop us. When they beat us, we congratulate them” and vice versa, he says.
“I don’t want to wake up in the morning and see a terrific story in the newspaper I didn’t even know existed and have to explain it to my boss,” adds Karen Boros, a reporter for Minnesota Public Radio (MPR).
McAllister says there is another kind of competition that exists within the Capitol which has caused some tension.
“The biggest problem for outstate reporters is being treated equal,” says McAllister. He says that at the governor’s press conferences there are three or four times as many metro reporters as outstate ones, so they often find it difficult to get a question answered that is not of interest to the Twin Cities papers.
“Our 31,000 subscribers are just as important as any given 31,000 subscribers or viewers in the metro area, I think they deserve the same response from public officials,” says McAllister.
Boros, who once worked as a network correspondent for CBS News and covered the Capitol for WCCO-TV for several years before joining MPR, says radio can be more flexible than television.
“With television you have a picture to tell a story . . . and when you’ve got a place like this with a room full of people sitting around a table, it’s not a very compelling picture,” she says. But, Boros adds, with the use of graphics and pictures, television can be just as effective in telling a state government story.
Salisbury points out that while newspapers may not have as much of a dramatic effect or impact that electronic media does, they can do things that television and radio cannot — like analyze budgets and tax policy.
Members of the press corp won’t say there is never a dull moment, but they do agree that the variety of issues and people keeps things interesting.
“This is not a dull group of people,” says Boros. “They can bore you senseless in committee meetings, but it’s fun trying to figure out the politics of what they do as well as the policy.”
McAllister appreciates the “odd little moments of theater that occur spontaneously throughout session.” Salisbury, in his 15th year as a Capitol reporter, says “there’s enough change to keep me interested.”
On the negative side, McAllister finds it hard to move to St. Paul every session and tires of the legislative “jargon, and the way some legislators mangle the English language.”
Boros says she “will never get skin cancer from sunshine” because she tends to work in the basement of the Capitol and “run around in tunnels all day.”
Also on the down side for reporters are the 24-hour or more stretches at the Capitol during the last week of session. Salisbury says that while the hours parallel those of legislators and lobbyists, reporters have to stay after lawmakers leave to sort out what the Legislature did and didn’t do.
During the interim the full-time press corps will, among other things, cover elections, study reports, and cover interim committee meetings.
Salisbury says the Capitol reporters keep an “arm’s length” from legislators, but still remain friendly with them. Trying to manipulate media coverage is part of politics and they’re aware of that fact, he points out.
“Most realize that we’re watchdogs and if they ever do anything out of line, we’re going to bite them,” says Salisbury.
Reporters corner Rep. Steve Wenzel following the controversial abortion hearings earlier this session.
Welcome home, Will!
‘This is the greatest day of my life.’
—Will Steger
Expedition team members were greeted by a crowd of about 3,000 people who turned out on a cool but sunny day.
You couldn’t have been more ‘down under’ than Will Steger and the five other members of the International Trans-Antarctica Expedition.
But as Steger and team members glanced out at the crowd of about 3,000 who had turned out on a cool Saturday afternoon to greet them home, they couldn’t have been more upbeat.
“This is the greatest day of my life,” said Steger.
School children from across the state waved banners and cheered as the five team members were introduced. And they also got a glimpse of some of the equipment that was used on the 3,741-mile trek.
But what seemed to attract the most attention were the Husky sled dogs, most of whom seemed content to snooze away while gawkers moved in for close-ups.
In his brief remarks to the crowd Saturday, Steger heaped lavish praise on the dogs. Without them, he said, the trip wouldn’t have been possible.
Members of Will Steger's International Trans-Antarctica Expedition were introduced on the Capitol Mall March 24.
Will Steger
Team members Will Steger (left), Jean-Louis Etienne of France and Victor Boyarsky of the Soviet Union.
Many who came to the Capitol Mall were children who waved flags of welcome to the team members.
Grover Washington Jr. played a song he composed to commemorate team members and the historic trip.
## COMMITTEE ACTION
### APPROPRIATIONS
**Tuesday, March 27**
- **Education Finance—omnibus bill**
HF2200/SF1898 (K. Nelson, DFL-Mpls)—recommended to pass as amended.
*(SF on Senate Floor)*
- **Permanent University Fund—investments**
HF2269/SF2308 (L. Carlson, DFL-Crystal)—recommended to pass as amended.
*(SF in Senate Finance Committee)*
- **Elections, ethics—changes**
HF2666/SF2334 (Scheid, DFL-Brooklyn Park)—recommended to pass as amended.
*(SF in Senate Finance Committee)*
**Wednesday, March 28**
- **State Departments—omnibus bill**
HF2419/SF2306 (Solberg, DFL-Bovey)—recommended to pass as amended.
*(SF in Senate Finance Committee)*
- **Agriculture, Transportation & Semi-State—omnibus bill**
HF2545 (R. Johnson, DFL-Bemidji)—recommended to pass as amended.
**Thursday, March 29**
- **Health & Human Services—omnibus bill**
HF2646/SF2417 (Greenfield, DFL-Mpls)—recommended to pass as amended.
*(SF in Senate Finance Committee)*
### Agriculture, Transportation & Semi-State Division/APPROPRIATIONS
**Tuesday, March 27**
- **Lake Superior authority—establishment**
HF2459/SF1866* (Jaros, DFL-Duluth)—recommended to pass; re-referred to Appropriations Committee.
### Education Division/APPROPRIATIONS
**Friday, March 23**
- **Rural health care—omnibus bill**
HF1965/SF1896 (Cooper, DFL-Bird Island)—heard; amended; portions to be included in supplemental appropriations bill.
*(SF in Senate Taxes & Tax Laws Committee)*
### Health & Human Services Division/APPROPRIATIONS
**Friday, March 23**
- **Subsidized development—job impact statement**
HF0631/SF1022 (Clark, DFL-Mpls)—recommended to pass; amended into supplemental appropriations bill.
*(SF in Senate Finance Committee)*
- **Mental health—treatment, assessment**
HF1848/SF1731 (Segal, DFL-St. Louis Park)—recommended to pass as amended; amended into supplemental appropriations bill.
*(SF in Senate Finance Committee)*
- **Employee wages—intermediate care facilities**
HF1907/SF2563 (Williams, DFL-Moorhead)—recommended to pass as amended; amended into supplemental appropriations bill.
*(SF in Senate Finance Committee)*
### Wastewater treatment grants—requirements
HF1949/SF1925 (Winter, DFL-Fulda)—recommended to pass as amended; re-referred to Appropriations Committee.
*(SF in Senate Finance Committee)*
### Health insurance—AIDS patients
HF2034/SF1689 (Greenfield, DFL-Mpls)—recommended to pass; amended into supplemental appropriations bill.
*(SF in Senate Finance Committee)*
### Chemical dependency—research, treatment
HF2051/SF1931 (Greenfield, DFL-Mpls)—recommended to pass; amended into supplemental appropriations bill.
*(SF in Senate Finance Committee)*
### Medical Assistance—swing bed services
HF2096/SF1888 (Battaglia, DFL-Two Harbors)—recommended to pass; amended into supplemental appropriations bill.
*(SF in Senate Finance Committee)*
### MA—case management services
HF2379/SF2073 (Welle, DFL-Willmar)—recommended to pass as amended; re-referred to Appropriations Committee.
*(SF in Senate Finance Committee)*
### Willmar area—mental retardation services
HF2380/SF2164 (Welle, DFL-Willmar)—recommended to pass as amended; amended into supplemental appropriations bill.
*(SF in Senate Finance Committee)*
### Child protection—omnibus bill
HF2390/SF2188 (Vellenga, DFL-St. Paul)—recommended to pass as amended; appropriations sections amended into supplemental appropriations bill; other sections re-referred to Appropriations Committee.
*(SF in Senate Rules & Administration Committee)*
### Oil overcharge
HF2596/SF2382 (Simoneau, DFL-Fridley)—recommended to pass as
amended; amended into supplemental appropriations bill.
(SF in Senate Finance Committee)
Welfare reform
HF2632/SF2419 (Greenfield, DFL-Mpls)—recommended to pass as amended; amended into supplemental appropriations bill.
(SF in Senate Finance Committee)
Long-term health care
HF2646/SF2417 (Greenfield, DFL-Mpls)—recommended to pass as amended; amended into supplemental appropriations bill.
(SF in Senate Finance Committee)
Monday, March 26
Prescription drugs—financial assistance
HF1739/SF1617 (Simoneau, DFL-Fridley)—heard.
(SF in Senate Finance Committee)
Drugs—penalty increases
HF1843/SF1759 (Kelly, DFL-St. Paul)—recommended to pass as amended; re-referred to Appropriations Committee.
(SF in Senate Finance Committee)
Bone marrow donors—education
HF1889/SF1903 (Weaver, IR-Champlin)—recommended to pass; re-referred to Appropriations Committee.
(SF in Senate Finance Committee)
Nursing home Medicare certification
HF1911/SF1813* (Welle, DFL-Willmar)—recommended to pass; re-referred to Appropriations Committee.
(SF in Senate Finance Committee)
Nursing home—property rates
HF1912/SF1828 (Welle, DFL-Willmar)—recommended to pass as amended; amended into supplemental appropriations bill.
(SF in Senate Finance Committee)
Chemical dependency—sobering stations
HF1946/SF1693 (Clark, DFL-Mpls)—recommended to pass as amended; amended into supplemental appropriations bill.
(SF in Senate Taxes & Tax Laws Committee)
Rural health care—omnibus bill
HF1965/SF1896 (Cooper, DFL-Bird Island)—recommended to pass as amended; sections of the bill amended into supplemental appropriations bill; other sections re-referred to Appropriations Committee.
(SF in Senate Finance Committee)
Better beginnings act—establishment
HF2031/SF1835 (Simoneau, DFL-Fridley)—recommended to pass as amended; amended into supplemental appropriations bill.
(SF in Senate Finance Committee)
MA—nursing home case mix rates
HF2453/SF2247 (Orenstein, DFL-St. Paul)—recommended to pass as amended; amended into supplemental appropriations bill.
(SF in Senate Health & Human Services Committee)
Welfare fraud reform
HF2470/SF2277 (Jennings, DFL-Harris)—recommended to pass as amended; amended into supplemental appropriations bill.
(SF in Senate Finance Committee)
Social work, mental health boards—changes
HF2765/SF1952* (Greenfield, DFL-Mpls)—recommended to pass as amended; amended into supplemental appropriations bill.
State Department Division/
APPROPRIATIONS
Tuesday, March 27
Environmental Trust Fund—lottery revenue
HF479/SF2321 (Munger, DFL-Duluth)—not recommended to pass.
(SF in Senate Finance Committee)
Judicial system—racial bias study
HF1158/SF1081* (Dawkins, DFL-St. Paul)—recommended to pass as amended; re-referred to Appropriations Committee.
(SF in Senate Appropriations Committee)
Community dispute resolution program
HF1478/SF1001* (Orenstein, DFL-St. Paul)—recommended to pass as amended.
Petroleum tank cleanup fund—changes
HF1816/SF1725* (Sparby, DFL-Thief River Falls)—recommended to pass as amended; re-referred to Appropriations Committee.
(SF in Senate Appropriations Committee)
REGULATED INDUSTRIES
Monday, March 26
Electric utilities—resource planning
HF2491 (Quinn, DFL-Coon Rapids)—heard.
TAXES
Friday, March 23
Taxes—omnibus bill
HF2478/SF2540 (Ogren, DFL-Aitkin)—recommended to pass as amended.
(SF in Senate Taxes & Tax Laws Committee)
Monday, March 26
Education Finance—omnibus bill
HF2200/SF1898 (K. Nelson, DFL-Mpls)—recommended to pass as amended; rereferred to Appropriations Committee.
(SF on Senate Floor)
Wednesday, March 28
Public employees—pay equity
HF1198/SF0488* (Simoneau, DFL-Fridley)—recommended to pass as amended; re-referred to Appropriations Committee.
Metropolitan water management—regulation
HF2007/SF1894 (Price, DFL-Woodbury)—recommended to pass as amended; re-referred to Appropriations Committee.
(SF in Senate Finance Committee)
Tax-forfeited land—cleanup
HF2786/SF2609 (Janechiz, DFL-Chisholm)—recommended to pass.
(SF in Senate Taxes & Tax Laws Committee)
FLOOR ACTION
CONCURRENCE & REPASSAGE
Thursday, March 22
Utilities—competitive electric rates
HF0951*/SF0903 (Jacobs, DFL-Coon Rapids)—repassed as amended by the Senate (125-0).
(SF in Senate Public Utilities & Energy Committee)
Crime victims reparations
HF2143*/SF2043 (Janezich, DFL-Chisholm)—repassed as amended by the Senate (128-0).
(SF on Senate Floor)
Membership travel contracts—regulation
HF1841*/SF1770 (Kelly, DFL-St. Paul)—repassed as amended by the Senate (131-0).
Monday, March 26
Asbestos abatement—changes
HF2407*/SF2481 (K. Olson, DFL-Sherburn)—repassed as amended by the Senate (131-0).
Ethnic American day—designation
HF1919*/SF1737 (Pappas, DFL-St. Paul)—repassed as amended by the Senate (131-0).
Cemetery—land transfer
HF2650*/SF2455 (Waltman, IR-Elgin)—repassed as amended by the Senate (127-0).
Battery pollution
HF1921*/SF1784 (Wagenius, DFL-Mpls)—repassed as amended by the Senate (131-0).
Tuesday, March 27
Students—HECB
HF1067*/SF1551 (Trimble, DFL-St. Paul)—repassed as amended by the Senate (132-0).
Plat monuments—tampering penalties
HF1785*/SF2141 (Dempsey, IR-New Ulm)—repassed as amended by the Senate (133-0).
Driver education—tax exempt plates
HF1989*/SF1775 (McEachern, DFL-Maple Lake)—repassed as amended by the Senate (132-0).
Veterans’ homes—cemeteries
HF2002*/SF1967 (Beard, DFL-Cottage Grove)—repassed as amended by the Senate (133-0).
Legal newspaper—deadline change
HF2018*/SF1909 (Bertram, DFL-Paynesville)—repassed as amended by the Senate (133-0).
Auto insurance—antique, rec. vehicles
HF2242*/SF2264 (Winter, DFL-Fulda)—repassed as amended by the Senate (133-0).
Wednesday, March 28
Board of Pharmacy—medical devices
HF1673*/SF1507 (Stanius, IR-White Bear Lake)—repassed as amended by the Senate (131-0).
Seneca wastewater treatment plant—permit
HF1883*/SF1826 (Price, DFL-Woodbury)—repassed as amended by the Senate (130-0).
CONSENT CALENDAR
Monday, March 26
Public safety—fire code changes
HF2080/SF1692* (Brown, DFL-Appleton)—passed (131-0).
Animal ownership—restrictions
HF2099/SF1968* (Simoneau, DFL-Fridley)—passed (130-0).
Regent candidate advisory recommendations
HF2418/SF2159* (Otis, DFL-Mpls)—passed (130-0).
Faribault—legislative route 298
HF2608/SF2381* (Rodosovich, DFL-Faribault)—passed (130-0).
Well-drilling vehicle—tax exemption
HF2621/SF2039* (Kalis, DFL-Walters)—passed (132-0).
Upsala—boundary commission
HF2683/SF2383* (Bertram, DFL-Paynesville)—passed (132-0).
Corporal punishment
HF2685/SF2048* (Pelowski, DFL-Winona)—passed (131-0).
Tuesday, March 27
Mental health, retardation—ombudsperson
HF2133/SF2370* (Greenfield, DFL-Mpls)—passed (132-0).
Cemeteries—unlawful body removal
HF2706/SF2432* (Blatz, IR-Bloomington)—passed as amended (132-0).
CONFERENCE COMMITTEE
Tuesday, March 27
Water statutes—recodification
HF771/SF60* (Dille, IR-Dassel)—repassed as amended by Conference (132-0).
Wednesday, March 28
Pine County—tax-forfeited lands
HF796*/SF712 (D. Carlson, IR-Sandstone)—repassed as amended by Conference (131-0).
RULE 1.10
Thursday, March 22
Public financing—tax exempt revenue bonds
HF2457*/SF2329 (Rest, DFL-New Hope)—passed (128-0).
(SF in Senate Taxes & Tax Laws Committee)
Taxes—technical corrections
HF2480* (McLaughlin, DFL-Mpls)—passed (129-0).
Monday, March 26
Bonding bill
HF2651* (Simoneau, DFL-Fridley)—passed as amended (112-21).
SPECIAL ORDERS
"To Be Acted Upon Immediately Preceding General Orders" Special Orders is a list of bills the Rules Committee designates for priority consideration. After debate and/or amendment, they may immediately be given a third reading and placed upon final passage. A procedure used to select from among bills which have had a second reading those that the Rules Committee determined should have priority.
Thursday, March 22
Neighborhood organization—tenants' rights
HF0136/SF1087* (Dawkins, DFL-St. Paul)—passed (128-0).
Child support, custody—omnibus bill
HF1855*/SF1745 (Kelly, DFL-St. Paul)—passed as amended (119-0). (SF on Senate Floor)
Veterans Home Board—executive director
HF1977/SF1880 (Kinkel, DFL-Park Rapids)—passed (117-0). (SF on Senate Floor)
Seed potatoes—growing area restriction
HF2025*/SF1982 (Tunheim, DFL-Kennedy)—passed as amended (127-0). (SF on Senate Floor)
Tobacco vending machines—restrictions
HF2042/SF1923 (McEachern, DFL-Maple Lake)—passed as amended (127-1). (SF on Senate Floor)
Service brakes—requirements
HF2124*/SF2074 (Bertram, DFL-Paynesville)—passed (127-0). (SF on Senate Floor)
PERA—monthly benefit
HF2147*/SF2379 (R. Johnson, DFL-Bemidji)—passed (131-0). (SF in Senate Governmental Operations Committee)
Crop insurance
HF2151* (K. Olson, DFL-Sherburn)—passed (121-0).
State contracts—task force establishment
HF2162*/SF2114 (Williams, DFL-Moorhead)—passed as amended (120-2). (SF on Senate Floor)
State park permits—agent sales
HF2350*/SF2408 (McGuire, DFL-Falcon Heights)—passed (131-0). (SF on Senate Floor)
St. Louis County—solid waste management
HF2386*/SF2270 (Rukavina, DFL-Virginia)—passed as amended (128-0). (SF on Senate Floor)
Garage door openers—regulation
HF2393*/SF2261 (Milbert, DFL-South St. Paul)—passed as amended (127-0). (SF on Senate Floor)
Railroad crossings—penalties, changes
HF2401*/SF2400 (Tunheim, DFL-Kennedy)—passed (124-0). (SF on Senate Floor)
Administrative procedures—regulations
HF2462*/SF2252 (Gruenes, IR-St. Cloud)—passed (121-0). (SF on Senate Floor)
Long-term care insurance—changes
HF2474*/SF2566 (Skoglund, DFL-Mpls)—passed as amended (132-0). (SF on Senate Floor)
Retirement funds—SBI changes
HF2626*/SF2578 (R. Johnson, DFL-Bemidji)—passed as amended (130-0). (SF in Senate Governmental Operations Committee)
Insurance—subrogation clarification
HF2637*/SF2514 (Skoglund, DFL-Mpls)—passed (129-0). (SF on Senate Floor)
Real estate license prohibition—removal
HF2704*/SF2403 (Scheid, DFL-Brooklyn Park)—passed (130-0). (SF on Senate Floor)
Monday, March 26
Pension plans—technical changes
HF2199*/SF2128 (R. Johnson, DFL-Bemidji)—passed as amended (129-0). (SF in Senate Governmental Operations Committee)
Tuesday, March 27
Taxes—omnibus bill
HF2478*/SF2540 (Ogren, DFL-Aitkin)—passed as amended (94-36). (SF in Senate Taxes & Tax Laws Committee)
Wednesday, March 28
Education Finance—omnibus bill
HF2200*/SF1898 (K. Nelson, DFL-Mpls)—passed as amended (129-2). (SF on Senate Floor)
BILLS THE GOVERNOR SIGNED
Wednesday, March 21
Chisago County—Moberg Trail
HF2090/SF1947* (Jennings, DFL-Harris)—Chapter 357.
Effective: Aug. 1, 1990
Friday, March 23
County recorders—fees
HF1555*/SF1238 (Blatz, IR-Bloomington)—Chapter 358.
Effective: Aug. 1, 1990
Hazardous waste facility sites
HF1071/SF956* (Sparby, DFL-Thief River Falls)—Chapter 359.
Effective: Aug. 1, 1990
Tuesday, March 27
Second Judicial District—dispute resolution
HF1895*/SF1917 (Kelly, DFL-St. Paul)—Chapter 360.
Effective: Aug. 1, 1990
Township ordinances codification
HF2188*/SF1979 (Lieder, DFL-Crookston)—Chapter 361.
Effective: Aug. 1, 1990
KEY
HF--House File
SF--Senate File
HF#/SF#--companion bills
*--version of the bill under consideration
**Explanations are from the Chief Clerk's Office
Copies of bills and resolutions are available from the Chief Clerk's Office
Room 211, State Capitol
St. Paul, MN 55155
(612) 296-2314
An idea grows . . .
Disabled say ‘aye’ to absentee ballot proposal
People with physical disabilities can find voting a trying experience because getting to the polls is not always an easy job. But that may change soon.
Because of the efforts of Sandra Shanley, a resident of Anoka, physically impaired and permanently ill people may be placed on a list to automatically receive absentee ballot applications before each election.
That would eliminate having to apply for an absentee ballot at least two weeks before every election — a process Shanley described as a “stumbling block” to voting because it’s difficult to keep up with all the local elections for school board and mayor.
Shanley has Multiple Sclerosis (MS), which restricts her ability to walk. She gets around with a walker or a cane, but on longer outings to a museum or polling place she uses a wheelchair.
“I only have so many steps in a day,” she says, adding that it’s hard for her to stand in line for a long time.
But she is also very politically active. She’s a member of the League of Women Voters and believes in the importance of participation.
“It’s very important to be heard,” she says.
A few years ago she went to California to visit her family and learned that state has an automatic absentee ballot application system for the permanently ill and disabled. She thought it was a good idea and told local officials about it three years ago. Shanley also contacted Rep. Linda Scheid (DFL-Brooklyn Park), who chairs a House Division that oversees election laws. Scheid passed the idea along to Rep. Richard Jefferson (DFL-Mpls) whom she felt might be interested in such a proposal.
Jefferson agreed and translated Shanley’s idea into a bill, which since has been rolled into Scheid’s omnibus elections bill which the House approved March 29.
“If you are not handicapped and are fully capable of walking to the polls, you have to do nothing in order to vote once you register. You merely have to go,” says Jefferson. “I think the present system places an undue burden on people who are not able to go to the polls on a regular basis, and that an automatic application form is a very small move to grant them equal rights to the opportunity to vote as other people.”
Jackie Alfonso, executive director of the United Handicapped Federation, says her organization supports the bill because equal access to the electoral process should be available to everyone.
Providing absentee ballots to the disabled isn’t glamorous, and “isn’t likely to attract national attention or the national press,” but it is important nevertheless, she says.
The measure affects a small number of Minnesota voters. Typically, only about 100,000 people vote by absentee ballot during a general election. Only a small portion of those people would be eligible for a permanent absentee ballot application because only people with permanent illnesses or disabilities would qualify.
Shanley says county auditors already maintain lists of absentee voters, and the local and state officials she’s approached have been very responsive. She says she has also received assistance from the League of Women Voters, the MS Society, the United Handicapped Federation, and other groups.
Last year, Jefferson authored a bill to provide sign language interpreters, Braille translation materials, and handicapped accessible buildings for people attending political gatherings. That bill, and this bill from Shanley’s idea, will help those people who most often need to reach political and government officials.
### Monday, March 26
**HF2800—Seaberg (IR)**
*Transportation*
Metropolitan transit; assistance given to private suppliers of public transit.
**HF2801—Hasskamp (DFL)**
*Environment & Natural Resources*
Bonds required for filing challenges of Department of Natural Resources and Pollution Control Agency permits or rules.
**HF2802—Tunheim (DFL)**
*Appropriations*
Red Lake tribal information center appropriated money.
**HF2803—Runbeck (IR)**
*Insurance*
Insurance; provisions changed for insurance identification cards, and insurers notified of convictions for driving while intoxicated.
---
### Tuesday, March 27
**HF2804—Munger (DFL)**
*Appropriations*
Wetlands mapping, digitization, and inventory distribution appropriated money.
**HF2805—Osthoff (DFL)**
*Financial Institutions & Housing*
Interstate banking permitted with Indiana.
**HF2806—Rice (DFL)**
*Gen'l Leg., Vet's Affairs & Gaming*
Education; certain veterans provided state education assistance.
---
### Wednesday, March 28
**HF2807—Frederick (IR)**
*Ways & Means*
State spending not increased above a certain rate.
**HF2808—Limmer (IR)**
*Environment & Natural Resources*
Lakeshore trust fund lands condemned and sold, nontrust lands sold, bond issue provided, and money appropriated.
**HF2809—Steenisma (DFL)**
*Education*
Sex education course established to encourage abstinence.
**HF2810—Steenisma (DFL)**
*Education*
Sex education task force established to review educational materials, with money appropriated.
---
### Thursday, March 29
**HF2811—Steenisma (DFL)**
*Education*
Sex education course developed to encourage abstinence, with a task force created.
---
### First Readings/Senate Bills
**Monday, March 26**
**SF394—Dicklich (DFL)**
Referred to the Chief Clerk for comparison with HF168—Jaros (DFL)
Education; requiring a report on preparation of post-secondary education administrators and faculty.
**SF409—Piper (DFL)**
Referred to the Chief Clerk for comparison with HF367—McLaughlin (DFL)
Employment; providing for certain employee leaves of absences.
**SF1365—Marty (DFL)**
Referred to the Chief Clerk for comparison with HF1561—Clark (DFL)
Crimes; requiring prosecutor training in bias-motivated crimes.
**SF1499—Dahl (DFL)**
Referred to the Chief Clerk for comparison with HF1234—O'Connor (DFL)
Consumer protection; regulating certain rental-purchase agreements; prescribing the rights and duties of all parties; requiring disclosures; regulating advertising; providing remedies.
**SF1675—Berg (DFL)**
*Environment & Natural Resources*
Game and fish; authorizing the Leech Lake Band of Chippewa Indians to conduct certain types of aquiculture; directing promotion of and commercial licenses to take rough fish from Lake of the Woods; removing certain aquiculture restrictions in private waters if public waters or groundwater is not degraded or public health is not affected; authorizing transportation of minnows by common carrier; providing restrictions for taking crayfish.
**SF1681—Waldorf (DFL)**
*Health & Human Services*
Occupations and professions; allowing a graduate social work license to be issued without examination to an applicant who was unable to apply before the transition period ended.
**SF1703—Berg (DFL)**
Referred to the Chief Clerk for comparison with HF2709—Trimble (DFL)
Natural resources; authorizing the enforcement of certain natural resource laws by conservation officers.
**SF1704—Berg (DFL)**
Referred to the Chief Clerk for comparison with HF2351—McGuire (DFL)
Natural resources; regulating aquiculture activities and programs; providing for the transportation of minnows by common carrier; regulating the commercial fishing of rough fish on the Lake of the Woods; authorizing conservation officers to seek issuance of and to serve search warrants.
SF1743—Schmitz (DFL)
Referred to the Chief Clerk for comparison with HF2327—Jacobs (DFL)
Telephone service; regulating the installation of extended area service in exchanges; requiring the expansion of the metropolitan extended area telephone service, under some circumstances.
SF1772—Stumpf (DFL)
Referred to the Chief Clerk for comparison with HF1879—Tunheim (DFL)
Natural resources; changing the provisions relating to the delineation of wetland or marginal land; exempting land classification agreement lands from certain requirements; establishing Lake of the Woods state forest.
SF1866—Solon (DFL)
Appropriations
Lake Superior; establishing an information and education authority.
SF1869—Diessner (DFL)
Referred to the Chief Clerk for comparison with HF2398—Beard (DFL)
Labor; requiring employers to prepare and implement a written program that describes how they will reduce the extent and severity of work-related injuries and illnesses; providing for safety awards by the commissioner of labor and industry.
SF1937—Berglin (DFL)
Rules & Legislative Administration
Health; establishing standards for safe levels of lead; requiring education about lead exposure; requiring lead assessments of certain residences; establishing standards for lead abatement; requiring rules.
SF1946—Berg (DFL)
Referred to the Chief Clerk for comparison with HF2658—Bertram (DFL)
Agriculture; providing for deficiency judgments relating to foreclosure and sale of mortgages on property used in agricultural production; requiring fair market value to be determined by the court; extending period for execution on judgment.
SF1955—Cohen (DFL)
Referred to the Chief Clerk for comparison with HF1924—Dawkins (DFL)
Housing; changing the definition of designated home ownership area for the Minnesota rural and urban homesteading program.
SF1966—DeCramer (DFL)
Referred to the Chief Clerk for comparison with HF2144—Girard (IR)
Education; expanding open enrollment to bordering states.
SF1971—Knutson (IR)
Referred to the Chief Clerk for comparison with HF2016—Swenson (IR)
Education; establishing an automobile safety awareness week.
SF1975—D. J. Frederickson (DFL)
Education
Education; providing for the notice of and place for meeting of certain joint powers organizations.
SF1976—D. J. Frederickson (DFL)
Education
Education; providing for certain notice and board membership requirements under certain joint powers arrangements.
SF1995—Metzen (DFL)
Referred to the Chief Clerk for comparison with HF1902—Peterson (DFL)
Insurance; property and casualty; regulating terminations of agents; prescribing a penalty.
SF2011—Beckman (DFL)
Health & Human Services
Health; clarifying variance authority regarding training standards for ambulance attendants; establishing a state emergency medical services advisory council.
SF2026—Piper (DFL)
Referred to the Chief Clerk for comparison with HF1930—Bertram (DFL)
Health; authorizing the creation of a technical advisory task force for emergency dispatch services; requiring the submission of a multidisciplinary report on training needs of emergency dispatchers operating within 911 systems.
SF2054—Pogemiller (DFL)
Appropriations
Courts; staggering the elections of chief judges and assistant chief judges; providing for the adoption of rules by the Supreme Court governing jury administration; imposing penalties.
SF2063—D. J. Frederickson (DFL)
Environment & Natural Resources
Health; requiring an environmental impact statement for burning of PCBs; authorizing counties to be compensated for human health risks; requiring permits and local approval before burning PCBs.
SF2064—Luther (DFL)
Referred to the Chief Clerk for comparison with HF2243—Scheid (DFL)
Commercial transactions; adopting an article of the Uniform Commercial Code that governs funds transfers.
SF2068—Cohen (DFL)
Referred to the Chief Clerk for comparison with HF2249—Carruthers (DFL)
Insurance; no-fault auto; clarifying eligibility for economic loss benefits.
SF2072—Cohen (DFL)
Referred to the Chief Clerk for comparison with HF2220—Milbert (DFL)
Minnesota Statutes; correcting erroneous, ambiguous, and omitted text and obsolete references; eliminating certain redundant, conflicting, and superseded provisions; making miscellaneous technical corrections to statutes and other laws.
SF2108—Solon (DFL)
Referred to the Chief Clerk for comparison with HF2076—Jacobs (DFL)
Liquor; regulating the sale of liquor-filled candy; authorizing municipalities to issue on-sale wine licenses to bed and breakfast facilities; authorizing removal of partially consumed wine bottles from licensed premises; authorizing additional licenses in the cities of Minneapolis, Brooklyn Center, and Duluth; authorizing the issuance of wine and nonintoxicating malt liquor licenses by the city of St. Paul to its parks and recreation division; authorizing the county board of Anoka County to delegate liquor licensing authority to town boards within the county; authorizing the county board of Itasca County to issue an off-sale or combination license within three miles of an incorporated area; providing for the reporting of wine licenses to the commissioner of public safety; eliminating the requirement for a vote on municipal liquor store continuance upon population change.
SF2109—Adkins (DFL)
Referred to the Chief Clerk for comparison with HF2499—Carruthers (DFL)
Insurance; regulating cancellations, reductions, and nonrenewals of commercial property and liability insurance.
SF2147—D. J. Frederickson (DFL)
Referred to the Chief Clerk for comparison with HF2211—Cooper (DFL)
Transportation; exempting fertilizer and agricultural chemical retailers from certain regulations on transporting hazardous materials; making certain private carriers subject to driver qualification rules.
SF2181—Flynn (DFL)
Referred to the Chief Clerk for comparison with HF2248—Dawkins (DFL)
Labor; regulating joint labor-management committees; regulating public employee elections; providing for the selection of arbitrators by mutual agreement.
SF2297—Brandl (DFL)
Taxes
Taxation; property; requiring equal access to food or beverage services or facilities for golf clubs under open space property tax treatment.
SF2349—Samuelson (DFL)
Referred to the Chief Clerk for comparison with HF2735—Simoneau (DFL)
Insurance; no-fault automobile; regulating uninsured and underinsured motorist coverages for motorcycles.
SF2355—Marty (DFL)
Referred to the Chief Clerk for comparison with HF2184—Wagenius (DFL)
Statutes of limitations; establishing a three-year time limit to bring an action for penalty or forfeiture for violation of certain environmental statutes.
SF2360—Beckman (DFL)
Referred to the Chief Clerk for comparison with HF2534—Otis (DFL)
Economic development; clarifying the appointing authority for the board of the Minnesota Project Outreach Corporation; requiring duties of the Minnesota Project Outreach Corporation; requiring notification under the capital access program; removing the requirement that employees of the Greater Minnesota Corporation file statements of economic interest; changing the procedure for adopting a neighborhood revitalization program.
SF2412—D. Moe (DFL)
Referred to the Chief Clerk for comparison with HF2489—Simoneau (DFL)
State government; requiring the State Board of Investment to invest certain assets currently managed by the commerce department.
SF2421—Luther (DFL)
Referred to the Chief Clerk for comparison with HF2325—Scheid (DFL)
Elections; presidential primary; changing the primary date; providing procedures for conducting the primary; changing the requirements for being a candidate at the primary; allowing voters to prefer uncommitted delegates; allowing write-in votes; providing for voter receipt of ballots; eliminating the provision that the primary winner is the party's endorsed candidate; changing the apportionment of party delegates; requiring provision of certain information to interested persons.
SF2431—Marty (DFL)
Referred to the Chief Clerk for comparison with HF2105—Bertram (DFL)
Buildings; changing the definition of public building in the State Building Code; ratifying the interstate compact on industrialized/modular buildings.
SF2445—Kroening (DFL)
Referred to the Chief Clerk for comparison with HF2628—Sparby (DFL)
State government; establishing positions in the unclassified service; authorizing the commissioner of jobs and training to establish a position in the unclassified service.
SF2498—Schmitz (DFL)
Referred to the Chief Clerk for comparison with HF2252—Kelso (DFL)
Occupations and professions; increasing minimum insurance coverage required for abstracters; abolishing requirement of seals by impression; providing for inactive license status; repealing an obsolete provision.
SF2541—D. R. Frederickson (IR)
Referred to the Chief Clerk for comparison with HF1784—Dempsey (IR)
Real property; providing for filing and recording of maps or plats for proposed rights-of-way by local governing bodies.
SF2174—Stumpf (DFL)
Taxes
Public lands; providing payments in lieu of taxes for certain federal land leased to the state.
SF2317—Dicklich (DFL)
Referred to the Chief Clerk for comparison with HF2075—Jacobs (DFL)
Utilities; providing for the assessment of expenses for adjudicating service area disputes to municipal electric utilities; providing for civil penalties for violations of Chapter 237; re-establishing the position of program administrator of the Telecommunications Access for Communication-impaired Persons Board; extending the Electric Utility Service Area Task Force until 1992; requiring a study.
SF2318—Berglin (DFL)
Referred to the Chief Clerk for comparison with HF2605—Wagenius (DFL)
Education; clarifying that statutes governing aversive and deprivation procedures apply to handicapped pupils; requiring that rules of the State Board of Education contain a list of prohibited procedures.
SF1873—Cohen (DFL)
Referred to the Chief Clerk for comparison with HF2063—Seaberg (IR)
Crime victims; providing victims of delinquent acts the right to request notice of release of juvenile offenders from juvenile correctional facilities; providing notice to sexual assault victims when a juvenile offender is released from pretrial detention; requiring that victims be informed of their right to request the withholding of public law enforcement data that identifies them; clarifying the duty of court administrators to disburse restitution payments; making certain changes to the Crime Victims Reparations Act.
SF2132—Marty (DFL)
Referred to the Chief Clerk for comparison with HF2222—Peterson (DFL)
Crimes; making it a crime to obtain telecommunication services by fraud; requiring forfeiture of telecommunication devices used for fraudulent purposes; prescribing penalties.
SF2564—Pogemiller (DFL)
Referred to the Chief Clerk for comparison with HF2077—Ozment (IR)
Criminal sexual conduct; expanding the definition of "sexual contact" in fifth degree criminal sexual conduct.
SF1725—Novak (DFL)
Appropriations
Environment; changing the fund balances required to impose the fee and the collection period of the fee; changing the terms for reimbursement of petroleum tank release costs by the Petroleum Tank Release Compensation Board; providing certain tank facilities and refineries are ineligible for reimbursement; appropriating money reimbursed to state agencies.
SF2089—Brandt (DFL)
Referred to the Chief Clerk for comparison with HF2434—K. Nelson (DFL)
Crime; clarifying that terroristic threats include those made indirectly.
SF2134—Spear (DFL)
Referred to the Chief Clerk for comparison with HF2086—Kelly (DFL)
Crime; imposing penalties on persons who commit a gross misdemeanor or felony while wearing or possessing a bullet-resistant vest; permitting summary forfeiture of weapons used to commit a controlled substance offense; permitting summary forfeiture of bullet-resistant vests worn or possessed during the commission of a crime; increasing the penalty for furnishing firearms to a minor, intentionally discharging a firearm under circumstances that endanger another, and selling a firearm with a silencer; clarifying that ammunition manufacturers and federally licensed dealers may sell to government agencies.
SF354—Merriam (DFL)
Referred to the Chief Clerk for comparison with HF596—Rest (DFL)
Trusts; permitting the creation of custodial trusts; adopting the Uniform Custodial Trust Act.
SF1758—Samuelson (DFL)
Appropriations
Health; requiring the licensing of wholesale drug distributors; regulating the use of biosynthetic bovine somatotropin; providing penalties.
SF1874—Cohen (DFL)
Referred to the Chief Clerk for comparison with HF1836—Carruthers (DFL)
Meetings of public bodies; government data practices; defining final disposition of a disciplinary action regarding personnel records; making clear that meetings may not be closed on the basis of data classification statutes; providing an exception to the open meeting law for preliminary discussions concerning allegations of misconduct against government employees or evaluations of government employees.
SF2012—R. Moe (DFL)
Referred to the Chief Clerk for comparison with HF2087—E. Olson (DFL)
Agriculture; providing that checkoff fees from certain potato producers are not refundable.
Thursday, March 29
SF2618—Merriam (DFL)
Suspension of Rules
Public administration; appropriating money or reducing appropriations to the Higher Education Coordinating Board, regents of the University of Minnesota, State University Board, State Board for Community Colleges, and State Board of Vocation Technical Education, with certain conditions; excepting notification of committee chairs on certain capital projects; establishing a community college at Cambridge; clarifying the duties and powers of the Higher Education Coordinating Board; authorizing tuition reciprocity agreements with contiguous Canadian provinces; establishing a state matching grant program to match private gifts to endowment funds; requiring administrative service plans for technical colleges under certain circumstances; changing permitted kinds of investments for the permanent university fund; permitting capital gains of the fund to be used to support endowed academic chairs; authorizing the purchase of a certain building by the State University Board; requiring development of a consumer information system for occupational programs; regulating public post-secondary plans; requiring reports; adjusting contributions to state system retirement plans.
Jim Heap's advice: Ask questions, grow from the experience
It was an Independent-Republican dinner that changed Rep. Jim Heap from a political greenhorn who taught marketing at Hennepin Technical Center to the 12-year representative from Plymouth he is today.
"I voted, but that was about the extent of my political involvement," says Heap. "I was as green as you would want to get."
He unsuccessfully ran for election in 1976, but tried again in 1978, won, and has been back ever since.
During his tenure at the Capitol, the Independent-Republicans have held control for only two years. Nonetheless, Heap says he believes the minority serves an important function as a watchdog to challenge the majority.
"No party owns the truth," he says. "The majority party, no matter which party has the majority, doesn't have an embodiment of truth. There has to be someone to watch out for monopolized power. This is the role of the minority."
He says his service in the Legislature gave him a crash course in critical thinking, given the range of topics that are routinely discussed at the Capitol.
Nearly 2,000 bills are introduced each year in the House, Heap says, and that while serving on three committees a legislator typically hears testimony on 200 to 300 bills per year.
"You have to learn how to be efficient in dissecting a bill: to ask the tough questions, to ask whether this bill will help or hurt. That's one way you can measure success."
The experience of digesting that information has made him a more vigorous person, Heap says, and the Capitol is an invigorating place. But he's decided to return to work in the private sector and put his management expertise back to work as a business management consultant.
"It's time to move on to other challenges," Heap says. "The sense of accomplishment in the Legislature differs from that in the business world. It's difficult to set those specific goals and objectives that are the stock and trade of the businessman and see specific results in the political arena."
Heap should know. He was a Pillsbury Co. executive for 13 years, and founded four businesses and the non-profit Vail Place, a home for the mentally retarded in Hopkins. In addition, he wrote a financial planning book and helped establish the retail merchandising program at Hennepin Technical Center.
In a sense, however, Heap never strayed far from the business world during his tenure at the Legislature. He sits on the both the Commerce and Economic Development committees, as well as the Appropriations Committee.
He sees a clear link between his role as a businessman and teacher, and political interests in business and economic development: better educational opportunities can lead to a better business environment which creates a higher standard of living.
In fact, two major pieces of legislation he sponsored that he considers most noteworthy pertain to education and business.
One measure — initially designed to look into whether Minnesota needed all the colleges and universities it has — led to mission statements from the four higher education systems.
The other piece of legislation Heap sponsored in the mid-1980s was a workers' compensation reform measure. It drew bipartisan support in both the House and Senate, but was vetoed by the governor.
"It had DFL and IR support. I worked months behind the scenes to get what I thought was a good bill," Heap says.
What advice does he have for his successor?
Focus on a few areas to become effective, and take in as much of the legislative experience as possible.
"People should look at a representative's job as an opportunity to grow," Heap says. "I can't think of a better way to get an education. It gives you an insight on whatever else you want to pursue — I don't care what it is."
While he says he'll miss being around the Capitol come next January, he won't miss running for re-election.
"It's [campaigning] a strenuous activity," says Heap, adding that it can also be a humbling one.
Heap becomes pensive when stating his hoped-for legislative epitaph.
"I'd like to be remembered by my colleagues as a person who was pleasant to work with, someone who was respected and well thought of as a legislator."
April 2, 1849
On this day, Alexander Ramsey of Pennsylvania was commissioned the first governor of the Minnesota Territory.
Anderson steps down after 18 years
Rep. Glen Anderson’s office has an old shoe kind of comfort. The couch slopes where it’s been used most. Papers — some neatly stacked, others not — are on the floor, couch, window sill, and desk.
Anderson, the DFLer from Bellingham who represented the area for nearly two decades, says this is his last session. While he may soon be gone from his corner office on the third floor, he won’t be forgotten.
“We’re going to miss him. I think the institution will be a bit less when he leaves,” says Rep. Wayne Simoneau (DFL-Fridley), who succeeded Anderson as chair of the Appropriations Committee. “He knows middle America — middle Minnesota. He has a big, broad view of what’s out there.”
And Anderson’s colleagues are drawing on his expertise for all it’s worth in the remaining weeks of the session. During a recent meeting of the Education Division of the Appropriations Committee, for example, Anderson fielded the tough questions on the bonding bill. He did the same thing when the matter was on the House Floor for a vote.
In other division meetings, several lawmakers sought his opinion on education funding matters.
“People know to talk to Glen Anderson,” says Simoneau.
“Rep. Anderson is a valuable asset,” says Rep. Lyndon Carlson (DFL-Crystal), who chairs the Education Division and who was elected to the House the same year as Anderson. “When I worked with him as the chair, he was one who was responsive to the needs of education.” People who are as legislatively active as Anderson is are difficult to replace, he says.
Anderson, a third generation farmer from Bellingham, says his decision not to seek a 10th term is “80 to 90 percent financial and 10 to 20 percent emotional. “I really don’t want to leave,” he admits. “I love this place very much. I feel good about the time I’ve been here.”
Anderson’s resignation as chair came during a swirl of publicity after he pleaded guilty to two misdemeanor charges. The last six months of 1989, he says, was “a bad disaster. I went through three or four months of pure hell.”
He says his trouble began after being roundly chastized by people from his district after pushing for the consolidation of four high schools in his area.
“That hurt; that got to me,” Anderson, 51, says. “But I know what I did was good for the young people. I know it was good for the taxpayers. I know it was good for education.”
The pressure from the public’s wrath in his home community, in addition to financial problems, contributed to the stress that ultimately led to his troubles with the law.
Now, he adds, “I’m laying back now and rebuilding. I’ll do the best I can in the days I’ve got left here.”
For now, he’s silent on what the future holds for him. But he knows it won’t be far from the business he knows best: politics and government. And he wants his future endeavor to be challenging, demanding, and rewarding.
“I’m interested in doing something that deals with people and government,” he says. “I want to work with people. I don’t want to shuffle papers.”
Though he seldom introduced major legislation, Anderson says he has been content to informally discuss bonding or appropriation matters in the hallways and offices. He typically works behind the scenes, plotting strategy or offering friendly advice on parliamentary maneuvers.
“He’s good at massaging legislation and bringing people together,” says Simoneau.
The seeds of his political involvement were sown by his father. But the event that prompted Anderson’s running was a Saturday night political rally in which he felt that his state representative was talking down to the crowd. The following Tuesday, Anderson filed to run against the 16-year incumbent.
During his 18 years in public office, Anderson says he has witnessed a profound change in attitudes. Back then, for example, state trails weren’t acceptable; now communities work and fight for them, proving that environmentalists and recreation enthusiasts can co-exist, he says.
Anderson’s only real criticism of the Legislature is that not enough of his colleagues take the long-range view of what’s best for Minnesota.
“I’ve generally tried to look at what’s best for [the state] five, 10, or 20 years down the road, rather than what’s best for me to get re-elected,” he says.
Anderson says he has changed as well. He has adopted a more liberal stance regarding environmental matters and also views legislation from a statewide — as opposed to a purely parochial — viewpoint.
Although the annals of political lore are littered with tales of backstabbing and double-crosses, Anderson says he will retire with a clear conscience.
“I can’t think of a soul I was dishonest with or unfair to. I’ve been honest, sincere, and dedicated. I don’t think anybody can argue that.”
He advises his successor to vote his or her convictions.
“Don’t sell yourself out. If you can live with your vote in your heart, then you don’t have to worry about the caucus or special interest groups. You have to be able to live with yourself.”
March 30, 1990/SESSION WEEKLY 21
Political eyes focus on...
Agenda '92: legislative redistricting
The Census Bureau of the U.S. Department of Commerce wants to know where you'll be on Sunday, April 1.
Your residence as of that date will help reshape the state's congressional and legislative districts. Federal courts have ruled on many cases to give body to the soul of the "one person, one vote" principle of representation.
Every 10 years the federal bureau mails to house addresses census information requests, expecting to learn more about the number of people living in households, the number of home owners or renters, and most important, the number of eligible voters.
Where people reside when they return their census information helps states realign — or redistrict their legislative and congressional districts. The remapping helps states adjust for population shifts to maintain equality in representation at state legislatures and on Capitol Hill in Washington.
States this year will redistrict themselves via the computer. The system will divide the state into census units that the computer operator can move from one district into another. The computer also can keep a running total of the number of people in each unit, and the number of units needed to achieve a redistricting plan that is as equal as possible.
"It's like working an enormous jigsaw puzzle," says Sam Rankin of the House Research Department and staff assistant to the Legislative Coordinating Commission's Subcommittee on Redistricting. "In Minnesota's case, there are 203,000 pieces to the puzzle."
Redistricting can be divided into two parts: the academic preliminaries and the actual remapping. The subcommittee handles the academic areas of administration, finding the equipment, and determining what is necessary for data preparation. The DFL and IR caucuses in both the state House and Senate will handle the actual remapping.
Each caucus team will have a secure work area. The subcommittee, Rankin says, "is confident we can block any security breach, at least at the computer."
The state allocated $700,000 for redistricting. The subcommittee expects preliminary counts from the federal government in September and anticipates that both the state House and Senate will name redistricting committees shortly after the November 1990 general election. According to the timetable, the Legislature should receive detailed population figures April 1, 1991, begin to draw new legislative and congressional districts by May 1, 1991, and complete the process by March 26, 1992. The new districts need to be in place by the 1992 general election in November.
If the House and Senate agree on a plan, it goes to the governor for his approval. If someone successfully challenges the approved plan through a lawsuit, a three-judge federal court panel would then redistrict the state. Federal laws require that court challenges must be decided before the 1992 election.
Rankin says he expects that more than 100 people will work on the redistricting project, with each devoting hundreds to thousands of hours to the task.
A computer could develop a plan that would divide Minnesota into districts that have equal populations, are contiguous, and contain one Senate and two House seats, and are reasonably compact. But there's a problem with a machine-only plan.
"It wouldn't take into account minorities or the existing addresses of incumbents," says Rankin. "It might not consider the 'neighborhood' aspect the center of interest. It wouldn't be sensitive to minority voters and clustering minority populations to maximize the chance for electing minority representatives.
"That's why people have to draw the plan," he adds. "And it has to be done well enough that the legal system says it's a reasonable plan."
April 4, 1893
On this day, the Minnesota state flag was adopted by the Legislature. The design was submitted by Mrs. Edward H. Center of Minneapolis.
Committee Schedule
This schedule is subject to change. For information updates, call House Calls at (612) 296-9283. All meetings are open to the public.
MONDAY, April 2
8:00 a.m.
APPROPRIATIONS
200 State Office Building
Chr. Rep. Wayne Simoneau
Agenda: Various appropriations bills. This meeting is scheduled to last until noon.
Before session
RULES & LEGISLATIVE ADMINISTRATION
Retiring Room Capitol
Chr. Rep. Dee Long
Agenda: Special Orders.
12:00 noon
The House will meet in session.
TUESDAY, April 3
8:00 a.m.
APPROPRIATIONS
200 State Office Building
Chr. Rep. Wayne Simoneau
Agenda: Various appropriations bills. This meeting is scheduled to last until noon.
TAXES
5 State Office Building
Chr. Rep. Paul Anders Ogren
Agenda:
HF2283 (Jefferson)/SF1950 Low-income housing provided, council on homelessness established, related changes made, and money appropriated.
THURSDAY, April 5
Before session
RULES & LEGISLATIVE ADMINISTRATION
Retiring Room Capitol
Chr. Rep. Dee Long
Agenda: Special Orders.
12:00 noon
The House will meet in session.
FRIDAY, April 6
Before session
RULES & LEGISLATIVE ADMINISTRATION
Retiring Room Capitol
Chr. Rep. Dee Long
Agenda: Special Orders.
12:00 noon
The House will meet in session.
Kindergarteners Aryth Smith and Rebecca Malinsky of Torah Academy in St. Louis Park took time out to look at the "Star of the North" in the Capitol rotunda March 29. |
KPRC-TV is proud to announce its purchase of the great M-G-M film package for showing in the Houston area.
To start nightly 10:35 p.m. until conclusion October 1, 1957
For Availabilities, EDWARD PETRY & CO.
Everything is KING SIZED
in the rapidly expanding WHEELING MARKET
King-sized Industrial Growth... that's what's happening in the Wheeling Upper Ohio Valley Market. New and expanded plants and facilities, new people, new buying power, all mean new king sized sales opportunities for you. This growth is so rapid that market data figures compiled six months ago are already obsolete. Let us show you the most recent statistics on the expanding king sized Wheeling Market and how WTRF-TV, dominating this area, can help you reach those king sized sales figures because of its king sized audience. Ask any Hollingbery representative; or call Wheeling—CEDar 2-7777 and let Bob Ferguson, VP and General Manager, or Needham Smith, Sales Manager, give you the entire story.
The MOUNTAINEER, world's largest shovel, is owned by the Hanna Coal Company and operated at Cadiz, Ohio, well within the coverage area of WTRF-TV. It is approximately 160 feet high, weighs 5,500,000 pounds, has a 150 foot boom, and a 92 foot dipper, making it possible to drop its overburden of 90 tons in an arc of 180 degrees, approximately 300 feet wide. It can return for another load in 45 seconds. Compare the MOUNTAINEER'S size with the average bulldozer alongside it; almost like comparing WTRF-TV's audience with its next nearest competitor.
"a station worth watching"
WHEELING 7, WEST VIRGINIA
reaching a market that's reaching new importance!
Terre Haute
INDIANA'S 2nd LARGEST TV MARKET
251,970 TV Homes
CBS, NBC, and ABC Television Networks
TERRE HAUTE, INDIANA
WTHI-TV
and RADIO, too!
Published every Monday with Yearbook Numbers (53rd and 54th issues) published in January and July by BROADCASTING PUBLICATIONS, INC., 1938 DeSales St., N.W., Washington 6, D.C. Entered as second class matter March 14, 1933, at Post Office at Washington, D.C., under act of March 3, 1879.
KRLD-TV
Channel 4 Dallas
--PRESENTS THE FIRST 14 OUT OF THE TOP 15 ONCE-A-WEEK PROGRAMS
and in Dallas where four stations compete,
KRLD-TV has the most viewers......
MORNINGS (7 A.M.-12 NOON)
AFTERNOONS (12 NOON-6 P.M.)
EVENINGS (6 P.M.-12 MIDNIGHT)
seven days a week!
SOURCE: METROPOLITAN DALLAS TELEPULSE REPORT-JUNE, 1957
KRLD-TV
The BIGGEST buy in the BIGGEST market in the BIGGEST State
Channel 4, Dallas
MAXIMUM POWER
KRLD-TV, telecasting from atop Texas' tallest tower, is the television service of The Dallas Times Herald, owners and operators of KRLD, the only full-time 30,000-watt radio station in Dallas-Fort Worth. The Branham Company, national representatives.
JOHN W. RUNYON
Chairman of the Board
CLYDE W. REMBERT
President
FEELING THE HEAT • There's nothing official but next important step in litigation-harassed broadcast copyright sphere might well be withdrawal of networks from ownership interests in Broadcast Music Inc. Continual Congressional sniping at networks plus frowns from Dept. of Justice would be responsible for their separation from industry-owned BMI music organization. BMI control would still repose in individual stock-owning station owners.
B&T
CONGRESSIONAL and legal pressures may lead to another shift in BMI activities—discontinuance or curtailment of yearly broadcast clinics under its auspices. While agendas of these meetings include wide range of operating workshops for station personnel, BMI is subject to charge that circuit-riding schedule is merely designed to promote use of BMI music as opposed to ASCAP.
B&T
BEYOND HORIZON • Look for early announcement of television's first "over-the-horizon" service, linking U. S. and Cuban television on regular, commercial basis. Nobody was talking last week, but AT&T and Cuban company reportedly have completed installations which will employ tropospheric scatter propagation to bridge 185-mile, over-water haul from southern Florida to spot near Havana. System, estimated $3 million joint project of AT&T and Radio Corp. of Cuba, is expected to go into operation in fall, providing one tv channel in each direction and telephone conversations both ways.
B&T
ROBERT LEWINE, vice president and head of nighttime programming for NBC-TV, expected to be promoted to head both daytime and nighttime programming for network, reporting to Emanuel Sacks, vice president, tv network programs. Formal announcement will be made this week. Mort Werner, vice president in charge of daytime, recently resigned to join Kaiser Industries [B&T, July 22] as vice president in charge of "all internal tv activities of the affiliated Kaiser companies."
B&T
WASHINGTON BAPTISM • FCC Network study staff recently concluded that NTA film network must be included as important part of its tv network study and has called on newest of networks for full information. In fact, special Washington meeting has been held between NTA officials Raymond Nelson and Hyman Booker and Dean Roscoe Barrow, network study chief, and staff members. NTA is cooperating in submitting information.
B&T
NEW GIMMICK for improvement of programming and station relations at same time is being sharpened by officials of American Broadcasting Network as they proceed with plans for switchover to all-live personality programming. They hope to announce shortly new arrangement under which ABN affiliates will get advance notice of what musical selections network will play and at what times, so that stations may program their local music more compatibly. Plan also may include suggestions, for optional use, as to what sort of local music might best fit around network portions.
B&T
TOLL TECHNICALITIES • While AT&T is keeping its own counsel on closed-circuit tv, conflicting reports are heard on its technical appraisal of Skiatron's so-called "open wire" method of multiplexing both video and audio service into tv homes. AT&T, from operating standpoint, reportedly contends that system isn't feasible, while Bell Laboratories, AT&T research and development adjunct, is understood to feel that system has possibilities within established interference tolerances and, therefore, would work.
B&T
IF SKIATRON closed-circuit method works, new term will enter electronic lexicon. It is "Parax," name given by Skiatron to its open wire, which, it is claimed, can handle five circuits simultaneously including standard video band without undue interference. FCC engineers, it is said, also lift eyebrows as to feasibility and want to be shown. Even though projected wire systems might not be subject to FCC regulation at this stage, it is logically anticipated that demonstration for benefit of government engineers will be proposed sometime soon — probably before FCC considers "open circuit" or "on air" toll tv proposals Sept. 17.
B&T
IS A PUZZLEMENT • Closed-circuit toll tv was topic of high-level conference called by RCA Chairman David Sarnoff last Monday in New York. RCA-NBC's position has been unalterable opposition to on-air or "open circuit" toll television, and it is opposed to any impingement upon free tv service to public. Participants in conference, in addition to General Sarnoff, were: Robert W. Sarnoff, NBC president; Robert E. Kintner, NBC executive vice president in charge of tv network programs and sales; Emanuel (Manie) Sacks, NBC tv vice president in charge of network programs, and Kenneth W. Bilby, vice president in charge of public relations.
B&T
HAL JAMES, for more than decade vice president in charge of television and radio for Ellington & Co., New York, is expected to join Doherty, Clifford, Steers & Shenfeld, effective Aug. 15, as vice president in charge of radio and television.
B&T
TEXT FOR TODAY • Radio business will lap over into halls of learning if one of Radio Advertising Bureau's current projects works out. Figuring radio has been getting short shrift with rising generations of advertising and marketing executives because most textbooks on such subjects are written from newspaper standpoint, bureau has commissioned several professors to write texts from radio angle. RAB hopes they'll be ready for classrooms by start of 1958-59 scholastic year.
B&T
SUCCESSOR to Ralph W. Hardy, CBS Washington vice president, who died suddenly last Monday of heart seizure while on vacation in Ogden, Utah (story page 54) tentatively has been selected by CBS Inc. President Frank Stanton. It is expected that appointment will be from within CBS organization. Meanwhile Earl H. Gammons, former CBS Washington vice president, now CBS consultant, is sitting in.
B&T
BREATHING EASIER • There is sequel to blessing of the Dept. of Justice on setup and operations of Television Allocations Study Organization, as exemplified in Justice's July 15 letter to FCC Chairman John C. Doerfer [B&T, July 29]. It's this: Representatives of RCA and GE—both of which brought up potential antitrust liability question originally—had been extremely cautious in attending TASO meetings. With publication of Asst. Attorney General Victor R. Hansen's "all clear" letter, RCA and GE participants are attending and participating in TASO meetings with all wraps removed.
B&T
PLOUGH INC. stations are breaking all records on business, according to President Harold R. Krelstein. He reports that as of last July, all four stations showed increases, compared with 1956, as follows: WCOP Boston, up 77%; WCAO Baltimore, up 62.6%; WMPS Memphis, up 34%; WJJD Chicago, up 31%.
B&T
CURTIS SHOPPING • Helene Curtis Industries, Chicago, started informal hearings last week with agencies pitching for $4.5 million account ($3.3 million radiotv) which has left Earle Ludgin & Co. Gordon Best & Co. and Edward H. Weiss & Co., which handle other Curtis accounts, are strong contenders, it's understood, but New York agencies with Chicago offices also are in running. Ludgin agency, incidentally, is in throes of reappraising operation and personnel as result of losing Curtis (about one-quarter of its business) account.
Congratulations KPHO-TV
"HIGHEST-RATED" of 4 Phoenix Stations!
"HIGHEST-RATED" Independent in U.S.!
- In the Phoenix ARB for June, KPHO-TV ranks first in 149 and ties for first in 3 of the 346 quarter-hour time periods during which it is on the air with competition.
- KPHO-TV's share of audience during its time periods on the air from sign-on to sign-off is 31.0%.
Your sister MEREDITH STATIONS and Magazines*
WHEN — SYRACUSE — WHEN-TV
WOW — OMAHA — WOW-TV
KCMO — KANSAS CITY — KCMO-TV
* Meredith Stations are affiliated with Better Homes and Gardens and Successful Farming Magazines
LEAD STORY
Military Again Gazing Greedily at TV—Defense letter to Capitol Hill indicates chs. 2-6 might fit nicely into new technologies developed by military. Sen. Potter, and Rep. Bray see infringement on rights of public. Page 27.
ADVERTISERS & AGENCIES
What's Coming on TV Networks This Fall—Advertisers will spend around $5 million weekly for night programming and that doesn't include the super-specials. Availabilities are getting scarce. Page 28 (night schedules pages 30, 31).
Tintex Thinks TV Is Terrific—But sponsor can't afford high cost of NBC-TV vehicle it would like to ride. Advertiser asks: If market is soft, meet our price. Alternative: Tintex will put its money into print media. Page 32.
Sniffles Will Be Profitable Again—It's hot around the agency marts but they're planning ahead for winter by lining up availabilities for radio and tv time to promote cold remedies. Budgets look about 10% above last year. Page 35.
Jergens Does a Switch—Long a tv network user, and a successful one, lotion maker switches its media strategy by booking spot television campaign. Page 36.
There's No Stopping TV Spot—Television Bureau of Advertising estimates $118 million (gross) was spent for video spots in second quarter of year, $2 million up from first quarter. Network and spot total for first half of 1957 (time only) figured at $486 million in B+T compilation. Page 38.
Who Bungled the Commercials?—NBC-TV and Kudner Adv. reluctant to take blame for telecasting of plugs while verdict of championship fight was being announced. General Motors vice president, Edward T. Ragsdale, "incensed" by incident. Page 40.
Morgens for McElroy?—Executive vice president's name heard frequently as speculation develops on successor to Neil H. McElroy, Procter & Gamble president, who has been nominated to be Secretary of Defense. Page 46.
NETWORKS
Pleasing the Young Folks—Three blue-chip advertisers are sought by CBS Radio to underwrite two-hour block of music programming (12 hours per week) as aural medium's comeback continues. Two-fold object: To bring back additional top national advertisers into network radio and to appeal to 14-24-year age group that researchers describe as preferring radio above other media. Page 50.
Three at Keystone Get Promotions—Noel Rhys, Edwin R. Peterson and Charles A. Hammarstrom elevated by President Wolf. KBS now claims 971 affiliates and cites record business. Page 52.
Mutual's New Owners Take Over—President Roberts says group of independent stations is knocking at the network's door, desiring to become affiliates. New regime now in full charge of radio hookup following purchase from RKO Tele-radio. Page 56.
FILM
Ink Dries on $20 Million Film Deal—Screen Gems prepares first package of Universal films with seven-year contract giving distribution-only rights on 600 pre-1948 productions. Wall Street revives rumors of imminent spin-off as Columbia tv subsidiary becomes largest of all tv syndicators. Page 60.
Everybody Gets an AAP Cut—Film distributor develops an unusual merchandising-promotion scheme to split profits. Stations, manufacturers of Popeye-licensed novelties and AAP all benefit. The story of a plan to make everybody happy. Page 64.
GOVERNMENT
Deintermixing Faces the Bench—First court test of FCC's decisions underway as WTVW (TV) Evansville, Ind., asks appellate court to hold up FCC's order moving it from vhf to uhf channel. Page 70.
Also see AT DEADLINE. Page 10.
Reducing Aids Getting a Onceover—Federal Trade Commissioner tells House probers Regimen, which recently expanded radio-tv spot promotion, has come under its jurisdiction. Page 72.
PROGRAM SERVICES
L. A. Defers Wire System Plan—City council cancels proposal to advertise Skiatron closed-circuit tv franchise for bids. Skiatron raises antitrust spectre in Telemeter and Fox application. Page 78.
STATIONS
News Is Newsy at CBS Chicago—A depth account of the way this CBS o&o outlet reports what's happening in and around Chicago. How alert broadcast newsmen can show newspapers some reportorial tricks. Page 90.
OPINION
How About All This Razzle-Dazzle?—Raymond R. Morgan, Hollywood agency executive, tells those who would hippodrome that "nobody steals the air." A persuasive case for "simple, homely, unobtrusive things." Page 113.
DEPARTMENTS
| Section | Page |
|--------------------------|------|
| ADVERTISERS & AGENCIES | 28 |
| AT DEADLINE | 9 |
| AWARDS | 108 |
| BUSINESS BRIEFLY | 48 |
| CLOSED CIRCUIT | 5 |
| COLORCASTING | 24 |
| EDITORIAL | 114 |
| EDUCATION | 80 |
| FILM | 60 |
| FOR THE RECORD | 99 |
| GOVERNMENT | 70 |
| IN REVIEW | 24 |
| IN THE PUBLIC INTEREST | 111 |
| INTERNATIONAL | 113 |
| LEAD STORY | 27 |
| MANUFACTURING | 83 |
| MONDAY MEMO | 113 |
| NETWORKS | 50 |
| OPEN MIKE | 14 |
| OUR RESPECTS | 22 |
| PEOPLE | 95 |
| PERSONNEL RELATIONS | 77 |
| PROGRAMS & PROMOTIONS | 109 |
| PROGRAM SERVICES | 78 |
| RATINGS | 42 |
| STATIONS | 89 |
| TRADE ASSNS. | 86 |
| UPCOMING | 88 |
Only 22 weekly quarter hours don't belong to WTIX. The other 266 do!
The brand new Pulse gives WTIX a virtual clean-sweep of the New Orleans radio day. Of 288 quarter hours from Monday through Saturday... WTIX is first in 266.
Thus a new dimension of dominance is added to WTIX's continuing—and widening leadership among New Orleans' 11 radio stations.
The most recent (June-July) Hooper shows WTIX with a decisive lead—claiming slightly over twice the audience of the runner-up station. WTIX's share: 23.2%; next station's share: 11.5%.
Storz Station round-the-clock excitement and ideas have created a new New Orleans listening habit, with new time-buying habits to match. Spare the Adam Young man a little time out of your day to tell you why you get nothing but good times out of WTIX's day. Or, talk to WTIX general manager Fred Berthelson.
WTIX first in 11-station NEW ORLEANS
STORZ STATIONS
TODAY'S RADIO FOR TODAY'S SELLING
WDGY Minneapolis St. Paul
WHB Kansas City
WQAM Miami
REPRESENTED BY JOHN BLAIR & CO.
TODD STORZ, PRESIDENT
WTIX New Orleans
REPRESENTED BY ADAM YOUNG INC.
NBC BUYS WJAS PITTSBURGH
NBC, without regular radio affiliate in Pittsburgh since last year, has bought WJAS-AM-FM in that city, subject to customary FCC approval, according to announcement being released today (Monday). Price understood to be $725,000. WJAS is on 1320 kc with 5 kw and currently is affiliated with ABN. WJAS-FM duplicates am programs and is on 99.7 mc with 24 kw.
NBC president Robert W. Sarnoff said WJAS-AM-FM would return full schedule of NBC Radio programs to country's eighth largest market and expressed confidence NBC network's recent growth in audience and advertiser acceptance would be "greatly accelerated by the addition of these important stations." WJAS President H. Kenneth Brennen, whose father founded WJAS in 1921, said: "As pioneer broadcasters we are proud that WJAS is becoming part of NBC and of the oldest radio network in the country, particularly at this time of radio's resurgence."
NBC has not had regular radio affiliate in Pittsburgh since KDKA and other Westinghouse stations disaffiliated, although both KDKA and WWSW Pittsburgh have carried some NBC programs during interim. Acquisition of WJAS-AM-FM will bring NBC's radio station ownership to FCC maximum of seven.
Sale of WJAS stations was required under terms of merger agreement with Pittsburgh Post-Gazette (WWSW) whereby FCC granted Pittsburgh ch. 11 to WWSW, with option for 50% ownership held by Pittsburgh Radio Supply House Inc., WJAS licensee. Grant was conditioned on disposal of WJAS stations to conform to duopoly regulation. Pittsburgh ch. 11 station, WIIC (TV), began operating July 15, is affiliated with NBC.
Monsanto to Sponsor CBS-TV Science Show
MONSANTO Chemical Co., St. Louis, will sponsor new series of 10 hour-long programs entitled Conquest on CBS-TV starting early in November and through spring of 1959 (four to be seen in 1957-58 season) "as part of its current campaign to increase public interest in scientific progress and in science as a career."
Joining in announcement Friday were CBS-TV President Merle Jones; Dr. Charles Allen Thomas, Monsanto's president; Dr. Detlev W. Bronk, president of National Academy of Sciences and also of Rockefeller Institute for Medical Research, and Dr. Laurence H. Snyder, president of American Assn. for Advancement of Science and dean of U. of Oklahoma's graduate school.
Series is designed to inform tv audience of scientific "breakthroughs," to recognize scientists for research contributions and to help answer need for trained scientists by focusing attention on this problem. In each telecast, science newsreel, two filmed reports of major scientific developments, profile of famous scientist and special award feature will dramatize each objective. Team of CBS news correspondents will serve as on-camera science reporters on series that will be supervised by Irving Gitlin, CBS director of public affairs, and will be produced by Michael Sklar of public affairs department. Gardner Adv., St. Louis, is agency. Time and debut are not set.
KTLA (TV) Appoints P.G.W
KTLA (TV) Los Angeles Friday announced appointment of Peters, Griffin, Woodward as national sales representative, effective Aug. 15. KTLA operates on ch. 5, is owned by Paramount Pictures.
TWO HEADS BETTER?
NEW regime at Mutual (see story, page 56) understood to be establishing new station relations department set-up, encompassing two directors of unit instead of conventional one. Charles W. King is to continue as station relations director, headquartering in New York and concerning himself primarily with administrative duties. Counterpart of his job has been created, which will be exclusively field position, under which director will give affiliates guidance, examine their problems, etc. Mutual reportedly has hired for this post executive who owns two am and one fm station. Both directors will report directly to Paul Roberts, new Mutual president.
PICTURE PROMOTION • Metro-Goldwyn-Mayer, through Donahue & Coe, both N. Y., understood to be planning usual premiere performance radio-tv spot campaign (emphasis on radio) in major markets coincidentally with October release of film version of "Don't Go Near The Water" starring Glenn Ford and Eva Gabor.
DAY SPOTS • Junket Brand Foods Div. of Chr. Hansen's Lab. Inc. (Rennett powder), through Sullivan, Stauffer, Colwell & Bayles, N. Y., week after Labor Day will start placing 27-week daytime minute tv campaign in 12-15 markets.
House May Bare Air Deals In Boxing, Horse Racing
REP. Emanuel Celler (D-N.Y.), whose House Antitrust Subcommittee last week completed hearings on professional team sports, Friday said that he may shortly order full-scale investigation of professional boxing and horse racing. Investigation would begin "probably this fall," he said.
Previous hearings, to determine advisability of placing professional team sports under antitrust laws, went extensively into radio-tv income for various teams and role played by pay tv in future plans. Broadcasting also contributes heavily to boxing and track income and would figure prominently in any investigation, observers feel.
Rep. Celler expects his subcommittee to have legislation ready for January session of Congress setting limits on antitrust control of professional sports.
Zenith Profits Increase; McDonald Raps Wired Toll
ZENITH RADIO Corp. estimated consolidated net profits for company's first fiscal quarter, ending June 30, 1957, were $747,547, or $1.52 per share. This estimate was figured after reserves set aside for depreciation, excise taxes, contingency reserves and federal income tax. It compares with profits of $699,659, or $1.42 per share, in same period of 1956. Consolidated net profits for six months ending June 30 totaled $2,398,137, or $4.87 per share; compared with $2,530,824, or $5.14 per share for same 1956 period.
Consolidated sales for first three months of fiscal year amounted to $29,827,712, compared with $27,455,617 for similar 1956 quarter. For six month fiscal period, consolidated sales totaled $66,486,222 compared to last year's six month figure of $65,370,935.
In reference to toll tv, Zenith President E. F. McDonald Jr. declared continued delay by FCC will encourage development of wired pay tv. He added: "The net effect of the large-scale development of closed-circuit subscription television would be to weaken the entire tv broadcasting industry."
NARTB Sends Tv Week Kits
STATION planning for National Television Week (Sept. 8-14) was speeded Friday as NARTB sent out basic materials for use in promoting observance of annual event. Comprehensive kit of promotion and program ideas is supported by background information and series of special campaigns.
Included in NARTB package are news releases, proclamations by public officials, lists of civic and fraternal organizations aiding in weeklong event, suggestions for contests, retailer aids, slides and newspaper mats, promotional spots, speeches, etc.
TREASURE AND TRAGEDY
TREASURE hunt conducted by KILT Houston met with fatal accident just before deadline when Jimmy Watts, 38, Houston insurance man, fell off scaffold at Museum of Fine Arts late Thursday while hunting around excavation for hidden $25,000 check. William C. Weaver, KILT manager, termed accident "terribly unfortunate." Station had repeatedly announced that check was easily accessible to five-year-old child and not near anything dangerous. Accident victim had climbed scaffold, falling into excavation. Contest was just entering tenth and final day at time of accident.
ABN Affiliates Board Meets Wednesday in N.Y.
ALL-DAY meeting of American Broadcasting Network Station Affiliates Advisory Board to be held Wednesday at University Club in New York, Edward J. DeGray, ABN vice president in charge of station relations, announced Friday.
Board members include Simon Goldman, WJTN Jamestown, N. Y.; J. P. Williams, WING Dayton; Ben A. Laird, WDUZ Green Bay, Wis.; T. B. Lanford, KALB Alexandria, La., and KRMD Shreveport, La.; C. B. Locke, KFDM Beaumont, Tex.; William C. Grove, KFBC Cheyenne, Wyo.; James W. Wallace, KPQ Wenatchee, Wash.; Jack S. Younts, WEEB Southern Pines, N. C.
Representing ABN at the meeting will be Robert E. Eastman, president; Stephen B. Labunski, vice president in charge of programming; Thomas C. Harrison, vice president, sales; Stephen Riddleberger, administrative vice president, and Mr. DeGray.
Senators Eulogize Hardy
THREE U. S. Senate leaders eulogized late Ralph W. Hardy, CBS Washington vice president, on floor of Senate last Thursday. Sen. Lyndon Johnson (D-Tex.), majority leader, declared that "the future of America lies with young, able men like Ralph W. Hardy. We have lost a citizen who cannot be easily replaced." Sen. Jacob K. Javits (R-N. Y.) declared that Mr. Hardy "made a great place for himself not only as a leader in his industry but as a leader in civic affairs, and as one who had a deep solicitude for the public interest." Sen. Arthur V. Watkins (R-Utah) said that Mr. Hardy brought "honor" to his state, the Intermountain region and to his family. He also stated: "His was a service always ready at call, and freely given." Mr. Hardy suffered heart attack while on vacation in Utah early last week (see page 54).
PEOPLE
RALPH C. TANNER, vice president and director, Anderson & Cairns, N. Y., appointed chairman of agency's creative board.
KENNETH C. LOVGREN, former copy manager, Foote, Cone & Belding, L. A., at one time with Young & Rubicam, Henri, Hurst & McDonald and Ross Roy Inc., named advertising director of Stauffer System, slenderizing salon chain, and will direct expanded advertising program that will include spot radio. FC&B, L. A., and Anderson & Cairns, N. Y., service account.
EMMETT BATES FAISON, account executive, Benton & Bowles, to H. B. Humphrey, Alley & Richards, N. Y., as account executive.
ROBERT MILFORD, formerly with William Esty Co., N. Y., to Kudner Agency, N. Y., as tv producer-director.
RICHARD F. GORMAN promoted from assistant advertising manager to advertising manager of Admiral Corp. (radio-tv sets, other products), Chicago.
VAN B. FOX, serving with NBC-TV Wide Wide World in various capacities for two years, named director of program which makes fall debut Sept. 15.
PETER KORTNER, story editor for Playhouse 90, promoted to newly created post of associate director of CBS-TV's weekly 90-minute dramatic series.
MORT GRANAS, assistant to manager of live cost control, west coast production operations, CBS Television, appointed manager of cost administration of department.
AFM May Take Action Against Record Companies
AMERICAN Federation of Musicians Hollywood local put off until today (Monday) decision on how to proceed against recording companies which have not recognized boost in scale for arrangers and copyists instituted by local last month, but have continued to pay old scale. Local had planned effective last Friday to put companies on national AFM default list, which would make it impossible for them to hire AFM members, but at last minute postponed action over weekend. Local did not identify holdouts, said to include such companies as RCA Victor, MGM and Capitol. Only statement from record makers was that of Capitol to effect that it has national agreement with AFM which specifies scale for arrangers and copyists, and Capitol is abiding by this agreement.
Court Rebuffs WTVW
REQUEST for stay against FCC's order deleting ch. 9 from Hatfield, Ind., and issuance of show cause order to WTVW (TV) Evansville looking toward move of its ch. 7 to Louisville (with ch. 31 substituted), made by WTVW last Thursday to U. S. appeals court (see story page 70), dented Friday. Court issued no opinion, merely denying stay request.
Oil, Texas' major product, has been largely responsible for Texas' tremendous growth. Today, San Antonio is the state's third largest city and still growing—with greater retail sales per family than St. Louis, Shreveport, Pittsburgh, and Spokane.
IN EACH TELEVISION MARKET THERE IS ONLY ONE LEADER.*
IN SAN ANTONIO, IT'S KENS-TV
ASK YOUR PETERS, GRIFFIN, WOODWARD COLONEL FOR COMPLETE DETAILS.
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STATE
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NO. 1 NATIONALLY, AND “TOP 10” IN 120 ARB REPORTS! Check all the rating services . . . ARB, Videodex, Pulse . . . they all rate this MCA TV thriller right up at the top. STATE TROOPER is the No. 1 adventure hit – highest rated! — in St. Louis 40.7, Milwaukee 20.4, Pueblo 56.9, Chicago 19.9, Boston 23.3, Cleveland 20.9, Davenport-Rock Island 29.6, San Antonio 32.3, Santa Barbara 26.3, Columbia-Jefferson City 40.1, Jackson 38.3, Peoria 38.0, Chico 57.3, Birmingham 34.2, Minneapolis-St. Paul 17.2, Philadelphia 18.7, Atlanta 22.7, Montgomery 37.0, Phoenix 28.1, Jacksonville 41.3.
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This program is produced with the cooperation of the Sheriffs' Association of the State of Nevada.
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OPEN MIKE
Editorial Support
EDITOR:
It certainly is a pleasure to see Broadcasting going to bat for industry standards. What I have in mind is the editorial, "Hot Spots" [B&T, July 29], about the General Foods-Bristol-Myers plan to control broadcast time. Another editorial of the same kind was your recent exposure of the evils of film-for-time barter deals.
Eugene Katz
President
The Katz Agency, New York
For the Record
EDITOR:
In the July 15 B&T there was a story concerning Mutual which repeated what has been reported to be the circumstances of its founding. Over the years, I have seen similar reports and have always intended to write you and make the proper corrections.
The particular point that needs correction and which should be eliminated from Mutual's history is that it was an outgrowth of the former Radio Quality Group. Mutual's birth was never due to or was in any way concerned directly or indirectly with the Radio Quality Group, nor was it ever called the Radio Quality Group. The fact is that Radio Quality had a short life of a year or two prior to Mutual's founding. It had failed completely and this failure was psychologically something of a liability in organizing Mutual. Radio Quality had been dead, was buried and those of us who conceived and started the movement for Mutual had never been in any way associated with it. The fact that one member of Mutual (WOR) had at one time been a member of Radio Quality no doubt gave rise to the rumor.
George F. Wilson
Wilson Broadcasting Corp.
Worcester, Mass.
No C-C in Pittsburgh
EDITOR:
In an article regarding our firm, Bryg Inc. [B&T, July 8], I would like to call your attention to the second paragraph which specifies that we have demonstrated our system on a still basis over a Pittsburgh-New York closed circuit. This is not true. The only closed circuit work performed was in New York and we have leased facilities at Carnegie Tech, Pittsburgh, which have not been used for any closed circuit.
Samuel H. Depew
Executive Vice President
and General Manager
Bryg Inc., Butler, Pa.
Any Earlier Man-on-Street?
EDITOR:
Our attention was called to the item reporting Parks Johnson, "credited as the man who originated the man-on-the-street program...in 1932" [B&T, June 17].
Karl Stefan, our former chief announcer, produced a daily Voice of the Street program by portable short-wave on WJAG, starting Dec. 19, 1932. Mr. Stefan was elected to the U.S. House of Representatives, 1934, remaining there until his death [in] 1951. His Voice program continued on WJAG until wartime restrictions of 1941.
We wonder if there were any earlier, regular man-on-the-street programs.
Bob Thomas
Manager
WJAG Norfolk, Neb.
Radio While You Wait
EDITOR:
Your item entitled "Another Radio Service" [B&T, July 1], was timely for KWG. Shortly after that issue of B&T arrived, this station moved into new facilities with a situation developing that was similar to your article with the added feature that a telephone line does not have to be left open in order to feed the radio program to a caller who is waiting to be connected with his party.
We'll admit, however, that it was strictly an accident.
Robert W. Billman
Promotion Director
KWG Stockton, Calif.
[EDITOR'S NOTE: Mr. Billman was inspired by B&T's story of an RAB telephone operator who let callers listen to the station's program so they could listen to the radio. When telephones were installed at KWG it developed that the station's program could be heard following the telephone conversation. This was corrected on the regular lines, but couldn't be eliminated on the "hold" position. The station turned the handicap to an advantage by adopting RAB's technique.]
Students Have Chance
EDITOR:
In regard to a letter in OPEN MIKE [B&T, July 22] implying that the broadcast industry is scared of college trained students or showing preference to radio school diplomas, I find...the broadcast industry willing, even anxious, to absorb young persons from all walks of life and varied educational backgrounds. If a preference exists, it would be in favor of the college or university trained man.
Many broadcasters devote valuable time as advisors to colleges. Professional or trade schools do not enjoy such distinction. Scholarships and financial aid for college men and women are standard operating procedures at many stations.
I will admit that announcers and production people holding first class radiotelephone operator licenses must, of necessity, be given some preference. Still, there is a vast absorption of unlicensed persons.
I hope that the letter merely referred to a somewhat presently dormant situation in an immediate area...The broadcasting field rates at the top for consideration of, absorption of, and advancement of college trained people as well as any other talent that will enhance the field.
William B. Ogden
Educator
Radio Operational Engineering School
Burbank, Calif.
AN AWE FULL EYEFUL
On June 11, from the top of WTAR-TV's 1,049-foot tower you could have seen history's greatest peacetime display of naval might—a 14-mile double row of ships stretched out through Hampton Roads for the International Naval Review.
Then, had you "panned" around to the left in a complete circle, you would have looked down on five major Virginia cities—Hampton, Newport News, Warwick, Portsmouth and Norfolk—ringing Hampton Roads in one big eye-popping market . . . the greatest, growingest in Virginia, and 27th in the nation!
Atop our tower, you would be at the focal point of this big five-city market, dominated by WTAR-TV.
For more information about the foremost communications medium in Virginia's greatest market, write to WTAR-TV or your Petry man.
WTAR-TV
CHANNEL 3, NORFOLK, VIRGINIA
Business Office and Studio—720 Boush Street, Norfolk, Va.
Telephone: Madison 5-6711
REPRESENTATIVE: Edward Petry & Company, Inc.
There Must Be A Reason Why
Edward
NEW YORK · CHICAGO · ATLANTA
Millions and Millions of Dollars
were invested in Spot TV advertising
by leading COSMETIC manufacturers during 1956.
Cosmetic advertisers know Spot TV advertising dollars are working dollars. They produce many more sales dollars by reaching milady when she's most receptive to your message. Cosmetic advertisers know Petry represented stations do an excellent selling job for them, reaching one-third of all TV homes.
Television Division
Petry & Co., Inc.
THE ORIGINAL STATION REPRESENTATIVE
BOSTON · DETROIT · LOS ANGELES · SAN FRANCISCO · ST. LOUIS
For 33 years, KVOO has been the "Voice of Oklahoma". Let this powerful voice speak for you. It will tell your story to all of Oklahoma's No. 1 market... plus a rich bonus market in Kansas, Missouri, Arkansas!
The only station covering all of Oklahoma's No. 1 Market
Broadcast Center • 37th & Peoria
HAROLD C. STUART GUSTAV BRANDBORG
President Vice Pres. & Gen. Mgr.
Represented by EDWARD PETRY & CO.
1170 KC • 50,000 WATTS • CLEAR CHANNEL • NBC
"The Voice of Oklahoma"
26 MEN
thundering out of the West
... The 26 daring Arizona Rangers tamed America's last wild territory ... rounded up over 4,000 rustlers, desperadoes, gunmen and swindlers at the turn of the century. All the flavor of the historical conflict between law and outlaw is in 26 MEN ... filmed for TV on scenic Arizona locations capturing the impact and excitement of the last frontier. Producer — Russell Hayden.
new! ADULT action!
WESTERN
SOLD, within first two weeks of release in over 50 markets, to such advertisers as:
- Brylcreem
- A & P
- Kroger Co.
- Coca Cola
- Fritos
- Bardahl
- Humpty-Dumpty Stores
- H. P. Hood & Sons
- Standard Oil of Texas
- Friehofer Baking
- Max Russer Meats
- Nic-L-Silver Battery
- Mrs. Smith's Pies
CONTACT:
ABC FILM SYNDICATION
1501 Broadway, N.Y.C.
Lackawanna 4-5050
The image shows a person in a yoga pose, with their head touching the ground and their arms extended forward. The person is wearing a hat and glasses. The background is plain white, which helps to emphasize the figure and the pose. The lighting creates shadows that add depth to the image.
There's more to Florida!
For photography and pleasure, Florida's beaches are unsurpassed, but of greater significance to northern Florida is the commerce-laden port of Jacksonville, busy gateway between the world and a marketing area stretching deep into Florida and beyond.
There's Georgia, for instance
...much of which lies within the Jacksonville distribution area and relies on Jacksonville for its goods...and its television. WMBR-TV covers 34 counties in Georgia which contain 12.5% of all the television homes in the entire state, and account for 10.8% of Georgia's general merchandise sales. In fact, WMBR-TV's NCS area takes in 17.5% of all the tv homes in Florida and Georgia combined...and 16.6% of combined general merchandise sales!
and WMBR-TV, Jacksonville
is strongly entrenched, through friendship and long habit, in the lives of the 300,000 television families* in this 67-county area. Throughout the "outside" area, WMBR-TV is the eleven-to-one favorite over its competition. Within the Jacksonville metropolitan area, the latest ARB gives WMBR-TV a five-to-one lead.
WMBR-TV - Channel 4, Jacksonville - Operated by The Washington Post Broadcast Division...Represented by CBS Television Spot Sales
*NCS updated to 8-1-67.
OUR RESPECTS
to Orville Wayne Rollins
THE world of broadcasting added, unknowingly, one of its most energetic enter-
prisers and one of its most individualistic innovators in radio market specialization
when O. Wayne Rollins was hospitalized in 1948 with a ruptured vertebral disc.
The man who today is president of Rollins Broadcasting Inc. (seven radio stations
and one tv) was sentenced by the doctor to "a life of less strenuous work." For a
man who ran his own construction and realty business and had been brought up
working on his father's farm, this was a dismal outlook indeed.
During his long convalescence, Wayne Rollins' curiosity, if not his energy, turned
to the companion of his bedside, radio; from there, his inquiring mind sorted over
the things he didn't know about radio stations, and their operation. Then came an
intensive and avid reading of trade magazines and research reports in the broad-
casting field. By the time he got out of the hospital, he was following up his book-
knowledge with visits to radio stations, where he looked and listened and asked
questions, and, to himself, compared one operation with another. By 1950 he was
ready, and with his younger brother, John, a former lieutenant governor of Delaware,
he entered the radio broadcasting business.
From the start, every Rollins station has carried the singular stamp of this late-
comer among multi-outlet operators: programs for a specialized audience.
As an example of his company's "concerted emphasis in market specialization,"
Mr. Rollins cites his WGEE Indianapolis, which is, he says, "designed to serve a
combined white and Negro audience in an agricultural setting [and] is the first
Indianapolis station to offer specialized program segments to this vast Negro audi-
ence." And a clue to the Rollins technique: "But for the meticulous market research
that goes into the planning of each Rollins station, painstaking surveys that take
months to complete, Indianapolis might still be without Negro programming."
The Rollins spread began in 1950, when the new company built WRAD Radford,
Va., largely to "meet the requirements" of the students and faculties of Radford State
Teachers College and Virginia Polytechnic Institute. A year later WFAI Fayetteville,
N. C., began programming to the people of that city and to nearby Fort Bragg, which,
in the words of Rollins' publicity department, had "more men between the impres-
sionable ages of 19 and 21 than in the city of Philadelphia." These two stations,
since sold, were the first two of nine radio outlets to undergo the Rollins touch.
IN 1952, the company, in with both feet, built two more stations for special audi-
ences. WJWL Georgetown, Del., wooed in its area a "large and prosperous farm
population," while WRAP Norfolk, Va., became Rollins' first all-Negro station.
In November 1953, Rollins acquired WNJR Newark, N. J., and engaged "nation-
ally-recognized personalities" to form the nucleus of the station, which is beamed
to America's largest Negro market—New York City.
In 1954, the company bought WAMS Wilmington, Del., one of three network-
affiliated stations in the community, and converted it to a full-time independent,
offering personalities in music, news and sports.
After Rollins had built WBEE Harvey, Ill. (Chicago suburb), in 1955, the com-
pany's research found a "critical need for specialized programming to service an
immense Negro audience" which had concentrated in the Chicago area. Rollins met
this "need" by expanding programming and by acquiring the services of Mahalia
Jackson, Columbia Records star, who "augmented an array of other well-known
Negro talent." In June 1955, Rollins added KATZ St. Louis.
Orville Wayne Rollins was born May 5, 1912, at Ringold, Ga. After attending
the U. of Chattanooga, where he studied chemical engineering, the first (non-broad-
cast) phase of his business career included work as a dye supervisor in a Tennessee
textile mill and five years as a supervisor in the manufacture of TNT at the Hercules
Powder Co. plant at Chattanooga.
From Rollins Broadcasting Inc. headquarters in Wilmington, its president oversees
a number of other activities, including two farms in Delaware, a ranch in Georgia,
a 14,000-acre ranch and extensive real estate holdings in Florida, and with his
brother, John, an automobile dealership business and a nationwide leasing firm. He
logs 70,000 miles a year, using commercial airlines and two private planes.
Mr. Rollins is vice president of Delaware Broadcasters Assn. He married the
former Grace Crum in 1931. They are parents of Randall, 24, and Gary, 13.
Last year Mr. Rollins, with few fields left to conquer in radio, extended his
market specialization methods into television. Rollins Broadcasting acquired its first
tv station, WPTZ (TV) Plattsburgh, N. Y., "with an eye on the 1½ million population
of Montreal, an expanded air base and the St. Lawrence Seaway Project."
WKMH
AIMS STRAIGHT AT THE HEART OF A TEN BILLION DOLLAR MARKET
With a magic programming formula of news, music and sports EXCLUSIVELY, WKMH aims straight at Detroit—the very heart of the mighty Michigan market! For a Bulls-Eye every time, load WKMH with YOUR sales message. According to PULSE* it's the most effective listener-landing weapon in Detroit!
*Greatest share of audience—12 to 12!
Lowest cost per thousand—at ALL hours!
SAVE UP TO 15%
BY USING 2 OR MORE KNORR STATIONS
Buy 4 or 5 Stations......SAVE 15%
Buy Any 3 Stations......SAVE 10%
Buy Any 2 Stations......SAVE 5%
WKMH
Dearborn—Detroit
WKMF
Flint, Mich.
WKMJ
Jackson News &
Telev. Corp.
Jackson, Mich.
WSAM
Saginaw, Mich.
WELL
Southern Mich.
Broadcasters
Battle Creek, Mich.
FRED A. KNORR, PRES.
Represented by Headley-Reed
KNORR BROADCASTING CORP.
Broadcasting • Telecasting
August 12, 1957 • Page 23
AS OTHERS SEE US
VIEWERS were presented a sobering picture of the problems besetting international public relations in this collection of “man-in-the-street” interviews about America, gathered in eight foreign countries by NBC-TV reporter-cameraman team Joe Michaels and Sy Avnet. Samples: A Briton disliked the idea of his country taking a back seat to the U. S. in world affairs; a Frenchman was grateful for American aid to his country but noted that few Frenchmen would care to admit this; some Germans hit at the U. S. “lack of culture” but admitted to reading Hemingway and listening to jazz; some Indians thought U. S. atomic tests might be causing the Asian flu, and also criticized this country’s military aid to Pakistan; a Japanese reiterated the old demand that American troops leave his homeland.
Mr. Michaels, who originally went on his world-wide interview assignment for the Today show, appeared between film shots to deliver background commentary.
Production costs: Nominal.
Telecast sustaining on NBC-TV, Sun., Aug. 4, 5:30-6:00 p.m. EDT.
Producer: Larry Picard.
Director: Robert Priaux.
AMERICAN BANDSTAND
ALTHOUGH an ABC-TV news release indicates its new daytime program, American Bandstand, appeals to both teen-agers and adults, this post-teen-age reviewer has definite reservations. It is conceivable the younger set finds the predominantly rock n’ roll selections “real cool!” but most adults are likely to consider themselves a “lost generation” of viewers.
The program has been carried several years on the network’s Philadelphia affiliate, WFIL-TV, and began its network exposure last Monday. Its format includes dancing by teen-agers in the studios of originating station WFIL-TV (music recorded) and interviews by m.c. Dick Clark with teen-agers and guest personalities. Mr. Clark is a personable, self-assured performer and blends in well with the youngsters, who undoubtedly consider him a hip oldster. On the initial show, guest performers were Billy Williams and The Chordettes. Even their selections were aimed at the teen-age audience, though Mr. Williams sang an old-time song which is enjoying a current revival, “I’m Gonna Sit Right Down” and Write Myself a Letter.” At appropriate pauses, Mr. Williams interjected a comment (“oh, yeah”), which apparently is his trademark, and the visiting youngsters were “all shook up.”
It is not likely many housewives (unless they’re hep to “crazy,” “oh, yeah,” “I’m with you,” and “ah, too much”) will tune in these summer afternoons.
Production costs: $10,000 weekly.
Telecast on local co-op and participation basis on ABC-TV, Mon.-Fri., 3-4:30 p.m. EDT
Format: Live and recorded music, guests, studio dancing
Host: Dick Clark
Producer: Tony Mammarella
Director: Edward J. Yates
VACATION CRUISE
CBS Radio has improved on movie producer Mike Todd by launching a Vacation Cruise to go “around the world in 20 (not 80) days.” The series replaces Pat Buttram’s Just Entertainment for four weeks (20 broadcasting days) and includes various ports of call.
In last Tuesday’s program, Comdr. Jim Conway (U. S. Naval Reserve and CBS Chicago staffman) emceed the cruiser into Rio de Janeiro for songs by Len Dresslar, Connie Mitchell and the King’s Jesters. Succeeding musical journeys will take listeners to Ireland, England and other countries.
Production costs: About $3,000.
Sponsored by William Wrigley Jr. Co. (Juicy Fruit gum), through Ruthrauff & Ryan Inc., on CBS Radio, Mon.-Fri., 1:45-2 p.m. (CDT).
Produced and directed by: Howard (Pat) Weaver.
Co-director and writer: Art Thorsen.
COLORCASTING
The Next 10 Days Of Network Color Shows (All Times EDT)
CBS-TV
Colorcasting schedule cancelled for summer.
NBC-TV
August 12-16, 19-21 (1:30-2:30 p.m.) Club 60, participating sponsors.
August 12-15, 19-21 (3-4 p.m.) Matinee Theatre, participating sponsors.
August 12, 19 (9:30-10 p.m.) Arthur Murray Party, Bristol-Myers through Young & Rubicam.
August 14, 21 (9-10 p.m.) Kraft Television Theatre, Kraft Foods Co. through J. Walter Thompson Co.
August 15 (10-11 p.m.) Lux Video Theatre, Lever Bros. through J. Walter Thompson Co.
August 17 (8-9 p.m.) Julius La Rosa Show, participating sponsors.
August 18 (4:30-5 p.m.) Zoo Parade, sustaining.
August 18 (9-10 p.m.) Goodyear Playhouse, Goodyear Tire & Rubber Co. through Young & Rubicam.
KILT
No. 1 in Houston
(Pulse, Hooper, Trendex)
proudly announces
the appointment of
JOHN BLAIR & CO.
as exclusive
national representatives
August 1, 1957
affiliated with
KLIF DALLAS
KTSA SAN ANTONIO
STATE OF ARKANSAS
EXECUTIVE DEPARTMENT
BE IT KNOWN TO ALL
MEN PRESENT, THIS
CITATION
FOR DISTINGUISHED SERVICE
IS CONFERRED UPON
RADIO STATION KTHS
IN RECOGNITION FOR
CONSISTENT AND DISTINGUISHED
PUBLIC SERVICE TO THE STATE
OF ARKANSAS, AND ITS PEOPLE.
CONFERRER BY
G. W. HALL
SECRETARY OF STATE
ORVAL E. FAUBUS
GOVERNOR,
STATE OF ARKANSAS
THIS 28th DAY OF JUNE 1957
Arnold Sykes, (left), Executive Assistant to Arkansas' Governor Faubus presents Citation to B. G. Robertson, General Manager of KTHS.
STATE OF ARKANSAS AGAIN
MAKES AWARD TO KTHS!
In April 1954, Governor Francis Cherry awarded to KTHS the first "distinguished service" citation ever bestowed on any advertising medium by the Governor of Arkansas...
On June 28 of this year, another Arkansas Governor — Hon. Orval E. Faubus — gave KTHS the second award ever conferred for "Distinguished Public Service."
Backbone of KTHS's public service programming is the highly unusual weekly show, "Can You Use Me?" — a job-placement service produced in cooperation with the Employment Security Division of the State of Arkansas. Since its inception in 1953, job placements from this program have averaged a whopping 72%!
In 1956, KTHS also aired more than 500 hours of public service programming (not including news) — plus more than 13,000 public service announcements — more than $187,000 in time costs alone!
Outstanding Public Service . . . 50-KW signal . . . and topnotch local and CBS programs all combine to make KTHS Arkansas' greatest advertising value.
KTHS
50,000 Watts
CBS Radio
BROADCASTING FROM
LITTLE ROCK, ARKANSAS
Represented by The Henry I. Christal Co., Inc.
Under Same Management as KWKH, Shreveport
Henry Clay, Executive Vice President
B. G. Robertson, General Manager
DEFINITE evidence that the military is casting covetous eyes toward TV chs. 2 through 6 and plans to put in a bid for them—if it has not done so already—was contained in a letter from Office of Defense Mobilization Director Gordon Gray to Sen. Warren Magnuson (D-Wash.), released last week.
This interpretation was made by Sen. Charles Potter (R-Mich.) and Rep. William Bray (R-Ind.), both of whom accused ODM of placing itself above Congress and the public. Messrs. Potter and Bray are authors of identical bills calling for a three-man commission, independent of all government connections, to be established to investigate present utilization of the spectrum [B&T, June 24].
The two lawmakers took special note of one passage of the letter, which stated: "The Department of Defense has indicated that [so] much technological progress has been made, which finds wide application in defense planning, that the military services find it difficult to meet requirements with the limited spectrum space available, and that this situation will become more critical as new technology now under development reaches the operational stage."
This immediately raises the question as to whether or not the "new technology" (such as supersonic aircraft, radar networks, guided missiles, earth satellites, etc.) has not, in fact, already been developed to the point where such space presently is being sought by the military.
The ODM statement, Sen. Potter pointed out, is positive proof of the military's plans to seek more room in the spectrum. Rep. Bray's pointed comment: "While military vehemently denies it has such plans [to secure chs. 2-6], all its actions point the other way."
It is the lower portion of the VHF band (2-6) which recurring reports have insisted is most attractive to the military.
Mr. Gray's letter was in answer to a June request by Sen. Magnuson for ODM's comments on Sen. Potter's bill. Mr. Gray listed several reasons why such a study as called for by the bills should not be conducted. Queried on the validity of these objections, Sen. Potter said: "Each one is as phony as a $3 bill." ODM objections were, in essence:
- The objectives of such a study are "being adequately met under present law."
- It "would necessarily duplicate the continuing studies of the Executive Branch on the government use of radio frequencies."
- The study would be too big and too complicated.
- It would require the use of an "extensive radio monitoring system" which the U.S. does not possess.
- Such a study would duplicate one already completed with the assistance of the FCC. [Mr. Gray evidently was referring to a study completed in April 1956 which concluded that the military could not release any of its presently allocated space for commercial use and that, in fact, more space may be needed in the future (B&T, April 16, 1956). This study was undertaken at the request of George C. McConnaughey, then chairman of the FCC, and was completed by Mr. McConnaughey, Maj. Gen. Jerry V. Matejka, USA (ret.), George T. Moore of the Commerce Dept. and George T. Larkin of the Defense Dept.]
- Present spectrum use by the government is necessary "to insure the conduct of essential government programs."
- Passage of the bill would be "unfortunate and unnecessary."
- "If the intent is to find out whether the federal government could release frequencies which might be useful for VHF television, the recently completed study referred to above led to the conclusion, which the FCC accepted, that national security requirements and the needs of far-flung air navigation and air communications of the U.S. . . . preclude the release of spectrum space now used by the federal government."
In answer to ODM, Sen. Potter reiterated his conviction that the government is "wasting" much of its presently allocated space, and, at the same time wants more. "We still do not know how the government is using its space," he said.
He strongly attacked the previous study referred to by Mr. Gray as one conducted...
by the military, as not being broad enough and as leaving the public with no recourse. The Michigan Republican stressed the fact that the "thorough and comprehensive study" proposed in his and Rep. Bray's bills would be made by three experts completely divorced from the government and commercial broadcasting.
The 1956 study could be used as a base to begin from, Sen. Potter felt, and there would be no duplication of efforts. He questioned whether or not his proposal would go into areas requiring such a radio monitor as claimed by the ODM director. If so, he said, "one should be acquired."
Sen. Potter again stressed that "no one wants to endanger national security but consideration must be given to civilian needs." Under the present system, he said, the "public is given no recourse."
Rep. Bray was even more outspoken in his criticism of Mr. Gray's stand. It is "unreasonable and bureaucratic to the extreme in that they [military arms] put themselves above a review by Congress," he stated. "Apparently they do not want Congress and the public to know of their plans [to demand the lower vhf channels] until they spring them. If the request for more space is justifiable, they would want the public informed."
He, too, stressed the fact that the study held so highly in Mr. Gray's letter was conducted by the military and said he believed the only way to get an unbiased report is to set up a non-governmental commission such as he and Sen. Potter have proposed. "Each of the ODM objections are reasons why such a study should be conducted," he charged.
"If I were satisfied that the military did not want more spectrum space, I would not be taking this stand," Rep. Bray stated in making it clear he is convinced the military's plans are just the opposite.
Citing the nearness of the adjournment of Congress, both Rep. Bray and Sen. Potter said they plan to push for passage of their respective bills when Congress reconvenes next January. Rep. Bray plans activity during the interim in the form of letters to all tv stations operating on the endangered channels. He said that he would warn these stations of the common danger and urge their owners to write their respective congressmen urging action on the Potter and Bray bills.
Sen. Potter has a powerful ally in Sen. John O. Pastore (D-R. I.), chairman of the Communications Subcommittee of the Senate Commerce Committee, who favors the measure. Sen. Potter is a member of this committee while Rep. Bray is a member of the House Armed Services Committee, which
ADVERTISERS & AGENCIES
NETWORK TV TIMETABLE TAKES SHAPE
Nighttime bill alone, sans specials, will be minimum $5 million weekly
ADVERTISERS will put an average of close to $5 million a week into nighttime network television programming in the season that begins to unfold next month, a B*T roundup showed last week.
This estimate, compiled from the most authoritative sources available (see charts pages 30-31 for estimates on individual programs), is virtually identical with results of a preliminary study made by B*T more than three months ago when the 1957-58 selling season was getting underway [B*T, April 29].
Representing only those programs regularly scheduled between 7:30 p.m. and 10:30 or 11 p.m., the estimate does not include many other millions in network time charges and does not take into account literally scores of special productions planned for evening presentation throughout the season, which will boost the nighttime production outlay by additional millions over the course of the 1957-58 year. Nor does it include expenditures for daytime programming and time.
The networks approach this high-budgeted season with better-than-ever positions in daytime sales and, at night, some spots yet to be filled but confidence that they will find buyers.
ABC-TV, which had the greatest distance to come, has made the greatest progress in terms of sponsored hours—compared to last year—but still has further to go than either of its rivals to reach nighttime sellout.
Officials of all three networks claimed to be "close" to sales that would cut the availabilities even further—and in some cases reported that additional sales already had been made but could not be divulged yet under agreements with the advertisers.
Although all three networks had some blank spots in their nighttime advertiser ranks, the special productions—those over and above the week-in and week-out staples—were reported as very near to sold-out status.
NBC-TV, which has scheduled at least 100 specials—including Omnibus and Wide, Wide World, but with others ranging over virtually all types of programming—reported that out of a total of 117 hours of these special programs, 101—all but 16—had been sold. Those remaining to be sold include NBC Opera presentations, one-third of Omnibus, and the Emmy Awards broadcast.
CBS-TV, with 20 special programs definitely set, reported it has sponsors for all 20—ten 90-minute Show of the Month presentations by DuPont, starting on Sept. 29, and five hour-long Desilu productions to be sponsored by Ford, and five hour-long Lowell Thomas specials by Delco. Generally speaking, ABC-TV is not going into specials this season.
The daytime sales picture shaped up thus: NBC-TV authorities, who said their daytime programming was approximately 35% sold at the start of the 1956-57 season, estimated it's 75% sold this year and will reach at least 80-85% by the time the season opens. CBS-TV expected to be 85% sold out. ABC-TV, which programmed comparatively little during the daytime last year, was described as "definitely better off" this fall although percentage figures were not immediately available.
In terms of specific nighttime periods yet to be sold, data furnished by the networks showed this situation:
- CBS-TV—alternate week of Harbourmaster (Thursdays, 8-8:30 p.m.); alternate week of Leave It to Beaver (Fridays, 7:30-8 p.m.); alternate week half-hour of Perry Mason (Saturdays, 7:30-8 p.m.), and all of a half-hour program yet to be announced for Tuesdays at 10:30-11 p.m.
The three partially sold programs start Sept. 26, Oct. 4 and Sept. 21, respectively.
- NBC-TV—alternate week of Restless Gun (Mondays, 8-8:30 p.m.); alternate-week half-hour of Suspicion (Mondays, 10-11 p.m.); alternate week of The Californians (Tuesdays, 10-10:30 p.m.); alternate week of Tic Tac Dough (Thursdays, 7:30-8 p.m.); alternate week of Life of Riley (Fridays, 8:30-9 p.m.), and all of Panic (Tuesdays, 7:30-8 p.m.) and Wagon Train (Wednesdays, 7:30-8:30 p.m.). The partially sold shows are set to start Sept. 23, Sept. 30, Sept. 24, Sept. 12 and Sept. 13, respectively. Panic is scheduled to start Sept. 10 and Wagon Train on Sept. 11. There have been recurrent reports that sale of Tic Tac Dough and Life of Riley had been completed, but these have not been confirmed officially.
- ABC-TV—half-hour of Sugarfoot (alternate Tuesdays, 7:30-8:30 p.m.); alternate week of Jim Bowie (Fridays, 8-8:30); alternate week of Colt .45 (Fridays, 10-10:30), and all of Mondays at 7:30-8, Tuesdays at 10-10:30, Saturdays at 7:30-9 p.m. and 10-10:30 p.m., and all of Sundays at 8:30-10 p.m. Programs for these wholly unsold periods were not set. Of the partially sold programs, Jim Bowie is on the air now and Sugarfoot is set to start Sept. 17 and Colt .45 Oct. 18.
Production costs generally were estimated to be at least 10% higher this year than last, in large measure because of stepped-up bidding—and consequent higher prices—for top-name talent.
Evening viewers will see a vast number of new shows, especially on NBC-TV and ABC-TV. CBS-TV, more than the others, is going along with its 1956-57 lineup, although it, too, has about 10 new entries for the new season.
NBC-TV estimates approximately 55% of its regular evening schedule will consist of new programming [B*T, Aug. 5].
he points out, has given him "some familiarity with the military use of radio frequencies."
Many industry and congressional observers believe that the users of ch. 2 are in the most immediate danger of military "encroachment" upon their space. This channel lends itself most favorably to forward scatter propagation and the military reportedly already is conducting experiments within this band outside the continental U. S.
However, despite repeated denials by the military of any plan to seek additional spectrum space, chs. 3, 4, 5 and 6 appear to be in definite jeopardy, also. As Sen. Potter and Rep. Bray point out, the ODM tipped its hand in the letter to Sen. Magnuson in light of the advanced stage of new "technical developments."
The question of possible military demands for increased spectrum allocations—as well as possible commercial use of some of the space the government now occupies—has long been a pressing one for broadcasters. Late last March, it was reliably reported that the military had plans for chs. 2-6 [B&T, April 1]. Despite many indications that this was true, it was strongly denied by all parties concerned.
And, in April at the NARTB convention, Mr. McConnaughey answered with a blunt "No" when asked if the military was seeking additional space [B&T, April 15]. He amplified this to add that officially nothing on this subject had come to his attention. However, on several occasions during the previous months while testifying before congressional committees, Mr. McConnaughey and other commissioners took note of "demands" on the spectrum space from the military and other non-broadcast users.
The Communications Act set up a split jurisdiction in the allocation of frequency space. The FCC handles assignments for non-government users. The President (who is advised on the matter by the ODM) has full authority to assign spectrum space to the government for any service considered necessary for national security. There is no requirement for government services to justify their demands, nor are they required to show how their assigned space is utilized.
This last fact is one of the main issues raised by Messrs. Potter and Bray, who would like an accounting by the military, at least to the Commission, they are advocating. Sen. Potter earlier had called the need for such facts "urgent and compelling," saying that he has been "frustrated" for over a year in trying to find out if the government uses its space efficiently and has repeatedly hit a "stonewall."
TV offered no statistical breakdown, but a glance at its roster shows such newcomers as Frank Sinatra, Pat Boone, Guy Mitchell, Maverick, Walter Winchell, The Real McCoys, Zorro, Patrice Munsel—to name some.
NBC-TV has 21 new nighttime shows, totaling 12½ hours and ranging from the hour-long Chevy Show (with Dinah Shore and others) to the new Eddie Fisher and George Gobel combination, the Suspicion melodrama produced by Alfred Hitchcock, Thin Man and Manhunt mysteries, evening versions of The Price Is Right and Tic Tac Dough panel and audience participation quiz shows, Sally and other situation comedies, and such westerns as "Restless Gun."
New additions to the CBS-TV lineup from between 7:30 and 11 include the 60-minute Big Record musical extravaganza, Perry Mason, an hour-long mystery, Have Gun, Will Travel; Dick and the Duchess, The Eve Arden Show, Harbourmaster, Leave It to Beaver, Trackdown, Danny Thomas Show, and, if repeats of the I Love Lucy perennial can be counted as new, then Lucy re-runs.
Although westerns have been generally accorded rights to the title of "trend of the year," examination of the schedules shows several fast rising categories. Westerns are there in good share, but musical programs are on the rise, too, as are mysteries and situation comedies. Overall, live straight dramatic shows and programs featuring stand-up comics seem fewer.
ABC-TV can claim credit for the most western offerings with Maverick, Cheyenne, Sugarfoot, Wyatt Earp, Broken Arrow, Tombstone Territory, Jim Bowie, and Colt .45 adding up to 4½ hours in the saddle every week.
NBC-TV has Restless Gun and Tales of Wells Fargo back to back for an hour on Monday nights, but feels its new Californians and Wagon Train should not be lumped arbitrarily into the western category. Officials point out that, strictly speaking, Wagon Train, which will occupy a full hour on Wednesday nights, is a series of dramatic stories which happen to have western settings, and that The Californians, a half-hour Tuesday night entry, is really an historical recounting of the early days of California.
The NBC schedule promises a considerable rise in volume of suspense-adventure shows, with Suspicion, Panic, Meet McGraw, Alcoa-Goodyear Anthology, Dragnet, Saber of London, Thin Man, and Manhunt falling into that category.
NBC-TV will also have more musical-variety shows this year than last, with the Chevy Show joining Steve Allen to form two hours back-to-back, the hour-long Gobel and Fisher programs on alternate weeks, Rosemary Clooney, Gisele MacKenzie, Tennessee Ernie Ford, probably Dean Martin with perhaps Polly Bergen, Hit Parade, and, of course, the Perry Como hour.
One reason NBC-TV appears to be adding more shows of most types, with no substantial cutback in any, is that this year the network is opening up the 7:30-8 p.m. strip—which in the past has been devoted to news and music.
ABC-TV's new schedule leans heavily to music (Sinatra, Mitchell, Boone, Munsel, two hour-long Lawrence Welk shows, Voice of Firestone) as well as to westerns.
Other dominant categories on ABC-TV appear to be drama—with such entries as Walter Winchell File, Navy Log, OSS, Telephone Time and Zorro—and comedy with The Real McCoys, Date with the Angels and Ozzie and Harriet, among others.
CBS-TV has four programs that may be classified as westerns (Gunsmoke, Zane Grey Theatre, and newcomers Trackdown and Have Gun, Will Travel). In music-variety, the hour-long Big Record will join such veterans as Sullivan, Benny, Godfrey, Shower of Stars and the more recent Jimmy Dean Show. Two new mysteries, Perry Mason and Dick and the Duchess, are added to the established Lineup and Alfred Hitchcock Presents. Harbourmaster is the principal new entry in the drama field, which also
FALL NIGHTTIME SCHEDULE APPEARS ON PAGES 30 AND 31, STORY CONTINUES ON PAGE 32.
HOW PEOPLE SPEND THEIR TIME
THERE WERE 123,110,000 people in the U. S. over 12 years of age during the week July 28-Aug. 3. This is how they spent their time:
| Percentage | Number of People | Hours Spent |
|------------|------------------|-------------|
| 57.7% | 71,034,000 | 1,275.9 |
| 58.8% | 72,365,000 | 1,127.9 |
| 81.4% | 100,212,000 | 385.8 |
| 29.5% | 36,317,000 | 162.6 |
| 23.8% | 29,300,000 | 351.7 |
| 44.3% | 54,581,000 | 231.1 |
WATCHING TELEVISION
LISTENING TO RADIO
READING NEWSPAPERS
READING MAGAZINES
WATCHING MOVIES ON TV
ATTENDING MOVIES
These totals, compiled by Sindlinger & Co., analysts, Ridley Park, Pa., and published exclusively by B&T each week, are based on a 48-state, random dispersion sample of 7,000 interviews (1,000 each day). Sindlinger's monthly "Activity" report, from which these weekly figures are drawn, furnishes comprehensive breakdowns of these and numerous other categories, and shows the duplicated and unduplicated audience between each specific medium. Copyright 1957 Sindlinger & Co.
*All figures are average daily tabulations for the week with exception of the "attending movies' category which is a cumulative total for the week. Sindlinger tabulations are available within 2-7 days of the interviewing week.
HOW NETWORK TV LOOKS FROM HERE
WHAT the television networks' 1957-58 nighttime schedule will offer, what it will cost in terms of production, how well it has sold and what selling still remains to be done are all reflected in the accompanying tables. Periods partially or wholly unsold to date carry the notation "available." Program times and sales information were supplied by the respective networks. Production costs, although not official, were estimated by B&T on the basis of the best information available from a number of sources. Program times are expressed in terms of current New York time as of the date of broadcast.
| Time | ABC-TV | CBS-TV | NBC-TV |
|--------|---------------------------------------------|---------------------------------------------|---------------------------------------------|
| 7:30 | Disneyland ($80,000) Derby Foods (M-E) | I Love Lucy (re-runs) ($25,000) Gold Seal Glass Wax (Campbell-Mithun) W. A. Sheaffer (Seeds) | Wagon Train ($75-80,000) available |
| 8:00 | Reynolds Metals (Borden) General Foods (Y&R) | The Big Record ($75,000) Pillsbury (Burnett) Kellogg (Burnett) Armour (FC&B) Oldsmobile (Brother) | Father Knows Best ($40,000) Scott Paper (JWT) |
| 8:30 | General Mills (Tatham-Laird) Tombstone Territory ($40,000) Bristol-Myers (Y&R) | The Millionaire ($30,000) Colgate-Palmolive (Bates) | Kraft Television Theatre ($42,000) Kraft (JWT) |
| 9:00 | Ozzie & Harriet ($35,000) Eastman Kodak (JWT) | I've Got A Secret ($25,000) Reynolds Tobacco (Eddy) | This Is Your Life ($25,000) Procter & Gamble (Compton) |
| 9:30 | Walter Winchell ($50-60,000) Revlon (BBDO) | U. S. Steel Hour ($60,000) U. S. Steel (BBDO) Armstrong Circle Theatre ($60,000) Armstrong Cork (BBDO) | Navy Log ($38,000) U. S. Rubber (Richards) |
| 10:00 | Wednesday Night Fight ($40,000) Miles Labs (Wade) Mennen (M-E) | This Is Your Life ($25,000) Procter & Gamble (Compton) | Tennessee Ernie Ford ($65,000) Ford (JWT) |
| 10:30 | Salty ($34,000) Kaiser (Y&R) | Steve Allen Show ($75,000) Pharmacrft (Greyhound Grey) S. C. Johnson (Neumann Louis & Borbry) | Rosemary Clooney Show (Y&R) Lever Brothers. (JWT) |
| Time | ABC-TV | CBS-TV | NBC-TV |
|--------|---------------------------------------------|---------------------------------------------|---------------------------------------------|
| 7:30 | Maverick ($80,000) Kaiser (Y&R) | Jack Benny ($80,000) alt. Bachelor Father ($40,000) American Tobacco (BBDO) | Salty ($34,000) Chemstrand (DDB) Royce Mcbee (Y&R) |
| 8:00 | TBA available | Ed Sullivan Show ($75,000) Mercury (K&O) Eastern Kodak (JWT) | Steve Allen Show ($75,000) Pharmacrft (Greyhound Grey) S. C. Johnson (Neumann Louis & Borbry) |
| 8:30 | TBA available | General Electric Theatre ($85,000) General Electric (BBDO) | Chevy Show ($100,000) Chevrolet (Campbell-Ewald) |
| 9:00 | TBA available | Alfred Hitchcock Presents ($40,000) Bristol-Myers (Y&R) | Loretta Young Show ($45,000) Procter & Gamble (Benton & Bowles) |
| 9:30 | TBA available | Mike Wallace ($15-20,000) Philip Morris (N. W. Ayer) | What's My Line? ($25,000) Helene Curtis (Ludgin) Remington Rand (Y&R) |
| 10:00 | $64,000 Challenge ($35,000) P. Lorillard (Y&R) Revlon (BBDO) | | |
| 10:30 | | | |
## MONDAY
| Time | ABC-TV | CBS-TV | NBC-TV |
|-------|-------------------------|---------------------------------------------|-------------------------------------------|
| 7:10 | TBA available | Robin Hood ($35,000) Johnson & Johnson (Y&R) Wildroot (BBDO) | Price Is Right ($25,000) Spelling (N, C & K) |
| 8:30 | Guy Mitchell ($40,000) Max Factor (Anderson-McConnell) | Burns & Allen ($40,000) Carnation Milk (Erwin, Wasey) B. F. Goodrich (BBDO) | Restless Gun ($40,000) Warner-Lambert (SSC&AB) alt. available |
| 9:30 | Bold Journey ($27,500) Ralston (Guild, Compton & Bonfigli) | Talent Scouts ($30,000) Lipton (Y&R) Toni (North) | Tales of Wells Fargo ($35,000) Buick (Kudner) American Tobacco (SSC&AB) |
| 10:30 | Voice of Firestone ($32,500) Firestone (Sweeney & James) | Denny Thomas ($35,000) General Foods (Benton & Bowles) | Twenty-One ($30,000) Pharmaceuticals Inc. (Kletter) |
| 11:30 | Top Tunes & New Talent ($50,000) Plymouth-Dodge (Grant) | December Bride ($45,000) General Foods (Benton & Bowles) | Alcoa-Goodyear Anthology ($50,000) Alt. (Y&S&R) Goodyear (Y&R) |
| 12:30 | Studio One ($45,000) Westinghouse (M-E) | Suspicion ($35,000) Ford (JWT) alt. Phillip Morris (N, W. Ayer) alt. half-hour available | |
| 1:30 | TBA available | TBA available | TBA available |
## TUESDAY
| Time | ABC-TV | CBS-TV | NBC-TV |
|-------|-------------------------|---------------------------------------------|-------------------------------------------|
| 7:30 | Cheyenne ($80-90,000) General Electric (Y&R) alt. Superfoot ($80-90,000) American Chicle Bates | Name That Tune ($25,000) American Home Products (Bates) Kellogg (Burnett) | Panic ($35,000) available |
| 8:30 | Phil Silvers Show ($40,000) Procter & Gamble (Compton) General Mills (D-F-S) | Show of George Gobel ($80,000) RCA Whirlpool (K&E) alt. | Show of Eddie Fisher ($80,000) Liggett & Myers (M-E) |
| 9:30 | Wyatt Earp ($40,000) Procter & Gamble (Compton) | Eve Arden Show ($45,000) Lever Bros. (JWT) Shulton (Wesley) | Meet McGraw ($40,000) Procter & Gamble (Benton & Bowles) |
| 10:30 | Broken Arrow ($38,500) Mites Labs (Weiss) Ralston (Gardner) | To Tell The Truth ($22,500) Pharmaceuticals Inc. (Kletter) | Bob Cummings Show ($40,000) Reynolds Tobacco (Esty) Chesapeake-Ponds (M-E) |
| 11:30 | Telephone Time ($30,000) Alt. (N. W. Ayer) | Red Skelton ($45-50,000) S. C. Johnson (FC&B) Pet Milk (Gardner) | Californians ($32,500) Singer (Y&R) alt. available |
## FRIDAY
| Time | ABC-TV | CBS-TV | NBC-TV |
|-------|-------------------------|---------------------------------------------|-------------------------------------------|
| 7:10 | Rin Tin Tin ($35,000) National Biscuit (K&E) | Leave It To Beaver ($40,500) Remington Rand (Compton) alt. available | Saber of London ($24,000) Sterling Drug (D-F-S) |
| 8:30 | Jim Bowie ($32,500) American Chicle (Bates) alt. available | Trackdown ($44,500) American Tobacco (BBDO) Society Mobil (Compton) | Court of Last Resort ($35,000) P. Lorillard (Lennen & Newell) |
| 9:30 | Patrice Munsel Show ($45-50,000) Buick Frigidaire (Kudner) | Dick Powell's Zane Grey Theatre ($35,500) General Foods (Benton & Bowles) Ford (JWT) alt. available | Life of Riley ($40,000) Lever Bros. (BBDO) alt. available |
| 10:30 | Frank Sinatra ($100,000) Chesterfield (M-E) | Mr. Adams & Eve ($40,500) Reynolds Tobacco (Esty) Colgate-Palmolive (Lennen & Newell) | Manhunt ($35,000) Hazel Bishop (Spector) American Tobacco (SSC&AB) |
| 11:30 | Date With The Angels ($33,000) Plymouth (Grant) | Schlitz Playhouse ($40,000) Schlitz (JWT) | Thin Mom ($42,000) Colgate-Palmolive (Bates) |
| 12:30 | Colt 45 ($44,000) Campbell (BBDO) alt. available | The Lineup ($35,000) Brown & Williamson Tobacco (Bates) Procter & Gamble (Y&R) | Calvacade of Sports ($45,000) Gillette (Maxon) |
| 1:30 | Person To Person ($35-40,000) American Oil (K&E) Hamm Brewing (Campbell-Huthun) Timm Inc. (Y&R) | Red Barber's Corner ($10,000) State Farm Insurance (Needham, Louis & Brorby) | |
## SATURDAY
| Time | ABC-TV | CBS-TV | NBC-TV |
|-------|-------------------------|---------------------------------------------|-------------------------------------------|
| 7:30 | TBA available | Perry Mason ($30,000) Purex (Weiss) Libby-Dowdall (F&S&R) half-hour alt. available | People Are Funny ($30,000) Reynolds Tobacco (Esty) Toni (North) |
| 8:30 | TBA available | Dick and The Duchess ($40,000) Here We Curtis (Best) Mogen David (Weiss) | Perry Como Show ($100,000) Kimberly-Clark (FC&B) Noxema (SSC&AB) RCA Whirlpool (K&E) Sunbeam (Ferrin-Paus) American Candy (Campbell Mithun) Knomark (Mogul) |
| 9:30 | Lawrence Welk ($50,000) Dodge (Grant) | Gale Storm Show ($32,500) Nestle (Bryant Hutton) Holmes-Curtis (Weiss & Geller) | Dean Martin & Polly Bergen (tentative) Liggett & Myers (M-E) Max Factor (DDB) |
| 10:30 | Have Gum, Will Travel ($45,000) Lever (Bates) Whitehall Pharmaceutical (Winsor) | Gisele MacKenzie Show ($60-65,000) Scott Paper (JWT) Schick (Warwick & Legler) | Gunsmoke ($35,000) Liggett & Myers (D-F-S) Remington Rand (Y&R) |
| 11:30 | TBA available | What's It For? ($25,000) Pharmaceuticals Inc. (Kletter) | Jimmy Dean Show ($10,000) Hazel Bishop (Spector) Your Hit Parade ($50-60,000) American Tobacco (BBDO) Toni (North) |
includes GE Theatre, Playhouse 90, Studio One, U.S. Steel Hour and Armstrong Circle Theatre, among others. The panel and quiz category will be represented by about half a dozen programs from the current schedule.
In daytime programming, relatively few major changes are in the works except at ABC-TV, which in the past has offered comparatively little programming in these periods.
NBC-TV is content to go with its current daytime lineup, which it claims has already overtaken CBS-TV in the ratings race. CBS-TV is making a few revisions: Hotel Cosmopolitan, as yet unsold, will replace Valiant Lady as the 12-12:15 p.m. strip starting Sept. 2; Beat the Clock will take over from Our Miss Brooks at 2-2:30 p.m. on Sept. 16, and The Verdict Is Yours will succeed the Bob Crosby Show at 3:30-4 p.m. on Sept. 2. Authorities say both Clock and Verdicti have been partially sold but that by agreement with the advertisers they cannot disclose details yet.
Instead of the hour-long Mickey Mouse Club at 5-6 p.m. (local time), ABC-TV is putting "action" programs in at 5-5:30 and a shortened Mickey Mouse at 5:30-6 p.m. Between the two, officials report, a total of at least 16 out of 20 possible commercial positions have been sold for this fall, as against 12 out of 20 last fall.
ABC-TV already has substituted the live American Bandstand for Afternoon Film Festival from 3-4:30 p.m. across the board, and is considering Do You Trust Your Wife? for the 4:30-5 p.m. slot.
On Saturdays ABC will program All Star Golf, which it says is already three-fourths sold, in the 4-5 p.m. period—time not programmed by the network last year. Tales of The Texas Rangers is expected to go into the Saturday 5-5:30 p.m. period under sponsorship of Sweets Co. and Lone Ranger is slated for 5:30-6 p.m. with General Mills sponsoring half.
---
**ADVERTISER WILLING, POCKETBOOK WEAK**
- TINTEX WANTS TO CONTINUE IN TV BUT, SO FAR, CAN'T MEET PRICE
- IT FIRST SWITCHED ITS BUDGET FROM RADIO, MAY RETURN TO PRINT
PARK & TILFORD'S Tintex, which on March 4 launched a 13-week radio spot campaign in approximately 250 markets, last week cancelled the daytime campaign after only four weeks. The reason: Tintex has "discovered" the impact of television...
—B-T, April 15, 1957
...and now it would appear that Park & Tilford Distillers Corp. has discovered tv's impact on the corporate pocketbook.
Though delighted with results of its short-term sponsorship this past spring of NBC-TV's Masquerade Party, the P&T Division of Schenley Industries was doing some "second thinking" last week about television, its cost and related problems. Reason: The firm is finding it difficult to obtain for next season a tv show it can afford. Like a customer with a Chevrolet bankroll in a Cadillac showroom, Tintex was wistfully eyeing the fall models and wondering if it couldn't strike some kind of a deal.
The top-echelon quartet directing P&T's Toiletries and Dyes Div.—vice president and general manager Jack H. Mohr, advertising director Fred Q. Swackhamer, general sales manager Carlyle Miller and associate sales manager Wiley Patton—are four of tv's staunchest supporters. They went to P&T earlier this year from Lentheric when Olin Mathieson Chemical Corp. sold Lentheric to Helene Curtis Industries.
**Tv's 'Fabulous' Results**
While directing Lentheric's advertising-marketing activities, Mr. Mohr and friends made extensive use of tv to bolster sales (via Chance of a Lifetime, Masquerade Party). They found sales had jumped "to a fabulous degree" (estimated jump: from $5 million to $10 million within two years). When the foursome joined P&T (whose Tintex business could best be described as static) they decided to apply the same successful formula. Obviously it worked, for shortly after Tintex began sponsoring Masquerade Party, sales jumped 17%, P&T reported.
Tintex had been a radio advertiser since the early days of World War II when the nation's newsprint shortage forced it to look to non-print media (the division had advertised heavily in daily papers and Sunday supplements). Just prior to the arrival of the new management team this year, P&T had ordered an extensive radio schedule through its agency, Emil Mogul Co., New York. The spread, on staggered 13-week cycles, called for 740 radio stations in 250 markets (including four networks—three national, one regional) and was to have lasted three months all told. Included were American Broadcasting Network's When a Girl Marries and Whispering Streets; CBS Radio's Wendy Warren, Second Mrs. Burton, and Our Gal Sunday; NBC Radio's Pepper Young, Hilltop House and Woman in My House, and an eight-station MBS Yankee Network daytime strip plus 15 local women's service shows.
The new management advised the agency to go ahead with this lineup as planned pending re-evaluation. Four weeks after the drive got underway in some of the 250 markets, Mr. Swackhamer cancelled the campaign. Reason: NBC-TV, which had revived Masquerade Party, found it had a vacancy after the Beacon Co. (floor waxes) relinquished its alternate-week slot (with Associated Products' 5-Day deodorants). For Tintex, this was a golden opportunity, as the company found it could get an alternate-week sponsorship of a color program in which to sell its No. 1 product—color. Again through Mogul, P&T signed for a total of six weeks, fully sponsoring three programs and sharing cross-plugs the other three weeks. This was the company's first use of television.
It made full use of it to solve one of its basic sales problems. Tintex's new management had found upon arrival that the product's low price structure (25 cents a box) had resulted in many small independent retailers relegating the Tintex boxes to the "back of the store." Furthermore, the company sustained an extra-large sales force that didn't seem to be paying its way. The new management team felt that tv could sell as hard—if not harder—as the most personable salesman. So it trimmed its field staff by approximately 40%.
'Tintex Colorvision'
Coincidentally with the April 17-May 22 sponsorship, Tintex introduced a new inventory control and reorder system along with a compact pre-packed, self-service merchandise rack, both of which were designed to help drug outlets solve their inventory problems. The revolving rack, in deference to the program, was dubbed "Tintex Colorvision" (which if ordered by the retailer would net him an average of 43% profit per rack's contents), and the inventory control was called "Tintex Order Motivators." Packaged as "your great new colorvision deal," Tintex made ample use of Masquerade Party's personalities by having them make the colorvision pitch at druggists through direct mail pieces, trade magazine ads and window streamers. Mr. Swackhamer also contacted his streamlined sales force by mail and solicited their reactions after viewing only two programs.
Comments were universally favorable. Sample: "... The program was a great lift to all concerned and I am sure we will continue to feel the benefit from it for a long time." "The reaction from dealers and customers ... has been most encouraging and heartwarming; many managers and independent store owners would come out and say, 'I see you on tv now.'" "Just how many new accounts are directly attributable to tv is difficult to determine. . . . However, I believe it's an important factor. Give us more tv." Other salesmen pointed up that some of their accounts who formerly "had been of the opinion that we did not think enough of our product to back it up with a decent ad campaign" now showed "a
FIRST AGAIN in the entire area!
First we were first in metropolitan Richmond. Then we were first in ARB’s 35-county Grade B area survey. And now ARB has conducted a survey covering every single county in the 100-mv. area of all 3 TV stations serving Richmond, Petersburg and Central Virginia. Here are the results of that survey.
Out of a weekly total of 490 quarter hours when 2 or more stations were on the air:
WXEX-TV was first in 49%
Out of 130 quarter hours from 7:30 P.M. to signoff:
WXEX-TV was first in 60%
WXEX-TV
Tom Tinsley, President NBC BASIC—CHANNEL 8 Irvin G. Abeloff, Vice Pres.
National Representatives: Select Station Representatives in New York; Forjoe & Co. in Chicago, Los Angeles, San Francisco, Seattle; Clarke Brown in Atlanta, New Orleans, Miami, Dallas
WBRE-TV Means
SPORTS COMMUNICATION
to the people of 19 Counties in N.E. Pennsylvania
Northeastern Pennsylvania, once the best spectator sports area in the Keystone State is now fed its favorite sports via WBRE-TV. Channel 28 means "indoor" spectator sports participation to a big percentage of the 2,000,000 population reached by WBRE-TV. The latest set count was 350,000 and WBRE-TV supplies them with the Friday Night Fights, The All-Star Baseball Game, World Series, NCAA Football, Baseball Game Of The Week, Tennis Features, Golf Annuals, Horse Racing . . . . . in fact from the Bowl Games on New Year's Day to the Sports Highlights Of The Year . . . . . WBRE-TV has a full calendar of sports. Want to get in on the best in sports in Northeastern Pennsylvania? Buy WBRE-TV.
AN NBC BASIC BUY: National Representative: The Headley-Reed Co.
Counties Covered: LUZERNE LACKAWANNA LYCOMING COLUMBIA
SCHUYLKILL NORTHUMBERLAND MONROE PIKE WAYNE
WYOMING SULLIVAN SUSQUEHANNA BRADFORD UNION
LEHIGH SNYDER MONTOUR CARBON CLINTON
In 1790, French engineer Claude Chappe, developed a successful system of signalling. On his first semaphore Chappe erected clock-like laces on which sets of numbers and letters were placed. This was later modified by substituting a movable crossbar, the angles of which determined the letter. Semaphore telegraphs were established in various parts of France and England. On clear days, the signal posts, eleven miles apart, could be read easily with the aid of a telescope.
marked increase of awareness and respect for Tintex as a product and P&T as a company."
Though Mr. Swackhamer won't divulge in fiscal terms how well the company did with *Masquerade Party*, he did report that over the month-and-a-half period this year, Tintex moved 500,000 more packages than it did for a similar period in 1956. Tintex admits it got a bargain in purchasing the NBC-TV show and this is where the root to its present dilemma lies.
It would like to get back on the panel quiz perennial, but feels it cannot meet prevailing prices. It says it picked up the show for a short run last spring at bargain rates, but declines to pinpoint the price tag. However, it is estimated that P&T paid roughly $40,000 per week for the program, time and talent, but neither agency nor client would comment on this. NBC, though it has not scheduled *Masquerade Party*, for next season (*Wagon Train*, a new 60-minute filmed adult western having been scheduled for Wednesday, 7:30-8:30 p.m.) now is understood to be offering the panel quiz at a regular fall season price tag of approximately $80,000 per week.
The network Thursday said it is not going to make any "deals" with any advertiser and that it has only one possible full vacancy open. This is the Tuesday, 7:30-8 p.m. slot now occupied by *Panic*, vacated by both Liggett & Myers Tobacco Co. and Max Factor Co. and as yet unsponsored.
NBC admitted that it and P&T were still "some distance apart" from reaching agreement, that no alternate sponsor was "standing by," but that if a successful meeting of the minds and pocketbook occurred, "it would be conceivable" that *Masquerade Party* would be slotted with an alternate sponsor.
Tintex had asked NBC for a special discount on the grounds of promoting color tv, "Let's be realistic about it," Mr. Swackhamer declared last week. "NBC admits that it still has partial sponsorships open for next season. We are hungry for one of these unsponsored periods, would grab it in a minute if the price were more adaptable to our budget. After all, a reduction would not so much be a concession on NBC's part as it would be an investment in the future of color tv. I'm not only sold on tv, but convinced that color tv is our best medium. NBC invests time and equipment—why not advertiser goodwill? We are, so far as I can tell, one of the few advertisers around today whose singular product is color."
Tintex's advertising budget last year came roughly to $450,000, of which $325,000 was spent in radio. Effective next month (as P&T switches from calendar year to fiscal year budgeting in keeping with the established practice of parent Schenley Industries), the Tintex ad budget will be upped 30%. Still undecided: how much P&T will assign its newly-expanded toiletries division, serviced by Grant Adv. It is understood to have allocated $2 million to develop the new line, but only a part of this will cover advertising.
The new toiletries line, to be introduced nationally this autumn as Tilford Toiletries, is only two months old. It includes Winx eye make-up, Staput lipstick (both old P&T items, now repackaged); Stay-Set hair spray and seven fragrances in shampoos, powders, toilet waters and perfumes: Woody Glen, My Desire, High Heels, No. 3, Adventure, Vain and Wild Harvest. According to Mr. Mohr, this line will take the P&T brand name "out of the five-and-dime store and back on quality street" [B&T, April 15].
Tilford Toiletries presents P&T with another problem—also involving tv. It has been shopping for a half-hour program on which to give "the broad brush treatment" to the new line, e.g., sharing it with Tintex. The firm was understood to have been meeting with ABC-TV officials last week and was reported to be in the midst of negotiating an early Sunday evening variety-celebrity series, live from New York. However, there were some details yet to be ironed out concerning both the use of a certain personality and the locating of an alternate sponsor. The show would be in black-and-white.
Should P&T find itself stymied in network buys Tintex will take a determined walk away from broadcasting—and straight into print.
"But we would prefer not to," adds Mr. Swackhamer.
---
**HOT BUYING IN COLD BUSINESS**
- Remedies lining up schedules for winter season
- B&T check indicates 10% increase in budgets
**ADVERTISING AGENCIES** last week were engaged in their perennial hot weather task of lining up radio and television advertising for "cold remedies" for the winter.
Although precise totals on this year's business versus 1956 are not in, a check by B&T indicates a 10% increase in overall budget. A notable characteristic of this year's advertising pattern is increased use of networks, both radio and tv.
Mentholatum Co. (Mentholatum and Mentholatum Medicated Stick), Buffalo, N. Y., in the past season has been buying network radio-tv. Next season, starting in October, it will sponsor five quarter hours on NBC-TV, including *Comedy Time, Bride and Groom, Price Is Right* and *Queen for a Day*. The advertiser will use network radio on a stepped-up basis, also beginning with the cold season. J. Walter Thompson Co. is the agency.
Vick Chemical Co., New York, already on CBS-TV and CBS Radio with weekly participations, will expand its coverage to Canada in late September with a 21-week radio spot campaign in 43 markets for VapoRub and 35 markets for cough syrup and drops. In October, Vick is slated to begin a spot radio campaign in more than 40 markets and a spot tv effort in 25 markets for 18 weeks. Morse International is the agency.
Bromo-Quinine (Grove Labs), through Gardner Adv., St. Louis, will spend "slightly less than $1 million," all in radio. An extensive schedule of NBC Radio and local spot buys are on the schedule. Heavy saturation in all markets is planned.
Monticello Drug Co. ("666" cold preparation), Jacksonville, Fla., will touch off a mammoth saturation radio campaign Oct. 7 and continuing through the week of March 17, 1958. The company will use about 156 announcements a week in more than a 100 southern markets, using daytime disc jockey shows. Monticello also is contemplating a radio test this fall in Florida for a new product, Viracef, but plans are indefinite. Charles W. Hoyt Co., New York, handles the account.
Thomas Leeming & Co. (Ben-Gay), New York, will launch an extensive spot radio campaign in 200 markets over a six-month period, starting next month. Less than a year ago Leeming placed its entire advertising budget (about $1 million, covering Ben-Gay as well as Pacquin and Silk 'n' Satin hand preparations) in spot radio. It is estimated that Leeming's budget for the three products next season will be about $2 million. William Esty Co., New York, is agency.
Luden's Inc., Reading, Pa., for its Wild Cherry cough drops and its Fifth Avenue candy bar will sponsor a quarter hour (9:45-10 a.m.) of *Capt. Kangaroo* on CBS-TV effective Oct. 5 for 26 weeks. Agency: J. M. Mathes Inc., New York.
Seecq & Kade (Pertussin), New York, expects to break a radio and television spot announcement campaign this fall through McCann-Erickson, New York. Details, such as starting date and number of markets, are still being decided.
Whitehall Pharmacal Co., subsidiary of American Home Products Corp., New York, is testing spot tv in an undisclosed number of markets for a new cold remedy, Nasal Spray. The product was introduced in newspapers about eight or nine months ago. The advertiser may go national in spot tv by the first of the year. Bryan Houston Inc., New York, is the agency.
Cocilana Div. (Cocilana medicated cough drops), Gold Medal Candy Corp., Brooklyn, will launch its biggest campaign to date, with close to 90% of its budget in air media. Starting in early October, Cocilana will launch a 13-week spot campaign (possibly 26 weeks with renewals) in New York, Philadelphia, Boston, Providence, Buffalo and several other unbought New England and Mid-Atlantic markets. Radio will take the form of newscasts and spot announcements; tv one-minute films. The budget was not disclosed by the agency, Emil Mogul Co., New York.
Block Drug Co., Jersey City, N. J., which bought out Rem products from Maryland Pharmaceutical Co. earlier this year, will kick off a radio-tv spot drive in 20-40 national markets the first week in October for 26 weeks. The budget was unspecified. Plans for Rem Jr., kiddies version of Rem,
are unset, and the agency, Lawrence C. Gumbinner Adv., New York, appears to have no plans for Rel, a nasal jelly.
4-Way cold tablets (Grove Labs), St. Louis, can be expected to increase its spot radio and tv buying during the cold season above the normal annual placement. Cohen & Aleshire, New York, agency for 4-Way, is expected to release details this week or next. Grove's Citroid Compound, handled by Dowd, Redfield & Johnstone, has not solidified its media plans, but its budget reportedly has been increased 25% over last year. Last year Citroid was advertised heavily on television and it is expected the product again will be exposed largely on tv, using weathercasts.
Charles Pfizer & Co., Brooklyn, N. Y., through Dowd, Redfield & Johnstone, is planning a spot radio campaign for Candettes, a lozenge. No budget has been set. Pfizer is primarily (95%) an ethical drug house (selling directly to the trade) and Candettes is one of its very few consumer items.
Chattanooga Medicine Co. (medicinal syrups), Chattanooga, Tenn., will launch an extensive national radio spot campaign to run 12 weeks, starting in September, stop for five weeks and then resume for 20 weeks. Agency: Cohen & Aleshire, New York.
**GF Sets $400,000 for Tv To Introduce Instant 'Tang'**
GENERAL FOODS Corp., White Plains, N. Y., in keeping with its plans to enlarge its consumer foods line [B&T, July 29], will make considerable use of television to introduce a new instant, orange-flavored breakfast beverage called "Tang."
Manufactured by the Post Div. of GF in Battle Creek, Mich., Tang is an instant-mix powder the company claims "contains more vitamins C and A than the same amount of fresh or frozen orange juice."
GF has appointed Young & Rubicam to service the new product. GF is understood to have allocated more than $400,000 for the tv phase of advertising alone. Starting on or about Oct. 5, Tang will enter nine test markets with a 26-week tv spot announcement campaign, featuring one spot a day for three days a week. The markets are Atlanta, Chattanooga, Macon, Columbus (Ga.), Omaha, Lincoln (Neb.), Indianapolis, Muncie and Terre Haute (Ind.). At the same time, Tang will be introduced nationally by cut-ins on GF's network programs CBS-TV's *December Bride*, Zane Grey Theatre and *The Danny Thomas Show*.
**MJ&A Absorbs West Coast Firm**
MacMANUS, JOHN & ADAMS Inc., Bloomfield Hills, Mich., has expanded its West Coast office with acquisition of the Ralph Yambert Organization, Los Angeles, effective Sept. 1. Ralph Yambert, founder of the absorbed firm, which bills more than $400,000 annually, becomes a member of the MJ&A executive staff. MJ&A offices at 6399 Wilshire Blvd. will be doubled to accommodate the augmented operation.
**$1 MILLION IN SPOT PLANNED BY JERGENS**
- **C&W to replace Orr Dec. 1**
- **75 tv markets, 15 with radio**
THE Andrew Jergens Co., Cincinnati, Ohio, is preceding its switch in agencies with a change in media strategy.
This fall an estimated $1 million spot radio-tv campaign will be launched on behalf of Jergens lotion. The firm expects to be in approximately 75 tv markets with an extensive and national campaign in late September. Spots will vary in length (ranging from IDs to minutes) and frequency also will vary, actual market-by-market placement depending on availabilities.
In addition to this tv campaign, a supplementary radio spot campaign will be run in about 15 of the 75 markets on a selected basis.
The Jergens lotion advertising budget on a 12-months basis is estimated to be in excess of $2.5 million. Thus, other than magazines (still the heavy emphasis of Jergens lotion ad campaigns), spot tv will take a substantial amount of the advertising allocation.
The toiletries advertiser last Monday announced the appointment of Cunningham & Walsh, New York, to handle Jergens lotion, Woodbury's facial soap and shampoos and Jergens-Woodbury creams and makeup effective Dec. 1 of this year [Business Briefly, Aug. 5]. The account is estimated to bill at least $4 million a year.
Jergens had been looking for a new agency since early June. Its current agency is Robert W. Orr & Assoc., New York, now a division of Fuller & Smith & Ross. Orr will handle the spot campaign until C&W takes over in the winter.
As explained by Jergens' officials last week, the company has decided to place its broadcast advertising dollars in spot because it is convinced of the medium's advantages—"chiefly flexibility. We are going in spot and we have no plans other than sticking with it."
Jergens, it was explained, always has wanted to remain in television: "Spot, we now feel, is the most satisfactory. We are not ruling out the possibility of further network participation. In fact, the various networks have contacted us from time to time on sponsorship."
The company has been associated with radio and tv network sponsorship for some time. Jergens for years sponsored *Jergens Journal* featuring Walter Winchell on radio. Early in network tv, Jergens was among the first sponsors to underwrite daytime shows, among them the Kate Smith daytimer.
Its most recent network participation: the *Steve Allen Show* on NBC-TV, Sundays, 8-9 p.m., began in June 1956 and ended in April 1957. Actually, this was a renewal of its participation in the ill-fated *Comedy Hour* that preceded the Steve Allen vehicle in that time period.
In January-December of 1956, Jergens' time charges on NBC-TV at gross rates (one-time and without discounts) came to nearly $1.3 million, according to Publishers Information Bureau records. In the January-April period of this year, Jergens invested (again for time and at gross rates) nearly $500,000 for the *Allen* show.
During its record of network sponsorship, Jergens' use of spot (radio and tv) was light.
Although the upcoming fall campaign ostensibly will run through November 1957, Jergens apparently has geared its media plans to continue indefinitely with spot. By late this fall, Jergens will begin "indoctrinating" Cunningham & Walsh on its products and advertising (marketing) strategy.
**Kraft Foods Promotes Green To Director of Marketing**
PROMOTION of Chester P. Green from general sales manager to marketing director at Kraft Foods Co., with responsibility for directing all sales and advertising, was announced last week.
Mr. Green's appointment was the third top-level change at Kraft, a substantial network radio-tv buyer, in recent weeks. He succeeds John B. McLaughlin, who resigned as sales and advertising chief to become vice president in charge of sales for Purex Corp., South Gate, Calif., effective Oct. 15.
Other recent departures were Andrew C. Quale, formerly manager of new product advertising, to Campbell-Mithun Inc., Chicago, as account executive, and James E. McClellan, sales promotion chief, who joined *Progressive Grocer* publication. He was replaced by John J. Duffy, previously training manager.
Kraft also announced promotion of four product managers to general sales managers in their respective product areas: C. F. Goetling, for cheese products; H. F. Marsston, confections; Kenneth Hart, margarines and salad products, and Robert S. Lochridge, institutional-industrial products.
**Gourfain-Loeff Inc. Formed In Chicago Agency Merger**
THE merger of R. M. Loeff Inc. with Gourfain-Cobb & Assoc. and creation of Gourfain-Loeff Inc., effective last Aug. 1, was announced by the principals last week.
A. S. Gourfain Jr. becomes chairman and Ralph M. Loeff president of the new Chicago agency, with new offices at 205 W. Wacker Drive. Their respective staffs remain intact.
Gourfain-Cobb was founded by Mr. Gourfain in 1931 with headquarters in the Wrigley Bldg. The agency has specialized in electronic and broadcasting accounts, including Keystone Broadcasting System and Magnecord Div. of Midwestern Instruments Co. (tape recorders). The Loeff agency has handled some radio accounts in the past.
TO GET TO CAMERON
... after "Hurricane Audrey" hit, our newsfilm photographer had to travel 865 miles by car, jeep, helicopter, "marsh-buggy" boat and foot.
There were many TV newsmen there, but ours was the only one from Shreveport. Similarly, other news events in and beyond the Ark-La-Tex are filmed regularly by just one Shreveport TV station—KSLA-TV.
Two more full-time newsmen armed with polaroids; direct wires to the U.S. Weather Bureau, leased wires of Associated Press, national and international newsfilm, round out the KSLA-TV local news and weather concept... a concept that is reflected in our ratings.
KSLA-TV
channel 12
BASIC
in Shreveport, Louisiana
PAUL H. RAYMER CO., INC.
National Representatives
Ben Beckham, Jr., General Manager
Winston B. Linam, Station Manager
Deane R. Flett, Sales Manager
SPOT television billings for the second quarter of 1957 climbed to at least $118,870,000, the Television Bureau of Advertising estimates in a report being released today (Monday).
Added to the $124,117,000 spent for network television time during the same period [B*T, Aug. 5], the spot outlay brings to at least $242,987,000 the total investment that national and regional advertisers put into television time—exclusive of talent and production costs—during the April-June period. All figures are gross.
For the first six months, network expenditures, compiled by Publishers Information Bureau, came to approximately $250,657,000 while Tvb's spot estimates, which are prepared by N. C. Rorabaugh Co., totaled $235,805,000 for the two quarters. Thus spot and network tv expenditures for the first half of 1957 amounted to at least $486,462,000.
Last year's first half network-spot total was $440,303,312: $234,-510,312 for networks, $205,793,000 for spot. That puts 1957, so far, $46,158,688 ahead of 1956.
Tvb's estimate for the second quarter was based on reports from 320 stations and compared with $116,935,000 reported by 321 stations in the first quarter [B*T, May 27].
Reports from 279 stations which reported for both the second quarter of 1957 and the second quarter of 1956 indicated a 10% increase in gross dollars during this year's second quarter.
The second-quarter spot report showed 17 advertisers invested $1 million or more during the period, as against 23 during the first quarter. But many of the top 100 spot tv advertisers increased their outlays materially. Procter & Gamble, No. 1 in both quarters, went from $3.727 million in the first to $6.519 million in the second.
Compared to the second quarter of 1956, Continental Baking went from $1.103 million to $2.695 million this year; Lever Bros. from $1.264 million to $2.011 million; Schlitz Brewing from $168,000 to $394,000; Quaker Oats from $148,000 to $377,000; P. Lorillard from $461,000 to $1.311 million, and American Chicle from $301,000 to $1.3 million, among others increasing their spot spending substantially this year.
Tvb President Norman E. Cash noted a number of newcomers to the top 100 listed during the second quarter. Among them: Scott Paper, Tidewater Associated Oil, Oakite Products, Bymart-Tintair, Interstate Bakeries, Wilson & Co., and Helene Curtis. The top 100 ranged from P&G's $6.5 million down to $267,300 by Peter Paul Inc. For the first quarter the range was from P&G's $3.7 million to Burgermeister Brewing's $254,300.
WHAT THE TOP 100 SPENT FOR SPOT TV
SECOND QUARTER 1957
| Rank | Advertiser | Amount |
|------|----------------------------------|------------|
| 1 | PROCTER & GAMBLE | $6,518,900 |
| 2 | BROWN & WILLIAMSON | 3,322,300 |
| 3 | CONTINENTAL BAKING | 2,695,200 |
| 4 | GENERAL FOODS | 2,419,400 |
| 5 | STERLING DRUG | 2,197,300 |
| 6 | LEVER BROS. | 2,011,200 |
| 7 | NATIONAL BISCUIT | 1,869,000 |
| 8 | COLGATE-PALMOLIVE | 1,777,800 |
| 9 | CARTER PRODUCTS | 1,679,200 |
| 10 | MILES LABS | 1,559,700 |
| 11 | ROBERT HALL CLOTHES | 1,473,300 |
| 12 | INTERNATIONAL LATEX | 1,383,900 |
| 13 | PHILIP MORRIS | 1,372,500 |
| 14 | P. LORILLARD | 1,311,200 |
| 15 | AMERICAN CHICLE | 1,292,800 |
| 16 | KELLOGG | 1,104,600 |
| 17 | LIGGETT & MYERS | 1,044,100 |
| 18 | BULOVA WATCH | 998,500 |
| 19 | COCA-COLA (BOTTLERS) | 997,700 |
| 20 | CORN PRODUCTS REFINING | 878,400 |
| 21 | FOOD MANUFACTURERS | 855,800 |
| 22 | AMERICAN HOME PRODS. | 850,000 |
| 23 | NEHI (BOTTLERS) | 836,700 |
| 24 | TEXAS CO. | 818,100 |
| 25 | ANHEUSER-BUSCH | 814,600 |
| 26 | CHARLES ANTELL | 803,400 |
| 27 | MAX FACTOR | 797,800 |
| 28 | FALSTAFF BREWING | 778,700 |
| 29 | NESTLE | 774,200 |
| 30 | SHELL OIL | 769,000 |
| 31 | BEECH-NUT LIFE SAVERS | 749,600 |
| 32 | PEPSI COLA (BOTTLERS) | 728,900 |
| 33 | ADELL CHEMICAL | 700,300 |
| 34 | BLOCK DRUG | 691,800 |
| 35 | J. A. FOLGER | 668,900 |
| 36 | ESSO STANDARD OIL | 647,800 |
| 37 | ROBERT CURLEY LTD. | 627,000 |
| 38 | WARNER-LAMBERT PHAR. | 612,400 |
| 39 | MINUTE MAID | 603,800 |
| 40 | SEVEN-UP (BOTTLERS) | 553,000 |
| 41 | HELAINE SEAGER | 540,500 |
| 42 | R. J. REYNOLDS | 500,300 |
| 43 | HAROLD F. RITCHIE | 490,400 |
| 44 | AMERICAN TOBACCO | 481,400 |
| 45 | WILLIAM WRIGLEY JR. | 478,100 |
| 46 | PABST BREWING | 475,400 |
| 47 | UNITED FRUIT | 446,700 |
| 48 | DU PONT | 442,000 |
| 49 | FORD MOTOR | 441,300 |
| 50 | WESSON OIL & SNOW DRIFT | 432,500 |
| 51 | SOCONY MOBIL OIL | 432,400 |
| 52 | FRONTIER FOODS | 430,500 |
| 53 | P. BALLANTINE & SONS | 425,000 |
| 54 | PROCTOR ELECTRIC | 422,200 |
| 55 | UNITED VINTNERS | 420,900 |
| 56 | MARATHON | 416,200 |
| 57 | BRISTOL-MYERS | 409,400 |
| 58 | BURGERMEISTER BREWING | 406,800 |
| 59 | M. J. B. | 402,300 |
| 60 | U. S. BORAX & CHEM. | 400,200 |
| 61 | INTERSTATE BAKERIES | 395,000 |
| 62 | SCHLITZ BREWING | 394,000 |
| 63 | PIEL BROS. | 388,200 |
| 64 | CARLING BREWING | 382,000 |
| 65 | QUAKER OATS | 376,600 |
| 66 | DR. PEPPER (BOTTLERS) | 374,700 |
| 67 | WILSON | 367,700 |
| 68 | U. S. RUBBER | 364,700 |
| 69 | MILNER PRODUCTS | 362,500 |
| 70 | AMERICAN BAKERIES | 359,700 |
| 71 | HAMM BREWING | 359,400 |
| 72 | PHILLIPS PETROLEUM | 358,300 |
| 73 | HILL'S BROS. COFFEE | 354,600 |
| 74 | H. J. HEINZ | 353,500 |
| 75 | FLORIDA CITRUS COM. | 351,300 |
| 76 | SCOTT PAPER | 339,600 |
| 77 | OAKITE PRODUCTS | 339,300 |
| 78 | GOLD SEAL | 336,400 |
| 79 | UNION PHARMACEUTICAL | 335,800 |
| 80 | SUNSHINE BISCUIT | 334,300 |
| 81 | WILDROOT | 333,600 |
| 82 | STANDARD OIL (IND.) | 327,500 |
| 83 | TIDEWATER ASSOCIATED OIL | 326,200 |
| 84 | GENERAL MOTORS | 316,700 |
| 85 | NATIONAL DAIRY PRODUCTS | 310,500 |
| 86 | RCA | 307,800 |
| 87 | BON AMI | 291,800 |
| 88 | AVON PRODUCTS | 291,400 |
| 89 | SARDEAU | 290,300 |
| 90 | PACIFIC TEL. & TEL. | 290,100 |
| 91 | RAYCO MFG. | 289,800 |
| 92 | STANDARD BRANDS | 286,700 |
| 93 | RALSTON-PURINA | 284,400 |
| 94 | HELENE CURTIS | 283,300 |
| 95 | GREAT & P TEA | 275,800 |
| 96 | SIMMONS (DEALERS) | 275,600 |
| 97 | GLAMORENE | 274,500 |
| 98 | BYMART-TINTAIR | 273,600 |
| 99 | STANDARD OIL (CALIF.) | 269,100 |
| 100 | PETER PAUL | 267,300 |
Tvb's spot breakdown by product categories appears on page 40.
WFAA-TV proudly announces its full-time affiliation with . . . . . . . . . .
Effective September 2nd, there will be a "new look" in the rich Dallas-Fort Worth television market! And that look will be to WFAA-TV—new basic outlet for all ABC-TV programming! A complete revamp in local programming, coupled with ABC-TV's current big hits and sparkling new fall lineup, are destined to make WFAA-TV a greater buy than ever!
WFAA-TV
Channel 8
ABC
Edward Petry & Co.
National Representatives
316,000 Watts Audio
158,000 Watts Video
- from atop Texas' tallest tower.
A television service of The Dallas Morning News
PRODUCTS: HOW THEY SPLIT $118.8 MILLION IN SPOT TV
| Category | Amount |
|---------------------------------|----------|
| AGRICULTURE | $342,000 |
| Feeds, Meals | 217,000 |
| Miscellaneous | 125,000 |
| ALE, BEER & WINE | 10,086,000 |
| Beer & Ale | 9,284,000 |
| Wine | 802,000 |
| AMUSEMENTS, ENTERTAINMENT | 339,000 |
| AUTOMOTIVE | 1,926,000 |
| Anti-Freeze | 20,000 |
| Batteries | 16,000 |
| Cars | 1,058,000 |
| Tires & Tubes | 400,000 |
| Trucks & Trailers | 33,000 |
| Miscellaneous, Accessories & Supplies | 402,000 |
| BUILDING MATERIAL, EQUIPMENT, FIXTURES | 1,207,000 |
| PAINTS | 1,207,000 |
| Fixtures, Plumbing, Supplies | |
| Materials | 172,000 |
| Paints | 172,000 |
| Miscellaneous | 945,000 |
| Power Tools | 21,000 |
| Miscellaneous | 197,000 |
| CLOTHING, FURNISHINGS, ACCESSORIES | 3,421,000 |
| Clothing | 2,838,000 |
| Footwear | 358,000 |
| Hosiery | 11,000 |
| Miscellaneous | 36,000 |
| CONFECTIONS & SOFT DRINKS | 7,553,000 |
| Confections | 3,207,000 |
| Soft Drinks | 4,346,000 |
| CONSUMER SERVICES | 3,328,000 |
| Dry Cleaning & Laundries | |
| Financial | 24,000 |
| Insurance | 376,000 |
| Medical & Dental | 688,000 |
| Moving, Hauling, Storage | 97,000 |
| Public Utilities | 1,546,000 |
| Religious, Political, Unions | 226,000 |
| Schools & Colleges | 71,000 |
| Miscellaneous Services | 202,000 |
| COSMETICS & TOILETRIES | 12,644,000 |
| Cosmetics | 2,203,000 |
| Category | Amount |
|---------------------------------|----------|
| Deodorants | 989,000 |
| Detergents | 342,000 |
| Hair Tonics & Shampoos | 2,168,000 |
| Hand & Face Creams, Lotions | 106,000 |
| Home Permanents & Cleaners | 2,210,000 |
| Perfumes, Toilet Waters, Etc. | 260,000 |
| Razors, Blades | 171,000 |
| Shaving Creams | 581,000 |
| Toilet Soaps | 2,800,000 |
| Miscellaneous | 734,000 |
| DENTAL PRODUCTS | 1,806,000 |
| Dentifrices | 1,349,000 |
| Mouthwashes | 125,000 |
| Miscellaneous | 332,000 |
| DRUG PRODUCTS | 8,047,000 |
| Cold Remedies | 234,000 |
| Headache Remedies | 1,472,000 |
| Indigestion Remedies | 1,000,000 |
| Laxatives | 1,428,000 |
| Weight Loss | 225,000 |
| Weight Aids | 89,000 |
| Miscellaneous Drug | 1,827,000 |
| Drug Stores | 228,000 |
| *FOOD & GROCERY PRODUCTS | 32,036,000 |
| Baked Goods | 7,097,000 |
| Cereals | 2,618,000 |
| Coffee, Tea & Food Drinks | 6,088,000 |
| Condiments, Sauces, Appetizers | 1,833,000 |
| Dairy Products | 1,840,000 |
| Desserts | 585,000 |
| Dry Goods (Flour, Mixes, Rice, etc.) | 1,012,000 |
| Fruits & Vegetables, Juices | 2,494,000 |
| Macaroni, Noodles, Chill, etc. | 484,000 |
| Margarine, Shortenings Meat, Poultry & Fish | 1,960,000 |
| Soups | 31,000 |
| Miscellaneous Foods | 2,174,000 |
| Miscellaneous Frozen Foods | 710,000 |
| Food Stores | 1,765,000 |
| GARDEN SUPPLIES & EQUIPMENT | 285,000 |
| GASOLINE & LUBRICANTS | 6,413,000 |
| Gasoline & Oil | 6,167,000 |
| Oil Additives | 210,000 |
| Miscellaneous | 36,000 |
| HOTELS, RESORTS, RESTAURANTS | 87,000 |
| HOUSEHOLD CLEANERS, CLEANSERS, POLISHERS, WAXES | 3,051,000 |
| Cleaners, Cleansers | 1,447,000 |
| Floor & Furniture Polishers, Waxes | 330,000 |
| Glass Cleaners | 360,000 |
| Home Cleaners | 687,000 |
| Toilet Polishes | 100,000 |
| Miscellaneous Cleaners | 199,000 |
| HOUSEHOLD EQUIPMENT—APPLIANCES | 1,881,000 |
| Household Furnishings | 1,162,000 |
| Bed, Mattresses, Springs | 945,000 |
| Furniture & Other Furnishings | 217,000 |
| HOUSEHOLD LAUNDRY PRODUCTS | 5,608,000 |
| Bleachers, Brushes | 986,000 |
| Powdered Soaps | 228,000 |
| Detergents | 4,277,000 |
| Miscellaneous | 345,000 |
| HOUSEHOLD PAPER PRODUCTS | 1,858,000 |
| Cleansing Tissues | 412,000 |
| Food Wraps | 131,000 |
| Napkins | 185,000 |
| Toilet Tissue | 324,000 |
| Miscellaneous | 798,000 |
| HOUSEHOLD, GENERAL | 839,000 |
| Brooms, Brushes, Mops, etc. | 111,000 |
| China, Glassware, Crocks, Containers | 7,000 |
| Disinfectants | 324,000 |
| Deodorizers | 57,000 |
| Fuel (Heating, etc.) | 37,000 |
| Insecticides | 100,000 |
| Rodenticides | 19,000 |
| Kitchen Utensils | 221,000 |
| Miscellaneous | 97,000 |
| NOTIONS | 97,000 |
| PET PRODUCTS | 1,300,000 |
| PUBLICATIONS | 149,000 |
| SPORTING GOODS, BICYCLES, TOYS | 113,000 |
| Bicycles & Supplies | 2,000 |
| General Sporting | 2,000 |
| Golf | 88,000 |
| Toys & Games | 41,000 |
| STATIONERY, OFFICE EQUIPMENT | 178,000 |
| TELEVISION, RADIO, PHONOGRAPH, MUSICAL INSTRUMENTS | 328,000 |
| Antennas | 27,000 |
| Radio & Television Sets | 133,000 |
| Records | 88,000 |
| Miscellaneous | 88,000 |
| TOBACCO PRODUCTS & SUPPLIES | 8,694,000 |
| Cigarettes | 8,033,000 |
| Cigars, Pipe Tobacco | 489,000 |
| Miscellaneous | 160,000 |
| TRANSPORTATION & TRAVEL | 804,000 |
| Air | 376,000 |
| Bus | 180,000 |
| Rail | 226,000 |
| Miscellaneous | 7,000 |
| WATCHES, JEWELRY, CAMERAS | 1,510,000 |
| Cameras, Accessories, Supplies | 131,000 |
| Clocks & Watches | 988,000 |
| Jewelry | 4,000 |
| Pens & Pencils | 347,000 |
| Miscellaneous | 5,000 |
| MISCELLANEOUS | 1,776,000 |
| Trading Stamps | 268,000 |
| Miscellaneous Products | 681,000 |
| Miscellaneous Stores | 853,000 |
| TOTAL | $118,870,000 |
*Starting with the Quarter 1957—includes frozen foods in appropriate sub-classifications. Supersedes earlier practice of grouping all frozen foods in a separate category.
Kudner, NBC-TV Deny Blame for Commercials
NBC-TV and Kudner Adv. tried to bury a dead horse last week.
The object of their concern was the "Battle of the Buick Tv Commercials," which prompted Buick's general manager to issue an apology to the public for the "inept" handling of commercials during the July 29 telecast of the Floyd Patterson-Tommy (Hurricane) Jackson heavyweight championship fight. Viewers missed the official verdict of the fight when a group of Buick commercials were hastily inserted into the program.
After Edward T. Ragsdale, a vice president of General Motors and general manager of the Buick division, issued the public apology, executives of Kudner and of NBC-TV went into a huddle on Aug. 1 in an attempt to fix the blame. Spokesmen for each of the companies agreed the confusion in the ring contributed to the faux pas. They pointed out that after the bout was stopped, the challenger (Tommy Jackson) attempted to remonstrate with the referee to be allowed to continue, and the producer-director (from NBC-TV) thought there would be time to insert a commercial before the verdict was announced. Order was restored, however, and a group of commercials were carried while the decision was given.
Although Kudner was reluctant to blame NBC-TV, an agency spokesman said the cue to put on the commercial was given by a network employee. He reported it had been agreed beforehand that in case of a knockout, the commercial would be carried immediately and in the event of a decision, the commercial would be inserted while the referee was collecting the slips. He said the contingency of a technical knockout had not been considered but added that in other bouts involving this type of outcome, there always had been time to insert a commercial before the verdict was announced. He indicated that because of the confusion in the ring, the result was announced "a little earlier."
An NBC-TV executive said the network did not want to discuss the incident, pointing out it must work with both the agency and the sponsor on other telecasts. He said NBC-TV's position is that its producer-director acted in accordance with the pre-arranged plan of putting on the commercial immediately after a knockout. He said the incident was "unfortunate" and probably would not happen "99 times out of a hundred."
In his letter of apology, Mr. Ragsdale said that "as a fight fan myself, I was incensed at the inept handling and bad timing of the commercials immediately following the stopping of the fight." He pointed out that although Buick had no control over the broadcast itself, he felt a public apology was in order. He pledged that an incident of this type "would not happen again on any public service broadcast sponsored by Buick." Mr. Ragsdale said the apology was prompted by telegrams and letters from boxing fans.
Ford Plans Comedy, Music On 5 'Lucy-Desi' 1-Hour Shows
DETAILS of the Ford Division of Ford Motor Co.'s sponsorship of a new series of five full-hour "comedies with music" for the Lucy-Desi Hour Show on CBS-TV were announced Thursday. The program series represents an estimated $2.5 million exCock of the Walk... Ask the local advertisers. They'll tell you that a combination of better production, more talent, better engineering, more comprehensive news and sports coverage and more live programming makes WSM-TV clearly Nashville's number one Television Station. Hi Bramham or any Petry man can supply facts and figures.
Channel 4, Nashville, Tenn. • NBC-TV Affiliate • Clearly Nashville's #1 TV Station
HI BRAMHAM, Commercial Manager • EDWARD PETRY & CO., National Advertising Representatives
WSM-TV
WSM-TV's sister station - Clear Channel 50,000-watt WSM Radio - is the only single medium that covers completely the rich Central South market.
penditure in time and talent for the auto maker [B+T, May 13].
The new specials mark a departure from the *I Love Lucy* series that has been a top-rated vehicle on the tv scene for some years and which starred Lucille Ball and Desi Arnaz. In addition to the regulars of the *Lucy* series, the new shows will include guest stars, original music, a dancing chorus and a 26-piece orchestra. First of the shows lists Ann Sothern, Cesar Romero, Rudy Vallee and Hedda Hopper as guests. The series will be filmed. Premiere date for the upcoming season has not been set.
### TOP 10 NETWORK PROGRAMS
**Tv Report for July 1-13**
**TOTAL AUDIENCE†**
Number of Homes (000)
| Rank | Program | Rating |
|------|--------------------------------|--------|
| 1 | *All Star Baseball Game* | 12.896 |
| 2 | *Gunsmoke* | 11.929 |
| 3 | *Ed Sullivan Show* | 11.042 |
| 4 | *$64,000 Question* | 10.881 |
| 5 | *I've Got a Secret* | 10.039 |
| 6 | *Playhouse '90* | 10.317 |
| 7 | *Alfred Hitchcock Presents* | 10.156 |
| 8 | *Lineup, The* | 10.035 |
| 9 | *20th Century Fox Hour* | 9.954 |
| 10 | *What's My Line* | 9.874 |
**Per Cent of Homes***
| Rank | Program | Rating |
|------|--------------------------------|--------|
| 1 | *All Star Baseball Game* | 32.5 |
| 2 | *Gunsmoke* | 30.7 |
| 3 | *Ed Sullivan Show* | 28.1 |
| 4 | *$64,000 Question* | 27.7 |
| 5 | *I've Got a Secret* | 27.5 |
| 6 | *Playhouse '90* | 26.9 |
| 7 | *What's My Line* | 26.7 |
| 8 | *Alfred Hitchcock Presents* | 26.5 |
| 9 | *20th Century Fox Hour* | 26.4 |
| 10 | *Lineup, The* | 25.7 |
**AVERAGE AUDIENCE‡**
Number of Homes (000)
| Rank | Program | Rating |
|------|--------------------------------|--------|
| 1 | *Gunsmoke* | 11.123 |
| 2 | *$64,000 Question* | 9.776 |
| 3 | *I've Got a Secret* | 9.511 |
| 4 | *Lineup, The* | 9.027 |
| 5 | *What's My Line* | 8.987 |
| 6 | *$64,000 Challenge* | 8.826 |
| 7 | *Alfred Hitchcock Presents* | 8.785 |
| 8 | *Loretta Young Show* | 8.745 |
| 9 | *Ed Sullivan Show* | 8.531 |
| 10 | *Twenty-One* | 8.262 |
**Per Cent of Homes***
| Rank | Program | Rating |
|------|--------------------------------|--------|
| 1 | *Gunsmoke* | 28.6 |
| 2 | *$64,000 Question* | 24.8 |
| 3 | *What's My Line* | 24.3 |
---
**BACKGROUND:** The following programs, in alphabetical order, appear in this week's B+T tv ratings roundup. Information is in following order: program name, network, number of stations, sponsor, agency, day and time.
*All Star Baseball Game* (NBC-181): Gileleth Co., Tues. July 9, 2:15-3:21 p.m.
*Gunsmoke* (CBS-162): Liggett & Myers (D-S), Reinhart & Co. (Y & R) alternating, Sat. 10-10:30 p.m.
*Alfred Hitchcock Presents* (CBS-144): Bristol-Myers (Y & R), Thurs. 9:30-10 p.m.
*I've Got a Secret* (CBS-190): R. J. Reynolds Tobacco (Esty), Wed. 9:30-10 p.m.
*The Lineup* (CBS-153): Procter & Gamble (Bates), Proctor & Gamble (Y & R) alternating, Fri. 10-10:30 p.m.
*Playhouse '90* (CBS-100): American Gas Ass'n (Lennen & Newell), Bristol-Myers (BBDO), Philip Morris Co. (Burnett), Thurs. 9:30-11 p.m.
*$64,000 Challenge* (CBS-117): P. Lorillard (Y & R), Revlon (BBDO), Sun. 10-10:30 p.m.
*$64,000 Question* (CBS-180): Revlon (BBDO), Tues. 10-10:30 p.m.
*Ed Sullivan Show* (CBS-100): Lincoln-Mercury (Ketchum), Sun. 8-9 p.m.
*Twentieth Century Fox Hour* (CBS-133): Revlon (LaRoche) alternate weeks, Wed. 10-10:30 p.m.
*Twenty-One* (NBC-144): Pharmaceuticals Inc. (Kleter), Mon. 9-9:30 p.m.
*What's My Line* (CBS-104): Helene Curtis (Lennen), Huntington Rand (Y & R), Sun. 10:30-11 p.m.
*Loretta Young Show* (NBC-163): Procter & Gamble (Benton & Bowles), Sun. 10-10 p.m.
*Studio One Summer Theatre* (CBS-100): Westinghouse Electric Corp. (M-E), Mon. 10-11 p.m.
*G. E. Theatre* (CBS-154): General Electric (BBDO), Sun. 9-9:30 p.m.
*Lawrence Welk* (ABC-200): Dodge Div. of Chrysler Corp. (Grant), Sat. 9-10 p.m.
---
**TMI Set to Invade Radio With ‘Barter’**
THE delicate and often-controversial "art" of bartering station time, now in vogue in television, shortly may be practiced in the realm of radio. So say officials of Time Merchants Inc., New York.
But TMI is secretive about plans. It declines to admit it negotiated last month's $4 million Exquisite Form brassiere-National Telefilm Assoc. film package deal through Grey Adv. [B+T, July 1], although reports insist that it did. Nor will it name the other advertisers—many of them strangers to radio or tv—with whom it reportedly is talking barters, but it's understood one of them is a large fabric mill heretofore exclusively in magazine advertising.
Although it has dealt exclusively with tv stations and film properties over the past 12 months since its founding, Time Merchants Inc. later this month hopes to effect its first barter deal involving a hoped-for 300 radio stations. It is understood to have talked already with three separate agencies, servicing, respectively, a cigarette advertiser, an oil company and a toiletries account. The property is said to be a live syndicated sports show.
TMI is the "brainchild" of 31-year-old Richard D. Rosenblatt, a West Point graduate who has been a professional soldier, an Air Force test pilot and a financial specialist who effected a South American barter deal involving the supplying of airplanes in exchange for cattle. His associates include Richard M. Firestone, 27-year-old ex-advertising manager of Flav-R-Straws Inc.; Edward Jacobi, a former executive at J. Walter Thompson Co. and MacFadden Publications; Peirce Romaine, former Ruthrauff & Ryan Inc. vice president, and Bernard Zisser, a former Hearst executive who was associated with possibly the "first barter deal" in newspaper history in the "lend-lease" in 1928 of King Features comics to newspapers in exchange for advertising space which then was sold to Henry Ford.
Time Merchants Inc. claims to have revamped the "traditional" system of bartering time. Instead of picking up whatever time a station has available, then finding an advertiser to fill it—a process that may take months—TMI has in effect reversed this procedure. It deals exclusively with agencies, solicits definite orders to supply their needs, then informs the tv syndicator or program packager of what the agency wants. In turn, the syndicator then approaches the stations and says, "XYZ agency would like to place blank account in the following time slots. Can you oblige?" (TMI does not approach stations with either properties or time orders, but leaves this in the hands of the syndicator; nor will it negotiate directly with the advertiser, its officials say.) Mr. Rosenblatt explains: "By getting a firm commitment from the agency, we can assure stations that their spots aren't being bandied about like junk; what's more, in most cases, our advertisers are totally new to broadcasting. . . ."
TMI also feels it has done some "missionary work" in "educating" large agencies "who had felt barter was something 'dirty.'"
Who pays Time Merchants Inc.? The syndicator. TMI collects nothing from the agency and this is one of its most telling "sales pitches." It assures agency executives (TMI says it approaches only high echelon agency officials) that its "advice" is gratis and that TMI, unlike individual syndicators with vested interests, is able to provide an unprejudiced, "broad picture" of the tv market today, namely, inform the agency what markets are "open," what syndicators have, what properties are available at what cost,
HOW DO YOU GET ATTENTION FOR YOURSELF?
This method might work — at least temporarily. But if yours is a quality television station, proud of a distinguished local record . . . if it has developed an individuality respected in your market — this isn't recommended.
Establishing a clearcut identity for yourself in advertisers' minds is becoming increasingly harder. (Since 1952, the nation's total of TV stations has increased from 108 to almost 500.) Interpreting your local stature, selling your local identity against such competition — demands specialized representation.
Representation burdened with over-long station lists, forced to use mass-produced methods, simply can't do the best job. That's why Harrington, Righter and Parsons concentrates full manpower and skill on a limited number of quality stations . . . restricts itself to television only . . . and tailor-makes a plan of specialized representation for each. Delivering the most to a few brings outstanding rewards. The stations listed here know (and are known).
HARRINGTON, RIGHTER & PARSONS, Inc.
NEW YORK • CHICAGO
SAN FRANCISCO • ATLANTA • BOSTON
television — the only medium we serve
WCDA-B-C Albany WABT Birmingham WBEN-TV Buffalo
WJRT Flint WFMY-TV Greensboro/Winston-Salem
WTPA Harrisburg WTIC-TV Hartford WDAF-TV Kansas City
WHAS-TV Louisville WTMJ-TV Milwaukee WMTW Mt. Washington
WRVA-TV Richmond WSYR-TV Syracuse
WHICH WOULD YOU
The top hit show at the regular box-office price? Or some third-rate show at a discount?
When people really want something, they’re willing to pay for it. When they don’t . . well, you may have to give it away to get rid of it.
Elementary. It happens among radio-&-television business publications, for instance. The leader — BROADCASTING-TELECASTING — gets the paid circulation. Twice as much of it as any other magazine claiming to serve the field!
The rest have to fill their theatres of distribution with lavish giveaway of copies — particularly in the important agency-advertiser areas of their audience.
Today, B-T has more paid distribution than the other three radio and TV publications combined . . . popularity you’ll find documented down to the last decimal by the Audit Bureau of Circulations. Nothing shines such a glaringly precise spotlight as an ABC statement does upon what — and how many — people actually pay for a publication. Small wonder that B-T alone of all the journals in the radio-TV field has voluntarily sought (and qualified for) membership in the Audit Bureau of Circulations.
RATHER HAVE?
When you invest your money in a new play, you never can be quite sure how it's going to pay off. But when you invest your advertising money in BROADCASTING-TELECASTING, you know that a guaranteed audience is always waiting... counted, classified, and receptive.
This is likely to be at least one of the many reasons why radio-TV advertisers ran 4,063 pages in B-T during 1956 — more than they did in the next three publications combined. There's always something about a hit that just naturally packs 'em in!
*Among these, not so incidentally, are some 1,000 big-decision-makers at America's 40 largest radio-TV agencies. Last year they spent the spending of about $1,000,000,000 (yes, billion) in the two electronic media! It's enough to make a station manager drool!*
For its effort in bringing the station, agency and syndicator together, TMI receives anywhere from 10%-15% of the syndicator's earnings after deduction by the agency of its 15% commission.
Who profits by Time Merchants Inc.'s operations? Least of all the station representatives, who are "cut out." But Messrs. Rosenblatt and Firestone stoutly maintain they are aiding the lot of the rep, who, they claim, sells only the top one-third of a station's availabilities. They feel that by making available to a station new and better program products, they are strengthening the station's rating position and, since "the basic commodity" of a representative is ratings, bartering strengthens the representative's sales platform with agencies. In effect, while losing out initially on the barter commission, a representative can more than recoup his losses by eventually placing more business on the station, according to TMI's argument.
Mr. Rosenblatt predicts a "rosy" future for barter and maintains that within six months bartering will be an established and "accepted practice." "We are not breaking any laws, nor are we doing anything that could be construed as unethical. You can liken us to real estate brokers," he concluded.
Morgens Mentioned Most Often As McElroy Successor at P&G
NEIL H. McELROY, whose Procter & Gamble advertising budget includes over $60 million in broadcast funds—mostly tv [B&T, June 3]—will tackle the world's biggest appropriation when he becomes Secretary of Defense. Senate confirmation of his Wednesday nomination to succeed Charles E. Wilson in the defense post is considered merely a matter of routine.
Successor to Mr. McElroy as P&G president will not be announced until his nomination is confirmed. Mentioned most frequently as the next P&G president is Howard J. Morgens, executive vice president, with Thomas J. Wood, sales vice president, as a leading candidate to succeed Mr. Morgens. Mr. McElroy's salary, roughly $285,000 a year at P&G, will dwindle to $25,000 at the Pentagon.
At Defense, Mr. McElroy will be dealing with budget figures running between $35 and $40 billion. He told newsmen last week he thought the major defense problems facing him would be budgetary in nature.
Mr. Morgens, like Mr. McElroy a HarKRON is TV in SF
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yard graduate, joined the P&G advertising department in 1933. He became advertising manager in 1946 when Mr. McElroy was elevated to vice president-general manager. Mr. Morgens was named advertising vice president in 1948, holding the post until he became executive vice president in 1954.
Also mentioned for the P&G presidency were W. L. Lingle Jr., executive vice president, and Kelly Y. Siddall, administrative vice president.
**Father, Son Elevated To Top Nielsen Posts**
**THE NIELSENS**, father and son, moved up in the marketing and audience research organization last week.
Arthur Nielsen Sr., founder and president of A. C. Nielsen Co. for 34 years, became board chairman, and Arthur Nielsen Jr. was elevated to the presidency, both changes effective immediately. The elder Nielsen continues as chief executive officer and his son, who has been executive vice president, will remain head of Nielsen’s Food and Drug Index.
No other top-level changes are contemplated at present, although “the president will assume his new duties gradually, and other appropriate organizational changes will be made, from time to time, to fit in with the new arrangement,” according to Arthur Nielsen Sr. in his official statement. The moves were approved unanimously by the firm’s board of directors.
The company’s broadcast division is headed by Henry Rahmel, also executive vice president and general manager.
Mr. Nielsen Sr., 60, noted that in 34 years his organization has grown to one of the world’s largest business service institutions, with annual sales in excess of $20 million from 14 types of research service to over 1,200 corporate clients in 10 countries. It boasts 55 officers and 3,000 employees in 22 principal offices.
Arthur Nielsen Jr., 38, a business administration graduate of the U. of Wisconsin (1941), joined his father’s organization in 1945 after serving as a major in the Corps of Engineers, U. S. Army. He had devoted considerable time earlier to learning Nielsen research techniques and business methods. His training experience included work in food and drug client service. He subsequently became assistant to the president, administrative vice president in charge of all domestic staff operations and executive vice president of the Food-Drug (largest) division.
---
**BUSINESS BRIEFLY**
**RADIO-TV CAMPAIGN** • Harrison Labs Inc. N. Y., (Tenday nail polish) launched extensive spot tv announcement campaign last Sunday, using multiple-spot schedule on four New York tv stations, backed up by radio spot announcements on WNEW and WQXR, both New York. Harrison Labs tested use of radio and tv in Cleveland, starting in June, and is continuing campaign there. Products Service Inc., agency for Harrison, reported New York campaign will continue indefinitely, plans to extend radio-tv pattern nationally, using knowledge gained from New York and Cleveland efforts as guides.
**LAUNCHING LOAVES** • Slenderella International, Stamford, Conn., has launched test spot radio campaign in Detroit, using five radio stations, to introduce Slenderella special formula bread, made by General Baking Co. Agency: Management Assoc., Stamford, Conn.
**CONSOLIDATED REPORT** • Consolidated Cigar Sales Co. (Dutch Masters cigars), N. Y., reported to be readying spot radio campaign in undetermined number of northeastern markets. Campaign set to break in early September. Agency: Erwin, Wasey & Co., N. Y.
**SUBSTANTIAL SUPPORT** • Local dealers and dealer groups will spend estimated $1.5 million, substantial share of it in radio and tv spots to be placed direct, to support $400,000-plus campaign of Culligan Inc. (manufacturer-supplier of home water-conditioning equipment), Northbrook, Ill. Culligan agency is Alex T. Franz Adv. (No time is being purchased through agency itself.)
**‘SUSPICION’ CONFIRMED** • Philip Morris Inc. (Philip Morris cigarettes), N. Y., has signed with NBC-TV for half-hour of *Suspicion* (Mon., 10-11 p.m.) on alternate weeks, effective Oct. 7. Contract, for 52 weeks, was placed through N. W. Ayer & Son, N. Y. Ford is set to sponsor full hour of show every other week.
**BEAUTY SPOTS** • Warner-Lambert Co. (Beauty Curl), N. Y., using 13-week radio and television spot announcement campaign in about 60 markets. Sullivan, Stauffer, Colwell & Bayles, N. Y., is agency.
**PARKER PLANNING** • Parker Pen Co. (T-Ball Jotter pens), Janesville, Wis., mapping plans for tv spot campaign in about 75 major markets, comprising one-minute and 20-second film clips and starting late in August. Parker also reported in market for network radio or tv property. Agency: Tatham-Laird, Chicago. Budget: About $750,000 in all media.
**BACK-TO-SCHOOL** • Sheaffer Pen Co. (sterling-silver ballpoints), Fort Madison, Iowa, will supplement co-sponsorship of *Private Secretary* on CBS-TV with spot television in undisclosed number of markets plus dealer co-op spot radio and tv in overall $2 million “back-to-school” advertising and promotion campaign. Broadcast media command about $1.3 million of budget. Sheaffer is known to be reappraising advertising account situation, with recurrent reports it is listening to bids from several agencies. Account is handled by Russel M. Seeds Co. It is felt Sheaffer will not announce decision until it evaluates results of current drive ending Sept. 30.
**COFFEE TIME** • Chock Full O’Nuts Corp., N. Y., has bought additional tv and radio time in New England markets, Sam Ostrove, advertising and sales vice president, announced last week. In Boston coffee firm has renewed sponsorship of Saturday night newscast over WNAC-TV and spots on radio stations WNAC and WHDH. Chock Full O’Nuts also bought spots for 52 weeks on WPRO Providence and WNE Worcester Grey Adv., N. Y., is agency.
**TAKES TO AIR** • Transocean Air Lines, Oakland, Calif., has launched 3-month advertising campaign for new Super Constellation service to Hawaii. Some 40 spots weekly are being broadcast by KRCA (TV), KTLA (TV) and KTTV (TV) Los Angeles with KBIG Avalon (Catalina), KFI Los Angeles and KFOX Long Beach carrying radio spots. Agency: Howard Lewin. L. A.
**EAGER FOR ‘BEAVER’** • Remington Rand Div. of Sperry Rand Corp. has signed for alternate-week sponsorship of CBS-TV’s *Leave it to Beaver*, new domestic comedy film series to debut Oct. 4 (Fri. 7:30-8 p.m. EDT). Series, Gomcalo production, will be produced in Hollywood. Agency: Compton Adv., N. Y.
**TWO MORE IN THE SADDLE** • American Tobacco Co. (Lucky Strike cigarettes) and Socony Mobile Oil Co. will sponsor CBS-TV’s *Trackdown* on alternate weeks beginning Fri., Oct. 4 *Trackdown* (Fri. 8-8:30 p.m. EDT), western, Four-Star Films production is to be produced by Vincent M. Fennelly, directed by Thomas Carr. Agencies for American Tobacco and Socony are BBDO and Compton Adv., respectively, both N. Y.
**ANOTHER YEAR OF FRIDAYS** • Liggett & Myers Tobacco Co. (Chesterfields) and Schick Inc. (electric razors) have renewed alternate week sponsorship for 52 weeks of NBC-TV’s *Dragnet*. L & M’s renewal is effective with first program of new fall series, Sept. 26 (Thurs. 8:30-9 p.m.). Schick renewal is effective Oct. 3. Agencies: Dancer-Fitzgerald-Sample, N. Y., for L & M and Benton & Bowles, N. Y., for Schick.
**CONFECTIONERY CONTRACT** • Sweets Co. of America Inc. (Tootsie Rolls) has purchased remaining one-half sponsorship of NBC-TV’s coverage of annual Macy’s Thanksgiving Day parade (Thurs., Nov. 28, 11 a.m.-12 noon). Ideal Toy Co., through Grey Adv., N. Y., is other sponsor. Order for Sweets Co. was placed directly.
THE WORLD'S QUICKEST DRAW
THERE HAVE BEEN SOME EXAGGERATED CLAIMS MADE!
On page 13 of the July first issue of Broadcasting-Telecasting, a small operation in Houston with the coil letters KILT (and they should be), claimed a world's record by going from last to first place in Houston in 30 days. While it is true they went from last to first place in 30 days, this world's record stuff is a lot of hot Texas Air.
THE TRUE WORLD'S RECORD was made in Tulsa way back in October, 1956 by KAKC. This fast drawing station, ramrodded by the Public Radio Corporation, went from last to first in ONLY 21 DAYS. (Pulse... October, 1956 and Hooper... October, 1956). And KAKC is still the biggest audience draw in the Tulsa area, leading the closest competitor by more than 2 to 1 (Hooper, May-June, 1957).
ANOTHER RECORD SMASHING DRAW... KIOA in Des Moines. Now the top gun in Des Moines... the big audience draw... is KIOA. This station, also run by the Public Radio Corporation, went from fifth place in a six station market, to first place in the same record time of 21 days with over 41% of the audience (Hooper... May, 1957). KIOA now has over 51% of the daily audience in Des Moines (Hooper... June-July, 1957).
RIDE WITH THE CHAMPIONS FOR FAST RESULTS!
PUBLIC RADIO CORPORATION
LESTER KAMIN, President; JOHN H. PACE, Executive Vice-President and General Manager
The new KAKC
970 KC • 1,000 WATTS
TULSA, OKLAHOMA
Get the NEW facts from H-R REPRESENTATIVES
The new KIOA
940 KC • 10,000 WATTS
DES MOINES, IOWA
TOP SALESMAN
in Northern New England’s
billion dollar market
WCSH-TV maintains 4-to-1 lead
in May 4-10 Pulse Area Study
of 13-county Maine-New Hampshire
coverage . . .
329.5 first places out of 420
quarter hours polled!
Put your message where the viewers are!
| Time Period | WCSH-TV | Sta. B | Sta. C |
|-----------------------------|---------|--------|--------|
| Monday thru Friday | | | |
| 7:00-12:00 Noon | 81 | 19 | 0 |
| 12:00 Noon-6:00 P.M. | 95 | 25 | 0 |
| Sunday thru Saturday | | | |
| 6:00-11:00 P.M. | 104.5 | 28 | 7.5 |
| Saturday | | | |
| 11:00 A.M.-6:00 P.M. | 20 | 8 | 0 |
| Sunday | | | |
| 10:00 A.M.-6:00 P.M. | 29 | 3 | 0 |
| Totals | 329.5 | 83 | 7.5 |
WCSH-TV
PORTLAND, MAINE
Represented by WEED TELEVISION CORP.
CBS Radio May Add Youth Night Block
- Seeks three sponsors
- 12 hours weekly planned
A SPECIAL sales effort now is underway along New York’s ad row to find three big-name advertisers to underwrite a new program concept at CBS Radio. If the network meets with success, the sales would help:
- to sell blue chip advertisers on the effectiveness of network radio’s nighttime hours, and
- to plunge CBS Radio forward in a bold attempt to attract and capture the attentiveness of a wide segment of the U.S. population, precisely, that radio audience group between 14 and 24 years of age.
According to CBS Radio’s current canvassing, each of the three advertisers would be a leader in its individual product category and keenly aware of the youth buying potential (for example, a cigarette advertiser, soft drink firm or a cosmetics concern).
The potential CBS Radio is counting on for sale of the program package would involve 12 hours of programming weekly for 52 weeks and conceivably could be $5-6 million at gross rates for both time and talent. The network is prepared to start programming the youth program block so long as it can obtain satisfactory commitments from at least two top advertisers.
The program series would consist of a solid programming block 8-10 p.m. Monday-Saturday, using music of particular interest to young people from 14 through 24. Mitch Miller would be assigned to develop the format. It envisions remote pickups of a jazz festival and various special bands around the country. All programming would be 8-10 p.m., according to stations’ local time standards.
CBS Radio, it’s understood, is convinced radio holds tremendous appeal for the youth market and people in those age groups do not concentrate on any one medium except radio. This conviction is based on research factors which claim: people in this group as a rule do not watch TV to any extent; readership of magazines designed for them is limited, but they do listen to radio.
The network thinks it will get nighttime network radio off the ground by (1) permitting big advertisers to become closely identified with their own program, (2) allowing the network to program a radio show with great appeal, yet different from the usual disc jockey fare and (3) limiting sponsorship to just a few advertisers, thus obviating the practice of selling too many segments to too many and varied advertisers.
As a network official phrased it last week: “We think this is an important time in radio history for such a move.”
The move, if effected, would entail preemption of some segmented periods now sold in those time periods and shifts of certain programs into other parts of the network schedule.
WGR-TV SELLS BUFFALO!
ABC AFFILIATE CHANNEL 2
Peters, Griffin, Woodward, Inc.
Representatives
KBS Names Rhys Exec. V. P., Boosts Peterson, Hammarstrom
THREE executive promotions, described as the forerunner of a "major expansion at Keystone Broadcasting System," were announced by President Sidney J. Wolf Wednesday following a board meeting.
Executives elevated were Noel Rhys, from vice president in charge of the New York office and eastern sales operations, to executive vice president; Edwin R. (Pete) Peterson, from vice president to senior vice president, with continued responsibility for midwestern sales operations in Chicago and Charles A. Hammarstrom, from account executive to vice president in Keystone's New York office.
In announcing the appointments, Mr. Wolf alluded to expansion plans [B•T, Aug. 5] and claimed 971 affiliates now in the KBS fold. He added that in the first six months of 1957 Keystone has "handled the greatest volume of business and acquired more new accounts than in any similar period in our history." He pointed out nearly one-third of all commercial am stations today are KBS affiliates.
Mr. Rhys joined KBS in 1941 as an account executive and was elected a vice president in charge of New York and all eastern sales operations in 1949. Mr. Peterson came to Keystone in 1949 as account executive after serving as central division manager of MBS and account executive with ABC. Mr. Hammarstrom had been account executive with KBS in New York since 1952 and previously served in similar capacity with Paul H. Raymer & Co., station representative, and Kenyon & Eckhardt Inc.
Mr. Wolf cited Broadcasting Yearbook-Marketbook figures showing 1956 as radio's peak year with total time sales of $486,889,000 and only one year when they reflected a cutback—1954—with a drop from $477,206,000 in 1953 to $451,330,000 that year. He ascribed this decrease to advertisers dropping radio for tv.
KBS simultaneously reported signing of 18 new stations as follows: KRLW Walnut Ridge, Ark.; KOLR Sterling, Colo.; KLFT Golden Meadow, KDBC Mansfield and KEVL White Castle, all La.; KATE Albert Lea, Minn.; WSFC Franklin, N. C.; WATG Ashland, Ohio; WHYL Carlisle, Pa.; WABV Abbeville and WYMB Manning, both S. C.; WMCH Church Hill, Tenn.; KALT Atlanta, KFYN Bonham, KVLB Cleveland and KSWA Graham, all Tex.; WDOR Sturgeon Bay, Wis., and KASL Newcastle, Wyo.
Goldenson Buys 3,000 AB-PT Shares
LEONARD H. GOLDENSON on July 30 bought 3,000 shares of American Broadcasting-Paramount Theatres stock, exercising option warrants issued Dec. 15, 1950.
ticking 'em off!
Quarter-hour after quarter-hour, with clock-like regularity, WGBI is tops in the latest Pulse of Scranton-Wilkes-Barre.
In fact, in all but four of the 68 quarter-hours between 7:00 a.m. and midnight, Monday through Friday, WGBI tops the ratings in both markets.
WGBI radio scranton wilkes barre
CBS RADIO AFFILIATE
Represented by H-R Representatives, Inc.
Mrs. M. E. Megargee, President • Richard E. Nason, General Manager
it was reported last week in filings with the New York Stock Exchange under the Securities Exchange Act. The last quotation on the exchange for AB-PT that day was $19.50 per share. The warrants were issued to Mr. Goldenson, who is president of AB-PT and of its ABC-TV Division, at the price of $16.63 per share. Also reported: Mr. Goldenson earlier that month (July 9) had sold 1,700 shares of his AB-PT holdings, at which time the last quotation per share was listed at approximately $21.91. After these transactions were consummated he held a balance of 55,000 shares of AB-PT common.
Ralph Hardy, CBS V. P. In Washington, Dies
FINAL tribute to Ralph W. Hardy, 41, CBS Washington vice president, was paid Friday by broadcasters and persons prominent in public and religious life at funeral service held in Salt Lake City. Burial was at nearby Ogden.
Mr. Hardy suffered a heart attack last Monday after water skiing at Pine View Reservoir, Ogden, while on his vacation. He complained of pain and fatigue after leaving the water, then collapsed on the dock. He died a few minutes later in a hospital. An autopsy showed he once had suffered an earlier heart attack.
Surviving are his wife, the former Maren Eccles, and five children, Ralph Jr., Clare, Alison, Maren and David E. The family lives at 3330 Stuyvesant Place, N.W., Washington, D.C.
Among industry figures at the funeral were Frank Stanton, CBS president, and Richard S. Salant, vice president, both representing the network, and Vincent T. Wasilewski, NARTB government relations manager, representing the association.
Widely known in broadcast circles, Mr. Hardy had been a speaker at numerous industry meetings during a six-year term at NARTB. He was prominent in religious circles and presided for a seven-year period over the East Ensign Ward congregation, Church of Jesus Christ of Latter Day Saints (Mormon) in Salt Lake City, attaining the rank of Bishop.
Mr. Hardy's radio career grew out of youthful tinkering with electronic gear. At the U. of Utah he was active in speech and drama. After graduation he became a Mormon missionary, serving the church in Great Britain. He joined KSL Salt Lake City on his return to the United States. His service on committees of the old NAB caught the eye of Judge Justin Miller, then president, and in 1949 he was named head of the association's new Radio Division. This led to his assignment as NARTB government relations director and vice president.
His work on Capitol Hill frequently attracted favorable comment from legislators. The late Rep. Percy Priest (D-Tenn.), while chairman of the House Commerce Committee, once said of Mr. Hardy, "I know of no man who has a higher respect of members of Congress... He has been very helpful to the committee."
Sen. Wallace F. Bennett (R-Utah) paid tribute to Mr. Hardy, saying that while only 41, "he had already carved out an illustrious career for himself."
When Earl H. Gammons retired as CBS Washington vice president in 1955, after 13 years, Mr. Hardy was the natural choice of CBS Inc. to fill this key Washington assignment. He had held the Washington vice presidency just five days short of two years.
At NARTB he had represented the association as a member of the Advertising Council board of directors and had been a member of the Better Business Bureau's board of governors. During the regime of Charles Sawyer as Secretary of Commerce he served on the first advertising advisory committee. He was a member of the U.S. National Commission for UNESCO and later its vice chairman. He was a member of the American delegation to the Eighth World UNESCO Conference held in 1954 at Montevideo, Uruguay.
Mr. Hardy's renown as a public speaker stemmed from his missionary post in England, where he took part in the famed Hyde Park oratorical melees. He was much in demand as a public speaker.
NBC Radio Will Go Along With Nielsen Radio Index
NBC RADIO has decided to go along with the Nielsen Radio Index, now that that service has been expanded [B&T, Aug. 5], but still feels it falls short by neglecting out-of-home audience. The new NBC-Nielsen contract is understood to be for 18 months, with a "slight" increase in rates.
Both NBC Radio and American Broadcasting Network have been weighing question of renewing NRI, largely on grounds it treats vast out-of-home audience as a "bonus." ABN, which originally gave notice it would drop NRI when the present contract runs out some months hence, was reported to be still in negotiation with Nielsen.
ABN also has been discussing with Pulse Inc. the possibility of developing a national service that would include out-of-home.
In subscribing to the revised NRI, NBC Radio officials reportedly took the position that it is the best available comprehensive measure of "fixed-location" radio usage. While acknowledging that efforts to develop a satisfactory, practical means of measuring out-of-home listening have not been successful thus far, NBC authorities regard continued efforts as essential and say they will continue to work toward development of a service that won't short-change radio.
Griffiths Goes to Networks
REP. Martha W. Griffiths (D-Mich.) last week followed up with a direct appeal to the networks her unsuccessful bid to the FCC for radio-tv time to publicize a U.S.
MACBETH: What is the night?
LADY MACBETH: Almost at odds with the morning, which is which?
(MACBETH, ACT III, SCENE IV)
Lady Macbeth knows her SPOTS (bloody or otherwise)
Even though Shakespeare anticipated PGW by several centuries, he was right about Nighttime Radio, 1957 style. Whatever small differences exist between morning and nighttime radio are actually in favor of nighttime!
PGW recently completed a study of every PGW-represented station with a complete Pulse report (23 of them, representing over 31% of all U.S. homes). This research shows that you can reach
9.6% MORE RADIO HOMES
BETWEEN 6 AND 10 PM
THAN BETWEEN 6:30 AND 9 AM,
AT THE SAME COST
Or, to put it another way, you may reach
1000 HOMES (6 to 10 PM) FOR . . . . . . . 73 CENTS
1000 HOMES (6:30 to 9 AM) FOR . . . . . . 80 CENTS
These challenging facts are worthy of your intense interest. Want a copy of the report?
PETERS, GRIFFIN, WOODWARD, INC.
Pioneer Station Representatives Since 1932
Public Health Service report associating smoking with lung cancer.
The request was made in letters to ABC, CBS, Mutual and NBC. Earlier, Rep. Griffiths had asked the Commission to authorize time on all networks, both radio and tv, but was rebuffed on grounds the FCC has no power to require broadcasters to carry—or refrain from carrying—certain programs [B&T, Aug. 5].
Hamilton, Hines Named To Direct ABN Programs
APPOINTMENTS of William D. Hamilton and Drex Hines to the newly-created posts of national program director and assistant national program director, respectively, of the American Broadcasting Network were announced last week by Stephen B. Labunski, ABN vice president in charge of programming. The posts were created, Mr. Labunski said, to "expedite production of new live personality radio programs planned for this fall."
Mr. Hamilton has been eastern program manager of ABN since January 1954. Earlier, he had served as a radio director, senior director and eastern production manager. Mr. Hines joined ABN as a producer-director in 1953. Previously he had been a freelance producer, serving Mutual and National Assn. of Mfrs.
CBS Joins CBC to Circumvent Dulles Ban on Travel in China
CBS NEWS is taking the slow boat to Red China. Denied access behind the Bamboo Curtain by official U. S. State Dept. policy, the network last week confirmed that it has teamed up with Canada's state-owned Canadian Broadcasting Co. in a move to garner news from the Chinese mainland.
CBS News Director John Day said the network had been in negotiation with Canadian officials since June and that neither was to have made public the arrangement until the matter of visas (for Canadian reporters) has been completed. The Toronto Star, however, tipped both broadcasting chains' hands in an exclusive story published last week.
The arrangement would work as follows: CBC would dispatch to China a crew consisting of political commentator Charles Lynch, news photographer Robert Crone and newscaster Larry Henderson, with the Canadians paying these men's salaries and CBS picking up the out-of-pocket tab, such as travel expenses, sustenance, etc. CBC would retain supervisory control over its crew with assignments being made by both CBC and CBS.
Boiled down to startling simplicity, the system was described by Mr. Day as "CBC having the manpower, we having the funds."
Both Washington and Ottawa have refused to recognize the Mao-Chou regime, but Canada, unlike the U. S., has never issued an official ukase prohibiting travel by newsmen in Red China.
Although Secretary of State John Foster Dulles has made clear his position on this matter, he admitted during a news conference May 14 that it would not be counter to U. S. policy for domestic newsgathering services to employ foreign sources.
CBS, while officially abiding by the Dulles ban, privately is understood to have been opposed to it even though it has had to chastise two of its star correspondents, Edward R. Murrow and Eric Sevareid, for stating their opposition to the ban on the air. The network carried dispatches recorded in Red China earlier this year by William Worthy, correspondent of the Baltimore Afro-American, who entered Red China along with a reporter-photographer team from Look magazine in open violation of the Dulles edict.
NBC Radio to Carry Bout
NBC RADIO will broadcast the middleweight championship bout between Ray Robinson and Carmen Basilio Sept. 23, starting at 10 p.m., under the sponsorship of the Gillette Safety Razor Co. Maxon Inc. is the agency. The contest will not be carried on home television but Theatre Network Television Inc. is arranging a closed circuit tv presentation to theatres.
MBS Says 14 Independents Have Asked for Affiliation
MUTUAL'S new president, Paul Roberts, a Los Angeles broadcaster, in officially taking over command of the network last week announced that 14 independent radio stations have applied for network affiliation. The stations currently are being "processed." One new affiliate was KLLL Lubbock, Tex., which MBS started to service Thursday.
The ownership of the network officially changed hands Wednesday. The network was purchased by the new owners from RKO Teleradio Pictures Inc., a subsidiary of General Tire & Rubber Co., Akron, for $550,000-plus [B&T, Aug. 5, July 29].
New officers of the network are Armand Hammer, board chairman; Mr. Roberts, president; H. Roy Roberts, treasurer; Frank P. Barton, secretary; Bertram J. Hauser, executive vice president. They were named to Mutual's board, along with Arthur Brown of New York and L. M. Halper of Los Angeles.
Mr. Hammer is president of Occidental Petroleum Corp., Los Angeles. H. Roy Roberts is a California realtor and oil operator. Mr. Brown is president of Starrett Corp., New York, and Mr. Halper is president of Halper Construction Co., Los Angeles. Mr. Barton is a Los Angeles attorney.
Mr. Roberts, operating head of Mutual, is president of FM Corp., Los Angeles, and vice president of Audio Sales Inc. Before he entered radio, he founded and published three trade publications.
Mr. Hauser was vice president of Mutual for nine years, resigning in 1955 to become a broadcasting consultant. Earlier, he had been with NBC 14 years, serving in executive capacities in advertising, promotion and sales.
CBS Radio Makes 3 Big Sales To Pond's, Chrysler, Hot Point
THREE major sales were charted by CBS Radio late last week. Chesebrough-Pond's through McCann-Erickson, New York, has signed a 12-week contract, effective Sept. 14, for The Vaseline Hair Tonic Football Scoreboard, a Saturday afternoon roundup of gridiron scores by regions.
Also through M-E, Chrysler Corp., gearing its institutional sell for the 1958 line of models due in showrooms the first week of October, has ordered 11 weekly participations for a four-week period starting Oct. 3.
Hot Point Co. (General Electric Co.), through Maxon Inc., Chicago, will sponsor eight 7½-minute units of daytime serials for a six-a-week period starting Aug. 26 on alternate week basis. Additionally Hot Point, for its new line of 1958 ranges and refrigerators, has ordered a six-week long Saturday segment of the Robert Q. Lewis Show.
see how this rabbit multiplies... ratings
Some mathematician, Bugs Bunny. In recent months the brash little star of Warner Bros. Cartoons increased the late-afternoon audience on KROD-TV, El Paso, Texas, six-fold—jumping from a last-place 4.8 to a first-place 28.1 (ARB, May). Warner Bros.' Popeye the Sailor gets Texas-size ratings in El Paso, too, pulling a 26.2 ARB for May—nearly three times greater than the combined total of the two other stations. The El Paso story alone is conclusive proof of the drawing power of A.A.P. Cartoons... a success story that is being duplicated from coast to coast.
To see how Bugs Bunny, Popeye the Sailor and other Warner Bros. Cartoons can multiply audiences in your area, write or phone:
A.A.P. inc.
Distributors for Associated Artists
315 Madison Ave., Murray Hill 6-3329
75 E. Wacker Dr., D'Earborn 8-9080
1511 Bryan St., Riverside 7-8553
9110 Sunset Blvd., C'Beview 6-5886
Productions Corp.
NEW YORK
CHICAGO
DALLAS
LOS ANGELES
THERE'S NO SUMMER SLUMP at KNUZ
Like the Texas Temperature Our Billing is Going UP . . . UP . . . UP During the Summer Months
(Jan.-June, 1957 Percentage Increase Over the Same Period in 1956)
Local Sales 26% Increase
Regional and National Sales 148% Increase
JOIN THE GROWING LIST OF K-NUZ ADVERTISERS WHO ENJOY SIZZLING SUCCESS STORIES!
K-NUZ
HOUSTON'S 24 HOUR MUSIC AND NEWS
National Reps.: Forjoe & Co.—New York • Chicago • Los Angeles • San Francisco • Philadelphia • Seattle
Southern Reps.: CLARKE BROWN CO.—Dallas • New Orleans • Atlanta
IN HOUSTON, CALL DAVE MORRIS, JACKson 3-2581
LONG WAY HOME
TED HUSING, veteran sportscaster who served CBS for almost 20 years, will return to the network after a 10-year absence. Mr. Husing has been signed to a long-term (more than five years) contract by CBS Radio to provide color commentary on the network's broadcasts of college football and basketball, horse racing, championship golf and tennis play plus other special sports events. Mr. Husing left CBS in 1946 to join WMGM New York as a disc jockey and remained there until 1954 when a brain tumor forced his retirement. CBS Radio officials said he is "recovering rapidly" and is well enough to resume his career.
Linkletter Sues 'Truth' Parties
CHARGING that To Tell the Truth on CBS-TV is a copy of a format originated on People Are Funny on NBC-TV some years ago, People Are Funny Productions, owned by Art Linkletter, its conductor, and John Guedel, producer, last week filed a $1,100,000 plagiarism suit in Santa Monica (Calif.) Superior Court against Goodson-Todman Enterprises, packagers of To Tell the Truth; Pharmaceuticals Inc., the program's sponsor; CBS Inc. and KNXT (TV), CBS o&k tv station which broadcasts the program in Los Angeles.
AROUND the ABC-TV shop they call him "Jock Manton," the way he's listed in the show credits, as assistant director of John Daly and the News. But when he puts on his smock, he goes back to plain old Archimedes Aristides Michael Giacomantonio. Here (l to r) are artist, bust and boss, Leonard H. Goldenson, president of American Broadcasting - Paramount Pictures Inc., who autographed the sculpture while it was still in the wet plaster stage. Other subjects sculptured by the artist, according to Who's Who, include Gen. Dwight D. Eisenhower, Christopher Columbus, the Shah of Iran, Abraham Lincoln, actress Janet Gaynor and numerous officials on both sides of the Atlantic.
Famous on the Georgia Scene
THE CYCLORAMA of the Battle of Atlanta is viewed each year by thousands of visitors to Georgia's capital city. Also famous on the Georgia scene is WAGA-TV, Atlanta's leading television station. WAGA-TV reaches more people with more spendable income in Georgia's richest markets than either of Atlanta's other stations. You get more viewers, too, as ARB and Pulse ratings prove month after month.
STORER BROADCASTING COMPANY SALES OFFICES
NEW YORK—625 Madison Ave. • CHICAGO—230 N. Michigan Ave. • SAN FRANCISCO—111 Sutter St.
Represented Nationally by THE KATZ AGENCY, Inc.
SG DISTRIBUTION PLANS REVEALED FOR 600 PRE-'48 UNIVERSAL FILMS
- Set for immediate release: 'Shock Package'; others to come
- Rumors revived on possibility of SG 'spinoff' from Columbia
SCREEN GEMS Inc., Columbia Pictures Corp.'s tv subsidiary, is wasting little time setting up distribution plans following last week-end's signing of a contract with Universal Pictures Corp. [At Deadline, Aug. 5].
The contract, culminating months of negotiations for 600 pre-1948 Universal films at a minimum guarantee (to Universal) of $20 million over a seven-year period and possibly going as high as $30 million over the next 10 years [B-T, July 15], provides for SG to receive a graduated scale of distribution fees and leaves Paramount Pictures Corp. as the lone major studio "hold-out" from tv. (It is expected Universal will reap about $3 million in tv income without losing rights to story material or other benefits, for example, remake, theatrical reissue or overseas rights.)
SG already has prepared for immediate release a group of 52 Universal films dubbed "Shock Package." Consisting of Universal's money-making spine tinglers such as "Frankenstein," "Dracula," "The Invisible Man," "House of Horrors," "Werewolf of London," "The Mummy," "The Cat Creeps" and "Horror Island," the Shock Package will be only the first of many "packets" to be syndicated by SG. Others planned for the future are understood to be westerns (example, Randolph Scott), musical comedies (example, Deanna Durbin, Donald O'Connor) and comedy classics (example, Abbott & Costello, W. C. Fields).
According to Ralph M. Cohn, vice president and general manager of Screen Gems, "We decided to make these thrillers our first release because the grouping of feature films with a common mood provides advertisers and broadcasters with solid and continuous programming themes. This is best demonstrated by the success of our 'Hollywood Mystery Parade,' which went on the air for the first time only last fall and has become extremely popular with audiences all over the country."
This bonanza for SG has revived Wall Street speculation—rampant in past months—that Screen Gems will be spun off from Columbia Pictures Corp. as a wholly-separate entity. One faction of the speculators claims SG is so self-sufficient that it would do better on its own, that is, not plow back monies into the parent company. They also are of the feeling that such a spinoff would work as a tax-gain move and be greeted favorably by Columbia shareholders. Conversely, other Wall Streeters feel it is just SG's extremely healthy position that would make such a spinoff unlikely. They point to SG's $20 million gross income from tv for fiscal 1957 (ended last June 30)—a major portion of it stemming from pre-1948 feature film distribution as opposed to SG's film production work, such as Father Knows Best—and add that SG has been the only moneymaker in Columbia President Harry Cohen's stable, and that a spinoff of SG would be akin to "killing the goose that continues to lay golden eggs." (Also see investment survey, page 66.)
Announcement of the Universal-SG pact
PARTICIPANTS in the signing of the $20 million minimum guarantee television distribution deal under which Screen Gems will handle tv distribution of approximately 600 pre-1948 Universal Pictures are Milton R. Rackmil, president of Universal (seated), and (standing, l to r) Norman Gluck, Universal tv operations head, Burton Hanft, SG vice president for business affairs and Jerome Hyams, SG director of sales.
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FILM CONTINUED
helps confirm claims that Screen Gems now is the biggest syndicator in the industry, with well over 1,500 pictures "on file" [B*T, June 17]. In addition to 600 Universal features, including such attractive money-makers as "Destry Rides Again," "The Killers" and "The Egg and I," SG has:
- 247 films already passed on by Columbia to SG for distribution.
- 400 Columbia films as yet untapped, but available in time.
- 445 films purchased along with Hygo-Unity Tv (including 310 British and U.S. made theatricals of all types and 135 westerns).
All told, SG now has, or will have (figuring the 400 Columbia films "on file") 1,692 films to be shown on tv over the next decade.
Also profiting from this contract will be Decca Records Inc., which owns more than 80% of Universal's outstanding common stock. Decca includes in its income more than 80% of the undistributed earnings of Universal as well as dividend payments made by Universal. For the calendar year that ended Dec. 31, 1956, Decca reported a gross income of $26.8 million, a net income of $4.5 million of which $1.5 million represented its equity in Universal's undistributed earnings and $902,906 in Universal-paid dividends.
Universal always has maintained it never would sell its product outright to tv as have RKO and Warner Bros., feeling that old films neither die nor fade away [B*T, May 6]. In the $20 million contract with SG, Universal-Decca has not sold any rights; it merely has appointed SG as its distribution agent for "part of the take." It represents the first instance of one film company assigning distribution rights for its product to one of its rivals. Signatory parties to the contract were Universal-Decca President Milton R. Rackmil and Columbia Pictures Corp. Vice President Leo Jaffe.
Vogel Proposes 19 Nominees For Loew's Board Membership
IN THE continuing battle for control of Loew's Inc., parent company of MGM-TV, Loew's President John R. Vogel last week proposed a slate of 19 nominees for the board.
Included are Francis W. Hatch, vice president and director of BBDO (Boston office); Robert H. O'Brien, formerly an AB-PT executive and newly-appointed financial vice president of Loew's; actress Helen Hayes; Bennett Cerf, president of Random House Inc. and a tv personality, and General of the Army Omar N. Bradley, board chairman of the Bulova Research & Development Labs.
Mr. Vogel has called a special stockholders' meeting Sept. 12 in New York to elect a new and expanded board and to consider the removal from the board of two directors, Joseph Tomlinson, a Canadian contractor, and Stanley Meyer, former motion picture and tv executive.
A series of court proceedings is being instituted to decide the legality of a rump meeting held two weeks ago by the Tomlinson faction [B*T, Aug. 5, July 29].
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PROLIFIC PROFITS FROM POPEYE
AAP, stations, manufacturers all win in series' merchandising plan
A FILM SERIES distributed by Associated Artists Productions Inc. to TV stations for the viewing pleasure of moppets is in the cleanup spot in AAP's fast-expanding merchandising operation.
AAP's merchandising arm is new. For now all its activities center on one property—the Popeye cartoons, to which AAP acquired TV rights from Paramount more than a year ago.
But it is in the intertwined arrangements and contracts that AAP has made with stations, manufacturers and department stores that the distributor appears to have few peers in a field confined in large part to a network or individual advertiser operation.
The plan as worked out by AAP—and in force with a substantial number of stations now programming the Popeye series—is one that was conceived to profit not only the distributor but also the stations and the Popeye-licensed manufacturers of sundry toys, games and clothes for children.
Tailoring of the plan is cut to such a precise measure that AAP says it is conceivable for just about any of the stations which participate in the "overall" promotion to recoup a substantial part of the investment made for the film by the time its AAP contract runs out. Thus, AAP feels, a station can pay off most expenses of the film and chalk up proceeds from local sponsorship as gravy.
As AAP points out, Popeye licensed merchandise has been offered for sale in the past. But TV—and the popularity of the cartoons in various markets around the country—have brought a virtual boom to the Popeye character toy market.
AAP has sold the series in about 80 markets. As of last week, slightly more than half of the stations already were programming the cartoons.
When AAP first approached the idea of merchandising its Popeye shorts, there were some doubts. To begin with, experts in the film field advised that merchandising a syndicated show (market by market) was not only unusual but difficult. Among the obstacles: cartoons were being distributed in different markets and not every purchase was the same; different local sponsors selling unrelated wares were associated with cartoon programs; stations purchasing the series were of different size and strength and many were without a merchandising or promotion department. In addition, some stations were stand-offish to any promotion that smacked of merchandising and most of the cartoon shows were sold out fully to sponsors leaving no room for promotion messages in the program.
But AAP also was aware that in network merchandising activities stations for the most part had no control over the promotion program nor did the station as a rule derive revenue from the merchandising activity.
For several months AAP studied the situation and last April at the NARTB conven-
tion announced that it had a new profit-sharing plan that would give stations part of the income from royalty payments on Popeye character products.
This is the sequence of events: AAP in July 1956 acquired the TV rights to Popeye cartoons from Paramount Pictures Corp. and King Features for $2,250,000. In this agreement, AAP received the TV proprietary rights from Paramount while from King it obtained an exclusive arrangement for certain TV uses of the character which is a star in the syndicated comic strip stable of King Features.
The merchandising plan encompasses three types of participation or merchandising "packages." In the "overall" plan: Stations air 15- or 20-second promotional spots within the Popeye program or, if there is a sponsor conflict, in some other time periods. AAP arranges department store tie-ins to promote both the merchandise and the program that is on the station. If the program has a live children's audience, the merchandise is plugged via giveaways.
At present AAP has about 22 stations participating in this "overall" plan. Among them: WPIX (TV) New York (the first, started April 29); WEAR-TV Pensacola, Fla.; KTLA (TV) Los Angeles; WBZ-TV Boston; CKLW - TV Windsor - Detroit; WFIL-TV Philadelphia; WNBF-TV Binghamton, N. Y.; WNHC-TV New Haven, Conn.; WFBG-TV Altoona, Pa.; KVTV (TV) Salt Lake City and KFDA-TV Amarillo, Tex.
A second version of this merchandising plan (some of the 22 stations also take part in this as well as a third part) used by AAP is what is referred to as a "direct sell" promotion. In this, the station in its Popeye program or in other time promotes specific Popeye licensed merchandise. The third version features a new toy that AAP helped design and called "Colorforms," a game that has cut-out patterns. The local personality emceeing the Popeye program asks viewers to send their money to the station.
The manufacturer pays a license fee to King Features to use the Popeye character in the particular merchandise to be offered. He also pays AAP a royalty commission—varying from 2.5% to about 7%—based on his gross sales, for the TV promotion of the merchandise. Of this amount, 50% is retained by AAP to defray its expenses and 50% goes to the participating station, a formula worked out according to set count in the market. For the "direct sell," the station pockets 50% of the profit (for example, a two-third Popeye record album was developed and is being distributed nationally by Cabot Records. Income from on-air sale of the discs are shared with TV stations which feature the album on their Popeye shows and other spots).
Among the manufacturers licensed are some of the top companies in the toys, games and novelties field, including such names as Transogram Co., New York, Gund Mfg. Co., New York, and Mattel Inc., Los Angeles. But AAP's Paul Kwartin, director of merchandising, notes that none of these manufacturers is a heavy national user of radio or TV and thus is not using funds which otherwise would be used for broadcast media budgets.
The list of merchandise is staggering. Nearly 50 items appear on a list of Popeye-licensed articles. They vary from pocket flashlight, puppets and jacks-in-the-boxes to wood block puzzles, metal-craft tapping sets, dinnerware, belts and suspenders, T-shirts and trousers, to masquerade costumes, dolls, jigsaw puzzles, pencils, pajamas, popcorn, lollipops and comic books.
Latest introduced (Aug. 1) was a Popeye "ge-tar," a musical toy especially designed by Mattel, which claims to be the largest maker of musical toys in the world and itself has used TV successfully.
AAP's department store tie-ins have been going great guns. In New York, repeat performances have been held at Macy's, both in its downtown store and in suburban Garden City. Bamberger's in Newark, N. J., has had a Popeye Day, as has Jordan Marsh in Miami. Wanamaker's in
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Philadelphia is set for Aug. 17 and a tie-in with the Food Fair supermarkets is set for the Lebanon, Pa., and Philadelphia areas (was to start last Friday and continue through today). This phase of the promotion brings the local tv personality on the Popeye programs to the store to see the young viewer and in the process Popeye merchandise is on display and for sale.
Will AAP stay with Popeye? Indications are this is only the beginning. Once the organizational phase is over in the Popeye merchandising, AAP can be expected to move similar plans for Bugs Bunny and other Looney Tune characters (the company distributes those cartoon films acquired from Warner Bros.).
United National Begins Filming of 'Indemnity'
FILMING of United National Film Corp.'s first tv film series, *Indemnity*, was to start today (Monday) in Dallas. To be shot are 39 half-hour episodes in the series that will star Richard Kiley. Al Gilekes, Academy Award winner for his work on "American in Paris," is cinematographer, and Frank Telford (*Kraft Theatre, Robert Montgomery Presents* and *Halls of Ivy*) is director.
United National is the new corporate name for Dallas Film Industries Inc., formed recently by a group of Dallas businessmen. A. Pollard Simons is chairman, Roy R. McKee, treasurer, and James N. Landrum and P. B. Garrett, vice presidents.
Byrna Productions Enters Tv
BYRNA Productions, independent film company whose principal stockholder is Kirk Douglas, is entering the tv film field with an action-adventure color series, *King of the Vikings*. Edward Lewis, who will write and produce the series, has completed the first five scripts and negotiations for sponsorship have been started by the Steiner Agency, handling the package.
The tv series will utilize the sets, costumes, ships props and armor now being used for the theatrical motion picture, "The Vikings" a Kirk Douglas production to be released by United Artists, with Mr. Douglas starred. Plans are for the video programs to be released for broadcast in the fall of 1958, six months after the movie has begun its theatrical run.
Four Star Announces Expansion
FOUR STAR FILMS INC., owned by Dick Powell, David Niven, Charles Boyer and William Cruikshank, has announced a $6.4 million "overall production program", involving 160 half-hour telefilms, with $1 million to be spent on 21 films on which production begins in the next few weeks.
TV Now Prominent In Movie Finances
TV ACTIVITY—in the production of tv film (programs, commercials, etc.) and in leasing of feature libraries—has become an integral part of the motion picture industry.
Thus, tv stands out in Wall Street evaluation reports of the movie colony's financial strength.
In the latest Value Line investment survey by Arnold Bernhard & Co., New York, investment adviser, Hollywood is seen as entering a period of "more favorable business climate," with theatre attendance for the first six months of 1957 showing a 4% gain, the greater portion of an expanded output yet to be released and the industry no longer depending on the production and exhibition of conventional pictures but diversifying its interests into enterprises unrelated to the movies.
Tv angles in the company-by-company study include:
- American Broadcasting-Paramount Theatres. Degree of success ABC-TV has in selling prime-time hours in next fall's schedule to advertisers "may well go far toward determining how profitable the 1957-58 season [for ABC-TV] will turn out to be."
Should the bulk of this unsold time be underwritten by sponsors, a trend toward improvement in earnings should set in the second half of this year and extend well into next year. "Over the next few years, ABC's revenues will probably resume a healthy growth trend."
- Columbia Pictures Corp. Screen Gems is "sparking a rise in sales which may bring Columbia's gross income up to the $100 million mark for the 1957 fiscal year (ended June 30)." Screen Gems, which is Columbia's tv subsidiary, has grown "remarkably" in the last three years, increasing gross revenues from about $3 million in fiscal 1954 to about $11 million in fiscal 1956. Predicted is a gross income of $20 million in fiscal 1957. The parent company's gross income in 1958 "should be further enhanced by sales growth of the tv subsidiary." (Also see Screen Gems story, page 60.)
- Twentieth Century-Fox. Since the company is releasing most of its "big" pictures this year during the second half and because tv income and dividends from foreign theatre subsidiaries also ought to be larger in the final six months, Value Line predicts $3.50 a share in full year earnings (compared to $2.34 last year).
- Warner Bros. The company "will probably develop into a major supplier of new film products for the television industry." Evidence supporting this prediction: a $15 million production schedule of new entertainment and commercial films for tv during the coming year; plans to spend $1 million to remodel three motion picture sound stages for tv film use and for a new building specially designed to tv requirements.
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tion cameraman who has operated a library of process backgrounds and stock scenes, to form Producer's Library Service at 932 N. La Brea Ave., Hollywood. PLS offers editing and storage facilities for the independent tv or motion picture producer's stock film, which PLS will rent to other producers, dividing the fee 50-50 with the owner of the film, and also offers a film library service to provide the independent producer with whatever type of stock footage he needs.
Small's TPA Interest Purchased by Gordon
MILTON A. GORDON, president of Television Programs of America Inc., New York, announced Wednesday he has purchased the interest held in the company by co-partner Edward Small and that Mr. Small has resigned as board chairman of TPA. Price is estimated at $2 million.
At the same time Mr. Gordon announced a new plan whereby in the future both stars and producers of new series for the first time will have the opportunity to share in not only the profits of the programs in which each already participates but in TPA's over-all profits as well. This will be accomplished by setting aside a certain number of the shares in TPA previously held by Mr. Small to be acquired by talent, according to Mr. Gordon. This commonwealth plan never before has been applied in either television or feature film production, nor in any branch of theatrical production, Mr. Gordon claimed.
The profit participation plan is intended for future productions and as an incentive for outstanding talent, according to Mr. Gordon.
Mr. Small's departure from TPA was entirely amicable, Mr. Gordon declared, and was occasioned solely by his other business activities. Mr. Gordon expressed regret in losing Mr. Small as a partner. "We started this company just four years ago—without programs and without an organization. The fact that we now are a world-wide organization, with 500 people on our staff and 14 shows on the air can be attributed in great measure to him," Mr. Gordon said.
TPA's first network program was CBS-TV's *Lassie*. It now has on the air *Fury*, *Captain Gallant of the Foreign Legion*, both on NBC-TV, and *Private Secretary* on CBS-TV.
Programs on the air in syndication are: *Hawkeye and the Last of the Mohicans*, *Count of Monte Cristo*, *Mystery Is My Business*, *Stage 7*, *Your Star Showcase*, *Halls of Ivy*, *Ramar of the Jungle*, *Foreign Legionnaire*, *Susie*, *Science in Action* and *The Edward Small Features*. These and *Lassie* and *The Lone Ranger*, both Jack Wrather properties, are distributed abroad by TPA. In addition to current American production, *Adventures of Tugboat Annie* is being produced in Canada and *New Adventures of Charlie Chan* in England and on the Continent.
Mr. Gordon stated that no executive changes whatsoever are contemplated at this time. Michael M. Sillerman will continue as TPA's executive vice president and Leon Fromkess, in the Hollywood office, as vice president in charge of production.
Paramount Nets $2,359,000, $1.18 a Share, for First Half
PARAMOUNT PICTURES Corp. last week reported consolidated net earnings of $2,359,000, or $1.18 a share, for the first half of 1957, as compared with $2,322,000, or $1.12 a share, for the corresponding period of 1956. Paramount estimated that for the quarter ended June 30, earnings per share would rise to $0.53 as against $0.45 in the 1956 quarter.
ABC Film Marks Overseas Sales
SALES on five program series in four foreign countries have been completed by ABC Film Syndication during the past two weeks, it was announced last week by George T. Shupert, president of ABC Film Syndication.
Highlighting the sales effort was the signing of Corona Brewing Corp., San Juan, P. R., to sponsor Spanish versions of *Code 3* and *Sheena, Queen of the Jungle* in all Puerto Rico. Sale was made through Young & Rubicam, San Juan. Both series are scheduled to start in mid-September on stations to be announced later.
Other foreign sales were to DLAG-TV Manila, P. I., on *Code 3, Racket Squad* and *Sheena;* Spanish version of *The Three Musketeers* to Lee Optical Co. for WAPA-TV San Juan and WORA-TV Mayaguez, P. R., *Passport to Danger* to Viceroy cigarettes for YVLV-TV Caracas, Venezuela, and to Ford Motor Co. for TBOL-TV Guatemala City, Guatemala.
Wonderful Productions Formed
FORMATION of Willie Wonderful Productions Inc. as distributor of the *Willie Wonderful* animated tv film series was announced last week by Robert C. De Vinny, president. The package consists of more than 40 four-to-five-minute episodes and will be made available immediately to tv stations. Temporary offices are at 230 La-trobe St., Northfield, Ill., with headquarters in New York to be opened shortly. Mr. De Vinny reported his company has purchased the *Willie Wonderful* package outright from producer Eddie Bracken and that the series has been shown in fewer than 10 markets. Plans are to acquire other tv properties, both cartoons and syndicated series.
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Appeals Court Gets First Deintermixture
THE first court test of the FCC's deintermixture rulings involving a station already on the air was submitted last week to a three-judge appeals court in Washington.
Asking that Commission action be stayed—pending full-scale court litigation on the merits—was ch. 7 WTVW (TV) Evansville, Ind. It asked the court to halt the FCC's order deleting ch. 9 from Hatfield, Ind., and the show cause order proposing to modify WTVW's license from ch. 7 to ch. 31 and move ch. 7 from Evansville to Louisville, Ky.
The argument was heard by Circuit Judges Henry W. Edgerton, David L. Bazelon and Charles Fahy. Arguing in behalf of WTVW was Edward P. Morgan; for the FCC, Douglas McCarter, and for now-dark WKLO-TV Louisville, J. Roger Wollenberg.
Mr. Morgan stressed that the FCC had never specifically proposed in rulemaking that ch. 9 be moved from Hatfield to Evansville and specified as a reserved, educational, non-commercial channel. He said if that move was permitted, it would prejudice the show cause adjudicatory hearing on whether or not WTVW should move from ch. 7 to ch. 31. He said WTVW has spent $750,000 in construction and lost more than $450,000 since it began operating in August 1956. WTVW is an ABC affiliate.
Mr. McCarter opposed the grant of a stay on the ground WTVW is asking for court relief prematurely—since the final action on the WTVW show cause order was still to be issued after the hearing, if then.
The Evansville move is one of several in which the FCC has ordered single vhf channels out of cities to make them predominantly uhf. Others, also ordered early this year, involve the moves of ch. 12 from Fresno to Santa Barbara, Calif.; ch. 2 from Springfield, Ill., to St. Louis, Mo., and ch. 8 from Peoria to Rock Island, Ill. These are all in various stages of litigation, before the FCC and the courts. In addition to these vhf deletions, the FCC added vhf channels to a number of cities, such as New Orleans, Norfolk, Miami and Beaumont-Port Arthur, Tex.
Above-890-Mc Resumption To See Only Few Witnesses
A MERE handful of witnesses are expected to testify at the FCC hearing on use of the spectrum above 890 mc when the proceedings resume Sept. 30.
FCC members have been listening to a wide variety of testimony as to who needs what part of the spectrum most since last June, but the hearings are suspended during the customary August recess. Next month, the Electronic Industries Assn. (formerly RETMA) will make its case. So will another representative from Raytheon Manufacturing Co., and perhaps one or two others.
The last testimony regarding broadcasting came from consulting engineer A. Earl Culham, Jr., who two weeks ago described microwave needs for an educational tv network that would involve 16 southern states and cover "more than 300 accredited colleges and universities."
The closed circuit arrangement would take instructional programs from approximately 32 schools, require "a minimum of five program circuits," and operate for at least six hours a day.
Dr. Robert C. Anderson, director of the Southern Regional Educational Board, told the commissioners such a network might cost $22,500,000, "which will be only about 6% of the region's operating expenditures for instruction."
Senate Confirms Ford For Membership on FCC
THE nomination of Frederick W. Ford to become a member of the FCC was confirmed by the Senate last Monday during a brief respite in the civil rights debate. Mr. Ford had been appointed by President Eisenhower early last month [B*T, July 8] to fill the vacancy created with the expiration of then Chairman George C. McConnaughey's term.
Mr. Ford, 47-year-old attorney from West Virginia, will come to the Commission from the post of Assistant Deputy Attorney General at the Dept. of Justice. His nomination was highly praised by members of Congress and the broadcast industry.
Standing between the new commissioner and the start of official FCC duties is the swearing-in ceremony, which will be held "in about two weeks." He formerly was a member of the Commission staff (from 1947-53) and was the first chief of the Broadcast Bureau's hearing division. Returning to the Commission with Mr. Ford will be his secretary, Emma C. Burke, who has held that post since 1951 at both the FCC and Justice.
Comr. John C. Doerfer was named chairman of the Commission late in June [B*T, July 1] when Mr. McConnaughey left June 30 to enter private law practice. Barring a resignation, the next FCC vacancy will be created June 30, 1958, when the term of Democrat Robert T. Bartley expires.
Radio Assoc. Wins Biloxi V
RADIO ASSOC. Inc., Biloxi, Miss. (WVMI), has been granted ch. 13 there because of its "integration of ownership with (fulltime) management," and the broadcasting experience of its principals. The FCC action, taken Aug. 1, was announced last week.
Two initial decisions had already favored Radio Assoc. over WLOX Biloxi. The first was issued in July 1954, but the hearing was reopened for further information. The second was released in June 1956.
Radio Assoc. is controlled by Odes E. Robinson, 62.8% and James H. McKee, 30.4%. WLOX is owned by J. S. Love Jr., 44.6%; Mrs. Joe Ellis Buie Love, 44.6%; and others.
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Reducing Ads Under FTC Probe—Anderson
THE Federal Trade Commission's Com. Sigurd Anderson served notice on reducing aid advertisers last week that their ads are under FTC surveillance.
Testifying before a subcommittee of the House Committee on Government Operations investigating advertising, Mr. Anderson named products which, he said, have agreed to discontinue use of mails for advertising and now have entered over-the-counter business, thus coming under FTC jurisdiction. One such, he said, is Wonder Drug Corp. (Regimen). Regimen recently announced an expanded radio-tv spot program through its agency, Kastor, Farrell, Chesley & Clifford, New York [B•T, July 15, 2]. The FTC has not filed a complaint on reducing aids for four years.
Other witnesses called in for the reducing aid ad probe represented the medical profession, National Better Business Bureau, Post Office Dept. and Food & Drug Administration. The session's first witness, Dr. S. William Kalb, Newark, N. J., nutritionist, was asked about "RDX" tablets, which last year spent $170,350 on television spot. He took one of the pills himself and passed a box around to committee members, remarking that it tastes "very good" and is harmless but won't kill appetite. He said the government should "clamp down" on misleading claims. Dr. Kalb and succeeding witnesses testified that the only way to lose weight is by dieting. Other witnesses repeated a charge by the subcommittee chairman, Rep. John A. Blatnik (D-Minn.), that most reducing aids are worthless, and added that some are dangerous.
A staff spokesman for the Blatnik subcommittee said last week that he hopes to have two interim reports ready before Congress adjourns (possibly the end of this month). One will deal with reducing aids and another with the probe of cigarette advertising conducted in July. At the cigarette inquiry FTC Comr. Robert T. Secrest promised a "fresh approach" by his agency to cigarette ad policing, to be led off by a survey to find what ad terminology means to consumers.
Other subjects the Blatnik subcommittee intends to go into included tranquilizers, health and accident insurance, and administration of the FTC. These are all in preliminary investigation stage. Hearing dates will be announced later.
Schick, FTC Sign Consent Prohibiting Contested Ads
SCHICK Inc. (razors), Lancaster, Pa., and the Federal Trade Commission have signed a consent order prohibiting misrepresentation of a free home trial of the firm's electric razor and from selling used razors as new. The order grew out of an FTC complaint issued April 30.
The complaint cited commercials on network telecasts and other media and alleged that Schick was reconditioning returned razors and selling them as new. According to the FTC, some Schick dealers were unwilling to provide free home trial of the razor, as advertisements promised, nor had Schick required that all do so.
The order does not constitute an admission of any violation of the law.
Magnuson Asks FCC Intention On Fm Switch to Multiplex
SEN. Warren Magnuson (D-Wash.), chairman of the Senate Commerce Committee, last week asked the FCC what it plans to do about the current fm simplex-multiplex situation. He noted the Commission has extended the deadline for fm stations to switch from simplex to multiplex operation because equipment for the latter system has not been available.
The current extension expires Jan. 1, 1957 [B•T, June 17], and is the third such reprieve given fm outlets. First ordered to switch to multiplex operation in March 1955, they were given until July 1, 1956, to comply. This deadline later was extended one year and the latest ruling added another six months for simplex operation.
Using multiplex, an fm station can transmit functional music to business houses simultaneously with its regular programming; under simplex only one program can be carried at a time.
Comments Back Plan For Uhf Boosters
FURTHER favorable comments have arrived at the FCC praising the Commission's proposals to permit boosters in remote areas for uhf stations [B&T, Aug. 5].
FCC officials have endorsed their use under certain restrictions such as the requirement that they stay on the same channels with mother stations where signals are merely amplified or retransmitted.
ABC approved. So did NBC, which said, "There is a real need for co-channel boosters." But CBS went along with modifications, one of which called for a "less severe burden" on station management than being required to make official identification booster breaks during actual programs.
Electronic Industries Assn. (formerly RETMA) wanted the Commission to go ahead with its would-be authorizations. It commended "the accomplishments of the Commission in its continued efforts to help the uhf tv broadcaster."
Another such was the Joint Council On Educational Television, which said the proposals were justified for "severely handicapped" uhfs. But it questioned the merits of locating boosters within 68-mile ranges which it said "may cause objectionable interference." Because of this, JCET inquired whether other spacing requirements might be considered.
A handful of uhf stations were all for the idea: WTVP (TV) Decatur, Ill.; WSEE (TV) Erie, Pa.; WNAO-TV Raleigh, N. C.; and KCOR-TV San Antonio, Tex. They told the FCC it would improve uhf coverage by filling in shadow areas, encourage greater use of uhf channels, and "in some instances, provide a broader financial base for operating uhf stations."
WBRE-TV Wilkes-Barre, Pa., and WANE-TV Fort Wayne said they were "in full accord," but asked for less stringent monitoring regulations to cut costs.
The Washington State Reflector Assn. wanted the boosters, but demanded similar rulemaking for vhfs, and said they would work out in the Northwest with proper controls.
In this connection, the FCC two weeks ago decided to let vhf booster supporters at least try to show they are feasible, and written proof is due by Oct. 1.
House Passes Bill to Reduce 'Cabaret' Tax From 20% to 10%
THE House last week passed, by an overwhelming voice vote, a bill (HR 17) which would reduce the "cabaret" tax, levied against eating and drinking establishments which provide entertainment or live music, from 20 to 10%.
Proponents of the bill argued the 20% tax is curtailing the employment of musicians and entertainers. Increased employment, they said, would help make up the estimated $21 million in taxes which would be lost annually by the Treasury Dept. if the measure is made a law.
James C. Petrillo, president of the American Federation of Musicians, praised the House action as "gratifying." The bill was sent to the Senate and referred to the Finance Committee. There reportedly is little chance of Senate action on the bill during the present session of Congress.
BOXSCORE
STATUS of comparative hearing cases for new tv stations before FCC:
AWAITING FINAL DECISION: 0
AWAITING ORAL ARGUMENT: 6
(Figures in parentheses indicate dates initial decisions were issued.)
Cape Breton, N.S., ch. 3 (7-28-59); Hatfield, Ind.-Owensboro, Ky., ch. 8 (2-14-59); Onondaga-Parma, Mich., ch. 10 (3-7-57); Topeka, Ohio, ch. 11 (3-21-57); Beaumont, Tex., ch. 14 (4-27-57); Cheboygan, Mich., ch. 4 (6-21-57).
IN HEARING: 10
Mayaguez, P. R., ch. 3; Lubbock, Tex., ch. 5; Alliance, Neb., ch. 13 (6-8-57); Greenwood, Miss., ch. 8; Salt City, Utah, ch. 8; Butte, Mont., ch. 6; Quail City, Utah, ch. 6 (7-3-57); Buffalo, N. Y., ch. 7 (9-24-56); Baton Rouge, La., ch. 18 (7-17-57); Elko, Nev., ch. 17 (7-11-57); Beaumont-Port Arthur, Tex., ch. 12.
IN COURT: 5
(Appeals from tv grants in U. S. Court of Appeals, Washington.)
Portsmouth, Va., ch. 10; Miami, ch. 10; Knoxville, Tenn., ch. 10; St. Louis, ch. 11; Boston, ch. 5.
Chelf, Sikes Introduce Bills To Save the Songs Dixie Loves
CONGRESSIONAL activity on the summer's big musical issue, whether network censorship of certain allegedly offensive words in Stephen Foster and other songs is proper [BoT, Aug. 5], blossomed forth last week with traditional Dixie fervor.
- Rep. Frank Chelf (D-Ky.) and Rep. Robert Sikes (D-Fla.) introduced identical bills in the House "to prevent the unauthorized censorship by broadcasting, television, telephone, telegraph, and all similar companies, or networks, of songs, tunes, words, lyrics, and other material and things . . ." In seeking support for his measure, Congressman Chelf wrote letters to all the members of the House Commerce Committee, to which the bills were referred (asking): "Have we become so mercenary in America that in order for a sponsor to sell Upchuck's Burp Pills or Doblows Anti-Smell Underarm Gue that we have to rewrite or destroy the songs that your father and mother and their parents loved and cherished?"
- Rep. Oren Harris (D-Ark.) House Commerce Committee chairman, sent a letter to the networks and the NARTB in which he reportedly pointed out that his committee has been asked to investigate these alleged "censorship" practices.
Although not publicly released, Rep. Harris is understood to have told the networks that if this allegation is true, it raises serious questions and such "censorship" is an arbitrary action of the networks not supported by the licensees. He reportedly asked for any assistance and comments they might care to make.
Reps. Chelf and Sikes, along with three other southern congressmen, called for such an investigation three weeks ago [BoT, July 29].
Meanwhile, the networks still appeared surprised that all this apparent heat has been generated of late over a song-editing practice they have followed for more than 20 years.
Newsmen at Atomic Tests To Get On-scene TV Coverage
NEWSMEN miles from the blast site at next Monday's atomic tests in Nevada will be able to view the event fully and immediately through the use of TV cameras strategically placed about the operation, according to an announcement from the Pentagon last week.
Army Signal Corps personnel will set up the first TV monitoring system ever used for representatives of the news media at Camp Desert Rock. Previously, newsmen had to be content with "blind" trench-sitting 15 miles from the A-Bomb blast.
It was reported remote telecasts will be handled from three positions during the exercises. There will be pictures from trenches where participating troops will be stationed, and a pickup from the helicopter landing area from which the soldiers later will be flown to the blast site. Spectators also will view pictures taken from a plane which, when safety permits, will hover over the target area.
The entire TV operation will be narrated by Master Sergeant Stuart Queen. It is expected information will be gained through the use of TV to provide further insight into the effect of such explosions on various types of television equipment.
Oberfelder Co. Pays $167,926 For WKIX-AM-FM Raleigh, N. C.
TED OBERFELDER Broadcasting Co., New York, last week filed an application with the FCC to buy WKIX-AM-FM Raleigh, N. C., for $167,926 from J. W. English, G. J. Mead, J. J. Boland Jr. and J. P. McBrier, each owning 14.8%, and others.
The four sellers, who also have interests in WSEE (TV) Erie, Pa., told the Commission they wanted to sell out to concentrate more on the operation of their remaining station interests, WNAO-TV Raleigh.
Oberfelder, a new corporation, includes Theodore I. Oberfelder, who before committing himself to 25% was once sales vice president of WABC-TV New York. He joined Burke-Stuart as president May 1, 1956, and left June 15 this year.
His partners are L. B. Frutkin, 12½%; B. N. Rippe, 12½%; L. P. Randell, 25%; and N. R. Glenns, 25%. WKIX (850 kc. 10 kw) lost $5,267.63 in June, and almost as much in the two previous months, according to a balance sheet it filed with the FCC.
Sandstrom Tells Congressman What Action FCC Should Take
NOTICE to the FCC: Thad M. Sandstrom, general manager of WBW-AM-TV Topeka, Kan., has three suggested improvements "from the standpoint of the radio-TV industry." They are:
1. Lessening of the Commission's paperwork load. He said this has shown considerable improvement in the past 10 years, but he feels the Commission at times calls for information "that is really none of its business."
2. Extension of the broadcast licensing period from three to five years.
3. Remote control operation for directional stations. He said the smaller stations using directional antennas "certainly have been burdened by the Commission's slowness in acting on this regulation" and that remote control operation of such stations is a "must."
Mr. Sandstrom's proposals, all of which have been sought by broadcasters for sometime, were made in a letter to Rep. William H. Avery (R-Kan.). In making his recommendations, Mr. Sandstrom praised the FCC's progress during the administration of former Chairman George C. McConaughy.
"While many of us in the radio and telev..."
Chedo Chuckovich
He’s one of the few who got a second chance
“I’m Chedo Chuckovich, lucky to live in America.
“For I have also been Chedo Chuckovich, man without a country.
“I was born in Belgrade, Yugoslavia. My father was co-owner of the Serbian-American National Bank. I had been educated in schools in France and Switzerland, and planned on a career in diplomacy.
“When I was 17, the Germans invaded my country. I fled with my family into the hills, and joined the guerrillas. My father was killed. My brother was killed. I was wounded and taken prisoner, and starved for five years in a Nazi concentration camp.
“Two weeks before the war’s end, the Canadians freed me. My family was dead or scattered. Our property had been confiscated. The Communists had taken over Yugoslavia. I was a man without a country.
“But I was one of the lucky displaced persons. Unlike so many of the others, I got to America, and a new start.
“Today I am in business for myself, a Union Oil dealer in Pacific Palisades, California. I have money in the bank, a home, a car. I have the respect of my neighbors. I have friends and a future again. I will soon be an American citizen.
“I will work at my citizenship because I learned the hard way you can’t take it for granted. You have to earn it.
“I know, because I’m one of the few who got a second chance at freedom.”
Chedo’s life underlines a basic truth, we believe: Wherever men would remain free, they must remain alert.
For any concentration of power in the hands of a few—whether they be businessmen, financiers, industrialists, government officials or labor leaders—is, inevitably, at the expense of the majority.
YOUR COMMENTS ARE INVITED. Write: The Chairman of the Board, Union Oil Co., Union Oil Bldg., Los Angeles 17, Calif.
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vision industry have been critical of the Commission in the past, and probably will continue to be in the future, it is my feeling that the Commission, basically, has done a good job," he said.
Rep. Avery, a member of the House Commerce Committee, called for "serious consideration" of the letter and had it made a part of the Congressional Record.
**Road Show 'Conflicts'—Green**
BEN A. GREEN, editor of *Country and Western Jamboree* magazine, last week circulated a letter to country music disc jockeys, and others connected with country music, protesting Philip Morris Co.'s free country music show currently touring the nation. Attached to the letter is a copy of a statement Mr. Green filed with Rep. Emanuel Celler (D-N. Y.), chairman of the House Antitrust Subcommittee. In the statement Mr. Green charges the Philip Morris show with being in "direct conflict with independent operators including artists, promoters, radio station managers, disc jockeys and talent managers."
**Daylight Saving Ban Would Cut Hours of Many Stations—Elliot**
PASSAGE of legislation providing uniform time zones would cut the operating time of some daytime stations as much as 150 hours a year, Chairman Oren Harris (D-Ark.) of the House Interstate & Foreign Commerce Committee was told by Tim Elliot, president of WICE Providence, R. I., and WCUE Akron, Ohio.
The bills limiting or banning Daylight Saving Time (HR 369, 370, 5771) would deny local communities the chance to decide whether they want daylight time, Mr. Elliot wrote. He sent Chairman Harris a copy of an editorial broadcast on WCUE in which his reasons for the stand were outlined.
Nearly a third of U. S. stations are daytime-only outlets signing off at local sunset, Mr. Elliot reminded. Daylight time gives them an extra evening hour, he said. He wrote NARTB President Harold E. Fellows saying association support for the legislation would react against many broadcasters.
**PERSONNEL RELATIONS**
**'Welk' Telecast Canceled In ABC-TV, NABET Dispute**
DISPUTE between ABC-TV and the National Assn. of Broadcast Employees and Technicians last Monday resulted in the cancellation of the *Lawrence Welk Show* and in interruptions of various other programs that day from 3-9:45 p.m., when a settlement was reached.
Technicians in New York, Chicago, Los Angeles and San Francisco were ordered to stop work by NABET in what it called "grievance writing sessions." The dispute stemmed from a program begun by ABC-TV last Monday, *American Bandstand* (see *IN REVIEW*), which originates from WFIL-TV Philadelphia, manned by members of the International Alliance of Theatrical & Stage Employees.
A NABET spokesman said the union's main concern was that for "the first time in tv," a network had transferred a "sizeable" portion of its afternoon programming (seven and one-half hours per week) from a major production center (New York) to an affiliate. If this started a precedent, he continued, and networks shifted more of their programming service from the so-called major centers to smaller cities "to lower production costs" members in unions such as NABET might lose jobs. The settlement reached was that no lay-offs will result because of origination of *American Bandstand* from WFIL-TV and in the future, ABC-TV will consult with NABET before it moves "a strip program" out of a major center for an affiliate origination.
**WGAW Buys Building Lot**
WRITERS Guild of America, West, has purchased the northeast corner of Beverly Blvd. and Almont Dr., Los Angeles, for $90,000 as a site for the organization's own building. Total cost of land and building is estimated at about $250,000, to be financed in part by bond subscriptions to the members, plus a $50,000 loan made to the guild by its Screenwriters Branch.
Building committee, headed by Frank Nugent, is aiming at completion of the new building by next March, when the guild's lease for its present quarters on Sunset Boulevard expires, although no architect has been named nor has the guild decided whether the building should house other tenants or be used exclusively for the guild's own quarters.
**Movies Stall in Talks With AFM**
MAJOR motion picture producers were unsuccessful last week during a series of meetings with officials of the American Federation of Musicians in their efforts to persuade the AFM to reduce fees on films sold to television. Producers have been seeking a reduction in the contribution they make to the Music Performance Trust Funds, amounting to 5% of the gross revenues of films sold to tv. AFM President James C. Petrillo is reported to have told the producers he can make no concession in the current fees unless producers can offer "an acceptable formula" that will not work to the detriment of musicians.
**CBS Photo Unit Gets Raise**
THE eight employees of the CBS photographic department in Hollywood (still photographers, lab technicians and retouchers) got a $10 a week raise under a new two-year contract between the network and IBEW's Hollywood Local (45). The pact, retroactive to July 1, 1957, is the first to be negotiated for this group which serves both the radio and tv networks.
L.A. TOLL TV PLANS HIT SNAGS
- City Council postpones action on Skiatron franchise
- ITC-Fox bid delayed on question of antitrust violation
CLOSED-CIRCUIT toll tv ran into official tape in Los Angeles last week as the City Council canceled its proposal to advertise Skiatron's franchise [B&T, July 22] for bids, returnable Aug. 21.
The council postponed all action on toll tv until Sept. 18. The action was a sequel to a ruling handed down the day before by the city's Board of Public Utilities & Transportation. The board had refused to recommend to the council the joint application of International Telemeter Corp. and Fox West Coast Theatres for a second closed-circuit tv franchise.
The board in addition had asked International and Fox to return Aug. 27 when they will be asked to show that a franchise issued to them would not violate antitrust provisions of Justice Dept. consent decrees.
The issue was raised in a telegram sent to the five members of the board by Skiatron Electronics & Tv Corp., reading in part: "We are advised that International Telemeter Inc. is substantially a wholly-owned subsidiary of Paramount Pictures Inc.; that Fox West Coast Theatres Corp. is a wholly-owned subsidiary of National Theatres Corp.; and that both Paramount Pictures Inc. and National Theatres Corp. presently are operating their businesses under decrees of the United States District Court based upon violations of the federal antitrust laws. We are further advised that these court decrees prohibit National Theatres Corp. from in any way engaging in the distribution of motion pictures . . . and in general that said decrees restrain both companies from separately or jointly expanding in the field of motion picture exhibition.
"It would appear therefore that serious legal and economic problems may arise as to the right of Paramount Pictures Inc. or National Theatres Corp. or their subsidiaries, separately or jointly, directly or indirectly, seeking, obtaining or operating under a franchise for a closed-circuit television system for the city of Los Angeles and that the granting of the franchise itself may be in violation of the federal court decrees referred to above. . . ."
(Skiatron Electronics & Tv Corp. developed the toll tv system which its U. S. licensee, Skiatron Tv Inc., proposes to install in Los Angeles homes if it is the "highest acceptable bidder" for the franchise authorized by the City of Los Angeles in response to the Skiatron Tv Inc. application [B&T, July 29].)
Reading of the Skiatron telegram followed a presentation by Lawrence A. Peters, attorney for Fox West Coast Theatres, in support of the joint application, in which Mr. Peters said that motion pictures will comprise the major part of the program fare if the franchise is granted. He protested that the consent decrees dealt solely with the exhibition of motion pictures in theatres, a contention denied by Skiatron attorney Harry B. Swerdlow. Mr. Swerdlow argued that if Fox West Coast Theatres had to get the court's permission to build new theatres with relatively small seating capacity, such permission would certainly be needed for a plan to take motion pictures into millions of homes.
Answering a question from board member Ned Redding as to how the board should proceed, Mr. Swerdlow suggested the U. S. Attorney General be asked whether the proposed franchise would or would not violate the consent decrees. This suggestion brought immediate reactions from Alan Campbell of the Los Angeles city attorney's office as well as from representatives of Telemeter and Fox West Coast, who felt that months, possibly years, would elapse before an answer could be obtained. Mr. Campbell gave his opinion that the city need not consider whether a franchise to the joint applicants would violate the consent decrees they had signed or not, stating that if the courts should subsequently rule that it was a violation there would be no blame on the city.
When the four board members present split two to two on recommending that a franchise be granted to Telemeter-Fox West Coast by the city council, protests that this in effect was granting an exclusive franchise to Skiatron won the joint applicants the chance for a reappearance before the board in three weeks' time.
In postponing its own plans to advertise the Skiatron franchise for sale [B&T, July 29], the City Council members clearly expressed their surprise at the failure of the Board of Public Utilities & Transportation to recommend that Telemeter-Fox West Coast also be given a franchise for a closed-circuit tv system. Resentment also was expressed at Skiatron for a move that several council members described as an attempt to gain a monopoly by turning the non-exclusive franchise approved by the council into an exclusive one.
The council approved an amendment offered by the city attorney in the wording of the time of performance section (2.4) of the franchise to read as follows: "If the installation of a closed-circuit system shall not be commenced within two years after the effective date of this franchise, and extensions and service pursued with due diligence thereafter, failure to so commence and offer service shall be grounds for termination of the rights and privilege of this franchise."
Allows for FCC Action
Approval followed the explanation that the amendment was designed to clarify the language of the section which would relieve the franchise grantee of responsibility for proceeding with the installation of a wired system if in the meantime the FCC approves the broadcast transmission of pay tv program service and so renders a wired service impractical and uneconomic. In such event, the grantee would be allowed to terminate his franchise without forfeiting the $100,000 faithful performance bond the city requires him to post.
In his report to stockholders of National Theatres Inc., E. C. Rhoden, president, included a paragraph of subscription television: "Much publicity is being given currently to proposed television systems involving payments by home viewers through coin boxes or other arrangements. There are many problems involved in so-called pay-tv and its economic feasibility is yet to be demonstrated. However, we are keeping in close touch with developments in this field and are prepared to take definite steps if it appears desirable."
Earnings of National Theatres for the 39 weeks ended June 25 were almost exactly the same as for the like period of 1956, this year's net income of $1,365,820 amounting to 51 cents a share of outstanding stock, the same per share income derived from the $1,378,974 net for the first 39 weeks of 1956. Theatre gross income for the 39 weeks ended June 25, 1957, was $40,909,966 compared with $40,020,250 for the same period of the year before.
SNI to Telecast Browns' Games
SPORTS Network Inc. again will telecast all Cleveland Browns' football games starting this fall on a lineup of stations still uncompleted, it was announced last week by Richard Bailey, president of SNI. Carling Brewing Co. has signed to sponsor the schedule in 13 markets and Standard Oil Co. of Ohio in about 30 markets, Mr. Bailey reported. The 12-game schedule opens Sept. 29 and runs through Dec. 15. SNI also telecast the Brown's 1956 games.
**Tv Guide Creates Eight Regions, Names Managers in Realignment**
*THE Tv Guide*, Philadelphia, last week established eight regions and appointed managers to administer 49 editions of the magazine published in this country and Canada.
New regions and executives in charge:
Northeastern region, headquarters, Boston. Thomas J. McDonough, manager of the New England edition, named regional manager. In the region are New England, Connecticut Valley, Lake Ontario, St. Lawrence and New York State editions.
Middle Atlantic, headquarters, New York City. Christopher J. Bodkin Jr., manager of the New York metropolitan edition, appointed regional manager. Editions: New York metropolitan, Philadelphia, Washington-Baltimore, Virginia, Wilkes-Barre-Scranton, Hazleton-Williamsport and Pittsburgh.
Southeastern, headquarters. Atlanta. Benjamin Miller, manager of the Houston-Galveston edition, to regional manager. Editions: Georgia, North Carolina, Gulf Coast, Louisiana, Tennessee, Alabama, South Carolina and Florida.
Midwest, headquarters, Chicago. James Green, manager of the Lake Ontario edition, to regional manager. Editions: Chicago, Michigan, Cleveland and Detroit.
Mid-Central, headquarters, Cincinnati. Charles Pritchett, southern Ohio edition manager, to regional manager. Editions: southern Ohio, Indiana, West Virginia and Kentucky.
South Central, headquarters, Kansas City. Kent Armstrong, Kansas City manager, to regional manager. Editions: Kansas City, St. Louis, Wichita, Missouri, Oklahoma, Dallas-Fort Worth, Colorado and Houston-Galveston.
North Central, headquarters, Davenport, Iowa. Lee Salberg, manager of the Wisconsin edition, to regional manager. Editions: Wisconsin, Illinois, Iowa, Nebraska, Minnesota and Minneapolis-St. Paul.
Pacific Coast, headquarters, Los Angeles. Jack Sullivan, manager of the North Central regional office, Davenport, to regional manager. Editions: southern, central and northern California, Oregon, eastern and western Washington state.
**TNT Signs 51 Theatres for Bout**
FIFTY-ONE theatres already have signed for the Theatre Network Television closed-circuit telecast of the middleweight championship fight between Ray Robinson and Carmen Basilio on Sept. 23, it was announced last week by Nathan L. Halpern, TNT president. Mr. Halpern said he believes another 100 theatres will be added to the lineup for the bout which will be held at the Yankee Stadium in New York.
**Move to S.F. Would Help Giants, Stoneham Tells Stockholders**
INDICATIONS that the New York Giants are highly disposed toward transferring the club's franchise to San Francisco were given at a stockholders meeting in Jersey City last week when Horace Stoneham, president, reported that closed-circuit tv guarantees alone "will double our radio and television income."
Although Mr. Stoneham told newsmen after the closed meeting that "nothing definite" has been set on moving to San Francisco, he was reported to have been "very enthusiastic" during the stockholder's session about relocating in the West. One observer said Mr. Stoneham referred to an agreement with Skiatron Tv, providing for closed-circuit telecasting of the Giant games. Mr. Stoneham was said to have repeated what he told the Celler Committee on Capitol Hill several weeks ago [B*T, July 22]—the Giants will receive about double the radio-tv income from closed-circuit tv in San Francisco. He told the Celler Committee the Giants received $730,593 from radio-tv in 1956.
Mr. Stoneham expects to receive "a letter of intent" from San Francisco city officials within a week, he told stockholders. He added that a meeting of the board of directors of the club would be held later this week to decide on any possible transfer.
WGH-FM Announces Meeting Sept. 26-27 on Multiplexing
WGH-FM Norfolk, Va., has announced a two-day meeting on multiplexing for Sept. 26-27 at the Hotel Chamberlin, Old Point Comfort, Va. Sessions are open to representatives of stations, manufacturers, background music and program suppliers, according to Ambert Dail, assistant manager of WGH-FM, who has invited inquiries.
WGH-FM has been multiplexing for a year and a half and has what it considers one of the largest operations in this field in the U.S. The station holds a Muzak franchise for its territory.
Agenda for the meeting still is being formulated, but it will include seminars and speeches on the still-new field of multiplexing, as well as manufacturers' displays and field trips to WGH-FM installations, Mr. Dail said.
Inquiries may be addressed to Mr. Dail at WGH-FM, 739 Boush St., Norfolk, Va.
CTS Sets Up N.Y. Coaxial Cable
A PERMANENT land coaxial cable has been installed between Closedcircuit Telecasting System's New York studios and the New York telephone company's offices, making it possible for agencies and others to arrange big-screen TV tests on short notice, CTS President Fanshawe Lindsley announced last week.
He said the new facilities, installed by CTS at a cost of more than $40,000, permit CTS to take feeds from any of the three TV networks or from remote originations and present a big-screen projection picture in either color or black-and-white in its studio, which seats up to 80 persons.
Capitol Records Sales Up 37%
CAPITOL RECORDS had an all-time high sales figure of $35,108,401 during the fiscal year ended June 30, up 37% over the previous year's sales, the company reported to stockholders last week. Net income, after $3,533,000 Federal and Canadian income taxes, was $3,239,362, or $6.80 per share of common stock, compared to $3.35 per share for the 1955-56 year.
Telemeter to Show C-C Pay TV
INTERNATIONAL Telemeter Corp., a subsidiary of Paramount Pictures Corp., starts a series of demonstrations of its closed-circuit pay TV system tomorrow (Tuesday) in New York at the Savoy Plaza Hotel. The demonstrations (about four a day) will continue over a two-week period.
Zucker Announces Program Firm
ARNOLD ZUCKER has announced formation of Community Program Assoc., New Brunswick, N.J. The firm, of which Mr. Zucker is president, offers services to radio stations in local news, promotion, public service and commercial shows. CPA headquarters at 238 Upson Lane in New Brunswick.
Parents Restrict TV Viewing In Evanston, Ill., Study Shows
IN Evanston, Ill., parents apparently are spending more time watching TV but at the same time are supervising viewing by their children more closely, according to findings in the eighth annual television survey conducted by Paul Witty, professor of education at Northwestern U. Parents and teachers can realize tremendous educational possibilities from TV if they learn to utilize it discriminatingly and wisely, he said.
Among his findings:
(1) Evanston parents average about 20 weekly viewing hours in 1957 compared to 17 last year;
(2) Grade school pupils watch 20 hours per week as against 21 in 1956;
(3) Teen-age students average 12 a week (and some even prefer radio and out-of-home listening);
(4) Teachers view TV about 9 hours each week, as against an average of 12 from 1953-56.
Professor Witty indicated children's viewing hours are below those of other communities because of greater parental control.
Other figures: 96% of children in Evanston and Kenosha County have access to at least one TV set; 95% of teachers there have receivers (compared to 25% in 1951).
Earlier fears of TV's alleged detrimental effects on children have evaporated, Prof. Witty claimed, because in Evanston they read more, (save comic books), get as much sleep and outdoor recreation, and their grades don't suffer because of too much TV. Evanston children still rate Disneyland their favorite program; parents prefer I Love Lucy as in past years, and teachers like What's My Line. As to grades, some children managed better in the classroom because of being stimulated by TV programs, Prof. Witty found.
N.Y.U. Sets Radio-TV Course
A NEW college course on the operation of a present-day radio station will be offered by the division of general education of New York U. this fall with Sam J. Slate, general manager of WCBS New York, as lecturer. Registration for the course opens Sept. 9 and classwork begins Sept. 30. Mr. Slate will discuss the changing role of the local radio station, covering such areas as programming, management, sales, publicity, promotion and merchandising. He will explore such topics as the FCC, station organization, talent and labor contracts, rate cards and discounts.
Collins Lauds Florida ETC
FLORIDA'S new seven-member Educational Television Commission, formed last month, is part of "one of the most significant steps ever taken by our state," according to Gov. LeRoy Collins, in a statement the week before last. It was further announced that the state legislature has appropriated $600,000 to begin establishment of a state-wide network of educational television stations.
America Relaxes....
IN NEW YORK
"It was a wonderful show"—and motor trucks helped make it so. Scenery, costumes, special lighting and sound equipment—all came by truck... America Relaxes...
IN CHICAGO
Motor trucks deliver all the meats, vegetables, fruits and condiments that go to make up taste-tempting delicacies for discriminating palates... America Relaxes...
IN PHOENIX
"Ride 'Em Cowboy!" is a familiar cry at the colorful Rodeo—and, thanks to trucks and huge livestock vans, there'll be broncos and steers a plenty... America Relaxes...
IN SEATTLE
Thousands thrill to the breathtaking speed of cup-winning power boats... transported on specially-designed truck-trailers from the four corners of the land... America Relaxes...
AMERICAN TRUCKING INDUSTRY
American Trucking Associations, Inc., Washington 6, D.C.
THE SHORTEST DISTANCE BETWEEN TWO POINTS IS A TRUCK LINE
Atomic power in Caesar's day?
Certainly!
It was there, in the ground, in the air and water. It always had been. There are no more "raw materials" today than there were when Rome ruled the world.
The only thing new is knowledge...knowledge of how to get at and rearrange raw materials. Every invention of modern times was "available" to Rameses, Caesar, Charlemagne.
In this sense, then, we have available today in existing raw materials the inventions that can make our lives longer, happier, and inconceivably easier. We need only knowledge to bring them into reality.
Could there possibly be a better argument for the strengthening of our sources of knowledge—our colleges and universities? Can we possibly deny that the welfare, progress—indeed the very fate—of our nation depends on the quality of knowledge generated and transmitted by these institutions of higher learning?
It is almost unbelievable that a society such as ours, which has profited so vastly from an accelerated accumulation of knowledge, should allow anything to threaten the wellsprings of our learning.
Yet this is the case
The crisis that confronts our colleges today threatens to weaken seriously their ability to produce the kind of graduates who can assimilate and carry forward our rich heritage of learning.
The crisis is composed of several elements: a salary scale that is driving away from teaching the kind of mind most qualified to teach; overcrowded classrooms; and a mounting pressure for enrollment that will double by 1967.
In a very real sense our personal and national progress depends on our colleges. They must have our aid.
Help the colleges or universities of your choice. Help them plan for stronger faculties and expansion. The returns will be greater than you think.
If you want to know what the college crisis means to you, write for a free booklet to: HIGHER EDUCATION, Box 36, Times Square Station, New York 36, New York.
Sponsored as a public service, in cooperation with the Council for Financial Aid to Education
BROADCASTING
TELECASTING
THE BUSINESSWEEKLY OF RADIO AND TELEVISION
GE Sets New Checks Of Portable TV Sets
GENERAL Electric Co. is "proceeding in a positive fashion to eliminate any possibility" of recurring defective portable tv sets, the set manufacturer announced Tuesday.
The statement was issued following a Cook County jury's findings that improper factory assembly led to the accidental electrocution of a six-year-old suburban Chicago boy. It recommended strengthening of safety standards for tv and appliance manufacturers.
The 12-man jury, appointed by Coroner Walter E. McCarron for inquest proceedings, found the receiver "defective in such manner that lethal voltages exist between its cabinet and ground." The youth, Howard Erenstein, of Skokie, Ill., probably died "of electric shock from simultaneous contact with the television set and the grounded metal trim on the kitchen counter top," the jury stated. It continued:
"Since many kinds of portable electrical appliances are being used in the American home in ever increasing numbers, it is highly desirable that safety codes and practices used by the industry be strengthened."
Specifically, there was speculation that "during factory assembly the 135-volt direct current line was accidentally pinched and wedged between the mounting bracket and the vertical holding control."
The GE statement was issued by Herbert Riegelman, general manager of its television receiver department, Syracuse, N. Y., and read:
"General Electric has manufactured more than a million portable television receivers and this tragic and regrettable accident is the first of its kind involving one of our sets. . . . We have been unable to determine how this (pinched wire) could have escaped our rigid factory tests. . . ." It also announced its distributors and dealers are prepared to offer free electrical checks to portable tv set owners and urge them to take the opportunity "to assure themselves of the safety of their sets." Tv set usage has increased from a few hundred in 1946 to 46 million in 1957 without any increase in deaths from electrocution in American homes, a GE representative also pointed out.
An Underwriters Labs representative, Louis M. Kline, was questioned closely about the feasibility of "plastic type insulation," methods. He promised Underwriters Labs would "act to consider" any such recommendations by the jurors.
Radio Production, Sales Up But TV Down in '57—EIA
PRODUCTION and sales of radio receivers in the first half of 1957 ran well ahead of 1956 but tv production and sales figures are under last year, according to Electronic Industries Assn. (formerly RETMA).
Factory output of radios totaled 7,187-294 sets for the first six months of the year.
compared to 6,659,165 sets for the same 1956 period. Of the 1957 output, 2,834,676 were auto radios. June radio output totaled 1,088,343 sets compared to 1,023,771 in May and 1,073,775 in June 1956.
Tv output totaled 2,722,139 for the first half of 1957 compared to 3,415,202 in the same 1956 period. In June factories produced 543,778 tv sets compared to 342,386 in May and 553,025 in June 1956. Of the tv sets produced last June, 72,766 had uhf tuners compared to 78,512 in June 1956.
Retail sales of radio sets totaled 3,638,969 for the first half of 1957 compared to 3,391,102 in the same 1956 period. Retail radio figures do not include auto radios, most of which move directly to auto manufacturers. Sales of radios in June totaled 729,421 compared to 547,480 in May and 839,830 in June 1956.
Sales of tv sets at retail stores totaled 2,810,403 units in the first six months of 1957 compared to 2,868,250 in the same 1956 period. June sales totaled 389,770 tv sets compared to 399,757 in May and 439,362 in June 1956.
Radio and tv set production during the first six months of 1957 follows:
| Month | Television | Auto Radio | Total Radio |
|-------|------------|------------|-------------|
| Jan. | 450,190 | 521,624 | 1,085,325 |
| Feb. | 464,697 | 522,859 | 1,264,765 |
| March | 530,842 | 380,032 | 1,090,874 |
| April | 381,246 | 380,452 | 1,115,813 |
| May | 342,396 | 396,151 | 1,623,771 |
| June | 543,778 | 416,058 | 1,088,343 |
| TOTAL | 2,722,139 | 2,834,676 | 7,187,294 |
Radio and television retail set sales in the first six months of 1957 follow:
| Month | Television Sales | Radio Sales |
|-------|------------------|-------------|
| Jan. | 623,359 | 563,363 |
| Feb. | 533,437 | 525,026 |
| March | 534,111 | 730,364 |
| April | 337,965 | 543,092 |
| May | 399,757 | 547,480 |
| June | 389,770 | 729,421 |
| TOTAL | 2,810,403 | 3,638,969 |
Sylvania Doubles Tv Dealers In Seven Months of 1957
SYLVANIA Electric Products Inc. has doubled its television dealer roster in the past seven months, Robert L. Shaw, general sales manager of the radio-tv division, told a sales management workshop seminar in New York last week. The workshop was sponsored by the Research Institute of America. Mr. Shaw credits the enlarged dealer interest to product development and marketing and sales promotion methods. "Briefly," he said, "our methods call for less emphasis on prestige and institutional type advertising and more emphasis on a 'buy now' approach to the consumer. The retailer is the key man in that approach."
RCA Victor to Use C-C Color In Pitch to Dealers Sept. 4
FOURTH quarter sales, advertising and promotion plans, as well as a new supplemental line of deluxe color tv receivers, will be unveiled by RCA Victor television division Sept. 4 via a color closed circuit presentation to dealers in more than 80 cities, it was announced Thursday by
Charles P. Baxter, vice president and general manager, RCA Victor television division. The new deluxe color sets will be in addition to RCA Victor's current line of 11 receivers starting at $495, he said.
RCA Victor distributors throughout the U.S. are arranging for special dealer viewings of the color closed circuit, to be scheduled 5:30-6:30 p.m. Following this, Mr. Baxter said, NBC-TV will preview its color programming plans for the fall season in the period 6:30-7:30 p.m. This portion of the closed circuit also will be received by NBC-TV affiliates, he said.
Motorola Sales, Earnings Up, Except for TV, Report Says
SALES and earnings for Motorola Inc. during the first half of 1957 measured up to expectations in all fields except television, but the new TV line unveiled July 18 should be reflected in sales from July through September, the company reported in a financial statement released last Monday.
Total sales for the first six months reached $105,666,759 compared to $101,801,234 the same period last year, while earnings after taxes totaled $3,409,778 as against $3,066,207 in 1956—boosts of 3.8% and 11.2%, respectively. Second quarter figures showed sales of $53,384,964 against $48,603,693 and earnings of $1,272,191 compared to $1,053,331.
Merger Ratification Reported By Nems-Clarke, Vitro Corp.
NEMS-CLARKE Inc., Silver Spring, Md., will become an operating division of the Vitro Corp. of America at the end of this month, according to an announcement made last week by Nems-Clarke President Allen S. Clarke and Vitro President J. Carlton Ward Jr. saying stockholders of Nems-Clarke had ratified the merger. The stockholders' ratification had been expected for some weeks [B•T, July 22]. Vitro Corp. is engaged especially in extractive metallurgy, weapon systems and atomics. The company's new Nems-Clarke division will continue its work in the fields of electronics, communications, television and related mechanics.
GE Unveils Camera Attachment To Double Image Orthicon Life
AN electronic device about the size of a cigar box, which hooks on the outside of a television camera, is expected to double the life of costly picture originating tubes according to an announcement last week by the General Electric Co.'s technical products department.
The device is as yet unnamed, but is described by GE as an image-orthicon life extender, preventing "burn-in and sticking of images" on image orthicon tubes. Principle of the new electronic "tube saver" is an electronic deflecting system used to move or "wobble" the TV image inside the image
orthicon tube. Thus, "burn-in" or "stocking" is avoided, GE said. To offset the wobble, a scanning beam inside the tube follows and automatically compensates the wobble, causing the transmitted picture to appear as a normal stationary image on home tv receivers.
The new device will be marketed immediately for about $1,200, according to Paul L. Chamberlain, manager of marketing for the department's broadcast equipment. At present, he said, the new "tube saver" can be used in seven out of eight tv cameras now in service throughout the broadcast industry. Mr. Chamberlain estimates about 1,600 cameras are in service in the nation's more than 500 tv stations.
GE's Sweeney Sees $1 Billion Transistor Volume in 10 Years
ANNUAL sales of transistors and other semiconductors could reach $1 billion in the next 10 years, James H. Sweeney, manager of marketing for GE's semiconductor products department, predicted last week. He said sales of transistors and other electronic components made from semiconductor materials are expected to exceed $140 million this year, or an increase of 82% over 1956.
"The demand of the military for reliable, long life and small electronic components with low power consumption has spurred the industry to great achievements," he explained. He said new devices resulting from these technical achievements are being adapted rapidly to consumer and industrial equipment like portable radios, portable phonographs, computers and control equipment where they are replacing electron tubes.
He pointed out, however, that he did not feel semiconductors would completely replace electron tubes. "We believe that over the long haul, better than 50% of the uses of transistors and other semiconductors will be in equipment not practical or even possible with electron tubes," the executive explained. Mr. Sweeney spoke to a meeting of the Air Force Reserve Officers Assn. in Detroit.
DuMont Reports Loss
ALLEN B. DuMONT Labs showed $997,000 operating loss and $19,850,000 in sales for the first half of this year, the firm has reported. Data compares to last year's corresponding period loss of $1,092,000 (reduced to net loss of $484,000 after tax carry-back credit of $608,000) and sales of $22,471,000.
Hollis Buys Rixon Electronics
RIXON ELECTRONICS Inc., Silver Spring, Md., research and development company, now is owned by James L. Hollis. He is executive vice president and general manager of the firm, and has bought all the common stock previously held by officers of Page Communications Engineers Inc. (Esterly C. Page, Joseph A. Waldschmitt and John Creutz). Mr. Hollis, in return, disposed of his stock in PCE and resigned as an officer and a director. The sales price was not disclosed.
Motorola Transistorizes Switches
TRANSISTORIZATION of switching circuits in two-way radios, described as "the most important advance in power supply design" since its introduction of fm two-way units in 1942, was claimed as a major development by Motorola Inc. last week.
Use of transistors eliminates the conventional dual vibrator assembly, heretofore the most frequently replaced component, according to the company's communications-industrial electronics div. Power supply is one of a three-part basic chassis comprising the complete two-way radio unit, the others being the transmitter and receiver. In the new radios two transistors make up a single switching circuit. New models have 20 and 25 w power output.
MANUFACTURING SHORTS
International Telephone & Telegraph Corp., components division, announces opening of new plant at 815 S. San Antonio Rd., Palo Alto, Calif. Plant initially will produce hermetic seals and selenium and other semiconductor type rectifiers for use in radio, television industrial and aircraft applications.
RCA, Camden, N. J., reports shipping 12-section superturstile antenna to WLWI (TV) Indianapolis, 5-kw transmitter to KUED (TV) Salt Lake City, 12-kw transmitter to WRC-TV Washington and 10-kw transmitter to KPAC-TV Port Arthur, Tex.
Magnecord Inc., Chicago, reports winner of contest to name its M-90 professional tape recorder is William H. Baker, program director of WMK Middleboro, Ky., who selected name "Mighty-Ninety." He will receive attache case as prize in contest which reportedly drew 200 entries.
Bell & Howell (tv projection, other equipment), Chicago, announces new spool-loading electric eye 16mm movie camera (Model 240 EE), supplementing model introduced last year. List price: $329.95.
Nems Clarke Inc., Silver Spring, Md., announces new Type TRC-1 tv rebroadcast receiver reportedly designed for long, stable unattended operation. Crystal controlled high frequency oscillator is used in order to eliminate tuning adjustments and fast acting keyed AGC circuit is provided to minimize effects of airplane flutter and maintain constant output. Separate sound channel is provided in order to eliminate its dependence on proper operation of video signal.
TRADE ASSNS.
Bernard Reveals Organization Of Country Music Broadcasters
FORMATION of Country and Western Music Broadcasters Assn. with headquarters at 730 Fifth Ave., New York, was announced last week by its founder and executive director, Charles Bernard, self-styled "Madison Avenue Hillbilly" whose station representative firm, Charles Bernard Assoc., represents country music stations. CWMBA begins with a nucleus of 19 radio-tv stations, CWMBA telephone is Columbus 5-3530.
Mr. Bernard said, and is open to membership for stations that are programming large blocks of country and western music. CWMBA telephone is Columbus 5-3530.
Initial slate of officers for the new station association include Kurt Meer, owner-manager of KCUL Fort Worth-Dallas, president; Jack Feldman, general manager of KRKD Los Angeles, executive vice president; Warren Roberts, general manager of WEAS Atlanta, vice president; Kenneth Firnstahl, general manager of KEVE Minneapolis, secretary and Ron Freeman, general manager of KVVG (TV) Tulare, Calif., treasurer.
Purposes of the new group are mutual sharing of country and western projects, research surveys, merchandising, promotion and programming in an effort to bring savings to the local station which can be passed along to the national advertiser. Association projects will include informing agencies and advertisers of the selling power of country and western music stations.
Mr. Bernard listed the following station members in addition to those represented by officers: WARL Arlington, Va.; WCMS Norfolk, Va.; KCKN Kansas City; WFTC Kinston, N. C.; KLRA Little Rock, Ark.; WTCR Ashland, Ky.; KLAK Lakewood, Colo.; KVSM San Mateo, Calif.; WMIE Miami; KWEM Memphis; KSOP Salt Lake City; WJIV Savannah, Ga.; WSWN Belle Glade, Fla., and WAMO Pittsburgh.
Dean Named to TASO Panel 6
CHARLES E. DEAN, Hazeltine Electronics Labs editor, has been named chairman of Television Allocation Study Organization Panel No. 6—established to determine what constitutes an acceptable tv picture [CLOSED CIRCUIT, July 22]. Mr. Dean edits Hazeltine technical bulletins and is the author of a number of engineering papers on television and tv receiver design going back to 1938. More recently, he was the editor of a special bulletin on color tv. Other members of the panel will be named soon.
Would you call this fair play?
Number 5 has to take the high hurdles—number 3 gets by with the low. Would you call this a fair race?
Hardly—but you and most people face that same kind of unfairness every day as far as your taxes are concerned. Here's how:
Part of every dollar you pay for electricity goes for taxes. But a strange twist in federal laws exempts several million American families and businesses from paying all the taxes in their electric bills that you pay in yours. These are the people who get their electricity from federal government electric systems. Like runner number 3, they enjoy lower tax hurdles while you strain over the high ones.
This kind of tax favoritism is a far cry from American standards of fair play. That's why we believe it should be made widely known and given critical study.
America's Independent Electric Light and Power Companies*
*Company names on request through this magazine
OFFICIALS of the National Academy of Television Arts & Sciences met in Los Angeles last month for the organization's first trustees meeting in an effort to unify east and west coast chapters. Trustees are (standing, l to r) Loren L. Ryder, Ryder Sound Services; Fenton Coe, NBC; Wayne Tiss, BBDO; Sheldon Leonard, producer, Danny Thomas Show; Bob Longenecker, artists agent; Thomas Freebairn-Smith, executive secretary, Los Angeles chapter of ATAS, and Virginia Garr, ATAS office secretary; (seated l to r) actor Danny Thomas; actress Jane Wyatt; Harry Ackerman, independent producer; Hubbell Robinson, CBS, and Robert Lewine, NBC. The latter two represented the East. The academy's first national board meeting has been set for this month.
UPCOMING
August
Aug. 11-13: Georgia Assn. of Broadcasters. General Oglethorpe Hotel, Savannah, Ga.
Aug. 15-17: South Carolina Radio & Television Broadcasters Assn., Ocean Forest Hotel, Myrtle Beach, S. C.
Aug. 18-18: Semi-annual meeting, West Virginia Broadcasters Assn., Greenbrier Hotel, White Sulphur Springs, W. Va.
Aug. 20-23: Western Electronic Show and Convention, San Francisco
Aug. 24: Mid-year meeting, New Mexico Broadcasters Assn., Desert Sands, Albuquerque, N. M.
Aug. 30-31: Annual meeting of Montana Radio Stations. Florence Hotel, Missoula, Mont.
September
Sept. 3: Annual meeting, North Carolina Associated Press Broadcasters. Sir Walter Hotel, Raleigh, N. C.
Sept. 8-14: National Television Week.
Sept. 10-12: Electronic Industries Assn. (formerly RETMA), Ambassador Hotel, Los Angeles.
Sept. 30-Oct. 1: Illinois Broadcasters Assn. fall meeting. Abraham Lincoln Hotel, Springfield, Ill.
October
Oct. 7-9: 13th Annual National Electronics Conference, Hotel Sherman, Chicago, Ill.
Oct. 7-11: Fall meeting, American Institute of Electrical Engineers, Hotel Morrison, Chicago.
Oct. 9-12: 1957 Convention of the Audio Engineering Society. New York Trade Show Building.
Oct. 20-21: Texas Assn. of Broadcasters. Baker Hotel, Dallas.
November
Nov. 6-9: International convention, Radio Television News Directors Assn., Balmoral Hotel, Miami Beach, Fla.
NARTB CONFERENCES
Region 1 (New England, N. J., N. Y.) Sept. Van Curler Hotel
16-17 Schenectady, N. Y.
"——but according to KRIZ Phoenix, it's always bad when the doctor's in a stew."
Ray to Retire From Blair & Co.; Barborka Appointed Chicago Head
RETIREMENT of Paul Ray as Chicago manager of John Blair & Co., station representative, and appointment of Clifford J. Barborka Jr., now Chicago sales manager, to succeed Mr. Ray, are being announced today (Monday) by President John Blair.
Mr. Ray's retirement is effective Sept. 1 under the Blair employees' retirement trust. For more than 40 years, Mr. Ray has been in the advertising field, starting in 1916 with the *Kansas City Star*. He was transferred from Kansas City to the *Star*'s Chicago office and in 1923 joined the Associated Farm Paper Group, going three years later with the Katz Agency with which he was associated 14 years, first as Detroit manager and then for five years as Chicago manager. He moved to Blair in 1940.
Mr. Barborka, with Blair since 1952, also will become a vice president of the firm Sept. 1. His other associations include Chicago office of NBC Spot Sales; B. F. Bills Co., where he directed a community development program, and several years with Lever Bros.' Pepsodent Division, first as a salesman and later as director of field tests for Pepsodent's merchandising plans.
In announcing the change at Chicago, Mr. Blair noted that the men have "operated as a highly effective battery—and their teamwork has produced substantial increases in our Chicago volume." He said the office's volume is up over 200% since 1955, and that in "creative selling of spot radio, Cliff Barborka has a track record equaled by few." He recounted how "men like Paul Ray" of the space selling fraternity "of a generation ago . . . accurately evaluated the selling power" of the new medium, radio.
Storer Quarterly Earnings Hit $3.1 Million, $1.27 Per Share
SECOND quarter earnings after taxes for Storer Broadcasting Co. amounted to $3,143,038.69 compared to $1,395,202.92 for the same period in 1956, Storer announced last week. Earnings per share for the second quarter amounted to $1.27 compared to 56 cents last year.
Earnings for the second quarter reflected non-recurring capital gains of $2,621,969.84 before taxes, or $1,966,477.38 after taxes, amounting to 79 cents per share after taxes. These capital gains resulted from the sale of WBRC-AM-TV Birmingham, after deduction of the capital loss on the sale of the company's uhf stations KPTV (TV) Portland, Ore., and WGBS-TV Miami, the company said.
Six-month earnings after taxes amounted to $4,429,484.09 compared to $2,845,445.11 for 1956. Per share earnings for the six-month period amounted to $1.79 compared to $1.15 in 1956. Per share earnings are based on the combined total number of common and class "B" shares outstanding at the end of the period.
House Party Buys Into KTKT
HOUSE Party Productions Inc., owned jointly by Art Linkletter, star of the daytime *House Party* program on CBS-TV, and producer John Guedel, has acquired a half-interest in KTKT Tucson, 10 kw daytime station, and KTKT-FM, from Thomas J. Wallace, subject to FCC approval. The price might be put at $90,000 plus other considerations, Mr. Guedel said, adding that it had not yet been figured out exactly, but would be before the application was filed with the FCC. The deal was made directly with Mr. Wallace, who will stay on as general manager of the Tucson stations.
Model 33 Berlant-Concertone broadcast quality Stereophonic recorders enable small stations to produce full stereo broadcasts for the price of a single tape. With a Model 33 full stereophonic tape recorder, long expensive phone lines and duplicate remote equipment are no longer necessary for remote live stereo pickups. And, the Model 33 tape recorder saves on Engineers' time, too. It plays full track, half track and stereophonic tapes and offers operational standby protection for the price of one machine.
The Model 33 has three motors including hysteresis synchronous drive to give 99.8% timing accuracy. Frequency response ranges from 40 to 16,000 cps at 15 ips ± 2 db.
OTHER OUTSTANDING FEATURES include 10½ inch reels, 4½ inch signal level meters, 2 channel input. Ease of editing and cueing as well as monitoring from tape while recording makes this equipment popular with stations planning stereo broadcasts simultaneously on AM and FM. Berlant-Concertone Model 33 recorders quickly pay for themselves by eliminating duplicate remote equipment, operator time and expensive phone lines. For information write for brochure 5012.2.
AUDIO DIVISION
AMERICAN ELECTRONICS, INC.
655 WEST WASHINGTON BOULEVARD, LOS ANGELES 15, CALIFORNIA
ONE DAY not long ago CBS Chicago News Director William Garry was leafing through a new directory of city government offices. His eyes did an abrupt double-take when he came across a seemingly innocuous listing—but one that would prickle the curiosity of a trained reporter.
Taking the cue from Mr. Garry, WBBM newsman John Callaway injected the question methodically, almost apologetically, at Chicago Mayor Richard J. Daley's news conference. The mayor's first reaction was surprise and an unbelieving look. Then came a chorus of laughter from the mayor and reporters.
The question: "How's your Billiards Commission, Mr. Mayor?"
"The what?"
"The Billiards Commission."
Mayor Daley smiled and professed ignorance.
That started reporter Callaway digging into city ordinances. While neither the mayor nor oldtimers around City Hall knew what it was, research proved the commission did exist and, what's more, was headed by Mr. Daley. The commission was still on the books, to review any license applications, though billiards long had ceased to be a thriving business at Chicago recreation centers.
The incident in the Mayor's office and the story of Chicago's disappearing billiard parlors were reported to CBS Chicago audiences. They typify the community approach to news by one of the largest combined radio and tv news gathering operations among stations today—WBBM and WBBM-TV Chicago. They rank foremost among CBS O & O outlets (WCBS and WCBS-TV New York use network facilities). CBS Chicago facilities are housed in its new near-north-side $6 million building, a reconverted skating arena, to which it moved a few months ago.
Among CBS Chicago's more impressive claims:
- A combined radio and tv staff of 34 reporters, rewrite men, leg men and administrative personnel and including three full camera crews, all under the managerial hand of Mr. Garry, exclusive of "contract" performers, such as newscasters.
- A firm policy whereby all local and national news is written or rewritten in the CBS Chicago newsroom after being developed by its staff.
- A full complement of news programs on both WBBM and WBBM-TV (including weather and sports), all sponsored and commanding highly-favorable ratings.
- Considerable use of film on WBBM-TV (exclusive of that provided by CBS News Film), with on-the-spot interviews of people in the local news.
- Aggressive spot news and special events coverage by Hugh Hill, special events director, with film and tape excerpts used a few hours after a story is covered, and programs providing treatment "in depth."
One significant aspect of CBS Chicago's hold on the local news picture may be the fact its newsroom operates more like that of a newspaper than a radio or tv station; or that it now develops stories along the departmental indexing lines of national news magazines.
Supplementing this setup are the conventional facilities of AP, UP and INS wires, plus the Chicago City News Bureau. CBS Chicago also claims to be the only radio-tv operation, aside from WCBS-AM-TV New York, to have installed the UP's "business and financial" wire.
As the indexing plan progresses, Mr. Garry is assigning newsmen to special beats in addition to their general duties. Specialists are being trained in labor, science, business, education, human relations, sports, local government and other fields.
All WBBM-AM-TV's news corps had intense training in covering Chicago news beats before joining the stations; contacts made in covering the courts, City Hall, the various commissions, police and other beats have paid off in the CBS Chicago newsroom. Each newsmen has become established in his own right.
NEWS DIRECTOR WILLIAM GARRY
"As a result," Bill Garry points out, "our newsmen have become regular members of the Chicago press corps and are accepted on the same basis as pencil-and-paper reporters." It's a rare day when a CBS Chicago newsmen is ejected from a court or commission meeting (the Chicago City Council excepted) or denied access to government officials or news wherever it breaks.
The WBBM-AM-TV table of organization is less complex than it may sound. Working under Mr. Garry are the radio and tv news editors, special events director and tv assignment editor. All work through a three-man news bureau including Mike Niegoff, bureau chief, John Callaway and Les Crystal, responsible for overall assignments. Aside from a group of news writers—editors under the chief radio and tv news editors—there's the tv assignment editor (Lu Bartlow) under whom fall the three camera crews. Film editor and film courier work through the tv news editor (Hal Fisher). Radio writers under Bill Wolfan, radio news editor, sometimes are used interchangeably for tv, especially on weekend tv newscasts.
Mr. Garry is convinced broadcast media never need take a back seat to newspapers in covering news: "We believe that radio and tv can develop their own stories to inform and entertain listeners and viewers. Radio, in particular, to compete with newspapers, must develop stories like a newspaper would. And reporting news is just as important as writing it. In fact, we stress hard-hitting news gathering instead of just news writing. Too much local news today tends to border on the police blotter. Stories must be developed in depth on the beats and approached from many angles for perspective. That's why contacts are so valuable. Our men know their way around Chicago." As a result, like Mary's lamb, CBS Chicago's microphones, recorders and cameras are sure to be where there's news.
Because of contacts and aggressive legwork, WBBM (and WBBM-TV, too) has claimed its share of exclusives, not only over other stations but the local dailies as well. Among outstanding examples of top coverage were stories involving the slaying of three boys in Robinson Woods in October 1955 and of the two teen-age Grimes sisters last year; Chicago Transit Authority, Chicago, Aurora & Elgin; Chicago School Board hearings, and the local sessions of the Senate Banking & Currency Committee touching on the case of former State Auditor Orville Hodge, convicted for theft of state funds.
A recent example of depth-in-coverage was provided in the case of Nathan Leopold, a state penitentiary convict who sought a pardon after 33 years imprisonment. WBBM radio claimed a scoop on the announcement of Gov. William Stratton's denial in Springfield; WBBM-TV aired interviews with Mr. Leopold, and WBBM followed through with a wrapup (introduction of the case, Mr. Leopold's prepared statement and a tape interview) on its weekend For the Record series.
CBS Chicago's news operation has been as profitable in terms of clients and audience loyalty as it has been commendable—despite the expense. H. Leslie Atlass, CBS vice president in charge of the Central Div., explains:
"We have always given news No. 1 priority in radio, and when WBBM-TV began operation, we adopted the same approach. While it's expensive, there are indications our extensive coverage has been successful ratingswise, which may serve as the primary basis for determining the value of this effort.
"In the case of television, film is a true distinctive factor involved. Without film, a tv news program looks like a radio show. Other local stations likewise have been conscious of its value."
Still, WBBM-TV has increased its use of
celluloid footage, despite the expense. Although CBS Chicago officials decline to reveal figures, the combined news operation costs are substantial. One estimate runs roughly $6,000 per week, exclusive of contract help, with about $3,500 of that for film and lab expenses.
The CBC o & o outlets would not be able to sustain this cost were it not for client acceptance of its radio-tv sports, weather and general news programs from several satisfied sponsors. This is particularly true in the case of television where, as one official put it, "we have to be sold out and where we don't have the spread in commercial time as in radio." Actually, there are a few five-minute sustainers available for purchase, but four daily quarter-hours are sold out, or 60 of the 70 minutes.
In radio WBBM programs seven locally-produced 15-minute newscasts daily, plus three 5-minute newscasts, three 15-minute sports shows, two weather programs and six additional five-minute newscasts during American Airlines' Music 'Til Dawn (Mon.-Sat., 11:30 p.m.-5:30 p.m.), exclusive of its weekend "Monitor" type service schedule where news is aired five minutes before every hour and half-hour.
Among CBS Chicago news clients: Standard Oil Co. of Indiana, Chicagoland Dodge Dealers, Ford Dealers of Chicago, Household Finance Corp., Oklahoma Oil, Benson & Rixon, Shell Oil Co., Hill Bros. Coffee, General Motors, Clark Gas & Oil, Jos Schlitz Brewing Co., Capitol Airlines, United Airlines, Texas Co., International Nickel Co. and Telex Hearing Aid Co.
Of the present crop, Clark Oil & Refining Co. is probably the heaviest saturation user with its spread on WBBM radio's Saturday and Sunday afternoon Mal Bellairs Show.
With the evolution of the weekend music-news-sports format, news has become increasingly important to WBBM radio, particularly the five-minute segments, although it remains no less invaluable on television. For that reason, CBS Chicago feels that such commentators as John Harrington, Fahey Flynn, Julian Bentley, Joe Foss, Maury Magill, Jerry Dunphy, Frank Reynolds, Russ Binsley and others command priceless listener and viewer loyalty that helps sell the news and thus the shows.
Says Bill Garry:
"We want people to believe in our news — anybody can buy wire services. Our newsmen build confidence in our news. The importance of leg men is measured in their first-hand, on-the-scene reports. Their thinking and judgment thus become a part of the news reporting."
CBS Chicago officials agree "the turning point" in raising its news operation's competitive level was the formation of a WBBM radio special events department in 1953 with Hugh Hill as director. A bustling, seasoned reporter with a penchant for asking disarming but crisp questions, Mr. Hill is CBS Chicago's news and special events mobile man. He has been especially effective with the tape recorder and is used for film interviews, too. His greatest asset, however, is his mobility and flexibility.
When he isn't out getting reactions on...
spot news stories for any of CBS Chicago's radio-tv news programs. Mr. Hill devotes his duties to a half-hour documentary series, *Ear on Chicago*, which he describes as "journalism in sound." The program is a joint effort of WBBM and the Illinois Institute of Technology (producer John Buckstaff), with Herb Grayson, information services director of CBS Chicago, as coordinator.
Through some 100 programs now Mr. Hill has dodged line drives in Chicago's Comiskey Park and Wrigley Field, interviewed FBI agents, talked with dog-catchers, ridden planes, interviewed sports and political figures, visited anti-aircraft defenses and penal institutions and zoos, and otherwise kept on the move.
Whatever the subject, colleagues insist no advance preparation is needed and that Mr. Hill puts together the story in his mind's eye within 10 minutes after walking onto the scene. Mr. Hill himself explains his approach:
"It's not important really what is said but getting the voice on tape. It's simply a matter of self-identification. People are interested in people. With tape we get a more realistic story." Using a technique that often sounds naive or appears to be "curiosity-seeking" in its highest degree, Mr. Hill has managed to get some acknowledged classic interviews from former President Harry Truman strolling on Michigan Avenue, New York Yankees Manager Casey Stengel, Perle Mesta and other personalities. He also managed to get the burn's rush by henchmen of the late mobster Jake Guzik when he tried to jab a microphone in front of the mobster during Chicago City Council Crime Committee hearings. As he explains it: "There was no voice, but the film sequence was graphic."
At a recent dinner panel meeting of the Chicago Headline Club, radio-tv-newspaper representatives were discussing the Grimes sisters' case. Just as Mr. Hill was about to give his views, a latecomer remarked to a friend, "The City Hall's on fire." Word got around to the panel, with the usual knowing nods for what seemed like a tired old gag. Mr. Hill left abruptly, the only member of the panel (comprising newspaper editors) to cover it, taping interviews with Mayor Daley and others. Live, on-the-spot cut-ins and films were used that evening on CBS Chicago news shows.
The local newspapers have a healthy respect for the CBS Chicago news operation, including Mr. Hill. WBBM radio's *Ear on Chicago*, which lets on-the-scene sounds tell the story (a building being torn down, a day at the Chicago Board of Trade, etc.), was enterprising enough to relate how the competing local newspapers get out the news. They told listeners about the editorial side of the *Daily News* and the circulation department of the *Sun-Times*.
Mr. Hill started his career as a sports announcer with KFRU Columbia, Mo., in 1945, moving to WEKI (FM) St. Charles and WMRO Aurora, both Ill., and WJOB Hammond, Ind., handling college and high school basketball and eventually covering all sports events. He joined WBBM in 1953 and still interviews major sports personalities.
Mr. Garry came to WBBM-TV as news picture editor in March 1953 after serving as tv news picture editor for United Press and, earlier, Acme News Pictures, plus editorships on community newspapers. He became general manager of WBBM-AM-TV's news department in May 1953.
Under his supervision, the stations' news operations have gained acclaim for outstanding coverage, among news associations and listeners-viewers alike. Its documentaries (like *Ear on Chicago*) also have won recognition among the trade.
Last April WBBM Radio was cited by the National Headliner Club from among 1,000 radio station entries for "consistently outstanding news reporting by a radio station." It also received a citation for "distinguished achievement for outstanding radio news operation in 1956" from the Radio-Television News Directors Assn. in cooperation with Northwestern U's Medill School of Journalism. WBBM also was singled out for five out of six first place citations in the metropolitan division of the Illinois Associated Press Annual Newswriting Competition, and its *Ear on Chicago* won second ranking for best documentary program.
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"CCA grossed $40,050 with 25 new commercial accounts which were established during the campaign," writes Del Lesson, manager of KDYL in Salt Lake City.
In his letter to John C. Gilmore, Vice President of Community Club Awards, Lesson continues, "CCA unquestionably has been the largest undertaking ever sponsored by a Utah station in helping women's charitable, civic, religious, fraternal and social clubs earn money for their treasuries.
"CCA has given Salt Lake City a vital new awareness of the power of radio. Sponsors have learned that CCA carries a tremendous wallop!"
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STATIONS CONTINUED
PARTICIPATING in the transfer of WAAM (TV) Baltimore to Westinghouse Broadcasting Co. were these executives of WBC and WAAM Inc.: (seated l to r) Ben Cohen, president of WAAM Inc., and Donald H. McGannon, president of WBC; (standing, l to r) Henry Fischer, counsel for WAAM; Norman Kal, executive vice president of WAAM; Herman Cohen, vice president of WAAM, and John Steen, attorney for WBC. The station will change its call letters to WIZ-TV, derived from the identification of Westinghouse's pioneer radio station formerly in Newark.
WRC-TV Offers Advertisers New Special Effects System
WRC-TV Washington last week unveiled for local agency people a new special effects system developed by the station's engineering department for local advertisers.
Developed over two years by Keith Price of the WRC-TV engineering staff, and labeled "Magic Lens" for presentation purposes, the device is a video effects generator, using a system of movable baffles and a flying spot scanner. Effects offered include vertical, horizontal and diagonal wipes as well as the notch wipe, which inserts one live picture into another on any portion of the screen, iris spotlight, moving neon-like designs for pointing out portions of the picture, moving-pattern backgrounds for cut-out designs and random insert shapes, which offer sharper, more mobile images than superimposition.
The system is controlled from the studio board, and so far, 35 effects combinations have been worked out, using studio or remote cameras, film chain, slides or telop-ticon. Potentialities of the video effects generator still are being explored. Up to now, the system has been used to silhouette product logotype shapes on live pictures, other special commercial effects and for programs.
Advertisers and agencies are being assisted in use of the video effects generator by the WRC-TV commercial production service, directed by William E. Coyle, director of public relations, promotion and advertising.
WPST-TV Miami Now on Air
MIAMI's third commercial vhf station, WPST-TV, began telecasting with 316 kw on ch. 10 Aug. 2. The new station, operated by Public Service Television Inc., subsidiary of National Airlines, is in temporary quarters at N.E. 21st St. and Biscayne Blvd., while a permanent plant is under construction at that site. Target date for completion of the new building is Nov. 15. Miami's other commercial v's are ch. 4 WTVJ (TV) and ch. 7 WCKT (TV). One other commercial station, WITV (TV), is on uhf ch. 17, and an educational outlet, WTHS-TV, is on ch. 2.
WDSM-TV Constructs New Tower
A NEW "tower of towers" is being built by WDSM-TV Duluth, Minn., which will be one of the highest structures in its viewing area, according to an announcement by C. D. (Duke) Tully, general manager. The tower is expected to be in operation by Sept. 15 of this year, and will be 805 feet above ground and 1,010 feet above average terrain.
Crennan Pays $60,000 for KHUB
KHUB Watsonville, Calif., was sold Thursday to F. T. Crennan of San Francisco. The price was $60,000. Hamilton, Stubblefield, Twining & Assoc. handled the transaction. Sellers were William and Dorothy Morgan, co-owners. KHUB operates 250 w fulltime on 1340 kc.
HOWARD E. STARK
BROKERS and FINANCIAL CONSULTANTS
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Oury Sells WWRI for $109,000 To Green, Lindow and Others
SALE of 250 w WWRI West Warwick, R. I. (on 1450 kc.) by Paul Oury to Grelin Broadcasting Inc., for $109,000, was announced last week.
The Grelin company includes Melvin C. Green, 31%; Lester W. Lindow, 31%; Martin Beck, 12%, and others. Mr. Green is an officer of Twin State Broadcasting Inc. (Time Inc. subsidiary), which operates WFBM-AM-TV Indianapolis and WTCN-AM-TV Minneapolis, and previously was treasurer of Consolidated Television & Radio Broadcasters Inc. (Bitner stations). Mr. Lindow is on leave of absence as vice president-general manager of WFDF Flint, Mich. He is now executive director of the Assn. of Maximum Service Telecasters. Mr. Beck is a radio account executive with the Katz Agency, New York. The sales agreement includes a $10,000 consultant's fee for Mr. Oury, running for two years.
WTVJ (TV) Miami News Film Helps To Put Triple-Slayer in Prison
A MIAMI nursery operator was convicted and sentenced to life imprisonment last week for the slaying of his wife and two children after news film shot by WTVJ (TV) Miami cameraman Fred Mooke was introduced in the trial proceedings as direct evidence.
The prosecution reportedly had sought to prove that nursery operator Leslie McClure was calm and composed immediately after the triple-slaying by attempting to introduce still shots of him taken at the scene of the crime. The defense had objected. But Dade County Circuit Judge Ray H. Pearson authorized showing the films, taken on Christmas Day 1956, and screen and projector were set up in the courtroom. The one-minute news film of Mr. McClure being escorted from the death scene by police was projected for judge and jury.
KXLE Sold for $80,000
KXLE Ellensburg, Wash., has been sold by Goodwin Chase Jr., president, to Joseph B. Kendall, Willis R. Harpel and Stephen C. Wray. The price was $80,000, with Hamilton, Stubblefield, Twining & Assoc. as broker. Mr. Kendall, general manager of KXLE for a decade, is expected to continue in that post. Messrs. Harpel and Wray are in Los Angeles radio. The station operates on 1240 kc with 250 w power.
KGLA-FM to Go on Air in L.A.
KGLA-FM Los Angeles, a new fm outlet, is scheduled to go on the air this Thursday, according to an announcement last week by M. D. Buchen, general manager. The station, to operate daily from 7 a.m. to 12 midnight, will broadcast on 103.5 mc with 13 kw.
PEOPLE
ADVERTISERS & AGENCIES
William J. Gillilan, vice president. MacLeod & Grove, Pittsburgh and New York, promoted to marketing director.
Clifford Davis, eastern region sales manager, General Foods. N. Y., to Lennen & Newell, same city, as senior vice president and director of merchandising.
Philip H. Schaff Jr., account executive, Leo Burnett Co., N. Y., elected vice president, to be responsible for agency finances.
William M. Russack, creative director of Shaller-Rubin Co., N. Y., elected vice president.
William L. Haddad, assistant secretary, and Dulany S. Smith, director of brand managers, Whitehall Pharmacal Co., N. Y., named vice presidents.
John B. McLaughlin, formerly director of advertising and sales at Kraft Foods Co., Chicago, appointed vice president in charge of sales for Purex Corp., South Gate, Calif., effective Oct. 15.
Harold P. Requa Jr., formerly sales promotion vice president of Breast-O'-Chicken Inc., San Diego, to Foote, Cone & Belding, L. A., as account executive.
Phil Franklin, formerly advertising manager, Santa Barbara (Calif.) Mutual Bldg. and Loan, to Barnes Chase, San Diego, Calif., as account supervisor. He will supervise Home Federal Savings & Loan Assn. of San Diego and three of agencies industrial clients. Mr. Franklin has had 10 years experience in savings and loan and industrial account supervision in both San Diego and Los Angeles.
Edward F. Krein, formerly division general manager at Massey-Harris-Ferguson Inc. (farming equipment), Racine, Wis., to Aubrey, Finlay, Marley & Hodgson, Chicago, as account executive.
Andrew C. Quale, formerly manager of new product advertising at Kraft Foods Co. and sales-advertising manager of Walter Baker chocolate division of General Foods Co., to Campbell-Mithun, Chicago, as account executive. Alex Rogers, advertising manager of Libby. McNeill & Libby for 15 years, and William W. Hoerter, formerly account specialist with McCann-Erickson and Foote, Cone & Belding, also named account executives at Campbell-Mithun.
William F. Taylor Jr., formerly vice president, Goold & Tierney Inc., N. Y., agency to Reach. McClinton & Co. in agency's Newark, N. J., office as account executive and copy writer.
Frederick T. Wehr, radio-tv director, Joseph Katz Co., Baltimore, Md., to H. W. Buddemeier, same city, as account executive and radio-tv director.
Henry O'Neil, space advertising manager, American Airlines, N. Y., appointed advertising director. He will be responsible for directing American's radio-tv advertising as well as other media and he will coordinate program with Lennen & Newell, AA agency.
Meck Howlett, direct advertising manager for American Airlines, promoted to sales promotion director.
Kenneth Baker, advertising manager, Gerber Baby Foods, Fremont, Mich., promoted to director of advertising.
Louis A. Collier, manager of Scranton (Pa.) sales branch, H. J. Heinz Co., named sales promotion manager for grocery products, marketing division, Pittsburgh.
William D. Stroben, formerly account executive at McCann-Erickson Inc. and previously advertising and sales promotion manager for both Sylvania Electric Co. and Thor Corp., to Norge Div. of Borg-Warner Corp., Chicago, as advertising director. He will responsible for national and co-op advertising on Norge home appliances.
Theodore H. Mecke Jr., formerly executive assistant to vice president of public relations, Ford Motor Co., appointed general public relations manager.
George Johnston, Brooke, Smith, French & Dorrance, Detroit, named media director.
William B. Hinman, Lambert & Feasley, N. Y., named media director.
Bernice Gutmann, media director, Dorland Adv., Atlantic City, N. J., to Daniel & Charles Inc., N. Y., in similar capacity.
David P. Lewis, executive film producer for Doherty, Clifford, Steers & Shenfield, N. Y., has resigned effective Aug. 15 to move to Los Angeles to fulfill writing and producing commitments beginning Sept. 1.
Sy Sakin, assistant art director, Young & Rubicam, N. Y., to Grey Adv., same city, as art director in sales promotion department.
Eve Kiely, formerly account executive at Earle Ludgin & Co., Chicago, to Geoffrey Wade Adv., same city. Robert T. Long, formerly with Tatham-Laird Inc., also joins Wade.
Nancy Beyer, formerly assistant publicity
director of Catalina swimwear, and Tony Costanzo, previously automotive public relations director for Upholstery Leather Group Inc., to Grant Adv., N. Y., public relations staff.
Horace W. Dengler, 66, vice president, Donahue & Coe, N. Y., died Aug. 4 following heart attack.
FILM
Joseph H. Moskowitz, vice president of Twentieth Century-Fox Film Corp., N. Y., and Harold Kovner, N. Y. business executive, appointed to board of directors of NTA Film Network, same city.
Ralph Maitland, manager of midwest office, Wilding Picture Productions, N. Y., to Transfilm Inc., same city, as manager of newly-created midwest division, with headquarters in Pittsburgh.
William Boyd, previously budget manager for B. T. Babbitt Inc., N. Y., appointed business manager for Terrytoons, division of CBS Television Film Sales Inc., same city.
John Cuddy, production department, Transfilm Inc., N. Y., named production manager of Transfilm's animation department.
Morrie Roizman, supervisor of short subjects for National Telefilm Assoc., N. Y., appointed director of editorial department of Transfilm Inc., N. Y., effective Aug. 19.
Dave Dash, Cornell Films Inc., N. Y., resigns.
NETWORK
Howard Miller, radio-tv personality on various Chicago radio-tv stations, replaces Dennis James as host of NBC-TV Mon.-Fri. Club 60. Mr. James returns to New York for fall tv commitments.
Jeril Deane, singer, becomes permanent member of cast of ABN's Breakfast Club after being selected from some 300 aspirants for position in talent search.
Bob Crosby, star of daily, afternoon half-hour program on CBS-TV; appointed television chairman of Multiple Sclerosis Hope Chest campaign.
William McCauley, NBC Chicago business manager, father of girl. Mary Elizabeth, July 9.
Gordon Mason, account executive CBS Radio Pacific Network, father of boy, Craig Campbell, July 20.
Larry Elliott, 57, New York television actor and former White House announcer for CBS during mid-1930's, died July 28 at his home in Port Chester, N. Y., following heart attack.
Sol Wagner, turntable operator at NBC for past seven years and former bandleader, died July 30.
STATIONS
Dean Seaton, station manager, KROY Sacramento, Calif., promoted to executive vice president and Al Richards, sales manager, takes on additional duties as station manager.
Sidney Goldstein, comptroller of WPEN-AM-FM Philadelphia, named secretary.
Peter Theg, station manager, WMTV-AM-TV Madison, Wisc., named general manager.
Ronald R. Ross, public service-production director, WOWO Ft. Wayne, Ind., to WPTA (TV) Roanoke, Ind., as general manager. WPTA is scheduled to go on air Sept. 21.
Wayne H. Odell Jr., sales representative, WNIX Springfield, Vt., named station manager.
M. J. (Monte) Guardino, KUIN Grants Pass, Ore., to KPER Gilroy, Calif., as station manager, and Philip J. Martinez named sales manager. Station is scheduled to go on air Aug. 31.
W. M. H. (Bill) Smith, formerly sales manager, WBEE Harvey, Ill., to Rollins Broadcasting Inc. (WJWL Georgetown, Del.; WRAP Norfolk, Va.; WNJR Newark, N. J.; WBEE; WAMS Wilmington, Del.; WGEE Indianapolis, Ind., and WPTZ [TV] Plattsburgh, N. Y.) as midwest sales manager.
Malcolm S. Richards, sales-man-regional account executive, WING Dayton, Ohio, named sales manager.
Ernest Lewis, regional sales manager, WBRE-TV Wilkes-Barre, Pa., promoted to national sales manager. Phil A. O'Neill, recently owner of agency bearing his name, and Joe Gries, WBRE account executive, named WBRE-TV regional sales manager and WBRE sales manager, respectively.
Robert C. Burris, formerly general manager of KSAN San Francisco, to KEYT (TV) Santa Barbara, Calif., as sales manager. Before joining KSAN, he was with KSFO and KJBS San Francisco.
James H. Quello, WJR Detroit, promoted to program manager, succeeding Ron Gamble, who resigns to devote full time to his Blue Haven resort at Greenbush, Mich.
Edward J. Roth Jr., program manager, WNDU-TV South Bend, Ind., to WGN-TV Chicago in similar capacity. He succeeds Jay Faraghan, who joins WFLA-TV Tampa, Fla.
Harold Wheelahan, commercial manager, WDSU New Orleans, assumes additional duties as assistant station manager and Jim Dunbar named production supervisor.
Robert E. Newsham, national sales coordinator, WFIL-AM-TV Philadelphia, to KYW-TV Cleveland, Ohio, as assistant sales manager, succeeding Joseph P. Dougherty, who joins WAAM Baltimore as sales manager [B*T, Aug. 5].
Roy Meachum, news staff, Washington (D. C.) Post, to WBAL-AM-TV Baltimore
as public relations-promotion-advertising manager.
Joseph Kahne, chief engineer, WTCN-AM-TV Minneapolis-St. Paul, named engineering director. Warren Fritzke, formerly assistant to Mr. Kahne, succeeds him as chief engineer.
William Kreitner, sales, WRCA-TV New York, to WRCA as director of sales.
Holt Gewinner Jr., account executive, Day, Harris, Hargrett & Weinstein, Atlanta, to WSB Atlanta as national sales promotion director. Mr. Gewinner served on WSB sales staff in 1951.
Charles W. Brodhead, chief director-production supervisor, CKLY-TV Detroit-Windsor, Ont., to WLWI (TV) Indianapolis, Ind., as program director. WLWI is scheduled to go on air in mid-September.
Mike Schaffer, promotion director, WDBJ-TV Roanoke, Va., to WAVY-TV Portsmouth, Va., as promotion-publicity director. WAVY-TV is scheduled to go on air as ABC affiliate Sept. 1.
Robert E. Marshall, former band and act agent, Music Corp. of America, to WBZ-WBZA Boston-Springfield, Mass., as publicity director.
Virgil C. Roberts Jr., WSAI Cincinnati, Ohio, named assistant chief engineer.
Kenn Smith, engineer, WCSH-TV Portland, Maine, to WHDH-TV Boston in similar capacity.
Stan Cohen, formerly with Ziv Programs Inc., to WDSU New Orleans to head research, sales promotion and merchandising operations.
Duane X. Riley, Rochester, N. Y., newspaperman, to WWTV (TV) Cadillac, Mich., as news director.
Jerry Harper named news director of WMTV (TV) Madison, Wis.
George Hayward, announcer, WABJ Adrian, Mich., to WYSE Lakeland, Fla., as news-sports director.
Sidney Magelof, general manager, WEAM Arlington, Va., to WGMS-AM-FM Washington as account executive.
Lathrop Mack, formerly with NBC Spot Sales in New York and Hollywood, to KLO Ogden, Utah, as account executive.
Robert E. Porter, formerly news editor at WVIA South Bend, Ind., to WLOI LaPorte, Ind., as Sunday news editor.
Roger Sheldon, formerly with KFMU (FM) Glendale, and KGIL San Fernando, both California, to KRHM (FM) Los Angeles sales staff.
Bob Green, WPTV (TV) West Palm Beach, Fla., to WINZ Miami as host of his own show.
Garry Miller, WSRS Cleveland, to WHKK Akron, both Ohio, to host daily Breakfast Time and Melody Roundup.
Bob Johnson, program director, KRIZ Phoenix, Ariz., to KHEP Phoenix as host of three-hour afternoon program.
Monte Lang, former disc jockey and announcer at WCAT Orange, Mass., to WPAC Patchogue, N. Y., in similar capacity.
Louis Draughon, president-general manager, WSIX-AM-TV Nashville, Tenn., recuperating in Vanderbilt Hospital, Nashville, after automobile accident.
Reed E. Snyder, 54, chief engineer of WHO-AM-FM-TV Des Moines, Iowa, died Aug. 2 following heart attack.
REPRESENTATIVES
Ralph Guild, McGavren-Quinn Co., S. F., moves to N. Y. office of company as manager. He will "specialize in presenting and representing key west coast properties." Bob Allen, account executive in L. A. office, succeeds Mr. Guild.
Carroll McKenna, formerly with KABC-AM-TV Los Angeles, and Paul Kennedy Jr., KABC-TV account executive, to Edward Petry & Co., L. A., as radio and tv account executives, respectively.
TRADE ASSOCIATIONS
Michael Keith, Philip Morris Inc., N. Y., re-elected president of Merchandising Executives Club of N. Y. Other officers: Edward D. Russell, Commercial Printing Co., executive vice president; Harry Fraker, Topics Pub. Co., vice president for programming; Austin Johnson, Benton & Bowles, vice president for membership; Walter Thune, Cunningham & Walsh, vice president for publicity; Richard M. Elliott, Look magazine, secretary, and Roy Harris, Advertising Distributors of America, treasurer.
Heather Woodward, public service director, WQAM Miami, elected president of American Women in Radio & Television's Gold Coast Chapter (extends from Orlando, Fla., to Key West, Fla.). Other officers: Lee Waller, WTJV (TV) Miami program director, vice president; Kay Patterson, United Fund assistant director of public relations, secretary, and Billy O'Day, WCKR Miami women's editor, treasurer.
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NORTH WALES • PENNSYLVANIA
August 12, 1957 • Page 97
PROFESSIONAL SERVICES
John D. Hymes, research-merchandising director, KGO-AM-TV San Francisco, to Peter J. Gordon & Staff (public relations firm), same city, as partner and vice president. Company changes name to Gordon-Hymes & Staff Inc.
Robert J. Flood, formerly public relations director at Dancer-Fitzgerald-Sample, N. Y., announces opening of his own public relations office at 22 E. 49th St., N. Y. 17. Telephone: Plaza 5-3520.
DeWard Jones, formerly with public relations staffs of ABC, NBC and Radio City Music Hall, named manager of television publicity department of David O. Alber Assoc., N. Y., public relations firm.
Edwin A. Kartman, to editorial staff of Daniel J. Edelman & Assoc., public relations firm, Chicago.
Robert M. Anderson, former New York publicist and radio commercial writer, to Gil Coleman Assoc., S. F., public relations counselors.
Quinn O'Connell, law clerk to Circuit Judge John A. Danaher, to Weaver & Glassie, Washington law firm. Mr. O'Connell was graduated from Georgetown Law School, same city, in 1955.
MANUFACTURING
Sidney Sparks, vice president in charge of commercial activities, RCA Communications Inc., N. Y., named vice president of operations and engineering; Lon A. Cearley, vice president and controller, named vice president of finance; Frederick J. Sager, treasurer, elected vice president and treasurer, and Edwin W. Peterson, assistant controller, appointed controller.
Charles A. Daly Jr., purchasing agent, RCA Victor Radio & Victrola Div., named manager of general purchasing for RCA, Camden, N. J. He is succeeded by William S. Strout, manager of electrical purchasing.
STORER Broadcasting Co., Miami, announced four new appointments last week. Peter Storer, who has served in various sales capacities with WJBK Detroit, becomes general sales manager of WJW-TV Cleveland, Ohio. Lewis P. Johnson, formerly with Storer's New York national sales office, joins WPFH (TV) Wilmington, Del., as sales manager. Jack Kelly, managing director of WJW, and Robert Buchanan, formerly with the sales department of WJBK-TV, become New York sales managers for WPFH and WJBK-TV, respectively.
INTERNATIONAL
Joan Baxter, women's commentator, CFRA Ottawa, Ont., named president of Ottawa branch of Canadian Women's Press Club.
Clyde H. McDonald, research and development director of Bureau of Broadcast Measurement, Toronto, has opened research firm, McDonald Research Ltd. at Toronto and will make broadcast audience surveys.
EDUCATION
Dr. Keith M. Engar, associate professor of speech and theatre arts, U. of Utah, Salt Lake City, to KUED (TV) Salt Lake City (educational station) as program director.
Profs. C. H. Sandage, Theodore Peterson and H. V. Cordier, U. of Ill., Urbana-Champaign, named to head advertising, journalism and radio-tv divisions, respectively.
Dr. James Y. Moultrie named coordinator of Special Education Tv Project for Alabama Educational Tv Network.
GOVERNMENT
Milton H. Biow, former head of his own agency and now consultant, appointed by President Eisenhower to serve on President's Committee on Government Employment Policy, group concerned with preventing discrimination in federal employment practices.
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Station Authorizations, Applications
(As Compiled by B·T)
August 1 through August 6
Includes data on new stations, changes in existing stations, ownership changes, hearing cases, rules & standards changes and routine roundup.
Abbreviations:
DA—directional antenna. CP—construction permit. ERP—effective radiated power. vhf—very high frequency. uhf—ultra high frequency. ant.—antenna. aur.—aural. vis.—visual. kw—kilowatts. w—watts. mc—megacycles. D—day. N—night. LS—local summet mod.—modification. trans.—transmitter. uni.—unlimited hours. kekilocycles. SCA—subsidary communications authorization. SSA—special service authorization. STA—special temporary authorization. ~educ.
Am-Fm Summary through August 6
| | App. Pend- | In Rej- |
|-------|------------|---------|
| OH | Licensed | Cps | |
| Am | 3,024 | 3,010 | 282 | 399 | 144 |
| Fm | 539 | 519 | 54 | 57 | 0 |
FCC Commercial Station Authorizations
As of June 30, 1957 *
| | Am | Fm | Tv |
|-------|----|----|----|
| Licensed (all on air) | 3,044 | 519 | 344 |
| Cps all on air | 3,071 | 531 | 349 |
| Cps not on air | 159 | 31 | 132 |
| Total authorized | 3,238 | 561 | 851 |
| Applications in hearing | 134 | 0 | 0 |
| New station requests | 322 | 24 | 79 |
| New station bids in hearing | 109 | 0 | 50 |
| Parlor license applications | 188 | 8 | 46 |
| Total applications pending | 975 | 134 | 388 |
| Licenses deleted in June | 1 | 3 | 0 |
| Cps deleted in June | 1 | 0 | 0 |
* Based on official FCC monthly reports. These are not always exactly current since the FCC must await formal notifications of stations going off the air, or of changes in ownership, licenses or grants etc. These figures do not include noncommercial educational fm and tv stations. For current status of noncommercial stations see "Am and Fm Summary," above, and for tv stations see "Tv Summary," next column.
New Tv Stations
Biloxi, Miss.—Radio Assoc. Inc. granted vhf ch. 13 (121,000 mc); 1.3 kw vhf; 0.8 kw aur.; ant. height above average terrain 303 ft. Estimated construction cost $119,069, first year operating cost $120,000, revenue $125,000. P. O. address Box 100, Biloxi. Location Biloxi. Trans. location Jackson County. Geographic coordinates 30° 0' 0" N. Lat., 89° 30' 0" W. Long. Trans-ant. RCA. Legal counsel Maurice Barnes, Washington, D. C. Consulting engineer Odes E. Ruffner Jr. (252 Mr. Richard Robinson of Biloxi and has interest in WPTV Piqua, Ohio and Robinson's son, Mr. Robinson owns WYMI Biloxi and has interest in WPTV Piqua, Ohio and WKQY Bluefield, W. Va. Mr. McKee has Zenith radio dealership. Announced Aug. 6.
Gulfport, Miss.—K. K. Anderson, Jr./b/s as State Telecasting Co. granted uhf ch. 56 (722-728 mc); ERP 21.47 kw; 1.1 kw aur.; ant. height above average terrain 320 ft., revenue count 340 ft. Estimated construction cost $60,420, first year operating cost $73,000, revenue $60,000. P. O. address Box 100, Gulf Dr., East, Rouge, 6 La. Studio and trans. location Silverdale Addition, Gulfport. Geographic coordinates 30° 22' 0" N. Lat., 89° 07' 0" W. Long. Trans-ant. RCA. Legal counsel D'Amico & Curet, Baton Rouge. Mr. Corker is former owner of WMC Bogalusa, La. Is an agent for WMC-Bogalusa (TV). Baton Rouge, La., and farmer. Announced Aug. 1.
Hastings, Neb.—Duhamel Enterprises, Inc. granted vhf ch. 13 (121,000 mc); 1.3 kw vhf; 0.50 kw aur.; ant. height above average terrain 849 ft., low ground 883 ft. Estimated construction cost $163,000, first year operating cost $160,000. P. O. address Box 1752, 1819 W. St. Joe St. Rapid City, S. D. Studio location Hayling Trans. location Sheridan. Geographic coordinates 42° 38' 25" N. Lat., 102° 42' 4" W. Long. 773 ft. Trans-ant. RCA. Legal counsel Charles W. Wayland, Washington, D. C. Principals include Helen S. Duhamel 91% and seven others. Mrs. Duhamel has interest in KOTA Rapid city. Announced Aug. 6.
North Platte, Neb.—Goldenrod Tele-Radio Co. granted vhf ch. 13 (121,000 mc); 1.3 kw vhf; 0.50 kw aur.; ant. height above average terrain 85 ft., above ground 202 ft. Estimated construction cost $150,000, first year operating cost $153,000, revenue $150,000. P. O. address 400 E. Fourth St., Pueblo, Colo. Studio location North Platte. Trans. location North Platte. Geographic coordinates 41° 08' 14" N. Lat., 100° 45' 33" W. Long. Trans-ant. RCA. Legal counsel Fly, Shuebruk, Blume & Gaguine, Washington, D. C. Consult-
Tv Summary through August 6
Total Operating Stations in U. S.:
| | Vhf | Uhf | Total |
|-------|-----|-----|-------|
| Commercial | 389 | 38 | 427 |
| Noncomm. Education | 18 | 5 | 23 |
Grants since July 11, 1952:
(When FCC began processing applications after tv freeze)
| | Vhf | Uhf | Total |
|-------|-----|-----|-------|
| Commercial | 362 | 327 | 678 |
| Noncomm. Educational | 27 | 21 | 48 |
Applications filed since April 14, 1952:
(When FCC began processing applications after tv freeze)
| | New Ameud. Vhf | Uhf | Total |
|-------|----------------|-----|-------|
| Commercial | 1,095 | 337 | 865 |
| Noncomm. Educ. | 67 | 38 | 33 |
Total | 1,162 | 337 | 903 | 618 | 1,518 |
177 cps (33 vhf, 144 uhf) have been deleted.
2 One applicant has been deleted.
One applicant did not specify channel.
Includes 48 already granted.
Includes 725 already granted.
NATION-WIDE NEGOTIATIONS • FINANCING • APPRAISALS
RADIO • TELEVISION • NEWSPAPER
EASTERN
FULLTIME
NEW ENGLAND
$80,000
Excellent community of industry and high income. Station does well...can do still better. Terms.
MIDWEST
METROPOLITAN REGIONAL
$300,000
One of the better situations available today from a tax position. High lease possible with low investment. Financing.
SOUTH
FLORIDA RADIO
$85,000 UP
We have three excellent Florida properties in small and medium markets all with some financing.
SOUTHWEST
TEXAS PANHANDLE
$150,000
One of the bright spots in US economy forecasts. Illness forces sale. Mostly cash needed.
WESTERN
NORTHWEST FULLTIME
$90,000
29% down will handle. Growing market. Five year increasing gross and profit picture.
WASHINGTON, D. C.
Wm. T. Stubblefield
1737 DeSales St., N. W.
EX 3-3456
CHICAGO, ILL.
Ray V. Hamilton
Tribune Tower
DE 7-2755
ATLANTA, GA.
Jack L. Barton
1515 Healey Bldg.
JA 3-3431
DALLAS, TEX.
Dewitt (Judge) Landis
Fidelity Union Life Bldg.
RI 8-1175
SAN FRANCISCO
W. R. (Ike) Twining
III Sutter St.
EX 2-5671
Call your nearest office of
HAMILTON, STUBBLEFIELD, TWINING & ASSOCIATES
Planning a Radio Station?
Here's a brand new financing plan that will take a load off your pocketbook and speed you on your way to station ownership!
RCA PROGRESS PURCHASE PLAN
Flexible Financing for Broadcasters
RADIO CORPORATION of AMERICA
Tmk(s) ©
FOR THE RECORD CONTINUED
ing engineer Vandivere, Cohen & Wearn, Washington, D.C. Equal partners are Ray J. Williams, Franklin R. Stewart and Alvin E. Larsen Jr. Mr. Williams is 50% KVKM, Fort Worth, Colo. Mr. Stewart is attorney, and Mr. Larsen contractor. Announced Aug. 1.
Monahans, Tex.—United States Industries granted vhf ch. 7 (128-186 mc); ERP 46 kw vis., 23 kw aur.; ant. height above average terrain 806 ft., above ground 985 ft. Estimated construction cost $187,500, first year operating cost $388,029, revenue $345,446. P. O. address 1301 Polk St., Amarillo, Texas. Trans. location five miles north of Amarillo. Geographic coordinates 35° 18' 55.13" N. Lat., 101° 3' 30.00" W. Long. Trans.-ant. RCA. Legal counsel Pierson, Ball & Dowd, Washington. Consultants engineer John H. Lohne, Washington. Principals are equal owners Robert A. Hockel, general manager-47% owner, KAMQ Amarillo, his brother Hoyt H. Hockel, president-47% owner of KAMQ; Harry Worner, commercial manager, 2.66% owner of KAMQ, and George A. Oliver, sales manager-1.33% owner of KAMQ. Announced Aug. 1.
Monahans, Tex.—Tri-Cities Bestg. Co., co-partners are Lawrence M. Mall, J. B. Womack and Herber Winborne. Waltons granted ch. 9 (186-192 mc); ERP 27.5 kw vis., 13.8 kw aur.; ant. height above average terrain 618 ft., above ground 837 ft. Estimated construction cost $149,061, first year operating cost $180,000, revenue $180,000. P. O. address 1301 Polk St., Amarillo, and trans. location 2.5 mi. east of Pyote on U.S. Hwy. 80. Geographic coordinates 35° 32' 44" N. Lat., 101° 3' 30.00" W. Long. Trans.-ant. RCA. Legal counsel Dow, Lohnes & Albertson, Washington. Consulting engineer is Earl Callum, of Dallas. Mr. Russell is 36% owner, pres.-gen. mgr., KVKM Monahans. Waltons have oil, ranching and business interests. Announced Aug. 1.
Charleston, S. C.—Atlantic Coast Bestg. Co. of Charleston granted vhf ch. 22 (530-532 mc); ERP 38 kw vis., 33 kw aur.; ant. height above average terrain 367 ft., above ground 417 ft. Estimated construction cost $225,500, first year operating cost $425,000, revenue $365,000. P. O. address 103 Church St., Charleston. Studio location Charleston. Trans. location Charleston. Geographic coordinates 32° 49' 35" N. Lat., 79° 58' 45" W. Long. Trans.-ant. RCA. Legal counsel Cohn & Maitland, Washington. Consulting engineer David W. Jefferies, Charleston. Principals include Charles E. Smith, 40% general mgr. WMTA-AM-FM Charleston, S. C., and Clinton, 40% vice pres. WTMA-AM-FM, Parkersburg and WELK (TV) Charleston, both 20% and 20% shares. WCMI-AM-FM Ashland, Ky. Announced Aug. 1.
Kennewick, Wash.—Columbia Broadcasting Television Co. granted vhf ch. 22 (530-532 mc); ERP 22.22 kw vis., 4.93 kw aur.; ant. height above average terrain 1 ft. above ground 1 ft. Estimated construction cost $180,000, first year operating cost $108,000, revenue $140,000. P. O. address % Stuart Nathanson, Business Manager, 100 Kennewick St., Kennewick. Trans. location Benton County, Geographic coordinates 46° 12' 37" N. Lat., 119° 09' 07" W. Long. Trans.-ant. RCA. Legal counsel Sam Irvine, 1000 Angeles Valley, Los Angeles. Consulting engineer Ron Oakley, Canada, Calif. Principals include % Norman Hoffman (52%), producer-director with KERB Vakhtang Pace, W. B. K. Phillips (18.5%), auto sales manager, C. N. Hoekstra (18.5%), real estate interests, and four others. Announced Aug. 2.
APPLICATIONS
Delano, Calif.—Pacific Motors Corp., ulhf ch. 37 (608-614 mc); ERP 450 kw vis., 344 kw aur.; ant. height above average terrain 424 ft., above ground 484 ft. Estimated construction cost $245,000, first year operating cost $300,000, revenue $380,000. P. O. address 1317 Greeley Way, Stockton, Calif. Studio location Delano. Trans. location Kern County. Geographic coordinates 35° 34' 17" N. Lat., 119° 11' 57" W. Long. Trans.-ant. GE. Legal counsel McKenna & Wilkinson, Washington. Principals are equal owners Harry W. Lee (49%) will be owner, Mr. Hoffman has real estate and electronics interests and is stockholder in KERB Vakhtang Hoekstra, Calif. Mr. Lee is pres.-gen. mgr. KOVR St. Petersburg, Fla.—Ward's Broadcast Bestg. Inc. granted ch. 109-110 (588-600 mc); ERP 116 kw vis., 158 kw aur.; ant. height above average terrain 997 ft., above ground 1,026 ft. Estimated construction cost $1,036,000, first year operating cost $900,000, revenue $750,000. P. O. address Times Bldg., St. Petersburg. Studio location St. Petersburg. Trans. location Pinellas County. Geographic coordinates 28° 12' 30" N. Lat., 82° 44' 47" W. Long. Trans.-ant. RCA. Legal counsel Schrier & Schroeder, Washington. Principals are equal owners Lohnes & Culver, Washington. D. C. Principals include Nelson Foynes (60%), Lawrence M. Foynes (20%) and others. The Foynes own Times Publishing Co. and formerly owned WJZ-TV-11, St. Petersburg.
Bemidji, Minn.—Central Minnesota Television Co., vhf ch. 13 (210-215 mc); ERP 28 kw vis., 18 kw aur.; ant. height above average terrain 996 ft., above ground 896 ft. Estimated construction cost $287,553, first year operating cost $128,000, revenue $128,000. P. O. address 1000 Main, Bemidji, Minn. Studio location Bemidji. Trans. location Hubbard County. Geographic coordinates 47° 22' 22" N. Lat., 94° 44' 47" W. Long. Trans.-ant. RCA. Legal counsel Segal, Smith & Hennessy, Washington, D. C. Consulting engineer Julius M. Heltman, Fargo, N. D. Principals include Thomas A. Barastable (21%), each Julius M. Heltman and Harold A. Barastable, E. M. McNetter, Joseph O. Perino and John J. McCarten and others. The aforesaid stockholders have interest in or are stockholders with WDAY-AM-TV #22, N. D.
St. Cloud, Minn.—St. Cloud Television Co., vhf ch. 13 (210-215 mc); ERP 28 kw vis., 18 kw aur.; ant. height above average terrain 570 ft., above ground 572 ft. Estimated construction cost $225,000, first year operating cost $165,000, revenue $165,000. P. O. address 21 Sixth Ave. N., St. Cloud. Studio location St. Cloud. Trans. location St. Cloud. Geographic coordinates 44° 37' 37" N. Lat., 94° 33' 30" W. Long. Trans.-ant. RCA. Legal counsel Fly, Shueblin, Blum & Wiegand, Washington, D. C. Principals are equal owners Vandiver, Cohen & Wearn, Washington. D. C. Equal partners are St. Cloud businessmen Lawrence M. Mall, Edward L. Skelkinger, B. H. Flanagan, Sylvester Fandel and George Byers.
New Am Stations
Escondido, Calif.—Neil W. Owen & Julia C. Owen d/b as Palomar Bestg. Co. granted 1450 kc. 200 w. P. O. address 5901 Buckeye Ave., Los Angeles. Estimated construction cost $200,000, first year operating cost $30,000, revenue $35,000. Principals in equal partnership include Neil W. Owen (50%), teacher, and his wife Julia C. Owen (50%), college instructor.
Inglewood, Calif.—Alvin John Williams granted 446 kc. 20 kw nighttime. P. O. address 1310 Fairfield St., Glendale, Calif. Estimated construction cost $41,000, first year operating cost $24,000, revenue $45,000. Mr. Murphy has been an engineer, KOEL Oelwein, and Mr. Schield is 25% owner of Inglewood firm manufacturing motor cranes and steam shovels.
Miss Sterling, Ky.—Mr. Sterling Bestg. Co. granted 1150 kc. 500 w D. P. O. address 50 Broad-
Southeast
$250,000.00
An outstanding facility in one of the major southern markets, this property is presently showing an excellent profit and has fine potential for growth. Cash requirement is 29%, with a very liberal payout.
NEGOTIATIONS • FINANCING • APPRAISALS
Blackburn & Company
WASHINGTON, D. C.
James W. Blackburn
Jack V. Harvey William B. Ryan
Washington Building
Sterling 3-4341
ATLANTA
Clifford B. Marshall
Stanley Whitaker
Healey Building
Jackson 5-1576
BROADCASTING • TELECASTING
## Professional Cards
### JANSKY & BAILEY INC.
Executive Offices
1735 De Sales St., N. W.
ME. 8-5411
Offices and Laboratories
1339 Wisconsin Ave., N. W.
Washington, D. C.
Federal 3-4800
Member AFCCCE*
### JAMES C. MCNARY
Consulting Engineer
National Press Bldg., Wash. 4, D. C.
Telephone District 7-1205
Member AFCCCE*
### —Established 1926—
PAUL GODLEY CO.
Upper Montclair, N. J. Pilgrim 6-3000
Laboratories, Great Notch, N. J.
Member AFCCCE*
### GEORGE C. DAVIS
CONSULTING ENGINEERS
RADIO & TELEVISION
301-514 Munsey Bldg. Sterling 3-0111
Washington 4, D. C.
Member AFCCCE*
### Commercial Radio Equip. Co.
Everett L. Dillard, Gen. Mgr.
INTERNATIONAL BLDG. DI. 7-1319
WASHINGTON, D. C.
P. O. BOX 1000 JACKSON 5302
KANSAS CITY, MO.
Member AFCCCE*
### A. D. RING & ASSOCIATES
30 Years' Experience in Radio Engineering
Pennsylvania Bldg. Republic 7-2347
WASHINGTON 4, D. C.
Member AFCCCE*
### GAUTNEY & JONES
CONSULTING RADIO ENGINEERS
1052 Warner Bldg. National 8-7737
Washington 4, D. C.
Member AFCCCE*
### Lohnes & Culver
MUNSEY BUILDING DISTRICT 7-8215
WASHINGTON 4, D. C.
Member AFCCCE*
### RUSSELL P. MAY
711 14th St., N. W.
Sheraton Bldg.
Washington 3, D. C.
Republic 7-3984
Member AFCCCE*
### L. H. CARR & ASSOCIATES
Consulting
Radio & Television Engineers
Washington 6, D. C.
Fort Evans
1001 Conn. Ave. Leesburg, Va.
Member AFCCCE*
### PAGE, CREUTZ, STEEL & WALDSCHMITT, INC.
Communications Bldg.
710 14th St., N. W.
Executive 3-5670
Washington 5, D. C.
303 White House Station Bldg.
Mutual 3230
Seattle 1, Washington
Member AFCCCE*
### KEAR & KENNEDY
1302 18th St., N. W.
Hudson 3-9000
WASHINGTON 6, D. C.
Member AFCCCE*
### A. EARL CULLUM, JR.
CONSULTING RADIO ENGINEERS
INWOOD POST OFFICE
DALLAS 9, TEXAS
LAKESIDE 8-6108
Member AFCCCE*
### GUY C. HUTCHESON
P. O. Box 32
Crestview 4-8721
1100 W. Abram
ARLINGTON, TEXAS
### ROBERT M. SILLIMAN
John A. Moffet—Associate
1405 G St., N. W.
Republic 7-6446
Washington 5, D. C.
Member AFCCCE*
### LYNNE C. SMEBY
CONSULTING ENGINEER AM-FM-TV
7615 LYNN DRIVE
WASHINGTON 15, D. C.
OLIVER 2-8520
### GEO. P. ADAIR ENG. CO.
Consulting Engineers
Radio-Television Communications-Electronics
1610 Eye St., N.W., Washington, D. C.
Executive 3-1238
Executive 3-3681
Member AFCCCE*
### WALTER F. KEAN
CONSULTING RADIO ENGINEERS
Associates
George M. Sklom, Robert A. Jones
1 Riverside Road—Riverside 7-2153
Riverside, Ill.
(A Chicago suburb)
### WILLIAM E. BENNS, JR.
Consulting Radio Engineer
3802 Millen Rd., N. W., West, D. C.
Phone Washington 2-6771
Box 2468, Birmingham, Ala.
Phone State 7-2501
Member AFCCCE*
### ROBERT L. HAMMETT
CONSULTING RADIO ENGINEER
821 MARKET STREET
SAN FRANCISCO 3, CALIFORNIA
SUTTER 1-7545
### JOHN B. HEFFELFINGER
8401 Cherry St.
Hiland 4-7010
KANSAS CITY, MISSOURI
### Vandivere, Cohen & Wearn
Consulting Electronic Engineers
612 Evans Bldg. NA. 8-2698
1420 New York Ave., N. W.
Washington 5, D. C.
### CARL E. SMITH
CONSULTING RADIO ENGINEERS
4900 Euclid Avenue
Cleveland 3, Ohio
Henderson 2-3177
Member AFCCCE*
### J. G. ROUTREE, JR.
5622 Dyer Street
EMerson 3-3266
Dallas 6, Texas
### VIR N. JAMES
SPECIALTY
Directional Antenna Proofs
Mountain and Plain Terrain
1316 S. Kearney Skyline 6-1603
Denver 22, Colorado
### JOHN H. MULLANEY
Consulting Radio Engineers
2000 P St., N. W.
Washington 6, D. C.
Columbia 5-4666
### A. E. TOWNE ASSOC., INC.
TELEVISION and RADIO ENGINEERING CONSULTANTS
420 Taylor St.
San Francisco 2, Calif.
PR. 5-3100
### RALPH J. BITZER, Consulting Engineer
Suite 298, Arcade Bldg., St. Louis 1, Mo.
Garfield 1-4984
"For Results in Broadcast Engineering"
AM-FM-TV
Allocations • Applications
Petitions • Licensing Field Service
---
## Service Directory
### COMMERCIAL RADIO MONITORING COMPANY
PRECISION FREQUENCY MEASUREMENTS
A FULL TIME SERVICE FOR AM, FM, TV
P. O. Box 7037 Kansas City, Mo.
Phone Jackson 3-5302
### CAPITOL RADIO ENGINEERING INSTITUTE
Accredited Technical Institute Curricula
3224 16th St., N.W., Wash. 10, D. C.
Practical Broadcast, TV Electronics engineering home study and residence courses. Write for Free Catalog, specify course.
### SPOT YOUR FIRM'S NAME HERE,
To Be Seen by 77,440* Readers
—among them, the decision-making station owners and managers; chief engineers and technical consultants for am, fm, tv and facsimile facilities. *1956 ARB Continuing Readership Study
---
August 12, 1957 • Page 101
FOR THE RECORD CONTINUED
way, Mi. Sterling. Estimated construction cost $18,106, first year operating cost $4,500, revenue $63,000. Principals are: Pres. R. J. Reynolds (25%); Vice-Pres. and Secy. W. R. Reynolds (16.6%); and Treas. William R. Reynolds (16.6%), all with concrete pipe firm interests and Secy. Thomas M. Reynolds (16.6%).
Tularema, N. M.—Max K. Rothman granted 1540 kc. 1 kw D. P. O. address Box 75, High Road, Montoya, N. M. Estimated construction cost $12,098, first year operating cost $15,000, revenue $36,000. Mr. Rothman owns KMFM (FM) Montoya, N. M.
Columbia, Pa.—H. Raymonn Stadium, Lester P. Etter and Leonard Savage, 1/3 each. Mr. Etter, lumber dealer, granted 150 kc. 1 kw daytime, Pa. address 1649 Krim Court, Lebanon, Pa. Estimated construction cost $33,000, first year operating cost $25,000, revenue $68,000. Mr. Stadium (45%) is president and 33.3% owner WLBR Lebanon and transmitter permittee WLBRTV, Lebanon, Pa. Etter (45%) is vice-president and 33.3% owner WLBR and president of WLBR-TV. Mr. Savage (10%) is WLBR-AM-TV chief engineer and 1.7% stockholder of WLBR.
Elizabethtown, Pa.—Will Gross tr/az. Colonial Bstg. Co. granted 150 kc. 50 kw. Pa. address 651 W. Market St., York, Pa. Estimated construction cost $10,746, first year operating cost $30,000, revenue $30,000. Mr. Gross, a Simmons-Bear sales employee, owns WNOW-TV York. Filed March 18.
Dayton, Tenn.—Norman A. Thomas granted 1280 kc. 1 kw D. P. O. address Box 428, Chattanooga, Tenn. Estimated construction cost $18,623, first year operating cost $30,000, revenue $36,000. Mr. Thomas, real estate and construction holdings, will be sole owner.
El Paso, Tex.—Robert L. Howsam granted 1590 kc. 1 kw D. P. O. address 7 Denver Baseball Club, Bears Stadium, 20th Ave. at Decatur St., El Paso, Tex. Estimated construction cost $16,715, first year operating cost $36,000, revenue $45,000. Mr. Howsam, holds interest in KTLN Denver at 60% and 40% Denver Bears. Ysleta, Tex.—John S. Chavez, Raul G. Amaya, Gaudalupe Cabrera, Jose A. Cabrera and George B. Chavez, granted 1180 kc. 1 kw D. P. O. address 3408 Perla St., El Paso, Tex. Estimated construction cost $10,444, first year operating cost $25,000, revenue $35,000. Mr. Chavez is former producer and was salesman at WDOV Dover, Del. Missions, El Paso, Tex.—William B. Ferguson, L. Weaver d/b/ Prince William Bstg. Co., granted 1460 kc. 50 kw D. remote control trans. P. O. address Box 262, Paris, Ill. Estimated construction cost $36,000, first year operating cost $36,000, revenue $45,000. Mr. Ferguson, attorney for Mr. Weaver, owns radio and television.
Tacoma, Wash.—Adia C. Ferguson Jr. and Robert E. Hall d/b/ Ferguson Bros. granted 1280 kc. 1 kw D. P. O. address 7 Mr. Ferguson, Box 262, Paris, Ill. Estimated construction cost $34,917, first year operating cost $65,644, revenue $75,000. Mr. Ferguson, attorney for Mr. Hall, owner, WPBS-AM-FM Paris, Ill. Mr. Hall is sales v.p. of O. Colson Co., Tacoma, Wash.
Aurora, Colo.—Raul G. Amaya, Jose A. Cabrera and Felix B. Velez d/b/ Arecibo Radio Inc., granted 1280 kc. 1 kw D. P. O. address Box 453, Arecibo. Estimated construction cost $12,500, first year operating cost $21,600, revenue $30,000. Manuel Cabrera, auto dealer, 33.84%, Jose Cabrera, auto dealer, 33.08%. Mr. Velez, radio-ty management, 33.08%.
APPLICATIONS
Auburn, Calif.—Nevada Placer & Eldorado County Bstgts., 1030 kc 10 kw unl. P. O. address Box 992, Auburn. Estimated construction cost $100,000, first year operating cost $100,000, revenue $48,000. Charles H. Halstead Jr. and wife will be owners. Mr. Halstead formerly owned KDAI Auburn.
King City, Calif.—Somoco Bstg. Co., 1570 kc. 250 w. P. O. address 10814 Encino Ave., King City, Calif. Estimated construction cost $100,000, first year operating cost $15,800, revenue $24,000. Equal partners are James H. Rose and Howard E. Slagle, applicants for am in Hollister, Calif. Mr. Rose is electronics engineer and Mr. Slagle former Federal employee.
Tularema, N. M.—Tr/C-Counties Bstgts. Co., 870 kc. 5 kw D. P. O. address 25 W. Anapamu, Santa Barbara. Estimated construction cost $37,000, first year operating cost $75,000, revenue $100,000. Equal partners are William H. Buckeye and Richard J. Cuetara. The partners own music service company, and Mr. Cuetara is promotion mgr.-announcer KEYT (TV) Santa Barbara.
Miami-South, Miami, Fla.—Louis A. Jacobs, 800 kc. 10 kw unl. P. O. address 340 Altair Ave. to Coral Gables, Fla. Estimated construction cost $67,958, first year operating cost $100,000, revenue $125,000. Mr. Jacobs, former publ. relations interests, will be sole owner.
Linden, Greenbush Bstg. System, 1790 kc. 250 w. D. P. O. address 1000 H. St., Brantford, Ont. Milenn. Estimated construction cost $11,588, first year operating cost $24,500, revenue $36,000. Mr. Brantford, department store owner, will be sole owner.
Forest City, N. C.—Tri-City Bstg. Co., 1330 kc. 500 w. D. P. O. address Box 230, Forest City, N. C. Estimated construction cost $6,501, first year operating cost $24,000, revenue $30,000. Equal partners are Carroll T. Balkwell and A. Doyle Lathco, both have appliance and jewelry interests. Rapid City, S. D.—W. S. Breeze, 920 kc. kw D. P. O. address Box 200, Rapid City, S. D. Wyo. Estimated construction cost $22,000, first year operating cost $36,000, revenue $48,000. Mr. Breeze, owner KARF Rapid, Wyo. and approximately ½ owner KOVE Lander, Wyo., will be sole owner.
New FM Stations
Falm Lawn, N. Y.—Radio Bergen inc., granted 165.5 mc. 1 kw unl. P. O. address 921 Bergen Ave. Jersey City, N. J. Estimated construction cost $18,468, first year operating cost $25,000, revenue $18,000. William and Ann Maron will own 50% and Julius Beck 2%. Mr. Maron and Mr. Beck are New York businessmen and Mrs. Maron is office mgr.
Babylon, N. Y.—Babyon-Bay Shore Bstg. Corp., granted 103.3 mc. 1 kw unl. P. O. address 24. Westenstein, 16 Fire Island Bldg., Babylon. Estimated construction cost, first year operating cost and revenue, same as cost of an application. Principals include Sol Horenstein, Samuel Hersone and Mortimer Katz, principals in application for new am in Babylon.
Applications
San Bernardino, Calif.—Imperial Bstg. System, 99.9 mc. 30.35 kw unl. P. O. address 881 Holly St., Riverside, Calif. Angeleno, estimated construction cost $28,706, first year operating cost $25,000, revenue $20,000. Principals include Frank K. Angeleno (75.8%), B. Morris Jr. (16.8%), Morris Pfraeder (11.5%), Sherrill C. Corwin (10.85%) and others. Mr. Danziger and Mr. Ross have banking and real estate interests. Mr. Pfraeder has banking and real estate interests. Mr. Corwin owns KBAY-TV San Francisco. Calle, 65% of ch. 1180 kc at 100 kw at Fullerton, Calif. KABF-AM-AM-TV Wichita, Kan. and various theatre and real estate holdings.
Miami, Fla.—Rand Bstg. Co., 99.9 mc. 105.75 kw D. P. O. address Biscayne Terrace Hotel, Miami. Estimated construction cost $34,075, first year operating cost $100,000, revenue indefinite. Rand Bstg. is majority stockholder in WINZ Miami and WEAT-AM-TV West Palm Beach, both Fla. Rex Rand votes stock.
Ownership Changes
Applications
KMOP Tucson, Ariz.—Seeks assignment of cp from partnership to corporation. A. V. Bamford and H. R. Odom will remain owners. Corporate change. No control change.
WDAS Moore, Ga.—Seeks control of licensee corporation by purchasing Woodall through purchase of stock from executors of estate of George T. Morris (25% deceased) and Newt. Morris (25%). Morris, 31, Mr. Woodall, 60% WDADK Columbus, Ga., 20% WMQG Brunswick, Ga., 30% WGEX Geneva, Ala., will own 75% of station.
WAT Swainsboro, Ga.—Seeks assignment of license from owners R. Denny and Webb Pierce to state Statler-WAT Inc. Corporate change. No control change.
WNBL Murray, Ky.—Seeks transfer of control of licensee corporation from Melba L. Gaston and J. C. Liner III to WSTV Inc. for $105,000. WSTV inc. has interest in WSTV (TV) Steubenville, W. Va., and Atlantic City, N. J., WPIT Pittsburgh, Pa., KODE-AM-TV Joplin, Mo., and WBOY-AM-TV Clarkburg, W. Va. WNBL applicant for license to operate KAR-AM-FM Parkersburg, W. Va. Principals include Jack N. Berkman, John J. Laskowski, and Mr. and Mrs. L. L. Preston and WLM Houlton, Me.—Seeks transfer of control of licensee corporation from Harold G. Gilten to NorthWest Bstg. Co. $150,000. NorthWest is owned by Community Bstg. Service, licensee of WAER Bingham, N. Y.
WHWG-AM Hornell, N. Y.—Seeks negative control of licensee corporation by Samuel Dresner and Ross Dresem through purchase of stock (80%) from Sam Dresner and Alfred Dresner for $4,500. Samuel and Ross Dresner are the parents of Alfred and Paul Dresner.
WTNC-AM-FM Thomasville, N. C.—Seeks transfer of control of licensee corporation from estate of George W. Smith, 101 S. 5th, decedent, to George W. Lyles Jr. and R. F. Van Landingham in accordance with will of deceased. Messrs. Lyles Jr. and Van Landingham will be sole owners.
KRMW The Dallas, Ore.—Seeks transfer of control of licensee corporation to Oliver B. East for $14,000 loan to cp. Mr. East will own 66.6%.
WHOL Allentown, Pa.—Seeks control of licensee corporation by Victor C. Diehn, Hildreth, DeLong, and George A. Chinn, through purchase of treasury stock for $2,400. The purchase will give Victor 42% and Hildreth 50%.
WDBL Springfield, Tenn.—Seeks assignment of license and cp from Walter A. Duke, Mrs. Hoyte Bell and W. W. Nix to Locut, Inc. Mr. and Mrs. Locke for $14,000. Mrs. Bell and Mr. Locke will each own 50%.
The Rice, Oklahoma City, Okla.—Seeks transfer of control of licensee corporation from Nicholas and Victor J. Tedesco to Zel S. and Vena H. Rice for $28,200. The Rices will own 74%. The Rices have banking and real estate interests.
Other Actions
TV RULE MAKING FINALIZED
The FCC finalized rule making and amended its TV table of assignments to add ch. 16 to South Bend, Ind.; ch. 26 to Billings, Mont.; ch. 26 to Aurora, Ill.; effective Sept. 6; and ordered mod. of WJLA, Washington, D. C., Teleprompter Corp. to specify operation of station, WJLA-TV, South Bend, on ch. 16 instead of ch. 46, conditioned to submission to the Commission of certain information.
TV RULE MAKING PROPOSED
The FCC invites comments by Sept. 8 to proposals (1) WSRV, Cleveland, Ohio, Wilkins Ind., to assign ch. 21 to South Bend-Ellhart by substituting ch. 52 for educational ch. 44 in South Bend, changing from ch. 21 to ch. 22 in Ellhart, ch. 33 for ch. 22 in Benton Harbor, Mich.; and (2) WSLV-TV, ch. 21 in South Bend to ch. 21 in ch. 22 to that city instead of ch. 22, substitute ch. 22 for ch. 22 in Waukegan, Ill., substituting ch. 46 for ch. 36 in Kalamazoo, Mich., and add ch. 34 to Plymouth, Ind.
TV RULE MAKING FINALIZED
The FCC finalized rule making and amended its TV table of assignments to add ch. 16 minus to Ephrata, Wash., by substituting ch. 31 for ch. 28.
Continues on page 107
## CLASSIFIED ADVERTISEMENTS
Payable in advance. Checks and money orders only.
- **DEADLINE:** Undisplayed—Monday preceding publication date. Display—Tuesday preceding publication date.
- **SITUATIONS WANTED** 20¢ per word—$2.00 minimum. • **HELP WANTED** 25¢ per word—$2.00 minimum.
- All other classifications 30¢ per word—$4.00 minimum. • **DISPLAY** ads $15.00 per inch.
No charge for blind box number.
Applicants: If transcriptions or bulk packages submitted, $1.00 charge for mailing (Forward remittance separately, please). All transcriptions, photos, etc., sent to box numbers are sent at owner's risk. Broadcasting • Telecasting expressly repudiates any liability or responsibility for their custody or return.
### RADIO
#### Help Wanted
**Sales**
- South Florida. Radio salesman. Give resume. $100.00 against 15%. Box 750A, B-T.
- Time salesman. Salary plus commission. Good market. ABC Texas station. Box 819A, B-T.
- Young college man needed in St. Louis by top firm. Must have many outstanding radio stations. Send information on family status, education, job and sales record, salary required, and snapshot. Box 714A, B-T.
- Assistant salesman with salesmanager opportunity wanted. Central Illinois network station, city over 100,000. Send full information to Box 783A, B-T.
- Salesman, experienced, able to do some announcing. Excellent market. $100.00 weekly plus guaranteed. Tell your complete story. Box 786A, B-T.
- Top rated station in Arizona's second largest market. Opening for time salesman. Send resume to Box 951, Tucson, Arizona.
- Black Hills beckoning. Sales opportunity in open market. Grow with the growing west. Will accept experienced man willing to break in. Send all particulars to Roy Marsh, KASL, Newcastle, Wyoming.
- Minnesota station needs salesman-announcer. Good salary plus commission. KTOE, Mankato, Minn.
- Wanted, radio salesman for WLCR, Torrington, Conn. New management with new ideas. Would like competent salesman.
- Experienced top salesman for permanent position in progressive station with tremendous potential. Send full details to Bob Crager, WWCO, Waterbury, Connecticut.
#### Announcers
- South Florida. Sell radio fulltime. Do one hour airwork. Experience necessary for announcing. Send tape, resume. $100.00 against 15%. Box 369A, B-T.
- Opportunity! A young personality to grow with a leading mid-west independent. Must have first phone license and tape and resume (returned) to Box 856A, B-T.
- Illinois kilowatt independent wants announcer with several years general staff experience and proved news writing ability. Liberal pay, many fringe benefits. Personal interview desired. Life, age, education, experience in detail. Box 604A, B-T.
- Desire football announcer plus staff duties. Tell all. Texas station. Box 813A, B-T.
- Polisher. DJ wanted—Hard-fire delivery at a spotless pace. Great personal linger. Rhythmic intros to records. Wanted by midwest station. $160 a week. Box 869A, B-T.
- DJ, with local news-gathering experience. Give full details about yourself, including expected compensation. Box 686A, B-T.
- Experienced announcer. Voice quality must be good. Opening for morning man and topflight all-around announcer. Send tape, photo, resume, and references. Box 892A, B-T.
- Pennsylvania independent wants announcer with commercial experience. Must have good voice and run control board. Familiar with western and pop music. $75. Box 724A, B-T.
- 1st phone combo man, good maintenance, able to write copy. Top salary, wonderful living conditions in beautiful midwest lake area. Box 742A, B-T.
- Experienced negro announcer-engineer combo, with first class ticket, wanted by leading negro programmed station in metropolitan area. Send tape and resume to Box 743A, B-T.
- Combination announcer and salesman. Well established station. ABC affiliate, and live wire. A good deal for the right man. Tell all in first letter. Box 750A, B-T.
### RADIO
#### Help Wanted—(Cont'd)
**Announcers**
- Florida independent needs top morning man-salesman. Top income for real pro. Complete information. Box 782A, B-T.
- Staff announcer able to do play-by-play sports on fulltime network station. Permanent at good pay. Send full information. Box 785A, B-T.
- Announcer for pop and country western who can double as copywriter. Box 795A, B-T.
- Experienced announcer. Young, ambitious man who wants permanent position now. Future Chain operates several stations in Pennsylvania. Play-by-play experience an advantage. Can edit. Other qualifications, good tape, rates. Only experienced men need apply. Send tape, resume and photo. Box 810A, B-T.
- 1000 watt midwest independent urgently needs good or potentially good combo man with 1st class license. Send tape and resume. Box 815A, B-T.
- DJ for pop music-news station. Possible sales, good pay, opportunities good. KLEX, Box 358, Lexington, Missouri.
- Announcer-salesman with promotional ability. Some experience required. Write KLFT, Golden Meadow, Louisiana.
- Need immediately, ambitious announcer, preferably first ticket. Above average pay. World's best fishing, hunting, working conditions. Paying commission on sales. Runs for mail tape. snapshots KPRK, Livingston, Montana.
- Bright, breezy DJ needed for Beaumont's top station. Contact Manager, KRIC, Beaumont, Texas.
- Experienced announcer, KSYL, Alexandria, La.
- Experienced DJ familiar with music, news, sports format. Send tape, resume, references to KWQW, Pomona, Calif.
- Good, versatile announcer needed for eastern Carolina station doing fulltime FM. Must be experienced. Send tape and resume to Lee Hodges, WCPS, Tarboro, N. C.
- Wanted immediately, engineer announcer for one kilowatt station. Must have first class phone license. Heated apartment furnished on premises. WJWG, Conway, N. H.
- Need experienced announcer for local Virginia station. Send tape and resume first letter. WLPM, Suffolk, Va.
- Florida announcer—Immediate opening. Experienced. Will pay for right man. Friendly sea-side community. Rush tape, resume, etc. WNQG, Naples, Florida.
- Substantial salary and substantial position for experienced announcer. WPDX, Clarksburg, West Virginia.
- Announcer with or without first phone license. WSYB, Rutland, Vermont.
- Girls, girls, girls for all girl station in glamorous Florida market. Announcers who can double in sales, copy and office work. Send complete background tapes and pictures. Tom Carr, Box 407, Ponte Vedra Beach, Florida.
### Technical
- Florida's first wants combo man immediately. First ticket, excellent opportunity, top company if ambitious. Investigate. Box 821A, B-T.
- Chief engineer needed immediately for am. and tv. Permanency and future salary increases. Box 701A, B-T.
- 1st class engineer with announcing ability for progressive Mutual in east North Carolina. All-inclusive data, including references, starting salary requirements, date available. Box 728A, B-T.
- Engineer needed for North Carolina kilowatt remote controlled. Maintenance ability. Car necessary. Box 736A, B-T.
- Chief engineer-announcer, limited announcing. Must be strong on maintenance since you're the only engineer. Early morning shift done by noon. Six days. $185 to start with guarantee of $233. Box 754A, B-T.
- Control board operator. No announcing. Established progressive 250 watt Illinois station. Union scale. Box 772A, B-T.
- Chief engineer am. fm. maintenance, construction, personal interview. Box 797A, B-T.
- Negro engineer, Carolinas station. Fifty-five dollars. 40 hours. Box 801A, B-T.
- Wanted engineer, announcer, combo man, heavy on engineering, for north central United States. Salary $100.00 per week. Must be reliable and have good reference. Write Box 817A, B-T.
- Engineer with first class license for full-time station in New Jersey. Strong on maintenance, no announcing. $100-plus-per-week depending on experience. Other benefits. Box 824A, B-T.
- Need transmitter engineer with first class ticket. $1.60 per hour, 40 hours a week, no maintenance, no announcing. Plus two weeks vacation. Preference to handicapped person. Phone collect, 1410, Taylorville, Illinois.
- Opening for chief engineer-announcer, ideal mountain climate, working conditions, starting salary $80.00 weekly plus overtime. Low living costs in single station market. Call collect if interested. Lloyd Hawkins, KRIN, Raton, New Mexico.
- Engineer with first class license, combo man that can announce or sell preferred. WDBL, Springfield, Tennessee.
- 1st class engineer, 40 hours a week, must have some experience in maintenance, contact WGSM, Huntington, N. Y.
### Production-Programming, Others
- Wanted: Continuity writer. Experienced. Position with established station. In business 26 years. Midwest. City 45,000 population. 50 miles from Milwaukee. State salary desired and experience. Box 824A, B-T.
- Newsman: Experienced only, to gather, write and broadcast local news for Pennsylvania station. Must be a good friend. No disc jockey. $65 to start. Box 872A, B-T.
- Live wire newsman. Background of reporting, editing, with forceful air presentation. Excellent opportunity at north central metropolitan am-tv station. Send tape, resume, and full details about previous experience, and advise salary expected. Confidential. Box 687A, B-T.
- Program director with experience to work in radio and television on Florida's west coast. Box 788A, B-T.
- Program director for Colorado station, medium sized market. Must be able to take care of all phases of programming including sports. Adequate salary, good air, reasonable goals. Staff may be available to hire. Salaries open. Personal interview absolutely essential. Give complete resume in first letter. Box 778A, B-T.
- Top newsman for expanding news staff on midwestern music-news operation. Should be forceful, able to type, and into a local news personality and with capability to editorialize. Issues arise. Send photo, tape and salary required at once. Box 819A, B-T.
RADIO
Help Wanted—(Cont’d)
Production-Programming, Others
Experienced newman with copywriting ability. Ideal resort area. Send tape and resume to KBSH, Hot Springs, Arkansas.
In three years we have moved into the number 1 spot in a highly competitive market. We are a fulltime independent radio station and very much alive. Now we need a sales couple to help us keep that number 1 spot. Must be able to do everything, new music, sports, news, etc. We have a fine library, offer the right mix, and a share of the profit plan too. Many other benefits. If you want a good long lasting job call a good radio man at WJZ, Val Carter, WDOT or phone UN 2-5776, Burlington, Vermont. Prove yourself and become PD on an alert operation.
British Broadcasting Corporation requires a woman for promotional and research work, preferably with radio news room or newspaper background. Write stating salary required to B.B.C., 630 Fifth Avenue, New York 23.
RADIO
Situations Wanted
Management
General manager-salesman: Experienced, married, top references, permanent. BA Degree. Box 685A, B-T.
Commercial manager-salesman experienced indie and network operation. College degree in advertising; married and a proven record of success in sales. Box 762A, B-T.
Manager, 10 years experience all phases. Prefer indie operation to lease or manage. midwest west. Want clean operation that needs to make money. Married, college grad, top notch public relations and sales. Several thousand 45's and L.P.'s go too. Box 770A, B-T.
Are you fed up with incompetence, screwing gimmicks and experimenting with your money? I really have experience in medium markets know what to do to get solid results. Hard working, no charlatans. Prefer one station market. 10,000 or more. If interested, address manager Box 773A, B-T.
Sales
Prominent radio-tv personality, with own highly successful sales organization and established agency contacts, now able to represent limited number of quality stations or groups. Box 312A, B-T.
Announcers
Announcer, short on experience, long on ambition. Strong music. Basie to Beethoven. News, commercials, write continuity, can operate board. Box 107A, B-T.
Announcer, young, ambitious, employed. Seeking job with future. Will relocate. Box 697A, B-T.
Good announcer, trapped in juke box with tape, wants out. Big city, 5-day week only. Top newman, first ticket. Midwest now, will go long way for good music station. Box 698A, B-T.
Sports announcer-veteran, married, college degree-one year experience, very strong on play-by-play. Box 733A, B-T.
Announcer-veteran, married, college degree—one year experience, strong on sports and news. Experienced in newswriting and copywriting. Box 734A, B-T.
Major market announcer, family, five years experience, some tv, employed 100 watt independent. Interested commercial tv or good radio deal. Box 745A, B-T.
Radio stations throughout the country are rapidly converting to "combo operations." Keep pace with the trend—protect your security—get your first class F.C.C. license without delay. Put yourself on the preferred list for better, higher-paid positions. A first class F.C.C. license gives you the advantage over otherwise equally qualified applicants. We have trained thousands and can prepare you, too, for a first class F.C.C. license in a minimum of time. Our 32 page booklet, Opportunities in Electronics, explains how you can prepare for this all-important license quickly, through home study or in resident classes. This booklet is free. Write for it today.
Our Guarantee
If you should fail the FCC exam after taking our course, we guarantee to give you additional training at NO ADDITIONAL COST.
FCC-Type Exams
FCC-type tests are used throughout the curriculum. Constant practice with these FCC-type tests helps you prepare for the actual FCC examination.
MAIL COUPON TO SCHOOL NEAREST YOU
GRANTHAM SCHOOLS, Dept. 12-V
821 19th St., N.W., Washington 6, D. C. OR 1505 N. Western Ave., Hollywood 27, Calif.
Please send me your free booklet, telling how I can get my FIRST CLASS FCC license quickly. I understand there is no obligation and no salesman will call.
Name__________________________________________
Address_________________________________________
City_______________________State_______________
I am interested in: □ Home Study □ Resident Classes
Page 104 • August 12, 1957
**RADIO**
**Situations Wanted—(Cont’d)**
**Announcers**
Announcer—recent SRT graduate. Need experience, appreciates offers. Vet, 27, white, single, will travel. Dick Downing, 201 Walnut St., Athens, Pa. Phone TU 2-9152.
Professional announcer available immediately. Five years experience news, sports dj (can sell). Desires permanency. College graduate, 31, family. Excellent references. Fritz Van Duyse, 642 North Ninth Avenue, Sturgeon Bay, Wisconsin. Phone 846.
Looking for a recent broadcasting school graduate who can produce? Then write Parker Gronwold, 1338 Marengo Ave., Forest Park, Illinois.
100 miles radius New York. 4½ months experience, work hard. Gene Tully, Box 122, Manasquan, N. J.. Castle 3-1540.
**Technical**
Studio transmitter engineer-maintenance, two years experience, seeking position with vhf station on east coast. Box 187A, B-T.
Chief engineer, eastern states, experienced am, fm, directional, construction. Best references including present employer. Lyle Lincoln, 113 Wilson, Harve de Grace, Maryland. Phone 749-J.
First phone operator with 4 years in radio and tv. Last two years at tv transmitter. Also some studio and major experience. $75.00 per week minimum. Ben Louie, P. O. Box 78, Cloverdale, Indiana.
**Production-Programming, Others**
6½ years, radio-tv. All phases. Play-by-play, news, dj. Presently employed as afternoon dj in one of the top 5 major markets looking to move up to PD or program executive capable of investing, if right. Young, aggressive. Will do air work. Tape, and resume on request. Box 693A, B-T.
Traffic-billing two years experience small station operation. Gal Friday, single, prefer midwest or west. Available September 1st. References. Box 694A, B-T.
Outstanding newsman wants job preferably southwest, California, Colorado or Blue Ridge. No union man. Long experience, finest references. Now averaging 60 local stories daily. Available September. Personal interview preferred, Box 751A, B-T.
Director Two years experience. "Can give high quality production. Have a good knack how to handle local commercial spots with variety and care, a very good imagination with the ability to put it to good use." Box 804A, B-T.
Girl Friday, copywriter, creative imagination and high IQ; experience in business world previous to radio. Box 813A, B-T.
**TELEVISION**
**Help Wanted**
**Management**
Commercial manager for vhf station in important Texas market. Box 775A, B-T.
Do you want to live in California? Office manager needed for replacement of long time employee who has just married. Must have working knowledge of accounting, budgets, purchasing, personnel section and all phases of accounting as well as supervision of accounts and other office personnel. The right person could be a mature, responsible, accurate secretary with bookkeeping knowledge. Excellent opportunity for some desiring permanency, secure employment in central California. Excellent climate and working conditions. Write Manager, KSBW-TV, Box 1631, Salinas, California.
**TELEVISION**
**Help Wanted—(Cont’d)**
**Sales**
Energetic salesman who can produce for large Texas market vhf. Box 176A, B-T.
Need top flight experienced tv salesman for ABC affiliate, fast growing southwest market. Salary and commission open. write KELP-TV, Box 165, El Paso, Texas.
**Announcers**
Sportscaster; tv and radio, large midwestern market; rush tapes. S.O.F. resume; state salary expected. Contact: RO, Box 626, Fargo, N. Dak.
**Technical**
Wanted by midwest tv station, two transmitter and maintenance engineers. Starting salary higher than average for men with experience. Excellent living conditions. Resume and photo in first letter. Box 780A, B-T.
Expanding schedule needs first class engineer. Good salary based on experience. Paid vacations, insurance benefits. WDAY-TV, Fargo, N. D.
Video engineer for maintenance, educational tv. Must have two years station experience. Pay $5,200 annual contract plus school system five day week. Immediate vacancy. Phone collect: FR-1-6870, 1-4 PM, Herb Evans, Miami, Florida.
**Production-Programming, Others**
Television executive wants girl Friday with knowledge of business, office management, business shorthand and typing. Free to travel in or out of the United States and able to handle travel details, appointments etc. Apply Box 686A, B-T.
Newspaper owner, personalized vhf in good area, needs news director who knows news and is strong air personality. Please send photo and tape, and complete resume, expected starting salary to Box 740A, B-T.
Wanted immediately TV news-writers for top western Pennsylvania station. Also part-time news-film photographers in area. Box 791A, B-T.
**TELEVISION**
**Help Wanted—(Cont’d)**
**Programs-Production, Others**
Are you the experienced, inventive, personable, permanent young man we need in our television continuity department? Above average salary, best working conditions with a pioneer tv station. Address resume and snapshot to Continuity Director, WOC-TV, Davenport, Iowa.
**TELEVISION**
**Situations Wanted**
**Announcers**
Announcer—now doing radio and tv in major market. Desire tv only opportunity. Experienced Age 28, college graduate, highest character and professional references. Box 753A, B-T.
Television-radio-stage background outstanding "On camera". Sell excellent voice and appearance. Age 28. Stable. Box 794A, B-T.
**Production-Programming, Others**
Director-producer, 4 years experience all phases production, seven years radio-tv announcing. Undergrad degree. Creative, imaginative, creative, reliable. Relocate. Box 507A, B-T.
Assistant director-cameraman. Married, presently employed. Creative, imaginative. Desires more opportunity; personal interview. Box 759A, B-T.
Wanted, fulltime employment. Experienced sales artist, art department. Self designing, tv, mural backgrounds, book, theatrical one sheet work and lettering. Reference and picture on request. Box 765A, B-T.
Director employed. No more "button-puncher". Desires larger market. References. Box 783A, B-T.
Working tv newsman with guts, will travel 4 years radio-tv, three with top news net. Now west coast, years minimum, prefer radio-tv combine. Box 786A, B-T.
Wanted 12 years with mike and ike, news, promotion-production-programming. Box 796A, B-T.
---
**EXAMPLE—PRACTICAL TV TRAINING**
This is a typical example of the practicality of ALL Northwest training. These students are actually doing a live remote from a recent movie premiere.
All Northwest classes are trained using methods like these—letting students work in a practical manner with everyday Telecasting problems. For top TV people call John Birrel.
---
**NORTHWEST Television – Radio Division SCHOOLS**
HOME OFFICE:
1221 N. W. 21st Avenue
Portland, Oregon * CA 3-7246
HOLLYWOOD, CALIFORNIA
1440 North Highland
HD 4-7322
CHICAGO, ILLINOIS . . . .
140 N. Michigan Avenue
DE 7-4554
August 12, 1957 • Page 105
TELEVISION
Situations Wanted—(Cont’d)
Production-Programming, Others
Chief film editor, tv film experienced. Presently employed. desires permanent position with larger responsibilities. Box 547A, B-T.
Producer: 18 years in tv, 4 years in radio. Know all phases thoroughly, except engineering. Have references and proof of ability. Looking for a good future in either media. Will give your station material they can use, and audiences programs they can enjoy. Creative, reliable, want to work with people who would like to drive their competition crazy. Sounded in big and small markets. 35 years old—married—location no object if you’re doing great interviews at my expense. You’re going places, let’s exchange success stories. Box 816A, B-T.
FOR SALE
Stations
Central Ohio. 500 w daytimer in county seat city of 25,000. Station covers prosperous manufacturing-agriculture area of 100,000. Grossing at better than $60,000 rate. $25,000 payment will handle this property. Box 820A, B-T.
Carolina daytime, profitable, includes land and building $65,000. Half down. Connecticut valley vicinity, monopoly market. $70,000 total price. 29,000 watt AM, 100% signal. $10,000 down, $25,500 total price, $12,000 financed. Paul H. Chapman Company, 17 East 48th Street, New York 17, N. Y. or 84 Peachtree, Atlanta 3, Georgia.
Private, conservative service to qualified principals only. Ralph Erwin, Broker, 1443 South Trenton, Tulsa.
Norman & Norman, Inc., 510 Security Bldg., Davenport, Iowa. Sales, purchases, appraisals, handled with care and discretion. Experienced. Former radio and television owners and operators.
Write now for our free bulletin of outstanding radio and tv buys throughout the United States. Jack L. Stoll & Associates, 6381 Hollywood Blvd., Los Angeles, Calif.
Equipment
1—250 watt Collins transmitter 10 years old in first class condition only $1,000.00. 1 complete emergency power unit first class condition only $500.00. Box 977A, B-T.
Texas radio station will sell 60 watt vhf mobile news unit, including station transmitter and receiver, and mobile unit in 1956 station wagon. Will sell with original owner’s car. Best offer takes it. Reply to Box 771A, B-T.
Western programs — ¼ hour transcribed open-end musical programs, Riders Purple Sage, etc. 400 programs, 25¢ a program. WAND, Canton, Ohio.
Standard transcription library, 75% never used. Will sell for ½ of cost. WAYE, Baltimore 1, Maryland.
Attention prospective microwave licensees, available immediately three 8x2 line passive reflectors less than one year like new condition. Available at a very reasonable cost. For information write to WDAM-TV, Box 1649, Hattiesburg, Mississippi.
General Radio type 5A frequency monitor, completely reconditioned by the General Radio Company. Write or call WSTC, Stamford, Conn.
WANTED TO BUY
Wanted — station break jingles at low cost. Also singing commercials, “skit” commercials individually prepared for local sponsors. WAND, Canton, Ohio.
Stations
Wisconsin-Minnesota station wanted. Consider partial ownership. Fourteen years experience. Confidential. Other midwesterners considered. Box 774A, B-T.
Principal interested in medium size station in good market, need not show huge net. Prefer eastern seaboard. Write in strict confidence. Box 783A, B-T.
RADIO
Help Wanted—(Cont’d)
Programming-Production, Others
TOP JOB FOR A TOP Program Director
The man we want is a successful program director who wants to grow.
We’ll pay this man well and build him into an Operations Manager in our organization.
Commercial music and programming knowledge is a must.
Call Harvey Hudson, General Manager WLEE Richmond, Va. 88-2835
RADIO
Situations Wanted
Production-Programming, Others
Attention Station Owners
Increase your monthly billing 25% — 50% — 100%
by
New effective programming with
Soft, but Solid Salesmanship
No Gimmicks, No Hi Pressure.
Box 823A, B-T
TELEVISION
Help Wanted
Management
DO YOU WANT TO LIVE IN CALIFORNIA
Office manager needed for replacement of long time employee who has just married. Must have working knowledge of accounting, budgets, purchasing, personnel selection and all phases of accounting as well as supervision of accounting and other office personnel. The right person could be a mature, responsible executive secretary with bookkeeping knowledge. Excellent opportunity for some desiring permanent, secure employment in central California. Excellent climate and working conditions. Write Manager, KSBW-TV, Box 1651, Salinas, Calif.
Announcer
TV ANNOUNCER
Have immediate opening for top-flight television announcer in Alabama's largest market. Must be experienced. Please forward recent photo and tape to M. D. Smith, c/o WBRC-TV, Birmingham 9, Alabama.
BROADCASTING • TELECASTING
TELEVISION
Help Wanted—(Cont’d)
Sales
TV SALES
Exceptional opportunity for experienced television salesman with large Eastern VHF operation. Incentive plan. Write or wire, giving brief resume and educational background.
BOX 808A, B*T
FOR SALE
Equipment
1 Complete DuMont Cinecon with dual light sources 2 projectors, 2 automatic slides and dual opaque.
$20,000.00
1 GPD Live Cam Chain with following lense compliment:
2", 4", 6" @ F1.9 and 12" & 24" @ F 3.8 complete with tripod, dolly and pan head
$6,000.00
1 GPL Varifocal Lense
$5,000.00
Prices quoted above FOB Portland. Contact Gene Phelps, Chief Engineer, Station KPTV, 735 S. W. 20th Place, Portland, Oregon. Phone Capitol 2-9921.
FOR SALE
Two second hand guyed Stainless, Inc. AM towers.
One Truscon self-supporting AM tower.
ACE-HIGH TOWER COMPANY
BOX 55, GREENVILLE, S. C.
FOR SALE
Equipment
TAPE RECORDERS
All Professional Makes
New—Used—Trades
Supplies—Parts—Accessories
STEFFEN ELECTRO ART CO.
4405 W. North Avenue
Milwaukee, Wis.
Hilltop 4-3715
America's Tape Recorder Specialists
FOR SALE
RCA TF-5A 5 bay antenna for channels 4, 5 or 6. 800' of 3/16" transmission line. 350' self supporting tower. Any and all available 9/1/57 when we switch to 1300' tower. Will sell at low price as we have no further use for this equipment. Contact: J. B. Fuqua, Pres., WJBF-TV Augusta, Georgia.
FOR SALE
Equipment
KXOL-TV and KHPL-TV Kearney and Hayes Center, Neb.—Petition requesting amendment of Sec. 3.300 by adding ch. 31 to make it so as to add ch. 3 (nonoffset) to Sterling, Colo. and delete the same from Cheyenne, Wyo. In the event that is not made, the KXOL-TV petitioned this date for reconsideration of the memorandum opinion and order of July 1, 1957, pertaining to the above rule making notice. The proposed rule making also include deletion of ch. 3 from Ainsworth, Neb. and the substitution of ch. 31 for ch. 31 in Mullen, Neb.
The FCC granted a petition by Jefferson County Bests. Co., Pine Bluff, Ark., and enlarged issues concerning change of location for new station and that of Kermit F. Tracy, Fordyce, Ark., to determine: (1) whether latter application was made in good faith; and (2) availability of Tracy's proposed trans. site.
The FCC granted petition by Noble-De-Kan Broadcasting Co., Topeka, Kans., and granted its application to change operation of WKTL, Kenosha, Ind. (1570 kc. 250 w D) from directional to nondirectional, to include program service issues.
PETITIONS FOR RULE MAKING DENIED
I. K. Corkern Jr., State Telecasting Co. Gulfport, Miss.—Petition requesting amendment of Sec. 3.600(b) by instituting rule making so as to make ch. 13 in Biloxi, Miss., available for use on a noncommercial educational broadcast station and ch. 44 available for commercial broadcast use.
NARBA
List of changes, proposed changes and corrections in assignments of Mexican broadcasting stations, modifying the appendix containing assignments of Mexican broadcast stations (Mimeograph #7214-8) attached to the recommendations of the North American Regional Broadcasting Agreement engineering meeting Jan. 30, 1941.
Mexican List No. 203
March 12, 1957
430 kc
XETK Mazatlan, Sinaloa—1 kw D. 250 w N. Uni. Class IV. 9-20-57 (change in frequency).
810 kc
XERI Reynosa, Tamaulipas—250 w D. Class II. 8-20-57 (change call letters from XERU).
1210 kc
XERU Chihuahua, Chihuahua—1 kw. D. Class III. 6-20-57 (change call letters from XEKV).
1390 kc
XETK Mazatlan, Sinaloa—1 kw D. 0.5 kw N. Uni. Class IV. 9-20-57 (delete assignment—vide 639 kc).
1420 kc
Chihuahua, Chihuahua—5000 w D. 500 w N. Uni. Class III. 12-20-57.
Notification of new Cuban radio stations and of changes in assignments of Cuban broadcasting stations in accordance with Part III, Section B of the North American Regional Broadcasting Agreement, Washington, D. C., 1950.
Cuban Change List No. 1
June 21, 1957
800 kc
CMJS Ciego de Avila, Camaguey—1 kw ND. Uni. Class II.
1220 kc
CMDP Victoria de las Tunas, Oriente—250 w ND. Uni. Class IV.
COMMISSION INSTRUCTIONS
The FCC on Aug. 6 directed preparation of documents seeking leave during petition by KIVA-TV (ch. 11), Yuma, Ariz., for rehearing opinion and order to Commission's memorandum opinion and order of Oct. 11, 1954, stating Wally's perception as preliminary filing and giving notice that the initial decision of Aug. 6 confirmed the Commission's order of June 19, 1954, to Wrather-Alvarez Bstng. Inc., for new tv (KYAT [TV]) to operate on ch. 13 in Yuma, became effective Sept. 17.
Routine Roundup
BROADCAST ACTIONS
BY THE COMMISSION
WCFM Cumberland, R. I.—Granted change of operation from 1680 kc. 250 w. uni to 1280 kc. 1 kw D.
KACO Andrews, Tex.—Granted change of operation on 1000 kc from 500 w. D to 1 kw D.
KOKY Little Rock, Ark.—Granted change of operation on 1000 kc from 1 kw D to 5 kw D: later remote control.
WWTB Tampa, Fla.—Granted change of operation on 1300 kc from 1 kw DA-D to 5 kw DA-D.
WCAS Gadsden, Ala.—Granted change of operation on 570 kc from 1 kw D to 5 kw D.
KATZ St. Louis, Mo.—Granted mod. of cp
FOR THE RECORD CONTINUED
(1800 kc, 5 kw unl.) to change from DA-2 to DA-3.
WJCT Sebring, Fla.—Granted change of operation on 960 kc from 500 w D to 1 kw D.
BROADCAST ACTIONS
By the Broadcast Bureau
Actions of August 2
WKEN Dover, Del.—Granted license for am station.
WJUS Russellville, Ky.—Granted license covering change in facilities and ant. system.
WDEH Sweetwater, Tenn.—Granted license covering increase of power to 1 kw; conditions: WDEH, 1-1-57.
WJZC Chicago, Ill.—Granted license covering change in facilities and change type trans.
KWFM-FM West Plains, Mo.—Granted license covering changes in fm station.
WFAN (FM) Washington, D. C.—Granted license covering changes in fm station; ERP 9.4 kw., ant. 320 ft.
WHLM-FM Bloomsburg, Pa.—Granted license for fm.
KMBG (FM) Pasadena, Calif.—Granted license for fm.
WXPN (FM) Philadelphia, Pa.—Granted license for fm.
WPST-TV Miami, Fla.—Granted mod. of cp to make changes in ant. system and ant. height, ant. height 350 ft.
KWFM-FM Globe, Ariz.—Granted extension of completion date to Sept. 30.
KDIO Ridgecrest, Calif.—Granted extension of completion date to Dec. 11.
KGAB Lakeview, Ore.—Granted extension of special temporary authority to sign-off at 7:00 p.m. due to economic conditions.
KRUN Ballinger, Tex.—Granted extension of permission to sign-off at 7:00 p.m. (local time) daily except during special events, for an additional period ending midnight Nov. 30, 1957, to allow time for preparation and filing of a formal application for specified hours.
Actions of August 1
KWVL-TV Waterloo, Iowa—Granted mod. of license to change studio location.
WILK-TV Wilkes-Barre, Pa.—Granted cp to change ERP to vis. 591.25 kw, aur. 585.75 kw, ant. height 1500 ft, change ant. system and ant. and make other equipment changes.
KATT Pittsburg, Kan.—Granted extension of completion date to Aug. 21.
Actions of July 30
Granted licenses for the following am stations: WJZC Chicago, Ill., to 1-1-57; KDQO Athens, Ga.; WNYS Salamanca, N. Y.; KSTR Grand Junction, Colo.; WTHR Panama City Beach, Fla.; KHFI Sierra Vista, Ariz.
Actions of July 29
WWLP (TV) Springfield, Mass.—Granted mod. of cp to change ERP to vis. 219 kw, aur. 197 kw, ant. 750 ft., make changes in ant. system and other equipment.
KHOT-TV Rochester, Milan—Granted mod. of cp to change ERP to vis. 240 kw, aur. 136 kw, change type of trans. and make other equipment changes.
KFKE Bellevue, Wash.—Granted mod. of cp to change ant.-trans. location.
WITT Lewisburg, Pa.—Granted mod. of cp to change ant.-trans. location to East Buffalo Township, Pa., and change type trans.
The following were granted extension of completion dates as shown: KUED Salt Lake City, Utah, to 2-12-58; WHYS Ocala, Fla., to 12-31-57; WAJR Morgantown, W. Va., to 12-31-57; condition: WNIC Binghamton, N. Y., to 12-31-57; WJMG Fort Wayne, Ind., to 11-10-57; WHYL Carlisle, Pa., to 12-31-57; WAGE Leesburg, Va., to 12-31-57; WOUB Athens, Ohio, to 9-14-57; WBHB Fitzgerald, Ga., to 1-1-58; WDMG Douglas, Ga., to 10-15-57.
AWARDS
FRED BERTHELSON, general manager of WTIX New Orleans, accepts an Americanism plaque from American Legionnaires, marking Storz Stations' New Orleans facility as the first station to receive the local post's award. Representing Gentilly Post 203 of the legion are (l to r) Harold Dittmann, Post Commander Eddie Grimsall and Festus J. Brown, chairman of the First District Americanism Committee of the American Legion. The award recognized WTIX's contribution in carrying a 15-minute weekly legion show and publicizing legion services.
Air Group Honors Mickelson
SIG MICKELSON, CBS vice president in charge of news and public affairs, was honored guest at the Air Force Assn.'s annual convention in Washington Aug. 2, where he received an AFA award for CBS-TV's 26-part Air Power documentary series. Mr. Mickelson accepted the award on behalf of CBS public affairs producer Perry Wolff, now in Europe on a one-year sabbatical leave, and for CBS for "great public service rendered in presenting a penetrating analysis of the growth of American airpower during the last fifty years." Air Power was sponsored by Prudential Insurance Co.
AWARD SHORTS
Paul Coates, KTTV (TV) Los Angeles personality and host of Confidential File, received award from Board Supervisors in recognition of his "valued contributions to the varied agencies of the county government."
Bob Siegrist, commentator, commended in resolution adopted by Illinois Dept., American Legion, for current series involving alleged "exposure" of certain "policy planners" in U. S. State Dept. Mr. Siegrist's series is heard on WLS Chicago, Mon.-Fri., 6:45-7 p.m. CDT.
KYW-TV Cleveland, Ohio, received award from Cleveland Museum of Natural History for its Jungle series and its contribution to "a better understanding of animal behavior in their natural habitat."
WAFB-TV Baton Rouge, La., received award from local Advertising Club for Dateline Baton Rouge, which was chosen "best community service advertising program."
Philco Contests to Promote Its Sponsorship of 'Miss America'
In connection with its sponsorship of the Miss America Pageant on CBS-TV Sept. 7, the Philco Corp., Philadelphia, is going to hold a "Guess Who Will Be Miss America" contest. The company reports that plans include the participation of more than 1,500 dealers throughout the country. The contest is scheduled to run from Aug. 19-Sept. 6.
The dealers will feature pictures of all the contestants in this year's pageant and the public will be invited to guess who will win the title, as well as the first and second runners-up. They also will be asked to tell in 25 words why they would like to own a "Miss America" television set. Each dealer will hold his own contest and will award five individual prizes: a Philco transistor radio as first prize and four official "Miss America" dolls.
Window displays will be used to inform viewers about the telecast and will name the channel and time it can be seen locally. Philco also will sponsor a contest for all CBS stations. Prizes will be awarded to four stations for the best local promotions of the telecast. The stations will be divided into large and small categories and two stations from each group will receive television prizes for their outstanding promotions of the show. "Big City" winners will be given Philco "Miss America" 24-inch consoles and "Small City" winners will receive "Miss America" 21-inch consoles.
KTIV (TV) Adds Summer Audience
Up to 500 people a night, both children and adults, are reportedly watching cartoon films lent to the Sioux City Parks & Recreation Department by KTIV (TV) Sioux City. Two projectors are kept busy five nights a week at the city's 20 playgrounds. The films will be shown throughout seven weeks of the summer season.
Offer Foreign Programs to U.S.
Foreign produced programs, such as BBC drama and music series and Austrian-made Salzburg music festivals, are being offered to U.S. stations by the Broadcasting Foundation of America, New York, as part of its "International Conversation" project of program exchange.
Other programs and series are being offered by the non-profit foundation from France, Italy, India, Greece, Turkey, Korea, Japan, Israel and Norway. A small service charge is involved. Stations will receive the programs on an exclusive basis in their respective markets but will be expected to carry them on a continuing basis.
WRCA-TV 'Delinquency Report'
WRCA-TV New York cancelled its regular programming Aug. 4 when several major crimes erupted in New York involving juveniles and substituted a program titled Special Report on Juvenile Delinquency (1-1:15 p.m.). Gabe Pressman, WRCA-AM-TV newscaster, interviewed Walter Arm, director of community relations for the New York Police Dept., and gained from Mr. Arm the admission that the Police Dept. is "virtually helpless" in fighting juvenile delinquency. This comment was spotlighted in many New York newspapers the next day, some using the information revealed on the program for front page articles.
KJOY Stockton Sponsors $25,000 Treasure Hunt
To promote its $25,000 treasure hunt last month, KJOY Stockton, Calif., broadcast clues every hour from 7 a.m. until 9:30 p.m. The prize, a check made payable to the finder, had dwindled to $500 when it was found because it hadn't been discovered within 10 days after the contest started.
The station reports that the California Hiway Patrol estimated at one point that 5,000 persons were in the area at the same time and that 2,500 cars were counted within one hour.
The Stockton Record carried a story of the treasure hunt and reported that local farmers complained because the "hunters" were destroying their property and picking their fruit crops. Local police were called upon by the residents to keep the treasure seekers off their property. One farmer was quoted as saying that people had climbed his fruit trees and that some had set fire to grass in a lot. Other residents reportedly complained because cars were parked throughout their orchards.
First Aid Kit for Timebuyers
A FIRST aid kit for TV timebuyers is being distributed by KTVX (TV) Tulsa with a brochure giving its fall lineup. Among the things to be found in the kit are Alka Seltzers "for interior pains—to alleviate sorrows of mornings after, pre-emptions and slow confirmations"; Nytol tablets "to overcome the insomniac effect of impending deadlines, unanswered mail and nasty news from the boss"; a spare fingernail "to be chewed when your own are ground to the elbow," and a Dr. Scholl's corn pad to "cushion painful corns commonly resulting...
KMYR Denver sales staff and executives set a fashion trend, reports Ken Hildebrandt, KMYR general manager, by wearing Bermuda shorts on these summer days. Left to right: Lucian Long, Tom White, Wally Baehler, Mr. Hildebrandt, Len Kehl (sales manager) and George Myers.
from playing footsie with reluctant clients." The "sure cure" for all ailments of the timebuyers, says the promotion piece, is the complete KTVX fall program schedule which is included for "painless timebuying, without unpleasant after effects, to be used liberally and generally."
DJs Stage Stock Car Race
TWO WBZ-WBZA Boston-Springfield disc jockeys challenged each other to a stock car race this month at the local Norwood Arena and the stations report a record attendance of 15,000. The two men, Norm Prescott and Alan Dary, were insured for $500,000 each by the American Life Casualty Co. They raced five laps around the track with Mr. Prescott being declared the winner.
WBRZ (TV) Artist Covers Trial
WHEN newspaper and television cameramen were banned from covering the trial of two teenagers accused of murder, WBRZ (TV) Baton Rouge, La., came up with a solution to the problem. The station's staff artist, Paul Gentile, was assigned to make drawings of the trial and they were used on WBRZ's Your Esso Reporter. Mr. Gentile drew sketches of the general courtroom scene and of the people playing major parts in the trial. The drawings also were used on the front page of the local Sunday paper, the Morning Advocate.
WMIL Holds Grand Opening
WMIL Milwaukee conducted a grand opening tour of its new building for public officials, agency, radio and press representatives last month and reports that over 200 guests attended. The tour was conducted during broadcast hours and the visitors later were entertained on the parking area to the rear of the building. A tent enclosure which covered a buffet service and refreshments, a barbecue grill, portable dance floor and orchestra were set up in the parking lot for the special occasion.
Governor Records Safety Spots
CONNECTICUT Gov. Abraham A. Ribicoff recorded a series of highway safety spots, as part of an anti-speeding drive. The spots began July 25 on WRDC Hartford and will be offered to other Connecticut stations.
WSAZ Offers Reward
A REWARD of $500 was offered by WSAZ Huntington, W. Va., for information leading to the arrest and conviction of persons responsible for an attempt on the life of Huntington's mayor. Lawrence H. Rogers II, president and general manager of WSAZ Inc., made the announcement offering the cash reward over the station's Turnabout program.
WAKE Expands Public Service
BARTELL Group station WAKE Atlanta is expanding its public service by closing each of its 48 daily newscasts with a single sentence salute to a different public service organization weekly. "This is in addition to our hundreds of specially scheduled announcements each week," said Morton J. Wagner, group executive vice president-general manager.
WJAR-TV Campaigns For SPCA Funds
WJAR-TV Providence joined forces with the Providence Dept. of Recreation in a fund-raising drive for the Rhode Island Society for the Prevention of Cruelty to Animals, as part of WJAR-TV's "Community Service Plan." The campaign featured on-the-air spots from the city's 40 playgrounds, with children making individual appeals for contributions.
Cincinnati's Most Powerful Independent Radio Station
50,000 watts of SALES POWER
WCKY
On the Air everywhere 24 hours a day—seven days a week
THOMAS F. O'NEIL, board chairman of RKO Teleradio Pictures, has been decorated by Lt. Gen. William E. Hall, commander of the Continental Air Command, with the Air Force's highest civilian honor, the Exceptional Service Award. The citation recognizes nearly $2 million worth of radio time "patriotically donated" on MBS facilities for AF recruitment and public service campaigns. Mr. O'Neil's firm relinquished control of the network last week, as new owners took over its management [B+T, Aug. 5].
Some British Tv Ads Objectionable—Gaunt
BRITISH restrictions on commercial television, particularly insistence that the advertising and entertainment portions of the telecast be completely divorced, have led to advertising practices that would be considered objectionable by both advertiser and public in this country, according to John Gaunt, radio-tv vice president of the Los Angeles office of Grant Advertising Inc.
Just returned from a short visit to the agency's London office to brief the staff on American techniques of tv commercial production, Mr. Gaunt said that in England advertisers are unable to sponsor programs but must confine their tv advertising to spots of 1-minute, 30-second or 15-second duration, broadcast in bunches of five or six between programs or at breaks during the program.
"So many spots, with no connection either with the program or each other, make it difficult for the advertiser to make a very strong or a very lasting impression on the viewers at home," Mr. Gaunt said. "The producer, under those circumstances does his best to create an attention-getting gimmick for his commercial. The result is a lot of screaming on the audio side and a lot of animated cartoon commercials on the video.
"Of course, it's hardly fair to compare what the English advertisers and agencies are doing after less than two years of commercial tv experience with the situation in the U. S., where we've had 10 years or more to learn what to do and what not to do. It would be fairer to compare British commercial tv with the way it was here in, say, 1947 or 1948. When you recall some of the things we did then, what they're doing now doesn't seem too bad."
Not only the agencies but the film producers are finding difficulties in turning out tv commercials, Mr. Gaunt commented. "They haven't learned yet how to work for the small tv screen—and in England the average set has a smaller screen than in the U. S. The low, mood lighting that is so effective in the British mystery movies all too often reduces the people in tv commercials to muddy blurs and then when the product is shown under bright lights the contrast is too much. However, their animation is as good as ours and they use a lot of it." Tv films are a problem for the film processors as well as for the producers he noted, with too many perfect projection prints that are too grainy for tv. And the lower technical standards, with 405 lines to the picture compared to the U. S. image of 525 lines, means that inherently the British tv picture has much less resolution and clarity than ours.
Experience will correct most of the faults there as they have here, Mr. Gaunt predicted, and the process will be expedited by an exchange of personnel between the American and British offices of advertising agencies which is rapidly becoming standard procedure, he said. He also believes that the technical picture standards may be raised in the near future, probably to the European standard of 625 lines, provided that this can be done without too great expense to present set-owners.
On his recommendation, two of Grant's British accounts—Jensen & Nicholson (Robilac Colorizer paints) and Clayton's Orange Crush—have increased the length of their tv spots from 15 to 30 seconds, Mr. Gaunt reported. "Most British advertisers use the 15-second spots," he said, "but it seemed to me that the longer commercials would be more than twice as effective and that they could do a more effective job by providing greater impact, even at the sacrifice of frequency."
Swedes Reject Commercial Tv For Second Time in Two Years
THE Swedish government has turned down a proposal to introduce tv advertising on the Swedish Broadcasting Service, citing what legislators feel is the "obtrusive character" of television advertising, which "the Swedish people don't want," they say.
This is the second time commercial tv has been rejected by Sweden since a bill to set up a separate, free enterprise system was offered in 1956. This year's report proposed the alternative of integrating commercial shows into the government's regular sustaining schedule. This plan is in use in West Germany and Italy, and observers report it may be adopted by other countries.
Sweden's television service may operate at a deficit for eight to ten years as presently constituted, some experts fear. A $20 annual set license fee supports the tv system.
Schwerin Research Announces Expansion Plans in Europe
SCHWERIN RESEARCH Corp., New York, which tests tv commercials and programs, is expanding its overseas operation in London. Plans, subject to approval by the Bank of England, will place Schwerin on the continent of Europe to add to its servicing in England.
Schwerin Research Ltd., London, is two years old. Its managing director, Eric Boden, has been upgraded to director of European operations, and an executive to fill Mr. Boden's former post will be announced shortly. The London firm's board includes Horace A. Schwerin and Leonard Kudisch (respectively president and executive vice president of the U. S. firm), Mr. Boden and W. Robert Carr, a partner in E. F. Turner & Sons, solicitors.
INTERNATIONAL SHORTS
CHUM Toronto, has appointed Stephens & Towndrow Ltd., Toronto and Montreal.
CKMR Newcastle, N. B., appoints Radio Times Sales, Toronto.
ALL THAT HURRAH AND RAZZLE-DAZZLE WON'T GET YOUR TV MESSAGE ACROSS
THERE used to be a theatre in New York called the Hippodrome. It produced no ordinary attractions. Not this theatre. Everything was gigantic, stupendous, colossal. There were regiments of chorus girls. Battalions of elephants. Phalanxes of diving horses. Oceans of water in plate glass tanks with schools of shimmering mermaids that appeared and disappeared at the command of a stoogey Father Neptune, complete with beard and trident. Bands blared. Incense arose. Gongs boomed throughout the cavernous depths of the house.
Nobody knew what a Hippodrome show was all about at the time. Nor can anyone now remember, except that it was supposed to be gigantic, stupendous and colossal. It was a strutting, raucous, dowdy, brazen, overstuffed, undertrained combination of a Roman holiday, Barnum & Bailey circus and Mexican bullfight.
Diamond Jim Brady would have loved it, particularly the curtain. Because the curtain wasn't asbestos. It was live steam. And on it jetting misty vapors flashed myriad colors that clashed and screamed and thundered with their garish intensity. The idea was to make everything gargantuan, and thus coax dollars from the safety-pinned pockets of gawking yokels.
Fortunately the Hippodrome idea has passed from the theatre. But unfortunately it has entered the portals of television. And it's a damn shame!
Imagine a medium so personal, so human as to be the invited guest each day in countless homes where people sit to view. And you think you've got to dazzle them. Well, you're crazy. You think you've got to "hippodrome" your way across the hearthstones into human hearts. Well, you don't. You think that by flashing dollars you can finagle dialers, and thereby coins will be traded for your cans. Never! Well, hardly ever. You think that by scrambling a cornucopia of entertainment tops, you'll be tops in sales. Well, you're wrong.
Your competitor hires a theatre from which to broadcast third rate vaudeville. All right. You hire the Yale Bowl and clutter up the ether with first rate hoofers, plus a big band leader, plus a sister act, plus somebody bigger than Kate Smith, funnier than Red Skelton, with a couple of movie stars and an amateur act or two thrown in. God knows, such a program ought to steal the air. And if you stay, Cecil B. DeMille will probably be offering you his "12 Commandments" for a blackout.
Well, if you want to hippodrome, hop to it. But remember, nobody steals the air—nobody. And remember, there's nothing human about a hippodrome. And human beings make up your audience and your customers. Human beings who had to learn how to read, but who were born with the ability to see and hear. You don't have to stage a Florida hurricane, San Francisco earthquake and St. Mihiel bombardment to make them look or listen. Maybe these humans would even think more about your product if you weren't so noisy. And that's what you want them to think about—your product—isn't it? And people, though they may be dull, dumb, drab and dirty, don't dazzle worth a damn.
You go ahead and put the big acts on the big networks. I'll take my chances on pumping big ideas into Birmingham, Bellingham and Binghamton. And Boston, Biloxi, Butte, Bryn Mawr and Bridgeport. You take the high road of the Hippodrome. Dazzle 'em. Knock 'em cold. Then, with songs she used to sing and with drama he and she can fit into the simple patterns of their minds, I'll come along. And with these simple, hornly, unobtrusive things, I'll spin a halo of love and affection around my product that will last as long as life itself. Because it is life itself. See?
Raymond R. Morgan: b. Sept. 2, 1895, Knights Ferry, Calif. Sold Saturday Evening Post as boy "for inducement" and worked way through high school and U. of California selling Fords and Packards, respectively, receiving degree in mailing tube in Paris after joining Navy in 1917. Left Navy in 1921 and came to San Francisco. Went to work for an ad agency at $100 a month wrapping electrotypes. Stayed five years. Became sales manager of Macmillan Petroleum Co. and boosted sales by giving away two-gallon coupons. Got fired. Started again in agency business. "Millions of hours of our staff on the air." Claims first soap opera on air (Chandu the Magician, White King soap and Beech Nut foods), first radio offer, first five-a-week "whodunit" (Detectives Black and Blue, Folger's coffee), first full length grand operas on radio, first "big show for the gals" (Breakfast in Hollywood), first "big giveaway show" (Queen for a Day). Credo: Best way to get something is to give something—you "gotta have a gimmick."
Out of Focus
With radio regaining face as one of the dominant advertising media—a restoration whose progress has been well documented in this journal—there is a growing danger that both radio and television may succumb to the short-sighted expedient of selling perniciously against each other.
We have come across no better example of this than a "news" release put out last week by the Television Bureau of Advertising, based on an analysis of A. C. Nielsen Co. figures. It "shows," in the words of its own headline, that while tv is gaining, "radio [is] still losing audience." And the figures relied upon do indeed bear out that shoddy claim.
The only thing wrong with the comparison is that TvB failed to take into account approximately 35 million automobile radio sets that are being heard day and night throughout the land. That's 35 million locations that even television hasn't penetrated yet. So, even discounting other out-of-home listening, TvB was measuring radio with a yardstick that was at least 25% longer than it ought to be.
This is the sort of "research" that both radio and television can do without.
It is not enough that TvB's report dealt explicitly with "home" listening and viewing, one month in 1957 against the same month in 1956. The non-initiate will interpret this as total listening versus total viewing. It is too much to believe that TvB did not know this.
Coming from the American Newspaper Publishers Assn., or even from less biased sources unacquainted with the complexities of radio-tv research, such an "analysis" would not have been unexpected. Coming from an organization where radio-tv research is a basic commodity, it is something else again. Television—and radio—are both too big to have to resort to such tactics.
We do not wish to create the impression that TvB is the only culprit. For one, its radio counterpart, Radio Advertising Bureau, has been heard to mutter publicly about shortcomings in "visual advertising." There have been others, and we fear—this is the whole point of these paragraphs—that there will be more as radio's share of the advertising dollar increases.
The broadcast media are competitors, certainly, and as such they cannot avoid selling against each other as well as against all other advertising forms, from print to skywriting. But it would be folly for them not to keep it clean, or to become so engrossed in intra-family squabbling that they lose sight of their other targets. Selling can be done positively and constructively—when you have the medium for it. ANPA please copy.
The implication that radio's in-home audience constitutes its total audience (see above) points up a research need that becomes more evident every day. The simple fact is that nowhere in existence is there an adequate measurement of radio's nationwide out-of-home audience.
With radio sets becoming virtually standard equipment in automobiles and with portables being carried around like handbags, out-of-home listening obviously is high and going higher. Most experts seem agreed that pin pointing it at a reasonable cost will be difficult. But there should be no let-up in efforts to devise a means. Until this vast, literally unseen audience can be counted adequately, radio will be lacking an important sales tool and advertisers a guide to better use of the medium.
Of Cabarets & Taxes
UHF operators ought to be cheered by the House vote last week to reduce the cabaret tax by 50%.
This is not to suggest that uhf operators are inveterate nightclubbers. Indeed many of them haven't had the price of a cabaret meal since they went into the uhf business.
But there is hope that if the House can be persuaded to pass tax relief for cabarets it can also be persuaded to make a tax adjustment that would be of significant help to uhf television. Approximately the same arguments that moved the House to cut the cabaret tax from 20% to 10% can be used in support of the proposal to eliminate the 10% excise tax on uhf receivers.
Advocates of the cabaret tax reduction argued that it was needed to help an ailing business. The 20% tax, they said, was keeping patrons out of cabarets. To cut the tax would be to assure the stimulation of cabaret business and the expansion of employment. Resulting increases in corporate and personal income taxes would offset the loss of $21 million a year in cabaret tax revenue.
The case for elimination of the 10% excise tax on uhf receivers is even stronger. If that tax were killed, the price of taxed vhf-only sets and untaxed all-band receivers would be equalized. The incentive for manufacturers to make all-band sets would be powerful.
If, as anticipated, it became as cheap to buy an all-band set as a vhf-only set, the stimulation to uhf broadcasting would also be powerful. At the very least, the equalization of prices on vhf-only and all-band sets is a necessary first step in the resuscitation of uhf television.
The Treasury Dept., in arguing against the uhf tax cut, has deplored the potential loss of all excise taxes on television sets, its theory being that if manufacturers make nothing but all-band sets, there will be no excise revenue. What the Treasury forgets is that past history of the tv set tax yield is based upon a fantastically expanding industry which now is in the transition toward stability.
There is now just about all the television there is going to be—unless something comes along to assist the development of uhf television. The current market for television sets is a replacement and a second-set market. That is not a market that promises the volume of past years.
The Treasury would be more realistic if it based its estimates of revenue loss only on revenues it had received in the past from taxes on sets capable of tuning uhf channels. No figures are available, but it is safe to say that the tax yield on uhf receivers has been inconsequential.
Assuming that uhf were revitalized, the government would be in a position to collect greatly increased revenues from corporate income taxes of uhf broadcasters. There are few uhf operators today who pay Uncle Sam anything in that category.
There would also be an increase in employment if the number of stations increased, and with that would come an increase in personal income taxes.
On a strictly monetary basis the government stands to gain more tax yield than it would lose if the excise tax on all-band sets were eliminated. Beyond that, the tax relief would result in giving the U. S. public a wider program choice than it now receives.
All in all, the arguments for uhf tax relief add up to a project for both economic and cultural progress. As such they certainly should carry more weight than the plea for a reduction in the tax on nightclub checks.
For A LION'S SHARE of the Houston television audience
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Television coverage figures are now up-to-date in the Big Sacramento Valley of Northern California, the fourth largest Television Market in the West.
This Spring, 1957, Nielsen remeasurement is based upon homes in the 31-county area as of January 1, 1957.
These new Nielsen figures show KCRA-TV delivers more homes in all categories: monthly, weekly and day and night parts.
31-COUNTY MARKET DATA
| VHF Sets | 411,700 |
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| population | 1,262,675 |
| households | 506,200 |
| consumer spendable income | $2,252,189,000 |
| retail sales | $1,615,710,000 |
| food sales | $421,393,000 |
| drug sales | $45,812,000 |
| home furnishings | $102,503,000 |
| general merchandise | $142,944,000 |
| automotive sales | $278,277,000 |
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night and day
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Oxygen
Carl Djerassi
Roald Hoffmann
WILEY-VCH
What is discovery? Why is it important to be first? These questions trouble the characters in Oxygen. The action alternates between 1777 and 2001, the Centenary of the Nobel Prize, when the Nobel Foundation decides to inaugurate a "retro-Nobel" Award for discoveries that preceded the establishment of the Prize in 1901. The Foundation thinks this will be easy. In the good old days, wasn't science done for science's sake? Wasn't discovery simple, pure, and unalloyed by controversy, priority claims, and hype?
The Nobel Committee decides to reward the discovery of Oxygen, since that launched the Chemical Revolution. Lavoisier is a natural choice. But what about Scheele? What about Priestley? Didn't they first discover oxygen? The play brings the candidates and their wives to 1777 Stockholm at the invitation of King Gustav III. Through the scientists' wives, in a sauna and elsewhere, we learn of their lives and those of their husbands. Meanwhile in 2001, the Nobel Committee argues about the conflicting claims of the three men.
The ethical issues around priority and discovery at the heart of this play are as timely today as they were in 1777. As are the ironies of revolutions: Lavoisier, the chemical revolutionary, is a political conservative, who loses his life in the Jacobin terror. Priestley, the political radical, is a chemical conservative. And Scheele just wants to run his pharmacy. He, the first man on earth to make oxygen, got least credit for it. Will that situation be repaired 230 years after his discovery?
By the same Authors
Carl Djerassi
Fiction
The Futurist and Other Stories
Cantor's Dilemma
The Bourbaki Gambit
Marx, Deceased
Menachem's Seed
NO
Poetry
The Clock Runs Backward
Drama
An Immaculate Misconception
Oxygen (with Roald Hoffmann)
Nonfiction
The Politics of Contraception
Steroids Made It Possible
The Pill, Pygmy Chimps, and Degas' Horse
From the Lab into the World: A Pill for People, Pets, and Bugs
This Man's Pill: Reflections on the 50th Birthday of the Pill
Scientific Monographs
Optical Rotatory Dispersion: Applications to Organic Chemistry
Steroid Reactions: An Outline for Organic Chemists (editor)
Interpretation of Mass Spectra of Organic Compounds (with H. Budzikiewicz and D. H. Williams)
Structure Elucidation of Natural Products by Mass Spectrometry (2 volumes with H. Budzikiewicz and D. H. Williams)
Mass Spectrometry of Organic Compounds (with H. Budzikiewicz and D. H. Williams)
Roald Hoffmann
Poetry
The Metamict State
Gaps and Verges
Memory Effects
Drama
Oxygen (with Carl Djerassi)
Nonfiction
Chemistry Imagined (with Vivian Torrence)
The Same and Not the Same
Old Wine, New Flasks: Reflections on Science and Jewish Tradition (with Shira Leibowitz Schmidt)
Scientific Monographs
The Conservation of Orbital Symmetry [with R. B. Woodward]
Solids and Surfaces: A Chemist's View of Bonding in Extended Structures
OXYGEN
A play in 2 acts
BY
CARL DJERASSI
AND
ROALD HOFFMANN
WILEY-VCH
Weinheim · New York · Chichester
Brisbane · Singapore · Toronto
FOREWORD
What is discovery? Why is it so important to be first? These are the questions that trouble the people in this play. "Oxygen" alternates between 1777 and 2001—the Centenary of the Nobel Prize—when the Nobel Foundation decides to inaugurate a "retro-Nobel" Award for those great discoveries that preceded the establishment of the Nobel Prizes one hundred years before. The Foundation thinks this will be easy, that the Nobel Committee can reach back to a period when science was done for science's sake, when discovery was simple, pure, and unalloyed by controversy, priority claims, and hype...
The Chemistry Committee of the Royal Swedish Academy of Sciences decides to focus on the discovery of Oxygen, since that event launched the modern chemical revolution. But who should be so honored? Lavoisier is a natural choice, for if there ever was a marker for the beginning of modern chemistry, it was Lavoisier's understanding of the true nature of combustion, rusting, and animal respiration, and the central role of oxygen in each of these processes, formulated in the period 1770–1780. But what about Scheele? What about Priestley? Didn't they first discover oxygen?
Indeed, on an evening in October 1774, Antoine Lavoisier, the architect of the chemical revolution, learned that the Unitarian English minister, Joseph Priestley, had made a new gas. Within a week, a letter came to Lavoisier from the Swedish apothecary, Carl Wilhelm Scheele, instructing the French scientist how one might synthesize this key element in Lavoisier's developing theory, the lifegiver oxygen. Scheele's work was carried out years before, but remained unpublished until 1777.
Scheele and Priestley fit their discovery into an entirely wrong logical framework – the phlogiston theory – that Lavoisier is about to demolish. How does Lavoisier deal with the Priestley and Scheele discoveries? Does he give the discoverers their due credit? And what is discovery after all? Does it matter if you do not fully understand what you have found? Or if you do not let the world know?
In a fictional encounter, the play brings the three protagonists and their wives to 1777 Stockholm at the invitation of King Gustav III (of *Un ballo in maschera* fame). The question to be resolved: "Who discovered oxygen?" In the voices of the scientists' wives, in a sauna and elsewhere, we learn of their lives and those of their husbands. The actions of Mme. Lavoisier, a remarkable woman, are central to the play. In the Judgment of Stockholm, a scene featuring chemical demonstrations, the three discoverers of oxygen recreate their critical experiments. There is also a verse play within a play, on the Victory of Oxygen over Phlogiston. Such a play, now lost, was actually staged by the Lavoisiers for their friends and patrons.
Meanwhile, in the beginning of the 21st century, the Nobel Committee investigates and argues about the conflicting claims of the three men. Their discussions tell us much about whether science has changed in the last two centuries. The chair of the Nobel Committee is Astrid Rosenqvist, an outstanding Swedish theoretical chemist, while a young historian, Ulla Zorn, serves as a recorder for the committee's proceedings. But with time, her role changes.
The ethical issues around priority and discovery at the heart of this play are as timely today as they were in 1777. As are the ironies of revolutions: Lavoisier, the chemical revolutionary, is a political conservative, who loses his life in the Jacobin terror. Priestley, the political radical who is hounded out of England for his support of the French revolution, is a chemical conservative. And Scheele just wants to run his pharmacy in Köping, and do chemical experiments in his spare time. For a long time, he – the first man on earth to make oxygen in the laboratory – got least credit for it. Will that situation be repaired 230 years after his discovery?
---
**PRODUCTION HISTORY**
The World Premiere of "OXYGEN" was produced by the San Diego Repertory Theatre
(Sam Woodhouse, Artistic Director; Karen Wood, Managing Director)
April 2, 2001 in the Lyceum Theatre, San Diego, CA.
| Role | Name |
|-----------------------|-----------------------------|
| Director | Brian Bevell |
| Set Designer | David Weiner |
| Costume Designer | Melanie Watnick |
| Scenic designer | David Cuthber |
| Sound designer | Todd Reischman |
A Workshop Production of 10 performances was staged by the Eureka Theatre
(Andrea Gordon, Co-Artistic Director)
May 2000, San Francisco, CA
| Role | Name |
|-----------------------|-----------------------------|
| Director | Andrea Gordon |
| Set Designer | Kelly Hatch |
| Costume Designer | Jean Frederickson |
| Lighting Designer | Tiffani Snow |
| Composer | Derrick Okubo |
| Stage Manager | Heather Beckett* |
| Marie Anne Lavoisier | Lilly Akseth |
| Joseph Priestley/Ulf Svanholm | David E. Kazanjian* |
| Mary Priestley/Astrid Rosenqvist | Barbara Early* |
| Carl Wilhelm Scheele/Sune Kallstenius | Allen McElvey* |
| Sara Margaretha Pohl/Ulla Zorn | Amy Mordecai |
| Antoine Lavoisier/Bengt Hjalmarsson | Simon Vance* |
| Voice of Court Herald | Dawson Moore |
* Members, Actors Equity Association
CAST OF CHARACTERS
Stockholm, 1777
ANTOINE LAURENT LAVOISIER
34 years old. (French chemist, tax collector, economist, and public servant; discovered oxygen).
MARIE ANNE PIERRETTE PAULZE LAVOISIER
19 years old. (Wife of the above).
JOSEPH PRIESTLEY
44 years old. (English minister and chemist; discovered oxygen).
MARY PRIESTLEY
35 years old. (Wife of the above).
CARL WILHELM SCHEELE
35 years old. (Swedish apothecary; discovered oxygen).
SARA MARGARETHA POHL (FRU POHL)
26 years old. (Became Mrs. Scheele three days prior to Carl Wilhelm's death).
COURT HERALD
(off-stage male voice).
CAST OF CHARACTERS
Stockholm, 2001
Prof. BENGT HJALMARSSON
member of the Chemistry Nobel Prize Committee of the Royal Swedish Academy of Sciences. (Same actor as ANTOINE LAVOISIER).
Prof. SUNE KALLSTENIUS
member of the Chemistry Nobel Prize Committee of the Royal Swedish Academy of Sciences. (Same actor as CARL WILHELM SCHEELE).
Prof. ASTRID ROSENOVIST
chair of the Chemistry Nobel Prize Committee of the Royal Swedish Academy of Sciences. (Same actress as MRS. PRIESTLEY).
Prof. ULF SVANHOLM
member of the Chemistry Nobel Prize Committee of the Royal Swedish Academy of Sciences. (Same actor as JOSEPH PRIESTLEY).
ULLA ZORN
a graduate student in the History of Science and amanuensis to the Chemistry Nobel Prize Committee. (Same actress as FRU POHL).
Technical Details
The staging can be sparse (sauna bench; conference table; laboratory demonstration table). All audiovisuals, available from the authors, are to be projected on a large screen, preferably by rearward projection. To provide for rapid alternating costume changes between 1777 and 2001, the 1777 dress code should be distinctive yet simple (e.g. use of wigs, long coats with easily attachable ruffled collars for men; distinctive (buckled) shoes; wigs, mobcaps, scarves, long dresses for women, etc).
SCENE 1
(Sauna in Stockholm, Sweden, 1777). The three women sit on a sauna bench, their bodies covered to various extents by bathing towels or appropriate sheets – Mrs. Priestley most decorously and Mme. Lavoisier most daringly. Each is wearing a different, typically 18th century, mobcap to cover her hair or wig.
MME. LAVOISIER
(Dreamily)
I have never been beaten before . . . not like that. Can we do it again?
MRS. PRIESTLEY
Madame! In England the birch is used for chastisement.
FRU POHL
In Sweden, we consider it healthy. It brings the blood to the surface. So much better than leeches.
MRS. PRIESTLEY
(As towel slips off her shoulder, she quickly pulls it up)
The immodesty of the sauna disquiets me.
MME. LAVOISIER
(Deliberately lowers her towel while addressing Mrs. Priestley)
Mrs. Priestley . . . we are just women. (Aside) . . . Now, were there men here . . .
MRS. PRIESTLEY
Oh, you are young, Madame!
MME. LAVOISIER
Nineteen!
FRU POHL
I was twenty before I married.
MRS. PRIESTLEY
So was I.
(Turns to Fru Pohl)
How many children do you have?
FRU POHL
A young son. And you?
MRS. PRIESTLEY
Three sons and a daughter.
(Turns to Mme. Lavoisier)
And you, Madame Lavoisier?
MME. LAVOISIER
None.
MRS. PRIESTLEY
Ah! I presume you married only recently?
MME. LAVOISIER
Six years ago.
FRU POHL
And no children?
MRS. PRIESTLEY
My first child was born when we were married but ten months—
MME. LAVOISIER
As we say in France, chacun à son goût.
MRS. PRIESTLEY
So you think it was a matter of taste? I took it as an obligation when I married.
(A touch of sarcasm)
But then, of course, I was twenty...
MME. LAVOISIER
Perhaps women mature faster in France... especially those brought up in convent schools.
MRS. PRIESTLEY
A convent?
MME. LAVOISIER
Not to become a nun. And when my mother died, I left the convent to serve as my father's hostess. I was twelve. (Pause). I even studied chemistry... "Butter of arsenic"... "Sugar of lead"... "Flowers of zinc." What wonderful words, I thought: First chemistry in the kitchen... then chemistry in the garden...
MRS. PRIESTLEY
A child of twelve would find it charming.
MME. LAVOISIER
At thirteen, I escaped the attentions of a Count—much older than my father—by marrying Monsieur Lavoisier. (Proudly). He is active in the tax collection agency for the crown. He heads the Discount Bank—
MRS. PRIESTLEY
A tax collector? A banker?
MME. LAVOISIER
(Amused)
And a lawyer at twenty-one!
FRU POHL
Yet your husband was invited to Sweden because of his chemical discoveries?
MME. LAVOISIER
So was Mrs. Priestley's husband.
(Disingenuously to Mrs. Priestley).
He is a priest, is he not?
MRS. PRIESTLEY
A minister. Whom people call "Dr." Priestley.
(Suddenly agitated)
When you marry a man of God, you know you will find riches greater than money. But our Unitarian ideas are opposed by the Church of England. We cannot hold government office, we cannot go to Oxford or Cambridge. (Catches herself). I beg your pardon... I was carried away.
MME. LAVOISIER
When I spoke of the chemistry I learned in the convent... my husband told me something very useful. "The product of science is knowledge... but the product of scientists is reputation." (Pause). Reputation is important to him... and when I married him, it also became important to me. (Pause). Especially when he asked me to assist him in his endeavors.
FRU POHL
He asked you that... at age thirteen?
MME. LAVOISIER
Bien sûr... There was chemistry to study. Art too. I took lessons with Jacques-Louis David... all to help my husband.
(She muses)
Each day in the laboratory, I made a list of what experiments were to be done. Antoine called out the numbers, I wrote them down. I drew the plates for his books... I etched them... I corrected them.
MRS. PRIESTLEY
(Suddenly compassionate)
Is that why you have no children?
MME. LAVOISIER
(Ignores the comment)
There was Latin to learn, and English too. It is I, Mrs. Priestley, who translated Dr. Priestley's *Experiments on Different Kinds of Airs*... and his writings on phlogiston—
MRS. PRIESTLEY
(Quickly interrupts)
The principle of fire... an explanation for all chemistry.
MME. LAVOISIER
His explanation.
MRS. PRIESTLEY
What do you mean?
MME. LAVOISIER
We are not convinced—
MRS. PRIESTLEY
We?
MME. LAVOISIER
My husband is not convinced... and therefore, I am not convinced.
FRU POHL
Herr Scheele is convinced. He says so in his book...
MME. LAVOISIER
(Very curious)
What book?
FRU POHL
The only book he has written. On the chemistry of air and fire.
MME. LAVOISIER
My husband never mentioned it.
FRU POHL
It will come out soon... perhaps while you are still in Stockholm.
MME. LAVOISIER
(Relieved)
So this is your husband's newest work?
FRU POHL
Apothecary Scheele is not my husband...
MRS. PRIESTLEY
I thought Pohl was your father's name...
FRU POHL
Herr Pohl was an apothecary. And the father of my son. But he's dead.
MRS. PRIESTLEY
(Unable to restrain her curiosity)
And Monsieur Scheele? Perhaps he is a relative?
FRU POHL
He took over my husband's pharmacy... in Köping... some thirty leagues west of Stockholm. Where I keep house for him.
MME. LAVOISIER
You do assist Monsieur Scheele?
FRU POHL
Not in the laboratory.
MME. LAVOISIER
Yet you know of his new book?
FRU POHL
When Carl Wilhelm (catches herself) . . . I mean Apothecary Scheele . . . arrived in our little town two years ago, he related his work on airs to my father and me. He was so excited about it.
MME. LAVOISIER
(Taken aback)
And when was that work done?
FRU POHL
Some years earlier, I’m sure. The book tells it all . . .
MME. LAVOISIER
Are its contents known to anyone?
FRU POHL
Your husband. (Pause). Did Herr Scheele not send three years ago a letter to Paris describing his experiment with Fire Air?
MME. LAVOISIER
I know of no correspondence between them.
FRU POHL
I must confess he wondered why your husband never thanked him . . .
MME. LAVOISIER
(Agitated)
He had nothing to thank him for!
MRS. PRIESTLEY
(Trying to calm things down)
Ladies . . . perhaps we should cool off.
FRU POHL
You are right. Come.
(Rises, stretches out hand to MME. Lavoisier while reaching for birch branch still in Mrs. Priestley’s hand)
You have sweated enough. Mrs. Priestley’s birch is waiting.
END OF SCENE I
INTERMEZZO 1
Immediately following Scene 1
(Left downstage, very dark, spotlight solely on face)
MME LAVOISIER
(Mimics Fru Pohl’s voice and intonation)
“And no children?”
(Resumes normal voice and accent)
What gives Fru Pohl the right to ask? . . . Not even married to Apothecary Scheele!
(Pause)
I helped Antoine in the laboratory . . . as in the salon. But when he reasoned out how we breathe . . . how sulfur burns . . . how to make better gunpowder . . . he spoke to men: to Monsieur Monge . . . to Monsieur Laplace . . . to Monsieur Turgot. (Pause). But not to me.
(Pause)
Yet I helped Antoine in ways he doesn’t know about . . . and never will.
(Pause)
But I must be careful with Mme. Priestley . . . and now, I see, also with Mme. Pohl. We did not come to Stockholm to make mistakes. So . . . we talk women’s talk. About our husbands, of course. How good they are. How we help them.
(Pause)
Wearing the woman’s mask . . . her husband’s face on it . . . smiling politely.
(Pause)
But will the men go on smiling when their discoveries are disputed?
(Pause)
Will we?
(Collecting herself from a daydream, more forcefully).
She knows of the letter, our Mme. Pohl. (Pause). I am afraid.
BLACKOUT
SCENE 2
(Conference room at Royal Swedish Academy of Sciences, Stockholm, summer 2001. Lights focus on two members of Nobel Committee for Chemistry, Professors BENGT HJALMARSSON and SUNE KALLSTENIUS, who are huddling left downstage in almost whispered private conversation. Later on, the third member, ULF SVANHOLM, joins them.)
SUNE KALLSTENIUS
A retro-Nobel? There must be better ways of celebrating the centenary of the Nobel Prizes than establishing a new one for work done before 1901...
BENGT HJALMARSSON
With no one alive to receive it. (Pause). But now?
SUNE KALLSTENIUS
I rather fancy recognizing dead people – it’s different.
BENGT HJALMARSSON
It’s still a lot of work.
SUNE KALLSTENIUS
You always complain about the time spent on Nobel Committee business.
BENGT HJALMARSSON
All I seem to be doing is reading other people’s papers.
SUNE KALLSTENIUS
How else can we come up with a list of candidates?
BENGT HJALMARSSON
What about my important work?
SUNE KALLSTENIUS
Most Swedes would be proud to pay that price!
BENGT HJALMARSSON
I’m tired of paying it! No wonder Swedish chemists don’t win the real Prize!
SUNE KALLSTENIUS
What about Tiselius?
BENGT HJALMARSSON
(Dismissive)
50 years ago!
SUNE KALLSTENIUS
What about Bergström? What about Samuelsson?
BENGT HJALMARSSON
That was in Medicine. And they shared it.
SUNE KALLSTENIUS
So resign.
BENGT HJALMARSSON
(Grins)
From the committee? I like the power... and the gossip.
SUNE KALLSTENIUS
Now you have double power: Picking regular Nobel prizewinners as well as retro-Nobelists. First the living... now the dead.
BENGT HJALMARSSON
The dead don’t repay favors.
SUNE KALLSTENIUS
Do you want people to hear that?
BENGT HJALMARSSON
I’m just being honest.
SUNE KALLSTENIUS
Honesty has its place... but this isn’t it!
(Ulf Svanholm, entering, overhears this)
ULF SVANHOLM
I’m surprised to hear that from you... of all people.
SUNE KALLSTENIUS
(Sharply)
You would say that!
BENGT HJALMARSSON
(pensive)
Astrid as chairman of a Nobel committee—
ULF SVANHOLM
She prefers to be called “chair.”
BENGT HJALMARSSON
We’ve never before had a woman...
ULF SVANHOLM
She deserves it; a damned good theoretician...
SUNE KALLSTENIUS
In my experience, theoreticians make lousy chairmen.
BENGT HJALMARSSON
I wouldn't generalize when it comes to Astrid. Besides, she always gets her way.
ULF SVANHOLM
How do you know?
BENGT HJALMARSSON
Take my word for it. I know.
ULF SVANHOLM
Oh, I forgot! The two of you had something going...
BENGT HJALMARSSON
That was nearly eighteen ago. (Pause). There she comes... with that mysterious Ulla Zorn.
CROSSFADE to right downstage. Professor ASTRID ROSENQVIST, chair of the committee, and ULLA ZORN, approach in almost whispered conversation.
ULLA ZORN
You haven't told them about me, have you?
ASTRID ROSENQVIST
Not yet, Ulla.
ULLA ZORN
They must be wondering—
ASTRID ROSENQVIST
I'm sure they are. Nobel Committee secretaries are usually older.
ULLA ZORN
Aren't they expecting a chemist for secretary?
ASTRID ROSENQVIST
That's why you are called an amanuensis.
ULLA ZORN
Why not tell them what I do? It's no secret—
ASTRID ROSENQVIST
All in good time... trust me. (Pause). Look, the men are already here.
(Looks at watch, approaches men, addresses Bengt Hjalmarsson)
You're early—
BENGT HJALMARSSON
No, we're punctual... like all Swedes. Your watch needs fixing.
ASTRID ROSENQVIST
(Smiling, but sharp edge)
You haven't changed, Bengt. Always the last word.
(To rest of group)
Let's sit down and get to work.
(Committee members move to conference table, with ULLA ZORN, laptop computer in front of her, sitting somewhat separately on one side. Large name signs in front of each committee member may be helpful for audience).
SUNE KALLSTENIUS
(Addresses Astrid Rosenqvist)
A procedural question: why are there only four of us? We've never had fewer than five members. You have no deadlocks with an odd-numbered committee.
ULF SVANHOLM
Leave it to Sune... always complaining.
ASTRID ROSENQVIST
There's nothing magic about the number five. There's no precedent for what we're asked to do...
BENGT HJALMARSSON
You can say that again: restricting our choices to the 19th century or earlier!
SUNE KALLSTENIUS
At least we have fewer Americans. In fact, only one: Willard Gibbs. What's chemistry without thermodynamics... without the Phase Rule?
ULF SVANHOLM
For this... the first retro-Nobel? And again an American? (Pause). The choice is obvious.
(Slow and forceful).
Dimitri... Ivanovitch... Mendeleyev. Can you imagine chemistry without the Periodic Table? It's our Rosetta Stone.
BENGT HJALMARSSON
What about Louis Pasteur?
(Speaks slowly and pompously)
"The Prizes should be distributed to those who have conferred the greatest benefit on Mankind."
(Reverts to ordinary tone)
That's what it says in Alfred Nobel's Will. (Pause). If you stop people on the street with the question, "Who has conferred the greatest benefit on Mankind? Gibbs? Mendeleyev? Or Pasteur?" They'll say, "Gibbs? Never heard of him! Mendeleyev? Spell it!" Everyone knows Pasteur.
ULF SVANHOLM
But we aren't people on the street!
(Suddenly notices Ulla Zorn furiously typing on her keyboard)
Wait a moment!
(Points to Ulla Zorn)
Is this part of the formal meeting?
ASTRID ROSENQVIST
Everything is being put down for the record.
ULF SVANHOLM
But why?
ASTRID ROSENQVIST
With our regular Nobel, each year, we solicit thousands of nominations from all over the world...
BENGT HJALMARSSON
Thank God most of them are too lazy to respond.
ULF SVANHOLM
But why the computer?
ASTRID ROSENQVIST
Because we aren't just preparing the usual recommendation to the Academy on who should get the Prize... we're also generating the pool of candidates. We need a record... to show that it was all above board.
BENGT HJALMARSSON
I'm still amazed that we were asked to do both.
ASTRID ROSENQVIST
The whole retro-Nobel announcement is supposed to come as a surprise. How can you do that by broadcasting that we want a list of candidates?
(Taps on table)
We have Gibbs, Mendeleyev, Pasteur... (Pause). What other names would you like to throw into the pot?
ULF SVANHOLM
Why not a Swede for the first one? When it came to the regular Nobel Prizes, the Academy waited until 1903 before giving it to Arrhenius.
ASTRID ROSENQVIST
He can't just be Swedish! He also has to deserve it.
BENGT HJALMARSSON
How about Carl Wilhelm Scheele... for the discovery of oxygen-
ULF SVANHOLM
Start with the 18th century?
SUNE KALLSTENIUS
(Cynical, pointing to Ulf)
Probably he wants to give it to Paracelsus!
ASTRID ROSENQVIST
No retro-Nobel for alchemists.
BENGT HJALMARSSON
Focusing on the 18th century may not be a bad idea. People published less... so we have less to read.
ULF SVANHOLM
But if we select Scheele, what about Lavoisier?
SUNE KALLSTENIUS
Or Joseph Priestley?
BENGT HJALMARSSON
Right back to the usual Nobel quandary! Too many candidates.
ULF SVANHOLM
How about John Dalton, the father of the atomic theory?
SUNE KALLSTENIUS
That's not logical. Oxygen had to be discovered first... and its role in chemistry understood! Maybe for the second or third retro-Nobel...
ASTRID ROSENQVIST
Sune has a point; the Chemical Revolution came from oxygen. The element ought to come first.
ULF SVANHOLM
Even if a Frenchman or an Englishman gets the credit?
SUNE KALLSTENIUS
Gets the credit? Surely you mean shares it!
ASTRID ROSENQVIST
That's up to our committee to determine...
BENGT HJALMARSSON
And since there are no living contemporaries, we don't have to solicit the opinions of outside experts.
ULF SVANHOLM
We may have to turn to historians.
(Ulla Zorn looks up).
I'm joking.
ASTRID ROSENQVIST
What's wrong with historians?
SUNE KALLSTENIUS
It's a thing scientists do when they can't do science anymore.
ASTRID ROSENQVIST
But professional historians?
BENGT HJALMARSSON
What would they know about science? (Pause). You might as well search the web!
ASTRID ROSENQVIST
(Looks at Ulla Zorn, but decides not to pursue her defense of historians)
I wonder whether Scheele, Lavoisier, and Priestley ever met in one place.
ULLA ZORN
Very unlikely.
BENGT HJALMARSSON
What makes you say that?
ULLA ZORN
Absence of any evidence.
BENGT HJALMARSSON
But how would you know—
ASTRID ROSENQVIST
(Quickly cuts off further question)
Just think of the royal competitions of that time...
Maybe they met at some 18th century forerunner to our modern Nobel Prizes. Why not in Stockholm? We had a king then, Gustav the Third, who was wild about science and the arts.
ULF SVANHOLM
(Bantering)
Keep on dreaming! And how would they've talked to each other?
ASTRID ROSENQVIST
(Returns banter)
Who worries about language in dreams?
SUNE KALLSTENIUS
Dr. Sigmund Freud.
ULF SVANHOLM
Maybe that's why he never got a Nobel Prize.
SUNE KALLSTENIUS
Ulf is always worried about missing out on prizes.
ASTRID ROSENVIST
(Dismissive)
Sune, Ulf! It's time to bury the hatchet. (Pause). But were they as ambitious as their modern successors? I wonder who could have told us?
ULF SVANHOLM
The obvious witnesses: other scientists of that time.
ULLA ZORN
Or their wives.
SUNE KALLSTENIUS
What did you say?
ULLA ZORN
Wives. (Pause). Most men around that time had wives. Why not look for what they had to say?
END OF SCENE 2
1777
INTERMEZZO 2
Immediately following Scene 2
(Stockholm, 1777, same day as Scene 1, a few hours later). Bare room, into which the three couples enter in turn, from left upstage, right downstage, and right upstage
Spotlight on MME. LAVOISIER and LAVOISIER They whisper.
MME. LAVOISIER
Beware!
LAVOISIER
Of what?
MME. LAVOISIER
A challenge.
LAVOISIER
An experiment?
MME. LAVOISIER
A book ...
LAVOISIER
From Priestley?
MME. LAVOISIER
No, Scheele.
LAVOISIER
Scheele?
MME. LAVOISIER
Indeed.
LAVOISIER
He's a good chemist.
MME. LAVOISIER
And careful.
LAVOISIER
I trust him.
Spotlight focuses on MRS. PRIESTLEY and PRIESTLEY. They whisper.
MRS. PRIESTLEY
Take heed!
PRIESTLEY
Of what?
MRS. PRIESTLEY
An experiment.
PRIESTLEY
Mine's ready!
MRS. PRIESTLEY
It may have been done.
PRIESTLEY
By whom?
MRS. PRIESTLEY
Scheele.
PRIESTLEY
What can he have?
MRS. PRIESTLEY
Something from the past.
PRIESTLEY
He needs something new.
MRS. PRIESTLEY
He questions...
PRIESTLEY
I trust him.
Spotlight on FRU POHL and SCHEELE. They whisper.
FRU POHL
I told her.
SCHEELE
And?
FRU POHL
She denied it.
SCHEELE
He withheld it from her.
FRU POHL
I doubt it.
SCHEELE
Why?
FRU POHL
She keeps his correspondence.
SCHEELE
Ha!
FRU POHL
But she was most curious.
SCHEELE
And?
FRU POHL
She will tell her husband.
SCHEELE
I do not trust him.
BLACKOUT
SCENE 3
(Conference room at Royal Swedish Academy of Sciences, Stockholm, a few minutes after Scene 2. Lights focus on BENGT HJALMARSSON and ULF SVANHOLM, who are huddling in almost whispered private conversation)
BENGT HJALMARSSON
"Bury the hatchet." What was Astrid talking about?
ULF SVANHOLM
You don't know? Of course, Sune will deny it.
BENGT HJALMARSSON
(Impatiently)
Deny what?
ULF SVANHOLM
You remember the Stanford group's paper on new catalysts for oxygenated polymers?
BENGT HJALMARSSON
(Dismissive)
Didn't you have some similar catalysts up your sleeve?
ULF SVANHOLM
Identical. Except that the American paper came out several months earlier... and now they won the Gibbs Medal for that work... thanks to (heavy sarcasm) our distinguished colleague, Professor Kallstenius! I bet that's why he proposed Willard Gibbs for the retro-Nobel... just to rub it in.
BENGT HJALMARSSON
I don't get it.
ULF SVANHOLM
When I wrote up our work and sent it to the journal, Sune got it for review.
BENGT HJALMARSSON
So?
ULF SVANHOLM
He sat on it for two months before refereeing it.
BENGT HJALMARSSON
(Dismissive)
That's par for the course. Do you know how many articles I get to review?
ULF SVANHOLM
I wasted another half year getting some damned spectra he wanted. Meanwhile he told his Stanford pals in California all about it.
BENGT HJALMARSSON
(Turns serious)
Are you sure?
ULF SVANHOLM
Who else could have told them? He knows them... all too well!
BENGT HJALMARSSON
In research... simultaneous discovery occurs all the time.
ULF SVANHOLM
Stop preaching to me!
BENGT HJALMARSSON
Ulf, calm down! Why not assume they found it by themselves?
ULF SVANHOLM
Nonsense!
BENGT HJALMARSSON
You're obsessed by this. Let go.
ULF SVANHOLM
Obsessed? We're always in a race where being first counts for everything. If you're second, you might as well be last. There's only a Gold Medal—in this case the Gibbs Medal—but no silver or bronze.
BENGT HJALMARSSON
I wouldn't blame Sune. He's too honest... you just have to look at his face.
ULF SVANHOLM
I think you're on his side. We all wear masks.
BENGT HJALMARSSON
Which one is yours?
ULF SVANHOLM
Guess.
BLACKOUT
(Stockholm, 1777, same day as Intermezzo 2, a few hours later).
SCHEELE
How gracious of you to travel so far, Monsieur Lavoisier. I've never left Sweden.
LAVOISIER
The invitation came from His Majesty. But –
SCHEELE
But, Monsieur?
LAVOISIER
His Majesty's curiosity on matters scientific is known to all of us …
SCHEELE
Indeed it is.
LAVOISIER
But does it encompass pneumatic chemistry?
SCHEELE
Perhaps.
LAVOISIER
(Sarcastic)
And includes a personal desire to have us verify in public, as the invitation states … "each savant's claims to Fire Air"?
SCHEELE
Perhaps it does.
LAVOISIER
One does not refuse a king. But –
SCHEELE
But, Monsieur?
LAVOISIER
Who is behind this? Who has the King's ear?
SCHEELE
Torbern Bergman. Primus inter pares among all Swedish scientists … as well as –
LAVOISIER
… your strongest patron.
SCHEELE
Surely not a fault?
LAVOISIER
We all have our patrons … and (pretends to cross himself) daily pray to God for their long life and continued support.
SCHEELE
What is your question then?
LAVOISIER
Bergman's genius classified all chemical matter into inorganic and organic …
SCHEELE
Only one of his many strokes of genius.
LAVOISIER
Professor Bergman has never concerned himself with airs. Why has he then arranged our meeting? To raise the Swedish flag above all others?
SCHEELE
Because he desires to know whom God's grace favored first among us three –
LAVOISIER
(Ironic)
While you do not?
SCHEELE
I already know. But –
LAVOISIER
But, Monsieur?
SCHEELE
But do you? (Pause)
(Priestley enters).
Or Dr. Priestley?
LAVOISIER
Ah, Monsieur. You arrived just in time.
(Addresses Priestley)
The royal invitation, you may recall, demands from each of us an actual experiment...
PRIESTLEY
Indeed it does.
SCHEELE
Which, His Majesty suggests, will be executed by another.
PRIESTLEY
But why?
SCHEELE
To confirm each person's claim.
PRIESTLEY
Claim? Can what is fact be claimed?
SCHEELE
Once reproduced by another, claims become facts.
PRIESTLEY
So they do. But does the King, or (Pause) you doubt my experiments?
SCHEELE
No, my dear Doctor. But the world needs proof.
PRIESTLEY
Proof it shall have. Until tomorrow then!
LAVOISIER
(Stops him)
Un moment! Madame Lavoisier and I, desiring to divert you and your ladies... and of course His Majesty... have devised an entertainment for your pleasure... (Pause) and perhaps enlightenment... a play that we have written and have performed...
SCENE 4
(Stockholm, 2001; Royal Swedish Academy of Sciences, one week later. Committee members grouped around conference table, while Ulla Zorn sits with her computer on a separate small table).
ASTRID ROSENQVIST
First to the discovery: No one will question that oxygen confers great benefit on mankind, right?
BENGT HJALMARSSON
Oxygen was good for people before it was "discovered!"
ULF SVANHOLM
But there are plenty of benefits that require for oxygen to be isolated. What about the emphysema victim in an oxygen tent... the Everest climber with his oxygen bottles... the astronaut in the space suit?
SUNE KALLSTENIUS
We didn't pick oxygen for its value to mountain climbers or astronauts or sick people.
ULF SVANHOLM
There you go with your usual spiel... the academic's ivory tower disdain for the useful...
ASTRID ROSENQVIST
Let's compromise. Who'd like to come up with some simple phrases to explain to Ulf's public that without the discovery of oxygen there would've been no Chemical Revolution... no chemistry as we now know it?
BENGT HJALMARSSON
I'll give it a try. Prior to Lavoisier—
SUNE KALLSTENIUS
You mean prior to the discovery of oxygen—
BENGT HJALMARSSON
To me they are the same.
SUNE KALLSTENIUS
To me they are not.
BENGT HJALMARSSON
Never mind... Before the Chemical Revolution, people were convinced that when things burned, something was released... called phlogiston...
(Turns to ZORN)
Do you want me to spell that?
ULLA ZORN
(Quick and dismissive, without looking up while typing quickly)
P... H... L... O... G... I... S... T... O... N.
ASTRID ROSENQVIST
Hold it, Bengt! The public at large... and these days, even many chemists... won't have the slightest idea what phlogiston means. They can't even pronounce it. Please... make it clear... and make it short.
BENGT HJALMARSSON
"Phlogiston: The essence of fire." How's that for a pithy definition?
ASTRID ROSENQVIST
That's too pithy.
BENGT HJALMARSSON
You certainly are difficult to satisfy. But why even bother with a discarded theory?
ASTRID ROSENQVIST
Because Priestley and Scheele and most other 18th century chemists weren't fools. They believed in phlogiston till they died.
SUNE KALLSTENIUS
And it made sense... in its own way. They thought when anything burns, something... specifically that wondrous phlogiston... leaves that burning object and goes out into the air.
ASTRID ROSENQVIST
For all of them, phlogiston represented the "Grand Unified Theory" of the chemistry of their time.
BENGT HJALMARSSON
(Sarcastic)
Oh, sure...it could account for anything. That supposedly commonsense theory was rudely punctured...by Lavoisier's revolutionary insight...that during the process of burning...something is taken from the air. And that "something" is oxygen!!
ULF SVANHOLM
Why not just say, the language of chemistry was a holy mess and the grammar all wrong? Let's get to the business of picking the winner. Prizes are given to people, not to discoveries.
ASTRID ROSENQVIST
Prizes go to people, sure. But they need to have discovered something, understood it.
(Pauses).
I now propose that each of you take the primary responsibility for digging up the evidence for the claims of one of the candidates. Who is fluent in French?
BENGT HJALMARSSON
Il n'y a pas de doute que c'est moi! I didn't spend two years as a postdoc at the Pasteur Institute speaking Swedish.
ASTRID ROSENQVIST
(Ignores comment)
Who else is fluent in French?
SUNE KALLSTENIUS
Try me in Greek or Latin. Or German...
ASTRID ROSENQVIST
(Addresses Svanholm)
And you?
ULF SVANHOLM
(Dismissive)
Comme ci, comme ça...usual high school French.
SUNE KALLSTENIUS
That's obvious.
ASTRID ROSENQVIST
The Lavoisier archives are mostly in France and, of course, written in French. Lavoisier is your man, Bengt.
(Turns to Kallstenius)
You know Scheele wrote mostly in German...and some peculiar Latin? I propose you take Scheele...
(Turns to Svanholm)
which leaves you with Priestley. OK?
ULF SVANHOLM
Are you offering me a choice?
ASTRID ROSENQVIST
I'm offering you a candidate. But if you're unhappy, you and Sune could collaborate on both men.
ULF SVANHOLM
Thanks! I'll take Priestley.
ASTRID ROSENQVIST
Of course, you could always have a duel.
SUNE KALLSTENIUS
Only if I can choose the weapon.
BENGT HJALMARSSON
Enough of that.
(Looks at watch and starts to get up)
Is that it for today?
ASTRID ROSENQVIST
There's one issue that absolutely requires digging into the original literature.
SUNE KALLSTENIUS
And what's that?
ASTRID ROSENQVIST
I'm referring to Scheele's letter to Lavoisier...in which he outlined his own experiments with oxygen, which he called Feuerluft...Did Lavoisier get that letter and if so, when?
ULF SVANHOLM
In other words, we're right back at our usual preoccupation with priority... the Nobel Syndrome: who did what first?
ASTRID ROSENQVIST
And did the one who did it first really know what he'd done?
ULF SVANHOLM
Why should that matter?
ASTRID ROSENQVIST
I'm a theoretician. For me it's necessary to understand what one finds. Maybe for you it matters less. (Pause). You're an experimentalist... you actually get your hands dirty—
ULF SVANHOLM
Now it's my students' hands.
BENGT HJALMARSSON
So it's dirt we're looking for?
ULF SVANHOLM
I just wonder which kind we'll find... dirt from honest labor or the other sort?
BENGT HJALMARSSON
And where do we look?
ULLA ZORN
(Looks up from her PC)
The wives. (Pause). That's where I would look.
ULF SVANHOLM
(Confused)
The wives?
ULLA ZORN
Aren't they usually expected to clean up the dirt?
END OF SCENE 4
INTERMEZZO 3
Immediately following Scene 4 (left downstage)
ULF SVANHOLM
Now what do you think of her?
BENGT HJALMARSSON
Astrid?
ULF SVANHOLM
No, Ulla Zorn.
BENGT HJALMARSSON
Deep water... and not still.
ULF SVANHOLM
Astrid called her an amanuensis.
BENGT HJALMARSSON
(Dissmissive)
She was showing off. It's just a fancier word for secretary.
ULF SVANHOLM
Except for mentioning the wives... she's hardly said anything.
BENGT HJALMARSSON
That's why I'm suspicious.
ULF SVANHOLM
Of Zorn?
BENGT HJALMARSSON
Of Astrid. Springing Zorn on us is part of her private agenda. I can smell it!
ULF SVANHOLM
You keep talking about Astrid... I want to know what you think about the retro-Nobel.
BENGT HJALMARSSON
It's too early to tell. And you?
ULF SVANHOLM
Remembering the history of our discipline is refreshing.
BENGT HJALMARSSON
I think you're getting old.
ULF SVANHOLM
What's age got to do with it?
BENGT HJALMARSSON
In science, only the old are into the past.
ULF SVANHOLM
And you?
BENGT HJALMARSSON
I'm interested in my future... another reason why I'm now heading for the lab. See you at the next meeting.
(Exit)
(Women enter from right upstage)
ULLA ZORN
I can't just sit there... you've got to tell them.
ASTRID ROSENQVIST
The next time. Satisfied?
ULLA ZORN
Yes. (Pause). May I ask you a question?
ASTRID ROSENQVIST
Certainly.
ULLA ZORN
What do you get out of this?
ASTRID ROSENQVIST
You mean chairing the committee?
ULLA ZORN
Just being on it.
ASTRID ROSENQVIST
Wouldn't you like being both judge and jury? Expecting honors for being first is the occupational disease of scientists. God knows we're not in it for the money. And when we're writing papers, we're supposed to behave like "gentlemen"...
(They laugh)
out to pursue knowledge. But Nobel committees are special: we hand out the biggest pat on the back in science -
ULLA ZORN
Without craving it yourself?
ASTRID ROSENQVIST
I didn't say that.
ULLA ZORN
I hope you don't mind my asking: what about you and the Nobel Prize?
ASTRID ROSENQVIST
No Swedish woman has ever gotten it in any science. One will eventually.
ULLA ZORN
Aren't you the first woman who has ever chaired a Nobel Committee?
ASTRID ROSENQVIST
Yes.
ULLA ZORN
How important is that to you... being first?
ASTRID ROSENQVIST
You are beginning to sound like a district attorney... or a shrink.
ULLA ZORN
Sorry about that. I just wanted to know what price you're willing to pay to be successful as a scientist... and as a woman.
ASTRID ROSENQVIST
I have no children. Many would consider that a heavy price.
ULLA ZORN
Like Mme. Lavoisier? (Pause). Is the committee your child?
ASTRID ROSENQVIST
It certainly doesn’t feel or behave like a baby . . . but it’s a challenge. A contentious committee with a tough job: proposing the first retro-Nobel winner in Chemistry. If we come up with a persuasive choice, the Academy is likely –
ULLA ZORN
... to rubberstamp it?
ASTRID ROSENQVIST
(Laughs)
Those are your words . . . not mine. To be persuasive, we also have to be unanimous . . . or at least close to it. I have to engineer that. Not an easy job . . . you may have sensed some of the crosscurrents.
ULLA ZORN
I did (pause) . . .
ASTRID ROSENQVIST
Ulf and Sune aren’t very subtle.
ULLA ZORN
I meant you and Bengt.
BLACKOUT
SCENE 5
Stockholm, 1777.
SCHEELE and MME. LAVOISIER meet.
MME. LAVOISIER
Ah . . . Monsieur Scheele! Have you seen my husband? Tonight’s masque still requires some preparation.
SCHEELE
I have not. But Madame . . .
MME. LAVOISIER
Yes?
SCHEELE
I understand you keep your husband’s correspondence.
MME. LAVOISIER
How did you come to know that?
SCHEELE
Fru Pohl told me.
MME. LAVOISIER
She tells you everything?
SCHEELE
She is an honest woman. She shares the good . . . and the bad with me.
MME. LAVOISIER
Like a wife.
SCHEELE
Or a friend. But, Madame, since you read everything sent to your husband . . .
MME. LAVOISIER
I try.
SCHEELE
One question then.
MME. LAVOISIER
Yes?
SCHEELE
Sara Margaretha mentioned the letter I dispatched three years ago –
MME. LAVOISIER
(Quickly cries out, while pointing offstage)
Oh . . . there goes Antoine. I must catch him.
LIGHTS DOWN and then UP
on FRU POHL and LAVOISIER
FRU POHL
Monsieur Lavoisier! What luck to encounter you . . .
LAVOISIER
Madame will excuse me, but I must prepare for tonight’s masque.
FRU POHL
Surely you have time for one simple question?
LAVOISIER
A lady’s questions are rarely simple.
FRU POHL
A short one then?
LAVOISIER
Even worse: short questions are never simple.
FRU POHL
Monsieur . . . I’m not clever with words.
LAVOISIER
But you are disarmingly persistent. Your question then? Your one question?
FRU POHL
Yesterday . . . in the sauna—
LAVOISIER
(Quickly)
A curious Nordic custom . . . but one my wife found bracing.
FRU POHL
It was my idea to invite the ladies.
LAVOISIER
Nudity can be disarming.
FRU POHL
Madame Lavoisier was not disarmed.
LAVOISIER
Of course to disarm . . . one first needs to be armed.
FRU POHL
Your wife was.
LAVOISIER
Madame Pohl, you are observant.
FRU POHL
Women from the countryside have to be.
LAVOISIER
Touché, Madame. But your question . . . your simple, short question?
FRU POHL
Why?
LAVOISIER
(Taken aback)
Is that your question?
FRU POHL
Yes.
LAVOISIER
It is indeed short . . . but is it simple? Why what?
FRU POHL
Why did you accept our King’s invitation?
LAVOISIER
(Looks at her for a long time)
You are a clever woman, Madame Pohl.
(Prepares to exit)
LIGHTS DOWN and then UP
on PRIESTLEY and MME. LAVOISIER
PRIESTLEY
Much has happened since we last met in Paris . . .
MME. LAVOISIER
Three years is a long time...
PRIESTLEY
Only the young would think so...
MME. LAVOISIER
Are the young not entitled to an opinion?
PRIESTLEY
Opinion? Of course. (Pause). I was referring to Madame's judgment.
MME. LAVOISIER
Perhaps women mature faster in France...
PRIESTLEY
A conclusion you shared already with my wife...
MME. LAVOISIER
So she told you about our meeting?
PRIESTLEY
My wife hides nothing from me.
MME. LAVOISIER
(Sotto voce)
That I would call poor judgment.
PRIESTLEY
Why?
MME. LAVOISIER
Some things ought to be hidden... even in a sauna.
PRIESTLEY
Another opinion... or another judgment?
MME. LAVOISIER
Solely a comment. But no matter. (Pause). You seem vexed, Monsieur... I trust I'm not the cause.
PRIESTLEY
Three years ago...
MME. LAVOISIER
You dined at our table... content and eager.
PRIESTLEY
You translated...
MME. LAVOISIER
I tried my best... and you seemed grateful.
PRIESTLEY
I was then.
MME. LAVOISIER
But not now?
PRIESTLEY
I'm not sure you transmitted everything...
MME. LAVOISIER
Perhaps my knowledge of English is wanting...
PRIESTLEY
Madame's English is excellent.
MME. LAVOISIER
I appreciate the compliment. (Pause). Of course, a translator is also a filter, a sieve...
PRIESTLEY
Whose efficacy depends on the mesh.
MME. LAVOISIER
Indeed it does... and mine is fine.
PRIESTLEY
I am speaking of filtering information... not impurities.
MME. LAVOISIER
But so am I, Monsieur.
END OF SCENE
SCENE 6
(A bare room, except for a theatrical curtain. Sitting with their back to audience are Dr. and Mrs. Priestley, Scheele and Fru Pohl. There is a suggestion of a Royal Box, occupied. M. and Mme. Lavoisier enter.)
LAVOISIER and MME. LAVOISIER
(Deep bow, curtsy)
Your Majesties!
LAVOISIER
Dr. and Mrs. Priestley!
MME. LAVOISIER
Apothecary Scheele, Fru Pohl...
LAVOISIER
Welcome!
MME. LAVOISIER
Knowing of your love for the stage and opera, Your Majesty...
LAVOISIER
In this, your magnificent court theatre at Drottningholm...
MME. LAVOISIER
In the tradition of the court of our King Louis the Sixteenth...
LAVOISIER
We bring you a small entertainment, a masque, of...
MME. LAVOISIER
The Victory of Vital Air...
LAVOISIER
Over Phlogiston!
(Music, by Lully, Rameau, Mozart, or possibly the Swedish composer Johan Helmich Roman, rings out majestically. Scheele and Priestley move to show their apprehension. The Lavoisiers, each of them after putting on a mask, part the curtains, whereupon the music should drop off to a low level as the actual masque begins, or change to a recitative harpsichord accompaniment)
LAVOISIER (playing PHLOGISTON)
(Broad, even lewd comedy is in order, plus pretentious music. He declaims, preferably in recitative)
I am the vital fire of chemistry,
The element that sets the others free.
The Greek philosophers were unaware
Of how I act on water, earth and air.
Without me, Phlogiston, the world would be
Quite unillumin'd, rudimentary.
'Tis in my gift, the elements to bind,
Transforming them to everything we find:
The precious salts and metals, other earths,
Endowed by me, can offer up their worth.
(PRIESTLEY and SCHEELE couples nod approvingly, mime applause)
MME. LAVOISIER (playing OXYGEN)
(Wearing the mask of oxygen)
Monsieur, you are most glittering and sure
Of what the world is made of. Tell me more!
You say there's a terra this, a terra that,
Pray show me how these elements react.
LAVOISIER
A just enquiry, Madam, first, take fire.
All things that burn release me to the air.
Take charcoal, fat, they're full of Phlogiston
And when their blazing ceases, I am gone
MME. LAVOISIER
You have an end?
LAVOISIER
No! Listen carefully!
Air can only hold just so much of me.
There can be other ways I also may appear:
When pure metal rusts, off I fly, my dear!
MME. LAVOISIER
Your miracles are endless! Tell me more!
LAVOISIER
'Tis I that wins the metal from the ore.
My role in such extraction will astound,
Remember that in charcoal I am found,
And from the coal the ores just suck me out!
MME. LAVOISIER
A marvel, Sir, yet you leave much to doubt —
Your theory is hopelessly behind!
We now know air to be of different kinds:
Inflammable, nitrous, vital and fixed.
And water's not an element, but mixed.
As mon mari will most ably demonstrate!
(Priestley becomes very agitated at this point)
LAVOISIER
A revelation, I'll accommodate!
MME. LAVOISIER
My husband soon will show that much depends
On vital air — that he calls Oxygen.
You boast that Phlogiston's the key to fire
And rust, but why not credit vital air?
Could it not feed the flames or lead to rust?
Combined with carbon, say, or iron, it must!
You claim that metal needs you but what for,
When charcoal coaxes Oxygen from ore?
Another point I feign cannot be true
Is your idea of rust. Surely, you knew
That metal grows in weight when thus decayed.
Yet you insist that nothing new is made!
LAVOISIER
(Embarrassed)
My dear, (Pause) ... Phlogiston might just be so light
That it is weightless. Could he still be right?
(Tentatively, dances with large balloon to gain elevation)
MME. LAVOISIER
Mon cher monsieur, you're speaking like an ass!
You know there's no such thing — negative mass!
A revolution is about to dawn
In chemistry, as Oxygen is born.
Phlogiston is a notion of the past,
Disproved and set aside, indeed, surpassed.
(Priestleys, Scheele, and Fru Pohl grow more agitated
from here on to end of scene)
Elements may be many. Some know we,
The rest await skilled hands to set them free.
In chemical reaction, this remains:
Matter is neither lost nor gained.
In this new chemistry, let us rejoice
And thank our sovereign patrons in one voice:
Our Louis, George, and gallant King Gustaf,
In whose light we gather to finish off
Vain Phlogiston. Now join to celebrate
How vital air triumphed in this debate!
(Phlogiston and Vital Air struggle to the concluding music.
Mme. Lavoisier pricks balloon with hatpin, whereupon it explodes.
Phlogiston sinks to the ground. The Priestleys,
Scheele and Fru Pohl overturn their chairs and rush off stage)
(LAVOISIER and MME. LAVOISIER drop their masks on the floor)
LAVOISIER
They weren't amused! Perhaps we went too far.
MME. LAVOISIER
We planted a seed . . . their doubt will grow.
LAVOISIER
I worry.
END OF SCENE 6
END OF ACT
SCENE 7
(Stockholm, 2001; Royal Swedish Academy of Sciences,
two weeks later than Scene 4).
ASTRID ROSENQVIST
So Scheele on his deathbed marries the widow of the
pharmacist who preceded him. Touching, Sune . . . but
how relevant is it?
ULF SVANHOLM
(Irritably)
The retro-Nobel will be given for their work . . . not
their private lives!
SUNE KALLSTENIUS
What if you can’t separate the two?
BENGT HJALMARSSON
Lavoisier certainly had a private life! He even got his
head chopped off . . . and that had nothing to do with
his chemistry. He was a tax collector . . . hardly a
popular occupation during the French Revolution.
(Pause). But did your man Scheele and Fru Pohl live
together?
SUNE KALLSTENIUS
It depends on one’s definition of “living together.” For
most of the time, they occupied the same house, which
she kept for Scheele. (Pause). But did they cohabitate?
It’s been said of Scheele “that he never touched a body
without making a discovery.” But these bodies were
chemicals, not women. In my opinion, Scheele was
celibate all his life . . . a chemical monk.
ULLA ZORN
Very clever!
SUNE KALLSTENIUS
Ms. Zorn . . . you sound as if you have an opinion on
this topic. After all, you’re the one who mentioned
wives.
ULLA ZORN
(Quick, but low voice)
Yes.
SUNE KALLSTENIUS
Yes . . . you have special knowledge . . . or yes, they did?
ULLA ZORN
“Yes” to the former . . . and “perhaps” to the latter.
LIGHTS FADE on committee.
(ROSENQVIST, HJALMARSSON and SVANHOLM freeze,
while ULLA ZORN and SUNE KALLSTENIUS change costumes
on stage and move downstage and across).
LIGHTS UP ON SCHEELE and FRU POHL
(FRU POHL crosses over to a sideboard and mimes the
grinding of coffee)
FRU POHL
Carl Wilhelm . . . it’s time you came in. It’s so cold in
the shed. If only you could afford a proper laboratory.
SCHEELE
(Stamping his feet)
I know you care for me, Sara. But it took time to
dissolve in acid this ore Bergman sent to me. There
may be a new metal in it.
FRU POHL
My son and I have eaten. But there is food on the
table for you. (She hesitates). And a letter from the
printer, Swederus, in Uppsala.
SCHEELE
No book?
FRU POHL
He promises it.
SCHEELE
(Exasperated)
But when? I finished it last year. He sat on it for
months. I complained. Now three more months have passed, and my experiments on fire air gather dust in that damned printer's shop.
**FRU POHL**
Be patient, others know of your work.
**SCHEELE**
A few friends... in Sweden. The book will go far beyond our borders.
**FRU POHL**
I would help you, Carl Wilhelm. If only I were not so ignorant...
**SCHEELE**
Your concern is more important to me. But now I must finish that letter.
**FRU POHL**
To whom?
**SCHEELE**
Monsieur Lavoisier, the French chemist. He has burning lenses, Sara, that are as big as our house.
**FRU POHL**
Monsieur Lavoisier must really want to set things on fire.
**SCHEELE**
His is hotter. He can make chemical reactions go as no one else can.
**FRU POHL**
But can he turn a profit from a pharmacy?
**SCHEELE**
He might, for he also knows the way of money. (Pause). In my letter I ask him to repeat my experiments making fire air.
**FRU POHL**
Why ask him?
**SCHEELE**
Because my air is new. Because there is no better way of having the world know than asking one of the best scientists to repeat my experiment.
**FRU POHL**
(Hesitatingly)
Forgive my forwardness, Carl Wilhelm... but... is that what you desire most? That the world knows of you?
**SCHEELE**
(Taken aback)
No one has asked me that before. (Reflects). Respect is important –
**FRU POHL**
You have it from the citizens of Köping.
**SCHEELE**
I want to be my own master, a simple thing. And I want to earn enough money... to support you and your son –
**FRU POHL**
We manage.
**SCHEELE**
Because of your frugality.
**FRU POHL**
I've never complained.
**SCHEELE**
I know... I want to earn enough to buy better supplies, a more powerful burning lens–
**FRU POHL**
And to heat your laboratory! Carl Wilhelm... I worry about your health.
**SCHEELE**
(Moved, takes her hand, pauses to inspect his hand and then hers) Look! The coffee sticking to your hand! Is it some form of magnetism?
**LIGHTS FADE**
(SCHEELE and FRU POHL change costumes on stage and then rejoin other committee members)
ULLA ZORN
You see? He did touch part of her body and made a discovery. (Pause). And that could have been personal magnetism.
BENGT HJALMARSSON
(Astonished)
Where did you dig that up?
ULLA ZORN
Scheele mentioned that incident in a letter to Johan Carl Wilcke, the secretary of the Royal Swedish Academy of Sciences.
SUNE KALLSTENIUS
But how did you come across that letter?
ASTRID ROSENQVIST
(Interrupts)
Later.
BENGT HJALMARSSON
No, Astrid! Not later! Now!
ASTRID ROSENQVIST
What's the urgency?
BENGT HJALMARSSON
I have a feeling your job description of "amanuensis" bears no relation to the dictionary definition. (Turns to Ulla Zorn). Where did you discover those nuggets of information?
ASTRID ROSENQVIST
All right, Ulla... tell him.
ULLA ZORN
I'm finishing my Ph.D. at Lund University...
SUNE KALLSTENIUS
These days, most chemistry students barely know who Scheele was.
ULLA ZORN
Perhaps a reflection on the professors rather than the students.
ULF SVANHOLM
Touché.
BENGT HJALMARSSON
(To Ulf Svanholm, sarcastically)
I see you haven't forgotten your high school French.
(To Ulla Zorn)
But that letter to Wilcke where Scheele talks about grinding coffee with his girlfriend or whatever she was... where did you run into that?
ULLA ZORN
Her name was Sara Margaretha Pohl. And I found it the same way you would have: research!
BENGT HJALMARSSON
(Ironic)
I see.
(Shifts to ordinary tone).
In that case, let me tell you about my research... But before telling you about Lavoisier, the chemist, banker and economist... who did everything from debunking mesmerism to shipping gunpowder to the Americans... listen to some goodies about Madame Lavoisier.
ULLA ZORN
My, my! I never thought my comments about wives would have such an effect on this committee.
BENGT HJALMARSSON
Don't flatter yourself, Ms. Zorn. I always throw a wide net in my research.
ASTRID ROSENQVIST
Especially when it comes to women! (Laughs). Sorry about that... it just slipped out. Go ahead, Bengt... tell us what you caught in your net.
BENGT HJALMARSSON
First of all, Madame Lavoisier wasn't just his wife...
(Mockingly to Ulla Zorn)
she was his amanuensis... Of course not full time.
ULA ZORN
(Coldly)
It's not a very attractive full time position... for an ambitious woman.
ASTRID ROSENQVIST
Everything is possible for an ambitious woman...
BENGT HJALMARSSON
She even helped in the lab... Yet she was barely in her teens when she married Lavoisier... her first husband.
ULF SVANHOLM
First husband? How many men were there?
BENGT HJALMARSSON
The second husband, Count Rumford, I think she would have liked to forget... even though he was almost as famous as Lavoisier. But men? Probably a fair number... even by present day standards. Benjamin Franklin was quite smitten by her. But Pierre Samuel Du Pont...
SUNE KALLSTENIUS
The American Du Pont? The millionaire chemist?
BENGT HJALMARSSON
His French father. Now that was a different story, a love story.
(Picks up a paper)
Du Pont wrote her a letter four years after Lavoisier's death... after... I quote from his letter..."twenty-two years of acquaintance and seventeen of intimacy."
(Pause).
In other words, they had been "intimate"... for at least thirteen years while the Lavoisiers were still married.
ASTRID ROSENQVIST
A modern couple...
BENGT HJALMARSSON
(Continues reading, but facing Rosenqvist as if words were meant for her).
"If you could have continued to love me, I would have patiently accepted that destiny..."
(Looks up from letter, addresses Rosenqvist)
That's Du Pont speaking... not me...
(Again picks up letter and continues to read)
"because a single evening with you around the fire... would have been compensation for both my eyes and heart... I belonged to you, my dear young lady..."
The young lady was then forty-one!
(The ringing of a cellular phone is heard. The committee members, startled, look around, perhaps also toward the theatre audience as if the phone might come from there).
ULA ZORN
(Flustered, rummages through handbag, while the phone keeps ringing, perhaps with an annoying musical tone. She finally retrieves phone and whispers audibly)
Yes? (Brief pause). To Ithaca. (Brief pause). New York...
(Brief pause). Economy! (Brief pause). Three days only... maximum four. (Brief pause). Call later... I can't talk now.
(Puts down phone. Looks unapologetic)
Sorry... I didn't know it was on.
LIGHTS DIM.
(BENGT and ULF move to one side of stage,
ASTRID and ULLA to other. Sune remains frozen in his seat.
Spotlight on faces of BENGT and ULF).
BENGT HJALMARSSON
That telephone call.
ULF SVANHOLM
I won't touch a cellular phone.
BENGT HJALMARSSON
Another sign you're getting old. (Laughs)... Why is she flying to Ithaca?
ULF SVANHOLM
Probably a boyfriend... at Cornell University.
BENGT HJALMARSSON
I doubt it.
CROSSFADE to spotlight on faces of women.
ULLA ZORN
You aren't angry, are you?
ASTRID ROSENQVIST
Just amused.
ULLA ZORN
That's a relief.
ASTRID ROSENQVIST
But you're showing off too much.
ULLA ZORN
Bengt Hjalmarsson irritates me.
ASTRID ROSENQVIST
Bengt is a complicated man.
ULLA ZORN
I suppose that's a compliment.
ASTRID ROSENQVIST
Not necessarily... it's just an experimental observation
LIGHTS FADE,
rise on committee back in place
ASTRID ROSENQVIST
Ulf... since we're hearing about everybody's historical research, what did you dig up on Priestley? Or did you spend your time on Mrs. Priestly?
ULF SVANHOLM
I did not! Priestley lived at the right time in the right country: England... the 18th century hot house of pneumatic chemistry. In the case of Priestley, the self-taught chemist just happened to be a minister. He published 50 works on theology, 13 on education, 18 on political, social, and metaphysical subjects...
BENGT HJALMARSSON
A preacher dabbling in chemistry...
ULF SVANHOLM
(Raises hand)
...and fifty papers and no less than twelve books on science! You wouldn't call that dabbling, would you?
SUNE KALLSTENIUS
But what's in those books and papers? We must deal with content... with quality... not authorial diarrhea!
ULF SVANHOLM
Now, now! Just because Scheele completed only one book... just because your man was constipated...
ASTRID ROSENQVIST
(Admonishingly)
Enough! What about the chemistry?
BENGT HJALMARSSON
Did Priestley realize what he was doing?
ULF SVANHOLM
He subjected air to all kinds of chemical processes...
BENGT HJALMARSSON
In an utterly haphazard manner.
ULF SVANHOLM
(Beginning to show irritation)
He was learning as he went along. When Lavoisier made his "vital air" he used Priestley's method, didn't he? It's the results that count. And—in contrast to Scheele—Priestley was ambitious enough to let people know what he found.
SUNE KALLSTENIUS
Maybe that ambition clouded his judgment.
ULF SVANHOLM
What's wrong with ambition? Look at it as the blemish in a Persian carpet that makes it valuable.
SUNE KALLSTENIUS
Does that mean that a carpet without blemishes cannot be as valuable... or even more so?
ULF SVANHOLM
I'm beginning to regret having mentioned ambition... or carpets. Let's forget about both! Anyway... Priestley loved to talk of his work... probably even to his wife.
(Ironic tone)
Or does that surprise you, Ms. Zorn?
ULLA ZORN
Why should it? Mrs. Priestley was educated... she wrote beautiful letters... and she was a true helpmate.
LIGHTS FADE on committee.
(HJALMARSSON, ZORN and KALLSTENIUS freeze,
while ASTRID ROSENGVIST and ULF SVANHOLM change costumes on stage and move downstage and across)
LIGHTS UP ON PRIESTLEY and MRS. PRIESTLEY.
MRS. PRIESTLEY
And what did you do in Paris?
PRIESTLEY
I visited Versailles with Lord Shelburne.
MRS. PRIESTLEY
And dined well, no doubt.
PRIESTLEY
In fact, one night at the table of Monsieur and Madame Lavoisier. Most of the natural philosophers of the city were there. I told them of my new air, in which a candle burned much better than in common air.
MRS. PRIESTLEY
I wish you had taken me, Joseph.
PRIESTLEY
I wish you had been there. Oh, it was difficult, Mary.
MRS. PRIESTLEY
They did not believe you?
PRIESTLEY
Who knows? I spoke French so imperfectly - I had common words, but not the scientific terms.
MRS. PRIESTLEY
I would have translated for you.
PRIESTLEY
You're a clever woman, Mary... but what about the children? No matter... Mme. Lavoisier asked how I made the air.
MRS. PRIESTLEY
(Concerned)
And you told her?
PRIESTLEY
Of course. Mme. Lavoisier understood. She explained it to her husband.
MRS. PRIESTLEY
She also assists him in the laboratory?
PRIESTLEY
Indeed. After dinner, she displayed drawings of their equipment... much better than mine... which, I hope, will persuade Lord Shelburne to loosen his purse some more. But her drawings were skillful...
MRS. PRIESTLEY
I envy her. I once learned how to draw...
PRIESTLEY
You help in other ways... you take splendid care of house and family...
MRS. PRIESTLEY
And money. But I worry about its source.
PRIESTLEY
I am dependent on his Lordship's favors...
MRS. PRIESTLEY
Which could be withdrawn without notice.
(She pauses, pointing to a newspaper)
Joseph... have you heard what Samuel Johnson says of you?
PRIESTLEY
That scribbler!
MRS. PRIESTLEY
He says you are "an evil man. His work unsettles everything."
PRIESTLEY
(Laughs)
Not as good as Edmund Burke, Mary. Not nearly so. Burke called me "the wild gas, the fixed air is plainly broke loose."
(Laughs again)
At least he's got one of my airs right!
MRS. PRIESTLEY
I wish you'd be more cautious.
PRIESTLEY
Change will come... liberating all the powers of man from the variety of fetters by which they have hitherto been held. Why be afraid? And of whom? Of these arse-lickers of kings?
MRS. PRIESTLEY
But what about your laboratory... your work... our children? People stir against us in town.
PRIESTLEY
Let them talk. Now let me show you this letter from Dr. Benjamin Franklin... His friendship makes up for all the fulminations of the others.
LIGHTS FADE
(PRIESTLEY and Mrs. PRIESTLEY change costumes on stage and then rejoin other committee members)
LIGHTS UP
ULF SVANHOLM
Isn't it ironic? Priestley—a chemical conservative... just think of his undying defense of phlogiston—was such a political and religious revolutionary that a mob burned his house in Birmingham. (Pause). Three years later, he fled to America... with Benjamin Franklin's help.
ASTRID ROSENQVIST
Can we finally we turn to Scheele's letter? Did Lavoisier get it? Did he read it?
BENGT HJALMARSSON
There is no hint on the part of Lavoisier—no letters, hearsay, other contemporary documents... at least in France... absolutely nothing to indicate that he had ever received a written communication from Scheele. Yet the answer is... (pause)... yes, he did.
ASTRID ROSENQVIST
Yes to both questions?
BENGT HJALMARSSON
To both.
ULLA ZORN
And the evidence?
BENGT HJALMARSSON
Grimaux's finding.
ULLA ZORN
(Dismissive, but sotto voce)
Oh that!
ASTRID ROSENQVIST
Who is Grimaux?
BENGT HJALMARSSON
A French chemist turned historian who found Scheele's letter in 1890. There it was... hidden among Lavoisier's papers for over one hundred years.
ASTRID ROSENQVIST
And you saw it?
BENGT HJALMARSSON
(Starts rummaging in his briefcase)
Yes. It's now in the archives at the French Academy of Sciences. (Triumphant). And I brought some slides to prove it. Here is the first page:
(Projects Fig. 1a and then walks up to the screen to point to relevant sentence. Reads it quickly in French).
"Je ne desire rien avec tant d'ardeur que de vous pouvoir faire montrer ma reconnaissance." Not bad, eh?
SUNE KALLSTENIUS
Stop showing off and translate.
BENGT HJALMARSSON
"There is nothing I desire more eagerly than to be able to show you my discovery."
SUNE KALLSTENIUS
(Grins)
Well, well! So you're moving to the Scheele camp!
ULLA ZORN
Professor Hjalmarsson . . . I hope you won't mind a minor correction.
BENGT HJALMARSSON
What correction?
ULLA ZORN
"Reconnaissance" means "gratitude," not "discovery." Scheele is just thanking Lavoisier for a book he had sent him earlier.
BENGT HJALMARSSON
(Slightly irritated, but recovers quickly)
Of course! How stupid of me. But where did you pick up your French?
ULLA ZORN
A former boyfriend . . . He was French.
BENGT HJALMARSSON
Ah, yes . . . by far the most efficient way of learning French . . . But back to the letter. Here is the second slide:
(Projects Fig. 1b)
SUNE KALLSTENIUS
(Jumps up, goes to screen and points to bottom lines)
Note the date, September 30, 1774. And Scheele's signature.
ULLA ZORN
But that doesn't prove that Lavoisier had actually read the letter.
(All look at her, startled)
BENGT HJALMARSSON
And what makes you say that?
ULLA ZORN
A historian's skepticism.
BENGT HJALMARSSON
(Taken aback, walks over to Zorn to confront her)
What did you say your Ph.D. thesis was on?
ULLA ZORN
I didn't.
BENGT HJALMARSSON
Some national secret that you cannot share with us?
ULLA ZORN
Not at all. You just never asked me.
BENGT HJALMARSSON
I am asking now.
ULLA ZORN
"Women in the lives of some 18th century chemists."
BENGT HJALMARSSON
And why didn't you tell us that before?
ULLA ZORN
You didn't seem to have a very high opinion of historians... Perhaps you still don't.
END OF SCENE 7
SCENE 8
(Stockholm 2001, immediately after Scene 7. Committee members other than Hjalmarsson have left, while Zorn is collecting papers and closing computer).
BENGT HJALMARSSON
Now that everyone has left, I hope you won't mind a comment.
ULLA ZORN
I had no choice before... so one more won't hurt me.
BENGT HJALMARSSON
So Astrid felt she had to smuggle you in? Don't you feel used?
ULLA ZORN
With you, I might have. But not with Professor Rosenqvist.
BENGT HJALMARSSON
"Professor Rosenqvist!" Why don't you call her "Astrid?"
ULLA ZORN
I do... usually.
BENGT HJALMARSSON
Why not now?
ULLA ZORN
Out of respect... for her. I didn't like the way you questioned her... about my presence.
(Hjalmarsson looks at her, then sits on edge of table facing her)
BENGT HJALMARSSON
You're right... I was irritated. I don't like to be surprised. Of course, you didn't behave like a mousy amanuensis. (Laughs). What a precious word... "amanuensis."
ULLA ZORN
For once we agree. I hate it. Nor do I enjoy being reduced to a keeper of committee minutes... even of a Nobel Committee.
BENGT HJALMARSSON
You certainly showed it.
ULLA ZORN
(Sarcastic)
I'll try to improve... now that you know I am also a historian. Imagine how I felt at the first meeting when you all disparaged my profession-
BENGT HJALMARSSON
How could we've known that a historian was in the room?
ULLA ZORN
You wouldn't have acted differently.
BENGT HJALMARSSON
(Laughs)
Probably not.
ULLA ZORN
(Musingly).
Actually, I have a feeling something has changed.
BENGT HJALMARSSON
Yes?
ULLA ZORN
Now you all think you're experts in my field.
BENGT HJALMARSSON
Is that why you brought in those historical tidbits? To show that we still had to learn?
ULLA ZORN
(Changes the topic)
When I see all of you... sniping at each other... worrying about who published... who didn't...
BENGT HJALMARSSON
You're puzzled.
ULLA ZORN
This wasn't my idea of science and scientists.
BENGT HJALMARSSON
You think we arrange beetles in a museum case?
ULLA ZORN
I thought at the heart of science was sheer curiosity. I see that in Scheele... maybe also in Priestley. I start having troubles with Lavoisier.
LIGHTS FADE
(Trumpets, as at the Nobel Award ceremonies, signaling a change of place and time.)
LIGHTS UP
(A suggestion of a palace setting, a royal theatre. At center or right upstage is a bare demonstration table. Actual or simulated experiments will be done at this table; there may also be projections shown on rear screen. Left downstage is the sauna where the women will appear.)
COURT HERALD'S VOICE
Your Majesties, esteemed guests! Throughout Europe, pneumatic chemistry is in the air. A dispute has arisen: Who, among these great savants, discovered the vital air supporting life? (Pause). A golden medal... with a likeness of our King Gustavus III... will be struck in honor of the true discoverer. And our King is famed for his munificence in other ways...
PRIESTLEY
(Aside)
As he squanders the people's money...
(Trumpets)
COURT HERALD'S VOICE
Let the Judgement of Stockholm begin! And let the three savants be their own judges! Vital air! (Pause). Who made it first?
SCHEELE
(Quietly, but quickly)
I did. And called it eldsluft... a good Swedish word for fire air.
PRIESTLEY
But is that not air deprived of all phlogiston? The air that inflames all things? That is why I named it "dephlogisticated air." (Pause). But dear Scheele... where should we have learned of your discovery?
SCHEELE
In my book, about to appear...
PRIESTLEY
I made that air by heating mercurius calcinatus in 1774 and...
(Pause, then raised voice for emphasis)
communicated that discovery in the same year!
(Addresses Scheele)
I know of no paper of yours...
LAVOISIER
(Smiling)
Mes amis! He who starts the hare, does not always catch it.
SCHEELE
There is no hare to catch if someone does not start the hunt!
LAVOISIER
It is we who must decide who first captured the essence of that vital air...
PRIESTLEY
(Sarcastic)
And what does that mean?
SCHEELE
It is essential to know who made the air first...
PRIESTLEY
...for it is the invention that will be remembered by posterity, not its ephemeral interpretation...
LAVOISIER
(Shifting the subject)
Let us do the experiments we judge vital in this matter. Whose experiment will come first?
SCHEELE
Monsieur Lavoisier, do me the honor of performing the experiment I brought to your attention some three years ago in my letter—
LAVOISIER
I know of no letter—
SCHEELE
(Takes paper from his coat)
Let me read it for you.
(LIGHTS DIM; spots on two men. This is the first of three experimental scenes. The stage is darkened, except for spots on the bench and on the man who performs the experiment, as well as the one who directs him.)
SCHEELE
(Reads from letter in his hand).
Dissolve silver in acid of nitre and precipitate it with alkali of tartar. Wash the precipitate, dry it, and reduce it by means of a burning lens ... A mixture of two airs will be emitted. And pure silver left behind.
LAVOISIER
And then?
(LIGHT DOWN on men, who continue their experiment in mime. LIGHT UP on women in sauna).
MRS. PRIESTLEY
How hot the air is in your sauna, Fru Pohl!
FRU POHL
Still ... it's the air we all breathe.
MME. LAVOISIER
Yet only part of it is vital air, the rest ...
FRU POHL
Indeed, this part is the air Apothecary Scheele made. Once he invited me into his shed to show me the experiment making fire air he had done earlier in Uppsala. He was bubbling the newly formed gas through a kind of water.
MME. LAVOISIER
It must have been limewater.
MRS. PRIESTLEY
It turned cloudy, didn't it?
FRU POHL
How do you know?
MRS. PRIESTLEY
I've listened to Joseph's lectures on fixed air.
MME. LAVOISIER
The same air we expire ... the one we remove by passage through limewater.
FRU POHL
In the remaining air, he bid me thrust a splint that had blown out. Just a glow of a coal at its end. It was toward evening.
(The flaring up of the splint in the men's experiment coincides with its mention by Mrs. Priestley.)
MRS. PRIESTLEY
And it flared in brightest flame ... and kept burning!
FRU POHL
How could you know that?
MRS. PRIESTLEY
Because my Joseph did that too.
MME. LAVOISIER
We all did it.
(LIGHTS OUT on women, UP on men)
SCHEELE
I did that experiment in 1771 in a pharmacy in Uppsala ... with equipment much more modest than now put at our disposal by your Majesty.
PRIESTLEY
Yet you did not report it?
SCHEELE
I told Professor Bergman ... I thought he would tell others.
PRIESTLEY
Your experiment was with a silver salt.
SCHEELE
I obtained the air over the next three years in many different ways. Including red mercurius calcinatus, as you did.
LAVOISIER
That red mercury compound—it is also how we... Dr. Priestley and I... made that air.
PRIESTLEY
We? (Pause). We were not in the same laboratory, Monsieur Lavoisier! Pray speak clearly of who did what and when. I made that air first... and did so alone. And I will now show you how I accomplished that. Mr. Scheele, will you perform the experiment?
SCHEELE
It will be an honor to do so.
(Both men step to demonstration table; lights dim)
PRIESTLEY
In August of 1774, I exposed mercurius calcinatus... the red crust that forms as mercury is heated in air... in my laboratory to the light of my burning lens. As the red solid is heated, an air will be emitted, while dark mercury globules will condense on the walls of the vessel. You will collect the air by bubbling it through water.
LAVOISIER
But where is your balance, Dr. Priestley? Shall the gas not be weighed?
PRIESTLEY
A timepiece is sufficient. We have here two chambers... one with ordinary air... the other with my new dephlogisticated one. Mr. Scheele, now take a mouse...
(Lights down on the men, who continue to mime experiment. Lights up on women)
MRS. PRIESTLEY
I asked him—why mice?
FRU POHL
And?
MRS. PRIESTLEY
The good doctor said: Would you use English children? Mice live as we do.
MME. LAVOISIER
On a part of ordinary air.
MRS. PRIESTLEY
Then he placed one mouse in a jar of plain air.
FRU POHL
Where it died in time.
MRS. PRIESTLEY
How do you know that?
FRU POHL
Apothecary Scheele showed me.
MME. LAVOISIER
It is a well-known fact, described also by other savants.
MRS. PRIESTLEY
And then he placed the other one in—
FRU POHL
Fire air...
MRS. PRIESTLEY
My Joseph's dephlogisticated air...
MME. LAVOISIER
And it lived much longer, did it not? This is why we called that new air eminently respirable. Or vital.
MRS. PRIESTLEY
I detest mice.
FRU POHL
(Laughs)
With living things, Carl Wilhelm can be clumsy. He often dropped them! But we know mice in the country. If I didn't catch them, the cats did.
(Lights out on the women, up on the men)
LAVOISIER
There is no doubt that Dr. Priestley's method produces vital air. But—
PRIESTLEY
But, Monsieur?
LAVOISIER
Now is my turn. May I proceed?
SCHEELE, PRIESTLEY
Of course.
LAVOISIER
We just observed a mouse living longer in the vital air we have all made. Yet in the end that mouse also dies, as the air is depleted. However, in my own work . . . I have moved far, far beyond watching mice die. Your Majesty, gentlemen! This air . . . which I propose we henceforth call oxygen—
PRIESTLEY
(Interrupts)
I object, sir! It's easy to call something by a new name . . . when you don't know what you have! Be descriptive, sir! Why not dephlogisticated—
LAVOISIER
(Interrupts)
I know the air as well as you do, Monsieur. "Oxy" is Greek . . . for sharp or acid. And since I believe our air to be found in all acids, I am being descriptive . . .
PRIESTLEY
Descriptive? Bah! You, sir, are being sharp . . . or perhaps acid . . . but our dephlogisticated air is neither.
LAVOISIER
Allow me the courtesy to continue. This air is at the heart of all chemistry. I have shown that when we breathe, the wondrous machinery of the body transforms a given weight of oxygen . . . into other gases and water.
PRIESTLEY
But that is obvious!
LAVOISIER
Not until you weigh it! For that . . . (confronts Priestley) . . . a timepiece is not sufficient . . . Since nothing is gained . . . nor lost in this world . . . be it in the economy of a country or a chemical reaction . . . the balance sheet of life's chemistry must be determined.
PRIESTLEY
Ah, it's the banker in you . . .
LAVOISIER
(Ignores Priestley's comment)
I have brought from Paris a suit of rubber I have devised. It catches all the effluents of the body . . . to show us that the equation balances. (Pause). Dr. Priestley, are you prepared to perform the experiment?
(LIGHTS OUT, except for spots on Priestley and Lavoisier)
PRIESTLEY
Indeed I am . . . even weighing things on your balances. But . . . it appears we require a volunteer for the experiment . . . to wear your modern suit of armor. Mr. Scheele?
SCHEELE
With pleasure.
(Scheele marches up, with determination. He picks up "rubber suit", not unlike old-fashioned diving or scuba suit).
LAVOISIER
Not only must you weigh Apothecary Scheele . . . you must also weigh his suit. The measurements will take several hours.
LIGHTS DIM on men.
MME. LAVOISIER
Ladies . . . I would show you the sketch of the experiments M. Lavoisier performed.
Projection of one of Mme. Lavoisier's drawings of the experiment appears on screen for remainder of their conversation.
Fig. 2
FRU POHL
A sketch?
MRS. PRIESTLEY
For your own pleasure, Madame?
MME. LAVOISIER
As a record.
FRU POHL
But why should a "record" be needed?
MME. LAVOISIER
To give others evidence of what was done, of course.
MRS. PRIESTLEY
As well as when, I should think.
MME. LAVOISIER
(Startled for a moment)
Our experiments are quite complex. An assistant is encased in a suit of rubber and silk taffeta. And all that goes in and out of him is analyzed. And recorded. Over many hours.
FRU POHL
The poor man!
MME. LAVOISIER
Quantitative analysis is a hard mistress.
(LIGHTS DIM on women, RISE ON men)
LAVOISIER
(Addresses Priestley)
I trust you took care . . . for the margin of error must not be more than 18 grains in 125 pounds. What do you find?
PRIESTLEY
Mr. Scheele has lost some weight.
(Scheele seems weak, but smiles)
When we take into account the water breathed out, there's indeed a rough balance.
LAVOISIER
Nothing is created—
PRIESTLEY
Except by God.
LAVOISIER
Nor lost.
SCHEELE
Except by Man. Especially when he is the subject of an experiment.
LAVOISIER
(Driving his point home, and refusing to enter the banter)
Gentlemen! That crucial mass balance (with emphasis) . . . punctures phlogiston's balloon.
SCHEELE
Surely the facts may be explained otherwise.
PRIESTLEY
Indeed, sir...
(He looks at Lavoisier)
...the experiment you so laboriously had us do... did demonstrate... I readily confess... one function of your...
(Assumes sarcastic tone)
"eminently breathable air." (Pause). But, Monsieur, you did not show us how you made that air.
LAVOISIER
I knew my air was there in ordinary air... Did I not see metals combine with it... with sulfur... or with phosphorus?
PRIESTLEY
That does not tell us how you produced the dephlogisticated air...
LAVOISIER
Pray stop calling it "dephlogisticated," Dr. Priestley. The name derives from a theory that is passé.
PRIESTLEY
Not for me.
SCHEELE
Nor for me.
LAVOISIER
Why not a new name for the air, to avoid this argument?
PRIESTLEY
Call it oxygen? And yield to the tyranny of a nomenclature invented by you?
LAVOISIER
(Angry)
When a new structure is needed for a science... when, indeed, there must be a revolution, new names are also required.
PRIESTLEY
But you did not know what that gas was!
LAVOISIER
I saw the need for one air explaining rusting, burning, and respiration!
PRIESTLEY
(Heatedly)
But until that October dinner in Paris when I informed you of my observations... you did not know the nature of that air...
SCHEELE
(Untypically forceful)
And until that October day when you got my letter which told you how to make fire air...
(They argue simultaneously to the end of the scene)
LAVOISIER
I had begun my experiments with mercurius calcinatus...
PRIESTLEY
Only after you heard of what I discovered...
SCHEELE
You did not know how to make that air...
COURT HERALD' VOICE
(Sound of tapping staff)
Gentlemen! Gentlemen! His Majesty is vexed. (Pause). Royal displeasure is the only judgment you will receive today!
(LIGHTS FADE, UP AGAIN IN 2001)
BENGT HJALMARSSON
So Lavoisier is too meticulous for you. Is his interest in precise weights any different from yours in exact dates and documents?
ULLA ZORN
I'm also talking about each of you...
BENGT HJALMARSSON
You're confusing science with scientists.
ULLA ZORN
Am I?
BENGT HJALMARSSON
Science is a system...a search driven by curiosity, all the time touching base with what's real...That system works...
ULLA ZORN
No matter what motivates the people who do it?
BENGT HJALMARSSON
Scientists might be after priority...power...money...As long as they publish, Ulla, someone will check their work.
ULLA ZORN
And how often does that happen?
BENGT HJALMARSSON
The more interesting the discovery, the more closely it will be checked...
ULLA ZORN
To prove the other person wrong? Hardly a noble reason!
BENGT HJALMARSSON
It still keeps us honest...most of the time. It doesn't matter whether angels or devils uncover how the world works. It doesn't even matter if they give proper credit to others...
ULLA ZORN
You're pretty cynical.
BENGT HJALMARSSON
I've heard that before...from another woman. But another part of me also knows that science is not always about power...or control...or even progress. The world can be a playground, full of secrets. Where it's just plain fun for me to find out why one molecule is bent, another linear.
(Hjalmarsson imitates the bending of a molecule with his hands)
(Astrid Rosenqvist enters, but at first is not noticed by Zorn and Hjalmarsson).
ULLA ZORN
(Slightly ironic, yet touched)
In other words, scientists can also have fun...like historians?
BENGT HJALMARSSON
(Startled)
Astrid! What brings you back?
ASTRID ROSENQVIST
(Sensing both their discomfort at having been overheard)
I forgot my cigarettes.
(Points to cigarette case lying on table near her seat)
BENGT HJALMARSSON
Well...so long to both of you...I've got to get back to the lab.
(Exits)
ASTRID ROSENQVIST
Well, Ulla...what do you think now?
ULLA ZORN
(Flustered)
What do you mean?
ASTRID ROSENQVIST
Of Bengt.
ULLA ZORN
As you said earlier...an interesting man.
ASTRID ROSENQVIST
I think I said "complicated."
(Looks pensively at Ulla Zorn)
But I agree...he's also interesting...even now.
ULLA ZORN
Compared to when?
ASTRID ROSENQVIST
I'll tell you a story about him. You know he was at the Pasteur Institute. He met there a young French biologist, brought her back to Sweden.
SCENE 8
ULLA ZORN
(Intensely curious)
Now that is interesting!
ASTRID ROSENQVIST
They lived together, but she couldn't take our November nights. So she went back to France. Since then he's been in the lab all the time. But at night he plays the cello.
ULLA ZORN
So you like Bengt?
ASTRID ROSENQVIST
You do too... don't you?
LIGHTS FADE
END OF SCENE 8
SCENE 9
(Stockholm, 1777, evening following Stockholm Challenge in Scene 8). Bare room, very dark, three couples (left upstage, center downstage, and right upstage) barely discernible.
(Spotlight focuses on MRS. PRIESTLEY and PRIESTLEY. They whisper)
MRS. PRIESTLEY
Why face him?
PRIESTLEY
I must.
MRS. PRIESTLEY
To prove you told him?
PRIESTLEY
To show I was first.
MRS. PRIESTLEY
And Scheele?
PRIESTLEY
I trust him.
MRS. PRIESTLEY
He claims priority.
PRIESTLEY
He did not publish.
MRS. PRIESTLEY
Yet wasn't he first?
PRIESTLEY
Perhaps.
MRS. PRIESTLEY
But that would make you second.
PRIESTLEY
It would make Lavoisier third.
MRS. PRIESTLEY
Is that the point? That he was last.
PRIESTLEY
Indeed.
MRS. PRIESTLEY
Why?
PRIESTLEY
Have the world bow to him? (Pause). When I preceded him?
MRS. PRIESTLEY
If you were King Gustav –
PRIESTLEY
God forbid!
MRS. PRIESTLEY
(Persists)
Still . . . if you were King . . . whom would you pick?
PRIESTLEY
I’d ask . . . whom would the world choose?
MRS. PRIESTLEY
Joseph! Answer me . . . as my husband . . . not as a clever minister.
PRIESTLEY
You’ve always wanted black and white answers.
MRS. PRIESTLEY
This question deserves it.
PRIESTLEY
Deserving something does not always lead to getting it.
MRS. PRIESTLEY
You’re not in a pulpit.
PRIESTLEY
(Tired)
I published first . . . which makes me first in the world’s eyes.
MRS. PRIESTLEY
I meant the heart . . . not the eyes.
PRIESTLEY
The world has no heart.
MRS. PRIESTLEY
But you do . . . you’ve often opened it to me.
PRIESTLEY
You’re a clever woman, Mary.
MRS. PRIESTLEY
No . . . this is your loving wife asking.
PRIESTLEY
Before we came to Stockholm, I was convinced . . . in my heart and mind . . . that I was first. (Pause). But now?
MRS. PRIESTLEY
I understand, Joseph.
Spotlight focuses on FRU POHL and SCHEELE. They whisper.
FRU POHL
How will you convince him?
SCHEELE
I have a copy.
FRU POHL
He may claim you never sent it.
SCHEELE
Bergman saw it.
FRU POHL
I forgot.
SCHEELE
He will remember.
FRU POHL
There is Madame Lavoisier—
SCHEELE
Yes?
FRU POHL
I think she knows.
SCHEELE
You are sure?
FRU POHL
I sensed it.
SCHEELE
Not much is hidden in a sauna.
FRU POHL
But did she tell her husband?
SCHEELE
Would you have?
FRU POHL
(Hesitates)
Yes.
SCHEELE
Why?
FRU POHL
Because... it would be right.
SCHEELE
You're a good woman... Sara Margaretha.
FRU POHL
You told me that once before.
SCHEELE
It bears repeating.
FRU POHL
Mme. Lavoisier...
SCHEELE
I do not trust her.
FRU POHL
But does he?
(Spotlight focuses on MME. LAVOISIER and LAVOISIER. They whisper.)
MME. LAVOISIER
You will meet them both?
LAVOISIER
His Majesty insisted.
MME. LAVOISIER
But that dinner in Paris with Priestley... I worry.
LAVOISIER
So do I. There were witnesses.
MME. LAVOISIER
And the letter?
LAVOISIER
What letter?
MME. LAVOISIER
Scheele's. I saw it...
LAVOISIER
(Taken aback)
You saw it?
MME. LAVOISIER
But I couldn't tell you.
LAVOISIER
(Furious)
Why do it now?
MME. LAVOISIER
I feel guilty.
LAVOISIER
(Even angrier)
And I must share your guilt?
MME. LAVOISIER
You are my husband.
LAVOISIER
Where is the letter?
MME. LAVOISIER
Hidden.
LAVOISIER
(Taken aback)
You have not destroyed it?
MME. LAVOISIER
You look so angry. Why?
LAVOISIER
I do not wish to discuss it.
MME. LAVOISIER
You cannot tell your wife?
LAVOISIER
I can tell no one.
MME. LAVOISIER
But why?
LAVOISIER
Once voiced, I'd have to deny that thought... or condemn it.
MME. LAVOISIER
So you disapprove of what I did?
LAVOISIER
You're still young.
MME. LAVOISIER
Why blame youth?
LAVOISIER
Subtlety only comes with maturity.
MME. LAVOISIER
You taught me chemistry... now teach me subtlety.
LAVOISIER
Subtlety cannot be taught.
MME. LAVOISIER
Nor explained?
LAVOISIER
If I'd known he'd choose a personal letter - not a scientific article - to establish his priority, I would have wished that letter away.
MME. LAVOISIER
Of course! That's why-
LAVOISIER
Wait! But not wished to know how it disappeared.
MME. LAVOISIER
If that is subtlety... I do not understand it.
LAVOISIER
A stray thought becomes iniquity when spoken.
MME. LAVOISIER
It's the lawyer in you... a role I never liked.
LAVOISIER
The law is never likeable... especially when dealing with guilt.
MME. LAVOISIER
I'm the guilty one... I admitted it... and only to you.
LAVOISIER
Tainted by knowledge of the deed, how can I approve of my wife's action?
MME. LAVOISIER
Even when done as a token of love... for you?
LAVOISIER
Especially if done for love... for then I must reject your gift of love as well.
BLACKOUT. (Women exit)
LIGHT ON SCHEELE, LAVOISIER, and PRIESTLEY
SCHEELE
"Resolve the question: Who made fire air first?" That was His Majesty's command.
LAVOISIER
Is that the real question?
PRIESTLEY
Of course. And you, Monsieur... did not make that air first... as you yourself in effect conceded yesterday.
LAVOISIER
I understood it first...
SCHEELE
Understanding only comes after existence!
PRIESTLEY
But proof of such existence must be shared!
SCHEELE
I shared it! Here is the letter...
(Offers it to Lavoisier who does not take it)
dispatched to you almost three years ago. Describing work done earlier still.
LAVOISIER
(Aggressive, yet words carefully chosen)
I never heard about that letter until today...
SCHEELE
It describes the preparation of fire air...
LAVOISIER
No such letter ever reached me.
SCHEELE
A recipe you reproduced in front of all of us today.
LAVOISIER
But certainly not years ago as you now claim.
(Impatient)
What is the real purpose of this meeting?
PRIESTLEY
Priority! In August 1774 I made dephlogisticated air... your oxygen...
LAVOISIER
Then you thought you had nitrous air, sir.
PRIESTLEY
The first steps of discovery are often tentative.
LAVOISIER
Some of us are more careful than others.
PRIESTLEY
In October of that year, I met the leading chemists of France (Pause)... including you, Sir.
LAVOISIER
Indeed, you dined in my house in Paris.
PRIESTLEY
I told the gathering...
LAVOISIER
in your imperfect French...
PRIESTLEY
... which Madame Lavoisier comprehended fully... of my discovery.
LAVOISIER
Your report... lacked clarity. Your methods were imprecise...
PRIESTLEY
Sir, your words are unworthy.
LAVOISIER
At best, you, Dr. Priestley, supplied us with the smallest of clues...
PRIESTLEY
I thought details mattered to you, sir.
LAVOISIER
Only if they are relevant.
PRIESTLEY
More than once, my experiments in pneumatic chemistry were cited by you-
LAVOISIER
Is that a reason to complain?
PRIESTLEY
Only to be then diluted... if not evaporated.
LAVOISIER
How did I do so?
PRIESTLEY
You write
(heavy sarcasm)
"We did this... and we found that." Your royal "we", sir, makes my contributions disappear... poof... into thin air! (Pause). When I publish, I say, "I did... I found... I observed." I do not hide behind a "we."
LAVOISIER
Enough of generalities... (Aside)... or platitudes. (Louder). What now?
PRIESTLEY
The question, sir! The question! Who made that air first?
SCHEELE
(Much more insistent than before, to audience)
I did. And future generations will affirm it.
PRIESTLEY
(To audience)
But by the grace of God, I made it too... and published first!
LAVOISIER
(To audience)
They knew not what they’d done . . . where oxygen would lead us.
(The three men start arguing simultaneously in loud tones so that the words cannot be understood)
OFFSTAGE
COURT HERALD’S VOICE
(Tapping of staff)
Three savants? Yet you cannot agree? So be it. (Pause).
The king will not reward you!
END OF SCENE 9
1777
INTERMEZZO 4
Immediately following Scene 9
(Stockholm, 1777, sauna)
FRU POHL
So we meet once more before your departure.
MRS. PRIESTLEY
(Playing with birch branch in hand)
Perhaps the last sauna of my life.
FRU POHL
Madame Lavoisier declined. Perhaps today she has something to hide.
MRS. PRIESTLEY
The Judgment of Stockholm didn’t please her. Yet who cares if the King decides . . . or doesn’t?
FRU POHL
Herr Scheele and I care. He is our King.
MRS. PRIESTLEY
The rewards of discovery are not of this earth.
FRU POHL
The words of a minister’s wife. But Apothecary Scheele seeks the affirmation of his peers.
MRS. PRIESTLEY
He has their respect.
FRU POHL
In his quiet way, he wishes for more. And . . . we need new shelves for our pharmacy . . . The King’s reward was not solely a medal.
MRS. PRIESTLEY
Surely your friends . . .
FRU POHL
Will they? (She shifts discussion). Our men, who actually made the fire air . . .
MRS. PRIESTLEY
(Lightly strikes Fru Pohl with the birch branch)
... dephlogisticated air, if you will.
FRU POHL
You see? We are just like them. Call it what you may...
MRS. PRIESTLEY
Even the Frenchman's "oxygen"?
FRU POHL
Yes, even that. What matters is ... they could not agree on who made it first.
MRS. PRIESTLEY
Will they ever?
FRU POHL
I doubt it. They missed their chance.
MRS. PRIESTLEY
So it will remain a mystery?
FRU POHL
Oh no. The world likes it simple. Others will decide.
END OF INTERMEZZO
SCENE 10
(Stockholm, 2001; Royal Academy of Sciences, two weeks after Scene 8. Ulla Zorn is fiddling with some projection equipment for a computer-controlled presentation, which none of the others notice).
ASTRID ROSENGVIST
It's time for a formal motion. (Looks around). Bengt ... do you want to start?
BENGT HJALMARSSON
(With exaggerated formality)
I propose that the Royal Swedish Academy of Sciences select Antoine Laurent Lavoisier, the architect of the Chemical Revolution, for the first retro-Nobel Prize in Chemistry.
(Reverts to ordinary tone).
I hope that's formal enough.
SUNE KALLSTENIUS
Mine is less formal, but direct: I propose Carl Wilhelm Scheele for first discovering oxygen. (Pause). A humble man too, who didn't indulge in hype or self-promotion.
ULF SVANHOLM
Clearly, we have a case of simultaneous discovery. What are a few months between friendly competitors? So let me get right to the point: I propose Scheele and Priestley. Period! But Lavoisier? He may deserve it — but not for the discovery of oxygen.
BENGT HJALMARSSON
I nominated him as the Father of the Chemical Revolution ... which happened to have come from oxygen! Lavoisier's moral failures are clear, yes ... but he brought about true change, by making chemists pay attention to the balance sheet of nature!
ULF SVANHOLM
Ignore moral lapses?
BENGT HJALMARSSON
It's happened more than once with our regular Nobel Prizes. Good or poor ethics simply can't be weighed on the same scale with good or poor science!
ULF SVANHOLM
But what a precedent for the first retro-Nobel!
ASTRID ROSENQVIST
Please! Today, we deal with nominations... not with reasons for the nominations.
BENGT HJALMARSSON
And whom do you favor, oh chair? So far, you've acted like a sphinx.
ASTRID ROSENQVIST
There are seven combinations of the three names that one might imagine: Three men alone... three pairs... and all three together. Let me put on the table the most attractive option... awarding the first retro-Nobel Prize in Chemistry jointly to all three. But cite them for the Chemical Revolution rather than the discovery of oxygen.
ULF SVANHOLM
Include Lavoisier... who failed to credit work explicitly reported to him by Priestley... and confided to him in Scheele's letter?
ULLA ZORN
Which Lavoisier had never seen.
SUNE KALLSTENIUS
What? Ms. Zorn... what did you say?
ULLA ZORN
Your work intrigued me... for it continually crossed the lives of women in my thesis. So I made a quick flight to Cornell University in Ithaca, New York.
BENGT HJALMARSSON
I know all about the Cornell collection of Lavoisier papers. What could you have found there?
ULLA ZORN
(Quietly, yet triumphantly)
A book.
BENGT HJALMARSSON
(Sarcastic)
What a surprise! Finding a book... in a library.
ULLA ZORN
A book entitled "Histoire des Théâtre."
SUNE KALLSTENIUS
How could such a book help us?
ULLA ZORN
Let me show you some slides.
(She presses a couple of keys on her computer)
(Fig. 3a)
The object I found there only looks like a book.
(Fig. 3a appears on the screen, the first picture of the nécessaire, closed, in the hands of a woman, causing general
consternation among the committee members except Astrid, who is smiling)
It's Madame Lavoisier's nécessaire ... a travel chest, disguised as a book. To my knowledge, historians had not mentioned it before. But I saw it in the catalog of the 1956 "Souvenir de Lavoisier" sale held in Paris. And then found out that the Cornell Library had purchased it in 1963. (Pause). So I decided to take a look—
ULF SVANHOLM
Intuition?
ULLA ZORN
(Sharply)
Why not call it hands-on research by a historian? Here it is opened
(Fig. 3b)
Look at all the compartments,
(Uses laser pointer to identify the various items)
... with thread, needles, combs, pens, and bottles for perfumes and ink ...
(Fig. 3c)
Even a ruler, crammed in a slit, like in a Swiss Army knife.
ULF SVANHOLM
I'll be damned!
ULLA ZORN
(Pleased and excited)
When you lift the tray out,
(Fig. 3d)
there is place for stationery. I checked the watermarks. The paper is actually after Mme. Lavoisier's times... her heirs must have used the *nécéssaire*. The broken mirror in the lid of the box intrigued me...
(Fig 4)
There was a space behind the mirror. We poked gently around it; the curator as excited as I. We found a paper. This one...
(Waves paper in the air)
SUNE KALLSTENIUS
Stop teasing us! What is it?
ULLA ZORN
A letter... this is a photocopy, of course... a letter apparently never sent. (Pause). From Madame Lavoisier... to her husband.
ULF SVANHOLM
And how do you know it's Mme. Lavoisier's?
ULLA ZORN
I had an expert at Cornell check it.
BENGT HJALMARSSON
(Impatiently)
What did it say?
ULLA ZORN
She writes...
(At this point the lights dim on the frozen committee, except for Ulla Zorn. Lights rise on Mme. Lavoisier, upstage)
MME. LAVOISIER
My dear husband. In these difficult times, in the separation forced upon us by the Revolution, I reflect on the past. I return time and time again to Apothecary Scheele's 1774 letter...
ULLA ZORN
Apparently she intercepted Scheele's famous letter... remember she handled much of Lavoisier's correspondence.
MME. LAVOISIER
Now that the brilliance and accuracy of your studies have convinced the world of the central role of oxygen in chemistry, now that phlogiston lies in the dustbin of discarded theories... I will not speak of the diehards such as Dr. Priestley who continue to preach it. (Pause). I ask you now to forgive me. I could not show Apothecary Scheele's letter to you, my dear husband. It would have taken the wind out of your sails, you, who were so close... And I told you why I felt incapable of destroying it. Our priority rested on my hiding it.
(Lights fade on Mme. Lavoisier)
SCENE 10
ULLA ZORN
Note! She didn't say "your priority" ... but "our."
She filed the letter, without showing it to him. Or actually misfiled it, which may be one of the reasons why it surfaced only over 100 years later when Grimaux found it.
BENGT HJALMARSSON
And you waited until now to tell us?
ASTRID ROSENQVIST
She told me -
BENGT HJALMARSSON
(Outraged)
And why not me ... or the rest of us?
ASTRID ROSENQVIST
I thought Ulla was entitled to announce her discovery herself. If anyone is to blame ... blame me.
BENGT HJALMARSSON
The question was not addressed to you!
(Faces Ulla Zorn)
Why? To show how clever you are? (Softer). I would have told you that ... on my own ... if you'd had the courtesy to inform me first ... Wasn't Lavoisier my responsibility?
ULLA ZORN
I didn't mean to trespass on your turf.
BENGT HJALMARSSON
That's water over the dam.
ULLA ZORN
I meant to help ...
BENGT HJALMARSSON
(Warmer tone)
But why was her letter in that nécessaire? Why was it never sent?
ULLA ZORN
I asked myself that same question.
BENGT HJALMARSSON
And?
ULLA ZORN
I didn't tell you yet the date of Mme. Lavoisier's letter. It was just before Christmas, 1793, when Lavoisier is in jail, a few months before his execution.
BENGT HJALMARSSON
(Gently)
Nineteen years after Scheele's letter came.
ULLA ZORN
Evidently, she continued to brood about it. During the worst of times, with her husband in prison ... she wrote to him ... returning to what she had done years earlier. But when she did, it was no longer safe to send that letter.
(Ulla Zorn sits back. The committee is pensive).
BENGT HJALMARSSON
One letter she could not send ... another she could not burn.
END OF SCENE 10
INTERMEZZO 5
(After scene 10)
Funereal darkness except for spotlight on Mme. Lavoisier on extreme left downstage, quill pen in hand about to write a letter and M. Lavoisier extreme right downstage. Each in apparent soliloquy)
MME. LAVOISIER
My husband... you recognized a girl’s talent... And like my father... you did not snuff it out.
LAVOISIER
My dear wife... In the solitude of a cell... I think of our life together.
MME. LAVOISIER
You were not bored when I played the harp for you in my father’s house...
LAVOISIER
You were not bored when I spoke about geology... about chemistry...
MME. LAVOISIER
When we played the “Game of Good Fortune”... I wondered where the arrow would stop. At which word? “Wisdom”...? “Convent”...? “Marriage”...?
LAVOISIER
I hid from you a magnet’s power... whereby I moved the arrow to (Pause)...
MME. LAVOISIER
Or perhaps...
LAVOISIER and MME. LAVOISIER
(In unison)
“Love”...
LAVOISIER
...a word I had not used before. And then I married you...
MME. LAVOISIER
But...
LAVOISIER
...to become my trusted partner...
MME. LAVOISIER
...I never heard you say “love” again.
LAVOISIER
I had no time for idle pastimes... even for children. I thought you understood...
MME. LAVOISIER
Science and public service were your métier. (Pause). Still...
LAVOISIER
I always felt you were satisfied, yet for you...
MME. LAVOISIER
...something was missing.
LAVOISIER
...there were other men.
MME. LAVOISIER
The word your arrow showed me in my father’s house...
LAVOISIER
Love? (Pause).
MME. LAVOISIER
...is what I missed.
LAVOISIER
No, I offered you more. True partnership. (Pause). No other man could do the same...
MME. LAVOISIER
Pierre Du Pont offered love... for seventeen years. No matter... (Pause) I did not dare explain to you...
LAVOISIER
In prison I now understand...
MME. LAVOISIER
...what I had done.
LAVOISIER
...what I had neglected...
MME. LAVOISIER
(Reaches for a sheet of paper)
Now I must write of it.
LAVOISIER
... to appreciate:
MME. LAVOISIER
Before it is too late.
LAVOISIER
Ambition without love is cold.
MME. LAVOISIER
I've never loved another man.
BLACKOUT
SCENE 11
(Stockholm, 2001, Committee Room. SVANHOLM sits morosely at table. KALLSTENIUS enters).
SUNE KALLSTENIUS
That was a pretty good paper you published the other day. The one on polycarbonates.
ULF SVANHOLM
(Suspicious)
Pretty good?
SUNE KALLSTENIUS
All right ... damned good.
ULF SVANHOLM
That's better. But why the compliment?
SUNE KALLSTENIUS
It wasn't meant as a compliment ... it's a factual observation.
ULF SVANHOLM
(Pleased)
You mean that? (Brief pause). But why tell me now?
SUNE KALLSTENIUS
Astrid was right ... "bury the hatchet."
ULF SVANHOLM
Hmm.
SUNE KALLSTENIUS
Just "hmm"? Ulf ... you're carrying a grudge too far.
ULF SVANHOLM
I?
SUNE KALLSTENIUS
Okay ... okay. We.
ULF SVANHOLM
That's better.
SUNE KALLSTENIUS
You've always blamed me for holding up your paper.
ULF SVANHOLM
You did! For 6 months!
SUNE KALLSTENIUS
Don't start that all over again.
ULF SVANHOLM
That too was first-class research!
SUNE KALLSTENIUS
My job as a reviewer was to question the evidence.
Even of first-class research...
ULF SVANHOLM
Your so-called "improvements" enabled your pals at Stanford to scoop us.
SUNE KALLSTENIUS
I knew nothing about the Stanford work.
(Conciliatory)
Ulf, I didn't talk to them. You can't go on blaming me.
(SVANHOLM, with sullen expression, rises and starts to pace up and down. Suddenly he notices the masks on the wall)
ULF SVANHOLM
(Lifts a mask off the wall)
Look at this! Did you see these before?
SUNE KALLSTENIUS
A mask. They've been there all the time.
ULF SVANHOLM
(Lifts up another)
Two masks.
SUNE KALLSTENIUS
Let's try them on.
ULF SVANHOLM
It seems silly.
SUNE KALLSTENIUS
Who will see us?
ULF SVANHOLM
In this Committee... in science...
SUNE KALLSTENIUS
Yes?
ULF SVANHOLM
Most wear masks anyway...
SUNE KALLSTENIUS
The scientists' "Masked Ball?"
ULF SVANHOLM
Exactly! With masks on, we can pretend we're impartial.
SUNE KALLSTENIUS
Rational gentlemen scholars, eh?
ULF SVANHOLM
Yes. But I'm not that way.
SUNE KALLSTENIUS
(Bantering)
You're not rational... or you're not a gentleman?
(Laughs). Or is it both?
ULF SVANHOLM
Wearing a mask, I'd probably concede that those guys at Stanford did that research independently. But without it, I'm screaming: "They stole my catalyst!"
And (grimace) that you helped them.
SUNE KALLSTENIUS
My catalyst? You sound like one of them.
ULF SVANHOLM
Them?
SUNE KALLSTENIUS
My fire air... my dephlogisticated air... my oxygen...
ULF SVANHOLM
(Plays with the masks)
In that case, let's put them on. Let's pretend we've just discovered oxygen.
SUNE KALLSTENIUS
I'll take the one with the sun and fire.
ULF SVANHOLM
And leave me with rust and ashes?
(They slip on the masks and pretend they're fencing. Astrid Rosenqvist enters).
ASTRID ROSENQVIST
What on earth are you doing?
(Both men, embarrassed, pull off their masks).
ULF SVANHOLM
Playing.
ASTRID ROSENQVIST
Live and learn! I thought you were fighting...as usual.
SUNE KALLSTENIUS
He came to his senses.
ULF SVANHOLM
And he, for a change, liked some work I did.
ASTRID ROSENQVIST
If you two really made up, I don't need to know why.
Just do me a favor, both of you: agree on one candidate for the retro-Nobel. It will simplify life for me.
SUNE KALLSTENIUS
You aren't trying to lead us down a garden path by any chance...are you?
ASTRID ROSENQVIST
Me...an innocent theoretical chemist?
SUNE KALLSTENIUS
Yes...you. You're pushing for a consensus, when we should be making a tough choice: one winner only. Take the Literature Nobel. It's never shared!
ASTRID ROSENQVIST
But that's preposterous! It's comparing watermelons with...(searches for the right word, finally finds it)...peanuts!
ULF SVANHOLM
I suppose literature is peanuts.
SUNE KALLSTENIUS
(Infuriated)
I'm dead serious.
ULF SVANHOLM
But so am I. You're ignoring two fundamental differences between literature and science. The literati
don't worry about priority...and if they'd had a retro in Literature, it would've gone to Shakespeare or Dante or Cervantes...or whoever...but it wouldn't be shared. If Shakespeare had never lived, "King Lear" could never have been written. Without Dante, there would be no "Divine Comedy." Without Cervantes—
SUNE KALLSTENIUS
Ulf, what's your point?
ULF SVANHOLM
Simple! Consider oxygen. If Scheele or Priestley or Lavoisier had never lived, somebody would have discovered oxygen. The same with Newton and gravity, with Mendel and genetics—
SUNE KALLSTENIUS
So why give a Nobel at all in your watermelon patch? If it would happen anyway, why worry who is first?
ULF SVANHOLM
Because science is done by scientists...not machines...and scientists crave recognition.
ASTRID ROSENQVIST
Science is done by humans...humans are competitive...scientists are even more competitive...and they want to be rewarded for being first.
SUNE KALLSTENIUS
Of course! But we still haven't agreed what "being first" means: is it the initial discovery...the first publication...or full understanding?
(Bengt Hjalmarsson and Ulla Zorn wander in during the preceding exchange, but are not noticed by the others until they speak)
BENGT HJALMARSSON
(Ironic)
Let's see, where was it that Columbus thought he was sailing?
ULF SVANHOLM
(Snaps at Hjalmarsson)
Who cares? Our Vikings got there first...
ULLA ZORN
To find people who had come thousands of years earlier...
END OF SCENE 11
SCENE 12
(Stockholm, 2001. Royal Academy of Sciences, a few minutes after scene 11. ASTRID ROSENQVIST sits on edge of table, one leg exposed to lower thigh).
BENGT HJALMARSSON
(Pointing to her slit skirt)
You're still a damned good-looking woman, Astrid...
ASTRID ROSENQVIST
I wore the skirt for you.
BENGT HJALMARSSON
Well... It worked... It got a rise out of me.
ASTRID ROSENQVIST
That's exactly what you said the first time we met...
way back when.
BENGT HJALMARSSON
The chemistry was right... then.
ASTRID ROSENQVIST
Then...
(Awkward pause for both).
Like it was for the Lavoisiers, when they were young...
BENGT HJALMARSSON
But how did they manage not to have any children?
ASTRID ROSENQVIST
(Laughs)
Not the way we did!
BENGT HJALMARSSON
So what was their secret?
ASTRID ROSENQVIST
Maybe one of them was infertile.
BENGT HJALMARSSON
Or... (does not finish the sentence)
ASTRID ROSENQVIST
Go on... finish the sentence.
BENGT HJALMARSSON
Maybe the marriage was never consummated...
ASTRID ROSENQVIST
But you just read us a pretty passionate love letter.
BENGT HJALMARSSON
That was from Du Pont.
ASTRID ROSENQVIST
Maybe he also played the cello... Cello and physical chemistry... an irresistible combination.
BENGT HJALMARSSON
The cello was for pleasure... yours and mine. Something else got in our way...
ASTRID ROSENQVIST
An ambitious man always has problems—
BENGT HJALMARSSON
With an ambitious woman.
ASTRID ROSENQVIST
What else is new? (Pause). We're smart. (She speeds up). We even want to do something
(Draws quotation marks in air)
"for the benefit of mankind."
BENGT HJALMARSSON
And we want the world to know it.
ASTRID ROSENQVIST
Yes. Somehow I thought the retro-Nobel for the dead would be... purer.
BENGT HJALMARSSON
You were wrong.
ASTRID ROSENQVIST
At least the retro-Nobel got us into the same room...
BENGT HJALMARSSON
As chair... you could've asked for someone else.
ASTRID ROSENQVIST
You could've refused. Why didn't you?
BENGT HJALMARSSON
For the same reason that you didn't pick a substitute.
ASTRID ROSENQVIST
Then... why are you so prickly during our meetings?
BENGT HJALMARSSON
And why are you so bossy?
ASTRID ROSENQVIST
We should learn to compromise...
BENGT HJALMARSSON
Something neither one of us was good at. Is it possible to change?
(Begins to exit, but as he passes her, he displays some paternal, non-erotic gesture—perhaps kissing her on her head and exits).
Astrid Rosenqvist slowly walks to the table. She pulls out a pack of cigarettes, looks at it, but decides against smoking and tosses it on the table near her chair. ULF SVANHOLM joins her.
ULF SVANHOLM
(Points to her cigarette pack)
Are you kicking the habit?
ASTRID ROSENQVIST
Not yet. But Ulla's discovery feels like nicotine. I'm relieved that Lavoisier never saw Scheele's letter.
ULF SVANHOLM
Does it change the facts? We all know Lavoisier was not the first to discover oxygen!
ASTRID ROSENQVIST
You still have to understand what you discover. Do you realize that as late as 1800 your man Priestley still wrote a book entitled "The Doctrine of Phlogiston Established and that of the Composition of Water Refuted"? (Pause). In other words, "down with H₂O" but "onwards with mumbo jumbo."
ULF SVANHOLM
You're too hard on my experimentalist.
ASTRID ROSENQVIST
The world needs physical chemists, like Lavoisier... or even better... theoreticians.
ULF SVANHOLM
Like you?
ASTRID ROSENQVIST
They could have done worse... but we all know what role women played in chemistry at that time. Madame Lavoisier got about as close as was realistic.
LIGHTS FADE,
allowing committee to reassemble
LIGHTS UP
ASTRID ROSENQVIST
Now let's all sit down and arrive at a decision.
(All head for the table except for HJALMARSSON, who walks toward ULLA ZORN, waiting until she looks up at him from her computer).
BENGT HJALMARSSON
(Low voice)
I owe you an apology about Mme. Lavoisier's letter. I was boorish...
ULLA ZORN
(Pleased)
I would have used another word... but... (pause) thanks...
BENGT HJALMARSSON
May I pay you a compliment?
ULLA ZORN
(Playfully)
Do you think I'll be able to handle it?
BENGT HJALMARSSON
(Seriously)
I wish I'd found that travel chest...
ULLA ZORN
(Pleased)
That is a compliment!
BENGT HJALMARSSON
Ulla. (Hesitates, drops voice). May I invite you -
ASTRID ROSENQVIST
(Who has overheard them as she approaches table, sharply)
Bengt! First things first! Would you please join us?
(Pointing to conference table)
BENGT HJALMARSSON
(Touch of irony)
"First" in the chair's eyes or mine?
(Rosenqvist waits until Hjalmarsson sits down)
ASTRID ROSENQVIST
We have four committee members... and four proposals: Lavoisier alone... Scheele alone... Priestley plus Scheele... and finally all three together. I presume that each of you would still vote for his original recommendation?
(Everyone nods assent).
That won't get us very far. We've got to come up with a consensus for the academy-
BENGT HJALMARSSON
Or at least a majority.
ASTRID ROSENQVIST
A consensus would be far preferable... at least for the first retro-Nobel.
(Looks around)
In that case let's vote by formal written ballot-
ULF SVANHOLM
We've never before had written ballots in Nobel committees.
ASTRID ROSENQVIST
For a retro-Nobel committee there is no precedent.
BENGT HJALMARSSON
You want us to vote for our second choices? What if there aren't any?
ASTRID ROSENQVIST
(Sharply)
You... more than anyone else in this room... should know that in life, we mostly end up with second choices.
BENGT HJALMARSSON
(Mockingly miming her tone)
You... more than anyone else in this room... should know that I can't be forced into a decision.
ASTRID ROSENQVIST
(Equally mocking tone)
Which will never stop me from trying to persuade you... all of you... to arrive at a consensus.
Otherwise, all we can forward to the Academy is a recommendation that the discovery of oxygen be honored with the first retro-Nobel but leaving it to the Academy members to vote who of the three candidates should get it.
ULF SVANHOLM
I'd rather do that than compromise.
ASTRID ROSENQVIST
I'd rather not... it would be embarrassing.
ULF SVANHOLM
For the chair?
ASTRID ROSENQVIST
For all of us. (Pause). Listen! Here is a way to resolve our problem: We all vote for a pair of candidates.
SUNE KALLSTENIUS
(Puzzled)
How will voting for pairs help?
ULF SVANHOLM
In other words, only three options? Lavoisier-Scheele, Lavoisier-Priestley and Priestley-Scheele. But no single choices?
ASTRID ROSENQVIST
Precisely!
BENGT HJALMARSSON
(Disdainfully)
Brilliant! But why go through that exercise?
ASTRID ROSENQVIST
My original proposal... anointing all three... would, of course, be simplest. But since none of you seems to go for that, voting for pairs at least forces everyone to think about another candidate... while still holding on to their favorite.
(KALLSTENIUS and SVANHOLM look at ROSENQVIST. One shrugs, the other nods. Long pause)
ASTRID ROSENQVIST
Bengt?
(HJALMARSSON looks at her but says nothing, whereupon ROSENQVIST rises and walks to him. Continues in low voice)
We both know what Lavoisier did.
BENGT HJALMARSSON
So?
ASTRID ROSENQVIST
Do we really dilute Lavoisier's credit by adding one other man? Earlier on, you said neither one of us was good at compromise. How about demonstrating that you were wrong?
(HJALMARSSON shrugs, followed by reluctant nod, then turns to look away. SVANHOLM approaches KALLSTENIUS)
ULF SVANHOLM
(Whispers)
Did you hear what she said?
SUNE KALLSTENIUS
I sure did.
ULF SVANHOLM
Out of the question! If Lavoisier gets the nod, then only Scheele or Priestley can share it.
SUNE KALLSTENIUS
I could live with that... if Scheele is the other.
ULF SVANHOLM
But what if he is not? What if I vote for Lavoisier and Priestley and so do they?
SUNE KALLSTENIUS
I'd object!
ULF SVANHOLM
A lot of good that will do you... after the vote has been counted.
SUNE KALLSTENIUS
So what's your proposal?
ULF SVANHOLM
Let's both vote for your man... and my Priestley.
SUNE KALLSTENIUS
Hmm.
ULF SVANHOLM
What does that mean?
SUNE KALLSTENIUS
You'll see. Wait 'till we've voted.
ASTRID ROSENQVIST
(To Zorn)
Ulla... would you distribute the ballots?
(After having given ballots to KALLSTENIUS and SVANHOLM,
ZORN heads for HJALMARSSON, but ROSENQVIST intercepts her.
Takes ballot and hands it personally to HJALMARSSON)
(Very gently).
Please, Bengt... please. Two names. Do Madame Lavoisier that favor.
(Hjalmarsson looks at her, then takes the paper, but freezes
as the shadowy figure of MME. LAVOISIER appears.
As she speaks, she approaches Hjalmarsson until she practically
touches him)
FAINT LIGHT ON MME. LAVOISIER
MME. LAVOISIER
(Addresses Hjalmarsson, who does not see her)
Perhaps King Gustav will reconsider. Important decisions shouldn't be left to others. Least by a king.
(Pause).
(Shakes her head, firmer)
It won't matter... Posterity will recognize my husband. (Pause). Of course... some will ask: What good is such recognition?
(Smiles to herself)
Much good will come from our oxygen... kings will surely tax it.
(Pause, then turns serious)
But after death? Our children (she shivers)... will carry on where the gauche apothecary... and the priestly chemist... and my husband stopped. (Pause).
Imagine what it means to understand what gives a leaf its color! What makes a flame burn. Imagine!
END OF SCENE 12
END OF PLAY
ACKNOWLEDGMENTS
Thanks are due to Lavinia Greenlaw for rendering difficult concepts into verse in Scene 6; to the Ithaca College Department of Theatre Arts and the Kitchen Theatre for organizing an early reading of OXYGEN in Ithaca, NY; to PlayBrokers for a staged rehearsed reading (directed by Ed Hastings) at the ODC Theatre in San Francisco; to Nicholas Kent for arranging a staged rehearsed reading (directed by Erica Whyman) at the Tricycle Theatre in London; and to the Department of Theatre, Film & Dance at Cornell University for a reading/critique. We are grateful to Alan Drury (formerly dramaturg of BBC Radio drama department) and Edward M. Cohen (former Associate Director of the Jewish Repertory Theatre in Manhattan) for dramaturgical advice; to Jean-Pierre Poirier (Paris) and Anders Lundgren (Uppsala) for offering much historical expertise; and to David Corson, Laura Linke and library staff for their generous and enthusiastic guided tour through the Cornell University Lavoisier archives.
Indispensable financial contributions by the Henry and Camille Dreyfus Foundation of New York and the Alafi Family Foundation of San Francisco made possible the fully staged workshop production run in May 2000 at the Eureka Theatre in San Francisco directed by Andrea Gordon.
A November 2000 performance of a 30-minute excerpt of the play by the American Historical Theatre (directed by Pamela Sommerfield), organized by the Chemical Heritage Foundation in Philadelphia, was generously supported by the Eugene Garfield Foundation.
The San Diego Repertory Theatre production was partially funded by the American Chemical Society, the Alafi Family Foundation, and the Henry and Camille Dreyfus Foundation, while PFIZER provided similar support toward the Royal Institution performances in London. The financial contributions by AVENTIS as well as the Fonds der Chemischen Industrie and the German Chemical Society played a crucial catalytic role in making possible the German premiere in the Würzburger Stadttheater. As playwrights, we are all too conscious of the financial and psychological value of such philanthropy and herewith express our deepest appreciation to all the above listed donors and to future ones as well.
Carl Djerassi is professor of chemistry at Stanford University as well as an author of fiction, drama, poetry and autobiography. Among many honors, he received the National Medal of Science for the first synthesis of a steroid oral contraceptive and the National Medal of Technology for novel approaches to insect control. He is also the founder of the Djerassi Resident Artists Program, an artists' colony near San Francisco, that supports working artists in various disciplines.
Roald Hoffmann, born in Zloczow, Poland, but educated in the US, is one of the world's most distinguished chemists. He has received most of the honors of his profession, including the 1981 Nobel Prize in Chemistry, shared with Kenichi Fukui. For the past dozen years, Hoffmann has simultaneously pursued a literary career. He is the author of many essays, three books of poetry, and three non-fiction books dealing with the creative and humanistic sparks of chemistry and their relationship to culture and society. He is also the presenter of a television course, "The World of Chemistry."
Carl Djerassi is professor of chemistry at Stanford University as well as an author of fiction, drama, poetry and autobiography. Among many honors, he received the National Medal of Science for the first synthesis of a steroid oral contraceptive and the National Medal of Technology for novel approaches to insect control. He is also the founder of the Djerassi Resident Artists Program, an artists' colony near San Francisco, that supports working artists in various disciplines.
Roald Hoffmann, born in Zloczow, Poland, but educated in the US, is one of the world's most distinguished chemists. He has received most of the honors of his profession, including the 1981 Nobel Prize in Chemistry, shared with Kenichi Fukui. For the past dozen years, Hoffmann has simultaneously pursued a literary career. He is the author of many essays, three books of poetry, and three non-fiction books dealing with the creative and humanistic sparks of chemistry and their relationship to culture and society. He is also the presenter of a television course, "The World of Chemistry."
"With wit, scholarship, and stage craftsmanship, Oxygen shows us how much scientists have learned about the world and how little they have changed."
Harold Varmus, Nobel Prize in Medicine
"A thought-provoking play about scientists and science history."
Jean-Marie Lehn, Nobel Prize in Chemistry
"Oxygen employs ingenious dramatic devices to explore the multiple facets of scientific discovery."
Murray Gell-Mann, Nobel Prize in Physics
"Filled with probing insights into the nature of our lives, our loves, and our accomplishments."
Stephen Jay Gould, Evolutionary biologist, palaeontologist and best-selling author
"A brilliant example of a new genre: 'science-in-theatre'."
Susan Greenfield, Director, The Royal Institution, London
"Oxygen is an extraordinary tour-de-force."
Oliver Sacks, Neurologist and author of "Awakenings"
"A brilliantly crafted kaleidoscopic play, sparkling with wit."
Dudley Herschbach, Nobel Prize in Chemistry
www.wiley-vch.de |
Allegation:
The COE received an anonymous letter alleging that three Miami-Dade Internal Services Division (ISD) employees: Roy Lopez (Lopez), Carlos Quevedo (Quevedo) and Mauro Hidalgo (Hidalgo), may have violated Miami-Dade County (MDC) ethics rules by engaging in outside employment without permission, selling scrap materials, profiting from the sale of the materials, and violating other County work rules.
Specifically, it was alleged that:
1. Quevedo sold scrap copper and split the profits among selected employees.
2. Lopez, Quevedo and Hidalgo stole Freon tanks from the County.
3. Hidalgo worked for private companies during county work hours.
4. Hidalgo ordered replacement parts for air conditioning units that did not need replacing.
5. Hidalgo did not adhere to his work schedule.
6. Quevedo is aware of Hidalgo’s activities and profits from Hidalgo’s activities.
7. Lopez is aware of Quevedo’s and Hidalgo’s activities.
8. Lopez is engaged in nepotism as his wife works for an outside contractor.
The letter also alleges that un-named employees purchased tools and supplies at Tropic 17, a County approved vendor and used the tools and supplies when working for private companies and that the employees work for the private companies during MDC work hours.
The letter also alleges that a portion of the profits realized as a result of the sale of scrap copper by Quevedo is deposited into a special account for the members of the Board of County Commissioners (BCC).
The correspondence was also sent to a number of County officials including, Lester Sola (Sola), Director, MDC Internal Services Division.
**Applicable Legislation**
Miami Dade County Conflict of Interest and Code of Ethics Ordinance, Sec. 2-11.1
(c) Prohibition on transacting business within the County.
(1) No person included in the terms defined in Subsection (b)(1) through (6) and in Subsection (b)(9) shall enter into any contract or transact any business, except as provided in Subsections (c) (2) through (c)(6), in which he or she or a member of his or her immediate family has a financial interest, direct or indirect, with Miami-Dade County or any person or agency acting for Miami-Dade County, and any such contract, agreement or business engagement entered in violation of this Subsection shall render the transaction voidable. Willful violation of this Subsection shall constitute malfeasance in office and shall effect forfeiture of office or position.
(g) Exploitation of official position prohibited.
No person included in the terms defined in Subsections (b) (1) through (6) and (b)(13) shall use or attempt to use his or her official position to secure special privileges or exemptions for himself or herself or others except as may be specifically permitted by other ordinances and resolutions previously ordained or adopted or hereafter to be ordained or adopted by the Board of County Commissioners.
(k) Prohibition on outside employment.
(2) All full-time County and municipal employees engaged in any outside employment for any person, firm, corporation or entity other than Miami-Dade
County, or the respective municipality, or any of their agencies or instrumentalities, shall file, under oath, an annual report indicating the source of the outside employment, the nature of the work being done pursuant to same and any amount or types of money or other consideration received by the employee from said outside employment. Said County employee's reports shall be filed with the Supervisor of Elections no later than 12:00 noon on July 1st of each year, including the July 1st following the last year that person held such employment. Municipal employee reports shall be filed with the clerk of their respective municipalities. Said reports shall be available at a reasonable time and place for inspection by the public. The County Manager or any city manager may require monthly reports from individual employees or groups of employees for good cause.
**Investigation:**
1. Sola was contacted. He advised that he had received a copy of the correspondence and had referred it to investigators at MDPD, Public Corruption (MDCPC).
2. Detective Alejandro Baldor (Baldor), MDCPC, was contacted. He advised that he would be interviewing Lopez, Quevedo and Hidalgo and that his department would handle the criminal aspects of the investigation. Baldor invited the COE to attend and participate in the interviews of Lopez, Quevedo and Hidalgo, to determine if there were any violations of Sec. 2-11.1.
3. On May 22, 2012, this investigator assisted MDCPC Detectives Baldor and Luis Rodriguez with the interviews of Lopez, Quevedo and Hidalgo. The interviews were conducted independently at the Miami-Dade General Services Administration Division (GSA) building located at, 3501 NW 46 Street. Lopez, Quevedo and Hidalgo were not advised as to the purpose of the interviews. The statements were sworn and recorded by a MDPD stenographer.
**Summary of the Lopez' interview:**
Lopez is a HVAC Supervisor, Quevedo is a Lead worker and Hidalgo is an air-conditioner mechanic. Both work under his supervision.
Lopez advised that he is the owner of a Florida For Profit Corporation,
“Total Temp Services, Inc.” His business office is his located within his residence. Lopez has permission for outside employment. He advised that he is the sole owner and does not have any employees. He stated that he does no work for the County.
Lopez described both Quevedo and Hidalgo as good employees. Hidalgo was recently recognized as the division’s employee of the year. The award generated resentment among other division employees. One of which may have sent the correspondence, he hypothesized.
Lopez denied the allegations and advised that he had no knowledge of any unnecessary work at County buildings to generate scrap materials which could be sold. Neither did he know of any employee theft. Lopez explained that scrap metals, such as that generated by the replacement of air-conditioner coils are sold as to County authorized vendors. All sales are recorded by the department and the revenue is deposited with County. He offered the records as available for inspection.
Concerning the work done at the MDPD Building, he advised that the work was done as regularly scheduled maintenance for a number of air-conditioner units located at the building. He also advised that the building used a water-chill system and no Freon was used at the building.
He advised that he had no knowledge of any employees working private jobs during their regular work hours. Lopez commented that this scenario is highly unlikely because employees are dispatched to their assigned work in County vehicles and the vehicles are equipped with GPS locators. The movements of the vehicles and employees are recorded. He further advised that employees are aware that their vehicles are equipped with the tracking devices and that their travels are monitored. According to Lopez, air-conditioning mechanics, such as Hidalgo, usually work independently and do not know where other air-conditioning mechanics are assigned.
Lopez advised that employees are given approximately $500.00 to purchase tools by the County. He is not aware of any policies that prohibit the uses of the tools beyond the work place.
**Summary of Carlos Quevedo’s interview:**
Quevedo advised that he is a lead worker but is not considered a supervisor. He spends approximately 90% of his time in the office. He assigns work, reviews invoices and compiles job reports and time sheets.
Like Lopez, Quevedo advised that he was not aware of any theft of materials, specifically copper coils. He explained that all scrap metals are returned to the GSA building, placed in a bin adjacent to the main building and sold to an authorized County vendor. He advised that records of the sales are available.
Quevedo advised that he reviews the daily time sheets for many of the air-conditioning mechanics. He said that many of the mechanics have poor writing skills and find the time sheets difficult to complete accurately. He fills out the location and what job is to be performed. The mechanic will complete the sheet by entering the number of hours worked.
Quevedo clarified that purchases of air-conditioning parts by air-conditioner mechanics must be pre-approved. On site, if a mechanic needs to replace a part, the mechanic must either contact him (Quevedo) or Lopez. All purchases are made through purchase orders. Vendors will not provide parts to air-conditioning mechanics without a purchase order number. Purchase order numbers are issued by the department after approval. Purchase order numbers correspond to job invoices. All invoices are reviewed by either himself or by Lopez for accuracy. He advised that employees cannot use County purchase orders to purchase personal items, such as tools.
Summary of Mauro Hidalgo’s interview:
Hidalgo is an air-conditioner mechanic. He denied the allegations in the letter. He advised that he believed that fellow employees who were upset at him and his recognition as employees of the year sent the letter.
He said that he has no outside employment. He also denied any knowledge of any thefts of materials or scrap metal from the County. He advised that all scrap metals removed from the work sites are returned to the GSA work yard and placed in storage bins. He is not involved in the sale of the scrap metals. He advised that Lopez should be contacted for any particulars as to the disposal of the scrap metals.
Hidalgo conceded that he has had disagreements with other employees. To avoid confrontations he does not converse with other employees and works primarily by himself. Hidalgo advised that he does not have any outside employment, nor has he ever worked for private companies, during his County work hours.
Summary of Jose Perez’ interview:
Perez is ISD Division Director (GSA). Perez was interviewed after the interview of Lopez, Quevedo and Hidalgo. Perez, in previous conversation with Detectives Rodriguez and Baldor, agreed to review invoices submitted by the division. He reviewed the invoices and found no discrepancies. Perez also reviewed the disposal process for surplus items, including the copper referred to in the complaint. He advised that he found no discrepancies.
Perez confirmed that there is resentment among the workers in the ISD concerning the selection of Hidalgo as employee of the year. He advised that he is taking measures to address the problem.
Perez agreed to provide Detectives Rodriguez and Baldor with records reflecting the disposal of surplus copper and copies of check issued by the vendor reflecting the disposal of the copper, along with the purchases made by the division at Tropic supply T7. The detectives will review the records for possible indications of theft.
4. Research
a. Lopez is the Registered Agent and sole officer for Total Temp Services, Inc. The for-profit corporation lists Lopez’ home address. Neither Lopez nor is Total Temp Services, Inc. registered with the County as a vendor.
b. Lopez received approval for outside employment in 2011. He advised that he applies for permission yearly.
c. Lopez is married to Isabel Lopez. She is not registered with the County as vendor. The Florida Division of Corporations shows no current listing for Isabel Lopez.
d. MD Human Resource indicates that an Isabel Lopez works in the ISD. However, she has a different birth date than Lopez’ wife.
e. Quevedo is not registered with the Florida Division of Corporations.
f. Hidalgo is not registered with the Florida Division of Corporations.
g. The County’s labor agreements include annual tool purchase provisions for selected employees. Quevedo and Hidalgo are covered by the labor agreement.
CONCLUSION:
Finding no evidence to substantiate a violation of the Miami-Dade County Conflict of Interest and Code of Ethics Ordinance, this investigation is closed without further action. If MDPD review develops any leads to a criminal prosecution, it will be handled by MDPD. |
Modelling local gene networks increases power to detect trans-acting genetic effects on gene expression
Barbara Rakitsch* and Oliver Stegle*
Abstract
Expression quantitative trait loci (eQTL) mapping is a widely used tool to study the genetics of gene expression. Confounding factors and the burden of multiple testing limit the ability to map distal trans eQTLs, which is important to understand downstream genetic effects on genes and pathways. We propose a two-stage linear mixed model that first learns local directed gene-regulatory networks to then condition on the expression levels of selected genes. We show that this covariate selection approach controls for confounding factors and regulatory context, thereby increasing eQTL detection power and improving the consistency between studies. GNet-LMM is available at: https://github.com/PMBio/GNetLMM.
Keywords: eQTL mapping, Causal reasoning, Genome-wide association studies, Confounder correction, Competing exposures
Background
Expression quantitative trait loci (eQTL) mapping is an approach to study the genetic component of transcriptomic variation between individuals. By correlating genetic variants with gene expression profiles of individual genes, it has been possible to establish genome-wide maps of genetic effects on gene expression, both in model systems [1–3] and in human [4–9]. Several statistical methods have been proposed to maximize the power to detect cis-acting eQTLs, which are proximal to the regulated genes and typically have large effects [10–12]. In contrast, the robust identification of distal trans genetic effects (e.g. [13–16]) remains a major challenge. This is because trans eQTLs tend to have smaller effect size, are frequently tissue- and context-specific [17, 18], and due to genome-wide tests impose a severe multiple-testing burden. Despite these limitations to map trans eQTLs, heritability estimates suggest that collectively trans genetic effects explain a substantial proportion of the overall gene expression variance [15, 19], which cannot be explained by cis eQTLs. Moreover, if reliably detected, trans eQTLs have the potential to deliver new insights into (downstream) genetic regulation, for example by identifying genetic effects that are mediated via cis-regulated genes [20, 21]. Finally, by overlaying distal eQTLs with disease risk loci identified through genome-wide association studies (GWAS), trans eQTL maps will be an invaluable resource to identify therapeutic targets for human diseases [22, 23].
One principle to improve power to map eQTLs is to account for competing exposures, which are sources of variation other than the genetic variant being tested. In particular non-genetic covariates, if not accounted for, can mask genetic signals, which impacts eQTL discovery. Recently, methods based on factors analysis and related latent variables models [24] have been proposed to reconstruct a typically small number of unobserved (confounding) factors from the expression data itself. These inferred latent variables can then be accounted for in genetic models, either as fixed effect covariates [11, 25] or as random effects within the linear mixed model (LMM) framework [10, 12, 26]. These approaches have been successfully applied to reduce the effect of unmeasured environmental factors or batch, such that genuine genetic signal can stand out to a greater extent. Importantly, however, while these methods are widely used for cis eQTL mapping [7, 9–12], there are major pitfalls when modelling...
unobserved covariates in the analysis of trans effects. In particular, there is a risk that models such as factor analysis falsely capture genuine genetic signals from regulatory hotspots that affect larger sets of genes. In such instances, it has been shown that the inferred latent variables are heritable themselves and can be mapped as quantitative traits [27]. Because of this challenge, existing methods to correct for confounding are difficult to apply to the analysis of trans eQTLs [12, 28, 29].
Related concerns have also been reported in the context of physiological phenotypes [30, 31]. There are fundamental challenges when conditioning on heritable covariates as cofactors, as this can lead to reduced statistical power or introduce spurious associations [32, 33]. This effect is well documented in the context of binary [34] and quantitative traits [33], and also in the genetic analysis of molecular phenotypes [28].
To address this, we here propose gene network LMM (GNet-LMM), a network guided approach to account for hidden variation in trans eQTL analyses. GNet-LMM identifies directed relationships in local gene regulatory networks to select covariates for eQTL association tests. Importantly and unlike previous methods to explain hidden variation in eQTL studies, GNet-LMM does not suffer from the risk of falsely explaining away genetic signals. The gene selection in GNet-LMM borrows principles from causal reasoning to identify a subset of genes that tag confounding or regulatory context, which are selected for every SNP–gene association test. The resulting adjustment is distinct from feature selection methods that have been proposed in GWAS [35], where the causal structure is known a priori (phenotypes cannot directly alter genotype) and hence correlation-based selection criteria are sufficient. Our approach is also related to methods that use causal tests, either to identify mediating genes [20] or to infer molecular networks downstream of eQTLs [36]. Whereas previous applications of network reconstruction have mainly been focused on obtaining mechanistic interpretations, here we show that local causal network reconstruction can help to improve power for detecting genetic associations.
We first validate the model on synthetic data before applying it to real data from mouse and human eQTL studies. Consistently across these applications, we find that GNet-LMM provides increased statistical power, yields associations that are enriched for known pathways and enhances the replicability of trans eQTLs between studies.
Results and discussion
It is well established that accounting for covariates and confounding factors can help to increase power in eQTL analyses [11, 25]. The majority of such factors are not directly observed, so one is limited to condition on proxies, such as the expression levels of individual genes or latent variables estimated from expression data. Importantly, correlation-based criteria to select covariates to include in genetics models are not sufficient. For example, Fig. 1b shows the power to detect true SNP A–gene C trans associations when including genes with different causal relationships to the focal gene C as covariates. The association signal is increased when conditioning on genes with incoming edges (gene B), but markedly decreased when accounting for genes with outgoing edges (gene D), even though both genes were simulated to have a similar correlation with gene C.
If the true regulatory dependencies were known a priori, an optimal strategy to select covariates could be straightforwardly defined based on the directed edge information. Our objective is to condition on all genes B that (i) have a causal effect on the focal gene C and (ii) are independent of the genetic variant SNP A (Fig. 1a). In the following we term genes that satisfy these two conditions exogenous factors. These factors explain competing exposures, which can either be confounding factors or gene regulatory effects. Importantly, the true gene–gene network is unknown in practice. Consequently, we need to identify exogenous genes from the observed data.
GNet-LMM enables selective conditioning on exogenous genes
GNet-LMM first fits local directed gene regulatory networks to then identify exogenous genes. Briefly, for each (SNP A, gene C) pair, the algorithm initially tests for quartets (SNP A, gene A, gene C, gene B) whose regulatory dependencies can be described by the directed acyclic graph as shown in Fig. 1a. To do so, we test for gene triplets that form a so-called V-structure (gene A -> gene C <- gene B), which are defined by two directed regulatory edges to the focal gene C, one from gene A and one from gene B (Fig. 1a). A set of basic statistical dependence criteria can be used to identify these structures, requiring dependence between both A-C and B-C and independence between genes A and B, which become dependent after conditioning on the gene C ("Materials and methods" and [37]). The key outcome of the V-structure test is to define a set of direct regulatory relationship from which exogenous genes can be identified. For the sake of computational efficiency and to increase robustness, GNet-LMM does not consider all possible pairs of genes A and B (which would scale quadratically in the number of genes for each eQTL test). Instead, we restrict gene A to genes with a significant cis or trans association to SNP A (see also [20], where a similar approach has been used in a different context). In the following, we denote these two search strategies GNet-LMM[cis] and GNet-LMM[trans]. Subsequently, to test for SNP A–gene C associations, the algorithm conditions on the set of genes B that satisfy the V-structure
criterion for the given (SNP A, gene C) pair ("Materials and methods").
To illustrate the benefits of selecting exogenous genes using GNet-LMM, we initially considered a basic simulation experiment to assess the power of alternative methods to detect true associations between a distal (trans acting) genetic variant (SNP A) and the expression level of a focal gene (gene C). We simulated genetic effects that are mediated by a cis association (SNP A–gene A), conferring the genetic effect via an indirect (trans) effect to gene C. Additionally, we also simulated effects due to unmeasured covariates, such as environmental factors or batch effects. When testing for SNP A–gene C trans associations, conditioning on true exogenous genes (gene B) increased power (Fig. 1b; LMM versus ideal-LMM), whereas conditioning on genes that are co-regulated by the same genetic variant (gene D) markedly decreased power (Fig. 1b; LMM versus coreg-LMM). Encouragingly, when using exogenous genes identified using local network inference based on V-structures (GNet-LMM), the power to detect eQTLs was similar to an ideal model that uses the simulated ground truth to define exogenous genes (Fig. 1b; Figure S1 in Additional file 1; GNet-LMM versus ideal-LMM).
If the association between SNP A and gene C is neither mediated by a cis- nor by a trans-gene, no V-structure is identified and the method reverts to a standard LMM (Figure S2 in Additional file 1). There is a concern that conditioning on covariates (genes) that are heritable themselves can lead to spurious associations, for example if gene B is itself regulated by SNP A [33]. These instances can be ruled out by additional independence tests, resulting in robust selection of exogenous genes ("Materials and methods"; Additional file 1; Figure S3). We also assessed the effect of spurious correlations between groups of genes due to (unobserved) confounders, again observing that the model remained statistically calibrated ("Materials and methods"; Figure S3 in Additional file 1).
**Simulation study**
Next, we considered genotypes from the 1000 Genomes project [38] and generated simulated expression profiles that mimic regulatory dependencies from real eQTL studies. Using genotype data from 379 individuals of European ancestry (CEU, FIN, GBR, IBS, TSI), we generated gene expression levels assuming a combination of cis and trans genetic effects as well as effects due to external confounding factors ("Materials and methods"). We varied the structure of the regulatory network, as well as the type and the magnitude of the confounding effects. We compared GNet-LMM to a standard LMM and established latent variable models to account for confounding in eQTL analyses, including two approaches based on
principal component analysis (PC-LMM, PCselect-LMM [13, 39]), and random effect models (ICE-LMM [10]). We again considered an ideal model, where the simulated network topology was used to condition on the true set of *exogenous* genes (ideal-LMM) and where all confounding factors were included in the model. All methods were assessed in terms of their power to detect *trans* eQTLs (at false positive rate < 5 %).
Initially, we examined the sensitivity of the considered methods with respect to the architectures of regulatory networks without confounding, either simulating a sparse, unstructured network between the genes (Fig. 2a) or considering a star-shaped network with regulatory hubs (Fig. 2b) ("Materials and methods"). In both settings, GNet-LMM considerably improved power compared with a standard LMM (GNet-LMM[cis/trans] versus LMM) (Fig. 2a, b). In contrast, we observed that methods based on principal component analysis (PCA) had either no benefit compared with a standard LMM (Fig. 2a) or even reduced power in star-shaped network topologies (Fig. 2b). This reduction in power is because covariates inferred using PCA tend in part to capture genetic signals, thereby explaining away the effect of genetic master regulators with widespread downstream effects (see also discussion in [10, 12]). This deficiency of a vanilla PCA approach was reduced when selecting principal components (PCs) that were not associated with genetic variants (Fig. 2b; PCselect-LMM). However, this approach was still inferior to a conventional LMM, and considerably less powered than GNet-LMM. This suggests that PC-based adjustment in general has little benefit if no confounding factors are present. Finally, ICE-LMM appeared to be the most conservative model, explaining away large proportions of the actual genetic signal. This behaviour has previously been noted, e.g. [12] and addressed in recent extensions [29].
Next, we investigated the performance of these methods when simulating increasingly strong confounding effects independent of the network ("Materials and methods"; Figure S4 in Additional file 1). While PCA-based methods tended to increase power for sparse regulator networks (Fig. 2c), both PC-LMM and PCselect-LMM were unable to disentangle correlated genetic effects due to master regulators and confounding in star-shaped network topologies (Fig. 2d). In contrast, GNet-LMM consistently improved power compared with the LMM baseline (Fig. 2c, d) and performed markedly better than PCA adjustment in a wide range of parameter regimes. We also observed that associations of PCs with genetic factors were frequently weak and difficult to detect (Figure S5 in Additional file 1). This is a
**Fig. 2** Benchmark of alternative eQTL association methods on simulated datasets. **a**, **b** Receiver operating characteristic (ROC) for alternative methods to detect eQTLs in sparse (**a**) and star-shaped simulated regulatory networks (**b**), assuming no confounding factors. **c**, **d** Power comparison when increasing the relative effect of confounding, either assuming sparse (**c**) or star-shaped network topologies (**d**). Compared are a standard LMM without conditioning (*LMM*), an LMM that exclusively conditions on true exogenous genes (*Ideal-LMM*), adjustment based on principal components (*PC-LMM*), adjustment based on principal components with selection (*PCselect-LMM*) and GNet-LMM. Power is defined as the area under the ROC curve for a false positive rate below 5 %.
likely explanation of why methods that select PCs based on association criteria are less reliable than V-structure selection in GNet-LMM.
We also considered additional experiments, altering the proportion of gene expression variance due to trans eQTLs, the overall variance explained by genetic and confounding factors, the average number of confounders that effect any one gene and the total number of simulated confounding factors. Across these scenarios, GNet-LMM consistently increased statistical power compared with other methods (Figure S6 in Additional file 1). One limitation of GNet-LMM is in the regime of tightly correlated gene expression levels, which can occur if one dominant factor, such as a large hidden batch effect, explains most of the gene expression variance. This correlation hampers the ability to identify V-structures and hence GNet-LMM reverts to a standard LMM.
**Application to eQTL datasets from mouse and human**
Next, we revisited an eQTL dataset of hippocampus gene expression profiled in a panel of 467 heterogeneous stock mice [40] (expression levels for 3740 genes/12,545 genetic markers after quality control; ‘Materials and methods’). All considered methods except for ICE-LMM were well calibrated (Figure S7 in Additional file 1), again attesting that the ICE model is conservative. Because of the large haplotype blocks in this population, we classified associations as trans eQTLs if the distance from the transcription start site of the gene exceeded 20 Mb. In line with the results obtained on simulated data, we observed that accounting for PC-based covariates substantially reduced the power to identify regulatory hotspots (Fig. 3c, d), although the overall number of trans eQTLs increased compared with a standard LMM (Fig. 3g). These results were consistent with our simulation study, suggesting that, in general, PCs capture a
 **Fig. 3** Application of alternative eQTL association methods to the mouse dataset. **a–f** The number of detected eQTLs stratified by the number of regulated genes (hotspot size). Results for alternative significance thresholds are colour coded. While PC-based approaches increased power to detect variants that regulate a small number of genes (**c**, **d**), GNet-LMM (**g**, **f**) maintained a profile of eQTL hotspots that was similar to the results from an unadjusted analysis (LMM) (**b**). **g** Total number of trans associations retrieved by alternative methods as a function of the significance threshold. **h** Gene enrichment analysis of trans eQTLs using Reactome pathways. Solid lines show the proportion of Reactome-consistent trans eQTLs as a function of the rank of individual associations sorted by their significance level (“Materials and methods”). Dashed lines denote the corresponding p value threshold. eQTLs identified by GNet-LMM were markedly more enriched for Reactome pathways than eQTLs retrieved by alternative methods.
combination of confounding factors and genetic signals from trans hotspots. As a result, we observed that adjustment using PCs led to a detection bias, where the power to detect associations in trans-hubs decreased whereas the power to identify non-structured (sparse) associations increased.
The fact that PCs explain heritable genetic signal was also apparent when considering PCs as quantitative traits and mapping their genetic effects. QTL mapping of the PCs themselves revealed suggestive associations \((p < 1e^{-4})\) that coincided with the locations of the trans hotspots that were explained away by the PC-based adjustment (Figure S8 in Additional file 1). In contrast, GNet-LMM recovered all trans hotspots identified by a standard LMM and revealed additional hotspots (Fig. 3e, f; Figure S8 in Additional file 1).
To objectively assess the associations retrieved by GNet-LMM and alternative methods, we tested to what extent the discovered trans eQTLs were consistent with Reactome pathways [41]. Briefly, for each method we gauged individual SNP–gene associations by assessing whether the gene tagged by the eQTL variant (i.e. its cis gene) and the focus gene (regulated in trans) were annotated in at least one common pathway. Although such an approach may miss both true positive and false positive associations, we reasoned that the average consistency with known pathways is a suitable measure to compare eQTL-mapping approaches (see also [42, 43] where a similar strategy has previously been employed). Reassuringly, the trans eQTLs detected by GNet-LMM were substantially more enriched for known pathways (Fig. 3h) than those identified by alternative methods. Additionally, we repeated this enrichment test when stratifying individual loci based on the presence or absence of a cis-acting anchor gene. While globally, the enrichment of GNet-LMM[trans] was similar to GNet-LMM[cis], the method performed better in genomic regions without cis-mediating anchor genes, confirming that trans associations can be used as anchors to detect V-structures (Figure S9 in Additional file 1). Finally, we considered a permutation experiment to investigate the statistical calibration using an empirical null distribution for the final association test, but retaining the identical set of exogenous genes as identified in the full model. This analysis showed that the test statistics on data without signal were well calibrated, both for variants with and without exogenous genes (Figure S10 in Additional file 1), thereby confirming the calibration results on simulated data (Figure S3 in Additional file 1).
In summary, our results show that GNet-LMM is a robust and powerful approach to detect trans eQTLs. It is important to note that for the discovery of cis eQTLs, PCA-based approaches increased power to detect associations as previously reported, whereas GNet-LMM is by design identical to a standard LMM (Figure S11 in Additional file 1).
Finally, we applied GNet-LMM to the QTL dataset of the Cardiogenics Transcriptomic Study [44, 45]. We considered genotype markers from 376 healthy individuals and tested for genome-wide trans eQTLs affecting gene expression levels of 15,340 probes in monocytes. Again, all methods except for ICE were well calibrated (Figure S12 in Additional file 1). Overall, PC-based methods identified a larger number of cis associations than a standard LMM (Figure S13 in Additional file 1), and both PC-based methods and GNet-LMM increased power to detect trans effects (Figure S14 in Additional file 1).
Consistent with previously results obtained using the same dataset [45] and confirmed in an independent study [18], we identified a master regulator LYZ at the locus 12q15 (rs6581889). LYZ is known to be under strong genetic control by a cis-eQTL in monocytes and encodes the lysozyme enzyme. Lysozyme is important for immune defence and catalyses the cutting of polysaccharide chains of bacteria cell walls [46]. Downstream of the marker rs6581889, the standard LMM identified 127 trans-genes \((p < 0.01\), Bonferroni adjusted, accounting for the total number of tests). In line with the results obtained on the mouse dataset, substantially fewer trans-genes were found when using ICE-LMM (2), PC-LMM (117) or PCselect-LMM (116). In contrast, GNet-LMM[cis] and GNet-LMM[trans] both increased power to detect trans genes, identifying 214 and 218 genes in association with the LYZ locus, respectively (see Figure S15 in Additional file 1 for results using other significance thresholds). GNet-LMM recovered all eQTLs detected using a standard LMM and an analysis using the STRING database [47] suggested that the additional eQTL genes are embedded within functionally consistent networks (Figure S16 in Additional file 1).
As a complementary approach to validate eQTLs identified by GNet-LMM, we considered a second eQTL dataset of the same cell type [14] to replicate individual associations out-of-sample. In contrast to within-sample validations, external confirmation of eQTLs rules out the possibility of biased results and technical artefacts. To define a conservative set of likely true eQTL genes in the validation study, we used a standard LMM to test for associations between the locus 12q15 and 9106 genes for which expression data were available in both studies \((p < 0.01\), Bonferroni adjusted). We then assessed the trans eQTLs discovered on the Cardiogenics study by evaluating the proportion of eQTLs that could be replicated in the validation set (Figure S17 in Additional file 1). Encouragingly, the validation rate of GNet-LMM was notably higher than for any other method and in particular GNet-LMM was the only approach with a better replication rate than a standard LMM.
Conclusion
We have here described GNet-LMM, an efficient statistical approach to increase power in trans genetic analyses of gene expression levels. The model reconstructs local gene regulatory networks on a genome-wide scale to identify and account for exogenous genes that either tag confounding factors or explain biological co-regulation. To do so, the model builds on well-established principles from causal reasoning [37]. Our approach is also related to Mendelian randomization [48, 49] and methods to reconstruct (small) directed acyclic graphs for multi-trait GWAS [50]. Importantly, and unlike existing methods for eQTL discovery, GNet-LMM is a local method that circumvents reconstructing whole-genome networks [36, 51], allowing applications to larger datasets. The approach is also distinct from feature selection methods used to select genetic covariates [35], as the networks reconstructed by GNet-LMM are directed, which is central to define exogenous factors. Using the principles of V-structures testing, our approach locally scans all gene triplets in which at least one gene has a strong genetic anchor. This approach identifies a typically small number of exogenous genes (Figure S22 in Additional file 1), which can be efficiently accounted for within the LMM framework by using low-rank updates of a random effect covariance (see “Materials and methods”). Other more global discovery procedures, such as the PC algorithm [52, 53], could be considered as an alternative. However, they come at the cost of an increased computational burden, in particular for dense networks.
Using simulations, we have shown that inference of local directed networks can be used to increase power of eQTL mapping in a wide range of settings, including different genetic architectures and types of confounding (Fig. 2; Figure S6 in Additional file 1). Our results also provide new insights into the limitations of existing methods based on PCA or factor analysis. In particular in the regime of pleiotropic genetic signals, e.g. due to regulatory hotspots, such approaches can skew eQTL detection power towards single-SNP–single-gene associations. Notably, GNet-LMM is neutral regarding the presence of regulatory hotspots. The method neither assumes that trans eQTLs form hotspots (e.g. [27]) nor suffers from explaining away genetic signals that result from such master regulators if they exist (Fig. 3). Although we do not consider this here, GNet-LMM[cis] implicitly establishes a causal chain between the variant, an intermediate cis anchor and the focal trans gene. The analysis of mediating causal genes is of considerable interest in itself and methods to identify mediating genes, such as the Trigger algorithm [20] and related methods [54, 55], have been described elsewhere. It is also worth noting that accounting for exogenous factors can be beneficial even in the absence of confounding, where exogenous genes capture regulatory dependencies of gene networks (Fig. 3a).
Although we demonstrated that GNet-LMM is robust in different analyses, the method is not free of limitations. One key requirement for the model to work is the presence of mediating genes that can be leveraged as an anchor to identify V-structures (Fig. 1a). While trans associations with a cis anchor are arguably among the most plausible and relevant mechanisms for trans effects [21], there are other ways in which genetic variants can affect expression levels of downstream genes, such as epigenetic modifications or transcription initiation [56]. In principle, any gene with an established genetic effect can be used to test for V-structures, as illustrated by GNet-LMM[trans], where strong trans associations are used as an anchor to identify V-structures and exogenous genes (Figure S14 in Additional file 1). However, the mechanisms of trans effects that are cis mediated are much better understood, and the additional search for trans associations increases the computational cost and entails additional V-structure tests. Thus, GNet-LMM[cis] may be more relevant in most practical settings. A second limitation is the need to set additional model parameters and significance thresholds. We have found that overall GNet-LMM is remarkably robust to these parameters (“Materials and methods”; Figures S18, S19, and S20 in Additional file 1); however, data from new platforms and much larger forthcoming eQTL studies may benefit from further refinements.
Finally, it is important to note that GNet-LMM is complementary to existing methods that have been designed for the analysis of cis eQTLs. Because anchor genes do not exist in this instance, GNet-LMM cannot discover exogenous genes and hence existing methods such as SVA [57], PEER [11], PANAMA [12] or ICE [10] remain the method of choice for cis eQTL mapping.
In summary, we have proposed a simple covariate selection approach for trans eQTL mapping that exploits local directed gene regulatory networks to identify exogenous genes. We provide new insights into limitations of existing methods, in particular when including covariates based on PCs in genetic models. GNet-LMM increases power compared with previous methods. In addition, we observe that even in the absence of confounding factors, it is beneficial to account for exogenous genes that capture regulatory context. The statistical building blocks we have used in this study could be adapted to other more complex analyses, including joint modelling of gene expression profiles from multi-tissue eQTL studies [9, 15, 58]. In such cross-tissue analyses GNet-LMM could help to improve our understanding of the tissue specificity of trans genetic effects.
Materials and methods
GNet-LMM algorithm
Let $N$ be the number of samples, $F$ the number of markers and $T$ the number of genes with observed gene expression levels. Let $Y$ denote the gene expression matrix and the genotype matrix is denoted by $X$. Furthermore, the expression levels of the $t$-th gene across individuals are denoted $y_t$ and the genotypes of the $f$-th marker are indexed as $x_{tf}$.
GNet-LMM builds on the principal that conditioning on exogenous factors (here genes) can increase power to detect trans associations. To model the expression level of a focal gene C, the method tests for associations with genetic variant of interest (SNP A) while accounting for exogenous factors (gene B), which are defined by (i) having a causal effect on the focal gene C and (ii) being unrelated to the causal path that links the genetic effect of the variant (SNP A) to the focal gene (Fig. 1a).
Specifically, for each SNP A–gene C pair to be tested, we first search for triplets of genes that form a so-called V-structure (gene A -> gene C < - gene B), where both genes A and B have a causal effect on the focal gene C (Fig. 1a). A set of basic statistical dependencies can be used to identify these structures from the expression data itself, where A-C and B-C are tested for dependence and A and B are required to be independent, but become dependent after conditioning on gene C (see e.g. [37] for more details):
$$dep(y_A, y_C) \quad (1)$$
$$dep(y_B, y_C) \quad (2)$$
$$ind(y_A, y_B) \quad (3)$$
$$dep(y_A, y_B | x_C) \quad (4)$$
$$dep(x_A, y_A) \quad (5)$$
$$ind(x_A, y_B) \quad (6)$$
Here, dep denotes a statistical dependency criterion and ind corresponds to statistical independence and the symbol | denotes a conditional test. The vector $y_A$ denotes the expression level of gene A and similarly $y_B$ and $y_C$ denote expression vectors for genes B and C, respectively. $x_A$ denotes the genotype vector of the variant to be tested, for which we consider a conventional {0,1,2} encoding.
The additional independence test between SNP A and gene B (Eq. 6) is not required to identify gene A -> gene C < - gene B V structures. This condition is included to rule out the possibility that gene B is itself associated with the variant of interest, which can cause synthetic associations [33].
To define a computationally efficient strategy and to increase robustness, GNet-LMM restricts gene A to anchor genes with either a cis or trans association to the SNP (hence, the additional dependence requirement; Eq. 5). This condition substantially reduces the search space, thereby reducing the otherwise quadratic effort to consider all pairs of genes A and B that could form valid V-structures (see section on runtime below). Similar search strategies have previously been considered to identify mediating genes: see for example [20]. We here denote these models GNet-LMM[cis] and GNet-LMM[trans], respectively, where GNet-LMM[cis] requires a cis regulatory link between SNP A and gene A and GNet-LMM[trans] considers cis or trans associated genes A as anchors to test for V-structures. The algorithm proceeds by conditioning on all genes B that satisfy the V-structure criterion for a given (SNP A, gene C) pair.
Implementation details: The GNet-LMM algorithm can be broken down into three steps.
1. Perform an initial genome-wide eQTL scan, testing for associations between all variants and the expression levels of all genes, resulting in a TxF-dimensional matrix of p values. Runtime: O(N^2 + FTN^2).
2. For each gene C, search for gene pairs $(y_A, y_B)$ that form a V-structure with the focal gene $y_C$ (gene A -> gene C < - gene B). Runtime: O(T^2N + k N), where computing the marginal correlation takes O(T^2N) time and $k$ is the number of partial correlation coefficients to be computed. To reduce computations, we only compute the partial correlation coefficient if the marginal correlations satisfy the first three V-structure criteria (Eqs. 1, 2, and 3) and gene A has a SNP anchor (Eq. 5).
3. Update the association p value for all $(x_A, y_C)$ marker-gene combinations by conditioning on the set of genes $y_B$ that satisfy the V-structure criterion, where $x_A$ is a cis/trans-anchor to gene $y_A$ and $(y_A, y_B)$ build a V-structure with gene $y_C$. Runtime: O(sN^2R + mNR^2), where $s$ is the number of unique conditioning sets, $m$ is the total number of associations to be updated and $R$ is the number of genes in the conditioning set. Although R varies from test to test, it is bounded in practice (Figure S22 in Additional file 1) and our software implementation allows specifying an upper limit for the permitted rank $R$.
In the following, we give a more detailed description of each step:
**Step 1 (association scan):** We employ a standard LMM [59–61] to test for associations between variant \( x_A \) and gene \( y_C \):
\[
y_C \sim N \left( x_A \beta, \sigma_{bg}^2 K_{bg} + \sigma_n^2 I \right)
\]
Here, \( K_{bg} \) denotes the random effects covariance matrix, \( \sigma_{bg}^2 \) denotes the variance of the random effect term, \( \sigma_n^2 \) denotes the magnitude of the noise and \( I \) is the identity matrix, which corresponds to the assumption of iid measurement noise. Additional fixed effect covariates are omitted for brevity but can be included analogous to the effect of the variant \( x_A \). The background covariance matrix \( K_{bg} \) can be flexibly chosen, such as a global kinship matrix to model relatedness [62] or a local kinship matrix to model cis effects that act on the focal gene [19]. In the experiments, we use the realized relationship matrix [62] as background covariance, thereby adjusting for population structure. As initially proposed in the EMMA-X approximation [63], the ratio between the noise and background covariance is fit once on the null model using maximum likelihood, and kept fixed for each test. We use the fastLMM algorithm [60] as implemented in LIMIX [64] for all model fits and association tests.
**Step 2 (detecting V-structures):** A V-structure can be uniquely identified by the set of independence tests described in Eqs. 1, 2, 3, and 4. In addition, we require that gene \( y_A \) has a strong cis-association to \( x_A \) (Eq. 5), whereas \( y_B \) is tested for independence to the marker \( x_A \) (Eq. 6). The latter criterion ensures that the potential exogenous factor \( y_B \) is not in association with the variant of interest, which otherwise may lead to spurious associations (Figure S3a in Additional file 1).
Following the approach taken in [65], we employ a standard correlation test to assess dependence between genes and test if the \( p \) value is larger than a pre-defined threshold to assess independence of gene \( y_A \) and gene \( y_B \). Although this independence criterion is not a well-defined statistical test (the null-distribution is not defined over the null but from the alternative distribution), this approach has been shown to work well in practice, e.g. [55]. When testing for dependence between a gene and a SNP, we use the association test (Eq. 7) to test for independence, again assuming that independence is present if the \( p \) value is larger than a certain threshold. Explicit independence tests such as the Hilbert-Schmidt independence criterion [66] could also be considered, although these are computationally more demanding and hence were not used in this study.
**Step 3 (update association scan):** Following the exhaustive search of V-structures (gene A -> gene C < gene B), we use an extended LMM approach as in Eq. 7 to condition on the expression of all exogenous genes \( y_B \) that satisfy the V-structure criterion for \( x_A \) and gene \( y_C \):
\[
y_C \sim N \left( x_A \beta, \sigma_{bg}^2 K_{bg} + \sigma_{exo}^2 \sum_{B \in L_{exo}} y_B y_B^T + \sigma_n^2 I \right).
\]
The parameter additional parameter \( \sigma_{exo}^2 \) determines the variance explained by the set of exogenous genes and \( L_{exo} \) denotes the set of identified exogenous genes. Since conditioning sets typically contain only a small number of genes (Figure S22 in Additional file 1), we use a low-rank LMM implemented in the mtSet method [67] to test for associations similar to the approach described in Step 1. This approach allows fitting this model efficiently to large datasets. The implementation of GNet-LMM allows limiting the maximum number of genes in the conditioning set. This is approximation to the full model can be used to further reduce the overall runtime, if desired (see “Implementation details”).
**Parameters and (in)dependence thresholds:** We used the following strategy for setting the thresholds for dependence and independence tests:
- Two genes are (conditionally) dependent if they have an adjusted \( p < 0.01 \).
- Two genes are independent if they have a \( p \geq 0.1 \).
- A SNP is associated with its cis-gene if the adjusted \( p < 0.05 \).
- A SNP is independent of the exogenous gene if the \( p \geq 0.1 \).
We have used these settings in all experiments except for the basic simulation (Figure S1, S2, and S3 in Additional file 1), where due to the small number of genes more stringent criteria were employed. In this setting, we considered a threshold of \( p < 0.001 \) for calling genes correlated, \( p > 0.1 \) for calling genes independent and \( p < 0.001 \) for calling cis associations. We also investigated the impact of changing the specific parameter values, finding that GNet-LMM is overall robust with respect to the specific threshold used (Figure S18, S19, and S20).
**Statistical calibration:** It is important to ensure that the GNet-LMM yields calibrated test statistics on the null distribution, in particular for tests where V-structures have been identified and hence additional genes for conditioning are used. We considered two experiments to verify calibration empirically. First, we confirmed that \( p \) values are calibrated if a V-structure is evoked by confounding effects, e.g. if a hidden common cause induces correlations between gene A and gene C without the existence of a causal relationship between SNP A and gene C (Figure S3b in Additional file 1). Secondly, we verified that no V-structure is detected if the gene to be conditioned on (gene B) is also associated with the SNP of interest (Eq. 6),
which avoids the possibility of synthetic associations (Figure S3a in Additional file 1).
**Runtime complexity:** On the Cardiogenics dataset, computing all gene–gene correlations required 370 s. Running the initial association scan with LMM took approximately 18 s per gene and updating the results took, on average, 86 s when considering cis-anchors and 105 s when using trans-anchors. Empirical runtimes were evaluated using one single core of an Intel Xeon CPU E5-2670 2.60 GHz processor. The GNet-LMM software implementation allows parallelizing the core operations on a large compute cluster.
**Implementation of alternative methods**
In the experiments, we compared GNet-LMM to representatives of alternative methods, either based on random effect models or approaches that use PCs to account for confounding. As a baseline, we considered a standard LMM with a realized relationship matrix [10] as random effect covariance matrix (LMM). ICE-LMM denotes a LMM where a second random-effect covariance was estimated from the empirical gene expression covariance matrix [10, 26]. In PC-LMM, the first n principal components were accounted for as a random effect term. Similarly, in PCselect-LMM, the same approach was used but excluding PCs in association with at least one variant (qval < 0.2). For both PC-LMM and PCselect-LMM, the number of PCs was determined in the range {10, 20, 30, 40, 50}, maximizing the total number of trans-associations, as previously considered in [18, 22]. All methods were implemented within the LIMIX framework [64].
**Simulation study**
Simulated datasets were generated by using synthetic gene expression levels and genotypes from chromosome 20 of 1000 Genomes individuals of European populations (379 individuals) [38]. To avoid possible biases in the evaluation of methods on simulated data when causal and non-causal variants are in strong linkage disequilibrium, we reduced the variant set to limit local linkage disequilibrium to a maximum of $r^2 = 0.9$ (within windows of size 50, step length 5). As an additional filter, we discarded rare variants with a minor allele frequency of less than 5%, resulting in 4030 quasi-independent common variants. All simulation experiments were performed on the reduced dataset.
**Basic simulation:** We studied the following four small gene–gene networks:
- **Power** (Figure S1 in Additional file 1):
SNP A → Gene A;
Gene A, Gene B → Gene C,
Gene C → Gene D
In the default setting, the cis-anchor of gene A explains between 10% and 20% of the variance, and each regulating gene explains between 10% and 20% of the variance.
- **Direct effect** (Figure S2a in Additional file 1):
SNP A → gene A, gene C;
Gene A, Gene B → Gene C
We use the same default parameters as before, but introduce an additional parameter $\alpha$ regulating how the variance explained by SNP A is divided between gene A and gene C.
- **Trans-effects** (Figure S2b in Additional file 1):
SNP A → Gene A, Gene D;
Gene A, Gene B, Gene D → Gene C
We use the same default parameters as before, but introduce an additional parameter $\alpha$ regulating how the variance explained by SNP A is divided between Gene A and Gene D.
- **Con founding** (Additional file 1: Figure S3):
SNP A → Gene A, (Gene B);
Confounder A → Gene A, Gene C;
Confounder B → Gene B, Gene C
The cis-anchor of gene A explains between 10% and 20% of the variance, and the confounding effects explain together 50% to 70% of the gene’s variability.
The gene expression levels are simulated as a linear function of incoming edges, the cis SNP and noise. In each experiment, we assessed the statistical power of alternative methods to detect simulated trans association between SNP A and gene C. Each experiment was repeated 1000 times.
**Power comparison:** Next, we studied gene–gene networks consisting of 100 genes, considering alternative network topologies, as well as different types and the strengths of confounding. Gene expression levels were simulated as a linear additive combination of effects due to incoming edges, the cis-SNP, noise and confounding factors. We considered two network architectures; first, sparse and unstructured networks in which edges are randomly drawn from a Bernoulli distribution and second star-shaped and structured networks with nine randomly selected hub genes that regulate between 20% and 50% of all other genes. In addition, we simulated a varying number of confounding factors, and randomly assigned genes to be affected by confounding factors. The regulatory weights were drawn from a mixture of two normal distributions, with a mixture coefficient of 0.5. The mean of both components was set to ±1 and
the standard error for each component is 0.1. This prior design helps to ensure that simulated edges have non-zero weights, with equal proportions having positive and negative effects.
To consider alternative genetic designs, we altered the variance explained by the cis-SNP (0.0,0.05,0.10,0.15,0.20), the variance explained by the networks (joint effect of confounding and genetic network; 0.0,0.5,0.6,0.7,0.8,0.9), the proportion of variance explained by confounding factors (0.0,0.2,0.4,0.6,0.8,1.0), the number of confounding factors (0,1,2,3,4,5), and the expected number of confounders per gene (0,0.5,1,3,5). The default settings are marked in bold. For further details on the simulation approach, see Supplementary methods in Additional file 1.
**Evaluation:** SNP–gene associations were ranked in ascending order by their p value. An association between SNP A and gene C was considered a true positive if gene A is a direct regulator of gene C and the associated variant was close to the simulated cis anchor (SNP A, ±2 kb). In order not to confound the trans eQTL analysis, we ignored putative cis associations within a window of size ±5 Mb. We defined power as the area under the receiver operating characteristic (ROC) curve for a false positive rate below 5%.
**Mouse dataset**
We considered gene expression levels measured in hippocampus tissue of 468 heterogeneous stock mice [40]. The dataset contained 12,545 genetic markers and expression levels for 19,892 genes. In order to facilitate the evaluation of trans eQTLs, we considered the set of 3740 genes that could be linked to at least one Reactome pathway. We considered associations as Reactome-consistent if the associated variant and the focal gene were linked by at least one pathway. For this mapping of variants to genes, we considered all genes with a transcription start site located within ±2 Mb around the variant. We excluded all associations that were likely due to cis effects (±20 Mb) from the analysis. We selected 20 factors for PC-LMM and PCselect-LMM maximizing the number of trans associations (see Figure S21 in Additional file 1 for alternatives).
**Cardiogenics transcriptomic study**
We analysed the data from the Cardiogenics Transcriptomic Study [44, 45]. We restricted the analysis from the 758 individuals to the 395 samples from the Cambridge cohort, to reduce batch effects and differences in disease status (the Cambridge cohort was exclusively from healthy individuals). Out of these, 376 individuals passed quality control steps as in the primary analysis of the data [44, 45]. Requiring a minor allele frequency of at least 0.05, this resulted in 502,378 variants for analysis. We considered matching expression levels for 15,340 probes. Individual expression levels were quantile normalized to unit variance normal distribution. Subsequently, we regressed out age and gender and again used quantile normalized of the residuals to a standard normal distribution. We excluded associations that are likely cis acting (±2 Mb) from the analysis. We selected ten hidden factors for PC-LMM, and PCselect-LMM, again maximizing the number of trans associations (Figure S14 in Additional file 1).
**Genetics of gene expression in primary human immune cells study**
We validated the results from the Cardiogenics Transcriptomic Study [68] in 414 independent monocyte expression arrays in an independent monocyte eQTL dataset [18]. eQTL replication was assessed on a set of 9106 overlapping probes, considering eQTLs downstream of the locus 12q15.
**Software**
A standalone python implementation of GNet-LMM, including examples and use cases, is available under an Apache licence at https://github.com/PMBio/GNetLMM. The software builds on software components available in mtSet [67] and LIMIX [64].
**Data access**
The mouse dataset is publicly available on Array Express under the accession number E-MTAB-88. Published data from the cardiogenics and the Genetics of gene expression in primary human immune cells study have been deposited at the European Genome-phenome Archive (EGAS00001000411 and EGAS00000001019).
**Ethics approval**
Ethics approval was not needed for this study.
**Additional file**
*Additional file 1: Supplementary methods and supplementary figures.* (PDF 5596 kb)
**Abbreviations**
eQTL, Expression quantitative trait locus; GNet-LMM, Gene network linear mixed model; GWAS, Genome-wide association studies; LMM, Linear mixed model; PC, Principal component; PCA, Principal component analysis; ROC, Receiver operating characteristic; SNP, Single nucleotide polymorphism.
**Competing interests**
The authors declare that they have no competing interests.
**Authors’ contributions**
BR and OS conceived the method, designed the experiments, analysed the data and wrote the paper. BR performed the experiments. OS supervised the study. Both authors read and approved the final manuscript.
Acknowledgements
The authors would like to thank Joris Mooij and the whole Stegle group for helpful discussions. We thank Daniel Gaffney, Davis Mc Carthy, Julien Gagneur, and Leopold Parts for comments on the manuscript and Roman Kreuzhuber for providing the processed Cardiogenics datasets.
Funding
Not applicable. The authors have not received external funding for this work.
Received: 19 September 2015 Accepted: 9 February 2016 Published online: 24 February 2016
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A meeting of the Camden Board of Directors of Rutgers, The State University of New Jersey was held on Tuesday, September 20, 2022 at 10:30 a.m. in the Rutgers–Camden Campus Center, Camden, New Jersey. Dr. James Dougherty presided as Chair pro tempore.
Present and constituting a quorum were Covington, Dietrich, DiMartino, and Dougherty.
Absent was Tambussi.
Attending for the university administration were Tillis, Sepanic, and Roesener.
Also present were Rabinowitz, faculty representative to the Board of Directors and Carr, graduate student representative to the Board of Directors.
**ANNOUNCEMENT PURSUANT TO CHAPTER 231, PUBLIC LAW 1975 (OPEN PUBLIC MEETINGS ACT)**
Mr. Sepanic, Secretary of the Rutgers–Camden Board of Directors, announced that pursuant to Public Law 1975, Chapter 231 (Open Public Meetings Act), public notice of this meeting was filed on September 15, 2022 with the Office of the Secretary of State of New Jersey and three newspapers, the Cherry Hill Courier-Post, the New Brunswick Home News Tribune & Courier News, and the Newark Star-Ledger. Public notice of the meeting was posted in the following University libraries: the Alexander Library, New Brunswick; the Dana Library, Newark; and the Robeson Library, Camden. In addition, notice of this meeting was posted on the Rutgers–Camden Board of Directors website.
**CONFLICT OF INTEREST STATEMENT**
Mr. Sepanic asked the board members if they had reviewed the meeting agenda and supporting documents and if anyone had a possible conflict of interest to disclose. No conflicts were reported.
**INDUCTION OF NEW BOARD MEMBER**
Dr. Dougherty introduced Mr. Robert Roesener, deputy general counsel and member of the Bar of the State of New Jersey, to administer the Oath of Allegiance and Office to induct new members. Mr. Roesener called on Ms. Mary DiMartino, who was inducted and joined the Rutgers University–Camden Board of Directors as a member representative of the Rutgers University Board of Governors.
**ELECTION OF OFFICERS OF THE RUTGERS UNIVERSITY–CAMDEN BOARD OF DIRECTORS AND OF APPOINTEE TO THE ROWAN UNIVERSITY/RUTGERS–CAMDEN BOARD OF GOVERNORS**
Annual elections for the positions of chair, vice chair, secretary, and treasurer were held. Dr. Dougherty turned the chair over to Mr. Sepanic for the election of chair and left the room. Mr. Sepanic presented Dr. Dougherty for the position of chair for the term September 2022 to September 2023 and called for a motion, which was made and seconded. Mr. Sepanic asked if there was any discussion.
Hearing none, Mr. Sepanic called for a vote, and Dr. Dougherty was unanimously elected as chair. Dr. Dougherty rejoined the meeting and assumed the chair.
Dr. Dougherty asked Mr. Covington to leave the room. Dr. Dougherty presented Mr. Covington for the position of vice chair for the term September 2022 to September 2023 and called for a motion, which was made and seconded. Dr. Dougherty asked if there was any discussion. Hearing none, Dr. Dougherty called for a vote, and Mr. Covington was unanimously elected as vice-chair. Mr. Covington returned to the room.
Dr. Dougherty asked Mr. Sepanic to leave the room. Dr. Dougherty presented Mr. Sepanic for the position of secretary and Mr. Michael Gower *in absentia* for the position of treasurer for the term September 2022 to September 2023 and called for a motion, which was made and seconded. Dr. Dougherty asked if there was any discussion. Hearing none, Dr. Dougherty called for a vote, and Mr. Sepanic and Mr. Gower were unanimously elected as secretary and treasurer, respectively. Mr. Sepanic returned to the room.
Dr. Dougherty turned the chair over to Mr. Covington and left the room. Mr. Covington presented Dr. Dougherty for the position of appointee to the Rowan University/Rutgers–Camden Board of Governors which is coterminous with Dr. Dougherty’s term on the Rutgers University Board of Governors, ending in 2026. Mr. Covington called for a motion, which was made and seconded, and asked if there was any discussion. Hearing none, Dr. Dougherty called for a vote, and Dr. Dougherty was unanimously elected as appointee to the Rowan University/Rutgers–Camden Board of Governors.
**APPROVAL OF MINUTES OF THE MAY 12, 2022 MEETING**
Dr. Dougherty called attention to the minutes of the May 12, 2022 meeting that were distributed to the Board and asked if there were any additions or corrections to the minutes. Ms. Martino said she would abstain from the vote, as she was not a member of the board at that time. Receiving no other objections, Dr. Dougherty called for a motion which was seconded and asked if there was any discussion. Hearing none, the minutes were approved.
**CONFIDENTIALITY AND CONFLICT OF INTEREST POLICIES**
Dr. Dougherty called on Mr. Sepanic who reminded Board members and representatives about the need to review, sign, and return to the Office of the Secretary the policy statement on confidentiality of proceedings of the Rutgers–Camden Board of Directors’ meetings.
**CHANCELLOR’S REPORT**
After congratulating Dr. Dougherty and Mr. Covington on their election as chair and vice chair, respectively, and welcoming Ms. DiMartino and Ms. Carr to the board, Chancellor Tillis provided an update on important happenings since the last Board meeting on May 12, 2022.
Chancellor Tillis was pleased to note that Rutgers–Camden is experiencing many new beginnings. On May 17, 2022 Rutgers–Camden held its inaugural Rites of Passage ceremony, which celebrated graduating Black and Latinx students. In addition, on September 8, 2022, Rutgers–Camden held its first convocation to celebrate the official start of the new school year. Also, this fall 18 scholars and educators joined the Rutgers–Camden faculty in 10 different disciplines, and students were welcomed as the inaugural classes for new programs in Prevention Science (Ph.D. and M.S.) and Finance-Wealth Management (M.S.).
Consistent with national trends, as of September 19, 2022, Chancellor Tillis reported that Rutgers University–Camden experienced declines in total enrollment (down 7.9% from 2021-2022) and undergraduate enrollment (down 12.3% from 2021-2022). These declines were forecasted and demonstrate, in part, impact of the pandemic. Chancellor Tillis thanked Dr. Jimmy Jung, senior vice chancellor, Dr. Craig Westman, vice chancellor for enrollment management, and their teams, for working tirelessly to lessen the anticipated enrollment melt. Conversely, Chancellor Tillis was pleased to share that enrollment in professional schools and graduate study at Rutgers–Camden increased 3.5% over last fall.
As evidenced in part by increases in the 2022-2023 national rankings by *U.S. News and World Report*, Chancellor Tillis said Rutgers University–Camden is “an institution on the rise locally and nationally.” Increased rankings were noted in all three areas: Top Public Universities (#61 from #67); National Universities (#127 from #148); and Best Colleges for Veterans (#83 from #86). Having only joined these groups of classifications in 2002, Chancellor Tillis remarked on the huge jump Rutgers University–Camden has made particularly among national universities, advancing from #168 in 2002 to #127 in 2022.
Chancellor Tillis also shared an update on his 15 strategic initiatives that are scheduled for launch within five years. Announced in July 2022, “15 in 5” focuses on chancellor-level competitive grants and awards to advance the student educational experience and to support the advancement and development of faculty and staff. The first five initiatives were launched in the 2021-2022 academic year: Chancellor’s Learning Abroad Course Scholarship; Chancellor’s Mayoral Internship Program; Chancellor’s Grant for Staff Development; Chancellor’s Lecture Series on Global Racial Reckoning and Civility; and Chancellor’s Grant for Faculty Research. An additional five initiatives will be launched in the 2022-2023 academic year: Chancellor’s Grant for Interdisciplinary Research Collaboration; Chancellor’s Grant for Independent Student Research; Chancellor’s Grant for Pedagogical Innovation; Chancellor’s Grant for Assistant Professor Research Development; Chancellor’s Research Grant for Part-Time Lecturers (PTL); and Chancellor’s Dissertation Completion Award. Chancellor Tillis is extremely enthusiastic about providing opportunities to support part-time lecturers in their scholarly pursuits, offering students opportunities to partner with faculty in research, and advancing pedagogical innovation by supporting new course development. The final four initiatives to be launched in the future include the Chancellor’s Distinguished Visiting Scholar; Chancellor’s Grant for Post-Doctoral Studies; Chancellor’s Grant for Faculty Development in Administrative Roles; and Chancellor’s Faculty Book Completion Grant. Chancellor Tillis commented on the need to institutionalize training for interested faculty to become academic leaders in administrative roles and to help fill a funding gap by targeting the book completion grant toward faculty in the humanities.
Chancellor Tillis distinguished between his strategic initiatives and a strategic plan for the campus. To develop a new strategic plan for Rutgers–Camden, Chancellor Tillis has appointed Dr. Jane Seigel, associate dean for undergraduate education and professor of criminal justice, and Dr. Marsha Besong, vice chancellor for student academic success, to serve as committee co-chairs. They have assembled an inclusive committee representative of the campus to develop the new plan for the campus.
In addition to his “15 in 5” initiatives, Chancellor Tillis also outlined nine strategic goals for 2022-2023 that have advanced to university-wide priorities. They include prioritizing opportunities for student learning experiences; implementing the DEI strategic plan; strengthening the executive leadership structure; strengthening enrollment and retention; enhancing student supports; renewing the built environment; creating opportunities for growing faculty excellence; developing a culture of philanthropy; and advancing the strategic planning process.
Finally, Chancellor Tillis shared that the FY2023 budget for the State of New Jersey delivered strong support for Rutgers–Camden, providing $7 million in new funding and over $6 million in ongoing funding.
Chancellor Tillis concluded his report by answering questions from Board members.
OLD BUSINESS
Dr. Dougherty directed the Board’s attention to old business. There was no old business.
NEW BUSINESS
Dr. Dougherty directed the Board’s attention to new business. There was no new business.
ADJOURNMENT
Dr. Dougherty asked if there was any further business. Hearing none, he called for a motion and a second to adjourn the meeting at 11:40 a.m.
Minutes prepared and submitted by,
Michele L. Robinson
Rutgers University–Camden Chancellor’s Office |
Screening strategies for adults with type 2 diabetes mellitus: a systematic review protocol
Helen Mearns\textsuperscript{1,2*}, Paul Kuodi Otiku\textsuperscript{1,2}, Mary Shelton\textsuperscript{3}, Tamara Kredo\textsuperscript{4,5}, Benjamin M. Kagina\textsuperscript{1,2} and Bey-Marrié Schmidt\textsuperscript{4}
**Abstract**
**Background:** There is limited evidence on whether screening for type 2 diabetes mellitus affects health outcomes. A recent systematic review of randomised clinical trials found only one trial that met their inclusion criteria; therefore, current guidelines for screening interventions for type 2 diabetes mellitus are based on expert opinions and best practice rather than synthesised evidence. This systematic review seeks to collate evidence from non-randomised studies to investigate the effect of screening for adults with type 2 diabetes on outcomes including diabetes-related morbidity, mortality (all-cause and diabetes-related) and harms.
**Methods:** This systematic review will follow Effective Practice and Organisation of Care (EPOC) guidelines for the synthesis of non-randomised studies. We will search PubMed/MEDLINE, Scopus, Web of Science, CINAHL, Academic Search Premier and Health Source Nursing Academic (from inception onwards). We will include non-randomised trials, controlled before-after studies, interrupted time-series studies, repeated measures studies and concurrently controlled prospective cohort studies. The primary outcome will be diabetes-related morbidity (microvascular complications of diabetic retinopathy, nephropathy or neuropathy or macrovascular complications of non-fatal myocardial infarction, peripheral arterial disease or non-fatal stroke). The secondary outcomes will be mortality (all-cause and diabetes-related) and harms of screening strategies to patients (including psychological harms or adverse events following treatments) or to health care system (including resource allocation for false-positives or overdiagnosis). Two reviewers will independently screen all citations and full-text articles. Data will be abstracted by one reviewer and checked by a second. The risk of bias of individual studies will be appraised using the ROBINS-I tool. GRADE will be used to determine the quality of the scientific evidence. If feasible, we will conduct random effects meta-analysis where appropriate. If necessary, analyses will be conducted to explore the potential sources of heterogeneity (e.g. age, sex, socio-economic status, rural versus urban or low-middle income versus high-income country). We will disseminate the findings via publications and through relevant networks.
(Continued on next page)
* Correspondence: firstname.lastname@example.org
\textsuperscript{1}Vaccines for Africa Initiative, University of Cape Town, Cape Town, South Africa
\textsuperscript{2}School of Public Health & Family Medicine, University of Cape Town, Cape Town, South Africa
Full list of author information is available at the end of the article
Discussion: The protocol outlines the methods for systematically reviewing and synthesising evidence of screening strategies for type 2 diabetes mellitus and their effect on health outcomes associated with the disease. The potential impact of this systematic review is improved evidence-informed decision-making for policies and practice for screening of type-2 diabetes.
Systematic review registration: PROSPERO CRD42020147439
Keywords: Screening, Mass screening, Targeted, Opportunistic, Type 2 diabetes mellitus
Background
Description of the condition
Diabetes mellitus is a disease of increasing global concern. The global prevalence of diabetes was approximately 425 million people in 2017, approximately 8.5% of the adult population, and is expected to double by 2045 [1]. In high-income countries, type 2 diabetes mellitus accounts for approximately 90% of diabetes cases; there is insufficient data to estimate the ratio of type 2 diabetes mellitus in low- and middle-income countries, but it is assumed to be similar [1, 2]. Clinical diabetes is diagnosed through the detection of elevated levels of glucose in the blood (hyperglycemia) [3]; however, it is estimated that half of the people who have diabetes are not diagnosed [1].
In addition to those individuals who have clinical diabetes, another 352 million, approximately 7.3% of the adult population, have intermediate blood glucose levels that are considered in between normal and clinically diagnosed diabetes [1, 3]. These intermediate blood glucose levels perform as a risk score, where increasing values are associated with an increasing likelihood of progression to diabetes, cardiovascular disease and all-cause mortality [2, 4]. Patients who present with intermediate levels of blood glucose are described using a number of terminologies including mild glucose intolerance, non-diabetic hyperglycaemia and prediabetes. The terminology promoted by the World Health Organization (WHO) is impaired glucose tolerance (IGT), impaired fasting glucose (IFG) and intermediate hyperglycaemia [3, 5]. The term prediabetes is gaining in popularity even though the WHO has warned its use may lead to disease stigma and detract from the significant cardiovascular risk of this population [5]. About a third of people with IGT and IFG are young, aged between 20–39 years, meaning they will spend many years at risk of developing diabetes [1]. Other risk factors, apart from intermediate glucose levels, for the development of diabetes are increasing age of more than 45 years and obesity [2].
Type 2 diabetes mellitus arises due to defective insulin activity in body tissues, defective insulin secretion from pancreas or a combination of the two [2]. Type 2 diabetes mellitus usually occurs in older adults, but with a change in lifestyle factors, such as inactivity and obesity, the condition is increasingly being detected in children, adolescents and young adults [1, 2]. Current management of type 2 diabetes mellitus involves lifestyle modification: increasing physical activity, improving diet, reaching a healthy body weight and stopping smoking, all monitored by regular screening [2]. If lifestyle modification does not result in sufficiently decreased blood glucose levels, medication may be prescribed, of which there are a range of treatment options available [2]. The complication with type 2 diabetes mellitus is the long latency period, often lasting several years, during which time the individual is often asymptomatic and unaware of their condition [1, 2]. This prolonged asymptomatic state results in long-term damage to the body’s organs that leads to negative health outcomes including pregnancy complications, oral health problems, disabilities such as blindness, reduced wound healing, foot disease that may require amputation, stroke, heart and kidney disease and death [1–3].
Description of the intervention
There are many types of screening interventions and strategies that may be used to detect disease in a population often classified as mass, opportunistic and targeted strategies—as presented in Table 1 [2, 6]. This systematic review will use these classifications, but if additional strategies are noted, these too will be included.
The biochemical tests commonly used are fasting plasma glucose (FPG), oral glucose tolerance test (OGTT) and detection of glycated haemoglobin A1C (HbA1c) although there are also urine glucose tests available or random blood glucose tests [2, 6]. In addition, there are a number of risk scores [7, 8], including the Finnish Diabetes Risk Score (FINDRISC) [9] and the American Diabetes Association’s risk test [10]; however, these are not commonly used as stand-alone screening tools. Classification of patients post testing can be termed as in the normal range or as having diabetes, impaired glucose tolerance (IGT) or impaired fasting glucose (IFG) (as presented in Table 2) [1, 3].
Table 1 Screening strategies applied to detect diabetes
| Mass | Screening of an entire apparently healthy population regardless of risk factors |
|------|---------------------------------------------------------------------------------|
| Opportunistic | Screening of individuals, who may or may not be considered at-risk for diabetes, when presenting for any reason to the health system or other opportunistic interaction (e.g. HIV testing drive) |
| Targeted | Seeking out and screening individuals from a population who are considered at-risk of developing diabetes (e.g. obese, older age) |
How the intervention might work
The theory behind screening for type 2 diabetes mellitus is to identify either disease or associated risk factors to initiate preventative measures that can halt, slow or improve the course of disease [11]. Therefore, the earlier the disease is detected, especially where there is high risk of disease, theoretically, the better the expected outcomes. The logic model in Fig. 1 describes a complex system in which the intervention interacts with participants, context, implementation and how these affect the outcomes and the impact of this research [12].
Why it is important to do this review
Guidelines for screening interventions for type 2 diabetes mellitus, such as those released by the UK National Screening Committee [13], the American Diabetes Association [2] or the Society for Endocrinology, Metabolism and Diabetes of South Africa [14], are based on expert opinion and local practice rather than synthesised evidence. This is because there is limited information to provide evidence about best practice for screening interventions for type 2 diabetes mellitus and even less evidence in low- and middle-income countries [15]. A recently published Cochrane review assessed the effects of any type of screening compared with no screening for type 2 diabetes [16] and found only one trial, the ADDITION-Cambridge trial [17], that met their inclusion criteria. The ADDITION-Cambridge trial consisted of 20,184 participants aged 40–69 years from general practices in England who were at risk for diabetes but had no known diabetes. These participants were randomised to screening versus no screening arms, and followed up for a median of 9.6 years (November 2001 to November 2011). The review found moderate certainty evidence that screening for diabetes probably makes little or no difference to all-cause mortality and low certainty evidence that it may make little or no difference to diabetes-related mortality. However, because the review only included one trial, firm conclusions about early diabetes screening on health outcomes cannot be drawn. In consultation with the authors of the unpublished Cochrane review and considering the public health importance of screening and the potential impact on large populations, we propose to assess evidence from non-randomised intervention study designs. The questions for the systematic review will include the following: Does screening for type 2 diabetes mellitus reduce morbidity and/or mortality? Does a particular screening strategy result in a greater reduction of morbidity and/or mortality as compared to another screening strategy? Does screening for type 2 diabetes mellitus result in harms to participants or the health system?
Table 2 WHO recommended ranges used to classify patients according to blood glucose levels [3]
| Diabetes | Fasting plasma glucose ≥ 7.0 mmol/L (126 mg/dl) OR 2-h plasma glucose* ≥ 11.1 mmol/L (200 mg/dl) OR HbA1c ≥ 6.5% |
|----------|---------------------------------------------------------------------------------------------------------------|
| Impaired glucose tolerance (IGT) | Fasting plasma glucose < 7.0 mmol/L (126 mg/dl) AND 2-h plasma glucose* ≥ 7.8 and < 11.1 mmol/L (140 mg/dl and 200 mg/dl) |
| Impaired fasting glucose (IFG) | Fasting plasma glucose 6.1 to 6.9 mmol/L (110 mg/dl to 125 mg/dl) AND (if measured) 2-h plasma glucose* < 7.8 mmol/L (140 mg/dl) |
*Venous plasma glucose 2 h after ingestion of 75 g oral glucose load
Objectives
Primary objective
To assess the effectiveness of targeted, opportunistic or mass screening for type 2 diabetes mellitus on reduction of diabetes-associated morbidity in adults
Secondary objectives
To assess the effectiveness of targeted, opportunistic or mass screening for type 2 diabetes mellitus on reduction of mortality (all cause as well as diabetes-associated) in adults
To assess the harms of targeted, opportunistic or mass screening for type 2 diabetes mellitus in adults
Methods
The present protocol has been registered within the PROSPERO database (CRD42020147439). This manuscript is being reported in accordance with the reporting guidance provided in the Preferred Reporting Items for Systematic Reviews and Meta-Analyses Protocols (PRISMA-P) statement [18] (see checklist in Additional file 1).
Study and source eligibility
Types of studies
As existing reviews have found limited randomised evidence addressing this question [15, 19, 20], we will focus on non-randomised intervention studies (NRIS). We will employ the Cochrane EPOC criteria [21], and NRIS of interest will include non-randomised trials, controlled before-after studies, interrupted time-series study, repeated measures study and concurrently controlled prospective cohort study. The difficulty associated with labelling NRIS is well-documented in the literature; several of these designs, for example, have been used interchangeably; we will make use of the EPOC definitions and flow diagram to assist in study design identification (Appendix 1):
- Non-randomised trial (NRT) is a study design in which individual participants, or clusters of participants, are allocated to intervention or comparator in a quasi-random or non-random manner. If there is an allocation rule, it is often by, for example, alternation, day of the week, odd/even hospital, or identification number.
- Controlled before-after (CBA) is a study design that estimates intervention effectiveness by comparing pre- and post-intervention outcomes in individuals or clusters that receive the intervention and those that do not.
- Interrupted time series (ITS) studies design uses multiple observations from individuals or clusters pre-intervention to establish the pre-existing outcome trend; intervention effectiveness is then estimated by measuring post-intervention changes in the expected outcome trend associated with the introduction of an intervention (the ‘interruption’). An ITS study can identify both immediate and long-term changes associated with the intervention. The interrupted time-series studies will be required to have a clearly defined point in time when the intervention occurred and a minimum of 3 time points before and 3 time points after the intervention [21].
- A repeated measures (RM) study is an interrupted time-series study but where the outcomes of interest are measured in the same participants at each point in time.
- Concurrently controlled prospective cohort study (PCS) is where subjects are identified prospectively as having received an intervention or comparator and are then followed over time. The allocation rule is often in relation to organizational factors such as ward, clinic, doctor or provider organisation. Control arms should be contemporaneous, we will not include retrospective control arms.
‘PICO’ eligibility
Types of participants
We will include adults aged 18 years and older without documented diabetes mellitus or pregnancy.
Types of interventions
We will include studies comparing one of the screening strategies, targeted, opportunistic or mass screening interventions for the detection of type 2 diabetes mellitus, against no screening or another of the screening strategies (Table 1). There will be a 6-month minimum follow-up time required for the primary clinical outcome of morbidity.
Types of outcome measures
Primary outcomes Clinical outcomes
- Diabetes-related morbidity defined as study-reported microvascular complications (diabetic retinopathy, diabetic nephropathy, diabetic neuropathy) or macrovascular complications (non-fatal myocardial infarction, peripheral arterial disease, non-fatal stroke) and measured from 6 months after screening
Secondary outcomes Clinical outcomes
- Mortality (all-cause and diabetes-related) defined as death due to any-cause including diabetes or other cardiovascular causes (including acute myocardial infarction, ischemic heart disease, stroke or any cardiovascular disorder that lead to death) and measured at any time after screening
Harms of diabetes screening
Harms to patients is defined as event/s reported in the study at any time after screening.
- Psychological harms such as anxiety or stigma that impacts on quality of life due to a false-positive test
- Number of days of work lost
- Side-effects from treatment
- Loss of health insurance benefits
Harms to health care system is defined as event/s reported in the study at any time after screening.
- False-positive test resulting in human, physical and financial resource allocation to patients who are not in need
- Overdiagnosis may lead to over-extension of human, physical and financial resources for patients who end up in prolonged treatment and engagement with the health system even if they never develop disease
The rationale for prioritisation of outcomes: Primary outcome serves to inform whether screening alters the course of disease as assumed per screening theory [11] and depicted in Fig. 1. Secondary outcome of mortality contributes to the current data outlining no reduction in mortality following screening intervention [19] while also assessing harms that may arise from screening intervention [3] and therefore contribute to evidence to substantiate policy and practice recommendations.
Search methods for identification of studies
Electronic searches
The University of Cape Town Health Sciences Reference Librarian (MS) assisted the first author (HM) in developing the search strategy and will provide advice and guidance in conducting the searches for the review.
Electronic Database Search (from inception onwards)
- PubMed (MEDLINE)
- Scopus (includes majority of EMBASE contents)
- Web of Science Platform (Web of Science Core Collection, Biological Abstracts, SciELO Citation Index)
- Academic Search Premier (on the EBSCOhost platform)
- CINAHL (on the EBSCOhost platform)
- Health Source Nursing Academic (on the EBSCOhost platform)
A draft search strategy for PubMed/MEDLINE, based on the original search strategy utilised by the Cochrane Review team and revised by an information specialist, is provided in Appendix 2 (see Appendix 2). We will include all studies regardless of publication status; however, we will only include English language studies. We are aware that this decision may lead to language bias [22], but due to capacity and resource limitation of the systematic review team, we are restricted to English only. We will search all databases from inception to the date of search. The search syntax will first be tested and optimised in PubMed. We will thereafter replicate the searches in the other databases adapting search syntax as necessary for those databases.
Grey literature search
We will conduct a grey literature search to identify studies not indexed in the databases listed above.
- OpenGrey (multidisciplinary European database, covering science, technology, biomedical science, economics, social science and humanities)
- Conference abstracts from The American Diabetes Association (ADA), the European Association for the Study of Diabetes (EASD) meeting and
Diabetologia will be used to track down full text articles.
- National Institute for Health Research Economic Evaluation Database (NHS FEED)
- Cost-Effectiveness Analysis Registry (CEA) (www.healtheconomics)
We will search key references, such as systematic reviews, by cross-checking reference lists for additional potentially eligible primary studies [23]. We will also contact experts in the field to check if we have missed any relevant studies. We may contact authors of included studies to clarify reported published information and to seek unpublished data.
**Methods for screening search results**
**Screening methods**
We will collate and transfer search results to the Rayyan screening software [24] and remove duplicate records. At least two review authors will independently screen titles and abstracts of every record retrieved. Outcome measures will not be used to exclude studies during title and abstract screening. The potentially eligible records will be retrieved for full text screening. The two review authors will independently review full text records for compliance of studies with eligibility criteria of the review. A decision tree based on the eligibility criteria will be used to assist in decision making for exclusion of studies (see Appendix 3). Two review authors will resolve any disagreements through discussion or, if required, will consult a third review author. A study must meet all inclusion criteria to be included. We will list excluded studies at the full text screening stage in the ‘Characteristics of excluded studies’ table. We will collate multiple reports of the same study so that each study rather than each report is the unit of interest in the review. We will provide any information we can obtain about ongoing studies. We will record the selection process in sufficient detail to complete a PRISMA flow diagram [25].
**Data collection and analysis**
**Data extraction**
We will use a standard data extraction form in Microsoft Excel to capture study characteristics and outcome data [22, 26]; we will pilot the form on at least one eligible study. One review author will extract the following study characteristics from the included studies, and an independent review author will check the extraction:
1. Source: study ID (created by review author), review author ID (created by review author), citation and contact details
2. Eligibility: confirm eligibility for review, reason for exclusion
3. Methods: study design, number of study centres and location, study setting, withdrawals, date of study, follow-up, confounding factors considered, and the methods used to control for confounding, aspects of risk of bias specific for NRIs (see “Assessment of risk of bias in included studies” below), how missing data was handled
4. Participants: number, mean/median age, age range, gender, severity of condition, diagnostic criteria, inclusion criteria, exclusion criteria, screening criteria, diagnostic criteria, presence of known risk factors for type 2 diabetes mellitus (obesity, family history), co-morbidity (hypertension, dyslipidaemia), socio-demographics
5. Interventions: intervention components, comparison, fidelity assessment using the Template for Intervention Description and Replication (TIDieR) as a guide [27]
6. Outcomes: primary and secondary outcomes specified above in the section “Types of outcome measures”.
7. Miscellaneous: funding source, notable conflicts of interest of study authors, ethical approval, key conclusions of the study authors, miscellaneous comments from the study authors, references to other relevant studies, correspondence required, miscellaneous comments by the review authors.
One review author will extract outcome data from included studies, and an independent review author will check extracted data. We will note in the ‘Characteristics of included studies’ table if outcome data were reported in an unusable way. We will resolve disagreements by consensus or by involving a third review author.
**Assessment of risk of bias in included studies**
Two review authors will independently assess risk of bias for each study using the ROBINS-I tool [28]. Any disagreement will be resolved by discussion or by involving a third review author.
We will assess the risk of bias according to the following domains:
1. Pre-intervention: bias due to confounding
2. Pre-intervention: bias in selection of participants into the study
3. At intervention: bias in classification of interventions
4. Post-intervention: bias due to deviations from intended interventions
5. Post-intervention: bias due to missing data
6. Post-intervention: bias in measurement of outcomes
7. Post-intervention: bias in selection of the reported result
We will judge each potential source of bias as low risk, moderate risk, serious risk, critical risk of bias or no information. We will summarise the ‘Risk of bias’ judgements across different studies for each of the domains listed. We will consider blinding separately for different key outcomes where necessary (e.g. for unblinded outcome assessment, risk of bias for all-cause mortality may be very different than for a patient reported pain scale). Where information on risk of bias relates to unpublished data or correspondence with a trialist, we will note this in the ‘Risk of bias’ table. We will not exclude studies on the grounds of their risk of bias but will clearly report the risk of bias when presenting the results of the studies. When considering treatment effects, we will take into account the risk of bias for the studies that contribute to that outcome. We will conduct the review according to this published protocol and report any deviations from it in the ‘Differences between protocol and review’ section of the systematic review.
Dealing with missing data
Authors will be contacted, and missing data will be requested. If only returned in part and data can be logically imputed, such as standard errors, this will occur. All missing data will be clearly reported in the data extraction forms and risk of bias table and as such be assessed in the sensitivity analysis.
Data management
EndNote X9 and Microsoft Excel will be used for data management. If there is a conflict between data reported across multiple sources for a single study (e.g. between a published article and a trial registry record), we will report the data from the first peer-reviewed published article.
Data synthesis
Preparation for data synthesis
In preparation for synthesis (either meta-analyses or synthesis without meta-analysis), we will assess how much data are available for each of our objectives by creating a table to compare the PICO elements and the study design features as well as the extracted numerical data for the compilation of a meta-analysis.
Measures of treatment effect
We will estimate the effect of the intervention using risk ratio for dichotomous data, and mean difference or standardised mean difference for continuous data. Time to event outcomes will be reported as hazard ratios. If other effect estimates are provided, we will convert between estimates where possible. Measures of precision will be 95% confidence intervals. We will ensure that an increase in scores for continuous outcomes can be interpreted in the same way for each outcome, explain the direction to the reader, and report where the directions were reversed if this was necessary. Interrupted time series data will be analysed and, if required, a statistical comparison of time trends before and after the intervention will be performed. For ITS studies, the guideline as outlined in Analysis in EPOC reviews will be followed with assistance of a statistician to ensure integrity of analysis [29].
Unit of analysis issues
To avoid unit of analysis errors we will consider the unit used to cluster the intervention (such as a ward, clinic, doctor or provider organisation) or in the case of repeated measures that there will be multiple observations for the same outcome. For instance, multiple screening intervention events per participant may occur over time that may cause a unit-of-analysis error. In order to calculate the confidence intervals, the participants per treatment group rather than the number of intervention attempts will be used [22]. Multiple intervention groups could create unit-of-analysis issues especially if different screening interventions are compared against no screening intervention and use the same participants with no screening intervention in both comparisons [22]. If there is more than one comparison in the study design, we will combine groups into a single pairwise comparison. If there is a unit of analysis error in the reported analysis for a study and there is insufficient information to reanalyse the results, the study authors will be contacted to obtain necessary data. If these data are not available, we will not report confidence intervals or $p$ values for which there is a unit of analysis error [30].
Quantitative synthesis
We will undertake meta-analyses only where this is meaningful, i.e. if the interventions, participants and the underlying clinical question are similar enough for pooling to make sense. If feasible and appropriate, outcome data from primary studies will be used to perform random effects meta-analyses. Since heterogeneity is expected a priori, we will estimate the pooled treatment effect estimates and its 95% confidence interval using the random effects model. The random effects model assumes that the effect estimates follow a normal distribution, considering both within-study and between-study variation.
Assessment of heterogeneity
Forest plots will be used to visualise the extent of heterogeneity among studies. We will quantify statistical
heterogeneity by estimating the variance between studies using $I^2$ statistic. The $I^2$ is the proportion of variation in effect estimates that is due to genuine variation rather than sampling (random) error. $I^2$ ranges between 0 and 100% (with values of 0–25% and 75–100% taken to indicate low and considerable heterogeneity, respectively) [22]. We will also calculate the chi-squared test where a $p$ value < 0.1 indicates statistically significant heterogeneity.
**Assessment of publication bias**
If we include more than 10 studies investigating a particular outcome, we will use a funnel plot to explore possible publication bias, interpreting the results with caution [31].
**Subgroup analysis and investigation of heterogeneity**
We expect the following population characteristics may introduce clinical heterogeneity: age, sex, socio-economic status [6].
We expect the following contexts may introduce health system heterogeneity: study setting of rural or urban or in a low-middle income country or a high-income country (as defined by the World Bank) [6].
We will use the following outcomes in subgroup analysis:
1. Diabetes-associated morbidity
2. Mortality (all-cause and diabetes-associated)
3. Harms
**Sensitivity analysis**
We may conduct a sensitivity analysis to explore the influence of various factors on the effect size of the primary outcomes of the review only. We will stratify studies according to:
1. Restricting the analysis to published studies.
2. Restricting the analysis to studies with a low risk of bias, as specified in “Assessment of risk of bias in included studies”
3. Imputing missing data.
Any post hoc sensitivity analyses that may arise during the review process will be justified in the final report.
**Assessment of certainty of evidence using the GRADE approach**
Two review authors will independently assess the certainty of the evidence (high, moderate, low and very low) for each outcome using the five GRADE considerations for downgrading the certainty of evidence (risk of bias, consistency of effect, imprecision, indirectness, and publication bias) and the three criteria for upgrading the certainty of evidence (large effect, dose response and residual confounding opposing the observed effect) [32]. We will use the GRADEpro software GDT [33] to create the ‘Summary of findings’ tables for the main intervention comparisons and include the following outcomes: diabetes-associated morbidity, mortality (all-cause and diabetes-associated), harms (see Appendix 4 for SoF). We will resolve disagreements on certainty ratings by discussion and provide justification for decisions to down- or upgrade the ratings using footnotes in the SoF table and make comments to aid readers’ understanding of the review where necessary. We will use plain language statements to report these findings in the review [34]. The SoF tables will be used to draw conclusions about the certainty of the evidence within the text of the review. If during the review process, we become aware of an important outcome that we failed to list in our planned ‘SoF’ tables, we will include the relevant outcome and explain the reasons for this in the section ‘Differences between protocol and review’.
**Discussion**
Systematic reviews of screening for type 2 diabetes have found no evidence that this intervention saves lives [15, 19, 20]; therefore, this review will primarily focus on the impact of screening on the reduction of diabetes-associated morbidities. The impact of this review is synthesised data for the provision of evidence-based decision-making for informing policy and practice around screening strategies for type 2 diabetes mellitus. Important protocol amendments will be documented and noted in the discussion.
**Limitations**
The potential limitations of this review at a study (outcome) level include the following: the potential finding of insufficient studies of similar study design and clinical question to synthesise abstracted study data; the overall completeness and applicability of evidence and quality of evidence especially due to the limitation to non-randomised studies due to the lack of randomised studies and therefore the lower quality of evidence; the limitation to English studies only and therefore the potential to miss published research; the limitation of not being able to discern between all-cause mortality and diabetes-related mortality and therefore combining this outcome under one mortality outcome. The potential limitation of this review at a systematic review process level includes the potential biases in the review process such as post hoc analysis and focus of outcome objectives.
Appendix 1
Fig. 2 Flow diagram to assist with identifying the type of study (modified from [34])
Appendix 2
Search Strategy for PubMed:
Set 1: Diabetes Mellitus, Type 2 [MeSH] OR [Text Word field:] Adult onset diabetes OR late onset diabetes OR latent diabetes OR mature onset diabetes OR MODY OR NIDDM OR noninsulin-dependent diabetes OR slow onset diabetes OR stable onset diabetes OR type 2 diabetes OR type II diabetes OR T2DM OR T2D
Set 2: Diabetes Insipidus [MeSH] OR [Text Word field:] diabetes insipidus
Set 3: 1 NOT 2
Set 4: Mass screening [MeSH] OR [Text Word field:] screening
Set 5: 3 AND 4
Set 6: Animals [MeSH] NOT Humans [MeSH]
Set 7: 5 NOT 6
Set 8: [All fields:] Trial OR trials OR before-and-after study OR before-and-after studies OR cohort OR comparative study OR comparative studies OR Controlled OR evaluation study OR evaluation studies OR follow-up study OR follow-up studies OR interrupted time series OR longitudinal study OR longitudinal studies OR non-randomised OR non-randomized OR nonrandomised OR nonrandomized OR non randomized OR non randomised OR non randomized OR program evaluation OR programme evaluation OR prospective study OR prospective studies OR quantitative study OR quantitative studies OR quasi experimental OR repeated measures
Set 9: 7 AND 8
Appendix 3
Table 3 Provisional eligibility decision tree for full text exclusion
| Hierarchy | Exclusion reason | Explanation of reason |
|-----------|----------------------------------|---------------------------------------------------------------------------------------|
| 1 | Duplicate | Record is a duplicate of another study already included in the review |
| 2 | Animal study | Study conducted in non-human population |
| 3 | Study withdrawn | Study was withdrawn before results became available |
| 4 | Ongoing study | Study is ongoing; No study results have been published. Study will be described in ‘Ongoing studies’ section of the review. |
| 5 | Wrong intervention | Study does not include screening for type 2 diabetes mellitus |
| 6 | Wrong study design | Study is not eligible as per Appendix 1 study designs. |
| 7 | Wrong population | Study intervention/outcomes involve individuals who have type 2 diabetes mellitus or are pregnant |
| 8 | Research question is inappropriate | Study is not eligible due to inappropriate research question or objectives that do not address systematic review objectives. |
| 9 | Wrong Outcomes | Study does not report outcomes that align with primary or secondary outcome measures. |
Appendix 4
Table 4 Provisional summary of findings table
Targeted, opportunistic or mass screening for type 2 diabetes mellitus compared to each other or no screening in children, adolescents and adults.
Patients or population Children, adolescents and adults without documented diabetes mellitus or pregnancy.
Intervention Targeted, opportunistic or mass screening for type 2 diabetes mellitus.
Comparison Other screening (targeted, opportunistic or mass) or no screening for type 2 diabetes mellitus.
Outcomes Illustrative comparative risks (95% CI)
| Assumed risk | Corresponding risk |
|--------------|--------------------|
| With targeted, opportunistic or mass screening | With other screening or without screening |
Diabetes-related morbidity
Mortality (all-cause and diabetes-related)
Harms
Quality of evidence (GRADE)
Comments
Supplementary information
Supplementary information accompanies this paper at https://doi.org/10.1186/s13643-020-01417-3.
Additional file 1. PRISMA Checklist.
Abbreviations
ADA: American Diabetes Association; CBA: Controlled before-after; CEA: Cost-Effectiveness Analysis Registry; CEBHA+: Collaboration for Evidence-Based Healthcare and Public Health in Africa; EASD: European Association for the Study of Diabetes; EPOC: Effective Practice and Organisation of Care; FPG: Fasting plasma glucose; GRADE: Grading of Recommendations Assessment, Development and Evaluation; HbA1c: Detection of glycated haemoglobin A1C; ITS: Interrupted time series; NHS EED: NHS Economic Evaluation Database; NRT: Non-randomised trial; NRIS: Non-randomised intervention studies; OGTT: Oral glucose tolerance test; PCS: Prospective cohort study; PRISMA: Preferred Reporting Items for Systematic Reviews and Meta-Analyses; RM: Repeated measures; SoF: Summary of findings; TiDeR: Template for Intervention Description and Replication.
Acknowledgements
The authors would like to thank the following people who have supported this protocol:
• The authors of an unpublished Cochrane systematic review titled “Screening for type 2 diabetes mellitus”: Nasheeta Peer and Solange Durao, South African Medical Research Council, for providing their protocol to form the basis of this protocol, as well as a summary of their findings to form the rationale of the protocol and a quote to summarise the findings of their unpublished review.
• Information specialist Maria-Inti Metzendorf, Cochrane Metabolic and Endocrine Disorders Group, provided search strategy for the unpublished Cochrane review by Peer and Durao upon which the current search strategy is based.
• CEBHA+ Methodological Support Group: Jake Burns and Peter Philippsborn, Ludwig-Maximilians Universitat Muenchen, are internal reviewers for CEBHA+ which funds this review and assisted by providing critical review of the draft protocol.
• Prof Naomi Levitt, Chronic Disease for Africa, UCT, is a clinical Endocrinologist/Diabetologist who contributed to the PICO of this review when conceptualising the project and gave critical feedback to assist with responding to reviewers comments on the protocol before resubmission.
Authors’ contributions
Conceiving the protocol: BS, TK. Designing the protocol: HM, BS. Coordinating the protocol: HM. Designing search strategies: MS, HM. Writing the protocol: HM. Providing general advice on the protocol and approving the final version: PKO, MS, BK, TK, BS. Securing funding for the protocol: BS, TK. Performing previous work that was the foundation of the current study: NP, SD. Guarantor of the review: BS. The authors read and approved the final manuscript.
Funding
The work reported herein was made possible through Cochrane South Africa, South African Medical Research Council under the Collaboration for Evidence-based Healthcare and Public Health in Africa (CEBHA+), and the CEBHA+ Programme. CEBHA+ receives funding from the Federal Ministry for Education and Research (Bundesministerium für Bildung und Forschung, BMBF), Germany, through the BMBF funding of Research Networks for Health Innovation in Sub-Saharan Africa. The content hereof is the sole responsibility of the authors and does not necessarily represent the official views of SAMRC or the funders. The funding body, the Federal Ministry for Education and Research (Bundesministerium für Bildung und Forschung, BMBF), Germany, played no role in the design and writing of the protocol. Cochrane South Africa’s Collaboration for Evidence-based Healthcare and Public Health in Africa (CEBHA+) provided critical review and expert advice on the penultimate version of the protocol.
Availability of data and materials
Not applicable.
Ethics approval and consent to participate
Ethics approval is not required for a systematic review of secondary data.
Consent for publication
Not applicable.
Competing interests
The authors declare that they have no competing interests.
HMA: None known
PKO: None known
MS: None known
BMK: None known
TK: None known
BS: None known
Author details
1Vaccines for Africa Initiative, University of Cape Town, Cape Town, South Africa.
2School of Public Health & Family Medicine, University of Cape Town, Cape Town, South Africa.
3Health Sciences Library, University of Cape Town, Cape Town, South Africa.
4Cochrane South Africa, South African Medical Research Council, Cape Town, South Africa.
5Division of Clinical Pharmacology, Department of Medicine, Faculty of Medicine and Health Sciences, University of Stellenbosch, Cape Town, South Africa.
Received: 21 December 2019 Accepted: 30 June 2020 Published online: 13 July 2020
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Non Parametric Data Augmentations Improve Deep-Learning based Brain Tumor Segmentation
Hadas Ben Atya, Ori Rajchert
Faculty of Biomedical Engineering
Technion - IIT
Haifa, Israel
{firstname.lastname@example.org
Liran Goshen
Global Advanced Technology, CT BU
Philips
Haifa, Israel
email@example.com
Moti Freiman
Faculty of Biomedical Engineering
Technion - IIT
Haifa, Israel
firstname.lastname@example.org
Abstract—Automatic brain tumor segmentation from Magnetic Resonance Imaging (MRI) data plays an important role in assessing tumor response to therapy and personalized treatment stratification. Manual segmentation is tedious and subjective. Deep-learning based algorithms for brain tumor segmentation have the potential to provide objective and fast tumor segmentation. However, the training of such algorithms requires large datasets which are not always available. Data augmentation techniques may reduce the need for large datasets. However current approaches are mostly parametric and may result in suboptimal performance. We introduce two non-parametric methods of data augmentation for brain tumor segmentation: the mixed structure regularization (MSR) and shuffle pixels noise (SPN). We evaluated the added value of the MSR and SPN augmentation on the brain tumor segmentation (Brats) 2018 challenge dataset with the encoder-decoder nnU-Net architecture as the segmentation algorithm. Both MSR ans SPN improve the nnU-Net segmentation accuracy compared to parametric Gaussian noise augmentation. Mean dice score increased from 80% to 82% and p-values=0.0022, 0.0028 when comparing MSR to non parametric augmentation for the tumor core and whole tumor experiments respectively. The proposed MSR and SPN augmentations has the potential to improve neural-networks performance in other tasks as well.
Index Terms—Brain Tumor Segmentation, Medical Image Segmentation, Data Augmentation, nnU-Net.
I. INTRODUCTION
Primary brain tumors originate from brain cells while secondary tumors stem from other organs. Brain tumors are usually discovered by Magnetic Resonance Imaging (MRI) data including T1-weighted, Contrast-enhanced T1-weighted, T2-weighted, and Fluid Attenuation Inversion Recovery (FLAIR) sequences [1]. Early diagnosis of brain tumors plays an important role in improving treatment possibilities and increases the survival rate of the patients [2]. Segmentation of the tumor and its subregions from the MRI data is necessary for tumor initial grading, response to therapy assessment and personalized treatment stratification.
Manual segmentation of the tumor from the multi-modal MRI data by radiologist/technologist is time-consuming and subjective [3]. In contrast automatic segmentation has the potential to provide objective and reproducible measurements of the tumor. Further, automatic methods can integrate information from the various MRI sequences rather than relying upon a single sequence. Therefore, it can significantly improve analysis accuracy, quality of care, and treatment by supporting optimal therapy, surgical planning, and monitoring.
Neural networks are the state of the art for automatic segmentation in many fields, especially the encoder-decoder architectures which were first introduced by the U-Net [4], and recently improved by the nnU-Net [5]. However, these methods require large amounts of data which are not always available for medical imaging tasks. A common approach to overcome this obstacle, is to apply data augmentation techniques such as random Gaussian noise to increase the variety of the training dataset and improve the robustness of the model.
However, adding such parametric noise may not enlarge the data variety as the neural networks may learn how to denoise it rather than improve its segmentation capabilities.
In this work we introduce the mixed structure regularization (MSR) in [6], and shuffle pixels noise (SPN) for brain tumor segmentation. These augmentations are non-parametric and thus have the potential to encourage the network to generalize better by increasing the variety of the training dataset rather than learning to denoise the data. Therefore, the methods have the potential to improve the robustness of our brain tumor segmentation model.
We demonstrated the added value of the MSR and SPN augmentation on the brain tumor segmentation (Brats) 2018 challenge dataset [7] with the encoder-decoder nnU-Net architecture as the segmentation algorithm. Both MSR ans SPN improve the nnU-Net segmentation accuracy compared to parametric Gaussian noise augmentation. Our results suggest that MSR and SPN can improve neural networks accuracy and reduce the need for large databases, especially for medical image analysis tasks.
II. METHOD
A. CNN based segmentation
We trained our model with the dynamic U-Net (DynUNet) neural network implemented with Pytorch and MONAI, which is based on the nnU-Net described in [5].
The DynUNet is based on a 3D U-Net encoder-decoder model, with five downsampling operations and five upsampling operations. Downsampling is performed with strided
convolutions, and upsampling is performed with transposed convolution as described in [8].
The model used Leaky ReLU nonlinearities activation function and batch normalization for feature map normalization. We trained the model for 300 epochs, with an input patch size of 128X128X128 and a batch size equal to 5.
A stochastic gradient descent based pyTorch was used with an initial learning rate of 0.01 and Nesterov momentum of 0.99. The learning rate was decreased by a polynomial schedule:
\[
lr = lr_0 \times (1 - \frac{epoch}{epoch_{max}})^{0.9}
\]
(1)
A gradient-based learning optimization process is challenging due to gradient vanishing effects, which make the loss back-propagation ineffective in early layers [9]. To overcome this challenge, an auxiliary segmentation output is added to all layers but the three lowest resolutions in the decoder, by applying a 1x1x1 convolution with a softmax layer to obtain dense predictions and calculate its loss [5], [9].
Our loss function for this model is a weighted sum of the losses at all resolutions:
\[
L = w_0 * L_0 + w_1 * L_1 + w_2 * L_2
\]
(2)
Where \(w_0\) corresponds to the highest resolution, and the weights decrease with each decrease in the resolution as a function of \(w_i = \frac{1}{2}^i\) [5].
For the loss function, we used a combination of dice loss and binary cross-entropy (BCE) as described in [8]. BCE is a loss function that is used in binary classification tasks:
\[
BCE = -\frac{1}{n} \sum_{i=1}^{N} y_i \log(\hat{y}_i) + (1 - y_i) \log(1 - \hat{y}_i)
\]
(3)
Where \(y_i\) is the target label, \(\hat{y}_i\) is the predicted label, and \(N\) is the output size.
These tasks answer a question with only two choices (yes or no, A or B, 0 or 1, left or right). Formally, this loss is equal to the average of the categorical cross-entropy (CE) loss on many two-category tasks:
\[
CE = -\sum_{i=1}^{N} y_i \log(\hat{y}_i)
\]
(4)
B. Data augmentation
In order to increase the variety of our training dataset and increase the robustness of our model, data augmentations were applied. Our baseline transformations were implemented with MONAI and included:
- Normalize the image intensity using calculated mean and std on each channel separately to all non-zero voxels.
- Randomly scale the intensity of the input images with a probability of 0.3.
- Randomly shift the intensity with an offset range generated from Union[-0.1,0.1] and a probability of shift equals 0.3.
- Random spatial cropping of the images and the target label with an ROI size of [128,128,128].
- Random flipping of the images and labels along the z axes with probability of 0.3 of flipping.
- Random elastic deformation and a 3D affine transformation with a probability of 0.3. The random offsets on the grid were generated from a Uniform[0,1,0,3], as well as the standard deviation of a Gaussian kernel which was used to smooth the random offset grid and the shear range.
We compared the baseline model with other models which included those transforms with an addition of MSR, SPN or Gaussian-noise separately.
C. Mixed structure regularization (MSR):
We corrupted the input data by randomly adding different brain images from our training set, as described by [6]. We can represent this data augmentation with the function:
\[
MSR(x) = (1 - \alpha) * x + \alpha * x_r
\]
(5)
Where \(x\) is the original image, and \(x_r\) is a randomly selected image.
We applied this augmentation multiple times with a different magnitude \(= \alpha\) and different probability. We saw that the best probability and magnitude for our dataset is: \(p = 0.5, \alpha = 1*10^{-4}\).
D. Shuffle pixels noise (SPN):
A random permutation of the pixels is chosen and then the same permutation is applied to all the images in the training set [10]. We applied this augmentation multiple times with a different magnitude \(= \alpha\).
\[
SPN(x) = (1 - \alpha) * x + \alpha * x_r
\]
(6)
Where \(x\) is the original image, and \(x_r\) is the image after shuffling pixels on the x,y axis. We saw that the best probability and magnitude for our dataset is: \(p = 1, \alpha = 1*10^{-7}\).
III. RESULTS
A. BraTS database:
We used the BraTS 2018 challenge dataset, which contains 285 multimodal scans - a) native (T1) and b) post-contrast T1-weighted (T1Gd), c) T2-weighted (T2), and d) T2 FLAIR volumes. All images were manually segmented by one to four raters and the segmentations were approved by experienced neuro-radiologists [7].
We randomly split our database into a training, validation, and testing set (80%, 10%, 10% respectively), while maintaining a ratio between the high-grade gliomas (HGG) and low-grade (LGG) tumors according to the existing ratio in the entire dataset. Our training set contains 229 images, and the validation and testing sets contain 28 images each.
The tumor’s regions are ‘edema’, ‘non-enhancing tumor and necrosis’, and ‘enhancing tumor’. However, we segment three partially overlapping regions, as performed in the BraTS challenge and described in [8]: whole tumor (WT) – consisting of all 3 regions; tumor core (TC) – consisting of the non-enhancing tumor and necrosis, and the enhancing tumor (ET) as shown in “Fig. 4.” The dice score was then calculated on the validation set for each label separately. Also, we calculated the mean dice of the 3 labels.
B. Test results
We evaluated our different models on the same test set which contains 27 GBM MRI images.
| Augmentation Type | Dice Mean Score |
|-------------------|-----------------|
| | WT | TC | ET | Mean |
| Baseline | 0.80959 | 0.68795 | 0.78975 | 0.88811 |
| Gaussian noise | 0.80775 | 0.69871 | 0.77113 | 0.89118 |
| SPN | 0.81987 | **0.70344** | 0.79351 | 0.89983 |
| MSR | **0.82396** | 0.69705 | **0.80732** | **0.90404** |
C. Statistical analysis
Comparisons were done with repeated measures ANOVA statistical tests. Paired comparisons were made between the MSR, non parametric augmentation, and the basic parametric augmentation. These statistical tests showed a significant advantage to MSR (p=0.0022, 0.0028 for the TC, WT respectively).
We visualize our data using box plot to analyze the distribution of our augmentations. The whole tumor dice box plot shows that the variance for SPN and MSR is smaller than the other augmentations variance. A smaller variance indicates higher confidence level of the neural network results.
D. Results
We saw an improvement in the dice score when using the MSR and the SPN non-parametric augmentations. By using parametric or Gaussian augmentations the overall dice score achieved was about 80% Meaning that if two doctors examine a patient’s MRI scanned image, both will agree that there is a tumor at a confidence level of 80%. By using the MSR or SPN augmentation we improved the latter figure to about 82% of confidence level. The classification edges that were previously mistakenly suspected to be a tumor are now properly classified as normal tissue. The augmentations we applied in order to enhance the segmentation quality achieved a statistically significant improvement. We can conclude that these non-parametric models are more accurate.
E. Discussion
We improved the capacity of the nnU-net to segment brain tumors by introducing the non-parametric MSR and SPN data augmentation techniques. Automatic segmentation for brain tumors from multi-modality MRI data plays a critical role in assessing tumor aggressiveness and response to therapy and in stratifying treatment protocols. While deep-neural-networks have the potential to provide accurate, reliable, and objective segmentation, the training of such algorithms requires large data-sets which are not always available in the medical imaging domain. The non-parametric MSR and SPN data augmentation techniques demonstrated a statistically significant improvement in the accuracy of nnU-net for brain tumor segmentation from multi-modality MRI data using the publicly available Brats 2018 challenge database. The proposed non-parametric augmentations may be further extended to achieve additional improvements in deep-neural-networks algorithms for various biomedical imaging tasks.
REFERENCES
[1] F. Milletari, N. Navab, and S.-A. Ahmadi, “V-net: Fully convolutional neural networks for volumetric medical image segmentation,” in 2016 fourth international conference on 3D vision (3DV). IEEE, 2016, pp. 565–571.
[2] G. Wang, W. Li, S. Ourselin, and T. Vercauteren, “Automatic brain tumor segmentation based on cascaded convolutional neural networks with dropout evaluation,” Frontiers in computational neuroscience, vol. 13, p. 56, 2019.
[3] A. Myronenko, “3d mr brain tumor segmentation using autoencoder regularization,” in International MICCAI Brainlesion Workshop. Springer, 2018, pp. 311–320.
[4] O. Ronneberger, P. Fischer, and T. Brox, “U-net: Convolutional networks for biomedical image segmentation,” in International Conference on Medical image computing and computer-assisted intervention. Springer, 2015, pp. 234–241.
[5] F. Isensee, P. F. Jager, S. A. Kohl, J. Petersen, and K. H. Maier-Hein, “Automated design of deep learning methods for biomedical image segmentation,” arXiv preprint arXiv:1906.01428, 2019.
[6] M. Freiman, R. Manjeshwar, and L. Goshen, “Unsupervised abnormality detection through mixed structure regularization (msr) in deep sparse autoencoders,” Medical physics, vol. 46, no. 5, pp. 2223–2231, 2019.
[7] B. H. Menon, A. Jakab, C. Bastien, V. Kalpathy-Cramer, K. Farahat, J. Kirby, Y. Batista, N. Pour, J. Shroff, R. K. Jain, et al., “The multitudinal brain tumor image segmentation benchmark (brats),” IEEE transactions on medical imaging, vol. 34, no. 10, pp. 1993–2024, 2014.
[8] F. Isensee and K. H. Maier-Hein, “nnu-net for brain tumor segmentation,” in Brainlesion: Gliona, Multiple Sclerosis, Stroke and Traumatic Brain Injury, 6th International Workshop, Brussels, Belgium, Held in Conjunction with MICCAI 2020, Linz, Austria, October 2020, Revised Selected Papers, Part II, vol. 12658. Springer Nature, 2021, p. 118.
[9] Q. Dou, H. Chen, Y. Jin, L. Yu, J. Qin, and P.-A. Heng, “3d deeply supervised network for automatic liver segmentation from ct volumes,” in International conference on medical image computing and computer-assisted intervention. Springer, 2016, pp. 149–157.
[10] C. Zhang, S. Bengio, M. Hardt, B. Recht, and O. Vinyals, “Understanding deep learning (still) requires rethinking generalization,” Communications of the ACM, vol. 64, no. 3, pp. 107–115, 2021. |
INK CONTAINER WITH AN INDUCTIVE
INK LEVEL SENSE
Inventors: Susan M. Hmelar, Corvallis; James E. Clark, Albany; Eric L. Gasvoda, Salem; Norman E. Pawlowski, Jr., Corvallis, all of Ore.; Juan-Antonio Sabate Saumell, Yorktown Heights, N.Y.; Rhonda L. Wilson, Monmouth, Ore.; James M. Cameron, Los Altos, Calif.; Steven B. Elgee, Portland, Ore.
Assignee: Hewlett-Packard Company, Palo Alto, Calif.
Appl. No.: 08/869,240
Filed: Jun. 4, 1997
Related U.S. Application Data
Continuation-in-part of application No. 08/633,613, Apr. 17, 1996, abandoned.
Int. Cl.7 B41J 2/195; B41J 2/175
U.S. Cl. 347/7; 347/86
Field of Search 347/7, 85-87; 73/290 R, 304 R, 304 C; 340/618, 620
References Cited
U.S. PATENT DOCUMENTS
4,354,382 10/1982 Hagglund 73/290 R
4,415,886 11/1983 Kyogoku et al. 340/618
4,446,562 5/1984 Friedmann et al. 373/149
4,568,954 2/1986 Rosback 346/140 R
4,700,754 10/1987 Kringe 141/95
5,051,921 9/1991 Paglione 364/509
5,583,545 12/1996 Pawlowski, Jr. et al. 347/7
FOREIGN PATENT DOCUMENTS
3043810A 6/1982 Germany B41J 2/175
3422504A 1/1986 Germany
2312283A 10/1997 United Kingdom
OTHER PUBLICATIONS
Patent Abstracts of Japan, vol. 013, No. 197 (P-868), May 11, 1989 & JP 01 018087 A, (Toshiba Corp.), Jan. 20, 1989.
Copy of EPO Search Report, dated Sep. 02, 1998, from application EP 98 10 3479.
Primary Examiner—John Barlow
Assistant Examiner—Craig A. Hallacher
Attorney, Agent, or Firm—Manuel Quiogue
ABSTRACT
An ink container that includes a collapsible ink reservoir having first a side and a second side that are opposing, a first spiral conductive coil attached to the first side, a second spiral conductive coil attached to the second side, stiffeners disposed over the first and second coils, and a pressure vessel for pressurizing the outside of the ink reservoir.
28 Claims, 10 Drawing Sheets
INK SUPPLY STATION
AIR PRESSURE SOURCE
PRINTER CONTROLLER:
FIRMWARE
MICROPROCESSOR
SCANNING CARTRIDGE
MEDIA
MONITOR
PRINT CARTRIDGE 60
PRINthead 60A
MEMORY 60B
TO PRINTER CONTROLLER 80
FIG. 4
INK CONTAINER 110
INK RESERVOIR 110A
INK LEVEL SENSOR 110C
MEMORY 110D
TO PRINTER CONTROLLER 80
AIR COMPRESSOR
110A, 110B
FIG. 7
1102, 1102A
1114
1134, 1134A
1136, 1136A
114
1170
1192
1108
1110
1120
FIG. 10
1110, 1120, 1280, 1152, 1170, 1120A, 1292, 1134, 1136, 1116, 1102, 1114, 114
FIG. 12
FIG. 11
FIG. 13
INK CONTAINER WITH AN INDUCTIVE
INK LEVEL SENSE
This is a continuation-in-part of U.S. Ser. No. 08/633, 613, filed Apr. 17, 1996, entitled “Inductive Ink Level Detection Mechanism For Ink Supplies”, incorporated herein by reference.
This application is also related to commonly assigned co-pending U.S. Ser. No. 08/693,038, filed herewith, entitled “Electrical Interconnection Of Replaceable Ink Containers”, incorporated herein by reference; commonly assigned co-pending U.S. Ser. No. (8/869,150, filed herewith, entitled “Method and Apparatus for Securing an Ink Container”, incorporated herein by reference; commonly assigned co-pending U.S. Ser. No. 08/871,566, filed herewith, entitled “Replaceable Ink Container Adaptable To Form Reliable Fluid, Air And Electrical Connection To A Printing System”, incorporated herein by reference; commonly assigned co-pending U.S. Ser. No. 08/869,122, filed herewith, entitled “Ink Level Estimation Using Drop Count and Ink Level Sense”, incorporated herein by reference; commonly assigned co-pending U.S. Ser. No. 08/867,473, filed herewith, entitled “Ink Container Providing Pressurized Ink With Ink Level Sensor”, incorporated herein by reference; commonly assigned co-pending U.S. Ser. No. 08/868,927, filed herewith, entitled “An Ink Container Having a Multiple Function Chassis”, incorporated herein by reference; commonly assigned co-pending U.S. Ser. No. 08/869,023, filed herewith, entitled “High Performance Ink Container with Efficient Construction”, incorporated herein by reference; and commonly assigned co-pending U.S. Ser. No. 08/785,580, filed Jan. 21, 1997, entitled “Apparatus Controlled by Data from Consumable Parts with Incorporated Memory Devices”, incorporated herein by reference.
BACKGROUND OF THE INVENTION
The disclosed invention relates to ink jet printing systems that employ replaceable consumable parts including ink cartridges, and more particularly to mechanisms for estimating the amount of ink remaining in an ink cartridge.
The art of ink jet printing is relatively well developed. Commercial products such as computer printers, graphics plotters, and facsimile machines have been implemented with ink jet technology for producing printed media. Generally, an ink jet image is formed pursuant to precise placement on a print medium of ink drops emitted by an ink drop generating device known as an ink jet printhead. Typically, an ink jet printhead is mounted on a movable carriage that traverses over the surface of the print medium and is controlled to eject drops of ink at appropriate times pursuant to command of a microcomputer or other controller, wherein the timing of the application of the ink drops is intended to correspond to a pattern of pixels of the image being printed.
Some known printers make use of an ink container that is separably replaceable from the printhead. When the ink container is exhausted it is removed and replaced with a new ink container. The use of replaceable ink containers that are separate from the printhead allow users to replace the ink container without replacing the printhead. The printhead is then replaced at near the end of printhead life, and not when the ink container is replaced.
A consideration with ink jet printing systems that employ ink containers that are separate from the printheads is the general inability to predict an out of ink condition for an ink container. In such ink jet printing systems, it is important that printing cease when an ink container is nearly empty with a small amount of stranded ink. Otherwise, printhead damage may occur as a result of firing without ink, and/or time is wasted in operating a printer without achieving a complete printed image, which is particularly time consuming in the printing of large images which often are printed in an unattended manner on expensive media.
A known approach to estimating remaining ink volume involves immersing electrodes in an ink volume and measuring a resistance path through the ink. Considerations with this approach include the complexity of incorporating electrodes in an ink container, and the variation of electrical properties with ink formulation.
SUMMARY OF THE INVENTION
The invention is generally employed in an ink level detection system that includes a collapsible ink container having first a side and a second side that are opposing; a first inductive coil attached to the first side, the first inductive coil having a first coil area and first and second terminals; and a second inductive coil attached to the second side, the second inductive coil having a second coil area and first and second terminals.
In accordance with one aspect of the invention, the second coil area is greater than the first coil area.
In accordance with another aspect of the invention, the first and second sides of the ink reservoir include relatively stiff regions adjacent to the first and second coils.
In accordance with a further aspect of the invention, the number of turns of the second coil is greater than the number of turns of the first coil.
In accordance with yet a further aspect of the invention, a pressure vessel is provided for pressurizing the outside of the ink reservoir.
BRIEF DESCRIPTION OF THE DRAWINGS
The advantages and features of the disclosed invention will readily be appreciated by persons skilled in the art from the following detailed description when read in conjunction with the drawing wherein:
FIG. 1 is a schematic block diagram of a printer/plotter system in which an ink level sensing circuit in accordance with the invention can be employed.
FIG. 2 is a schematic block diagram depicting major components of one of the print cartridges of the printer/plotter system of FIG. 1.
FIG. 3 is a schematic block diagram illustrating in a simplified manner the connection between an off-carriage ink container, an air pressure source, and an on-carriage print cartridge of the printer/plotter system of FIG. 1.
FIG. 4 is a schematic block diagram depicting major components of one of the ink containers of the printer/plotter system of FIG. 1.
FIG. 5 a simplified isometric view of an implementation of the printer/plotter system of FIG. 1.
FIG. 6 is a schematic isometric exploded view illustrating the major components of an implementation of one of the ink containers of the printer/plotter system of FIG. 1 which employs an ink level sensing circuit in accordance with the invention.
FIG. 7 is a further schematic isometric exploded view illustrating the major components of an implementation of one of the ink containers of the printer/plotter system of FIG. 1 which employs an ink level sensing circuit in accordance with the invention.
FIG. 8 is an exploded isometric view showing the pressure vessel, collapsible ink reservoir, ink level sensing circuitry, ink reservoir stiffening elements, and chassis member of the ink container of FIGS. 6 and 7.
FIG. 9 is a schematic isometric view illustrating the collapsible ink reservoir, ink level sensing circuitry, ink reservoir stiffening elements, and chassis member of the ink container of FIGS. 6 and 7.
FIG. 10 is a cross-sectional view of the pressure vessel, collapsible ink reservoir, ink level sensing circuitry, ink reservoir stiffening elements, and chassis member of the ink container of FIGS. 6 and 7.
FIG. 11 is an elevational view of the collapsible ink reservoir, ink level sensing circuitry, ink reservoir stiffening elements, and chassis member of the ink container of FIGS. 6 and 7, with the collapsible ink reservoir in a flattened evacuated state.
FIG. 12 an edge view of the collapsible ink reservoir, ink level sensing circuitry, ink reservoir stiffening elements, and chassis member of the ink container of FIGS. 6 and 7, with the collapsible ink reservoir in a flattened evacuated state.
FIG. 13 is a schematic plan view of an implementation of the ink level sensing circuit of the invention as employed in the ink container of FIGS. 6 and 7.
DETAILED DESCRIPTION OF THE DISCLOSURE
In the following detailed description and in the several figures of the drawing, like elements are identified with like reference numerals.
Referring now to FIG. 1, set forth therein is a schematic block diagram of a printer/plotter 50 in which the invention can be employed. A scanning print carriage 52 holds a plurality of print cartridges 60–66 which are fluidically coupled to an ink supply station 100 that supplies pressurized ink to the print cartridges 60–66. By way of illustrative example, each of the print cartridges 60–66 comprises an ink printhead and an integral printhead memory, as schematically depicted in FIG. 2 for the representative example of the print cartridge 60 which includes an ink jet printhead 60A and an integral printhead memory 60B. Each print cartridge has a fluidic regulator valve that opens and closes to maintain a slight negative gauge pressure in the cartridge that is optimal for printhead performance. The ink provided to each of the cartridges 60–66 is pressurized to reduce the effects of dynamic pressure drops.
The ink supply station 100 contains receptacles or bays for accepting the ink containers 110–116 which are respectively associated with and fluidically connected to respective print cartridges 60–66. Each of the ink containers 110–114 includes a collapsible ink reservoir, such as collapsible ink reservoir 110A that is surrounded by an air pressure chamber 110B. An air pressure source or pump 70 is in communication with the air pressure chamber for pressurizing the collapsible ink reservoir. For example, one pressure pump supplies pressurized air for all ink containers in the system. Pressurized ink is delivered to the print cartridges by an ink flow path, that includes for example respective flexible plastic tubes 110C that extend between the ink containers 110–116 and respectively associated print cartridges 60–66.
FIG. 3 is a simplified diagrammatic view illustrating the pressure source 70, the print cartridge 66, and the collapsible ink reservoir 110a and pressure chamber 110b. During idle periods, the pressure chamber 110b (which is defined by a pressure vessel, as more particularly described herein) is allowed to de-pressurize. Also, the ink containers 110–116 are not pressurized during shipment.
By way of illustrative example, each of the ink containers 110–116 comprises an ink reservoir, an ink level sensing circuit, and an integral ink cartridge memory, as schematically depicted in FIG. 4 for the representative example of the ink container 110 which more particularly includes the ink reservoir 110A, an ink level sensing circuit 110C, and an integral ink cartridge memory 110D.
Continuing to refer to FIG. 1, the scanning print carriage 52, the print cartridges 60–66, and the ink containers 110–114 are electrically interconnected to a printer microprocessor controller 80 that includes printer electronics and firmware for the control of various printing functions, including analog-to-digital converter circuitry for converting the outputs of the ink level sensing circuits of the ink containers 110–116. The controller 80 thus controls the scan carriage drive system and the printheads on the print carriage to selectively energize the printheads, to cause ink droplets to be ejected in a controlled fashion on the print medium 40. The printer controller 80 further continually estimates remaining ink volume in each of the ink containers 110–114 pursuant to an ink level sensing circuit in accordance with the invention that is embedded in each of the ink containers. A host processor 82, which includes a CPU 82A and a software printer driver 82B, is connected to the printer controller 82. For example, the host processor 82 comprises a personal computer that is external to the printer 50. A monitor 84 is connected to the host processor 82 and is used to display various messages that are indicative of the state of the ink jet printer. Alternatively, the printer can be configured for stand-alone or networked operation wherein messages are displayed on a front panel of the printer.
FIG. 5 shows in isometric view an exemplary form of a large format printer/plotter in which the invention can be employed, wherein four print-carriage ink containers 110, 112, 114, 116 are shown in place in an ink supply station. The printer/plotter of FIG. 5 further includes a housing 54, a front control panel 56 which provides user control switches, and a media output slot 58. While this exemplary printer/plotter is fed from a media roll, it should be appreciated that alternative sheet feed mechanisms can also be used.
Referring now to FIGS. 6–13, schematically illustrated therein is a specific implementation of an ink container 200 which includes an ink level sensing circuit in accordance with the invention, and which can be implemented as each of the ink containers 110–116 which are structurally substantially identical.
As shown in FIGS. 6–7, the ink container 200 generally includes a pressure vessel 1102, a chassis member 1120 attached to a neck region 1102A at a leading end of the pressure vessel 1102, a leading end cap 1104 attached to the leading end of the pressure vessel, and a trailing end cap 1106 attached to the trailing end of the pressure vessel 1102.
As more particularly shown in FIGS. 8–10, the ink container 200 further includes a collapsible ink bag or reservoir 1114 disposed within the pressure vessel 1102, and an ink level sensing (ILS) circuit 1170 attached to the collapsible ink reservoir 1114. The collapsible ink reservoir 1114 is sealingly attached to a kerf portion 1292 of the chassis 1120 which seals the interior of the pressure vessel 1102 from outside atmosphere while providing for an air inlet 1108 to the interior of the pressure vessel 1102, an ink outlet port 1110 for ink contained in the ink reservoir 1114 and routing for conductive traces between the ink level sensing circuit 1170 and externally accessible contact pads disposed...
on the chassis member. The chassis 1120 is secured to the opening of the neck region 1102A of the pressure vessel 1102, for example by an annular crimp ring 1280 that engages a top flange of the pressure vessel and an abutting flange of the chassis member. A pressure sealing O-ring 1152 suitably captured in a circumferential groove on the chassis 1120 engages the inner surface of the neck region 1102A of the pressure vessel 1102.
The collapsible ink reservoir 114 more particularly comprises a pleated bag having opposing walls or sides 1114, 1116, and the ink level sensing circuit 1170 more particularly includes first and second substantially flat spiral inductive coils 1130, 1132 disposed on the opposing sides 1114, 1116.
In an exemplary construction, an elongated sheet of bag material is folded such that opposed lateral edges of the sheet overlap or are brought together, forming an elongated cylinder. The lateral edges are sealed together, and results are in the resulting structure generally in alignment with the axial of the lateral edges. The bottom or non-feed end of the bag is formed by heat sealing the pleated structure along a seam transverse to the seal of the lateral edges. The top or feed end of the ink reservoir is formed similarly while leaving an opening for the bag to be sealingly attached to the keel portion 1292 of the chassis 1120. By way of specific example, the ink reservoir bag is sealingly attached to keel portion 1292 by heat staking.
For reference purposes, the ink reservoir 114 has a longitudinal axis that extends from feed end to non-feed end, and is parallel to the axis of the ink outlet port 1110.
Stiffening elements 1134, 1136 are disposed on the opposing sides 1114, 1116 over the flat spiral inductive coils 1130, 1132 to enable a more predictable, consistent, and repeatable collapse of the ink reservoir 114 as the ink contained therein is depleted, to maintain the coils parallel to each other as the ink reservoir walls collapse toward each other while the remaining ink volume is in the range over which the ink level sensing circuit is active, and to reduce buckling of the ink reservoir in the region between the coils and the portion of the ink reservoir that is attached to the keel portion 1292. Maintaining the coils parallel to each other as the coils move range of interest with a more predictable, repeatable, and consistent collapse allows for more accurate sensing of ink remaining in the reservoir by adjacent the stiffening elements 1134, 1136. Pressurization within the pressure vessel also provides for more predictable and consistent collapse of the ink reservoir, with or without the stiffening elements 1134, 1136.
The stiffeners generally extend over regions of the walls 1114, 1116 that can be flattened when the ink reservoir is empty and evacuated, as shown in FIGS. 11 and 12. Thus, for example, each of the stiffener 1134, 1136 extends laterally across the wall to which it is attached, and includes cut-out 1134A, 1136A that provides clearance for folds, bumps or wrinkles in the walls 1114, 1116 caused by the keel portion 1292 and by the attachment of the ink reservoir to the keel portion 1292. Each stiffener further extends longitudinally from the feed end of the ink reservoir to a location slightly beyond the side of the coil that is away from the feed end of the ink reservoir. Limiting the extent of the stiffener from the feed end of the ink reservoir allows for the non-feed end of the ink reservoir to buckle into the ink reservoir collapsed. In this manner, the stiffening elements reduce buckling of the walls 1114, 1116 between the coils and the feed end of the ink reservoir and allow buckling at the non-feed end of the ink reservoir.
For the particular implementation wherein the subassembly comprised of the ink reservoir, the ink level sensing circuit, and the stiffening elements need to be bent or curled into a C shaped configuration, as viewed along the longitudinal axis of the ink reservoir, for insertion into the pressure vessel, the stiffening elements 1134, 1136 are preferably flat resiliently deformable stiff sheets that return to a planar configuration in the absence of the biasing forces applied to bend the stiffening elements for insertion into the pressure vessel. In other words, the stiffening elements are stiff and yet sufficiently resilient so as to not permanently deformably bend or curl prior to for insertion into the pressure vessel. By way of illustrative example, the stiffening elements comprise relatively thin (e.g., 0.0005 inches) polyethylene terephthalate (PET) sheets.
The stiffening elements effectively cooperate with the walls of the ink reservoir to form wall regions of increased stiffness whose collapse with ink depletion is consistent and repeatable, and it should be appreciated that regions of the opposite walls 1114, 1116 of the ink reservoir can be formed as regions of increased stiffness in which case the stiffening elements 1134, 1136 can be omitted.
Each of the spiral coils 1130, 1132 can comprise a continuously curved winding having a perimeter that is generally defined by a conical section such as a circle or ellipse. For example, or each spiral coil, can comprise a concentric winding composed of serially connected segments having a perimeter that is generally defined by a polygon as a rectangle. The spiral coils 1130, 1132 are preferably positioned such that the line formed by their geometrical centers is orthogonal to the planes of the coils when the planes of the coils are parallel and when the ink reservoir is flat and without ink. In other words, the spiral coils 1130, 1132 are positioned such that their geometrical centers are substantially mirror images of each other on the walls 1114, 1116. In use, the coil spacing is preferably rotationally positioned about its longitudinal axis, which extends between the open end thereof and the opposite closed end, such that the planes of the coils are vertical.
The areas of the stiffening elements 1134, 1136 (or rigid regions) are preferably greater than the areas of the respectively adjacent coils 1130, 1132. Also, the areas of the coils 1130, 1132 are respectively contained within the areas of the respectively adjacent stiffening elements 1134, 1136 (or rigid regions).
While the disclosed ink container 200 preferably includes pressurization, the ink level sensing circuit 1170 can be used without pressurization.
As schematically illustrated in FIG. 13, the ink level sensing circuit 1170 is implemented, for example, as a flexible circuit within the flat coils 1130, 1132 and associated conductive elements by which the flat coils can be electrically accessed are disposed in laminar fashion between first and second flat unitary flexible substrates. In particular, the ink level sensing circuit further includes conductive leads 1142A, 1142B which extend between the flat coil 1130 and externally accessible contact pads 1138A, 1138B; and conductive leads 1144A, 1144B which extend between the flat coil 1132 and externally accessible contact pads 1140A, 1140B. The foregoing contact pads are exposed by respective openings in the appropriately flexible substrate of the flexible circuit and are externally accessible in the sense that they can be conductively accessed by contact elements external to the ink container 200.
The externally accessible contact pads of the ink level sensing circuit are suitably disposed on the outside of the chassis 1120, and the conductive leads extend generally longitudinally within the pressure vessel 1102 from the
chassis 1120 to the coils 1130, 1132. Portions of the conductive leads and associated portions of the flexible substrates of the ink level sensing circuit 1170 pass on the outside surface of the chassis between the O-ring 1152 and such outside surface. A suitably insulated jumper 1174 is connected between the conductive lead 1142A and the center of the flat coil 1130, while a suitable insulated jumper 1176 is connected between the conductive lead 1144A and the center of the flat coil 1132.
The ink level sensing circuit further includes ink leakage detectors comprised of conductive ink leakage detection pads 1180, 1182 respectively located adjacent the coils 1130, 1132 and respectively connected to conductive leads 1142B, 1144B. The ink leakage pads 1180, 1182 are exposed by openings in the outward facing flexible substrate of the ink sensing circuit which are not covered by the sensing elements 1134, 1136 so as to be contactable with any ink that accumulates in the pressure vessel 1102 as a result of ink leakage. Ink leakage, indicative of a broken ink reservoir, is detected for example by applying a voltage between the contact pad 1138B and a reference potential, and sensing the voltage between the contact pad 1140B and the reference potential. If the ink leakage contacts 1180, 1182 are immersed in ink, then the contact pad 1140B would be at a non-zero voltage; otherwise, the contact pad 1140B would be at zero volts. The ink leakage detection pads 1180, 1182 are preferably rotationally positioned relative to the coils 1130, 1132 so as to be elevationally low when the ink container is in its intended installed position.
By way of illustrative example, the coil portions and the contact portions of the flexible circuit comprising the ink level sensing circuit 1170 are attached to the walls 1114, 1116 and the chassis 1120 with pressure sensitive adhesive.
A memory chip package 1200 is also supported on the chassis 1120, for example between pairs of externally accessible ink level sensing circuit contact pads 1138A, 1138B and 1140A, 1140B. By way of illustrative example, the memory chip package includes memory access contacts which are connected to the print controller 82 when the ink container 200 is installed in the printing system 30, as are the externally accessible ink level sensing circuit contact pads 1138A, 1138B, 1140A, 1140B.
Further details as to a particular implementation of the ink container of FIGS. 6-13 are disclosed in commonly assigned co-pending U.S. Ser. No. 08/868,773, docket number 10970429, filed herewith, entitled "Ink Container Providing Pressurized Ink With Ink Level Sensor", incorporated herein by reference.
In use, the coils 1130, 1132 function as a non-contactive inductive transducer that indirectly senses the amount of ink in the ink reservoir by sensing the separation between the opposing walls 1114, 1116 which collapse toward each other as the ink supply is depleted. An AC excitation signal is passed through one coil (considered the input coil), inducing a voltage in the other coil (considered the output coil) whose magnitude increases as the separation decreases. The change in voltage in the output coil results from the change in the mutual inductance of the coils with change in the separation between the coils. The output voltage provided by the output coil is readily related to a corresponding ink volume, e.g., by values stored within the ink container memory.
A particular technique for encoding the input coil and sensing the output of the output coil is disclosed in previously identified U.S. Ser. No. 08/633,613, filed Apr. 17, 1996, docket number 10951138, entitled "Inductive Ink Level Detection Mechanism For Ink Supplies", incorporated herein by reference.
Preferably, the coils 1130, 1132 are positioned in areas of the ink reservoir that are subject to predictable, consistent and repeatable collapse. Further, the coils 1130, 1132 are positioned such that the ink level sensing circuit 1170 is active over a desired range of ink volume. For example, if it is desired that the ink level sensing circuit be active over an ink volume range that is within the lower half of the available ink volume, and wherein the center of the chassis or feed end of the container is elevationally lower than the opposite end when the container is in its installed position, the spiral coils 1130, 1132 are positioned closer to the ink outlet 1110, for example between the feed end of the reservoir which is attached to the chassis 1120 and the middle between the feed end of the ink reservoir and the opposite end. By way of illustrative example, the ink container 200 can be installed with the longitudinal axis of the container being substantially horizontal by tilting the angle in the range of about 5 to 30 degrees such that the chassis is elevationally lower that the opposite of the ink container, and with the ink container rotationally positioned about the longitudinal axis so that the planes of the ink level sensing coils are vertical.
Also, the coils can be positioned slightly off the lateral middle (wherein the lateral direction is orthogonal to the longitudinal direction) for installations wherein longitudinal axis of the ink reservoir is more horizontal than vertical. For example, for an installation wherein the longitudinal axis of the container is tilted about 15 degrees relative to horizontal with the feed end of the reservoir being lower than the non-feed end, the ink level sensing coils can be displaced toward what would be the elevationally higher edge of the walls 1114, 1116 by about 4 degrees, for example, whereby the coils are tilted up in the installed position relative to the longitudinal axis of the ink reservoir.
By way of further illustrative example, without limitation as to the relative number of turns contained in the coils, the coil area of the coil 1132, as the output coil, is larger than the coil area of the coil 1130, as the input coil, in at least one direction and not necessarily than the coil area of the coil 1130 in all directions, such that if the output coil area and the input coil area were superimposed, the output coil area would completely overlap the input coil area and extend beyond the input coil area in at least one direction, wherein the coil area of a coil is the area occupied by the turns of the coil and the gap between adjacent turns. A coil area can be also considered as the area enclosed by the periphery of a coil. In other words, the input coil area can be completely contained within the output coil area, if such areas were placed on top of each other. For example, the output coil area can be smaller, can be generally shaped (i.e. of the same shape), and the output coil area would have a bigger shape. For the particular example of generally circular coils, the coil area of the output coil has a radius that is greater than the radius of the coil area of the input coil. As another particular example, for generally rectangular coils, the output coil area would have a width that is greater than the width of the input coil, and a length that is greater than or equal to the length of the input coil. Broadly, the input coil area is completely containable within the output coil area which greater than the input coil area in at least one dimension or direction.
As a further example, the coil 1132, as the output coil, includes a greater number of turns than the coil 1130, as the input coil, without limitation as to the relative areas of the coils.
A larger output coil area that completely contains the input coil area and extends beyond the output coil area in at
least one direction increases the tolerance in the alignment between the coils 1130, 1132 in at least one direction, which allows for easier manufacture. A larger number of turns in the output coil increases the level of the voltage of the coil output, which increases the accuracy of ink volume sensing.
The foregoing has thus been a disclosure of ink level sensing apparatus that provides accurate and reliable ink level information, and advantageously avoids contact with ink.
Although the foregoing has been a description and illustration of specific embodiments of the invention, various modifications and changes thereto can be made by persons skilled in the art without departing from the scope and spirit of the invention as defined by the following claims.
What is claimed is:
1. An ink level detection system, comprising:
a collapsible ink reservoir having first a side and a second side that are opposing;
a first inductive coil attached to said first side, said first inductive coil having a first coil area, and first and second terminals; and
a second inductive coil attached to said second side, said second inductive coil having a second coil area, and having first and second terminals;
transverse to said first side and said second side such that said second coil area completely overlaps said first coil area.
2. The ink level detecting system of claim 1 wherein said first side includes a first region of increased stiffness adjacent said first inductive coil, and wherein said second side includes a second region of increased stiffness adjacent said second inductive coil.
3. The ink level detecting system of claim 2 wherein said first region of increased stiffness has an area that is larger than said first coil area, and wherein said second region of increased stiffness has an area that is larger than said first coil area.
4. The ink level detection system of claim 2 wherein said first region of increased stiffness includes a first stiffening element, and wherein said second region of increased stiffness includes a second stiffening element.
5. The ink level detection system of claim 1 wherein said first and second terminals of said first inductive coil receive an input signal, and wherein said first and second terminals of said second inductive coil provide an output signal.
6. The ink level detection system of claim 5 wherein said first inductive coil includes a first number of turns and said second inductive coil includes a second number of turns, and wherein said second number of turns is greater than said first number of turns.
7. The ink level detection system of claim 1 wherein said first inductive coil and said second inductive coil comprise conductive traces on a flexible substrate.
8. The ink level detection system of claim 1 further including:
a first ink leakage detection pad electrically connected to one of said first and second terminals of said first inductive coil; and
a second ink leakage detection pad electrically connected to one of said first and second terminals of said second inductive coil.
9. The ink level detection system of claim 1 further including a pressurizable vessel enclosing said collapsible ink reservoir.
10. An ink level detection system, comprising:
a collapsible ink reservoir having a first side and a second side that are opposing;
a first inductive coil attached to said first side, said first inductive coil having a first coil area, and first and second terminals;
a second inductive coil attached to said second side, said second inductive coil having a second coil area, and first and second terminals;
said first side including a first region of increased stiffness adjacent said first inductive coil; and
said second side including a second region of increased stiffness adjacent said second inductive coil.
11. The ink level detection system of claim 10 wherein said first region of increased stiffness has an area that is greater than said first coil area, and wherein said second region of increased stiffness has an area that is greater than said second coil area.
12. The ink level detection system of claim 11 wherein said first region of increased stiffness includes a first stiffening element, and wherein said second region of increased stiffness includes a second stiffening element.
13. The ink level detection system of claim 10 wherein said first inductive coil includes a first number of turns and receives an input signal at first and second terminals of said first inductive coil, and wherein said second inductive coil includes a second number of turns that is greater than said first number of turns and provides an output signal at first and second terminals of said second inductive coil.
14. The ink level detection system of claim 13 wherein said second coil area is greater than said first coil area and completely contains said first coil area.
15. The ink level detection system of claim 13 wherein said first inductive coil and said second inductive coil comprise conductive traces on a flexible substrate.
16. The ink level detection system of claim 10 further including:
a first ink leakage detection pad electrically connected to one of said first and second terminals of said first inductive coil; and
a second ink leakage detection pad electrically connected to one of said first and second terminals of said second inductive coil.
17. The ink level detection system of claim 10 further including a pressurizable vessel enclosing said collapsible ink reservoir.
18. An ink level detection system, comprising:
a collapsible ink reservoir having a first side and a second side that are opposing;
a first inductive coil attached to said first side, said first inductive coil having a first coil area and a first number of turns;
a second inductive coil attached to said second side, said second inductive coil having a second coil area and a second number of turns,
said second number of turns being greater than said first number of turns.
19. The ink level detecting system of claim 18 wherein said first side includes a first region of increased stiffness adjacent said first inductive coil, and wherein said second side includes a second region of increased stiffness adjacent said second inductive coil.
20. The ink level detecting system of claim 19 wherein said first region of increased stiffness has an area that is larger than said first coil area, and wherein said second region of increased stiffness has an area that is larger than said second coil area.
21. The ink level detection system of claim 19 wherein said first region of increased stiffness includes a first stiff22. The ink level detection system of claim 18 wherein said first inductive coil and said second inductive coil comprise conductive traces on a flexible substrate.
23. The ink level detection system of claim 18 further including:
a first ink leakage detection pad electrically connected to one of said first and second terminals of said first inductive coil; and
a second ink leakage detection pad electrically connected to one of said first and second terminals of said second inductive coil.
24. The ink level detection system of claim 18 further including a pressurizable vessel enclosing said collapsible ink reservoir.
25. An ink level detection system, comprising:
a collapsible ink reservoir having a first side and a second side that are opposing;
a first inductive coil attached to said first side, said first inductive coil having a first coil area, and first and second terminals;
a second inductive coil attached to said second side, said second inductive coil having a second coil area, and first and second terminals;
said first side including a first region of increased stiffness adjacent said first inductive coil and having an area that is larger than said first coil area;
said second side including a second region of increased stiffness adjacent said second inductive coil and having an area that is larger than said second coil area; and
a pressure vessel enclosing said collapsible ink reservoir.
26. The ink level detection system of claim 25 wherein said first region of increased stiffness includes a first stiffening element, and wherein said second region of increased stiffness includes a second stiffening element.
27. The ink level detection system of claim 25 wherein said first inductive coil and said second inductive coil comprise conductive traces on a flexible substrate.
28. The ink level detection system of claim 25 further including:
a first ink leakage detection pad electrically connected to one of said first and second terminals of said first inductive coil; and
a second ink leakage detection pad electrically connected to one of said first and second terminals of said second inductive coil. |
Attendance: In response to the Governor’s declaration of a Public Health Emergency and ban on large public gatherings, the Civilian Police Oversight (CPOA) Board meeting on Thursday, March 11, 2021 at 5:00 pm will be held via Zoom video conference.
Viewing: Members of the public will have the ability to view the meeting through GOVTV on Comcast Channel 16, or to stream live on the GOVTV website at: https://www.cabq.gov/culturalservices/govtv, or on YouTube at: https://www.cabq.gov/cpoa/events/cpoa-board-meeting-march-11-2021. (Please note that the link for YouTube has not yet been generated, however, the link could easily be found on the link provided above prior to the start of the meeting). The GOVTV live stream can be accessed at these addresses from most smartphones, tablets, or computers.
The video recording of this and all past meetings of the CPOA Board will also remain available for viewing at any time on the CPOA’s website. CPOA Staff is available to help members of the public access pre-recorded CPOA meetings on-line at any time during normal business hours. Please email email@example.com for assistance.
Public Comment: The agenda for the meeting will be posted on the CPOA website by 5:00 pm, Monday, March 8, 2021 at www.cabq.gov/cpoa.
The CPOA Board will take general public comment and comment on the meeting’s specific agenda items in written form via email through 4:00 pm on Thursday, March 11, 2021. Submit your public comments to: firstname.lastname@example.org. These comments will be distributed to all CPOA Board members for review.
Meeting Minutes
I. Welcome and call to order. Chair Dr. Kass called to order the regular meeting of the Civilian Police Oversight Agency Board at 5:01 p.m.
II. Mission Statement. Chair Dr. Kass read the Civilian Police Oversight Agency Board’s mission statement.
III. Approval of the Agenda
a. Motion. A motion by Vice Chair Olivas’s to approve the agenda as written. Roll call vote taken. Motion passed.
For: 6 – Armijo-Prewitt, Galloway, Mitchell, Nixon, Olivas, Kass
b. Motion. A motion by Vice Chair Olivas to amend the agenda to include APD Chief Harold Medina and Superintendent Sylvester Stanley to agenda item VI. Reports from APD. Roll call vote taken. Motion passed.
For: 6 – Armijo-Prewitt, Galloway, Mitchell, Nixon, Olivas, Kass
IV. Public Comments
a. Geraldine Amato (see attached)
V. Review and Approval of Minutes. For more information about minutes from prior CPOA Board meetings, please visit our website here:
http://www.cabq.gov/cpoa/police-oversight-board/pob-agenda-meeting-minutes
a. Review and Approval of Minutes from March 4, 2021 Study Session
1. Copies of draft minutes from the March 4, 2021 Civilian Police Oversight Agency Board Study Session meeting were distributed to each Board Member electronically.
2. **Motion.** Motion by Member Mitchell to approve the minutes as written. Roll call vote taken. Motion passed.
For: 6 – Armijo-Prewitt, Galloway, Mitchell, Nixon, Olivas, Kass
VI. **Reports from City Departments**
a. **APD Chief Medina and Superintendent Stanley –**
1. City Attorney, Esteban Aguilar Jr. announced Mayor’s appointments to the Albuquerque Police Department. Harold Medina was appointed as Chief of Police and Sylvester Stanley as Superintendent of Police Reform and as the Deputy Chief Administrative Officer.
2. Chief Harold Medina spoke on his support on the appointments and focus within the Albuquerque Police Department.
3. Superintendent Stanley introduced himself and provided an outlook related to his appointment.
b. **IA Professional Standards Division** - Commander Zak Cottrell reported on the Statistical Data for the month of February 2021. A document titled *Civilian Police Oversight Board, Internal Affairs Force Division Statistical Data for the Month of February 2021* was distributed to the CPOA Board members. *(see attached)*
c. **IA Force Division –**
1. Commander Cori Lowe reported on the Statistical Data for the month of February 2021. A document titled *Civilian Police Oversight Board, Internal Affairs Force Division Statistical Data for the Month of February 2021* was distributed to the CPOA Board members. *(see attached)*.
2. Commander Cori Lowe provided a follow up to Vice Chair Olivas’s inquiry from the last CPOA Board meeting and presented statistical information related to the number of Use of Force incidents in the SE area command.
d. Presentation by the APD Training Academy – Lieutenant Michael Meisinger with the APD Training Academy gave a presentation on APD Training related to Crimes against Children Unit (CACU), Domestic Violence and Sexual Assaults.
e. City Council
1. City Council Representative - Chris Sylvan presented his report.
f. Public Safety Committee
1. Public Safety Representative – Chris Sylvan presented his report.
g. Mayor’s Office –
1. APD Outreach Community Liaison - Pastor David Walker presented his report.
h. City Attorney –
1. Assistant City Attorney - Lindsay Van Meter presented her report.
i. CPC
1. CPC Liaison – Kelly Mensah presented his report.
j. APOA
1. None.
k. CPOA
1. Executive Director – Director Harness presented his report.
VII. Hearing on Requests for Reconsiderations
a. None.
VIII. Review of Cases: The CPOA’s findings in each case listed on the agenda have been reviewed and approved by the CPOA Board. The findings become part of the officer’s file, if applicable. Copies of the full findings letters to the citizens are located at http://www.cabq.gov/cpoa/findings-letters/civilian-complaints-pob-findings
a. Administratively Closed Cases
114-20 132-20 134-20 170-20
285-20 014-21 025-21
1. Motion. A motion by Member Galloway to accept the administratively closed cases as presented. Roll call vote taken. Motion passed.
2. Director Harness read the email submission received by the complainant for CPC 014-21.
b. **Unfounded and Exonerated**
214-20 248-20
1. **Motion.** A motion by Member Mitchell to accept Unfounded and Exonerated CPC 214-20 and CPC 248-20 cases as presented. Roll call vote taken. Motion passed.
For: 5 – Armijo-Prewitt, Galloway, Mitchell, Nixon, Kass
Against: 1 – Olivas
c. **Not Sustained**
242-20
1. **Motion.** A motion by Member Galloway to accept the Not Sustained CPC 242-20 case as presented. Roll call vote taken. Motion passed.
For: 6 – Armijo-Prewitt, Galloway, Mitchell, Nixon, Olivas, Kass
2. **Motion.** A second motion by Member Armijo-Prewitt to reconsider the Not Sustained CPC 242-20 case. Roll call vote taken. Motion passed.
For: 6 – Armijo-Prewitt, Galloway, Mitchell, Nixon, Olivas, Kass
IX. **Serious Use of Force Cases/Officer Involved Shooting**
a. None.
***Fifteen-minute break began at 7:01 p.m. and the meeting reconvened at 7:16 p.m.***
X. **Reports from Subcommittees**
a. **Community Outreach Subcommittee – Chantal Galloway**
1. Met March 2, 2021 at 3:00 p.m. (video conference)
2. Member Galloway submitted a Community Outreach Subcommittee written report. *(see attached)*
3. Next meeting March 23, 2021 at 3:00 p.m.
b. Policy and Procedure Review Subcommittee – Dr. William Kass
1. Met March 4, 2021 at 4:30 pm (video conference)
2. Chair Dr. Kass submitted a Policy and Procedure Subcommittee written report. (see attached)
3. Next meeting April 1, 2021 at 4:30 p.m.
c. Case Review Subcommittee – Eric Nixon
1. Met January 26, 2021 at 4:30 p.m. (video conference)
2. Selection of 1st Quarter Audit Cases
i. Member Nixon announced selection of 1st Quarter Audit Cases as follows: CPC 025-21, CPC 170-20 and CPC 248-20
3. Next meeting April 27, 2021 at 4:30 p.m.
d. Personnel Subcommittee – Eric Olivas
1. Met February 22, 2021 at 4:00 p.m. (video conference)
2. Vice Chair Olivas submitted a Personnel Subcommittee written report. (see attached)
3. Next meeting March 29, 2021 at 4:00 p.m.
XI. Discussion and Possible Action
a. Review and Approval of 4th Quarter Case Findings Audit Report
1. Motion. A motion by Member Mitchell to accept the Case Review Subcommittee 4th Quarter Case Findings Audit Report. Roll call vote taken. Motion passed.
(see attached)
For: 5 – Armijo-Prewitt, Mitchell, Nixon, Olivas, Kass
Against: 1 - Galloway
b. Approval of January – June 2020 Semi-Annual Report
1. Motion. A motion by Vice Chair Olivas to approve the CPOA January – June 2020 Semi-Annual Report as drafted and presented. Roll call vote taken. Motion passed.
For: 6 – Armijo-Prewitt, Galloway, Mitchell, Nixon, Olivas, Kass
c. Update on CPOA Board Member Reviews
1. Chair Dr. Kass provided an update on the completion of the CPOA Board self-assessments.
d. Update on Developing a Process for Access to Level 3 Force Cases
1. CPOA Board Counsel, Tina Gooch provided an update on the Development process for Access to Level 3 Force Cases and is working on a Memorandum of Understanding (MOU) with City Legal and should have the framework for the CPOA Board to review at the next regularly scheduled CPOA Board meeting.
e. Update on Stipulated Order Establishing an External Force Investigation Team- CASA
1. CPOA Director Harness provided an update on the status conference that was held on February 26, 2021 related to the Stipulated Order Establishing an External Force Investigation Team (EFIT).
f. Legal Counsel Contract
1. **Motion.** A motion by Member Galloway to proceed in a good faith effort to continue with the current Legal Counsel Contract for fiscal year 2022. Roll call vote taken. Motion passed.
For: 6 – Armijo-Prewitt, Galloway, Mitchell, Nixon, Olivas, Kass
g. Update on access to Legal Counsel
1. Vice Chair Olivas met with the CPOA Board’s Legal Counsel as previously approved the CPOA Board.
h. 2021 OMA Resolution
1. **Motion.** A motion by Member Galloway to adopt the 2021 OMA Resolution. Roll call vote taken. Motion passed.
*(see attached)*
For: 6 – Armijo-Prewitt, Galloway, Mitchell, Nixon, Olivas, Kass
i. Update on Board rotation for Public Safety Committee
1. Vice Chair Olivas recommends to defer agenda item Board rotation for Public Safety Committee to the Community Outreach Subcommittee and will be placed on the next regularly scheduled CPOA Board meeting agenda.
j. CPOA Public Relations Engagement Protocol
1. Member Galloway stated that the Outreach Subcommittee is discussing the CPOA Public Relations Engagement Protocol and it is currently in the developmental stage. *(see attached)*
2. Member Galloway requested CPOA Board Members to submit feedback to her in writing on the Protocol within the next 12 days and she will provide the information to the Outreach Subcommittee to draft policy.
k. Use of Administratively Closed for Complaints due to the change in Officer Employment Status
1. **Motion.** A motion by Member Galloway to table agenda item until the May 20, 2021 CPOA Board meeting.
l. Diversity and Inclusion Training Provided by Arianna Trott
1. Consultant Arianna Trott with Be. Compassion gave an introduction and overview of the proposal for Customized Diversity Training for the CPOA Board and Agency Staff. *(see attached)*
2. **Motion.** A motion by Vice Chair Olivas to table the Diversity and Inclusion Training to the next regularly scheduled CPOA Board meeting. Roll call vote taken. Motion passed.
For: 6 – Armijo-Prewitt, Galloway, Mitchell, Nixon, Olivas, Kass
m. Election of New CPOA Board Chair and Vice-Chair
1. Chairperson Election. Member Galloway nominated Eric Olivas to be the next chairperson of the CPOA Board. There were no other nominations. Roll call vote taken. Motion passed. Eric Olivas was elected as the CPOA Board Chair by unanimous consent.
For: 6 – Armijo-Prewitt, Galloway, Mitchell, Nixon, Olivas, Kass
2. Vice-Chair Election. Vice Chair Olivas nominated Chantal Galloway to be the next Vice Chair of the CPOA Board. There were no other nominations. Roll call vote taken. Motion passed. Chantal Galloway was elected as the CPOA Board Vice Chair by unanimous consent.
For: 6 – Armijo-Prewitt, Galloway, Mitchell, Nixon, Olivas, Kass
n. Designate Board Representative for PPRB
1. Designee for Policy and Procedure Review Board. Member Galloway nominated Chair Dr. Kass to be the CPOA Board Representative for PPRB. There were no other nominations. Roll call vote taken. Motion passed. Chair Dr. Kass was elected to be the CPOA Board Representative of the PPRB by unanimous consent.
For: 6 – Armijo-Prewitt, Galloway, Mitchell, Nixon, Olivas, Kass
XII. Meeting with Counsel re: Pending Litigation or Personnel Issues:
Closed Discussion and Possible Action re: Pending Litigation or Personnel Issues
a. Limited personnel matters pursuant to NMSA 1978, Section 10-15-1(H)(2)
1. Executive Director Evaluation
i. Motion. A motion by Member Mitchell to take a member by member vote to move into closed session
for the limited purpose of discussing a personnel matter. Roll call vote taken. Motion passed.
For: 6 – Armijo-Prewitt, Galloway, Mitchell, Nixon, Olivas, Kass
--- Meeting on Personnel matters began at 9:35 p.m. and the meeting reconvened at 10:29 p.m. ---
i. **Motion.** A motion by Member Mitchell to reconvene into open session and that no matters other than personnel matters were discussed in closed session. Roll call vote taken. Motion passed.
For: 6 – Armijo-Prewitt, Galloway, Mitchell, Nixon, Olivas, Kass
ii. **Motion.** A second motion by Member Galloway to delegate edits and finalization of a letter for the 2020 Executive Director Evaluation as approved by the CPOA Board to Vice Chair Olivas. Roll call vote taken. Motion passed.
For: 6 – Armijo-Prewitt, Galloway, Mitchell, Nixon, Olivas, Kass
iii. **Motion.** A final motion by Member Mitchell that CPOA Board Chair Dr. Kass and the Chair of the Personnel Subcommittee Eric Olivas meet with the Executive Director Edward Harness to review the letter. Roll call vote taken. Motion passed.
For: 6 – Armijo-Prewitt, Galloway, Mitchell, Nixon, Olivas, Kass
XIII. Other Business
a. Member Mitchell recommended the same presentation that was provided to the Policy and Procedure Subcommittee held on March 4, 2021 on APD K-9 Unit Policies be presented to the full Board.
b. Member Galloway recommends that Director Harness and CPOA Legal Counsel Tina Gooch examine case review CPOA Board obligations under the CASA and CPOA Ordinance.
c. Member Armijo-Prewitt mentioned that Board Members should be identifying themselves during CPOA Board meeting prior to speaking for compliance with the ADA.
d. Member Galloway recommends that CPOA Board members and Agency Staff include their position titles along with their names during zoom meetings and would like presentations to have their own agenda item.
XIV. Adjournment-
a. Motion. A motion by Member Mitchell to adjourn the meeting. Roll call vote taken. Motion passed.
For: 6 – Armijo-Prewitt, Galloway, Mitchell, Nixon, Olivas, Kass
b. The meeting was adjourned at 10:36 p.m.
Attachments
Civilian Police Oversight Agency Board
Minutes - March 11, 2021
Page 12
TRUE TO FORM ABQ JOURNAL AND THEIR HIRED "STAFF WRITERS" (AND THEIR EDITORIALISTS) WILL DO FRONT PAGE CRITIQUES OF WHAT'S WRONG WITH THE COPS USING PROMINENT BARASSO OPERATIVES TO CITE ME IN. HAVE YOU EVEN HEARD FROM THE JOURNAL (OR THEIR ROHANTS AT KOB) ANY NEGATIVE CRITIQUE OF THE SECOND JUDICIAL COURT'S NUMEROUS "PLAYERS", ALL OF WHOM CLAIM ABSOLUTE IMMUNITY AND WHOSE COURT PROCEEDINGS ARE ESSENTIALLY SECRET. WHO CAN GO AND SIT IN ANYBODY'S COURT DOWNTOWN FOR HOURS WATCHING - IF YOU'RE ALLOWED TO, NO VIDEO/AUDIO TRANSMISSION FOR FOLKS TO REVIEW AT THEIR CONVENIENCE WITH ALL THIS EXTRAVAGANT TECHNOLOGY IN THE "VIRTUAL" WORLD.
TOP FRONT PAGE OF FEB 15TH JRNL QUOTING CITYATTY'S ON PAGE A5' EXALTING THE VIRTUES OF THE DEPT OF BOGUS JUSTICE
City Atty Aquilan quoted as saying that "independent" monitor "Ginger" is an "officer of the court". Does that signify that he, like the City Attys, has "absolute immunity" during his performance of his job?
I recall a Guardian-Ad-Litem Atty appointed in 1995 to be the Atty for my grandson in the Family Court claiming she, Karen A Vandiver Rionx, had "absolute immunity" by association being appointed by a crooked judge, the late Wm E Lang (Lang is with Jawnal?)
The JRN's clean avoidance of even seriously critiquing the activities of the "court" in their proceedings, reminds me of a conversation I had with the infamous Alex Jones (before he became famous) when he hosted public access TV programs in Austin, Texas - He'd tackle the "problem" of "Police Brutality" but not the problems in corrupt courts - Court Brutality -
ON TUESDAY FEB 23 2021 IN THE EARLY AM I DETERMINED [2(4)] SOMETHING I COULD NOT POSSIBLY PROVE TO ANY ONE BUT MYSELF (AND THE PERPETRATORS) AND KNOWING THE PRACTICED PROTOCOL OF SE AREA COMMANDER JOHNNY YARA I WOULD NOT SUMMON ANY DIRTY COPS TO MY DOOR LEST THEY TURN THINGS ON ME, THE VICTIM. [A 911 CALL ON SEPT 14 2020 WHEN MY CRIMINAL COMPLAINT AGAINST BRIAN & REDMOND KIETH WAS SUMMARY REFUSED] CASE IN POINT
I SPENT ABOUT AN HOUR+ ON PHONE WITH 3 OR 4 "OPERATORS" ON TUES FEB 23 IN VAIN TO RECORD A "TELEPHONE REPORT" THAT ENTRY BY [THE KIETH FAMILY AND/OR THEIR AGENTS] ENTERED ADI 3C
AMATO
PUBLIC COMMENT
MARCH 20 21 3(4)
AT (WHERE I'M RENTING AN APT SINCE JULY 2019.) ARTICLES OF CLOTHING WERE REMOVED ON THREE DIFFERENT OCCASIONS WHICH I CHOSE NOT TO TRY TO REPORT. I FIGURED IT WAS A FORM OF HARASSMENT BUT IF UNDERESTIMATED THEIR TREACHERY. DOLLARS WERE REMOVED FROM A CHEST OF DRAWERS (I WAS FOOLISH ENOUGH TO USE FOR A STASH OF CASH I WAS SETTING ASIDE FOR A MOVE OUT OF THE DAMNED KUETH APIS.) NO WAY I CAN PROVE THIS FACT AROUND HERE WHERE TWO LIARS OUTWEIGH ONE PERSON TELLING THE TRUTH. THESE SLEAZE I'M UP AGAINST CAN RALLY NUMEROUS LIARS IN A "SNAP." JUST WANTED SOMETHING "IN THE RECORD." MY LIFE IS IN MORTAL DANGER WITH THOSE ADVERSARIAL REPRO BAGS.
I file THE FOLLOWING CRIMINAL REPORT with you, THE PUBLIC, under "PUBLIC COMMENT" BECAUSE CERTAIN CORRUPT ELEMENTS IN APD'S 242-COPS (AND 768-2030) REFUSE TO RECORD AMATO'S "COMPLAINTS." PARTICULARLY DOES "S.E. AREA COMMANDER JOHNNY YARA" [IN THE ADDRESS I CURRENTLY OCCUPY: "UNIVERSITY HEIGHTS"] DIRECT LOWER RANKING, STRATEGICALLY PLACED DIRTY COPS TO WAY-LAY ANY COMMUNICATIONS [TO BE PROPERLY RECORDED IN APD RECORDS]. FURTHERMORE, ALL AMATO'S CPOA "COMPLAINTS" ARE LOST, BURIED EXCEPT THE ONE I REFERENCED AT THEIR BOARD-TELEvised-MEETING - ON SEPT 12 2019 WHEN I SUBMITTED THAT ONE COMPLAINT IN PERSON. THAT ONE THEY DID AN INTRICATE [COVER UP] OF THE "FAUX"AN UNDERCOVER WOMAN COP "UNDER COMMAND" ATTACKED AMATO ON SEPT 5 2019 NOON THAT ONE A 911 CALL.
AMATO MARCH 2021
3:30 6:47 1954 4(4)
Thus far I have found no one to stand with or for me. In Jan of 2020 Brian Kieth sicced the APD "crisis intervention team" on me after a conflict with him over a replacement of a malfunctioning — for 6 months — refrigerator in Apt 36. Since the scumlord apt has many things "wrong" and my recent recovering from hospitalization and surgery, I had limited strength in fighting everything I was up against. I am "living" in the front room only for several reasons not mentioning herein. All cabinets and shelves are for a 6 footer. I am 5 feet with upper spine injuries. So my place looks cluttered." It's worrable for me. Kieth used that to say that I needed that C.I.T. to violate my autonomy. And so on.
P.S. "they" say Mary Han Cmml. ITED to suicide. You can be certain I've been told.
WHAT DOES THIS SYMBOL HAVE TO DO WITH "COURT"?
LOOK AT THE SECOND JUDICIAL COURT'S STATUETTE ON THEIR CORNER OF LOMAS ACROSS FROM THE U.S. COURT BUILDING. SEE RESEMBLANCE? THE SNAKES ARE INLAID FLAGSTONE ON GRAVEL TO COURT.
AMATO MARCH 2021
DOCTOR, M.D., RAUNI LEENA KILDE SEPT 25 1999
FINLAND. HELSINGIN SANOMAT LARGEST NEWSPAPER IN SCANDINAVIA
WROTE THAT SCIENTIFIC AMERICAN MAGAZINE ESTIMATES THAT AFTER THE MILLENIUM PERHAPS ALL PEOPLE WILL BE IMPLANTED WITH A DNA MICROCHIP.
HOW MANY PEOPLE REALIZE WHAT IT ACTUALLY MEANS?
TOTAL LOSS OF PRIVACY AND TOTAL OUTSIDE CONTROL OF THE PERSON'S PHYSICAL BODY FUNCTION.
FOLKS WHO HAVE THE "STAGE" DELUGE US WITH DOUBLE TALK AND RELENTLESS CHANTING OF FALSEHOODS THAT BECOME SO FASHIONABLE THAT ANY SANE RATIONAL FOLK WHO SAYS DIFFERENT IS OSTRACIZED AS A HERETIC.
"CONSPIRACY THEORIST"!
IT IS REPORTED THAT THE "5G" "FIFTH GENERATION EXPANSION OF WIRELESS TECHNOLOGY" CAN BE [WEAPONIZED] WITH "DIRECTED" MICROWAVE RADIATION 2021 AMATO PUBLIC COMMENT MARCH
Mass die-offs of coho salmon in creeks linked to tire chemical
BY ROSANNA XIA
LOS ANGELES TIMES
When officials in Seattle spent millions of dollars restoring the creeks along Puget Sound — tending to the vegetation, making the streambeds less muddy, building better homes for fish — they were thrilled to see coho salmon reappear.
But when it rained, more than half, sometimes all, of the coho in a creek would suffer a sudden death.
These mysterious die-offs — an alarming phenomenon that has been reported from Northern California to British Columbia — have stumped biologists and toxicologists for decades. Numerous tests ruled out pesticides, disease and other possible causes, such as high temperatures and low dissolved oxygen.
Now, after 20 years of investigation, researchers in Washington state, San Francisco and Los Angeles say they have found the culprit: a very poisonous yet little-known chemical related to a preservative used in car tires.
This chemical is just one of a vast number of contaminants that wash off roads whenever it rains. This giant soup of pollutants, which includes trillions of microplastics, rushes down drains and into creeks and ultimately into the sea.
“We pretty much figured out that anywhere there’s a road and people are driving their car, little bits of tire end up coming off your tire and end up in the stormwater that flows off that road,” said Ed Kolodziej, an environmental engineer and chemist at the University of Washington, Tacoma/Seattle, whose lab led a study that was published Thursday in the journal Science. “We were able to get all the way down to this one highly toxic chemical — something that kills large fish quickly and we think is probably found on every single busy road in the world.”
Coho salmon, also known as silver salmon, are prized among fishermen and an important indicator species — the canary in the coal mine for coastal watersheds along the northern Pacific. Their range has historically stretched from the creeks nestled in the redwood forests near Santa Cruz all the way north to the waters of Alaska. The few coho populations that still exist in California are either endangered or threatened.
The scientists in Washington state spent years studying dozens of streams — looking for patterns and comparing samples from pristine creeks, to those in more urban areas. They narrowed the culprit down to stormwater, then to creeks that were near busier roads, and finally to the wear and tear of car tires.
Researchers then soaked tire bits in room temperature water for about 24 hours. As many as 2,800 chemicals would leach out and, using high-resolution mass spectrometry, the team methodically identified and analyzed these compounds.
The smoking gun turned out to be related to a chemical called 6PPD, which is essentially a preservative to keep car tires from breaking down too quickly. When 6PPD hits the road and reacts with ozone gas, the chemical transforms into multiple new chemicals, including a compound known as 6PPD-quinone.
“Now that they’ve gotten it nailed down to one compound — that’s amazing. It’s also really helpful that something could be done about it,” said Joe Dillon, who specializes in water quality and toxicology for NOAA Fisheries. “This means the tire industry can work on figuring out how to replace that compound with something less toxic. It means they can be pushed by the state of California or by nongovernmental organizations to undertake that work.”
Matt St. John, executive officer of California’s Regional Water Quality Control Board on the north coast, home to most of the remaining coho salmon in California, said he’d like to start monitoring for this chemical in creeks to determine what further action is needed.
“The study is definitely an eyebrow-raiser,” he said. “When you find a causal link like this that is controllable, we need to take this type of information seriously.”
Ms Jard: Don't remember if I already shared this with you. Please put it "out"
If you can send it to other offices via email Mayar, etc
THE REPUBLIC DOES NOT EXIST. WE HAVE A FEDERAL REZ, THE WORD "REPUBLIC" COMES FROM "RES" = THING (CITING THE "S" IS DROPPED AND THE PEOPLE'S THING IDENTIFIED AS ALBUQUERQUE ON THE RESERVATION). WE THE PEOPLE UNDER THIS PRIVATE COMMERCIAL AGREEMENT, LIKE "HUMAN RESOURCES" COMARCA RESERVES UNDER THE RUITING TERMS.
STEPHANIE YARA
DRIK CITY JUNIOR COUNSEL SERVICES
PO BOX 1293
ALBUQUERQUE, NM 87103
Historic Route 66 runs around the cultural heart of New Mexico's capital, Santa Fe, and right through the center of Albuquerque. In either place discovering the "Mother Road" and bypassed towns can take some time, though the effort is usually well rewarded as you travel the Land of Enchantment.
It is my hope that you have some kind of influence on certain folks there. While both mentioned that there was a key ever missing after a maintenance call. But about maybe 2-3 months ago there was evidence to me I could "phone" to you what entered was modeling this apt. Not on every maintenance but just the time.
SE APD Command
MAILED JAN 28 2021
Thursday
Jan 29 2021
Sgt K - to the elder brother and Uncle of R. AND Redmond K. respectively that I've had a series of problems with and which Commander J. 1/27
THE THIEF MORE LIKELY TRASHED MY STUFF, NOT EVEN AVAILABLE TO RETURN
KNOWN I COULD PROVE IT. SO IF I TRIED TO "REPORT" IT IF "Yi...MASONIC BRO" WOULD LOVE THE CHANCE TO DISCREDIT ME AS A 'CRAZY OLE LADY.' THINGS IMPORTANT TO ME
INSTRUCTED LINE CAPE C. and LINGO. ON SEPT 14 & SEPT 16 2020 RESPECTIVELY NOT TO ACCEPT A 911 CALL COMPLAINT FROM AMATO VS B. + SON 12-12
Friday Jan 29 2021
To Councilor Sena and Public Safety Committee from AMATO
Today at the 8:30 am hour I tried to make a "telephone" report of related issues. I phoned "around" and wound up with two futile conversations with a 242 cops operator #7029 (a woman) which she admitted are recorded, and she told me I could request copy thru APP/IPRA, which office is not accessible to me and which I'd have to "pay" for and under pandemic dynamics would be months away. But I don't need the recording or transcript but it - the recording circuit #7029 on Jan 29 2021 at the 8:30 am hour is demonstrative of repeated futile interactions with city personnel in an attempt to get redress of grievances.
All this I realize indicates organized crime, and this is something most of us are not cognizant of, but it is a treacherous threat to USA
Known as the "Land of Enchantment," New Mexico's first exploration by European settlers was in 1540, by Francisco Vásquez de Coronado, a Spanish explorer searching for gold. New Mexico was the 31st state to join the US, and gained statehood on January 6, 1912.
Artwork: South Southwestern
I BOUGHT A VOICE MESSAGE WITH MY OLDER COUPLE WEEKS AGO, DUE TO JOHNNY YARLA'S ORDERS TO COCKBULL AND PLACE A SKIN THERE. IT WAS PROHIBITED FACING CRIMINAL COMPLAINTS AGAINST MEMBERS OF THE PUBLIC. I AM FROM ALBUQUERQUE. THIS DEFICIENT APPEARED IN 2019 WHEN I WAS WEAK FROM RECENT HOSPITALIZATION AND MAJOR SURGERY. NOTE THAT R.K. TOOK TWO TOWERS FROM NEW MEXICO. THEY UNIT TO HARASS ME AND THEIR UNIT AS A CRAZY CLEVER. THEY ARE TWO TOWERS IMPOSTORS. THEY ARE NOT "VALUABLE" WERE TAKEN WHEN I WAS GONE.
WITH THE FOLLOWING INFORMATION:
LOOKOUT UPSTAIRS BOTH ITEMS WERE STOLEN. SENT BY THIS API, I RENT A PET, BENTO ALMOON. THESE THREE APD PERSONNEL CAME AGAIN COUPLE WEEKS AGO TO MY DOOR. BRIAN KIETH BACK IN 2020 WAS RECALCITRANT ABOUT REPLACING A DETECTIVE REFRIGERATOR IN THE UNIT (MAL-FUNCTIONING FROM JULY 2019 - JAN 2020) I BOUGHT A FUG THERMOMETER TO SHOW B. KIETH THAT THE FUG WAS ABOUT TO TOTALLY CRASH. HE RELUCTANTLY SWAPPED IT OUT WITH ANOTHER API. AND THE NEW TENANTS HAD TO FIGHT WITH HIM ABOUT IT. THEN HE CAME ON ME.
29 JAN 2021
Councilor Serg and Public Safety Committee
BECUZ APP LINE COPS UNDER JOHNNY JARA'S SE COMMAND WERE DIRECTED NOT TO TAKE AMATO'S COMPLAINTS VS BRIAN (AND HIS SON REDMON) KIETT, AMATO WAS SUBJECT TO INCREASED HARASSMENT WHERE SHE RESIDES SINCE JULY 2019 FROM GERALDINE AMATO
P.S. AMATO HAD HOPED TO RELOCATE BEFORE NOW BUT PHYSICAL AND FINANCIAL LIMITATIONS AND LACK OF ADEQUATE "FRIENDS" COMPROMISED BY THE THEFT OF AMATO'S CAR NOT REPORTED AS "STOLEN" AFTER AMATO REPORTED THE LEXUS STOLEN TO KIETT SHELLEY #3102 (I THINK I RECALL HIS BADGE CORRECTLY UNDER SE COMMANDER JARA. ALSO FROM APP-IPRA RESEARCH SHELLEY WAS INVOLVED WITH A COVERUP)
WANT TO QUESTION WHEN THIS CURRENT APD REPORTING ROUTINE REQUIRING A FACE-TO-FACE MEETING WITH A UNIFORMED COP VIA 242-COPS WAS IMPLEMENTED? PREVIOUSLY I WAS ABLE TO WRITE-IN MY OWN WORDS - A CRIMINAL COMPLAINT DOWN AT CITY COUNTY BLDG ON ROMA. SINCE JULY OF 2019 I HAVE SPENT EXCESSIVE HOURS WAITING FOR A SUMMONED 242-COPS COP TO SHOW UP. NO INFO WAS GIVEN TO ME WHEN A COP DID SHOW AS TO WHAT WAS BEING ENTERED INTO THE RECORD. I HAD TO MAKE A RECORDS REQUEST AT CITY CLERK'S OFFICE FOR A REPORT I GAVE TO A COP AND PAY TO SEE IT. 3 MONTHS AFTER MEETING WITH AN APD OFFICER RECEIVING MY REPORT, I WAS OUTRAGED AT WHAT WAS ACTUALLY WRITTEN IN THE FILE AT MY EXPENSE. GROSS MISREPRESENTATIONS OF MY REPORTS. THAT IS: WHEN SOMETHING WAS WRITTEN AT ALL. IN TWO OR THREE ENCOUNTERS NOTHING WAS RECORDED OF MY CONVERSATION WITH THE COPS. ONLY A "COMPUTER ACTIVATED DISPATCH" - CAD. IN ONE CASE AS I RECALL - NOT EVEN A CAD#. THESE BY DIRECTION OF S-L COMMANDER NOT-YET PERSONAL DECISIONS OF THE SUMMONED OFFICERS. EACH TIME THEY GOT ON THEIR RADIOS, DISTANCED FROM ME SO I COULD NOT HEAR THEIR CONVERSATIONS, BEFORE THEY CONCLUDED WITH ME. MONTHS LATER, INQUIRING OF APD RECORDS, I FIND THE #FOR EXAMPLE-I'M ENDING THIS ON THIS PAGE# REPORTS OF MY TWO STOLEN REVOLVERS WITH SERIAL #S HAD BEEN RECORDED NOWHERE. NEITHER WAS MY STOLEN LEXUS CAR PUT IN ACTIVE. S-L SAID I HAD A VERBAL CONTRACT TO HAVE MY
Many of us know little of "high finance", not becuz we can't understand, but becuz we are not only not taught, we are mostly taught false principles. In fact, it can be said that one can get a college degree, particularly in the field of "high finance" and related "economics, in a whole system of lies, especially if one is being trained to be a teacher or "professor". So that the lies can be passed on in order to deceive an entire generation of folks who don't perceive the reality of the planned economic devastation to come.
I understand the bond market? I noted an article on page B5 Tues. March 3, 2020 in the New York Times by Matt Phillips: "Bond markets determine the cost of borrowing money. Borrowed money is the lifeblood of the American economy." "Bond yields determine the cost of borrowing money, and the rates for a 30 year mortgage are heavily influenced by yields on Treasury notes."
"The bond market is the larger, mild-mannered cousin of the more theatrical stock market."
AND BONDS DON'T MOVE AS SHARPLY AS SHORT TERM TREASURY BILLS (ESSENTIALLY GOVERNMENT DEBT DUE TO BE REPAYED SOON, BUYERS SNAP UP SHORT TERM DEBT DRIVING PRICES UP AND YIELDS DOWN IF THEY BELIEVE THE FEDERAL RESERVE IS GOING TO CUT INTEREST RATES THAT WOULD MAKE THEIR BONDS MORE VALUABLE." OWNED BY A PRIVATE BANK "UNITED STATES GOVERNMENT BONDS ARE CONSIDERED THE SAFEST FINANCIAL INVESTMENT YOU CAN MAKE - THE SECURITY BLANKET OF CHOICE FOR INVESTORS WORLD WIDE." NEW YORK TIMES
RELATED FACTS: THE FEDERAL RESERVE BANK IS A PRIVATE CORPORATE BANK, NOT A "U.S." FEDERAL AGENCY, EVEN THAT THE "BOARD" REPORTEDLY, IS CHOSEN WITH GOVT. INPUT. THE FORMER FEDERAL RESERVE BOARD CHAIRMAN ALAN GREENSPAN WHEN HE WAS A YOUNG MAN PUBLISHED THREE ESSAYS: "GOLD AND ECONOMIC FREEDOM", "ASSAULT ON INTEGRITY" AND "ANTI-TRUST" WHICH ARE PERHAPS WORTH REVIEWING. NOT HIGHLY TECHNICAL IN VERBIAGE. MANY OF US NEVER LEARNED IN "SCHOOL" NOR "COLLEGE" THAT THE OWNERSHIP OF GOLD BY THE AMERICAN PUBLIC WAS OUTLAWED IN 1933
"May-Day" (i.e., May 1st) by FDR, Prez. Franklin Roosevelt. A "bank holiday" was declared. All gold in the bank's vaults were seized from the bank's depositors. The doors to the banks were closed. Folks could not withdraw their money. If their gold, in the bank's vaults, and that gold was seized by the FDR govt, and a proclamation was issued to all folks who had their gold elsewhere than in a bank's vaults, were to turn that gold over to the FDR govt under penalty of fine or imprisonment.
Eventually, the prohibition of "regular citizens owning" gold, reportedly, was lifted in the 1970s. [You see, back then the paper money was backed by gold and silver. Paper was "gold" and "silver" "certificates." You could go to the bank teller and ask for your precious metals by turning in your certificates.]
Today we have paper money with no precious metal backing. Our paper is "credit script" which purchasing power is at the will of the issuers. Prez John Kennedy was assassinated on the eve of his plan to issue silver certificates out of the FDR Treasury.
IT IS PRECISELY BECAUSE THE REPUBLIC DOES NOT EXIST AND THAT AN INTERNAL COMMERCIAL CODE DOMINATES OUR ECONOMIC-POLITICAL OPERATIONS (I.E. THE USCC FROM WHICH ALL STATE STATUTES AND ALL LOCAL ORDINANCES EMANATE) THAT DECISIONS ON LAND USE AND ZONING MADE WITHIN CORPORATE GOVERNMENT FAVOR HUGE PRIVATE CORPORATE INTERESTS BEFORE LOCAL FOLKS' WELL-BEING AND, INCREASINGLY, FAVORABLE TO ORGANIZED CRIMINAL ENTERPRISES WITHIN (AS WELL AS WITHOUT) GOVERNMENT. IT CAN BE ACCURATELY SAID THAT ALBUQUERQUE, AND MUCH OF NEW MEXICO, IS RUN BY ORGANIZED CRIMINAL SYNDICATES, PARTICULARLY DRUG RUNNING AND, WHAT'S WORSE, THE TRAFFICKING OF CHILDREN FOR SEX (AND WORSE). BUT BRING IT "UP" AND YOU'LL BE MALIGNED AS A "CONSPIRACY THEORIST." MY LATE FRIEND, DANIEL MARTINEZ, WHO HAD A FEW ENCOUNTERS WITH CRIMINAL OPERATIVES WITHIN THE GOVT WOULD OFTEN SAY "WE KNOW WHO THE REAL TERRORISTS ARE!"
LEGISLATIVE ENACTMENTS THAT PURPORTEDLY PROTECT AIR, WATER, LAND RESOURCES NEVER REALLY FULLY ACCOMPLISH STATED GOALS. THE MONITORING AND ENFORCEMENT OF SUCH "REGULATIONS" ALMOST ALWAYS GO OUT-DISTANCE
Fact is, if the Republic existed no corporation would be organized under a "commercial code" nor would any be privately owned nor stockholder owned. The FDR U.S. Supreme Court would not exist to declare otherwise. Nor to declare that corporations are Fourteenth Amendment citizens." Etc etc If the Republic existed no corporation would have "charters in perpetuity." Charters in the Republic would be revocable and on and on.
Often do you hear the purveyors of destruction, contamination, toxification complain that "agriculture" uses too much of NM's water. These same reprobates build on and pave, concrete ash fault every parcel of arable land they can grab. Then we to consolidate NM...
ONE CLEVER DEVIOUS STRATEGY IS TO TAKE A TRUTHFUL CONCEPT OUT OF CONTEXT WITHIN WHICH IT COULD EASILY BE COMPREHENDED, AND "PLAY" IT "TO THE HILT" AMIDST FALSE PRETENSES, TO SUCH A REPETITIVE EXTREME THAT THE TRUTHFUL CONCEPT GIVES CREDENCE TO BLATANT LIES IN THE MINDS OF IRRATIONAL NON-INTUITIVE MENTALITIES. ONE RECENT EXAMPLE WAS THE CRIES ABOUT A "STOLEN ELECTION" AUTHORS AND INVESTIGATIVE JOURNALISTS LIKE JAMES COLLIER ("VOTESCAM: THE STEALING OF AMERICA") JONATHAN SIMON ("CODE RED") DOCUMENTING HOW THE FULL COMPUTERIZATION OF THE VOTE COUNT PRECLUDES ANY "HONEST" COUNT. IN OTHER WORDS: ELECTIONS HAVE BEEN AND ARE (STOLEN) SYSTEMATICALLY AND REGULARLY. WHILE SUCH RELEVANT REPORTS ARE BURIED AND NOT GIVEN ANY PUBLICITY! CIRCUSES LIKE THE RECENT GEORGIA VOTE RE-COUNT PUBLICITY "FURY" SINCE THE PASSAGE OF THE "FOURTEENTH AMENDMENT" CREATING A "NEW" STATUS OF CITIZENSHIP -> ARTIFICIAL INCORPORATED PERSON UNDER "COLOR" OF LAW, IF "COLORED PEOPLE". MUCH HAS BEEN SAID ABOUT THE "RIGHT TO VOTE" WHICH IS NOT A RIGHT AT ALL. IT IS A CONCESSION MADE TO "SUBJECTS" OF THE STATE TO GIVE AN ILLUSION OF CHOOSING LEADERS. ALL ELECTIONS SINCE THE FULL COMPUTERIZATION OF THE VOTE COUNT ARE ABSOLUTELY STOLEN! CAMPAIGN SEASONS ARE BIG ENTERPRISES AND ENTERTAINMENT FOR "THE MASSES". BLACK HISTORY MONTH WILL NOT TELL THE TRUTH ABOUT NAACP FOREX "ADVANCEMENT OF COLORED PEOPLE."
PUBLIC COMMENT FEB 17 2021
AMATC +/5 R-20-123 City Council (2)
CPOA
"RESIDENT" = PEOPLE ARE "THINGS" "IDENTIFIED" ON THE RESERVATION
"RES" from Latin = THING, "PUBLIC" = PEOPLE
"The Peoples' Thing" = REPUBLIC
BEAR IN MIND THAT "THE REPUBLIC DOES NOT EXIST" AT ALL TIMES WHEN REVIEWING CITY ORDINANCES.
F/S-R20-123: UNDER THE REALITY OF A PRIVATE COMMERCIAL JURISDICTION (USUCC); THAT IS ALSO LINKED TO THE INTERNATIONAL BANKSTER'S CARTEL CONTROLLING ALL THE MAJOR ECONOMIES OF THE ENTIRE EARTH. ACCENTING THE "IMPORTANCE" OF A MUNICIPAL CORPORATION'S "POLICE CHIEF" IS MERELY AN INSTRUCTION OF THE REIGNING INTERNATIONALISTS.
THE SO-CALLED "LOCAL" "POLICE CHIEF" MUST - BY DICTUM - BE CONNECTED SERIOUSLY TO "INTERPOL" INTERNATIONAL POLICE.
SO, I'M THINKING, IF THE MUNICORP LET THE POLICE CHIEF POSITION VACANT FOR TOO LONG, HEY! THE LOCALS MIGHT TAKE OVER THEIR POLICE POWERS. BUT WHAT DO I KNOW? SEE P. 1 LINES 15, 16, AND 17. "...RELEVANCE"... "CURRENT AND PRESSING DEMANDS ON THE DEPT..." "...DOJ REFORM PROCESS, UNDERSTAFFING, AND ELEVATED CRIME." "THE POLICE CHIEF OF ANY MUNICIPAL CORPORATION TAKES ORDERS FROM "ABOVE" BEFORE
NAMELY: BARASSO CONTROLLED OPERATIVES (DISTRICT ATTYS; ATTYS GENERAL STATE AND FEDERAL) FBI, and soon THE DOJ REFORM PROCESS is ABOUT THAT, i.e FEDERAL "CENTRAL" COMMAND OF ALL LOCAL POLICE DEPTS (incl. SHERIFFS). THE U.S. DEPT OF BOGUS JUSTICE HAS BEEN OPENLY MEDDLING IN APD AFFAIRS SINCE WHEN? IS IT ANY WONDER THAT FOLKS DON'T WANT TO BE COPS?? HENCE, "UNDERSTAFFING". THE "REFORM PROCESS" EQUALS "DON'T THINK FOR YOURSELF. WE WANT "YES MEN" TYPES. "DO AS YOU'RE TOLD. WE DON'T NEED YOUR FEEDBACK." JUST LIKE THE PENTAGON'S MILITARY. OH! "DEFUND THE POLICE!!" THAT'LL WORK! SEND IN THE TROOPS TO SQUASH DISSENT." LOOK ALL OVER THE WORLD Myanmar, CHINA, WEST BANK, SYRIA, IRAQ, etc. "RED FLAG" "LAWS" THAT'LL "WORK" DISARM THE RATIONAL CAPABLE PUBLIC CLEAR THE WAY FOR THE LATEST VERSIONS OF THE "GESTAPO" IN THIS "MODERN" ERA. AN OLD CHINESE PROVERB - BEFORE THE "REDS" TOOK OVER - SEIZE THE PROPERTY OF THE ENEMY [NOW THE "PUBLIC"] SO THEY CANNOT PROSECUTE A REBELLION. ENOUGH OF US HAVE TO "GET" IT OR WE HAVE "HAD" IT.
Topics: (1) ABQ Police Dept's practices of "recording" of citizen reports; (2) City Clerk's "job" of trying to maintain a workable file for citizens' to request "documents" under the "IPRA."
It is approx two years that I, Geraldine Amato, have endeavored to get my stolen property reports duly filed and recorded. [In vain]. I have spent innumerable hours via 212-cors summons, phone calls, letters, complaints to CPO, etc all in vain. My properties were stolen immediately by "lower level" criminals. Middle level criminals facilitated the thefts by concealing the identity of my reported "stolen" properties and preventing any reports to be included in any files as stolen properties. One set of property was stolen twice?! All this compounded by the fact: "The higher you go up, the more corrupt." Can you take complaints about lower and middle echelon criminals to the "king pins" occupying ranking "government" positions?
The most recent staged, scripted, orchestrated [circus] "Second" Impeachment Trial of a "former President" is not even entertaining! Had we as students in the "public" schools and universities been taught solid history we could "see thru" the truelling theatrics from the "get go"! Had we even reviewed once the two speeches in 1787 Virginia Constitutional Convention of Patrick Henry - the man who made the "call to arms" to the colonists vs. King George III's escalating oppression? In the Continental Congress, we would understand that the Republic has not existed since "back when"! Becuz Henry's speeches were recorded as part of the "Congressional Record" we can still review some of what Henry asserted in his opposition to the adoption of the "federal" "the U.S. Constitution". Biden and Trump are on the same team, each with a "supporting role" to the other. They "work" for the very same controlling folks. Bernie Sanders has long been a trailing [shill] the forl gout. Is a corporate state operational under a private commercial jurisdiction, owned by internationalist global financial power brokers, who plan to reduce this nation to just one "cog" in their New World Order "machine". Their "God" is the notorious "God" of this world "treachery, deception, manipulation; tools! of their trade. They're masters at reducing folks to abject slavery if you're permitted to live, that is.
To Mayor Timothy Keller
February 2021
From Geraldine Lamio, Resident in the City
RE: Persistent problems with USPS employees in the "UNIV HEIGHTS" area with no remedy nor recourse thus far.
Mr Mayor Tim Keller:
It is my understanding that you are a resident here from your youth. Perhaps you know the APO Postmaster personally and can clarify matters I'm dealing with for too long as a captive in the "student" ghetto, a declared Administrative Assistance to USPS Postmaster named "Evangeline" (who I've only met via phone conversations) has given me too many "words" with no results that alleviate any of the persistent, recurring harassments. Perhaps you know Christopher Yazzie who I have been prevented from talking to, and can have him give me a call. Just want freedom to buy stamps and other USPS services at the Cornell St Station and to get due respect from mail carriers at the APT. Would you believe?
SEE ATTACHED IS A SKETCH OF THE DYNAMICS OF AN ORGANIZED CRIMINAL OPERATION IN ANOTHER STATE THAT I KIND OF "STUMBLED" ACROSS WHILE I WAS VISITING FOR A FEW MONTHS. THE "KING" "PINS" OF THE OPERATION WERE B.A.R. ASSOCIATION OPERATIVES AT SEVERAL LEVELS - JUDGES, PROSECUTOR ATTYS, DEFENCE ATTYS, STATE BAR ASSO... IF I WERE TO DO A SKETCH OF SIMILAR PROJECTS HERE THERE WOULD BE A LOT MORE "PUSHBACK" WHILE I WAS IN MO. I WAS INVOLVED IN A "TRAFFIC" MISHAP; TO THIS DATE I HAVE NOT BEEN ABLE TO GET A JUST DISPOSITION OF THE "ACCIDENT" THAT I WAS FALSELY ACCUSED OF BEING THE CAUSE OF. [LET THE OLE LADY TAKE THE HIT, ANYBODY WOULD BELIEVE A 48 YEAR OLD LADY WAS THE CAUSE...]
AND TWO 40 YEAR OLD MEN, ONE A SARGEANT - CROOKED COP AND A BIG MAN - CONSTRUCTION DRUG ADDICT WITH A RECORD OF DWIS, NOT HAVING RESOURCES TO FINE A BIG-GUN ATTY THE PRESSURE ON ME IS TO PLEAD GUILTY OR ELSE,
I visited Missouri for a few months - 2014-2018 - suburb of Kansas City. I encountered a young man, (same age as my only grandson) who had been a recruit for the NFL. When this young man's (Jos Preston) father got deathly sick, Joseph dropped out of college and the NFL recruit Pooland nursed his father, David Preston, till his death.
I determined during the time I communicated with Preston, that there was nefarious happenings going on in the 28th Judicial Circuit [4 counties: Vernon, Dade, Barton, Cedar].
There was a 25 year old Sheriff's Deputy murdered - Matthew Scott Chism. Apparently an "inside job" after this young (naive) Deputy Sheriff tried to help ranchers whose land holdings were being confiscated via scams run by a Barasso controlled operatives' criminal syndicate with the assistance of secondary players, like crooked sheriffs.
Joseph Preston's father died, essentially, from a broken heart, because of the loss of his ranch land, that had been his family's for generations. He had been "set up" with felony charges, and when convicted, was given a "deal": "Give up your ranch land or go to prison." David Preston's wife and mother asked him to let the land "go," they wanted him. David Preston took the "deal" but it killed him to let that land go. David's son, Joseph, being a first generation football player being recruited as a NFL meatball, took up for his father, dropping out of college and football, to beat his bedside till his death.
By coincidence I noted Jos Preston had an [NFL assigned] "handler" named Dylan Eppert, who worked for a city court as a "code enforcer" and had had some previous employment as a police officer. I noted
A peculiararity in the relationship between Eppert and Joseph that Joseph did not know he was being controlled, and that this man, Eppert, was not his "best friend", but was using him. Jos also was "captured" in the syndicate's game after David, his dad, had died. Joseph was being milked for # son Andy's fees "to stay out of jail", was being used in skilled labor work with little pay, was being sexually used by this "best friend". When I was discovered as noticing these dynamics, I was abruptly "cut off" from communicating with Joseph. My phone # was blocked, Jos got unfriendly, etc., etc.
I never before encountered someone who was under "mind control." Even that I had reviewed info about it in the past, I could not get any help in trying to get help for Jos Preston. I still have no idea as to how.
Like the ancient Spartan's training their soldiers to endure pain and to keep "on"; the NFL is using mind control programming similarly. Organized crime, etc. Gout / sports, etc.
CAN ANYONE
EXPLAIN/CLARIFY
WHY? MOST EVERY
TIME THE CURRENT
NEW MEXICO GOUR’S
GOVERNOR’S
NAME is CITED, ALL
THREE OF HER
NAMES WITH HER TITLE
ARE ARTICULATED?
(WE WOULD KNOW—WOULDN’T
WE? — OF WHOM THEY SPEAK—
WITH A “GOVERNOR
CONnotation) “GRISHAM” OR
JUST “GRISHAM” AT TIMES?
"White supremacy" is a fashionable concept these days with Black "History" Month and in the wake of the staged, scripted, orchestrated "Black Lives Matter" circuses. Martin King's saying about "content of one's character" vs "color of one's skin" has merit. And the principal would apply to whatever "color" of "skin" staged event of Jan 6th at the Wash. Capitol featuring armed "whites" is rallying the calls for dis-arming domestic terrorists, white armed men! I recall the Black Panther campaign back when. And the 1990's "militia"/"patriot" campaign headed out by white men they - the upper echelons of power wielders - shut both black and white down. So how does "content of character" fit in here?
Pacifism: This posture is advanced by those in positions of wealth, power, authority. To those who have little wealth, power, authority left and if folks with little don't assert what they have left, they'll have nothing to resist treachery with.
Masonic lodge controlled leadership in the "Christian" churches. Just one example, they'll preach submission to God's powers that be as a duty of citizenship neglecting to reference rebellion against unlawful God's power. As in the Revolutionary War vs an English king's oppressive imposition of power on the colonials. Also "Christian" "double cross" "rulers" in the Masonic lodge's churches teach forgiveness to anyone and everyone who has committed wrongs, no matter if they repent or not. That is not a righteous teaching. Creator God condemns the non-repentant to the second death.
Is it "GLOBAL WARMING AND EMISSIONS" "CLIMATE CHANGE" causing catastrophic weather events? Or is it the advancing of sophisticated weather modification technology deliberately creating weather events with a very calculated surge of devastating consequences. Oh? That's a "conspiracy" theory? Actually, with diabolically conceived purpose: steal, kill, destroy. Collaborating with the weather events is the contrived "epidemic"/pandemic contrived events and the constant chanting of the accomplishments secured in stealing, killing, destroying while the erecting of "5G" fifth generation expansion of wireless communications technology towers with the devastating to-the-biology-of-the-human-being radiation goes undeclared/not announced.
NEW MEXICO
STATE CAPITOL: Santa Fe
AREA (sq. miles): 121,666
Rank by size: 5th
Rank by density: 47th
STATE SONG: "O Fair New Mexico"
MOTTO: Crescit Eundo
(It Grows As It Goes)
ADMITTED TO STATEHOOD: 1-6-1912
HIGHEST ELEVATION:
Wheeler Peak - 13,161 ft
LOWEST ELEVATION:
Red Bluff Reservoir - 2,817 ft
STATE TREE: Pinon Pine
STATE FLOWER: Yucca
INFLATION USA
TAX ON OURS!
ON OURS!
ON OURS!
ON OURS!
"SCOTTISH RITE" STATE
Signature in the State
MONDAY NEW MEXICO 2021
LAND OF ENCHANTMENT
THIS MORNING "PUBLIC" RADIO HAD A PUBLIC COMMENT
DEBATE ABOUT FEMA'S FLOOD INSURANCE PROGRAM.
AND HOW THEY SAID THE "TAXPAYERS" WERE PICKING UP THE TAB FOR THE GREEDY PREMIUM INCREASES. WELL IT'S THE WORKING CLASS THAT PAYS THE TAB. BY GETTING PAID LESS FOR WORKING JOBS - NOT BENEFITS - OR THEIR LIVING.
I HAVE NO OFFICIAL GOVT AGENCY AVAILABLE TO HEAR MY COMPLAINT.
SEVEN-DAY NOTICE OF NONCOMPLIANCE WITH RENTAL AGREEMENT OTHER THAN FAILURE TO PAY RENTS (Uniform Owner-Resident Relations Act)
FROM: [Redacted or not legible], (To) WHOMEVER WILL HEAR AND RECORD
Address: [Redacted or not legible] Unit: 36
You are notified that you are in noncompliance with the rental agreement or separate agreement concerning the premises at:
ABOVE RESPONSE I GOT FROM KIETH RE: MY QUIET DELIVERY ONGOING FOR MONTHS 9/20 to 2/25/21. (date) The following noncompliance occurred:
CONTINUOUS COMPLAINTS FROM MANAGEMENT, EMPLOYEES AND MULTIPLE TENANTS REGARDING FALSE ACCUSATIONS HARASSMENT (VERBAL AND WRITTEN) VIOLATION OF #16 - LEASE AGREEMENT OF MY COMPLAINT
(Describe the noncompliance specifically and in detail. Attach additional page(s) if necessary.)
First Notice - If this noncompliance is not corrected within seven (7) days from the date of delivery set out below, the rental agreement shall be terminated and you will be required to vacate the premises. Regardless of whether this noncompliance is corrected, if a second material noncompliance with the rental agreement or any separate agreement occurs within six (6) months of this initial noncompliance, the rental agreement will be terminated.
TO/OF KIETH ENTERING MY SAT, MARCH 6, 2021
Second Notice - You were given previous notice(s) of noncompliance on 9/17/20 (date). Therefore, you have been in material noncompliance twice or more within a six month period. As a result, the rental agreement shall terminate seven (7) days from the date of delivery set out below. You must vacate the premises no later than SAT, MARCH 6, 2021 (date). Failure to vacate by this date will result in a legal action against you.
Dated this 25th day of FEBRUARY 2021
RENTAL UNIT AND TAKING MY PROPERTY WHEN I'M NOT PRESENT
Service of Notice: ☐ Personally delivered to Resident ☒ Posted and Mailed
Delivered or Posted: Mailed ☐ First Class mail ☐ Certified Mail
Time: 12:20 PM
Date: 2/25/21
By: S. KEITH
PERSON DELIVERING OR POSTING NOTICE
SERVICE INSTRUCTIONS: If personal delivery is not accomplished you must mail this notice to the resident. If mailed, posting is not required, but recommended in addition to mailing. A posted notice must be affixed to a door by taping all sides or placed in a fixture or receptacle designed for notices. Posting alone does not constitute proper service. The location of the mailbox from which notice is mailed is also recommended information.
INSTRUCTIONS TO PARTY GIVING NOTICE: 1. Include the names of all residents who signed the rental agreement. 2. The party giving notice should retain two (2) copies for possible court action. 3. If the premises is an apartment, include the name of the apartments and the apartment number.
MASONIC BROTHERS/SISTERS IN APD AND THE B.A.R. ALSO CONTROLLED COURTS
© 2014 Apartment Association of New Mexico / Unauthorized Reproduction Prohibited.
POLICE OVERSIGHT BOARD
INTERNAL AFFAIRS PROFESSIONAL STANDARDS DIVISION
STATISTICAL DATA FOR THE MONTH OF February 2021
INTERNAL CASES FOR THE MONTH OF February 2021
Total Internal Cases Completed in the month of February-12
19 completed cases (sent out to the area command)
1. IA Cases opened in the month of February 2021: 14
2. Area Command IA cases opened for the month of February 2021: 35
3. Pending IA Cases for the month of February 2021: 15
4. Internal Cases Mediated: 0
DISCIPLINE IMPOSED FOR INTERNAL CLOSED CASES IN February 2021
I-560-20
3-13-3B2 Enforcing Laws, Ordinances and Police Regulations
Sustained
Suspension
3-13-3B3b Enforcing Laws, Ordinances and Police Regulations
Sustained
Suspension
1-1-4D10a On Duty Conduct
Sustained
Suspension
1-1-4D10b On Duty Conduct
Sustained
Suspension
2-60-4A5f Preliminary Investigations
Sustained
Suspension
2-60-4A5a Preliminary Investigations
Sustained
Suspension
2-60-4A5b Preliminary Investigations
Sustained
Suspension
2-60-4A5d Preliminary Investigations
Sustained
Suspension
2-8-5B8i Using the OBRD
Sustained
Suspension
2-16-2C1 Personnel of the Department Shall Write Reports on
Sustained
Suspension
2-16-2C4 Personnel of the Department Shall Write Reports on
Sustained
Suspension
3-14-4A2 Procedure
Sustained
Suspension
3-14-4A15 Procedure
Sustained
Suspension
2-8-5B8i Using the OBRD
Not Sustained
No Disciplinary Action
3-13-3B2 Enforcing Laws, Ordinances and Police Regulations
Sustained
Suspension
3-13-3B3b Enforcing Laws, Ordinances and Police Regulations
Sustained
Suspension
2-60-4A5 Preliminary Investigations
Sustained
Suspension
2-16-2C1 Personnel of the Department Shall Write Reports on
Sustained
Suspension
2-16-2C4 Personnel of the Department Shall Write Reports on
Sustained
Suspension
3-14-4A2 Procedure
Sustained
Suspension
2-8-5B5a Using the OBRD
Sustained
Suspension
I-562-20
1-1-4B6a Compliance with Laws, Rules and Regulations
Unfounded
No Disciplinary Action
3-13-3B3b Enforcing Laws, Ordinances and Police Regulations
Unfounded
No Disciplinary Action
1-1-4D15 On-Duty Conduct
Sustained
Suspension
2-52-5B Use of Force Prohibitions
Sustained
Suspension
2-52-6F1c Duty to Provide Medical Attention and Transportation
Sustained
Suspension
2-16-2C1 Personnel of the Department Shall Write Reports On
Sustained
Verbal Reprimand
1-1-4B6b Compliance with Laws, Rules and Regulations
Sustained
Letter of Reprimand
1-1-4B6b Compliance with Laws, Rules and Regulations
Sustained
Termination-Retired
3-41-4E3c Internal Dept. Complaints- Investigation Process
Sustained
Termination-Retired
2-52-6F1c Duty to Provide Medical Attention and Transportation
Sustained
Letter of Reprimand
1-1-4B6b Compliance with Laws, Rules and Regulations
Sustained
Letter of Reprimand
I-597-20
2-19-7C5 Response to Behavioral Health Issues
Sustained
Non Disciplinary Corrective Action
2-19-7B Response to Behavioral Health Issues
Sustained
Non Disciplinary Corrective Action
2-19-11A7 Response to Behavioral Health Issues
Sustained
Non Disciplinary Corrective Action
1-1-4F2 Department Property
Sustained
Letter of Reprimand
1-1-4F2 Department Property
Sustained
Letter of Reprimand
I-623-20
2-9-4A4 Use of Computer Systems
Sustained
Suspension
2-9-4A2 Use of Computer Systems
Sustained
Suspension
I-636-20
2-56-4A1 Use of Force Reporting Procedures
Sustained
Suspension
2-56-4A1 Use of Force Reporting Procedures
Exonerated
No Disciplinary Action
I-641-20
2-57-3D3a UOF Review & Investigation by Department Personnel
Sustained
Letter of Reprimand
I-644-20
2-8-5A OBRD
Sustained
Suspension
1-1-4D1 Personnel Code of Conduct
Sustained
Non Disciplinary Corrective Action
2-8-5A OBRD
Unfounded
No Disciplinary Action
I-739-20
3-13-3B3a Enforcing Laws, Ordinances, and Police Regulations
Unfounded
No Disciplinary Action
3-13-3B3a Enforcing Laws, Ordinances, and Police Regulations
Unfounded
No Disciplinary Action
I-772-20
2-8-5E4 Management of OBRD Recordings
Unfounded
No Disciplinary Action
2-8-5E4 Management of OBRD Recordings
Unfounded
No Disciplinary Action
I-788-20
1-1-4D9 On-Duty Conduct
Sustained
Written Reprimand
I-01-21
1-1-4E3 On and Off Duty Conduct
Unfounded
No Disciplinary Action
1-1-4E9 On and Off Duty Conduct
Unfounded
No Disciplinary Action
Force cases are now categorized by three levels. If a case involves multiple applications of force, it is categorized as the most serious at the case level. If one event involves both a force event and a tactical activation, the event is categorized as a force event for this report. These counts are not considered final as investigations are continuously updated.
February 2021 Force Events
| Area | Level 1 | Level 2 | Level 3 | Total |
|---------------|---------|---------|---------|-------|
| Foothills | 4 | 5 | 3 | 12 |
| Northeast | 9 | 7 | 1 | 17 |
| Northwest | 3 | 3 | 1 | 7 |
| Out of Area | 1 | | | 1 |
| Southeast | 8 | 4 | 4 | 16 |
| Southwest | 1 | 2 | 1 | 4 |
| Valley | 2 | 5 | 4 | 11 |
| Valley: PTC | 1 | | 1 | 2 |
| Grand Total | 28 | 27 | 15 | 70 |
Force per 1000 Calls
- FH: 1.89
- NE: 2.33
- NW: 1.41
- SE: 1.70
- SW: 0.91
- VA: 1.85
Call Types Associated with February 2021 Force Events
| Call Type | Count |
|----------------------------------|-------|
| Family dispute | 12 |
| Susp Pers/Vehs | 11 |
| Behavioral Hth | 7 |
| Suicide | 6 |
| Disturbance | 6 |
| Aggr assault/bat | 3 |
| Continuation of earlier force event | 3 |
| Fight in progress | 3 |
| Wanted person | 2 |
| Traffic stop | 2 |
| Shooting | 2 |
| Auto Theft | 2 |
| SWAT | 1 |
| Drunk driver | 1 |
| Shoplifting | 1 |
| Vandalism | 1 |
| Burglary Auto | 1 |
| Burglary Comm | 1 |
| Armed Rob Comm | 1 |
| DV Escort | 1 |
| Onsite Suspicious Person / Vehicle | 1 |
| Battery | 1 |
| Onsite Auto Theft | 1 |
Twelve Months of Force Data
- FH: 9, 14, 12, 12, 10, 8, 6, 12, 15, 15, 15, 17, 12, 17
- NE: 11, 14, 15, 15, 13, 12, 8, 7, 4, 5, 3, 5, 7
- NW: 22, 18, 18, 24, 21, 19, 15, 17, 16, 16, 16, 16, 16, 17, 1313
- SE: 30, 22, 24, 21, 19, 15, 17, 16, 16, 16, 16, 16, 16, 17, 1313
- SW: 8, 10, 12, 11, 9, 8, 2, 7, 3, 4
- VA: 14, 16, 18, 11, 12, 13, 17, 16, 17, 1313
Legend:
- March
- April
- May
- June
- July
- August
- September
- October
- November
- December
- January 2021
- February
CPOA Board – Outreach Subcommittee Report
The Outreach committee met via Zoom on March 2, 2021.
1. Director Harness provided an update on the following topics:
- Kelley Mensah
o Represented the CPOA at the 2/27/21 CPC Summit.
o He has presented at each CPC about the need for more robust involvements within the CPCs.
o He will be creating a video for CPC recruiting and informational purposes.
o He is looking at possibly mixing up the CPC members between the different area commands to reinvigorate the CPCs.
o He has identified six or seven candidates for the CPC Admin position.
- SW CPC held a meeting on 3/3/21 that Amanda and Ed noted was run exceptionally well. They also noted that they are being very aggressive with their outreach efforts.
- The Council of Chairs have not drafted an MOU to present to Ed on the role of the CPOA regarding the CPCs as of yet.
2. Director Harness continues to look at the training requirements and onboarding materials to determine how we might be able to break up presentation of the materials into smaller bites so that it is not quite so overwhelming. There is a process he has encountered through the City that he thinks will be workable for our needs.
3. Member Nixon provided a draft media policy that will be up for discussion in February.
4. The subcommittee spent a good deal of time discussing case review and the degree to which it may be factor in Board member turnover. The committee will be recommending an authorization of the use of Attorney Gooch’s time to work with Director Harness to determine whether or not the CASA or Ordinance provide an opportunity for the Board to no longer review civilian complaints other than on appeal or as an audit function of CRC.
The next meeting of the Outreach Subcommittee will be held via Zoom on March 23rd, 2021 at 3:00 PM.
March 2021 Policy and Procedure Review Subcommittee Report
Policies presented at OPA:
February 10, 2021
SOP 1-36 Officer K-Wellness Program, addresses officer mental health.
SOP 1-50 Gun Violence Reduction Unit - centralizing investigations, improved clearance rates.
SOP 2-7 Damage to Civilian Property – describes process for officers filing damage reports
SOP 2-36 Police Press Relations and Release of Police ID Photos
February 24, 2021
SOP 1-22 (Currently 2-89) Automated License Plate Reader Program
SOP 1-80 Prisoner Transport Unit
SOP 2-10 Use of Emergency Communications
SOP 3-50 Forms Control
SOP 2-69 Informants
Policies reviewed at PPRB:
February 17, 2021
Problem Oriented Policing Project Form (New) - advanced
SOP 1-15 Air Support Unit - to 30-day recommendation - Member Olivas has made several suggestions to OPA which were incorporated into the policy - advanced
SOP 1-56 Horse Mounted Unit - to 30-day recommendation – advanced
SOP 2-1 Uniforms - Tabled – for future discussion regarding use of hard-knuckled gloves
Selected SOPs
SOP 3-52 Policy Development Process. APD Deputy Commander Sean Waite reported that OPA has received some answers from city legal but are still awaiting further comments.
SOP 1-64 K-9 Unit/SOP 2-23 Use of K9 Unit. Lt. Ray Del Greco and Sgt. Michael Hernandez presented an invited discussion of canine deployment at APD. There are approximately one thousand deployments per year with a total of 150 apprehensions of which 26 had some bite injury.
NACOLE Presentation on Surveillance Technologies
Dave Maass from the Electronic Frontiers Foundation presented a NACOLE sponsored Webinar on February 23 that reviewed surveillance technologies in use by police departments across the US.
The website link https://atlasofsurveillance.org/ allows the user to input a police department name in the US and receive a list of technologies used by that department.
For APD these technologies have been identified:
- Real Time Crime Center SOP 5-9
- Cell Site Simulator Technology SOP 2-14 (to be presented at OPA on March 10)
- Body Cameras SOP 2-8
- Gunshot detection SOP 2-98 Shotspotter
- Small Unmanned Aircraft Systems (Drones) SOP 2-15 (To be presented at OPA on March 10)
- Face Recognition Technology
- Home surveillance Technology – Amazon Ring
The following is a list of suggested questions be asked about each of these technologies.
1. What data is being collected? Video? Audio? License plate? Biometrics? Etc.
2. How and where is the data being collected? Where will the cameras be placed and why were those places chosen?
3. How long is data stored and when is it deleted, and what is the justification for this retention period?
4. What are the impacts on vulnerable communities (e.g. Black, LGBTQ, Muslim, and immigrant populations) and how will those potential harms be mitigated?
5. What are the defined purposes for which the system may be accessed or searched?
6. How do you measure the technology's effectiveness?
7. Who can access the system and data? What kind of training do they receive and from whom?
8. How is the system audited for misuse? Are the results public?
9. Has the technology or company providing the tech ever experienced data breaches or unauthorized access?
10. How much does the system cost and how will it be funded?
Next Meeting of the PnP: April 1, 2021
Personnel Committee Report
February Meeting Date: 2/8/21 and 2/22/21
The committee met twice in the month of February. The committee received a report from Director Harness on staffing and other requests made of the Director by the board at the regular meeting on 2/22/21. The committee held a special meeting to discuss the preliminary results of the Executive Director’s evaluation, and requested additional information from the Director to complete its process. At the regular meeting the evaluation was discussed with the Director. It was agreed that the parties would work together in the coming months to try and make minor changes to the 2021 evaluation for the purpose of making some questions more clear, removing duplicative questions, and addressing some minor errors. After discussing the matrix and comments in the matrix with the Director, the committee finalized its draft letter to accompany the evaluation to be presented at the March board meeting.
Next Meeting: March 22nd @4PM
Advancing Constitutional Policing & Accountability for APD and the Albuquerque Community
4th Quarter 2020 Case Review Audit
Board for the Civilian Police Oversight Agency, Albuquerque, NM
# Table of Contents
1. Introduction 2
- Overview 2
- Objectives 3
- Scope 4
- Methodology 5
2. Literature Review 6
- Previous Research 6
- Theoretical Framework 7
- Methodological Approaches 8
3. Research Design 9
- Study Population 9
- Sampling Techniques 10
- Data Collection Methods 11
- Data Analysis Plan 12
4. Results and Discussion 13
- Findings 13
- Interpretation 14
- Implications 15
5. Conclusion 16
- Summary 16
- Recommendations 17
6. References 18
Appendices 19
INTRODUCTION
Date Complaint Was Received: January 2020
Date Complaint Was Assigned to an Investigator: 3-24-20
Date of Draft Findings Letter: 9-30-2020
Date Approved by Board: 1-26-2021
Date of Final Findings Letter: 11-13-2020
Synopsis of Complaint: Our office received the complaint you filed on January 21, 2020, against an unidentified Albuquerque Police Department (APD) Officer for parking on the sidewalk of the Wal-Mart located at 4700 Cutler Avenue NE, which occurred on January 18, 2020. A Civilian Police Oversight Agency (CPOA) Investigator was assigned to investigate your complaint. The CPOA thoroughly and impartially investigated the complaint. Below is a summary of the complaint, and the CPOA’s investigation and findings.
Original Findings:
1. Administratively Closed
- No SOP’s or policy were violated
## Overview
**Date of Case Selection for Audit:** 11-12-2020
**Date Audit Was Completed:** 1-26-2021
| Components of Investigative File Reviewed | Y | N | Not Applicable |
|-------------------------------------------------------------------------------|---|---|----------------|
| Table of Contents | | X | |
| CPOA Director's Final Recommendation Form | | | X |
| APD Recommendation Form | | | X |
| Investigative Report | | | X |
| Conclusions and Recommended Investigator Findings w/SOP | | X | X |
| Original Citizen Complaint | X | | |
| Computer Aided Dispatch | | X | |
| Police Report(s) | | | X |
| Lapel Video(s) | | | X |
| Citizen(s) Interview Recording--Complainant(s) and Witness(es) | X | | |
| APD Employee(s) Interview Recording | | | X |
| Finding Letter | X | | |
| Communication to Citizen(s) and APD Employee(s) (Aside from Findings Letter) | X | | |
| Other Materials-Not Typical (Photos, Medical Reports, OMI Property Sheets, etc.) | X | | |
| Other Materials – Inter/Intra Department Communication | | | X |
| 911/Non-Emergency/Dispatch Recordings | | | X |
| Recordings and Materials from Other Sources-Not Typical (Citizen Provided Materials, Surveillance Videos, Social Media Posts, etc.) | | X | |
Other Materials Reviewed Not Included in the Agency File
1. None
Members Participating in Audit
1. Tara Armijo-Prewitt
2. Chantal M. Galloway
3. Eric Nixon
4. Ed Harness
5. Diane McDermott
Attachments
- CPC 097-20 Citizen Complaint.pdf
- CPC 097-20 Smith, Steve - Draft letter.doc
- CPC 097-20 Smith, Steve - Final letter.doc
- CPC 097-20 Smith, Steve - Signed letter.pdf
- CPC097-20 Smith, S_invalid number msg_200930_0019.MP3
- IMG_1801.MOV
- IMG_1885.jpg
- IMG_1886.jpg
Discussion
Concerns Raised with Findings
- None
Concerns Raised with Policy
- None
Concerns Raised with Administrative Process or Product
- A long delay in addressing the complaint on behalf of the CPOA.
- There was an 8 month delay in getting a final findings letter for this complaint.
Conclusion
Findings of the Audit Committee
None
Recommendations
In addressing these issues, while all complaints may be weighted for urgency, complaints like this one should be dealt with quickly to get them out of the way. Low hanging fruit.
The Audit Committee unanimously agreed on the above findings and recommendations at the 1-26, 2020 Case Review Subcommittee meeting.
Eric Nixon
Acting Chair, Case Review Subcommittee
Date 2-8-2021
INTRODUCTION
Synopsis of Complaint: B E I submitted a written complaint from the Guadalupe County Correctional Facility. Mr. B wrote he filed a complaint with the 9th Judicial District DA against Officer H in 2016. Mr. E alleged Officer H kept suspects’ money and much more. He also wrote the officer was compromising women. Mr. B provided no specifics, but said he wanted to talk to someone about his situation.
Date Complaint Was Received: 8-13-2020
Date Complaint Was Assigned to an Investigator: unknown
Date of Draft Findings Letter: 9-23-2020
Date Approved by Board: 1-26-2021
Date of Final Findings Letter: 10-7-2020
Original Findings:
1. Administratively Closed
2. The CPOA has made the decision to ADMINISTRATIVELY CLOSE the complaint, as there was not enough information to investigate the complaint and it initially appears the complaint has been filed out of jurisdiction.
## Overview
**Date of Case Selection for Audit:** 11-12-2020
**Date Audit Was Completed:** 1-26-2021
| Components of Investigative File Reviewed | Y | N | Not Applicable |
|------------------------------------------|---|---|----------------|
| Table of Contents | | | X |
| CPOA Director’s Final Recommendation Form| | | X |
| APD Recommendation Form | | | X |
| Investigative Report | | X | |
| Conclusions and Recommended Investigator Findings w/SOP | | | X |
| Original Citizen Complaint | | X | |
| Computer Aided Dispatch | | | X |
| Police Report(s) | | | X |
| Lapel Video(s) | | X | |
| Citizen(s) Interview Recording--Complainant(s) and Witness(es) | | | X |
| APD Employee(s) Interview Recording | | | X |
| Finding Letter | | X | |
| Communication to Citizen(s) and APD Employee(s) (Aside from Findings Letter) | | X | X |
| Other Materials-Not Typical (Photos, Medical Reports, OMI Property Sheets, etc.) | | X | X |
| Other Materials – Inter/Intra Department Communication | | | X |
| 911/Non-Emergency/Dispatch Recordings | | | X |
| Recordings and Materials from Other Sources-Not Typical (Citizen Provided Materials, Surveillance Videos, Social Media Posts, etc.) | | | X |
Members Participating in Audit
1. Tara Armijo-Prewitt
2. Chantal M. Galloway
3. Eric Nixon
4. Ed Harness
5. Diane McDermott
Attachments
- CPC 160-20 admin close memo.doc
- CPC 160-20 citizen complaint blue team entry.pdf
- CPC 160-20 draft letter of admin close.doc
- CPC 160-20 final letter of admin close.doc
- CPC 160-20 Letter asking citizen for more info.doc
- CPC 160-20 Signed Certified Mail Card 8-24-20.pdf
- CPC 160-20 Signed Certified Mail Card 10-13-20.pdf
- CPC 160-20 signed letter of admin close.pdf
Discussion
Concerns Raised with Findings
○ None
Concerns Raised with Policy
○ None
Concerns Raised with Administrative Process or Product
○ None
Conclusion
Findings of the Audit Committee
None
Recommendations
None
The Audit Committee unanimously agreed on the above findings and recommendations at the 1-26-2021 Case Review Subcommittee meeting.
2-8-2021
Eric Nixon
Acting Chair, Case Review Subcommittee
Date 2-8-2021
Date Complaint Was Filed: 11-19-2020
Date Complaint Was Received: 10-24-2020
Date Complaint Was Assigned to an Investigator: 10-26-2020
Date of Draft Findings Letter: 11-19-2020
Date Approved by Board: 1-26-21
Date of Final Findings Letter: 12-11-2020
Synopsis of Complaint: CPOA received a complaint from an anonymous reporter. The report stated that on 10/15/2020, they witnessed Officer F and Sergeant S detain a citizen who was under a bridge and place him in handcuffs. The reporter stated Officer F clearly violated the alleged suspect’s right to unreasonable search and seizure. The reporter stated the officers then transported the detained suspect who was not formally arrested in attempt to evade and not be recorded by the concerned citizens.
Original Findings:
3. Administratively Closed
4. The CPOA finds all of the APD Officers (Sergeants) involved conduct to be UNFOUNDED where the investigation determined that the alleged misconduct did not occur.
## Overview
**Date of Case Selection for Audit:** 11-12-2020
**Date Audit Was Completed:** 1-26-2021
| Components of Investigative File Reviewed | Y | N | Not Applicable |
|-------------------------------------------------------------------------------|---|---|----------------|
| Table of Contents YES | | | YES |
| CPOA Director’s Final Recommendation Form | X | | |
| APD Recommendation Form | | | X |
| Investigative Report | X | | |
| Conclusions and Recommended Investigator Findings w/SOP | X | | |
| Original Citizen Complaint | X | | |
| Computer Aided Dispatch | X | | |
| Police Report(s) | X | | |
| Lapel Video(s) | X | | |
| Citizen(s) Interview Recording—Complainant(s) and Witness(es) | X | X | |
| APD Employee(s) Interview Recording | | | X |
| Finding Letter | X | | |
| Communication to Citizen(s) and APD Employee(s) (Aside from Findings Letter) | | X | |
| Other Materials-Not Typical (Photos, Medical Reports, OMI Property Sheets, etc.) | | X | |
| Other Materials – Inter/Intra Department Communication | | | NO |
| 911/Non-Emergency/Dispatch Recordings | | | NO |
| Recordings and Materials from Other Sources-Not Typical (Citizen Provided Materials, Surveillance Videos, Social Media Posts, etc.) | | | NO |
Members Participating in Audit
6. Tara Armijo-Prewitt
7. Chantal M. Galloway
8. Eric Nixon
9. Ed Harness
10. Diane McDermott
Attachments
- 225-20 APD Recommendation Form(Frasier).pdf
- 225-20 APD Recommendation Form(Symes).pdf
- 225-20 citizen complaint.pdf
- 225-20 Conclusions and Recommended Investigator Findings(Frasier) 2.doc
- 225-20 Conclusions and Recommended Investigator Findings(Frasier).doc
- 225-20 Conclusions and Recommended Investigator Findings(Symes).doc
- 25-20 Director's Final Recommendation Form.doc(Frasier).docx
- 225-20 Director's Final Recommendation Form.doc(Symes).docx
- 225-20 draft letter to citizen.doc
- 225-20 final letter to citizen.doc
- 225-20 Investigative Report.doc
- 25-20 Table of Contents.doc
- nnonymous complaint pg 2.jpg
- Annonymous complaint.jpg
- CADS.pdf
- Fraser Axon_Body_3_Video_2020-10-15_1322.mp4
- Fraser Incident Report.pdf
- Records request on CPOA letterhead template for antonio 2.doc
- SGT Symes Axon_Body_3_Video_2020-10-15_1322.mp4
Discussion
Concerns Raised with Findings
None
Concerns Raised with Policy
None
Concerns Raised with Administrative Process or Product
None
Conclusion
Findings of the Audit Committee
None
Recommendations
None
The Audit Committee unanimously agreed on the above findings and recommendations at the 1-26-2021 Case Review Subcommittee meeting.
2-8-2021
Eric Nixon
Acting Chair, Case Review Subcommittee
The Board hereby APPROVES/REJECTS the findings of the Audit Committee regarding CPC 147-20.
Vote For:
Vote Against:
The Board hereby APPROVES/REJECTS the findings of the Audit Committee regarding CPC 155-20.
Vote For:
Vote Against:
The Board hereby APPROVES/REJECTS the findings of the Audit Committee regarding CPC 169-20.
Vote For:
Vote Against:
Dr. William Kass
Chair, Civilian Police Oversight Agency Board
Date: 15 March 2021
ATTACHMENTS
From: email@example.com on behalf of ISD WebMaster
Sent: Tuesday, January 21, 2020 6:33 AM
To:
Cc:
Subject: ABQ Police Complaint or Commendation Form Submission
I Want to File A:
- Complaint
Interested In Mediation?
- No
First Name
- S
Last Name
- S
Middle Name
- N/A
Home Telephone
- S
Cell or Work Telephone
Best Time to Call
- Tuesday at noon
Your E-Mail Address
Preferred Language
- Really
Date of Birth
Street Address
City
State
ZIP Code
Gender
- Male
Race
- White
Ethnicity
- Non-Hispanic
Sexual Orientation
- Heterosexual
Do You Have a Mental Illness?
- No
Do You Struggle with Homelessness?
- No
Were you homeless at the time of this incident?
- No
Date & Time of the Incident
- Jan 18, 2020 01:45 PM
Address or Location of the Incident
Attachments
CPC 097-20
November 13, 2020
To file
S S
Re: CPC #097-20
Dear Mr. S
Our office received the complaint you filed on January 21, 2020, against an unidentified Albuquerque Police Department (APD) Officer for parking on the sidewalk of the Wal-Mart located at 4700 Cutler Avenue NE, which occurred on January 18, 2020. A Civilian Police Oversight Agency (CPOA) Investigator was assigned to investigate your complaint. The CPOA thoroughly and impartially investigated the complaint. Below is a summary of the complaint, and the CPOA’s investigation and findings.
I. THE COMPLAINT
Mr. S said he was at the Wal-Mart located at 4700 Cutler Avenue NE on January 18, 2020 at 1345 hours when he noticed an APD Officer in Unit , license plate who was not on a call for service but working Chief’s overtime at Wal-Mart, park his vehicle on the sidewalk and blocking the handicap ramp. Mr. S requested we contact APD Command Staff, OPS Review and let them know this practice is unacceptable, unsafe and a terrible image for APD. He complained there is no reason for officers to park on the sidewalk and block the handicap ramp.
II. THE INVESTIGATION
The CPOA Investigator reviewed your complaint and attempted to contact you for more information; however, you did not provide an email address or a mailing address, and the telephone number you provided is not a valid phone number. As a result, the Investigator forwarded the complaint on to APD to address with the information provided, as our office doesn’t typically handle parking complaints. In response, the Investigator received information regarding Chief’s overtime and APD officers parking their vehicles in front of the businesses where they are working. APD essentially stated that it is common practice for officers to park their marked police
Dear Sirs,
I am writing you from Juárez County Correction Facility in regards to Francis Hernández. I am currently incarcerated in a New Mexico Prison and am in dire need of your assistance.
In 2016, I filed a complaint against Officer Hernández with the District Attorney's Office. Andrea Rees did not want to hear anything I had to say. Officer Hernández was doing a lot more than just keeping suspects' money. All the things she did to me and several other people something needs to be done. District Attorney Rees charged him with misconduct so he would be able to apply for a job elsewhere. He swore an oath "To protect and to serve," but he was using his authority to not only rip suspects off but was compromising several women as well. In my attempt to keep this letter brief and concise, I will not go into great detail about everything, but I do want to set up an appointment to speak with someone. Please, Officer Hernández is a bad apple and needs to be held accountable for his actions!
October 7, 2020
Via Certified Mail
7018 1130 0002 3429 1309
B. B III
Re: CPC #160-20
Dear Mr. B
A Civilian Police Oversight Agency (CPOA) Investigator was assigned to investigate your complaint against Officers of the Albuquerque Police Department (APD) on August 13, 2020, regarding incidents in unknown dates in 2016.
I. THE COMPLAINT
E B III submitted a written complaint from the Guadalupe County Correctional Facility. Mr. E wrote he filed a complaint with the 9th Judicial District DA against Officer H in 2016. Mr. E alleged Officer H kept suspects’ money and much more. He also wrote the officer was compromising women. Mr. E provided no specifics, but said he wanted to talk to someone about his situation.
II. INVESTIGATION
The CPOA Investigator researched NM Courts which showed any cases against a B 3 in 2016 were in the Clovis District. This would be consistent with Mr. T mentioning the 9th Judicial District DA covering that same area. The CPOA Investigator researched and found news stories related to an officer with the same name Mr. B listed who was a Clovis police officer. Those stories were from the beginning of 2020 and talked about the Clovis officer being investigated for theft and embezzlement.
The website for the Guadalupe Correction Facility stated inmates may not receive calls or emails and only written communication was allowed. A certified letter was sent to the facility and signed for on August 24, 2020. The CPOA received no attempts of contact from Mr. I either by mail or phone. Mr. B did not provide any information in order to conduct an investigation. There is strong evidence to
**SENDING COMPARATIVE INSTRUCTION:**
- Complete items 1, 2, and 3.
- Print your name and address on the reverse so that we can return the card to you.
- Attach the card to the back of the envelope, or on the third signature panel.
1. **Article Addressed**
- [Signature]
- [Date]
2. **Article Number (Number from service label)**
- 70127 2L-AD 01010 59158 6739
3. **Service Type**
- [Signature]
- [Date]
4. **Delivery Instructions**
- [Signature]
- [Date]
5. **Signature**
- [Signature]
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- [Date]
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11. **Signature**
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12. **Signature**
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24. **Signature**
- [Signature]
- [Date]
25. **Signature**
- [Signature]
- [Date]
August 17, 2020
Re: CPC #160-20
Dear Mr. Baca:
On August 13, 2020 the Civilian Police Oversight Agency received your Citizen Police Complaint (CPC) concerning the Albuquerque Police Department (APD).
The Executive Director assigned an investigator to investigate your complaint. In reviewing the complaint, you do not provide any specific dates or information about your complaint against Officer F________H________ other than he has kept suspects’ money and has been “compromising” women. Your letter states that he has done things to you and to others, without providing any information. It is unclear, but it seems that you are saying in your letter District Attorney, A________R________ has charged Officer H________ with misdemeanor crimes. Please clarify this. I do see DA R________is out of the 9th Judicial District, so I want to clarify that you in fact are talking about an Albuquerque Police Department officer and not an officer in another agency with the same name. Albuquerque is in the 2nd Judicial District.
According to the Guadalupe County Correctional Facility inmates are not allowed to receive telephone calls or email so I will not be able to call you telephonically as you requested. Please provide information on how to do this if someone is able to call you. If you are alleging criminal activity that would be investigated by Internal Affairs, but before the complaint would be forwarded to Internal Affairs we would need details about your allegations.
Complaints investigated by the CPOA involving APD personnel are administrative investigations to determine whether any Standard Operating Procedures have been violated. If there is a finding of a SOP violation, the officer(s) may receive discipline. If you desire other relief, please seek additional information on how to proceed.
Please respond by August 31, 2020 with more information regarding your complaint. If we do not receive information clarifying some aspects of your complaint it will be closed due to not enough information to proceed with the investigation. If you have questions, please contact our office.
Thank you for your cooperation in the civilian oversight of the Albuquerque Police Department.
Diane McDermott
Lead Investigator
firstname.lastname@example.org
505-924-3727
Re: CPC #160-20
Dear Mr. B,
A Civilian Police Oversight Agency (CPOA) Investigator was assigned to investigate your complaint against Officers of the Albuquerque Police Department (APD) on August 13, 2020, regarding incidents in unknown dates in 2016.
I. THE COMPLAINT
B. In his III submission, a written complaint from the Guadalupe County Correctional Facility, Mr. B wrote he filed a complaint with the 9th Judicial District DA against Officer H in 2016. He also signed Officer H’s step brother’s name and said that the officer was investigated but nothing happened to him. Mr. B revealed no specifics, but said he wanted to talk to someone about his situation.
II. INVESTIGATION
The CPOA Investigator researched NM Courts which showed any cases against a B. in 2016 were in the Curvis District. This would be consistent with Mr. B. instituting the 9th Judicial District DA, covering that same area. The CPOA Investigator re-searched and found news stories related to an officer with the same name Mr. B listed who was a Curvis police officer. These stories were from the beginning of 2020 and talked about the Curvis officer being investigated for theft and embezzlement.
The website for the Guadalupe Correction Facility stated inmates may not receive calls or emails and only written communication was allowed. A certified letter was sent to the facility and signed for on August 24, 2020. The CPOA received no attempts of contact from Mr. B either by mail or phone. Mr. B did not provide any information in order to conduct an investigation. There is strong evidence to
From: email@example.com@mailgun.org <firstname.lastname@example.org@mailgun.org> On Behalf Of email@example.com
Sent: Saturday, October 24, 2020 10:16 AM
To: Civilian Police Oversight Agency <firstname.lastname@example.org>
Cc:
Subject: ABQ Police Complaint or Commendation Form Submission
I Want to File A:
- Complaint
Interested in Mediation?
- No
First Name
Last Name
Middle Name
Home Telephone
Cell or Work Telephone
Best Time to Call
Your E-Mail Address
Preferred Language
- English
Date of Birth
Street Address
City
State
ZIP Code
Gender
- Male
Race
Ethnicity
Sexual Orientation
- Heterosexual
Do You Have a Mental Illness?
- No
Do You Struggle with Homelessness?
- No
Were you homeless at the time of this incident?
- No
Date & Time of the Incident:
- Oct 15, 2020 02:35 PM
Address or Location of the Incident
Police Employee #1 - Name
- Officer F
Police Employee #1 - ID or Badge Number
- 5647
Police Employee #2 - Name
Police Employee #2 - ID or Badge Number
Are You Submitting this Form for Someone Else?
December 11, 2020
Anonymous
To File
Re: CPC #225-20
Dear Anonymous:
A Civilian Police Oversight Agency (CPOA) Investigator was assigned to investigate your Complaint against Officers of the Albuquerque Police Department (APD) on October 26, 2020, regarding an incident that occurred on October 15, 2020. The CPOA thoroughly and impartially investigated the complaint.
Upon completion of the investigation, the CPOA determined, based on a preponderance of the evidence, whether or not the APD Officer(s) involved violated Standard Operating Procedures (SOPs). A preponderance of the evidence means that one side has demonstrated a greater weight of evidence (more than 50%) that is more credible and convincing than the other side. If the credible evidence is 50-50, the proper finding is Not Sustained.
Please be aware, the contract between the Albuquerque Police Officers' Association (APOA) and the City of Albuquerque requires that officers cooperate in the investigation; therefore, the officer's statements may not be made public. Below is a summary of the complaint, the CPOA's investigation, and findings.
I. THE COMPLAINT AND INVESTIGATION
CPOA received a complaint from an anonymous reporter. The report stated that on 10/15/2020, they witnessed Officer F and Sergeant S detain a citizen who was under a bridge and place him in handcuffs. The reporter stated Officer F clearly violated the alleged suspect’s right to unreasonable search and seizure. The reporter stated the officers then transported the detained suspect who was not formally arrested in attempt to evade and not be recorded by the concerned citizens.
The Executive Director of the CPOA reviewed the investigation conducted by the CPOA Investigator, which included a review of the applicable SOPs, the complaint, the police report and Officer lapel videos. The complainant/detainee were not interviewed as there was no contact information provided. Neither officer was
Attachments
CPC 160-20, 225-20
ALBUQUERQUE CIVILIAN POLICE OVERSIGHT AGENCY BOARD RESOLUTION NO. __________
WHEREAS, the Albuquerque Civilian Police Oversight Agency Board met in regular session via video conference on March 11, 2021 at 5:00 p.m., as required by law; and
WHEREAS, Section 10-15-1(B) of the Open Meetings Act (NMSA 1978, Sections 10-15-1 to -4) states that, except as may be otherwise provided in the Constitution or the provisions of the Open Meetings Act, all meetings of a quorum of members of any board, council, commission, administrative adjudicatory body or other policymaking body of any state or local public agency held for the purpose of formulating public policy, discussing public business or for the purpose of taking any action within the authority of or the delegated authority of such body, are declared to be public meetings open to the public at all times; and
WHEREAS, any meetings subject to the Open Meetings Act at which the discussion or adoption of any proposed resolution, rule, regulation or formal action occurs shall be held only after reasonable notice to the public; and
WHEREAS, Section 10-15-1(D) of the Open Meetings Act requires the Civilian Police Oversight Agency Board to determine annually what constitutes reasonable notice of its public meetings;
NOW, THEREFORE, BE IT RESOLVED by the Civilian Police Oversight Agency Board that:
1. All regular meetings shall be held in the City Council Chambers for the City of Albuquerque on the second Thursday of every month at 5:00 p.m., or as indicated in the meeting notice.
2. The agenda for regular meetings will be posted at least seventy-two hours prior to the meeting at the offices of the Civilian Police Oversight Agency and on the Civilian Police Oversight Agency’s website at www.cabq.gov/cpoa.
3. Notice of regular meetings other than those described in Paragraph 2 will be given ten days in advance of the meeting date. The notice will include a copy of the agenda or information on how a copy of the agenda may be obtained. If not included in the notice, the agenda will be available at least seventy-two hours before the meeting and posted on the Civilian Police Oversight Agency’s website at www.cabq.gov/cpoa.
4. Special meetings may be called by the Chairman or a majority of the members upon three days notice. The notice for a special meeting shall include an agenda for the meeting or information on how a copy of the agenda may be obtained. The agenda will be available at least seventy-two hours before the meeting and posted on the Civilian Police Oversight Agency’s website at www.cabq.gov/cpoa.
5. Emergency meetings will be called only under unforeseen circumstances that demand immediate action to protect the health, safety and property of citizens or to protect the
public body from substantial financial loss. The Civilian Police Oversight Agency Board will avoid emergency meetings whenever possible. Emergency meetings may be called by the Chairman or a majority of the members with twenty-four hours prior notice, unless threat of personal injury or property damage requires less notice. The notice for all emergency meetings shall include an agenda for the meeting or information on how the public may obtain a copy of the agenda. Within ten days of taking action on an emergency matter, the Civilian Police Oversight Agency Board will notify the Attorney General’s Office.
6. For the purposes of regular meetings, notice requirements are met if notice of the date, time, place and agenda is posted at the offices of the Civilian Police Oversight Agency and on the Civilian Police Oversight Agency’s website at www.cabq.gov/cpoa.
7. Copies of the written notice shall also be mailed to those broadcast stations licensed by the Federal Communications Commission and newspapers of general circulation that have made a written request for notice of public meetings of the Civilian Police Oversight Agency Board.
8. For the purposes of special meetings and emergency meetings, notice requirements are met if notice of the date, time, place and agenda is posted at the offices of the Civilian Police Oversight Agency and on the Civilian Police Oversight Agency’s website at www.cabq.gov/cpoa. Telephone notice also shall be given to those broadcast stations licensed by the Federal Communications Commission and newspapers of general circulation that have made a written request for notice of public meetings of the Civilian Police Oversight Agency Board.
9. In addition to the information specified above, all notices shall include the following language:
If you are an individual with a disability who is in need of a reader, amplifier, qualified sign language interpreter, or any other form of auxiliary aid or service to attend or participate in the hearing or meeting, please contact
Katrina Sigala at 924-3770
at least one (1) week prior to the meeting or as soon as possible. Public documents, including the agenda and minutes, can be provided in various accessible formats. Please contact
Katrina Sigala at 924-3770
if a summary or other type of accessible format is needed.
10. The Civilian Police Oversight Agency Board may close a meeting to the public only if the subject matter of such discussion or action is excepted from the open meeting requirement under Section 10-15-1(H) of the Open Meetings Act.
(a) If any meeting is closed during an open meeting, such closure shall be approved by a majority vote of a quorum of the Civilian Police Oversight Agency Board taken during the open meeting. The authority for the closed meeting and the subjects to be discussed shall be stated with reasonable specificity in the motion to close and the vote of each individual member on the motion to close shall be recorded in the minutes. Only those subjects specified in the motion may be discussed in the closed meeting.
(b) If a closed meeting is conducted when the Civilian Police Oversight Agency Board is not in an open meeting, the closed meeting shall not be held until public notice, appropriate under the circumstances, stating the specific provision of law authorizing the closed meeting and the subjects to be discussed with reasonable specificity, is given to the members and to the general public.
(c) Following completion of any closed meeting, the minutes of the open meeting that was closed, or the minutes of the next open meeting if the closed meeting was separately scheduled, shall state whether the matters discussed in the closed meeting were limited only to those specified in the motion or notice for closure.
(d) Except as provided in Section 10-15-1(H) of the Open Meetings Act, any action taken as a result of discussions in a closed meeting shall be made by vote of the Civilian Police Oversight Agency Board in an open public meeting.
Passed by the Civilian Police Oversight Agency Board
this 11th day of March, 2021.
CPOA Public relations engagement protocol
Introduction
The purpose of this document is to propose a protocol that all CPOA board members can agree to follow when engaging the public in matters pertaining to the CPOA.
Background
The CPOA board members engage in many different circles of interest and initiative throughout the Albuquerque community. There are times when the individual members will be asked to comment about particular issues or interest regarding the CPOA. These inquiries may come in the form of speaking engagements, as guest panelist, or simple interviews and discussions.
Proposal
The following proposal is intended to open a dialogue for crafting a CPOA PR protocol. The details are as follows:
- The PR POC is a board member designated by the board to function as the POC for official communication to the public, including email communication sent to the email@example.com email account, regarding CPOA board business and information, whereas the “public” is considered any entity or individual who is not part of the CPOA. At any time, if approached for dialogue, any board member can refer the public to the PR POC.
- Individual board members should use their discretion in determining what scenarios warrant referring the public to the PR POC. Board members should feel free to speak to the public but should always express a disclaimer that identifies them as a citizen expressing their own individual opinion and that the opinion or commentary provided is not in representation of the board or board business.
- For both the PR POC and individual board members, the guidelines for information deemed confidential and not for public knowledge should be adhered to at all times while serving on the CPOA board.
Conclusion
This document should serve to initiate the dialogue in crafting the CPOA PR protocol. Ample discussion should be conducted in order to iron out further details as this document is considered at a high level.
Proposal
MARCH 2021
What: Customized Diversity Training for the CPOA Board
Who: Approximately 6-8 CPOA Board Members and staff
Where: Virtual Training
Proposed Timeline: Dates and times to be arranged based on CPOA Board members’ schedules. Proposed training includes three 2-hour trainings once per month.
Content: A three-part custom training series on Inclusion, Diversity, Equity, Accessibility (IDEA). Each session outlined below consists of 2-hours live virtual training.
Session 1
Develop a shared understanding of key terms including, unconscious bias, intersectionality, diversity, inclusion, privilege, power, microaggressions, and oppression. The trainer will facilitate dialogue among CPOA Board Members to co-create language and definitions that specifically apply to their work. The training will include activities and videos to support knowledge development and increase dialogue among Board Members. This training will provide a foundation to build on in the following training sessions in which board members have opportunities to practice skills and develop a tailor-made plan that supports a robust and effective police oversight system.
Session 2
One of the most critical roles of the CPOA Board is their decision-making that ultimately leads to a functioning police oversight system that promotes accountability of police officers and protects citizens' rights. This training will engage CPOA Board members to apply their knowledge, awareness, and skills. Activities in this training will focus on the application tools that directly use in their work and further understand how unconscious bias impacts their perceptions of complaints or commendations. This training supports Board members in applying the knowledge, awareness, and skills introduced in the first training. CPOA Board members will practice these skills to sustain relationships with colleagues and foster a collaborative environment to thoroughly engage in their responsibilities using a lens of inclusion, diversity, and equity.
Session 3
This training will provide the CPOA with current information on prioritizing data-driven processes that support inclusion, diversity, equity, and accessibility. The training will include strategies and skills for creating data systems to evaluate patterns. The board will then work together to create and implement processes to integrate diversity and inclusion in their work. These processes will inform future work on the board. The board will walk away with a tailor-made plan to improve systems, practices, and policies that contribute to inclusion, diversity, equity, and accessibility for the CPOA Board and their work ensuring accountability of police officers and protecting the rights of citizens in the City of Albuquerque.
Trainer will provide:
- Specialized custom content, instruction, coaching and facilitation for integrating diversity, equity, inclusion, and accessibility into the CPOA Board’s processes and procedures
- Digital copy of PowerPoint presentation
- Resources, handouts, and activities
- Virtual platform for online training
CPOA to provide:
- CPOA Board policies, procedures, and associated materials for integration into the training
- Printing, as desired by board members
Short Bio:
Arianna Trott has been a consultant and trainer since 2010. She obtained her Bachelor’s in Psychology from Lewis & Clark College in Portland, Oregon, and her Master’s degree in Clinical Mental Health Counseling from the University of New Mexico. She is currently a doctoral candidate in Counselor Education at the University of New Mexico in the Department of Education. Arianna’s career is focused on promoting social justice, equity, cultural humility, and interpersonal communication. Some highlights of her experience include internships as a trainer and mediator with the UNM Ombuds Services for Staff and UNM Ombuds for Faculty, providing education to UNM Faculty, and training UNM Staff on conversations about sexual assault. She is a trainer for UNM Anderson’s Career and Professional Development program, providing specialized training in diversity, equity, and inclusion. Arianna’s expertise includes community-based participatory research, trauma-informed care, and program evaluation in substance-abuse prevention, early childhood development, and education.
Program Fee: $2500 for full program + tax
Billing options: in-full – or – per session |
Surface-patterning generated half-skyrmion lattices in cholesteric blue phase thin films
Shun Wang\textsuperscript{a}, Miha Ravnik\textsuperscript{a,b} and Slobodan Žumer\textsuperscript{a,b}
\textsuperscript{a}Faculty of Mathematics and Physics, University of Ljubljana, Ljubljana, Slovenia; \textsuperscript{b}Condensed Matter Physics Department, Jožef Stefan Institute, Ljubljana, Slovenia
ARTICLE HISTORY
Compiled August 9, 2018
ABSTRACT
Liquid crystalline blue phase II sandwiched between a pair of confining surfaces with specifically designed patterns is studied using numerical simulation based on the Landau-de Gennes phenomenological approach. Affected by the surface patterns, quasi-two dimensional half-skyrmion lattices form. Specifically we observe the formation of square and triangular lattices of half-Skyrmions. These lattices of the swirling skyrmion textures are interspersed with singular -1/2 or -1 line defects which also constitute quasi-two dimensional regular lattices. Finally, this work is a contribution to designing and stabilising complex birefringent layer profiles of various symmetries.
KEYWORDS
blue phases; half-skyrmions; surface patterning; confinement
1. Introduction
Analogies between different physical systems have recently received increasing attention. Among them, analogies between cholesteric liquid crystals and chiral magnets are of particular interest[1–3]. Various topological defects of the same kind have been found both in the two seemingly quite distinct systems. Among the topological objects shared by liquid crystals and magnets, skyrmions are a swirling spin texture without singularities. Although first introduced in the context of nuclear physics[4], they have found use in condensed-matter systems such as chiral magnets[5], liquid crystals[6] and Bose-Einstein condensates[7,8]. In recent years, skyrmions in magnets have been the centre of attention, owing to their prospective applications in information technology such as data storage[5]. In a full-skyrmion, the unit vector order parameter $\mathbf{n}$ lies parallel to the rotational axis of symmetry at its centre, and rotates gradually to change its sign at its perimeter. If $\mathbf{n}$ only rotates by $\frac{\pi}{2}$ from the centre to the perimeter, it is called a half-skyrmion. Note that, in liquid crystals, the director field $\mathbf{n}$ is not vectorial, but line-like, with the equivalence between $\mathbf{n}$ and $-\mathbf{n}$. This feature enables some structures, which cannot be realised in other systems, to form in liquid crystals. One crucial advantage of liquid crystals over other condensed matter systems for studying topological defects is that they are more experimentally tractable, with
Correspondence author: Slobodan Žumer, Email: firstname.lastname@example.org
no need for extreme experimental conditions. A standard way of generating and stabilising defects in liquid crystals is using confinements. Cholesterics that are confined by homeotropic surface anchoring into layers with thickness smaller than a pitch have a characteristic feature, that is, the director field is homogeneous and unwound. In such frustrated states of cholesterics, individual torons\cite{9} and two dimensional lattices of torons\cite{10,11} can be optically generated. Bistable electric-field-induced torons were found in bubble domains\cite{12}. Depending on surface anchoring, confining cholesterics into spherical droplets leads to various fascinating structures\cite{13–16}. These studies stimulated interest for optical and photonic applications of confined cholesteric liquid crystals.
While the effects of confinements on nematic and cholesteric liquid crystals have been extensively studied, until recently much less has been known about the effects of confinements on liquid crystalline blue phases (BPs)\cite{17}. BPs occur in highly chiral nematics over a narrow temperature range as an intermediate between isotropic and cholesteric phases. There are three types of BPs referred to as BPI, BPII and BPIII, appearing in the sequence of increasing temperatures. Unlike BPIII, which does not show crystalline symmetries, BPI and BPII possess ideal three dimensional lattice symmetries in the molecular orientational order. The typical structure of bulk BPII is shown in figure 1(a-c). Figure 1(a) illustrates the building block of BPI – the double twist cylinder. Figure 1(b) shows the double twist director alignment in a cross section of the double twist cylinder. Figure 1(c) illustrates one typical BPII unit cell, in which line defects interdisperse the double twist cylinders. In the double twist cylinders, the director rotates by $\frac{\pi}{4}$ from the centre to the perimeter. Thus a double twist cylinder can be regarded as a $\frac{1}{4}$-skyrmion. The $\frac{\pi}{4}$-turn of the director in the double twist cylinder results from geometrical frustration – conflicts between the local free energy requirement and the three dimensional packing.
In recent years, stimulated by the discovery of wide temperature range BPs\cite{18,19}, behaviors of BPs under geometric confinements have attracted great interest, because of the richness of the confinement-induced structures\cite{6,20–23} and possible real-life applications led by those structures\cite{24–26}. The representative confining geometries are a thin cell composed of two parallel surfaces\cite{6,20–22} and a spherical surface\cite{23}. Instead of confining BPs into closed geometries, one can also disperse colloidal particles into BPs\cite{27–30}, which is an alternative way of generating novel BP structures. Between parallel surfaces with homeotropic anchoring, an array of double helix disclination lines and two parallel arrays of undulating disclination lines were predicted for BPI\cite{20,21}; whereas for planar anchoring, an array of isolated ring disclination lines was found\cite{22}. More interestingly, quasi-two-dimensional lattices consisting of half-skyrmions, were predicted numerically in such thin cells\cite{6,31} and corroborated by optical microscopy in thin films\cite{31}.
The above-mentioned work on confined BPs mostly used uniform confining surfaces. In Ref. [32], chemically nano-patterned confining surfaces were designed on substrates, which enabled the formation of stable BP monocrystalline domains over macroscopic (millimetre) length scales, and directed the orientations of the crystallographic lattice planes. On a patterned surface, interactions between the surface and the liquid crystal have different forms depending on the regions, thus forming a specific pattern. Aided by patterned confinings surfaces, the BPI-BPII transformation was found to be martensitic-like, taking place in a diffusionless manner\cite{33}. It is reasonable to expect that, specifically designed patterned confining surfaces can help discover and stabilise various complex BP structures that could be relevant to optical and photonic applications.
In this paper, we study thin BP layers confined by two parallel surfaces that are equally patterned, imposing distinct planar-homeotropic surface anchoring profiles. With numerical simulations, we demonstrate that, by means of a simple strategy of surface patterning, different quasi-two dimensional half-Skyrmion lattices can be created in thin films of BPII liquid crystals. Two types of surface patterns are considered, imposing effective square and triangular lattices of the Skyrmion arrangements. The lattices of singular topological defects that interpenetrate skyrmions are also shown, as affected by confinement and actual dimensions of surface pattern patches in comparison to the nematic correlation length. More generally, this work contributes to the approaches for designing and stabilising skyrmion-based structures, as material elements for possible use in photonics, storage or rheology applications.
2. Methods
2.1. Landau–de Gennes free energy minimisation
In our numerical modelling, we employ Landau-de Gennes phenomenological free energy minimisation approach where the bulk free energy density of the system is expanded in powers of the local tensor order parameter $Q_{ij}$, and its spatial derivatives $\partial_k Q_{ij}$. The bulk free energy density of cholesteric liquid crystalline materials is written as [34]
\begin{align}
f_b &= \frac{A_0(1 - \gamma/3)}{2} Q_{ij}^2 - \frac{A_0 \gamma}{3} Q_{ij} Q_{jk} Q_{ki} + \frac{A_0 \gamma}{4} (Q_{ij}^2)^2 \\
&+ \frac{L}{2} [(\epsilon_{ijk} \frac{\partial Q_{ij}}{\partial x_k} + 2q_0 Q_{ij})^2 + (\frac{\partial Q_{ij}}{\partial x_j})^2]
\end{align}
where $A_0$ is a material constant with the dimensions of the energy density; $\gamma$ is an effective dimensionless temperature that drives the mesophase transitions; splay, bend and twist deformations of the director field are assumed to be equally energetically costly, thus a single elastic constant $L$ is used; $q_0$ is the inverse cholesteric pitch, related to the cholesteric pitch length $p_0$ via $q_0 = \frac{2\pi}{p_0}$; $\epsilon_{ijk}$ is the rank-3 Levi-Civita tensor. Summation over repeated indices is implied. The first three terms describe the thermal free energy density, and the last two terms denote the elastic free energy density under single elastic constant approximation. Material constants of cholesteric liquid crystals are chosen as follows: $A_0 = 1.02 \times 10^9$ J/m$^3$ and $L = 2.5 \times 10^{-11}$ N are adopted from Ref. [35]; $\gamma = 3.0$; As done in Ref. [34], a dimensionless parameter $\kappa$ is introduced to characterize the chirality as $\kappa = \sqrt{\frac{108q_0^2 L}{A_0}}$, and its value is taken to be 1.0. With these chosen material parameters, stable bulk BPII can be obtained.
In the presence of surface interactions, the bulk free energy is complemented by the surface free energy. In this work, we use homeotropic and planar uniform surface anchoring with selected easy directions and strengths in different regions of the surface pattern. In the evaluation of the surface free energy, we adopt the commonly used Rapini-Papoular-like surface free energy density formulation
\begin{equation}
f_s = \frac{1}{2} W (Q_{ij} - Q_{ij}^0)^2,
\end{equation}
where $W$ denotes the strength of the surface anchoring. We take $W = 10^{-2}$ J/m$^2$ ($W = 10^{-7}$ J/m$^2$) in regions where strong (weak) anchoring is imposed. $Q_{ij}^0$ is the surface-preferred uniaxial tensor order parameter and is taken as $Q_{ij}^0 = \frac{1}{2}S_{eq}(3n_i n_j - \delta_{ij})$ where $S_{eq}$ is the nematic order parameter in equilibrium and $n_i$ is the position-dependent surface-preferred director.
To obtain the skyrmion structures, we minimize the free energy functional $F(Q_{ij}) = \int dV f_0 + \int dS f_s$ numerically employing the finite difference relaxation method which performs on a cuboid mesh. The finite difference relaxation method is an iterative method, during its process, the tensor order parameter $Q_{ij}$, as well as the morphology of the liquid crystal system determined by $Q_{ij}$ evolve from the initial configurations towards equilibrium. In our calculations, we first obtain the bulk BPII lattice structure numerically; then the bulk BPII structure is appropriately reshaped and used as the initial configuration in studying the surface patterning effects.
### 2.2. Bulk blue phase structure simulation
Depending on the initial condition, the structure relaxes to the local or global free energy minimum, corresponding to the metastable or stable structure. To obtain bulk blue phase lattice structures, analytic expressions of $Q_{ij}$ derived in the high chirality limit ($q_0 \to \infty$)\[17\] are chosen as the initial configuration. For BPII, they are
$$
\begin{align*}
Q_{xx} &\propto \cos(2\pi z/a) - \cos(2\pi y/a), \\
Q_{xy} &\propto \sin(2\pi z/a),
\end{align*}
$$
with $a$ the size of one cubic unit cell. Other components of $Q_{ij}$ are obtained via simple cyclic permutations. During the relaxation procedure, general profiles defined by the analytic expressions are preserved, and equilibrium structures (i.e., bulk BP structures) emerge\[34\]. Considering the periodicities of the bulk BPII lattice, we can limit the calculation to one unit cell, and adopt periodic boundary conditions at the unit cell surfaces. Since the unit cell constant $a$ is unknown a priori, a series of calculations using continuously varying $a$ are performed, and the solution with the lowest free energy density (i.e., the total free energy of the unit cell of some size, divided by the unit cell volume) is picked out as the equilibrium one. For material parameters described in section 2.1, the bulk BPII lattice constant in equilibrium is $a = 360$ nm.
### 2.3. Designing the surface patterns and the initial configurations
The goal of this work is to generate square and triangular half-skyrmion lattices in cholesteric liquid crystals, which exhibit BPII structures in the bulk, by means of surface patterning. In a half-skyrmion with the $\frac{\pi}{2}$-turn director profile, bend deformation contributes substantially to the elastic free energy in the outer part of the structure. As a result, the free energy density of half-skyrmions is expected to be higher than that of the bulk BPII, in which double twist cylinders have a $\frac{\pi}{4}$-turn director profile. The role of surface patterns is to induce specific inner tension, thereby stabilising the skyrmion structures with higher free energy density.
Hereafter, all length quantities are dimensionless, rescaled by bulk BPII lattice constant $a$. We assume that the upper and lower surfaces (separated by a distance $d$) confining the chiral nematic layer are equally patterned. We use four different surface patterns called Pattern S1, Pattern S2, Pattern H1 and Pattern H2, the unit
cells of which are illustrated in figure 2(a-d). Pattern S1 and S2 possess the square symmetry (with the lattice constant $b$) and are used for generating square skyrmion lattices, whereas Pattern H1 and H2 possess the hexagonal symmetry (with the lattice constants $b$ and $\sqrt{3}b$) and are designed for generating triangular skyrmion lattices. Pattern S1 and H1 are both composed of narrow strips (shown in red) with the width $t$, and circular spots (shown in light blue) with the diameter $t$. Pattern S2 (Pattern H2) is obtained by removing the narrow strips in Pattern S1 (Pattern H1). The circular spots are arranged in a square lattice in figure 2(a-b) and a triangular lattice in figure 2(c-d). The narrow strips lie along the perpendicular bisectors of the edges of the squares (figure 2(a)) or triangles (figure 2(c)). In the narrow strips, surface-preferred director orientations are chosen uniformly planar as denoted with the black double-headed arrows, and strong surface anchoring is used; in the circular spots, strong homeotropic surface anchoring is imposed; whereas in regions outside the strips and spots, weak homeotropic anchoring is imposed.
In the simulation, the initial configurations are designed to have the same symmetries as the patterns. For Pattern S1 and S2, the original bulk BPII is uniformly compressed or dilated in $x$ and $y$ directions to fit the patterns. The green netted circular and rectangular regions in figure 2(a-b) represent regions where the patterned surfaces intersect the double twist cylinders. The green netted circles are concentric to the light blue circles. For Pattern H1 and H2, the original bulk BPII is first distorted to have the hexagonal symmetry – it is compressed by a factor of $\sqrt{3}/2$ along $y$ direction and sheared by $\pi/6$ along $x$ direction, such that double twist cylinders lying along $z$ axis are arranged in an effective triangular lattice; then this distorted bulk BPII is uniformly compressed or dilated in $x$ and $y$ directions to fit the patterns. After the distortion, the cross sections of double twist cylinders lying along $z$ axis become elliptical (see the green netted ellipses in figure 2(c-d)). To fit the distance $d$, the original or distorted bulk BPII is also compressed or dilated along $z$ axis. In the four lateral surfaces of the simulation box, periodic boundary conditions are adopted. During the numerical relaxation process, line defects are expected to form. The gray rings in figure 2 denote locations around which the expected line defects intersect the confining surfaces. We do calculations with different $d$ and $b$ to study their influences on the confined BP structures and find the optimal packing of skyrmions.
3. Results
3.1. Pattern S1
The structure of director field and disclinations obtained using Pattern S1 with $d = 0.3$, $b = 1.2$, $t = b/36$ are shown in figure 3(a). Disclinations are drawn (in yellow) as isosurfaces of the scalar order parameter with $S = 0.2$. Director is shown (in green) in the midplane of the simulation box. $2 \times 2$ unit cells are shown. At the regions where four planar strips (rectangles in red) in Pattern S1 meet, there is a pair of -1/2 disclinations separated by a short distance (approximately 1/4 of the unit cell edge length) along the $y$ direction. This pair of disclinations approximately lie in the $xz$ plane, and the angles they make with the $z$ axis are the opposite of each other. The isosurfaces of $S = 0.3$ are shown in red. The pair of separated isosurfaces of $S = 0.2$ merge into one single isosurface with larger $S$, implying the possibility of realising -1 disclinations. Between the pair of disclinations, the director field is nematic-like. From the director field, typical half-skyrmion features can be clearly seen. The centre of each
half-skyrmion coincides with the centre of one homeotropic spot (light blue circle) in Pattern S1 in the $xy$ coordinates. In the centre of each half-skyrmion, the director points along the $z$ direction. It rotates by $\pi/2$ form the centre of the half-skyrmion to the perimeter. These half-skyrmions constitute a square lattice.
In order to investigate the effects of the thickness of the planar strips and the homeotropic spots on the confined BP structure, we do calculations with $t = b/12$ keeping $d$ and $b$ unchanged. The obtained structure is shown in figure 3(b) where disclinations are drawn (in yellow) as isosurfaces of the scalar order parameter with $S = 0.12$. **The free energy density becomes about 11% higher because of the stronger confinement.** In this case, half-skyrmions still form a square lattice. However, due to larger $t$, each pair of -1/2 disclinations shown in 3(a) merge into one single -1 disclination which is perpendicular to the patterned surfaces. Each half-skyrmion is an ideal square. The -1 disclinations lie exactly at the vertices of the squares, coinciding with locations where four planar strips meet in Pattern S1. Therefore, disclinations also constitute a square lattice, being the dual lattice of the half-skyrmion lattice. Influenced by the patterned surface anchoring, the isosurfaces of $S = 0.12$ are thinner near the patterned surfaces and thicker away from the patterned surfaces, deviating a lot from cylindrical. A four-fold symmetry can be seen, owing to the four-fold symmetry imposed by the planar strips.
Figure 4(a) shows the results obtained using Pattern S1 for $d = 0.5$, $b = 1.2$, $t = b/36$. Pairs of disclinations are also observed. However, each pair of disclinations is separated along $x$ direction, by a relatively larger distance (**about 1/3 of the unit cell edge length**). The skyrmion lattice is still square, and effectively, perimeter of each half-skyrmion form a rectangle.
Figure 4(b) shows the half-skyrmion lattice obtained using Pattern S1 for $d = 1.0$, $b = 1.2$, $t = b/36$. Disclinations become very curvy. Each pair of disclinations are separated along the diagonal direction of the midplane of the simulation box. The director field is locally uniform not only between each pair of disclinations but between any two -1/-2 disclinations.
When $d$ is increased up to 1.3, the typical skyrmion profile is not observed anymore, and a different structure emerges, as shown in figure 4(c). Apart from disclinations that connect the two confining surfaces, we observe spiral-like disclinations that nearly lie in the midplane of the simulation box along the $y$ direction.
The free energy density (i.e., the total free energy divided by the volume of the simulation box) as a function of $d$ and $b$ in the case of Pattern S1 with $t = b/36$ is shown in figure 5. When the cell is very thin ($d \leq 0.5$), the free energy density first drops with the increase of $b$. After achieving the minimum, the free energy density starts to increase with the increase of $b$. **For $b$ ranging from 0.8 to 2**, half-skyrmion lattices can always be obtained. For thicker cell ($d \geq 0.7$), the free energy density also first drops with the increase of $b$. However, after achieving a local minimum, the curve becomes non-monotonic, owing to the structural transitions (**denoted with dotted lines**) with the increase of $b$. Therefore, for thicker cell, regular lattices composed of half-skyrmions and disclinations cannot form with large $b$. The structure shown in figure 4(c) is such an example.
### 3.2. Pattern S2
Using Pattern S2 with $d = 0.3$, $b = 1.2$, $t = b/36$, a more complicated half-skyrmion lattice can be obtained, as shown in figure 3(c). $2 \times 2$ unit cells are shown. The centres
of the half-skyrmions still form a square lattice. Along the diagonal direction of the squares, pairs of -1/2 disclinations are separated by a distance slightly larger than 1/4 of the diagonal length of the square. These disclinations are perpendicular to the confining surfaces, and form a distorted honeycomb lattice. The free energy density of this structure is lower than that of the structure shown in figure 3(a), implying that this structure is more stable.
In figure 6(a), we shown the half-skyrmion lattice obtained using Pattern S2 with $d = 1.0$, $b = 1.2$, $t = b/36$. The profile is close to that obtained using Pattern S1 with the same parameters (i.e., the profile shown in figure 4(b)), but the defect lines are less curvy. The free energy density of this structure is lower than that of the structure shown in figure 4(b).
Increasing $d$ up to 1.3, the obtained structure (shown in figure 6(b)) is quite similar to that obtained using Pattern S1 with the same parameters (i.e., the structure shown in figure 4(c)). Not only disclinations connecting the confining surfaces but also spiral-like disclinations that nearly lie along the $y$ direction in the midplane of the simulation box are obtained. This means that, for thicker cell, planar strips in Pattern S1 do not have any significant role.
### 3.3. Pattern H1
Figure 7 shows the skyrmion profile obtained using Pattern H1 with $d = 0.3$, $b = 1.4$, $t = b/36$. 1 $\times$ 2 unit cells are shown. In this structure, half-skyrmions form a triangular lattice. Whereas -1/2 disclinations form a honeycomb lattice which is the dual lattice of the triangular skyrmion lattice. The whole structure possesses a hexagonal symmetry. For $b = 1.4$, the hexagonal structure is stable up to $d = 0.8$, whereas beyond this the hexagonal symmetry disassembles. As an example, we show the structure obtained with $d = 1.0$ in figure 8(a). Again, we observe two types of disclinations; the first type connect the two patterned surfaces, and the second type lie nearly parallel to the patterned surfaces.
The free energy density computed as a function of $d$ and $b$ in the case of Pattern H1 with $t = b/36$ is shown in figure 9. Similar to the case of Pattern S1, for thinner cell, the triangular half-skyrmion lattice is stable for large range of $b$. For thicker cell, structural transitions (denoted with dotted lines) can take place with changing $b$, which results in the non-monotonicity of the curves.
### 3.4. Pattern H2
From figure 9, we can see that the free energy density of the triangular skyrmion lattice can be quite low, comparable to that of the bulk BPII which is -568.9 J/m$^2$, indicating that these structures can be energetically very stable. Indeed, without the aid of the planar strips, only using Pattern H2 with homeotropic spots, we can already obtain the same triangular half-skyrmion lattice as that shown in figure 7, provided that the values of $d$ and $b$ corresponds to lower free energy density in curves shown in figure 9.
For Pattern H2 with $b = 1.4$, the triangular skyrmion lattice structure is stable until $d = 0.9$. When $d = 1.0$, the structure transforms into a new lattice structure shown in figure 8(b). A similar structure was previously observed in a simulation without surface patterns[6]. This structure almost possesses a hexagonal symmetry, but is composed of two types of disclinations. One type of disclinations are nearly perpendicular to the patterned surfaces, and form a triangular lattice; the other type of disclinations
make four-arm junctions, in which one arm is nearly perpendicular to the patterned surfaces, whereas other three arms make the same angle with each other and are not in contact with the patterned surfaces.
For some values of $d$ and $b$, planar strips (i.e., Pattern H1) are a necessity for realising the triangular skyrmion lattice. For instance, using Pattern H1 with $d = 0.3$, $b = 2.0$, $t = b/36$, one can obtain the triangular skyrmion lattice structure like the one shown in figure 7. However, using Pattern H2 with the same parameters, a different lattice structure emerges, as shown in figure 10. It is a regular lattice but without the hexagonal symmetry. The typical skyrmion profile is barely seen either.
### 3.5. Discussion
In Ref. [6] and [31], half-skyrmion lattices are generated in BP thin films by homogeneous confining surfaces (without patterns). There periodicities of the confined BPs are formed naturally as imposed by the bulk BP material. In experiments, the liquid crystal in the isotropic phase is cooled down, and periodic structure with the optimal lattice constant form spontaneously. In our work, there is an energetic interplay between the periodicity of the surface pattern and the inherent pitch of the blue phase material – that roughly determines the actual size (diameter) of the skyrmions. We chose the skyrmion size and surface pattern periodicity to be compatible; however, if these characteristic scales were chosen as substantially different, then other unexpected non-regular structures could emerge. Further on, with differently designed surface patterns, different types of skyrmion lattices as well as other types of periodic structures are expected to be possibly realised.
The half-skyrmion lattices predicted in our work show interesting analogies and differences between liquid crystal and magnetic systems. In magnets, the unit vector order parameter $\mathbf{n}$ (effectively, the magnetisation) is genuinely vectorial. This feature allows the formation of square half-skyrmion lattices, but prohibits the formation of triangular half-skyrmion lattices, in which case $\mathbf{n}$ is undefined if $\mathbf{n}$ at the perimeter of the skyrmions always lies in the two-dimensional lattice plane. In contrast, the director $\mathbf{n}$ in liquid crystal systems is linelike, with the head-tail symmetry. This distinctive feature allows not only square but also triangular half-skyrmion lattices to form in confined highly chiral nematic liquid crystals.
### 4. Conclusion
Using numerical modelling, several types of half-skyrmion lattices are shown to form in BPII thin films confined between a pair of parallel surfaces with specifically designed patterns. The surface patterns are composed of patches on which different types of surface anchoring (i.e. nematic field directions) are imposed. Specifically, we show that surface patterns with different symmetry lead to different lattices of half skyrmions, including square and triangular. We observe that the half-skyrmions elastically adapt their profiles, effectively getting shrunk or expanded in distinct directions to cover square, hexagonal or rectangular regions. Skyrmion lattices are shown to be interpenetrated by lattices of singular nematic defects, that reflect the symmetry of the skyrmion organisation. Our approach can be extended to BPI thin films, with the possibility of observing more types of skyrmion lattices in addition to the square and triangular lattices. Our work contributes to the surface patterning approaches for designing liquid crystal structures that may find use in practical applications, such as
photonic or storage devices.
Acknowledgement
SZ acknowledges a stimulating discussion with Qi-Huo Wei on possible use of periodically faceted surfaces to stimulate the growth of monodomain blue phases.
Disclosure statement
No potential conflict of interest was reported by the authors
Funding
Funding is acknowledged from the Slovenian Research Agency ARRS through grants P1-0099, J1-7300, L1-8135, and the USAF AFRL EOARD research project Nematic Colloidal Tilings as Tunable Soft Metamaterials (Grant No. FA9550-15-1-0418).
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Figure 1. (a) Double twist cylinder – the building block of BPII. (b) Double twist alignment of the director (in green) in a cross section of the double twist cylinder. This alignment can be regarded as a $\frac{1}{2}$-skyrmion. (c) One unit cell of BPII including the double twist cylinders (in blue) and disclination lines drawn as isosurfaces (in yellow) of magnetic degree of order $S = 0.16$. (d) A pair of parallel patterned surfaces (in blue) separated by a distance that equals 0.3-1.3 times the bulk BPII unit cell size, between which the BP liquid crystal is confined.
Figure 2. Four different surface patterns of the confining surfaces. (a-b) Patterns for generating square half-skyrmion lattices, $2 \times 2$ unit cells are shown. (c-d) Patterns for generating triangular half-skyrmion lattices, $1 \times 2$ unit cells are shown. Green nets represent regions where the confining surfaces intersect the double twist cylinders; director orientations are imposed perpendicular to the confining surfaces by the strong uniform surface anchoring in regions denoted by circles (in light blue) with diameter $t$, and parallel to the confining surfaces in regions denoted by narrow strips (in red) with width $t$ inside which the double-headed arrows (in black) denote the surface-preferred director orientations; gray rings denote locations around which singular defects are expected to form.
Figure 3. (a) Square skyrmion lattice obtained using Pattern S1 with $d = 0.3$, $b = 1.2$, $t = b/36$. (b) Square skyrmion lattice obtained using Pattern S1 with $d = 0.3$, $b = 1.2$, $t = b/12$. (c) Square skyrmion lattices obtained using Pattern S2 with $d = 0.3$, $b = 1.2$, $t = b/36$. Disclinations form a distorted honeycomb lattice. Disclinations are drawn (in yellow) as isosurfaces of the scalar order parameter with $S = 0.12$ in (b) and $S = 0.2$ in (a) and (c). The surfaces drawn in red represent isosurfaces of $S = 0.3$. Director field in the midplane (parallel to the patterned surfaces) of the simulation box is shown in green. $2 \times 2$ unit cells are shown.
Figure 4. (a) Square skyrmion lattice obtained using Pattern S1 with $d = 0.5$, $b = 1.2$, $t = b/36$. (b) Square skyrmion lattices obtained using Pattern S1 with $d = 1.0$, $b = 1.2$, $t = b/36$. (c) Director and disclination structure obtained using Pattern S1 with $d = 1.3$, $b = 1.2$, $t = b/36$. Disclinations are drawn (in yellow) as isosurfaces of the scalar order parameter with $S = 0.2$. Director field in the midplane (parallel to the patterned surfaces) of the simulation box is shown in green; $2 \times 2$ unit cells are shown.
Figure 5. Free energy density computed as a function of $d$ and $b$ in the case of Pattern S1 with $t = b/36$. Dotted lines represent ranges of $b$ in which structural transitions occur.
Figure 6. (a) Square half-skyrmion lattices obtained using Pattern S2 with $d = 1.0$, $b = 1.2$, $t = b/36$. (b) Director and disclination structure obtained using Pattern S2 with $d = 1.3$, $b = 1.2$, $t = b/36$. Disclinations are drawn (in yellow) as isosurfaces of the scalar order parameter with $S = 0.2$. Director field in the midplane (parallel to the patterned surfaces) of the simulation box is shown in green. $2 \times 2$ unit cells are shown.
Figure 7. Triangular skyrmion lattices obtained using Pattern H1 with $d = 0.3$, $b = 1.4$, $t = b/36$. Disclinations form a honeycomb lattice. Disclinations are drawn (in yellow) as isosurfaces of the scalar order parameter with $S = 0.2$. Director field in the midplane (parallel to the patterned surfaces) of the simulation box is shown in green. $1 \times 2$ unit cells are shown.
Figure 8. Disclination network obtained using (a) Pattern H1 and (b) Pattern H2 with $d = 1.0$, $b = 1.4$, $t = b/36$. The honeycomb defect lattice disassembles. Disclinations are drawn (in yellow) as isosurfaces of the scalar order parameter with $S = 0.2$. $1 \times 2$ unit cells are shown.
Figure 9. Free energy density as a function of $d$ and $b$ in the case of Pattern H1 with $t = b/36$. Dotted lines represent ranges of $b$ in which structural transitions occur.
Figure 10. Disclination structure obtained using Pattern H2 with $d = 0.3$, $b = 2.0$, $t = b/36$. Hexagonal structure cannot form without the planar strips that exist in Pattern H1. Disclinations are drawn (in yellow) as isosurfaces of the scalar order parameter with $S = 0.2$. Director field in the midplane (parallel to the patterned surfaces) of the simulation box is shown in green. $1 \times 2$ unit cells are shown. |
INTRODUCTION
Manual wheelchair users utilize their upper body extensively to generate the necessary forces for propulsion, and as a result, they are susceptible to musculoskeletal upper extremity injuries [1]. These biomechanically based injuries are often related to propulsion techniques and individual wheelchair configuration [2,3]. In order to better understand how propulsion metrics such as stroke frequency, stroke length and push force relate to biomechanical injury, it is necessary to collect data that can be used to evaluate these metrics over an extended period of time. Currently, a device known as the SmartWheel, manufactured by Out-Front, can be used in a clinical setting to generate a report summarizing these metrics [4,5]. However, this device has a number of limitations that prevent its use in either long-term studies, or to observe patterns of everyday use outside the clinic. The SmartWheel incorporates a range of different sensors in a standalone wheel that is substituted for standard, original equipment wheelchair wheels when in use. The SmartWheel is also relatively expensive, at a retail cost of $6000.00. In practice, the SmartWheel is limited to use in the clinic because of its cost, its weight relative to a typical spoked wheel, and the need to reconfigure the consumer’s wheelchair wheel.
With the objective of overcoming these limitations and designing a reasonably priced device for more widespread use, we have developed a novel device, called the SmartHub. The SmartHub is a low cost (approx. $100.00 for components alone), unobtrusive activity monitor designed to
collect, and either store or transmit wheelchair propulsion data. This device is approximately the size of a hockey puck, and consists of a WIFI-enabled microprocessor, nine-axis inertial measurement unit, and rechargeable battery that can be easily attached to any existing, original equipment manual wheelchair wheel. The SmartHub collects a wide range of propulsion characteristics in real-time, which can be utilized to produce the metrics of interest. The SmartHub and the resulting information it produces have the potential to allow the study and evaluation of these metrics over a much greater range of use on a user’s existing wheelchair configuration, with the goal of reducing upper extremity injuries for manual wheelchair users.
**OBJECTIVES**
1. To test of the effectiveness and accuracy of the SmartHub activity monitor
2. To gain an understanding of how clinicians can utilize SmartHub
3. To understand how the SmartHub can provide propulsion technique suggestions
**METHODS**
**Initial Iteration**
A previous version of the SmartHub was created by Ryan Letcher, a former Ohio State University graduate student in mechanical engineering. His solution consisted of an Arduino microcontroller, 6-axis inertial measurement unit (IMU) for wheelchair dynamics data, a 9-volt battery, and SD card reader for data transfer. This SmartHub attaches to a wheelchair wheel using tape and must be fixed on the point of rotation (axle location) for accurate data [6].
Once data is taken and stored locally on the SD card, it is manually transferred to a computer, in which a uniquely developed MATLAB script reads the raw data and outputs propulsion metrics in a visual manner, making it readable for both wheelchair users and clinicians.
However, this design iteration has several limitations. Firstly, the device has no proper fixation method to the wheelchair, currently only tape is used, causing inconsistent placement resulting in inaccurate data collection. Additionally, by using a microcontroller, only one program can be run on the device, limiting flexibility and versatility. Once data is collected, it must be inelegantly transferred manually. Future designs would increase data accuracy, while introducing wireless capability, all encased within a portable, adaptable, and robust housing.
**Current Design**
The current design upgrades all of the hardware and software utilized in the first iteration. Rather than an Arduino microcontroller, a Linux-based Raspberry Pi Zero W is used as the main processor for software flexibility in addition to on-board wireless capability. Additionally, the 6-axis IMU was upgraded to a 9-axis IMU with a magnetometer, accelerometer, and gyroscope for more accurate data and increased functionality. The 9-volt battery was upgraded with a 1000mAh lithium-ion polymer rechargeable battery for approximately 10 hours of constant use. All of these components are encased within a 3D printed housing that magnetically attaches and detaches to any wheelchair wheel with spokes.
| Capabilities | SmartHub (Initial Iteration) | SmartHub (Current Iteration) |
|--------------|------------------------------|------------------------------|
| Accurate | ▲ | ● |
| Adaptable | ✗ | ● |
| Portable | ▲ | ● |
| Connectivity | ✗ | ● |
Additionally, due to the nature of the 9-axis IMU, placement of this design relative to the axle has no effect on data accuracy. A unique terminal application as well as web-based graphical user interface (GUI) was developed with Python and HTML for ease of use for both the wheelchair user and clinician. The high-level functional iteration comparisons are shown in Table 1.
**Final Design Hardware**
The brain of the SmartHub is a Linux-based microprocessor, Raspberry Pi Zero W. At a cost of $5.00, and equipped with friendly general-purpose input output, this small form-factor board allows the SmartHub to store and execute a multitude of programs simultaneously while providing various means of communication to host devices. Included on this board is a micro-SD card reader, which is used as a boot drive and removable storage. Additionally, an OLED screen is used to display informative runtime feedback for both clinicians and wheelchair users.
The main component of the SmartHub is its 9-axis inertial measurement unit, consisting of an accelerometer, gyroscope, and magnetometer. The data streams of all three of these sensors are fused to produce the absolute roll dynamics of the SmartHub. As the SmartHub rotates with the wheel, these roll dynamics are used to calculate the propulsion...
metrics stated earlier. Additionally, the IMU produces an absolute yaw (heading) data stream, which is utilized to produce the heading dynamics of the wheelchair. Combining the distance and heading, birds-eye, planar trajectory of the wheelchair can be produced with sub-millimeter accuracy. This is used to produce propulsion metrics while collecting data during more naturalistic movement.
These components are housed in a 3D printed, custom design shown in Figure 3 and Figure 4. The design is split into two components, the SmartHub base and the clamping mechanism that is fixed between the spokes, shown in Figure 4. The SmartHub magnetically attaches and detaches to the previously mentioned clamp mechanism for increased flexibility and a safe breakaway design.
**Final Design Software**
To accommodate the upgraded hardware, an upgrade in software experience was also developed. Instead of utilizing an Arduino microcontroller that is limited to execute one program exclusively, a Raspberry Pi Zero W microprocessor was used, which increases both flexibility and processing power. The Linux-based board also includes Bluetooth and WIFI for wireless connectivity, all within a footprint half the size of the Arduino used initially. The SmartHub is programmed to include both wired and wireless connectivity upon bootup. When plugged in via micro-USB 2.0, the SmartHub bridges the host computers internet access and is able to receive
updates in addition to communication. Development and the majority of programming was done over this protocol. Additionally, upon bootup, the SmartHub creates and broadcasts its own 802.11b WIFI network. In order to connect to the device, a host computer simply needs to connect to the ‘SmartHub’ wireless network and enter in proper credentials. This peer to peer (P2P) method is robust and encrypted for seamless and secure data transfer.
Once connected either over USB or over WIFI, a host computer can connect with a terminal application via SSH (secure shell). This allows a remote machine to securely interact with the SmartHub, but only if both the machine and SmartHub are on the same network. Additionally, upon bootup, the SmartHub are on the same network. Additionally, upon bootup, the SmartHub hosts a uniquely developed webpage for graphical interaction. This allows for ease of use for both wheelchair users and clinicians who are not as computer savvy while providing a friendly interface. Because the GUI is web-based, any platform (iOS, Android, OSX, Windows) can connect and interact with the SmartHub. For versatility and ubiquity, Python was used for all SmartHub code. Programs for data collection, HTML webpage hosting, and post-processing were all built from the ground up and by using a standard language, code fluidity is maximized for future development.
Because the entirety of the source code, including the OS image, is comprehensive, a robust version control infrastructure was created to ensure optimal code tracking and user modification of all code. Additionally, this version control system allows for roll-back ability in the case of
broken or damaged code and the ability to assign simultaneous working tasks for future developers. All SmartHub code is hosted on a private repository on GitHub.
**Testing Protocol**
Clinical application of the SmartWheel in testing and evaluation was primarily focused on a singular propulsion test: a ten-meter distance test in which stroke data and push force are calculated in a manner that relies on knowledge of the type of surface material (carpet, tile, wood, etc.). In order to validate the SmartHub and its output, we utilized a specific wheelchair configuration- a manual wheelchair (Invacare TRA) with one rear wheel configured as a SmartWheel and the other rear wheel configured as a standard wheelchair wheel with the SmartHub attached, shown in Figure 7. We conducted three validation tests: 1) ten meters on tile; 2) ten meters on carpet; and a figure-8 test on tile. Because the SmartHub can calculate directional heading, in addition to validation testing with the SmartWheel, the SmartHub was also tested in the standard Wheelchair Skills Program (WSP) [7], which involves a sequence of specific activities that are used to evaluate wheelchair users’ effectiveness and abilities. These activities include maneuvering on inclined ramps, figure-8 movements on a flat surface, and oval track distance tests. To test validity of heading, subjects conducted the figure-8 protocol of the WSP.
Data Analysis
In order to compare the SmartHub and the SmartWheel during the 10-meter distance test, a unique python script was developed to create a report post-testing. The script reads in both the SmartHub and SmartWheel raw data, time syncs the two data streams, and outputs a summary report including statistics to evaluate device-to-device accuracy. Additionally, a separate SmartHub report, shown in Figure 8, is generated locally on the device. The validation data is then compiled to produce an overall comparison summary for evaluation purposes.
Sixty unique, clinical care, 10-meter trials were conducted (30 on tile surface and 30 on carpeted surface). To compare the SmartHub against the SmartWheel, data were compiled and analyzed at stroke occurrences. Metrics examined included number of strokes, distance traveled, average stroke velocity, stroke frequency, and peak tangential force. Each trial produced six to seven strokes resulting in approximately 450 unique data points for validation.
RESULTS
The percent error for each metric is calculated as the average (avg) of all absolute values (abs) of the difference in the SmartWheel data point and SmartHub data point divided by the SmartWheel data point. The preliminary data show that the SmartHub is more accurate on the tile surface than the carpeted surface, however, the relative error with respect to individual metrics appears consistent regardless of surface type. Average percent error of the SmartHub data as compared to the SmartWheel for all validation trials was then calculated, shown in Equation 1, over all stroke locations and represented in Table 2.
\[
Percent\ Error_{metric} = avg \left[ \frac{abs(SmartWheel_{metric} - SmartHub_{metric})}{SmartWheel_{metric}} \right] * 100 \tag{1}
\]
The data for distance, velocity and tangential force for a test subject 10-meter tile test are shown in Figure 8. Included in this figure is the distance traveled over time (clipped at ten meters), the velocity profile of the SmartHub, and tangential force curve from the SmartHub over time.
The data for distance, heading, and path of travel for a figure-8 test are shown in Figure 9. Included in this figure are three plots- increasing distance over time, wheelchair heading over time, and the resulting vectorized trajectory of the wheelchair from a birds-eye perspective.
| Metric | Percent Error [%] |
|-------------------------|-------------------|
| | Tile | Carpet |
| Distance | 3.41 | 3.32 |
| Stroke Length | 7.05 | 9.09 |
| Average Stroke Velocity | 8.22 | 8.5 |
| Average Stroke Frequency| 4.91 | 5.47 |
| Peak Tangential Force | 16.74 | 22.98 |
All data displayed in Figure 9 were collected from a consented subject covered under The Ohio State University IRB protocol no. 20170302.
**Figure 9. Figure-8 Test (Tile)**
**DISCUSSION**
The ten-meter validation trials demonstrate that the SmartHub is able to produce relevant metrics accurately against the SmartWheel while significantly improving portability and adaptability. Additionally, the figure-8 tests demonstrate that SmartHub is able to calculate the trajectory of wheelchairs with sub-millimeter accuracy. Combining force and stroke data with trajectory data, the SmartHub allows end-users and clinicians to understand everyday propulsion productivity in a simple and effective manner. However, one advantage that the SmartWheel has compared to the SmartHub, is its ability to more accurately calculate tangential and normal force. This is due to the fact that the SmartWheel utilizes strain gauges to measure the force in three axes. In contrast, the SmartHub relies on motion data, resulting in less accurate tangential force data.
Aside from mechanical attachments to produce tangential and normal force data, the error in tangential force could be reduced by performing static and dynamic calibration tests to more accurately measure force relative to the SmartWheel. The importance of this data relies heavily on trends rather than highly accurate data. Through validation tests, the SmartHub demonstrates
highly similar trends in tangential force while being a relatively accurate predictor of propulsion techniques for clinicians.
The current study focused heavily on highly controlled scenarios—ten-meter distance tests on both tile and carpet. Additional data will be collected and analyzed throughout the wheelchair skills test, to help clinicians accurately identify wheelchair user characteristics.
**CONCLUSION**
While the SmartWheel is currently suited for clinical settings, the SmartHub has the potential for use in any range of settings, due to its portability, hardware adaptability and increased functionality for the wheelchair user. As such, it can be used to provide clinicians and users with a broad understanding of propulsion techniques and overall wheelchair use in a wide range of settings. Manual wheelchair users could benefit from accurate propulsion metrics gathered in a simple, unobtrusive manner. Additionally, because the SmartHub is an attachment rather than a standalone wheel, subjects noted the comfortability of using their personal wheels rather than the cumbersome SmartWheel to collect data.
This study was the first case study to demonstrate the feasibility and usability of the SmartHub for manual wheelchair users in addition to establishing the accuracy of the SmartHub. The SmartHub is a tool that can be utilized to provide a range of insights and ultimately optimize healthcare delivery and outcomes for many manual wheelchair users.
**FUTURE WORK**
Current data includes the ten-meter, figure-8, and the range of the wheelchair skills tests. Future studies are planned that will be conducted in everyday, out of clinic general use to gather data on real-world manual wheelchair propulsion techniques. Furthermore, additional research personnel will be used to investigate and validate inter-subject variation. As stated earlier, future calibration
tests will be performed to more accurately produce tangential force data. Future studies are also planned to utilize SmartHub data with other musculoskeletal biomechanics to understand upper extremity usage during propulsion.
Additionally, the SmartHub local and remote software will be updated based on initial usability evaluations and tested by a larger user group. Focus groups will be conducted to obtain feedback from clinicians and end-users regarding use of the accompanying SmartHub application and its output. After an optimized user interface is developed, the SmartHub device and application will be further tested by clinicians and manual wheelchair users in both every day and clinical settings.
REFERENCES
[1] Curtis, K. A., Drysdale, G. A., Lanza, R. D., Kolber, M., Vitolo, R. S., & West, R. (1999). Shoulder pain in wheelchair users with tetraplegia and paraplegia. Archives of physical medicine and rehabilitation, 80(4), 43-457.
[2] Ferrero, G., Mijno, E., Actis, M. V., Zampa, A., Ratto, N., Arpaia, A., & Massè, A. (2015). Risk factors for shoulder pain in patients with spinal cord injury: a multicenter study. Musculoskeletal surgery, 99(1), 53-56.
[3] Bickelhaupt, B., Oyama, S., Benfield, J., Burau, K., Lee, S., & Trbovich, M. (2018). Effect of Wheelchair Stroke Pattern on Upper Extremity Muscle Fatigue. PM&R.
[4] "SmartWheel," Out-Front, 2015. [Online]. Available: http://www.out-front.com/smartwheel_overview.php.
[5] Cooper R. A., "SmartWheel: From concept to clinical practice," Prosthetics and Orthotics International, vol. 33, no. 3, pp. 198-209, 2009.
[6] R. Letcher, “Smarthub: A low cost manual wheelchair fitness metrics tool for clinicians, researchers, and wheelchair users,” Master’s thesis, The Ohio State University, https://etd.ohiolink.edu/, 2017.
[7] Wheelchair Skills Program Manual. http://www.wheelchairskillsprogram.ca/eng/manual. Accessed December 30, 2015. |
Agroforestry as a post-mining land-use approach for waste deposits in alluvial gold mining areas of Colombia
Inaugural-Dissertation
Zur Erlangung des Grades Doktorin der Agrarwissenschaften (Dr. agr.)
der Landwirtschaftlichen Fakultät
der Rheinische Friedrich-Wilhelms-Universität Bonn
von
Bibiana Betancur Corredor
aus Pereira, Kolumbien
Bonn 2018
1. Referent: Prof. Dr. Christian Borgemeister
2. Korreferent: Prof. Dr. Ralf Pude
Tag der mündlichen Prüfung: 14.05.2018
Angefertigt mit Genehmigung der Landwirtschaftlichen Fakultät der Universität Bonn
Agroforestry as a post-mining land-use approach for waste deposits in alluvial gold mining areas of Colombia
ABSTRACT
Alluvial gold mining generates a vast amount of extractive waste that completely covers the natural soil, destroys riparian ecosystems, and negatively impacts river beds and valleys. Since 2002, a gold mining company has striven to create agroforestry plots in the waste deposits as a post-mining management approach, where agricultural crops and livestock are combined to complement reforestation in the area. This research aims at supporting reclamation of waste deposits by providing a comprehensive understanding of processes to manage the transition of nutrient-poor and acidic deposition sites towards productive agroforestry-based systems. Major components of this research comprise (i) an analysis of environmental and social challenges of the gold mining sector in Colombia, and its potential opportunities to add value to affected communities, (ii) an assessment of management practices and decision-making processes of the farmers working on reclamation areas, (iii) an analysis of the sources of variability of waste deposits from the perspective of soil development and vegetation succession, (iv) an analysis of spatial variability of the physicochemical properties of waste deposits with a spatially explicit management scheme, and (v) an assessment of vegetation recovery in terms of biomass and plant community composition.
Farmers who are currently working on areas undergoing reclamation rely mostly on their own local knowledge to respond to the challenges that the heavily disturbed conditions of the area pose to crop establishment. Therefore, increasing their awareness of the inherent heterogeneity of their fields, as well as the interdependencies between management practices and improvement of soil fertility, may increase the productivity of their farms. The analysis of sources of variability of the waste deposits generated by alluvial gold mining revealed that these deposits are primarily influenced by the parent material of the alluvial gold deposits and by the technology used for gold mining (bucket or suction dredges), which define the type of deposit formed (gravel or sand). Waste deposits can provide essential functions for rural areas such as woody biomass production and crop establishment if deposits are managed according to a specific purpose, and crop selection for each deposit is done based on physicochemical and structural soil properties. This finding is echoed by the spatial assessment of vegetation reestablishment through the combination of remote sensing with machine-learning techniques that show a high spatial variability of textural properties and nutrient contents of the deposits. A management approach is proposed with the use of delineated management zones, which can lead to an overall increased productivity by developing strategies suitable to the characteristics of each field and its potential uses.
Agroforstwirtschaft als Landnutzungsansatz auf Abraumdeponien in alluvialen Goldabbaugebieten Kolumbiens
KURZFASSUNG
Der Abbau von alluvialem Gold erzeugt eine große Menge mineralischen Abfalls, der den natürlichen Boden vollständig bedeckt, Uferökosysteme zerstört, und Flussbetten und -täler negativ beeinflusst. Von einem Goldminenbetreiber werden seit 2002, als ein Ansatz einer Postbergbaustrategie, Agroforstparzellen in Abraumdeponien angelegt. In diesen werden landwirtschaftliche Nutzpflanzen und Viehhaltung zur Aufforstung der Parzelle kombiniert eingesetzt. Diese Forschungsarbeit beabsichtigt die Rekultivierungsmaßnahmen in Agroforstparzellen durch ein umfassendes Verständnis der beteiligten Prozesse zu unterstützen und den Übergang von nährstoffarmen und sauren Abraumdeponien hin zu produktiven agroforstbasierten Systemen zu steuern. Die Hauptbestandteile dieser Arbeit umfassen (i) eine Analyse der ökologischen und sozialen Herausforderungen des Goldminensektors in Kolumbien und potenzielle Möglichkeiten einen Mehrwert für die betroffenen Gemeinden zu schaffen, (ii) eine Bewertung der Managementpraktiken und Entscheidungsprozesse der Landwirte im Rahmen der Rückgewinnung von Landnutzungsflächen, (iii) eine Analyse der Ursachen von Varianz zwischen Abfalldeponien aus der Perspektive der Boden- und Vegetationsentwicklung, (iv) eine Analyse der räumlichen Variabilität der physikochemischen Eigenschaften von mineralischen Abraumdeponien mit einem räumlich expliziten Managementschema und (v) eine Bewertung der Vegetationserholung im Sinne der Zusammensetzung von Biomasse und Pflanzengemeinschaften.
Landwirte die in Gebieten arbeiten die gegenwärtig einer Rekultivierung unterzogen werden, verlassen sich größtenteils auf ihre lokalen Erfahrungswerte, um mit den Herausforderungen für die Nutzpflanzenproduktion umzugehen, die durch die stark gestörten Bodenbedingungen verursacht werden. Eine Steigerung des Bewusstseins der lokalen Farmer für die inhärente Heterogenität ihrer Felder, sowie der Interdependenzen zwischen Managementpraktiken und der Verbesserung der Bodenfruchtbarkeit, kann die Produktivität der Farmbetriebe erhöhen. Die Analyse der Variabilitätsquellen der durch den alluvialen Goldabbau entstandenen mineralischen Abfalllager ergab, dass diese Lagerstätten in erster Linie vom Grundgestein der alluvialen Goldlagerstätten und der verwendeten Abbautechnik (Schaufel- oder Saugbagger) beeinflusst werden. Diese Faktoren bestimmen die Art der gebildeten Ablagerung (Kies oder Sand). Abfalldeponien können wesentliche Funktionen für ländliche Gebiete wie die Produktion von Holzbiomasse und den Anbau von Nutzpflanzen ermöglichen, wenn die Lagerstätten einem bestimmten Zweck entsprechend bewirtschaftet werden und die Auswahl der Kulturen für jede Lagerstätte auf Grundlage der spezifischen physikochemischen und strukturellen Bodeneigenschaften erfolgt. Dieser Befund wird durch die räumliche Bewertung der Vegetationsneubildung durch die Kombination von Fernerkundung mit maschinellen Lerntechniken bestätigt, die eine hohe räumliche Variabilität der Textureigenschaften und Nährstoffgehalte der Deponien zeigt. Es wird ein Managementansatz vorgeschlagen, bei dem abgegrenzte Bewirtschaftsungszonen unterteilt werden. Dies kann zu einer insgesamt höheren Produktivität führen, indem Strategien entwickelt werden, die den Eigenschaften jedes einzelnen Feldes und seiner potenziellen Nutzungsmöglichkeiten entsprechen.
DEDICATION
This dissertation is dedicated to my family whose love and blessings hearten my life every day.
# TABLE OF CONTENTS
1. SUMMARY ........................................................................................................... 10
2. GOLD MINING AS A POTENTIAL DRIVER OF DEVELOPMENT IN COLOMBIA: CHALLENGES AND OPPORTUNITIES ................................................................. 15
2.1 Introduction .................................................................................................... 16
2.2 Methodology .................................................................................................. 20
2.3 Environmental perspective ........................................................................... 24
2.3.1 Environmental challenges ....................................................................... 24
2.3.2 Initiatives for environmental protection .................................................. 31
2.3.3 Opportunities for environmentally sustainable gold mining ..................... 36
2.4 Social perspective .......................................................................................... 40
2.4.1 Social challenges ...................................................................................... 40
2.4.2 Initiatives for improvement of community well-being ............................. 47
2.4.3 Opportunities for a socially sound gold mining ....................................... 50
2.5 Conclusions ................................................................................................... 55
2.6 References ..................................................................................................... 58
3. INTEGRATING LOCAL AND SCIENTIFIC KNOWLEDGE IN SOIL MANAGEMENT IN AREAS COVERED BY GOLD-MINING WASTE UNDERGOING RECLAMATION THROUGH AGROFORESTRY ......................................................................................... 72
3.1 Introduction .................................................................................................... 73
3.2 Methods .......................................................................................................... 77
3.2.1 Site description ......................................................................................... 77
3.2.2 Qualitative interviews ............................................................................... 78
3.2.3 Soil sampling ............................................................................................. 79
3.2.4 Data analysis ............................................................................................. 79
3.3 Results ............................................................................................................. 80
3.3.1 Household characteristics ........................................................................ 80
3.3.2 Soil physicochemical properties ............................................................... 80
3.3.3 Farmers' assessment of soil fertility .......................................................... 81
3.3.4 Farmers' fertility management practices ................................................... 84
3.3.5 Grazing ....................................................................................................... 85
3.3.6 Challenges for crop establishment and revegetation ............................... 86
3.3.7 Weed and pest management ..................................................................... 87
3.4 Discussion ....................................................................................................... 87
3.4.1 Local indicators of soil fertility ................................................................. 87
3.4.2 Soil fertility management and reclamation ................................................ 90
3.4.3 Comparison of soil physicochemical characterization and farmers’ perception of soil fertility ................................................................. 92
3.4.4 Integrating scientific and local knowledge for soil management in areas undergoing reclamation .................................................. 93
3.5 Conclusions .................................................................................. 95
3.6 References ................................................................................... 96
4. CHANGES IN TECHNOSOL PROPERTIES AND VEGETATION STRUCTURE ALONG A CHRONOSEQUENCE OF REVEGETATION OF WASTE DEPOSITS IN AREAS WITH ALLUVIAL GOLD MINING ............................................. 102
4.1 Introduction .................................................................................. 103
4.2 Material and methods ................................................................. 106
4.2.1 Study area .............................................................................. 106
4.2.2 Soil sampling and analysis .................................................... 107
4.2.3 Micro-morphological analysis ............................................... 108
4.2.4 Vegetation survey .................................................................. 108
4.2.5 Data analysis ......................................................................... 109
4.3 Results and discussion ............................................................... 110
4.3.1 Soil profile morphology and classification ............................. 110
4.3.2 Changes in soil chemical, physical and hydraulic properties along the chronosequence of revegetation ........................................ 114
4.3.3 Comparison between gravel and sand deposits ....................... 116
4.3.4 Plant community succession .................................................. 119
4.3.5 Relation of Technosol properties with variation of size structure of plant community ................................................................. 122
4.4 Conclusions .................................................................................. 125
4.5 Acknowledgements ..................................................................... 126
4.6 References ................................................................................... 126
5. DELINEATION OF HOMOGENEOUS ZONES IN SITES COVERED BY GOLD MINING WASTE UNDERGOING RESTORATION WITH AGROFORESTRY SYSTEMS .................................................. 132
5.1 Introduction .................................................................................. 133
5.2 Methodology .............................................................................. 135
5.2.1 Study area .............................................................................. 135
5.2.2 Soil sampling and analysis .................................................... 136
5.2.3 Aerial imagery ....................................................................... 137
5.2.4 Data analysis ......................................................................... 138
5.3 Results and discussion ............................................................... 143
5.3.1 Exploratory data analysis ...................................................... 143
5.3.2 Geostatistical analysis of soil properties .................................. 146
5.3.3 Spatial regression of vegetation indices and soil properties as explanatory variables .......................................................... 151
5.3.4 Delineation of homogeneous zones based on soil properties ......................................................... 153
5.3.5 Validation of delineated homogeneous zones with vegetation indices ........................................... 160
5.4 Conclusions ................................................................................................................................. 167
5.5 References ............................................................................................................................... 169
6. USE OF UNMANNED AERIAL VEHICLE FOR THE ESTIMATION OF ABOVEGROUND BIOMASS AND SPECIES DIVERSITY IN RECLAIMED GOLD MINING WASTE DEPOSITS .............................................................. 175
6.1 Introduction ............................................................................................................................. 176
6.2 Methodology .......................................................................................................................... 179
6.2.1 Study area ....................................................................................................................... 179
6.2.2 Vegetation survey ............................................................................................................ 181
6.2.3 Herbaceous biomass estimation ..................................................................................... 183
6.2.4 Tree biomass estimation .................................................................................................. 183
6.2.5 Aerial imagery ............................................................................................................... 184
6.2.6 Data analysis .................................................................................................................. 185
6.3 Results .................................................................................................................................... 188
6.3.1 Measured and calculated parameters ............................................................................. 188
6.3.2 Biomass and species diversity modeling ........................................................................ 190
6.3.3 Variable importance ....................................................................................................... 194
6.3.4 Prediction maps .............................................................................................................. 196
6.4 Discussion ............................................................................................................................. 201
6.4.1 Implications of the use of UAV and high-resolution images ........................................ 201
6.4.2 Tree and herbaceous biomass modeling .......................................................................... 202
6.4.3 Species diversity modeling ............................................................................................. 203
6.4.4 Model uncertainties and limitations ............................................................................... 204
6.4.5 Implications for the areas undergoing restoration ....................................................... 205
6.5 Conclusions .......................................................................................................................... 208
6.6 References ............................................................................................................................ 209
7. CONCLUSIONS AND OUTLOOK ......................................................................................... 219
7.1 Need for suitable post-mining land-use approach in Colombia ........................................ 219
7.2 Role of farmers’ knowledge .................................................................................................. 220
7.3 Insights on soil development ................................................................................................. 220
7.4 Heterogeneity of waste deposits ............................................................................................ 221
7.5 Establishment of vegetation cover ....................................................................................... 222
7.6 Conclusions on the methodological approach .................................................................... 223
7.7 Outlook .................................................................................................................. 225
7.7.1 Recommendations for practitioners and extensionists .................................. 225
7.7.2 Recommendations for reclamation management ........................................... 226
7.7.3 Recommendations for future research ............................................................ 227
8. ACKNOWLEDGEMENTS ......................................................................................... 228
1. SUMMARY
Gold mining is considered as a potential axis of development in Colombia. Yet there is a common perception that the expansion of gold mining may cause environmental and health impacts, competition for land and water, and loss of livelihood opportunities for farmers. Alluvial gold mining in Colombia generates a vast amount of deposits that completely cover the natural soil, destroy riparian ecosystems and impact river beds and valleys. The latest inventories reveal that approximately 79,000 ha are affected by alluvial gold mining in the country (UNODC, 2016), and 80% of this land located in the department of Antioquia. Deposits created by alluvial gold mining usually have low levels of macronutrients and an acidic pH, which tend to disrupt soil formation processes and plant growth. There is also a discontinuity between upper and lower profiles of the soil due to the superposition of the waste over the natural soil.
Since 2002, a gold mining company has striven to create agroforestry plots in the waste deposits as a post-mining management approach for alluvial gold mining areas of the municipalities of Nechi and El Bagre, Antioquia. The aim is to restore the vegetative cover of the wasteland while supporting settlers through the establishment of farmland with integrated trees and shrubs. In these agroforestry systems, agricultural crops and livestock are combined to complement reforestation in the area. More than 600 ha have been so far reclaimed using this approach. Three agroforestry plots have been established each year since 2002. The process begins with the entitlement of the land to the farmer. The mining company provides construction materials and manpower for the construction of the house, basic sanitation facilities, water and wastewater treatment systems, as well as the provision of seeds and seedlings for the establishment of tree and crop plantations.
Although this reclamation process has been going on since 2002, there is still little understanding of the intrinsic factors associated with the nature of the deposits that might hinder the re-establishment of the vegetation cover or affect crop
productivity. This research aims to provide a comprehensive understanding of processes to manage the transition of nutrient-poor and acidic deposition sites towards productive agroforestry-based systems. This includes the question of the main sources of variability of the waste deposits from the perspective of soil development and vegetation succession, with emphasis on spatial variability of deposit properties and its implications for crop management and reforestation. Drawing on information gathered from field research that took place between 2015 and early 2017 in the area undergoing reclamation in the municipality of El Bagre, the main objective of this study is to investigate how management practices and decision-making processes concerning crop and livestock production and reforestation can be adapted to respond to the considerably varying quality of the land to optimize productivity, as well as to understand the extent and patterns of variability of the waste deposits.
The introductory chapter presents an analysis of the main environmental and social challenges of the gold mining sector in Colombia, as well as of the current initiatives that are being developed to cope with these challenges and potential opportunities to mitigate the negative impacts of gold mining while adding value to affected communities. The main findings suggest that, despite many drawbacks and an often negative image, gold mining has the potential to confer economic benefits to some communities. It is thus necessary to develop effective regulatory frameworks that aim to reduce informality of gold mining, provide guidelines to plan and design environmental management plans, develop safety regulations for mining activities, and protect biodiversity hotspots. Reclamation practices are of utmost importance as a coping strategy for affected communities, therefore a deeper understanding of the needs of the communities is crucial for decision making regarding post-mining land use.
Chapter 3 presents an assessment of management practices and decision-making processes of the farmers working on the reclamation of these areas with respect to crop and livestock production, as well as of their strategies to deal with the heterogeneity of their fields. For this assessment, semi-structured surveys were
conducted with farmers currently working on areas undergoing reclamation, and soil samples were collected according to the farmers’ perception of soil fertility. Farmers rely mostly on their own local knowledge to respond to the challenges that the heavily disturbed conditions of the area pose to crop establishment. Their understanding of the complexity of their fields influences their management practices, therefore increasing farmers’ knowledge about the inherent heterogeneity of their fields, as well as the interdependencies between management practices and improvement of soil fertility, may be a good strategy to increase the acceptance of management guidelines provided by extensionists. The creation of spaces that promote cooperation between more experienced farmers and farmers who are starting with the restoration process will enrich and facilitate the adaptation of management strategies. The findings also imply that the expansion of extension services and education opportunities for farmers in the area is required, not only to provide support to the farmers but also to create cooperation of farmers with scientists working in the area.
Chapter 4 focuses on the analysis of the sources of variability of waste deposits from the perspective of soil development and vegetation succession. Through analysis of soil samples and vegetation surveys, it is shown that waste deposits are primarily influenced by the parent material of the alluvial gold deposits and by the technology used for gold mining (bucket or suction dredges) that define the type of deposit formed (gravel or sand). Furthermore, these deposits can ensure essential functions for rural areas such as woody biomass production and crop establishment if gravel or sand deposits are managed according to a specific purpose, and crop selection for each deposit is based on physicochemical and structural properties. It is a challenge for the farmers living in the study areas to identify management strategies and areas where crop yield is not significantly affected by the quality of the substrate. However, some unfavorable soil properties can be compensated for through the application of special ameliorative measures and the adoption of crop growing technologies, yet it is difficult to compensate for crop limiting factors such as soil texture, stoniness and gravel content.
In Chapter 5, an analysis of the spatial variability of the physicochemical properties of the deposits is presented along with a spatially explicit management scheme. Spatial variability was studied using a geostatistical approach, and a vegetation index was used as a proxy of productivity to correlate deposit properties with the potential productivity of the deposits. The results show that the areas have a predominantly low pH, and in spite of the high contents of nitrogen and organic matter, there is a lack of nutrients over almost the entire area. Due to the high spatial variability of textural properties and nutrient contents of the deposits, a management scheme was proposed based on delineated management zones, which can lead to an overall increased productivity by developing strategies suitable to the characteristics of each field and its potential uses.
Chapter 6 deepens the analysis of sources of variability with an assessment of vegetation recovery in terms of biomass and plant community composition. To achieve this, a series of multispectral images captured by an unmanned aerial vehicle was correlated with field measurements of vegetation using machine learning techniques. The findings show that areas covered by gold mining waste can be successfully recovered and converted into productive ecosystems if appropriate management strategies are adopted to increase biomass, maximize productivity and promote an increased tree species diversity of the areas undergoing reclamation. To achieve this, special attention should be paid to fallow periods, management intensity and landscape configuration of these areas. In addition, the selection of tree species for the agroforestry systems should aim to minimize the use of invasive species, and promote the use of native species that improve the resilience of the newly created ecosystems.
Chapter 7 presents the main conclusions and outlook of the study. It is concluded that agroforestry can be a suitable post-mining land-use approach for waste deposits in gold mining areas of Colombia. Waste deposits have the capacity to sustain
agroforestry systems and to provide the substrate for the growth of trees, crops and grasses. However, the long-term sustainability of these agroforestry systems may highly depend on developing management practices adapted to the high heterogeneity of these deposits, so that decisions regarding fertilization, species selection for plantations, and identification of areas for crop establishment is done based on the highly varying properties of the deposits. Furthermore, biodiversity restoration needs to be considered as a success indicator in addition to the restoration of the vegetation cover and biomass increase.
2. GOLD MINING AS A POTENTIAL DRIVER OF DEVELOPMENT IN COLOMBIA: CHALLENGES AND OPPORTUNITIES*
Abstract
The Colombian government included gold mining as one of the drivers of development for the period 2014 – 2018. Large-scale gold mining is expanding due mainly to international investors attracted by the government. Small-scale and artisanal mining is also expanding, mainly because of increasing gold prices. This expansion of gold mining activities can have considerable consequences for the environment, as it can lead to more pollution and environmental degradation, posing a threat to the natural ecosystems and the health of the communities living in gold mining areas. This literature review analyzes the main challenges of the gold mining sector in Colombia from the environmental and social perspective, as well as initiatives developed to cope with these challenges and the opportunities to carry out more sustainable gold mining activities in the country.
The main environmental challenges of the gold mining sector in Colombia are the pollution of natural ecosystems through the generation of solid waste, emissions of mercury during gold amalgamation, and greenhouse gas emissions. To cope with these challenges, reclamation of waste deposits is being conducted through silviculture, agriculture and reforestation. Furthermore, mercury reduction technologies have been adopted in gold mining areas and trials for remediation of polluted ecosystems are being conducted. The main social challenges of the gold mining sector are high levels of poverty, illegality and violence of communities living in the gold mining areas, as well as high levels of informality of gold mining. To cope with these challenges, the communities are being actively involved in the reclamation schemes of gold mining companies in many areas of the country with the aim to restore their livelihoods and improve their
*This chapter was submitted to the Journal of Cleaner Production (https://www.journals.elsevier.com/journal-of-cleaner-production/). Currently under review.
wellbeing. Moreover, elements of corporate social responsibility are being implemented to compensate for the loss of livelihoods, health effects and other social consequences of gold mining activities. To achieve a more sustainable gold mining production in the country, it is necessary to develop a framework for sustainability assessments to support decision making in the sector. Efforts need to be made to improve resource-use efficiency and biodiversity protection. From the social perspective, corporate social responsibility practices should be strengthened, especially towards understanding the needs of the local communities and the creation of mechanisms of participation that could help to prevent social conflicts around gold mining areas.
2.1 Introduction
The colonial era in South America brought an expansion of mining for gold, silver and other metals (Erlick, 2014). Exploration in Colombia started in the mid-1530s. By 1544, mining was well established in the region of the Upper Cauca River, and by 1547 the Spaniards already had knowledge of rich gold deposits located 600 km upstream of the Cauca River. As the deposits were discovered, they were intensely exploited and promptly depleted (Acemoglu et al., 2012). To increase the yield of the precious metal, several techniques were introduced, including hazardous processes such as mercury amalgamation, which is still practiced today.
The distribution of the gold deposits in Colombia is determined through the geomorphological features of the northern Andes. The most important gold deposits are concentrated in three regions between the Western and Central Cordilleras, in the drainage basin of the Cauca River, the upper Magdalena valley between the Central and Eastern Cordilleras, and the lowlands of the Pacific coast (Acemoglu et al., 2012). The north-west part of the country, i.e. the departments of Antioquia and Choco, has yielded the most significant gold outputs over the last 10 years, with around 40% and 25% of the total national production, respectively (SIMCO, 2017).
Currently, the gold mining sector in Colombia is formed by three main subsectors: large-scale formal, small-scale, and artisanal mining. Artisanal mining refers to panning in rivers to separate gold grains from the sand, or using picks to extract gold-laced earth. Small-scale mining involves more machinery and affects larger areas. Small inflatable floats, fitted with pumps and hoses, are used to perform alluvial mining. Homemade explosives are used to blast shafts to explore underground deposits. Large-scale mining employs the most engineered exploitation methods, with higher industrial security, skilled labor, higher working capital level, and larger funding sources, which makes it the most competitive type of mining. Artisanal and small-scale mining is increasing due to the rising price of gold, which despite the downward trend between 2012 and 2015, in 2016 remained approximately 3-fold higher than in 2000 (World Gold Council, 2016).
Artisanal gold mining is also a source of income for the rural population and usually performed without technical assistance in a very rudimentary fashion that often involves the use of toxic substances like mercury for ore concentration. The common perception of the affected communities in the rural areas is that the expansion of industrial gold mining results in competition for land and water, pollution with cyanide and heavy metals, displacement of communities, and loss of livelihood opportunities for farmers and artisanal miners (Specht and Ros-Tonen, 2016).
The fact that 20% of the Colombian municipalities have gold deposits has drawn the attention of national and international companies (World Gold Analyst, 2011). In the last decade, international investors were attracted by the Colombian government, which envisions the gold sector to be a key driver for the economic development of the country (Rudas, 2013). Colombia plans to increase foreign direct investment (FDI) in gold mining from the present US$ 0.4 to 4.5 billion and to double gold production until 2025. One of the most important international players here is AngloGold Ashanti (Table 2.1). It has been granted a concession for the exploration of *La Colosa* in the mountains of Tolima, with a foreseen investment of US$ 100 million and
expected gold reserves of 384.4 tons. Canada’s Greystar Resources is planning to invest US$ 40 million in the Angostura gold project, and Medoro Resources have acquired several national gold companies such as Frontino, Mineros Nacionales, and Colombia Gold for >US$ 100 million (Siegel, 2013).
Table 2.1. Most important gold mining projects of foreign companies in Colombia.
| Company | Name of mine | Investment sum | Country | URL |
|--------------------------|-----------------------|----------------------|-------------|----------------------------------------------------------------------|
| AngloGold Ashanti | Gramalote La Colosa | USD 255 million by 2013 | South Africa | http://www.anglogoldashanti.com/en/About-Us/Regionsandoperations/colombia/Pages/default.aspx |
| Batero Gold Corp | La Cumbre Quinchía | NA | Canada | http://www.baterogold.com/es/dep%C3%B3sito-la-cumbre |
| Newrange Gold Corp | Anori-Porce Rionegro Yarumalito Mercedes El Dovio | USD 52.9 million by 2014 | Canada | http://www.newrangegold.com/home.asp |
| Colombia Crest Gold Corp | Fredonia Venecia | CAD 100.6 million by 2013 | Canada | http://colombiacrestgold.com/resources/presentations/CLB_December_2013.pdf |
| Continental Gold Ltd | Buritica | USD 155.5 million by 2016 | Canada | http://www.continentalgold.com/en/investors/presentations/ |
| Galway Resources Ltd | Vetas | NA | Canada | http://www.galwaygoldinc.com/s/Vetas.asp |
| Gran Colombia Gold Corp | Zancudo Marmato Segovia | NA | Canada | http://www.grancolobiagold.com/Home/default.aspx |
| Company | Name of mine | Investment sum | Country | URL |
|-------------------------|--------------------|----------------|---------|----------------------------------------------------------------------|
| Ecooro | Angostura | NA | Canada | [http://www.ecooro.com/s/Angostura.asp](http://www.ecooro.com/s/Angostura.asp) |
| Miranda Gold Corp | Cerro Oro Oribella Antares | NA | Canada | [http://www.mirandagold.com/s/WhyColombia.asp](http://www.mirandagold.com/s/WhyColombia.asp) |
NA: Not available
Although the contribution of metal mining to the Colombian gross domestic product (GDP) in the past has been rather limited with 0,41% (2011), 0,46% (2012), 0,40% (2013), and 0.35% (2015) (Erlick, 2014; Ministerio de Minas y Energía, 2015), its share is expected to substantially increase by 2025. Due to the complexity of mining activities, it is difficult to estimate the proportion of gold production by legal or illegal mining. Companies affiliated with the Association of Large-Scale Mining contribute only 12% to the total national gold production, which constitutes a huge challenge for the Colombian government (Bernal, 2016).
Gold mining is an essential source of income in a number of developing regions, where the opportunities for economic activities are limited (Hinton et al., 2003). Economists consider that mining is the vehicle to drive sustained economic growth in developing countries, as in the past it was the main driver for growth and industrialization in countries such as Canada, USA and Australia (Whitmore, 2006). However, Power (2002) argues that when the development of mining activities occurs in a context of underdeveloped social, political and economic institutions, the wealth produced by the exploitation of the non-renewable resource tends to be misspent, the level of social conflict increases and nearly irreparable damage is inflicted on the environment. All of this together might leave a developing nation permanently poorer (Power, 2002). Therefore, considering the growth of an extractive industry as a potential driver for development requires careful consideration before making final conclusions about the extent of expected net benefits or inherent costs.
Literature on gold mining in Colombia can be found on the topics of gold prospecting (Horner et al., 2016), deposit formation (Madrid et al., 2017; Naranjo-Sierra et al., 2016), gold mining and exploitation (Fuller and Bygness, 2014) from different perspectives, i.e. historical (Brown, 2012), environmental sciences (Marrugo-Negrete et al., 2017; Salazar-Camacho et al., 2017), medical (Castellanos and Leon, 2010; Rodríguez-Villamizar et al., 2015), engineering (Álvarez et al., 2014; Bustamante et al., 2016), social science (McNeish, 2017; Rettberg and Ortiz, 2016) and also violation of human rights (Powell, 2015). This illustrates the broad spectrum of topics that have been covered by researchers in the past. However, with the exception of some recent literature that analyzes new perspectives of the gold mining sector in the country, few authors have sought to unify the various dimensions of gold mining in Colombia under the over-arching theme of economic growth and development.
This literature review was conducted to gain an overview of previous research in the gold mining regions of Colombia for the assessment of environmental and social impacts of gold mining activities in the involved communities. Against this background, this review aims to identify current initiatives created by researchers, the community, the government and international organizations to cope with the impacts of gold mining activities from the environmental and social perspective. Furthermore, this review identifies some opportunities for improvement for the gold mining sector in the country from the perspective of the development of communities in mining areas in an environmentally sustainable and socially sound way.
2.2 Methodology
The methodology followed for the elaboration of this literature review was based on the tasks proposed by Fink (2013) (Figure 2.1). The first task consisted of the selection of the research questions aimed to guide the review in order to understand the current challenges, initiatives and opportunities of the gold mining sector in Colombia. The following research questions were defined:
• What are the main environmental and social challenges that the gold mining industry currently faces in Colombia as a potential promoter of development in the country?
• What are the current initiatives that are being conducted to face these challenges?
• What are the main opportunities for improvement for the gold mining sector of the country from the perspective of the development of communities living in gold mining areas?
In a second step, terms were selected for the search in databases and search engines. The following search strings were selected for an initial screening of general information on gold mining in Colombia:
“gold” AND (“mining” OR “mine” OR “mines”) AND (“Colombia”)
After the general screening, specific terms that were considered of high importance for this literature review were included:
(“min*” OR “mine” OR “mines”) AND (“Colombia”) AND (“mercury” OR “cyanid*” OR “waste”)
(“min*”) AND (“Colombia”) AND (“poverty” OR “illegal*” OR “violence” OR “educat*” OR “informal*”)
(“min*”) AND (“Colombia”) AND (“reclam*” OR “revegetat*” OR restor*)
Following the definition of the search terms, an initial screening of publications was conducted on gold mining in Colombia for the period 2000 – 2017, using Scopus, Google Scholar and Web of Knowledge. Subsequently, the abstracts and full texts of the studies were assessed and classified according to the main topic addressed. The period 2000 – 2017 was selected because during this period the global production had increased to meet the rising demand for gold, paralleled by an increase in the price of gold, which has stimulated new gold mining activities around the world and made it feasible to mine for gold in areas that were previously not profitable for mining (Alvarez-Berrios and Aide, 2015). For information from government agencies and private
organizations, a search was performed individually for each specific topic. In addition, relevant books on the topic were searched and finally, experts on gold mining in Colombia were contacted to gather additional information on specific topics that were not sufficiently addressed by scientific literature or reports. Given that gold mining in Colombia is a broad field, the selection of the literature for this review was performed based on the eligibility criteria suggested by Liberati et al. (2009). The following criteria were used:
- **Type of studies**: Selected literature must be related to gold mining activities in Colombia regarding environmental, social and economic impacts. We define gold mining as stated by the National Mining Agency of Colombia as “Science, techniques and activities related with the discovery and exploitation of mineral deposits, including open-pit mining, quarries, alluvial dredging, combined operations that include underground or surface treatment and transformation” (Ministerio de Minas y Energía, 2003).
- **Topic**: The selected literature should contain the words “gold”, “mining” in the title and/or abstract. “Colombia” should be mentioned at least once in the body of the paper; however, when referring to global aspects this term was removed from the search.
- **Study design**: Scientific literature, reports and regulations were eligible for inclusion in the review, as some subjects were related to specific organizations, government agencies or gold mining companies that may not have scientific publications.
- **Year of publication**: Literature published from 2000 – 2017 was retrieved.
- **Language**: English and Spanish literature were selected for this purpose.
- **Publication status**: For scientific literature, only international peer-reviewed journal articles and books from recognized publishers in the field of gold mining were selected. Reports and official documents were accessed directly at the webpage of the author organizations or government agencies and third-party webpage links avoided.
The results of the search were synthesized descriptively by means of interpretations of findings based on the experience of the reviewers, the quantity and the content of the literature. The quality of the review was monitored by comparing the constructs with other research from within and outside of the field. The review was also presented to other researchers and practitioners for comments.
2.3 Environmental perspective
2.3.1 Environmental challenges
Waste generation and formation of technogenic surfaces
Given that gold is ranked as one of the best-performing assets globally, gold demand increased by 21% in the first quarter of 2016, showing the highest performance in almost three decades. In spite of a long-term decline in the demand for gold for technological devices and jewelry, the investment sector continues to drive the rising gold demand (World Gold Council, 2016). In 2015, Colombia ranked 18 among the gold-producing countries with an increasing trend over the previous 10 years (15.6 tons in 2006 and 59.2 tons in 2015) (World Gold Council, 2015). The increasing demand for the metal has led to more mining and greater waste production. The inflows and outflows of the gold extraction and recovery processes are illustrated in Figure 2.2. In 2015, the global gold production was 3,000 tons, with around 56,000 tons of global reserves in identified resources according to government and corporate reports (World Gold Council, 2016). Assuming that the average ore grade for gold is 2 ppm, then approximately 1,500 million tons of solid waste were generated in 2015 (USGS, 2016). The large volumes of excavated rocks and soil form waste deposits that cover the original soil and influence its ecological functions (Shlyakhov and Osipov, 2004).
The major types of waste deposits in Colombia have developed from dredged sediments that form dumps. Dredged sediment dumps consist of re-deposited sediments that have been washed by suction or bucket dredges. At the landscape scale,
placer mining with suction dredges leads to modification of channels, beds and slopes in river valleys (Egidarev and Simonov, 2015). Mechanical dredging also destroys natural wetlands while at the same time creating man-made wetlands or flooded pits to supply water for the mining operations. The use of mechanical dredges is very common in north-eastern Antioquia, specifically in the Cauca and Nechi rivers. These operations have changed the hydrologic connectivity of the wetlands by partial or total dredging of these areas (Villa and Tobón, 2012).
According to the latest report published by the Colombian environmental authority in 2016, an area of 78,939 ha was affected by alluvial gold mining in 2014 (UNODC, 2016). Almost 80% of the gold mining areas are in the departments of Antioquia (33%) and Choco (46%). Around 8% of the total land of the country affected by dredged dumping sediments is concentrated in only one municipality, Nechi, Antioquia. According to UNODC (2016), 24,450 ha of natural forest and secondary vegetation were lost in 2014, mainly in Choco (77%). An analysis of the temporal degradation dynamics shows that between 2001 and 2014, an area of 44,746 ha was degraded by alluvial gold mining over the whole country (UNODC, 2016).
Mining of lode gold deposits also creates waste deposits, which are formed after the removal of the surface soil layer and underlying rocks. Moreover, pollutants can be released from the mining sites. Their type and magnitude depend on the mining technology, geology, topography and regional climate. For example, climatic conditions with high temperatures and humidity may stimulate reactivity of post-mining sites. Furthermore, physical rock transformations take place, such as the formation of coarse-grained material due to fragmentation. Chemical processes like oxidation, acidification, hydrolysis, metal leaching and precipitation of sulfates are other potential sources of pollution (Wahsha and Al-Rshaidat, 2014).
| Stage | Inputs | Process | Waste | Emissions |
|-----------------------|-------------------------------|----------------------------------------------|--------------------------------|--------------------|
| Gold deposits | | Lode and placer deposits | | |
| Mineral extraction | Electricity, Fuel, Water | Dredging, strip mining, excavations | Rock, Sand, Acid drainage, Wastewater | CO$_2$, SO$_x$, NO$_x$, Dust, Noise |
| Separation and selection | Electricity, Fuel | Gravimetry, crushing and grinding | Wastewater, Rock, Sand | CO$_2$ |
| Concentration | Electricity, Fuel, Mineral, Mercury, Cyanide | Amalgamation and cyanidation | Mercury, Cyanide solution, Sludge | Mercury vapor |
| Recovery | Gold-mercury amalgam, Cyanide, Fuel | Recovery | Tailings, Zinc cyanide, Sludge | Mercury vapor |
**Figure 2.2.** Inflows and outflows of gold extraction and recovery. (adapted from UPME, 2007).
**Mercury emissions**
Small-scale mining represents 20-30% of the global gold production (Veiga et al., 2014b) and 72% of the total gold production in Colombia (Calderon et al., 2016). Miners usually accumulate the ore and take it to processing centers known as ‘entables’, where mercury is added to the whole high-grade material in small ball mills for the separation and extraction of the gold from the gold-bearing material. Generally, gold processing around the world occurs in rural districts or industrial zones, but in Colombia,
the security risks for processing the extracted ore in rural areas are too high, and thus gold refiners set up their ‘entables’ in urban centers (Siegel, 2013).
Mercury is preferred by miners because it is easy to use and transport, easily accessible and cheap, and allows them to perform the whole extraction process independently without having to rely on partnerships with other mining cooperatives or other miners (Güiza and Aristizabal, 2013). According to the Legiscomex database, in 2014 the most important providers of mercury to Colombia are, among others, Mexico (233.8 tons), Spain (184.6 tons), The Netherlands (180.3 tons), USA (152.1 tons), Germany (82.1 tons), and Peru (21.7 tons) (Ministerio de Minas y Energia and UPME, 2014). Tracking the fate of the imported mercury is complicated since it is mostly traded by private companies, but its use is generally attributed to gold mining (Ministerio de Minas y Energia and UPME, 2014).
Two techniques are used for gold amalgamation with mercury. The first technique uses all of the accumulated ore after crushing, grinding and washing. Then usually only 10% of the mercury adheres to the amalgam while 90% is immediately released. The second technique involves the gravimetric concentration of gold-bearing material where the heavier particles are collected in a pan and mercury is used to amalgamate the finest particles of the gold. In this process, 85-90% of the mercury adheres to the amalgam and the rest is released. After the amalgam is obtained (50% gold, 50% mercury), it is heated to recover the gold. When the heating process is performed outdoors, all of the mercury is released to the atmosphere, and if retorts are used to capture mercury vapor they can recover up to 95% reusable mercury (Güiza and Aristizabal, 2013). As means of payment, miners are usually asked to leave their tailings to be further leached with cyanide as residual gold to be sold by the ‘entable’ owners (Saldarriaga-Isaza et al., 2013).
In 2011, Colombia was ranked as the world’s third largest source of mercury emissions and as the world’s highest per capita mercury polluter (Cordy et al., 2011).
Due to the lack of technologies to reduce mercury emissions, the metal is deposited in the sediments of nearby wetlands, which act as sinks and produce methylmercury, which is the most toxic mercury compound. Additionally, about 33% of the emitted mercury ends in solid waste, soil and water bodies (Marrugo-Negrete et al., 2015a). Studies that evidence the presence of mercury in different compartments of ecosystems in Colombia are listed in Table 2.2.
In northern Colombia, the Cauca and Magdalena rivers form a complex of wetlands rich in biodiversity but highly endangered by artisanal and small-scale gold mining. Pinedo-Hernandez et al. (2015) found concentrations of mercury of 0.196-1.187 μg/g in the sediments of the Mojana region, which is one of the regions most impacted by gold mining and also one of the most biodiverse regions of the world (Díaz, 2004). Considering that natural background levels of mercury in the region are 0.075 μg/g, the study proved that the Mojana is contaminated by substantial contributions of mercury from the Cauca River, which receives most of the tailings from the largest zone of gold exploitation in north-eastern Antioquia through flooding processes during the rainy season (Pinedo-Hernandez et al., 2015). Marrugo-Negrete et al. (2015b) studied the distribution of mercury sediments in two swamps of the Mojana region where the concentration in sediments ranged from 0.145-0.343 μg/g, whereas the elemental mercury fraction was 30% and the bio-available fraction 15% (Marrugo-Negrete et al., 2015b). These studies show that aquatic environments and human health are at risk due to the unstable mercury compounds that could enter water bodies and accumulate in the food chain.
A probabilistic risk assessment of inhalation of mercury-laden outdoor air conducted by Miguel et al. (2014) highlights the excessive levels of risk the residents of gold mining communities are exposed to. In addition, the fact that gold mining communities are generally fishing communities aggravates the risk (Miguel et al., 2014). Alvarez et al. (2012) found evidence of bio-accumulation of mercury and methylmercury in six fish species from the Nechi River, suggesting a high risk for frequent fish consumers.
given that an average of 56% of the mercury is present in the fish in its methylated form. The risk from ingestion of mercury-contaminated fish is compounded by the inhalation of mercury in the air. For miner smelters who burn the amalgam, the risk of developing adverse health effects is 200 times higher than the acceptable levels in most environmental standards (Miguel et al., 2014).
**Table 2.2.** Studies quantifying the accumulation of mercury in different environmental matrices associated with gold mining
| Matrix | Level of mercury (µg/g) | Location | Maximum mercury level (µg/g) permitted by WHO | Reference |
|-----------------|-------------------------|---------------------------|-----------------------------------------------|------------------------------------------------|
| Tropical swamp | 0.145-0.313 | Grande Achi Swamp | | Marrugo-Negrete et al., 2015b |
| River sediments | 0.4-63.5 | San Martin de Loba | | Olivero-Verbel et al., 2015 |
| Surface sediments| 0.196-1.187 | Mojana region | | (Pinedo-Hernandez et al., 2015) |
| Fish | 0.433-0.934* | La Miel and Nechi rivers | 0.5* | Alvarez et al., 2012 |
*Mercury as methylmercury (Hg = MeHg / 1.0749)
**Water, energy use and greenhouse emissions**
Mudd (2007) presented a study on resource intensity based on data available for countries like Australia, Canada, South Africa and the United States in the context of a sustainability analysis of gold mining, and stated that the supply and consumption of economic energy is a key viability factor of gold mines, as well as the availability of a water supply. As with water and energy, greenhouse emissions through fossil fuels represent an environmental challenge for the mining industry globally, which is
particularly problematic for gold mining that involves large-scale open-cut operations (Calvo et al., 2016).
Results of a recent life-cycle assessment show that the environmental footprint of gold production regarding greenhouse emissions, water consumption and solid waste burden is by several orders of magnitude greater than for the extraction processes of other metals such as Cu, Ni, Pb, Zn, Al or Fe (Norgate, 2012), which is attributable to the low concentration of gold in ores that causes emissions and high energy use in the mining and mineral processing stage.
To the best of our knowledge, not many mining companies have published sustainability reports that include information on water and energy use, and greenhouse emissions. Continental Gold reported a total discharge of 528,509 m$^3$ of water, related to domestic and industrial wastewater, groundwater inflow to an underground mine and water outflow from exploration tunnels. The internal energy consumption for 2015 was 3.0 gigajoule per ounce of gold produced. In addition, 3.9 gigajoules were consumed through non-renewable fuel and 21.5 gigajoules purchased for consumption (Continental Gold, 2015). Yet the company did not report on environmental performance regarding noise or air emissions. Mineros S.A. consumed 394,200 m$^3$/year of water and in terms of energy 3.58 gigajoule per ounce of gold produced (105,045,546 kW/h for 105,459 ounces of gold). In addition, it estimated that for alluvial operations in 2016, 0.64 tons of NOx were released, 9.7 µg/m$^3$ of PM10, and 0.14 µg/m$^3$ of SO$_2$. For underground operations, Mineros S.A. estimates that 18.6 µg/m$^3$ of PM10 were emitted (Mineros S.A., 2016a). The current technologies of extraction put considerable pressure on the environment. Therefore, to conduct further studies on the resource intensity of these operations, the mining companies need to publish their sustainability data, so that strategies can be designed to improve resource management and identify local and country trends.
2.3.2 Initiatives for environmental protection
Reclamation of waste deposits
Reclamation is the process by which waste deposits are returned to productivity, essentially by the re-establishment of a vegetation cover. The sustainability of the reclamation practices depends not only on vegetation redevelopment but also on the improvement of soil organic matter quantity and quality, restoration of nutrient cycling processes (Banning et al., 2008), soil stabilization, pollution control, and reduction of other threats to the environment (Sheoran et al., 2010).
After the deposit of the river sediments (gravel and sand), heavy machinery is used to grade the surface, and this can cause soil compaction (Meuser, 2013). Therefore, adequate re-contouring of the landscape to enable sufficient water infiltration and to limit runoff is necessary, thereby preventing soil erosion; the slope gradient should not exceed 1.5%. The geological origin of the deposited material that the waste deposit consists of is crucial for determining the reclamation opportunities of the terrain. For example, in the case of material stemming from the tertiary period, which is consequently sandy and contains pyrite, silviculture would be a suitable reclamation strategy, whereas deposits of alluvial sediments consisting of silt loams, loams, and silty clay loams are preferred for agricultural use (Meuser, 2013).
In Colombia, Thomas (2014) documents the existence of forest restoration projects that could become a model for reclaiming mined lands around the world. The author refers to the reforestation of 1,290 ha in Cáceres, Antioquia, that started in 2002 with *Acacia mangium* Willd. (Fabaceae) and some native tree species. To begin with, the barren landscape was reshaped using a bulldozer and the soil amended with sewage sludge, microorganisms, and nutrients. After ten years, *A. mangium* was replaced with native species to increase diversity. In this process, the local people were involved in the reclamation process and the social benefits in the form of timber sales and carbon credits were shared among them (Thomas, 2014). In another important gold mining
region of Colombia, close to the municipality of Condoto in Choco, *A. mangium* and *Bixa orellana* L. (Bixaceae) were established on waste deposits created by small-scale mining activities (Mosquera et al., 2008). Both species were able to adapt to the conditions of the soil, with an average monthly stem growth of 0.2 cm without fertilization or amendments (Mosquera et al., 2008). Establishing an *A. mangium* plantation on a waste deposit resulting from small-scale mining in north-eastern Antioquia yielded high amounts of litter, which is an important source of organic matter and nutrients (Castellanos and Leon, 2010). The trees showed high foliar concentrations of nitrogen as well as a high capacity to associate with nitrogen-fixing soil bacteria, while phosphorus was the nutrient that limited the productivity of *A. mangium* most (Castellanos and Leon, 2010).
Along the same lines, the Colombian company Mineros S.A. has been establishing agroforestry parcels since 2000 to reclaim waste deposits in the municipalities of Nechi and El Bagre, Antioquia. The aim is to preserve native flora and fauna while supporting settlers and their families through the establishment of crops. The company provides the families with basic sanitation facilities and trains them to produce compost and establish nurseries with plant species selected for the reclamation process (Mineros S.A., 2016b). It considers agroforestry and the dual-purpose use of crops and livestock as an alternative to protective reforestation plantations. In addition to such reclamation practices, miners in north-eastern Antioquia are attempting to restore wetlands impacted by mechanical dredging through the establishment of native shrubs and tree species such as *Prioria copaifera* Griseb. (Leguminosae), *Senna bacillaris* (L. f.) Irwin & Barneby, and *Pterocarpus* spp. (both Fabaceae). However, since seedlings often die because of droughts and/or flooding, it is important to consider hydrological balances in the planning stages of such wetland reclamation plans (Villa and Tobón, 2012).
Achieving reclamation of a post-mining site is a long-term process, and to improve such management strategies it is necessary to correctly interpret early signs of
reclamation success or failure (Gould, 2012). Therefore, temporal trends in various indicators have been studied, such as changes in soil physical (Kuráž et al., 2012) and chemical properties (Abakumov et al., 2013; Banning et al., 2008), landscape functionality (Antwi et al., 2014; Gould, 2012), soil functional diversity (Lewis et al., 2010), carbon sequestration (Karu et al., 2009) and composition of soil bacterial communities (Li et al., 2014). In addition to the implementation of a reclamation strategy, the monitoring of specific recovery indicators is crucial. If negative trends are detected in a timely manner, problems can be fixed at low cost (Hendrychova, 2008).
For gold mining, it is necessary to perform long-term monitoring along with a runoff management plan to reduce acid mine drainage. For instance, covering potential acid forming material with non-acid forming material and a layer of clay can minimize the potential for water or oxygen to ingress within the site and considerably reduce the overall load of mine acid drainage (Changul et al., 2010).
Although the biophysical aspects of reclamation are highly relevant, there is a clear necessity to design and implement reclamation programs that engage local communities and consider the site-specific socioeconomic context (Chabay et al., 2015). An extensive body of research demonstrates that long-lasting reclamation projects rely not only on the suite of scientific practices and field observations to be performed but also on the support by local communities, effective policies, financing and appropriate legislation (Higgs, 2005).
**Mercury reduction and remediation**
Saldarriaga-Isaza et al. (2013) found that, in addition to the low cost of the mercury, two main factors explain its massive consumption in artisanal gold mining, i.e. low level of education of the miners and lack of credit facilities. Very often young children work in the mines instead of attending school. Lack of credit facilities, little savings of households, and skeptical attitudes toward alternative technologies are major
barriers to the adoption of alternatives to mercury use. However, to sustainably reduce mercury pollution, it is pivotal to identify the needs and constraints of the miners, understand how they are organized, and find ways to address these issues (Veiga et al., 2014a).
After 2010, when the municipalities of Segovia, Zaragoza, Remedios, El Bagre, and Nechi in Antioquia were considered the world’s largest mercury polluters through artisanal gold mining, the United Nations Industrial Development Organization (UNIDO), together with the regional government of Antioquia and several Colombian universities started the Colombia Mercury Project, which is aimed at reducing mercury use and losses (UNIDO, 2012). In spite of initial resistance, 39 mercury-free processing plants were constructed by 2013, and miners, as well as owners of “entables”, were taught cleaner processing methods resulting in a 63% reduction in mercury entering the environment (García et al., 2015). This translates into a reduction of 46-70 tons of mercury used and released in Antioquia. Concurrently, airborne mercury concentrations were substantially reduced, e.g. in Segovia by up to 80%, mainly because of retorts, a decrease in milling speeds, and the use of mercury-free gold extraction techniques. In addition, a new regulation was established in which processing centers were restricted to non-urban areas (Cordy et al., 2015).
Other measures that helped to address mercury pollution were the enforcement of the law that prohibits the use of mercury in gold mining, the increase in the price of mercury, and contract agreements established between artisanal miners and gold mining companies operating in the region. The latter allows the miners to sell the extracted ores to the company to be processed by cyanidation without mercury as an alternative to bringing the ores to the “entables” (Saldarriaga-Isaza et al., 2015). These authors also suggest that a complementary form of intervention could be the creation of local associations among artisanal and small-scale gold miners, who would not only improve the relationship with the state but would also allow miners to accumulate the financial capital to acquire cleaner and more productive technologies.
Therefore, the authors explored the role of two institutional arrangements on associative entrepreneurship through an experiment with small-scale miners from Segovia and Remedios (Antioquia). Their findings suggest that a co-management scheme could encourage a well-established association of miners to access better, cleaner and more productive technologies.
However, beyond reducing the use of mercury in artisanal gold mining, other strategies to remediate the mercury pollution in soil and water are needed. Although physicochemical treatments can remediate metal-contaminated soils, they are usually expensive and can affect soil properties to such an extent that the soils can become unsuitable for plant growth (Marrugo-Negrete et al., 2015a). Therefore, phytoremediation is an alternative for remediation of mercury-contaminated soil. Phytoremediation of heavy metals is usually conducted with hyperaccumulator species, which have the ability to concentrate such metals up to 0.01% of their dry weight (Lasat, 2002). Marrugo-Negrete et al. (2016) conducted greenhouse experiments with *Jatropha curcas* L. (Euphorbiaceae) growing on mercury-contaminated soil that originated from the El Alacran gold mine in northern Colombia. It was found in gold mining areas where amalgamation processes are conducted with mercury, and where the soil is highly polluted with heavy metals. *Jatropha curcas* proved to be very suitable for the phytoremediation of mercury-contaminated soil given that it did not exhibit signs of toxicity, and the translocation of mercury to the aerial parts of the plant was very low, indicating that the mercury remained primarily in the roots (Marrugo-Negrete et al., 2016). Subsequently, the authors also tested *Thalia geniculata* L. (Marantaceae), *Piper marginatum* Jacq. (Piperaceae) and *Cyperus ferox* Rich. (Cyperaceae), and all three-plant species proved to have the ability to accumulate high levels of mercury in their roots and shoots. However, due to the high heavy metal concentrations of plants used for phytoremediation, its use for feed or food could pose some risk to livestock, wildlife and humans (Marrugo-Negrete et al., 2016).
2.3.3 Opportunities for environmentally sustainable gold mining
Even though the association of mining with sustainability might be counterintuitive in the sense that the life of a mining project is limited by orebody geology and depends on market fluctuations, it is usually followed by lasting local economic, social and environmental effects. For this reason, the mining sector should look for ways to reduce local costs and risks to provide more positive and durable local benefits (Gibson, 2006). In the context of developing countries, Kumah (2006) provides a definition of sustainable gold mining as the one that "meets the needs of present and future generations, and internalizes the cost of adverse biophysical, economic, and social effects on a community". However, sustainability of a non-renewable resource must consider the fact that until the world demand for primary materials subsides, and recycling and reuse are the norm, the mining sector has a clear task: to make mining even more sustainable. For this purpose, global alliances have been formed, such as the Global Mining Initiative and the International Council on Mining and Metals. These organizations ensure that mining is conducted in such a way that is responsive to global needs and challenges (Batterham, 2017).
Sustainable use of resources
Efficiency in the use of resources is an important aspect in terms of reducing the impact on ecosystems and emissions resulting from mining activities (Ranängen and Lindman, 2017). So far, the information on water and energy use is limited to that provided by two mining companies. Therefore, it is an area with great potential for improvement. Energy and water use efficiency programs need to be implemented to promote sustainable use of resources. The gold mining sector should also encourage the use of solar energy, geothermal energy, hydroelectric, wind power and biomass (Awuah-Offei, 2016). In the specific case of the gold mining sector in Colombia with its rapidly expanding industrial infrastructure, the country has a good opportunity to increase competitiveness by applying energy-efficient best practices, as integrating energy efficiency into the initial design is typically less expensive and allows better overall
results than retrofitting existing industrial facilities (McKane, 2010). In addition, the companies should reduce the use of water in the operations and stimulate water conservation as far as possible (Ranängen and Lindman, 2017).
The release of pollutants such as lead, mercury, cyanide, as well as the greenhouse gas emissions and any other substance that can have a detrimental impact on the environment and health should be regulated by comprehensive environmental legislation, especially for gold mining activities, which can pollute water bodies through direct intentional or accidental discharges and the soil through the generation of waste and pollutants discharge. For this purpose, the adoption of international standards for environmental protection could enhance environmental performance and sustainability of the gold mining sector (Da Fonseca, 2015).
In the last years, the integration of biodiversity issues into corporate environmental management practices has gained attention. Given the current rate and irreversibility of biodiversity loss, it is considered to be one of the main environmental challenges, especially in the case of natural resource-based organizations such as the mining industry (Boiral and Heras-Saizarbitoria, 2017). The daily operations of the gold mining sector have a direct impact on biodiversity, especially when they are in biologically sensitive areas in which various species have their natural habitats. For example, gold mining companies have named a mountain chain within the Colombian department of Santander as one of the largest untapped gold reserves in the world. However, NGOs and citizens are concerned about the prospect of a large-scale mining operation in the water-rich area of the Páramo de Santurbán, which includes 11,700 ha of land in which no economic activity is permitted (Ochoa, 2017). In Colombia, the páramos (Andean highland wetlands) are strategic territories that stimulate agricultural production systems and biodiversity conservation practices and are the main water supply for many urban centers (Duarte-Abadía and Boelens, 2016).
Therefore, biodiversity protection needs governmental intervention. Any development of the gold mining industry must be subject to legal requirements specific to biodiversity conservation, such as impact studies, rehabilitation operations and protection of threatened species. In addition, corporations should comply with voluntary agreements on biodiversity with government agencies, NGOs, policies and guidelines, as they take root at the local level, imply positive outcomes for stakeholders, and increase social acceptability of mining operations (Boiral and Heras-Saizarbitoria, 2017).
**Development of a framework for sustainability assessments**
The mining industry has economic, social and environmental impacts on society, therefore the criteria that need to be given priority depending on the location of the mining operations (Ranängen and Lindman, 2017). Local-level sustainability for the mining sector should be reflected as the continuity of the added-value and wealth generated from the exploitation of mineral reserves (Yaylacı and Düzgün, 2017). Therefore, given the uniqueness of every mining project in terms of technical characteristics, and environmental, social and economic impacts, it is necessary to develop a general framework for sustainability assessment that can capture the unique conditions of each mining project. The lack of concrete sustainability principles to assess the impacts of mining on community development can limit the understanding of the true effects of mining, which also limits the creation of development initiatives that might be more fruitful for the mining communities (Antwi et al., 2017).
Unsupported decision making as often occurs in gold mining projects, are usually problematic in terms of the influence of political and economic agendas, as well as the lack of capacity of the decision making. Therefore, the use of computer-based methods for risk and decision analysis can be implemented to evaluate and analyze scenarios considering environmental, social, economic and cultural criteria in the assessment (Mihai et al., 2015). Therefore, several frameworks for assessment of sustainability in mining have been developed worldwide. One of the most popular ones
is the Global Reporting Initiative (GRI, 2017), which is based on indicators and has specific contents for the mining and extractive sector. Furthermore, there are several initiatives, such as the one lead by the Intergovernmental Forum on Mining, Minerals, Metals and Sustainable Development (IGF) that developed a policy framework that promotes the contribution of mining, minerals and metals sector to sustainable development and poverty reduction in more than 60 countries (IGF, 2013). Towards Sustainable Mining (TSM) is backed by a suite of protocols that mining companies measure and report in the areas of community outreach, energy and emissions, tailings, biodiversity conservation, safety and health, crisis management, and preventing child and forced labor (The Mining Association of Canada, 2017). The Leading Practice Sustainable Development Program for the Mining Industry (LPSDP) is a program that promotes sustainable development and industry self-regulation through a proactive adoption of practical principles on airborne contaminants, community engagement and development, energy management, mine closure and rehabilitation, and indigenous communities (LPSDP, 2016). However, the adoption of a sustainability assessment framework in Colombia should be done with the active involvement of stakeholders to integrate the measured parameters in the decision-making processes. Furthermore, it is critical that the framework for sustainability assessment should consider the entire life of the mine, from exploration to closure of a fully rehabilitated site. Maintaining continuity and coherence throughout the phases of temporary closure, waste management and rehabilitation should have a full consideration of long-term impacts and potential environmental legacies (Lèbre et al., 2017). Moreover, ecological footprint analyses of gold mining can be used as an indicator to monitor and regulate operations, quantify environmental impacts of mining, and promote long-term environmental sustainability. The ecological footprint is defined as the area of ecologically productive land such as cropland, pasture and forests that would be required to provide all the resources consumed and absorb the wastes discharged by a mining operation (Sinha et al., 2017). Sustainability of small-scale mining can be approached by providing technical knowledge on geological exploration, mineral processing and more efficient equipment. For this purpose, the necessary capital resources partnership agreements can be
established with external investors, as it is likely that the owner of a small-scale mining facility does not possess the capital resources for engaging in sustainability improvements (Seccatore et al., 2014).
2.4 Social perspective
2.4.1 Social challenges
Poverty, illegality, and violence
As a consequence of the governmental support to mining activities, there has been a sharp increase in the number of licenses granted for gold mining between 2000 and 2012, but concurrently also a significant rise in illegal gold mining (Idrobo et al., 2014). The poor enforcement of property rights in the gold mining areas and an extremely low presence of the state in many areas of the country has led to the engagement of armed groups in gold mining. The increase in the international price of gold has had a considerable effect on the levels of violence as evidenced by the number of massacre victims (Idrobo et al., 2014). This can be explained by the fact that turf wars between illegal armed groups over municipalities they seek to control often leads to massacres and arbitrary homicides. Despite the high extent of violence, Idrobo et al. (2014) found that forced displacement did not increase in the illegal mining areas, probably because illegal mining is labor intensive, and displacing local inhabitants would lead to labor shortages and subsequently rising labor costs.
Evidence suggests that gold mining in Colombia is permeated by illegal groups linked to armed conflicts, criminality, and drug trade (Idrobo et al., 2014). In approximately 38% of the territory where alluvial gold mining is carried out, coca for cocaine extraction is also grown (Figure 2.3). In the departments of Putumayo, Nariño, and Caquetá, more than 80% of the territory is affected by both coca cultivation and alluvial gold mining. In the departments of Antioquia and Choco, on 30-35% of the area used for alluvial gold mining, coca plants are also grown (UNODC, 2016).
According to the Environmental Justice Atlas (Specht and Ros-Tonen, 2016), 36 out of 99 environmental conflicts in Colombia between 2012 and 2015 were related to gold mining. In addition, Colombia is the country with the highest number of environmental conflicts on the South American continent (UNODC, 2016). Moreover, the attention to drugs alone as a conflict source has overshadowed the degree to which illegal groups have permeated economic activities (Rettberg and Ortiz, 2016). For instance, in regions where anti-drug efforts have been successful, gold mining emerges as a substitute for illicit crops, often promoted by the Colombian government as a driver of development but concurrently pursued by criminal actors as an alternative source of income (Rettberg and Ortiz, 2016).
Figure 2.3. Gold mining linkage with illegal armed groups and production of illegal crops in Colombia. Horizontal lines represent the most important gold producing areas (UPME, 2016). Vertical lines represent municipalities with gold mining activities and presence of illegal crops (UNODC, 2017). Diagonal lines represent gold mining areas under the influence of illegal armed groups in 2017 (Indepaz, 2017). Crossed diagonal lines represent areas with gold mining activities and presence of illegal crops under the influence of illegal armed groups.
Tubb (2015) found a common behavior generating conflicts within the communities. To share the profits of an increased gold production, artisanal gold miners frequently rent their territory to small-scale miners who use excavators for exploitation. Therefore, small-scale miners often work where artisanal miners have already mined, and usually set up scattered mining camps and start to use large excavators and floating dredges. The scale of deforestation, erosion, sedimentation and mercury contamination is much larger when mining is performed by excavators than by artisanal miners. This behavior often generates conflicts with the adjacent communities because of the resulting deforestation, mercury contamination and higher malaria incidence due to the increased abundance of water-filled pits. For instance, between 2010 and 2013, in the Colombian gold mining districts of Bolivar, Choco, Nariño, and Antioquia 36% of the malaria cases were related to gold mining activities (Castellanos et al., 2016). Legal and illegal mining areas are generally located in regions with high prevalence of malaria, and the substantial migration induced by mining activities favors the circulation of the pathogens through movement of infected individuals throughout the mining districts (Castellanos et al., 2016).
Acemoglu et al. (2012) compared poverty rate and secondary school enrolment between gold mining municipalities in Colombia and those without gold mining and found that gold mining municipalities had almost 15% higher poverty rates and 10% lower secondary school enrolment rates. Child vaccination rates were 30% lower in gold mining municipalities than in the neighboring municipalities, the latter rates comparing well with those in the rest of the country. In addition, municipalities without gold mining had around 20% higher water and electricity supply coverage than the gold mining municipalities. Malaria prevalence was four times higher in gold mining municipalities compared with the average of the country, mainly because of higher rainfall, generally warmer climates and more widespread water pools in the mining regions. All these disadvantages are further aggravated by the low degree of state presence in the gold-deposit areas of Colombia (Acemoglu et al., 2012).
Moreover, gold producing municipalities, specifically in Antioquia, have substantially higher numbers of violent deaths, child mortality, unfulfilled basic needs and greater misery than in the rest of Colombia (Rudas, 2013 and Table 2.3). This means that gold mining does not represent significant improvements in the living conditions of the population. The promotion of FDI in large-scale mining projects by the Colombian government has additionally raised fears in small-scale mining communities that the state plans to clear away their business in favor of multinationals. Therefore, civil groups are increasingly monitoring conflicts between mining companies and such communities (Tubb, 2015).
The reliance of the Colombian government on large-scale mining projects has been questioned, especially the expectations that this would improve the living conditions of affected communities. Rudas (2013) analyzed social indicators in municipalities in Antioquia where a large mining company operates (Table 2.3), and showed that violent deaths and child mortality were not different compared to other gold mining municipalities of the region. The levels of unfulfilled basic needs and the proportion of the population living in extreme poverty were considerably higher than in the rest of the gold mining municipalities of the department. Thus, it appears that formalized large-scale mining does not automatically lead to an improvement in the living conditions of the people in such regions.
According to the Colombian government, small-scale and artisanal mining is often performed in a “traditional manner, lacking appropriate technology and characterized mostly by the informality and subsistence, which makes it unsafe, non-profitable, uncompetitive and environmentally not sustainable” (Urán, 2013). Repeatedly, literature as well as legislation groups the artisanal and small-scale mining sectors together, and contrasts them with the formal large-scale mining sector that usually can count on support by the state (Tubb, 2015).
Table 2.3. Social indicators of gold mining regions compared with non-gold mining municipalities of Antioquia, Colombia (based on Rudas, 2013)
| Indicator | In gold mining municipalities | In non-gold mining municipalities | In municipalities where a large mining company operates | In the other gold mining municipalities |
|------------------------------------------------|-------------------------------|-----------------------------------|------------------------------------------------------|----------------------------------------|
| Violent deaths (per 100,000 inhabitants) | 96 | 47 | 81 | 98 |
| Child deaths (per 1,000 births) | 28 | 25 | 30 | 28 |
| Unfulfilled basic necessities (%) | 48 | 35 | 61 | 46 |
| Population living in misery (%) | 22 | 13 | 35 | 21 |
Informality of miners
Despite the regulations on artisanal mining in Colombia, informality remains strong. Informality here refers to any mining activity that is performed without a license from the official Colombian Environmental and Mining Authority. Informal mining triggers informality in many other dimensions like contract agreements without guarantee of social security, lack of environmental management plans, and unaccomplished safety regulations within the mines. In addition, it disrupts the tax regulations by evading the payment of royalties to the state (Chen and Perry, 2014).
In 2011, according to the most recent mining census of the Ministry of Mines and Energy, 86.7% of the gold mining production units (i.e. six or more miners) did not possess a mining license, and only 1.5% of the mining production units adhered to an
environmental management or restoration plan (Ministerio de Minas y Energía, 2011). Approximately 15,000 to 30,000 artisanal gold miners in Antioquia perform their activities informally in the Lower Cauca River and the north-east of the department. The majority of Antioquia’s gold production stems from five municipalities, i.e. Segovia, Remedios, Zaragoza, El Bagre and Nechi with a total population of 162,000 inhabitants (García et al., 2015) that contribute almost 30% to the national gold production (SIMCO, 2017). Given the precarious conditions, informal mining affects the welfare of the population, causes significant environmental impacts, and threatens biological resources (Goñi et al., 2014).
**Post-conflict considerations for gold mining activities**
In some of the territories in which the peace agreement is primarily going to be implemented, some extractive processes are taking place, where armed illegal forces have a strong influence keeping the mining activities under surveillance, charging fees for the transit of machinery, designating boundaries, etc. Therefore, it is important to acknowledge that implementing the peace agreement in these areas might generate a greater environmental impact as it might leave unfilled spaces that can later be taken over by new armed forces. Furthermore, the deactivation of these coercive structures might allow the entry of mining companies or interested parties that are willing to develop extractive activities that are not feasible due to the armed conflicts (Aponte et al., 2016). This could mean that the benefits through the peace agreement might be overshadowed by the increase in environmental degradation. McNeish (2017) considers that rather than forming the basis for the equitable development of the country, an expansion of the extractive sector can fuel the mutation of the armed conflict and result in a series of humanitarian crises throughout the country that already has the largest internally displaced population in the world.
The challenge concerns the question of how to involve armed actors in conflict resolution when they have the apparent purpose of attracting economic resources. The question then arises as to whether the state should guarantee the common interests of
the other parties in the conflict and ensure the protection of the rights of the citizens (Valencia and Riaño, 2017). Therefore, it is important to consider the presence of armed actors in the dialogue and joint construction of the territory. However, the need to involve them in these scenarios should be viewed with caution, because armed groups constitute a threat to the communities. The decision must be taken after investigating the role of the armed groups with different parties in the framework of an ethnographic study that allows identifying information sources (Valencia and Riaño, 2017).
2.4.2 Initiatives for improvement of community well-being
Community involvement
The mining industry impacts not only the environment but also local economies, social structures and cultural values (Lyytimäki and Peltonen, 2016). Communities that directly depend on natural resources and environmental services for their livelihoods are the most affected. Such communities often experience displacement by mining activities and suffer from the effects of the creation of wastelands from open-pit mines and topsoil removal, pollution of water systems, air and soil, acid leaching and deforestation (UNDP, 2012). According to Schueler et al. (2011), surface mining of gold has weakening effects on regional development. For instance, local people experience that the foundations of their livelihoods erode, that they lose income opportunities, suffer from health problems and social and cultural alienation, as well as from conflicts over the use of land, as farmers are often forcefully evicted from their farmland (Schueler et al., 2011).
To reinstate the livelihood of affected farmers, the reclamation of gold-mining spoils can be performed through a combination of woody perennials, annual crops and livestock that can contribute to soil improvement in terms of structure, organic carbon, and nutrient status while concurrently producing time savings, fruit, timber, and fuelwood for the community (Hermawan, 2016). Communities should be actively involved in such reclamation processes, e.g. through weed and fire control, the supply of local seeds, seedling establishment, and maintenance of trial farms, while the risks of
crop establishment and grazing should be assessed according to biophysical characteristics of the site that might influence land productivity and grazing activity (Tetteh et al., 2015a).
Moreover, risk factors that might influence farmers’ and cattle grazers’ ability and willingness to comply with the reclamation-related caveats of land management need to be addressed. Farmers should be engaged from the early stages of reclamation planning to increase their commitment to voluntarily comply with the challenges of reclaiming mined land (Maczkowiack et al., 2012). In a case study of land reclamation by AngloGold Ashanti Ltd., 90% of the community was involved (Tetteh et al., 2015a). Their perceived main benefits were improving food security by raising agricultural production, opportunities for marginalized groups to access land, increase in the monetary value of land, mitigation of environmental hazards, creation of employment, prevention of conflicts, and enhancement of peace and stability.
In addition to reclamation schemes that engage communities, initiatives like Oro Verde have emerged from the communities to address their own needs. Oro Verde began when artisanal miners looked for support beyond the public administration and established links with non-governmental organizations (NGOs) that were active in the Choco region. Since 2000, the Oro Verde initiative has developed certified responsible mining practices, propelling a fair-trade movement around responsible small-scale mining. Gold is extracted by artisanal miners who comply with strict ecological standards and these products are sold under the Oro Verde brand name to fair-trade markets in Europe and North America (SEED Awards, 2009). The result was a new governance system in which local regulations and national laws and policies were applied such that the miners were officially recognized by Fairtrade-Fairmined, an international NGO operating in Colombia. This achievement has led to national and international recognition as well as economic benefits, as the miners can sell their product at prices up to 15% higher than the normal market price (Sarmiento et al., 2013).
A joint initiative created by the Colombian Ministry of Mines, the Antioquia Secretary of Mines, artisanal and small-scale miners, and AngloGold Ashanti Ltd. triggered the creation of a government-led model of coexistence. Under this approach, a separate legal entity subject to environmental compliance and regulations was created for the miners. The miners are provided with tools and resources to work safely in designated areas with good artisanal mining potential (AngloGold Ashanti, 2015).
**Corporate social responsibility**
In the context of the mining sector, corporate social responsibility implies compensating the disadvantages for current and future generations caused by depletion of a non-renewable resource. This compensation is understood as an investment in human and social capital to reflect the expectations of the community (Calderon et al., 2016). Yet community members in gold mining regions often perceive that corporate social responsibility agendas are utilized as a means for gaining social acceptance to operate rather than for pursuing adequate compensation schemes for communities affected by the mining activities. This might be attributable to the often-limited community engagement by the mining companies. Also, the presence of armed conflicts in gold mining regions can hinder mining companies from engaging with the communities (Buitrago and Ali, 2016).
In addition, gold mining in Colombia also takes place in precious ecosystems like the 95,000 ha Santurban Moorland, one of the areas rich in both flora and fauna and acting as headwaters for the whole country. About 60,000 ha of the moorland contain gold deposits susceptible to exploitation. Several mining companies are operating in the area following only minimum standards for the application of corporate social responsibility and with little evidence of the use of cleaner production methods or mitigation efforts (Morales Méndez and Rodríguez, 2016).
Health interventions are additionally important elements of corporate social responsibility. In Antioquia, Mineros S.A. focuses on vector control programs for malaria,
and provides (limited) treatment for diseases like diabetes, obesity, and gum disease, and additionally provides eyesight tests and audiometry to both community members and employees. Moreover, mine workers are sensitized by programs that include awareness and education on alcoholism, drug addiction and smoking to prevent both diseases and accidents on the mining sites (Calderon et al., 2016).
However, corporate social responsibility should go beyond compensation and reclamation, as companies are also responsible for monitoring possible health consequences of communities living in such reclaimed areas. For example, AngloGold Ashanti Ltd. defines successful reclamation as the ability to support plant growth and maximize land productivity without heavy metal accumulation exceeding well-established safety thresholds (Tetteh et al., 2015b). In contrast, Tetteh et al. (2015b) found heavy metal concentrations in crops grown on waste deposits resulting from previous mining activities of AngloGold Ashanti Ltd. to be considerably above the recommended threshold levels even 11 years after reclamation.
2.4.3 Opportunities for a socially sound gold mining
Royalty distribution
Prior to 2011, the constitution stated that 80% of the royalty proceeds had to go to provincial governments in gold producing regions, and the remaining 20% of the National Royalty funds. After the constitutional refund, direct royalties to producing regions were reduced to 20% and created regional royalty funds for the remaining 80% aimed to finance regional development and infrastructure projects (Bonet et al., 2014). The current system of distribution and allocation of royalties in Colombia has sought to overcome the waste of resources derived from extractive activities. However, this scheme has generated an unexpected effect in the municipalities affecting the dynamics of the sector’s activity.
With the national management of the royalties and the lower payment of direct royalties to the municipalities, any incentive that a local government must promote and support extractive ventures has been eliminated. The mayors and governors are left without the royalties, but in their territories, they suffer from conflicts generated by the mining industry (Valencia and Riaño, 2017). With this scheme, ensuring that the local institutions are committed to the development of a sustainable extractive sector that contributes to the local communities is a real challenge. Therefore, the government must find a middle ground for the allocation of royalties so that the loss of farmland area and forest benefits, and the decrease in agricultural yields can be compensated to the communities in mining areas.
**Corporate social responsibility**
The definitions of Corporate Social Responsibility (CSR) contain five key dimensions: social, environmental, economic, voluntary and stakeholder. However, in the last years, industry frameworks for CSR have been more closely aligned with the principles of sustainable development. This implies that the companies are supposed to gain a Social License to Operate (SLO), which goes beyond the legislation requirements and involves the understanding of the needs and interests of the local community (Bice et al., 2017). In Colombia, the SLO is currently not a legal requirement for mining companies to operate. However, it should be part of the mining culture of the country, as it provides the legitimacy that is necessary when a society endorses the presence of a mining project in its surroundings as the first step to consolidate a win-win scheme between mining companies and communities, which can also be reflected in environmental protection (Agencia de Noticias UN, 2015).
Furthermore, incorporating community planning in the early stages of the mine life cycle can draw stakeholders into viable options and ensure that resources are used strategically, which is key for local communities involved in CSR (Fordham et al., 2017). A key aspiration for the development of gold mining in Colombia should be the creation of Enduring Community Value (ECV), which means to identify ways to convert
financial capital from resource development into financial, natural, human, and built and social capital for the community (Davies et al., 2012). This is a highly salient concept in resource sector development that takes place in remote areas where communities have inherently faced significant development challenges, such as reduced government service delivery, pressure on agriculture due to globalization, and under-investment (Hogan and Young, 2014).
A range of CSR activities that can contribute towards ECV can be oriented towards compensation payments made to the communities for relinquishing their land rights for mining (Craik et al., 2017). This can be reflected in long-term investment for health, education, business development and employment programs. However, the capacity to generate ECV relies strongly on effective leadership within the communities. These programs are fundamentally important to ensure that the communities are directly benefitting from the financial flows generated by mining activities (Blackwell and Dollery, 2013). These initiatives can potentially have broad implications for developing sustainability solutions in the gold mining industry, especially for the rural communities as they are in need for more diverse sources of capital to boost community development (Fordham et al., 2017).
**Conflict management**
Research has found that the defense of livelihoods is the central claim in mining conflicts, as mining can jeopardize local livelihoods, which are usually dependent on agriculture, cattle, and forests. Beyond the defense of livelihoods, the community also aims to protect not only a source of subsistence and income but also its embedded meanings, values and identities (Walter and Urkidi, 2017). The fact that mining interests are privileged over agricultural land tenures together with the power of the mining industries to influence government decisions usually increases public concern (Duus, 2014). In 2017, there was open opposition by the communities of some rural areas in Colombia to gold mining exploration and exploitation by mining companies. For example, in the municipality of Cajamarca, 98% of the population (approx. 20,000
inhabitants) voted to ban mining in the municipality, especially the exploration work conducted by AngloGold Ashanti Ltd., which was considered as the potential largest gold mining project in Latin America. The inhabitants of Cajamarca claim to have made this decision to privilege the agricultural activities in the municipality. This decision came amid legal wrangling over environmental regulations and community opposition against government-granted mining permits (Cobb, 2017).
There are many factors underlying the conflicts in the gold mining sector, which often include artisanal and small-scale mining activities, ineffective engagement of local people, corruption, economic and environmental concerns, land use, and labor issues (Hodge, 2014). The right of affected communities to take part in high-impact decisions is recognized in a variety of norms and rights in Latin America, but also often neglected or incorrectly executed. Therefore, the creation of alternative participation mechanisms could help to prevent the worsening of social conflicts around large extractive projects. This need to approve and implement laws that regulate the right to prior consultation has been supported by recent rulings of the Constitutional Court in Colombia (Jahncke Benavente and Meza, 2010). Such consultations are usually promoted by social movements and supported by local governments and can be a strategic tool that reclaims the right of affected populations and indigenous people to participate in high-stakes decisions that affect their territories, livelihoods and future (Walter and Urkidi, 2017).
In addition to consultations, Hodge (2014) discusses that the key success factor for mining companies is the creation of relationships with host communities characterized by authenticity, respect, inclusiveness, and transparency. The creation of this type of relationship is not to be legislated but should evolve from the attitudes reflected in cultural sensitivity and action based on dialogue and collaboration. In the specific case of gold mining, large companies need to set up relationships not only with host communities but also with artisanal and small-scale miners for conflict prevention and management. In this context, the World Bank (2009) proposed a series of actions
that large-scale mining companies can implement to manage the relationship with artisanal and small-scale mining communities. These actions consist of the promotion of a better legal and regulatory framework for the regularization and formalization of artisanal miners, as well as the designation of areas that can be shared between large- and small-scale mining activities. Furthermore, the mining companies can provide technical help to artisanal miners through capacity building programs aimed at improved productivity with better environmental practices. However, to execute these actions, under certain circumstances the government should take the lead by either arbitration or law enforcement.
**Mining as a foundation for peace**
As mentioned before, the Colombian government claims that the mining and energy sector is a key driver for development and economic growth. It is also seen as a vital source of state income to cover the costs of the peace agreement and continued economic development (McNeish, 2017). In this context, the vision proposed by the Group for the Dialog on Mining in Colombia (GDIAM) is based on three fundamental aspects: mining should be inclusive, resilient and competitive (GDIAM, 2015). GDIAM emphasizes that the state needs to guarantee the active participation of the communities in every phase of the mining process, i.e. exploration and exploitation. In addition, GDIAM considers that mining activities should be resilient in the sense that they should leave a net positive impact in the social, economic and ecological system, accounting for prevention, mitigation, restoration and compensation of immediate impacts. In addition to this, GDIAM emphasizes the fact that mining should be competitive, i.e. profitable in social, economic and environmental aspects.
To achieve this, Aponte et al. (2016) suggest that the first step should be a clear and precise classification of the types of mining performed in the country to differentiate artisanal and informal mining from illicit extraction, so that the first become formalized through promotion and protection alternatives, and the latter is controlled by the implementation of repressive strategies by means of the coercive
apparatus of the state (Aponte et al., 2016). In addition, it is necessary to implement regulations on the demand of resources that are extracted in areas under the influence of illegal armed forces and that might finance these illegal groups, as is the case of the regulation initiative documented in the OECD Due Diligence Guidance for Minerals from Conflict-Affected and High-Risk Areas (OECD, 2011). This guide provides a framework for detailed due diligence as the basis for responsible global supply chain management of minerals, with one chapter dedicated to supplementing on gold. It focuses on steps that companies should take to avoid contributing to conflicts and abuse of human rights in supply chains of gold potentially sourced from conflict-affected areas. The first steps correspond to the establishment of strong company management systems to identify and assess risks in the supply chain to find potential sourcing of gold from conflict-affected areas. Echoing the necessity of an adequate classification of the miners, the guide, in particular, recognizes that artisanal and small-scale gold miners are encouraged to remain involved in the due diligence efforts of their customers and to engage in formalization processes in order to be able to maintain due diligence in the future (OECD, 2011).
2.5 Conclusions
The Colombian government envisages gold mining as an important driver of the development of the economy, although its expansion during the past decade has highlighted both its risks and benefits. From the environmental perspective, with the increase in gold mining, the land degraded by mining activities will significantly increase, as the past has shown that the area has almost doubled in the last 15 years. The increase in small-scale and artisanal gold mining activities can lead to more mercury emissions that will pollute natural ecosystems and pose a health threat to the communities living in gold mining areas. Furthermore, the current technologies used for industrial gold mining will continue to put pressure on the environment due to the high resource intensity of their operations.
From the social perspective, the increase in gold mining activities has triggered both legal and illegal exploitation of gold, leading to increased engagement of illegal armed groups in gold mining. Evidence also suggests that gold mining in Colombia is directly linked to armed conflicts, criminality, and drug trade. In gold mining communities, poverty rates, child mortality, violent deaths, and unfulfilled basic needs are higher than in those where no such activities take place. Despite many regulations, informality in gold mining still remains strong, which leads to an extractive activity being conducted without social security, environmental management or safety regulations, and the evasion of royalty payments to the state. Another issue to be considered is that the implementation of the peace agreement in areas where illegal armed forces have a strong influence may lead to increased environmental degradation, as the deactivation of coercive structures may allow informal extractive activities that were not feasible due to the armed conflict.
Despite these many drawbacks and the often negative image in the public, gold mining has the potential to confer economic benefits to some communities. Therefore, finding proper coping strategies for areas affected by gold mining is of utmost importance. Reclamation practices should be planned and managed under a scheme that includes soil stabilization with the use of heavy machinery, pollution control and landscape restoration. In addition, the use of toxic substances like mercury needs to be reduced by substitution with mercury-free processing plants, as well as through the creation of associations among small-scale and artisanal miners to both acquire cleaner technologies for gold processing and associate with mining corporations to process the extracted ore. In addition to the reduction of mercury consumption, adequate remediation strategies should be created for mercury-polluted wetlands, soil and rivers. To achieve this, a crucial step is to develop effective regulatory frameworks aimed to reduce informality of mining, provide guidelines for planning and designing environmental management plans, develop safety regulations for mining activities, and protect biodiversity hotspots that harbor potentially exploitable gold deposits.
To add social value to gold mining activities, the local communities ought to be engaged, and their needs and expectations considered. To this end, adequate compensation schemes for communities affected by mining activities need to be created. Furthermore, monitoring health consequences of mining activities for people living in surrounding areas is of outmost importance within the compensation schemes. Effective communication and transparency between the mining companies and the local communities will reduce conflicts and promote confidence as well as a deeper understanding of the communities to make decisions on post-mining use of the land and the design of reclamation schemes that help the community.
There is enormous potential for the gold mining sector and the affected communities to receive help from knowledge generated by scientific research. A knowledge gap still exists on life-cycle assessment of gold-mining processes at different scales in the country. In this regard, quantification of greenhouse emissions, water consumption and solid waste burden has not yet been systematically performed in the country, and represent a considerable opportunity for improvement of the sector. Despite the efforts performed by researchers and mining companies, little is known about forest restoration, biodiversity and ecosystem functioning of areas affected by gold mining waste. Hydrological studies need to be conducted to understand the dynamics of wetlands created by mechanical dredges in alluvial gold-mining areas, as well as the implications of changes in the course of the river due to this activity. Furthermore, it is necessary to develop a sustainability assessment framework that considers mining activities of a fully rehabilitated site from exploration to closure with the active involvement of stakeholders aimed to integrate the performed assessments into decision-making processes.
On the path to socially sound gold mining, the royalty distribution schemes need to be designed in such way that ensures the commitment of local institutions in the development of a sustainable gold mining sector that compensates the lessened livelihood opportunities of the community through efficient resource allocation. This
compensation can also be achieved through the implementation of corporate social responsibility plans that contribute to maintaining community value by converting financial capital from resource development into natural, human-built and social capital for the community. Furthermore, the defense of community livelihoods is one of the central claims in mining conflicts, therefore alternative mechanisms of participation supported by the creation of relationships between mining companies and communities based on respect, inclusiveness and transparency could help to prevent the increase in social conflicts around large extractive projects.
Although these issues are not a complete list for a future research agenda, it is necessary to emphasize the need for establishing links between the scientific community, gold mining companies, government and affected communities to create the knowledge needed to manage and restore ecosystems degraded by gold mining activities.
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3. INTEGRATING LOCAL AND SCIENTIFIC KNOWLEDGE IN SOIL MANAGEMENT IN AREAS COVERED BY GOLD-MINING WASTE UNDERGOING RECLAMATION THROUGH AGROFORESTRY
Abstract
Alluvial gold mining generates a vast amount of deposits that cover the natural soil and negatively impacts riverbeds and valleys, causing loss of livelihood opportunities for farmers of these regions. In Colombia, more than 79,000 ha are affected by alluvial gold mining, therefore developing strategies to return this land to productivity is of crucial importance for the communities living in gold mining areas. A novel reclamation strategy has been created by a mining company, where the land is restored through the establishment of agroforestry systems in which agricultural crops and livestock are combined to complement reforestation in the area.
The purpose of this study is to capture the knowledge of farmers who perform agroforestry in areas with deposits created by alluvial gold mining activities. Semi-structured interviews were conducted with farmers with regard to soil fertility, management practices, soil heterogeneity, pest outbreaks and weeds. In order to compare the farmers’ perception of soil fertility with respect to the physicochemical properties of the soils, the farmers were asked to identify spots within their farms that had exhibited both good and poor yields. Soil samples were collected in order to correlate farmers' perceptions with soil physicochemical properties.
The findings suggest that the main challenge that farmers face is the identification of fertile soil for crop establishment. They identify fertile soil through visually analyzing soil color and compaction as well as the use of spontaneous growth of specific plants as indicators of soil fertility. For less fertile areas, nitrogen-fixing plants are used as green manure to restore soil fertility.
3.1 Introduction
Local knowledge refers to the informal knowledge held by land managers involved in environmental decision making. Scientific knowledge refers to explicit knowledge derived from the application of formal methods to produce valid and reliable results (Reed et al., 2007). The complementary role of indigenous to scientific knowledge in agriculture relies on the fact that experimental research can be used to improve the information upon which farmers make decisions. However, it is questionable to rely only on scientific methods to fill the gaps about sustainable management of agroecosystems (Barrios and Trejo, 2003). A major challenge for researchers working on any topic of environmental management is the development of management options that are useful for land managers, and that consider local knowledge alongside scientific knowledge (Raymond et al., 2010). An objective of scientific research should be to stimulate a social learning process that combines knowledge from local stakeholders with scientific knowledge of researchers to develop management options that could help land managers to improve their productivity and prevent degradation of natural resources (Reed, 2008).
The key aspects that need to be addressed to attempt knowledge integration are capturing existing knowledge, engaging different types of knowledge, and applying a knowledge integration process (Raymond et al., 2010). A suitable strategy to capture the knowledge of land users is the use of qualitative interviews that can be subsequently synthesized to extract lessons regarding reclamation, management and research in a specific area (Botha et al., 2008). Participatory soil sampling is a tool that can be used to engage local and scientific soil knowledge through the integration of scientific and local soil quality indicators (Barrera-Bassols et al., 2009). Previous research has shown that cluster analysis of soil properties can reveal a strong correlation with the local perception of soil quality (Barrera-Bassols and Zinck, 2003). In addition to these aspects, other factors should also be considered such as the socioecological context of the
system and the institutional structure for management including the strategies, ideas and skills of farmers (Cundill and Fabricius, 2009).
It is therefore suggested that to sustain agricultural productivity and restore areas covered by alluvial gold mining waste, local knowledge of the farmers and the knowledge derived from scientific research need to be integrated into a conceptual framework (Figure 3.1). Integrated knowledge generated from the assimilation of both farmer and scientific knowledge should be at the center of the decision-making process. The inputs for making decisions regarding a specific field or practice are: (i) the production objectives of the farmers that refer to the amount and quality of crops, trees and animals that the farmer needs to produce, (ii) ecological parameters such as climate, hydrology, weeds, inherent properties of the waste deposit, compaction, soil texture, and (iii) reclamation objectives that refer to establishment of the vegetative cover, increase in litterfall and decomposition, accumulation of organic matter, and soil fertility improvement. A decision to use a specific practice has also two types of outputs, i.e. (i) directly related to the farming household such as the accomplishment of a farmer’s production objectives, and (ii) associated with environmental impacts such as increased vegetation cover and species diversity, enhanced nutrient cycling, and improved soil fertility.
As part of its environmental management plan, the Colombian gold mining company Mineros S.A performs reclamation of areas affected by its activities in the region of El Bagre, Antioquia. The main objective of this reclamation scheme is to support the livelihoods of farmers by establishing crops in more fertile areas while restoring heavily disturbed areas through tree plantations. The main motivation for the establishment of agroforestry farms by the mining company early in 2001 was to fulfill legal requirements through the creation of an environmental management plan. In the beginning, the mining company was committed to establishing agroforestry plots until 2008. During this time, staff from the mining company observed that the project outcomes were better than expected in terms of the welfare of the settlers and
improvements in productivity of the disturbed land. Therefore, the mining company included as part of their environmental management plan the support of the families of the settlers through the establishment of agroforestry plots each year.
Figure 3.1. A conceptual framework for integration of farmer and scientific knowledge for management of areas affected by alluvial gold mining waste undergoing reclamation through agroforestry
Three agroforestry plots have been established by the company every year since 2001. The process begins with the entitlement of the land to the farmer. One of the entitlement conditions is that the socioeconomic condition of the family is unstable, i.e. it has no fixed source of income. In addition, the mining company looks for settlers who have long-term agricultural experience. The company provides construction materials and manpower for the construction of the house, basic sanitation facilities,
and water and wastewater treatment systems. It also provides seeds and seedlings for the establishment of tree plantations and crops together with economic and technical support for the first three years of the reclamation process. It is assumed that the farmers will then be self-sufficient and able to derive a livelihood from their farms.
The mining company also provides technical support to the farmers with the help of agronomists to determine areas that are suitable for crop establishment, although the main decisions regarding land management are made by the farmers themselves. The farmers are trained in the use of agrochemical products, home orchards, solid waste management and occupational health among others. In addition, the corporate social responsibility of the mining company provides support to the farmers regarding the creation of associations and cooperative actions for activities like beekeeping. Furthermore, the corporate social responsibility staff provides training to the farmers on topics of entrepreneurship and leadership. In addition to the entitlement of the agroforestry plot, the mining company hires the farmers to perform reforestation activities in areas outside their farms. Furthermore, each farmer is given 5000 bags of seeds for the creation of plant nurseries to grow native trees that will be used for reforestation of disturbed areas.
Although this reclamation process has been going on since 2000, few controlled reclamation trials have been conducted, and there is still little understanding of the intrinsic factors associated with the nature of the deposits that might hinder the reestablishment of the vegetation cover or affect crop productivity. However, farmers and extensionists from the mining company have conducted many informal trials that have guided their reclamation efforts. Therefore, understanding their management practices and decision-making processes can significantly contribute to understanding how to improve the agricultural productivity of these deposits.
3.2 Methods
3.2.1 Site description
Gold mining in Colombia has taken place for centuries, the north-west part of the country, i.e. the departments of Antioquia and Choco, being the most important gold producers over the last 10 years (SIMCO, 2015). As a consequence of alluvial gold mining activities, large volumes of excavated sediments create waste deposits that cover the original soil and deplete its agricultural value (Shlyakhov and Osipov, 2004). According to the latest report published by the Colombian environmental authority in 2016, an area of 78,939 ha was affected by deposits due to alluvial gold mining. Around 8% of the total land affected by these deposits is located in El Bagre, a municipality of the department of Antioquia (UNODC, 2016).
El Bagre is located in north-west Colombia (Longitude: 7.793534 to 7.886321, Latitude: -74.804976 to -74.77886). The area lies in a humid tropical forest zone with an average temperature of 28°C and an annual precipitation of 2,000 - 4,000 mm. The dry season is from November to March and a rainy season from April to October. The average elevation is 45 m and the topography of the area is mostly flat with alluvial plains. The hydrology of the region is controlled by the Nechí River, its tributaries and a surrounding swamp complex. The habitat types are tropical humid forest and super-humid premontane forest. In a large area of the municipality, there is evidence of erosion, mostly generated by mining activities, that reduces the productivity of the land, and leads to soil destabilization, changes in the soil profile and loss of zones dedicated to agriculture (Ministerio del Trabajo, 2013). Vegetation cover is distributed as follows: 54.1% is forest (20% of this agrosilvopastoral system), 29% is herbaceous vegetation, 13% pastures, 3% bare soil, and less than 0.2% cropland (Ministerio del Trabajo, 2013).
The alluvial plains and the hills have been the most affected by gold mining by Mineros S.A. The company has established agroforestry plots to reclaim the waste
deposits generated after alluvial gold exploitation with suction and bucket dredges. The aim of the company is to support farmers and their families through the establishment of crops, as an alternative to reforestation. In these parcels, agricultural and livestock species are combined to form multipurpose systems. More than 700 ha have been restored following this strategy, and more than 40 farmers and their families have benefitted.
3.2.2 Qualitative interviews
The target interview group comprised farmers that had received a reclamation plot from Mineros S.A and support from the extensionists from the mining company. Semi-directive interviews were used where discussions were guided by the interviewer, but the direction and scope of the interview followed the train of thought of the interviewee. This method was selected in order to give freedom to the interviewer to make clarifications and allow an in-depth investigation into the unique experience of the interviewees (Huntington, 2000).
The sample unit was the farm household where the head of the household or the person making management decisions was interviewed. Interviews comprised demographic data, soil-related information, and questions on the difficulties involved in performing agricultural activities in land disturbed by mining, crop rotation, agricultural inputs and fallow periods. Information was also gathered on the previous agricultural experience of the farmers. Soil-related questions were, for example: How would you describe the different soil types that occur in your parcel? How would you describe a good/fertile soil? How do you recognize potential cropping sites? How do you respond to crop failure? What do you think is more important for soil fertility improvement and successful cropping: reclamation time or management?
In total, 33 interviews were conducted in Spanish and 17 hours of conversation recorded. For the transcription of the interviews, the original wording of the
interviewees was retained and analyzed by identification of themes. For each theme, a code was assigned to summarize the theme of a section of the transcript (Wengraf, 2001), and repeated themes were given the same code. To indicate the frequency and number of interviewees that mentioned a specific code, a superscript was assigned to the end of the sentence, the first number indicating the number of times a theme was mentioned, and the second number how many interviewees mentioned it. This gives an idea of the generality of a theme. The methodology was adapted from Botha et al. (2008).
3.2.3 Soil sampling
All interviewed household heads were asked to indicate their most fertile and infertile fields. From each field, soil samples were taken at a depth of 0-15 cm, air dried, homogenized and passed through a 2-mm sieve for chemical analysis according to (USDA, 2014). Soil pH was determined by the potentiometric method 1:1 water, organic matter by the Walkey-Black method and nitrogen by the Kjeldahl method. Available phosphorus was determined by a modified Bray-II method, while K, Ca, Mg, and Al were determined by atomic absorption spectroscopy. Soil physical analyses were performed using methods developed by Pla (2010). Soil texture was determined by the Bouyoucos hydrometer method.
3.2.4 Data analysis
To analyze the differences in soil physical and chemical properties between fields judged by the farmers as fertile and infertile, an analysis of variance was conducted in which soil properties were examined as a function of soil quality. Kruskal-Wallis tests were used to compare each soil parameter associated with fertile and infertile soils.
3.3 Results
3.3.1 Household characteristics
Out of the 33 interviewed farmers, only a few were women (6.1%; Table 3.1). The age of the respondents ranged between 33 and 79 years, with an average of 45 years. The majority of the respondents (72.7%) were migrants from other municipalities in the region and from neighboring regions. Only a small share (6.1%) of the respondents was indigenous.
Table 3.1. Demographic characteristics of respondents (n = 33).
| Gender | % | Age group | % | Marital status | % | Educational status | % | Ethnic origin | % |
|--------|-----|---------------|-----|----------------|-----|--------------------|-----|---------------|-----|
| Female | 6.1 | 20-35 years | 12.1| Married | 87.8| Primary school | 57.6| Indigene | 6.1 |
| Male | 93.9| 36-50 years | 42.4| Divorced | 6.1 | High school | 9.1 | Locals | 21.2|
| | | 51-65 years | 39.4| Widowed | 6.1 | Technical degrees | 3.0 | Migrants | 72.7|
| | | >65 years | 6.1 | | | None | 30.3| | |
3.3.2 Soil physicochemical properties
Significant differences were revealed through the analysis of the physical and chemical soil parameters of the soil samples from the fields classified by farmers as fertile or infertile (Table 3.2). The results of the analysis reveal a strong agreement between farmers’ perceptions and soil nutritional status. They also show that despite the heavily disturbed status, the soils are fairly fertile and thus suitable for agricultural production. However, the unfertile fields should be restored to improve the overall productivity of the farms. The physicochemical properties vary significantly between fertile and infertile fields (Table 3.2). The fertile fields had a higher content of N and organic matter, as well as of P, K, Ca, Mg and Na. The soil textures also varied significantly between fertile and infertile fields. The more fertile fields are associated with a higher silt and clay content in contrast to the infertile fields that had very high sand contents. These results evidence a strong agreement between the farmers’
assessment of soil fertility and the scientific assessment of soil physicochemical properties.
Table 3.2. Median values of soil properties of fields classified as fertile and infertile by farmers, with a non-parametric Kruskal-Wallis (KW) analysis of variance \((n = 33)\).
| Soil property | Fertile soil | Infertile soil | KW p-value |
|---------------|--------------|----------------|------------|
| pH | 4.8 | 5.3 | 0.002628 |
| Al (cmol(+)/kg) | 0.2 | 0 | 0.0007745 |
| N (%) | 0.18 | 0.06 | 0.0009447 |
| OM (%) | 3.83 | 0.87 | 0.0002522 |
| P (mg/kg) | 14 | 28 | 0.0003681 |
| K (cmol(+)/kg) | 0.14 | 0.09 | 0.0164 |
| Ca (cmol(+)/kg) | 3.76 | 0.99 | 0.0001963 |
| Mg (cmol(+)/kg) | 1.81 | 0.59 | 0.0003173 |
| Na (cmol(+)/kg) | 0.199 | 0.144 | 0.0001962 |
| Sand (%) | 41 | 91 | 3.137e-06 |
| Silt (%) | 34 | 3 | 1.715e-06 |
| Clay (%) | 17 | 6 | 0.0001844 |
3.3.3 Farmers' assessment of soil fertility
The farmers considered that the fertility of the farms depended on the quality of the materials deposited by the dredge\(^{11,9^+}\). Soils that present greater challenges for reclamation are those that have been heavily washed by the dredges\(^{9,7}\), specifically by
\(^{†}\) To indicate the frequency and number of interviewees that mentioned a specific code, a superscript was assigned to the end of the sentence, the first number indicating the number of times a theme was mentioned, and the second number how many interviewees mentioned it. This gives an idea of the generality of a theme. The methodology was adapted from Botha et al. (2008). Please refer to section 3.2.2 for further details.
suction dredges\textsuperscript{5,2}. Farmers observed that the deposits created by bucket dredges were the most suitable for crop establishment\textsuperscript{2,2} and revegetated faster\textsuperscript{2,2}, therefore the productivity of the reclamation plots would be much higher if suction dredges were not used\textsuperscript{1,1}.
Farmers often described fertile areas of the deposits as those that had a higher sediment content\textsuperscript{65,28}, i.e. particles smaller than sand, namely a mixture of silt and clay. Therefore, the identification of potential cropping sites is mostly done by detecting the areas of the plot that have observable higher sediment content\textsuperscript{11,9}. Moreover, the farmers also observed that the color of the sediments is also a relevant feature to determine the fertility of the soil. For example, yellow sediments can be only used to plant fruit trees, but in the dry season they get very dry and lower the productivity of the trees\textsuperscript{3,2}. Furthermore, the grey or red sediments dug by the dredge might not be suitable for cropping because they are very compact and do not allow the water to penetrate\textsuperscript{3,1}.
The color of the soil is also an indicator of fertility, for example, brown and black soils are considered as more fertile\textsuperscript{3,3}, whilst light colored sand is associated with non-fertile areas\textsuperscript{4,2}. The presence of sediments carried by the river in flood-prone areas is also associated with soil fertility\textsuperscript{28,18}. Farmers observed that the sediments from the river act as fertilizer\textsuperscript{16,13}, therefore after flooding the soil would be suitable for establishing crops.
Deposits with a high sand content are not suitable for crop establishment\textsuperscript{91,28}. The main problem here is that in the dry season, high soil temperatures kill the plants\textsuperscript{9,7}. In order to establish vegetation in sandy areas, furrows need to be made for the seedlings, and soil with a high clay and silt content needs to be applied along with mineral fertilization\textsuperscript{3,3}. However, below the sandy layer sediments sometimes exist and plants can establish without the need of further fertilization.
*Cecropia peltata* (Urticaceae)\(^{14,14}\) and *Calathea lutea* (Marantaceae)\(^{10,10}\) are the most common indicators that farmers use to determine the suitability of the soil for crop establishment (Table 3.3). *Paspalum fasciculatum* (Poaceae) is an indicator of good soil quality,\(^{8,7}\) because it is associated with soil freshness, which refers to lower temperatures and higher moisture during the dry season. In addition to vegetation, farmers reported the presence of worms as an indicator of soil suitability for the establishment of crops\(^{3,3}\) and vegetables\(^{1,1}\). The farmers are aware that worms improve soil fertility through fertilization,\(^{2,2}\) and help the plants through increased porosity, thus reducing the effects of compaction\(^{1,1}\).
**Table 3.3.** Species used by farmers as indicators of soil suitability for agriculture.
| Local name | Scientific name | Attributes |
|------------|----------------------------------|---------------------------------------------------------------------------|
| Yarumo\(^{14,14}\) | *Cecropia peltata* (Urticaceae) | Soil recovery\(^{1,1}\)
Sediments present\(^{1,1}\)
Soil suitable for subsistence crops\(^{1,1}\)
Indicates end of fallow period\(^{1,1}\) |
| Bijao\(^{10,10}\) | *Calathea lutea* (Marantaceae) | Soil suitable for subsistence crops\(^{3,3}\)
End of fallow period\(^{1,1}\) |
| Gramalote\(^{5,5}\) | *Paspalum fasciculatum* (Poaceae) | Soil freshness in dry season\(^{2,2}\) |
| Canutillo\(^{3,3}\) | *Commelina erecta* (Commelinaceae) | Nutrient-rich soil\(^{1,1}\)
Indicates water availability\(^{1,1}\) |
| Santamaria\(^{2,2}\) | *Tanacetum balsamita* (Asteraceae) | Good to feed cattle\(^{1,1}\) |
| Zarza\(^{1,1}\) | *Rubus ulmifolius* (Rosaceae) | Soil suitability for subsistence crops\(^{2,2}\) |
| Lengua de vaca\(^{1,1}\) | *Sansevieria trifasciata* (Asparagaceae) | Sediments present\(^{1,1}\) |
| Iraca\(^{1,1}\) | *Carludovica palmata* (Cyclanthaceae) | Soil suitability for subsistence crops\(^{1,1}\) |
| Papayote\(^{1,1}\) | *Cochlospermum orinocense* (Bixaceae) | Nutrient-rich soil\(^{1,1}\) |
| Local name | Scientific name | Attributes |
|------------|----------------------------------|---------------------------------------------------------------------------|
| Mortiño | Vaccinium meridionale (Ericaceae) | Nutrient-rich soil<sup>1,1</sup> |
| | | Indicates soil exhaustion<sup>1,1</sup> |
| | | Soil not suitable for crop establishment<sup>1,1</sup> |
| Ňipi-ńipi | Sapium haematospermum (Euphorbiaceae) | Soil suitability for subsistence crops<sup>1,1</sup> |
| Balsa | Ochroma pyramidale (Malvaceae) | Soil suitability for subsistence crops<sup>2,2</sup> |
### 3.3.4 Farmers' fertility management practices
The extensionists of the mining company do not encourage the use of mineral fertilizer because the water retention capacity of the deposits is very low. Rain will, therefore, wash out the fertilizer thus reducing its effectiveness<sup>2,2</sup>. Alternatively, they encourage the use of organic fertilizers,<sup>2,2</sup> and educate the farmers regarding composting techniques. In spite of these recommendations, the farmers consider that mineral fertilization is needed<sup>12,11</sup> for crops such as maize and rice, as well as for plantain to improve productivity and quality of the harvested fruits.
Farmers perceive that litterfall<sup>20,13</sup> and decomposition<sup>9,9</sup> play a crucial role in the reclamation of soil fertility. They also noted that areas of the deposit that were not suitable for crop establishment when they arrived at the farm can now be used for this purpose due to litterfall<sup>6,6</sup>. Farmers rely only on tree litterfall as a source of fertilization<sup>7,7</sup> and consider that litterfall only is enough to improve soil productivity. Litter from selected trees is also used to cover the tree pit of recently planted fruit trees<sup>1,1</sup>.
The extensionists of the mining company suggest planting *Mucuna pruriens* (Fabaceae) and *Pueraria phaseoloides* (Fabaceae) as green manure for the reclamation of areas that exhibit low productivity, i.e. mostly areas with a high sand content or gravel deposits with low sediment content. Farmers observed that *P. phaseoloides* has the
ability to grow in areas with low fertility\textsuperscript{24,18}, and is used to promote soil recovery\textsuperscript{12,12}. They also used it as green manure for lemon trees,\textsuperscript{1,1} cassava,\textsuperscript{1,1} and plantain\textsuperscript{1,1}, for fallow periods\textsuperscript{4,4}, to reduce soil compaction in areas that might be suitable to plant subsistence crops\textsuperscript{1,1}, for weed management\textsuperscript{1,1} and for cattle feeding\textsuperscript{3,3}. The farmers observed that \textit{M. deeringianum} has the ability to grow in areas with low fertility,\textsuperscript{26,17} and is useful to promote soil recovery\textsuperscript{13,13}. \textit{Mucuna deeringianum} is also used as green manure for cassava and yam crops\textsuperscript{1,1}, for weed management\textsuperscript{1,1} and as a cover crop for fallow periods\textsuperscript{5,5}. The plant can easily be eradicated by cattle, therefore farmers consider that \textit{P. phaseoloides} is better for farms with cattle given its fast regrowth\textsuperscript{3,2}. On the same line, the extensionists of the mining company suggest the use of \textit{M. deeringianum} for intercropping with fruit trees and plantain to improve yield\textsuperscript{1,1}. However, as it is a climbing legume, cutting intervals of two weeks are required to prevent it from becoming the dominant crop\textsuperscript{1,1}.
The extensionists of the mining company also suggest always using \textit{M. deeringianum} and \textit{P. phaseoloides} for fallow periods. Farmers prefer to allow spontaneous vegetation to grow during fallow periods\textsuperscript{30,16} instead of using these legumes because removing these species is a demanding task,\textsuperscript{1,1} and also because of seed availability\textsuperscript{2,2}.
### 3.3.5 Grazing
For grazing, the extensionists of the mining company suggest a maximum of 10 cattle per farm\textsuperscript{2,2}. For this purpose, species like \textit{Chrysanthemum maximum} (Asteraceae), \textit{Alocasia macrorrhizos} (Araceae) and \textit{Saccharum officinarum} (Poaceae) have been introduced\textsuperscript{1,1}. The extensionists state that the deposits cannot be dedicated to grazing due to the instability of the soil and risks of increased erosion\textsuperscript{2,2}. However, farmers perceive cattle as their main source of income\textsuperscript{14,9}, because the profit from crops growing on the deposits is not enough to fulfill their needs\textsuperscript{14,9}. Of the 33 interviewed farmers, 18
farmers had 8-45 cattle each, 8 farmers wanted to have cattle in the near future, and 7 farmers did not have cattle and did not plan to have any in the future.
Regarding the impacts of grazing on fertility and reclamation of the soil, the perceptions differ. Some farmers perceive that cattle improve soil fertility through manure as fertilizer\(^{12,12}\), weed removal\(^{6,6}\) to prepare areas for cropping\(^{4,4}\), trampling to improve soil stability,\(^{2,2}\) and seed dispersal\(^{1,1}\). In contrast, other farmers perceive that grazing does not improve soil quality because trampling causes soil compaction\(^{3,2}\), manure might promote weed growth,\(^{2,2}\) and tree plantations for reclamation are reduced\(^{2,2}\) as more areas are dedicated to pastures.
Areas designated for grazing are usually natural soils of the farmland\(^{4,4}\), flood-prone areas\(^{3,3}\), areas in which grasses grow spontaneously\(^{7,6}\), or areas that are not suitable for crop establishment\(^{4,4}\). Farmers have also decided to assign both fertile and infertile areas to grazing\(^{3,3}\) so that cattle can be fed in the fertile areas where pastures are more abundant while fertilizing the infertile areas through their manure.
### 3.3.6 Challenges for crop establishment and revegetation
The extensionists of the mining company perceive that the heterogeneity of the deposits is very high, and significant variability can be observed even at distances of less than 5 m\(^{1,1}\). Due to this high heterogeneity, they do not consider mono-cropping a suitable land-management scheme\(^{1,1}\), because crops need to be selected depending on the variation of the characteristics of each deposit. Along the same line, farmers consider that the variability of the deposits is much higher than the variability of natural soils\(^{5,5}\). Therefore, they perform informal experiments\(^{18,15}\) in areas that exhibit different properties to determine which crop is suitable for which area of the farm. In addition to the variation of soil properties within their farms, farmers need to consider seasonal variation in their experiments, because in some areas crops might be productive during the rainy season but might reduce yield or die during the dry season\(^{29,14}\).
When the farmers arrive on their land they need to get familiarized with the highly varying properties of the deposit in the area of their farm. The staff of the mining company suggests building the farmhouse in the less fertile area, specifically with a high sand content, to save fertile areas for agriculture. However, the farmers usually build their houses close to their crops\textsuperscript{2,2}, close to the river for easier access to transport,\textsuperscript{5,5} and in areas not prone to flooding during the rainy season\textsuperscript{4,4}.
3.3.7 Weed and pest management
Farmers also observed that the occurrence of pests affecting their crops is more frequent in the deposits compared to their previous farming experience in natural soils\textsuperscript{9,9}. They also found that the deposits were more prone to weed invasion than natural soils\textsuperscript{8,8}, therefore establishing crops on the deposits implied higher expenses associated with weeding and herbicides\textsuperscript{5,4} with lower yields due to lack of nutrients in the soil\textsuperscript{7,5}.
The mining company does not encourage the use of pesticides and herbicides, but occasionally provides herbicides to prevent the farmers burning the fields in preparation for crop establishment. Lorsban® is the most frequently used pesticide,\textsuperscript{14,13} mostly against the ants\textsuperscript{15,11} and termites\textsuperscript{17,13} that are the most frequent pests in the areas. Burning is occasionally done before seeding to prevent mice from eating the seeds\textsuperscript{2,2}. After the fruit has developed, the mining company does not provide any other type of pesticide and does not encourage its use.
3.4 Discussion
3.4.1 Local indicators of soil fertility
Waste deposits left by suction and bucket dredges are leveled following basic technical recommendations concerning reclamation of waste dumping sites. Such dumps usually have undulating surfaces with wet patches and shallow water, and periodically drying sites (Vetluzhskikh, 2010). The uppermost layer is usually characterized by a high porosity and very low soil content. As a consequence, these surfaces have a high water infiltration capacity, which leads to leaching of nutrients and small soil fractions. Contrasting temperature conditions also exist, with surface heating on sunny days and deep cooling during the nights (Shlyakhov and Osipov, 2004). These are all unfavorable conditions for the development of vegetation. Therefore, one of the major challenges that the farmers face is the identification of areas that can be suitable for crop establishment. The farmers also need to identify a reclamation strategy for areas not suitable for crops, namely areas for reforestation and cover crops.
Farmers usually identify potential cropping areas based on soil texture, more specifically on clay and silt content. There is considerable evidence indicating that fine-textured soils have a higher content of organic carbon and nitrogen than coarse-textured soils. Fine-textured soils provide physical protection to organic matter, given their ability to associate with clay and silt particles (Hassink, 1997). The color of the soil is also an indicator of its drainage capacity. Yellow indicates that the soil is well-drained, whereas grey implies poor drainage (Bigham et al., 1978). As a consequence, yellow soils, due to their poor water holding capacity and lack of organic matter, can mean unfavorable conditions for plant development during the dry season. On the other hand, poorly drained soils compact during the dry season leaving little oxygen for plant roots consequently affecting plant growth (Gilman, 2015). Red soils indicate low organic matter content and significant amounts of iron oxides and hydroxides, which is a sign of soil weathering. Highly weathered soils have low water and nutrient retention capacities and strong acid reactions, therefore they can only support the growth of plants with low nutrient demand and high tolerance to acid conditions (Soil Water Management Research Group, 2003).
In addition to the color and texture, farmers observed that flood-prone areas are more fertile, and mentioned that sediments from the river act as fertilizer. There is evidence that flooding events markedly influence soil fertility. Flooding events can increase the availability of nutrients through changes in redox potential and also through the influx of dissolved and suspended nutrients (Visser et al., 2003). However, flooding events might restrict oxygen entry into the soil and reduce the rate of respiration and nutrient absorption in plants. The overall positive effect of flooding observed by the farmers might be an effect of brief pulses of nutrients associated with wetting of the soil (Ogden et al., 2007) and the nutrient load of the flood water.
Farmers avoid areas with a high sand content due to the extreme temperatures and low water availability during the dry season. It is well known that sandy soils have a low water holding capacity and retain few nutrients (FAO, 1979). The sandy fractions of soils are dominated by quartz, which as an inert soil component with limited surface charge has a very limited capacity to retain water and nutrients. Research has shown that surface layers of sandy soils can be extremely water repellent when dry. Water repellency affects the way in which rainwater penetrates the soil inducing preferential flow paths (Bisdom et al., 1993). The variation of soil temperature depends on the porosity of the soil among other factors. Therefore, the temperature in sandy soil varies more randomly than in other soil types, given that pores allow an easy permeation of radiant heat absorbed from sunlight and air from the surface to lower layers (Nwankwo and Ogagarue, 2012), which might affect plant growth during the dry season.
In addition to soil properties, farmers also observed the presence of specific plant species as local indicators of soil fertility. Plants that grow spontaneously in the areas and that exhibit vigorous growth are usually good indicators of fertile soils (Soil Water Management Research Group, 2003). *Cecropia peltata* was identified in a study conducted by Pauli et al. (2012) in which farmers in Honduras used this species as an indicator of fertile soils. However, it is stated that *C. peltata* can be detrimental to crop growth because it tends to attract insect pests and has large leaves that can damage
crop seedlings through litterfall (Pauli et al., 2012). Barrios et al. (2003) also documented the use of *Cecropia* sp. and *Paspalum fasciculatum* in the Orinoco floodplains as indicators of good soil quality.
### 3.4.2 Soil fertility management and reclamation
Management can vary greatly from farmer to farmer, and it is increasingly being recognized as a crucial factor underlying farm operations. Therefore, management of soil fertility depends on strategies that farmers use to achieve their goals and depends on available resources and personal attitudes towards risks and family life. Analyses of farmers’ decision-making processes performed by social scientists in tropical regions show that decisions regarding a practice, namely soil fertility management and agroforestry, usually consider the context of the whole farm and resources available to the farmer, which include available labor, availability of fertilizer and other agrochemicals, entire landholding, characteristics of the fields, access to water, access to machinery or animal traction, and access to other off-farm resources such as forested lands or woodlots (Schroth and Sinclair, 2003). In addition, farmers focus on trade-offs between efforts to meet the production objectives and the payoffs expected from these efforts.
Mineral and organic fertilizers are used by most farmers to improve productivity and quality of the harvested fruits. In contrast, some farmers rely only on litterfall as a source of fertilization and consider it is enough to improve soil productivity. Litterfall production and decomposition have been widely acknowledged as a crucial step for soil recovery and improvement of biological diversity in disturbed lands, given that they promote the reactivation of the biogeochemical cycles. This reactivation triggers an increase in organic matter and nutrient availability, regulates the pH, improves aggregate stability, and increases soil water holding capacity (Leon, 2012). Furthermore, for reclamation of areas covered by waste generated by alluvial gold mining, the role of litter is especially important. In addition to the reclamation of
biogeochemical cycles, litterfall has proven to improve root distribution, water use, surface temperature, and habitat suitability for micro-wildlife (Mummey et al., 2002).
Farmers clearly confirmed the role of litterfall and its decomposition in restoring soil fertility. In some cases, they also use litter from selected trees as a cover to protect recently planted fruit trees. Moisture content is one of the critical factors regulated by the thickness of litter layers, especially in mining areas undergoing reclamation (Sheoran et al., 2010). Accumulation of leaf litter and its decomposition increase the level of organic carbon in soil and promote plant growth (Maiti and Ghose, 2005). In addition, litter decomposition creates a favorable microclimate for soil microbes responsible for the breaking down of plant biomass (Lawrey, 1977).
Nitrogen is usually a major limiting nutrient in mine spoils, therefore, regular nitrogen fertilization is required to maintain healthy vegetation growth (Yang et al., 2003). Therefore, a suitable alternative is to introduce legumes and other nitrogen-fixing species. In areas that farmers consider not suitable for crop establishment, *Mucuna deeringianum* and *Pueraria phaseoloides* are used as green manure to restore soil productivity. *Pueraria phaseoloides* and *M. deeringianum* have also been used as green manure for some fruit trees and crops, as well as for weed management. Such species can have a strong effect on soil fertility through the production of nutrient-rich litter that is easily decomposable, as well as through the turnover of fine roots and nodules (Sheoran et al., 2010). In addition, the mineralization of nitrogen-rich litter from these species allows substantial transfer of nitrogen to companion species, enabling the development of self-sustaining ecosystems (Singh et al., 2002). *Pueraria phaseoloides* and *M. deeringianum* have so far exhibited the desired features for planting on waste deposits for reclamation, i.e. ability to grow on nutrient-poor and dry soils, rapid development of vegetation cover and biomass accumulation, improved soil organic matter and enhanced supply of plant-available nutrients (Singh and Singh, 1999).
Most of the farmers in the area already raised cattle or planned to do so in the near future. The majority perceived that cattle improved soil fertility in areas not yet suitable for crop establishment through manure as fertilizer, weed removal and improvement of soil stability. However, they also perceived that trampling compacted the soil, could promote weed growth and affected the reclamation process given that more areas are dedicated to pastures instead of tree plantations. Grazing can be seen as suitable for rehabilitating mine land due to the lower soil productivity that is required compared to cropping. Maczkowiack et al. (2012) determined that grazing is likely to be a post-mining land use that represents a low risk. However, factors such as grazing intensity, climatic conditions, biophysical capability of the land, and farmers’ attitude to land management should be considered when analyzing the risk of grazing (Maczkowiack et al., 2012). The authors also consider that mining companies can take specific steps to support grazing as a sustainable post-mining land use by purposefully directing rehabilitation towards the achievement of biophysically productive rehabilitated areas. Furthermore, Byrne (2005) observed that pastures established on rehabilitated mine land have the potential to be just as productive as natural pastures, however, the selection of areas for pasture should be done carefully due to the high variability of the conditions of the soil.
3.4.3 Comparison of soil physicochemical characterization and farmers’ perception of soil fertility
Parallel studies were conducted to compare the scientific assessment of soil fertility and soil classification with typologies developed by local farmers (Ali, 2003; Barrera-Bassols et al., 2009; Dawoe et al., 2012; Gray and Morant, 2003; Karltun et al., 2013). These studies share the common conclusion that there is a good agreement between the knowledge that farmers possess on soil fertility and the scientific indicators. Farmers possess a broad knowledge of processes such as litter decomposition, soil biology, nitrogen fixation (Grossman, 2003) as well as on soil types
and characteristics, which match very well with scientific classifications (Grossman, 2003; Nath et al., 2015).
Farmers working in the study areas undergoing reclamation develop a complex scheme for decision making given the disturbed status and high intrinsic variability of their fields. They classify their land on the basis of soil texture and color, moisture conditions and presence of indicator plant species to determine suitability for crop establishment. They also recognize the importance of flooding for soil fertility and create a management strategy based on seasonal variations in their fields. Furthermore, there is a significant similarity between farmers’ knowledge of soil fertility and the physicochemical assessment of soil properties. These were significantly different between fertile and infertile fields, which reveals a close correlation between farmers’ soil knowledge and soil physicochemical conditions.
3.4.4 Integrating scientific and local knowledge for soil management in areas undergoing reclamation
Farmers have a deep understanding of their farmlands and possess vast knowledge of soil management. Depending on the pedological conditions of their fields, they develop cropping strategies to meet their production objectives (Ali, 2003). However, sustainable soil management should ideally consist of a technical understanding of the principles of soil management provided by scientific knowledge complemented with an intuitive local knowledge, which would allow the interpretation of the scientific knowledge in a local context (Ingram, 2008). Farmers who are aware of the consequences of their activities for the environment are likely to behave in an environmentally friendly manner and seem more concerned by cooperation with other stakeholders of the landscape (Vuillot et al., 2016). Furthermore, research has shown that farmers who belong to groups such as farmers associations are more successful in managing their crops, and in acquiring knowledge regarding management of pests, crop rotation and improvement of planting materials (Adam et al., 2015).
The farmers also have knowledge of strategies for improvement of soil quality and about the reclamation of disturbed soils (Moges and Holden, 2007). They usually define soil quality as a combination of factors such as crop growth and productivity, nutrient status, weed species and visual criteria. These indicators play an important role in their decision making regarding the use of appropriate management strategies (Tesfahunegn et al., 2016). The farmers are also aware of soil fertility decline processes and land deterioration due to grazing and uninterrupted cropping. In response to these problems, they develop management practices that are supported by their previous experience in land management and years of working on severely disturbed lands. These strategies are fallowing, use of cover crops, intercropping with nitrogen-fixing species, among others (Engdawork and Bork, 2016).
To improve the management practices, it is necessary to expand extension services and farmer education opportunities in the area, which could also be achieved by promoting the interaction of the scientists working in the area with farmers and extensionists. One approach could be to create communal demonstration plots where farmers can collectively learn how to better manage and protect their crops (Adam et al., 2015). This would not only allow knowledge acquisition by the farmers but would also promote knowledge exchange among more experienced farmers with the newcomers.
It is clear that local knowledge is vital to understand the dynamics of the reclamation process. However, farmers understand soil management in a holistic manner that does not distinguish processes in the reductionist way that scientific assessment allows (Moges and Holden, 2007). They are usually interested in soil productivity and appropriate management practices and usually, take only the topsoil into account to analyze indicators of fertility. On the other hand, scientific research approaches to soil fertility from the perspective of soil formation, nutrient content and other measurable factors. Nevertheless, farmers and researchers share the same
objective, which is to ensure that soil resources are capable of meeting present and future needs (Desbiez et al., 2004). Therefore, there is a need to complement local knowledge with relevant scientific advice (Barrios and Trejo, 2003) to rehabilitate the land not only based on a traditional land management approach but also focused on raising its agricultural productivity.
3.5 Conclusions
The findings of this study suggest that farmers performing agroforestry in areas covered by alluvial gold mining waste rely mostly on their own local knowledge, which is holistic yet not specific, where each farmer has found a way to respond to the challenges that the heavily disturbed conditions of the area pose to crop establishment. However, the farmers are receptive to the ideas provided by the extensionists, which shows that there is room for external actors such as scientists and development actors to intervene through knowledge transfer to the farmers. Moreover, it is necessary that extensionists develop management schemes that truly integrate farmers’ perceptions regarding the management of their fields. Farmers’ knowledge of soil and management practices plays a significant role in sustaining farm productivity and soil fertility. Especially farmers in areas covered by alluvial gold mining waste develop a complex scheme for soil management to meet their production goals given the disturbed status of their fields and the challenges that this status represents.
Farmers’ understanding of the complexity of their fields influences their farming practice, thus increasing their awareness of the inherent heterogeneity of their fields. Interdependencies between management practices and improvement of soil fertility may be a good strategy to increase the acceptance of the management guidelines provided by extensionists. Furthermore, the creation of spaces that promote cooperation between more experienced farmers and those who are new to the restoration process will enrich and facilitate the adaptation of management strategies. The findings also imply that expansion of extension services and education opportunities
for farmers in the area is required, not only to provide support to the farmers but also to create cooperation of farmers with scientists working in the area.
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4. CHANGES IN TECHNOSOL PROPERTIES AND VEGETATION STRUCTURE ALONG A CHRONOSEQUENCE OF REVEGETATION OF WASTE DEPOSITS IN AREAS WITH ALLUVIAL GOLD MINING*
Abstract
Alluvial gold mining, particularly dredging operations, produces two types of waste: (i) gravel mixed with low percentages of sand, silt and clay, and (ii) sand deposits, composed mostly of sand. Waste deposits are pedologically classified as Technosols, which usually have low nutrient levels, low pH and high infiltration rates that hinder the spontaneous reestablishment of vegetation. One approach that has been used for revegetation of Technosols is the establishment of agroforestry systems in which trees, agricultural crops and livestock are combined for the reestablishment of an ecologically and economically viable land-use system. The aims of this study are (i) to investigate whether the variability of deposit properties is influenced by time period since establishment, type of deposit material (gravel or sand deposit) and sampling depth, (ii) to investigate if the variability of size structure of the new plant cover was affected by the time period since establishment and deposit type, and (iii) to determine which soil parameters correlate best with the size structure distribution of vegetation across different time periods since establishment of the revegetation plots. The findings suggest that the variability of Technosols is primarily influenced by the parent material of the alluvial gold deposits and by the technology used for gold mining, i.e. bucket or suction dredges that determine the type of deposits formed. Changes in vegetation structure were observed among areas with different time periods (0-12 years) since establishment. The lack of significant changes in the physicochemical properties of the deposits reflects, however, the long-term processes changing belowground compared to aboveground compartments. The Technosols formed after alluvial gold mining
* This chapter was submitted to the Journal New Forests (https://link.springer.com/journal/11056). Currently under review.
activities exhibit nutrient contents and structural properties that make them suitable for agricultural use. They can ensure essential functions for rural areas such as woody biomass production and crop establishment. Yet future productivity might be increased if deposits are managed according to specific agricultural purposes and crop selection is based on the site-specific properties of each deposit.
4.1 Introduction
Alluvial gold mining, particularly dredging operations, leaves a vast amount of waste that covers the natural soil, destroys riparian ecosystems, and impacts river beds and valleys (Shlyakhov and Osipov, 2004). Once the exploitation of alluvial deposits using suction and bucket dredges has come to an end, the dredges are transferred to a new working front leaving behind three elements: (i) gravel deposits that consist of rock fragments coming from material extracted by bucket dredges, (ii) sand deposits that consist of sand from material extracted by suction dredges, and (iii) artificial wetlands that remain after the exploitation of the deep alluvium of the river and surrounding swamps. Deposits created by alluvial gold mining usually have low macronutrient levels and an acidic pH that tend to disrupt soil formation processes and plant growth (Cooke and Johnson, 2002). There is also a discontinuity between the upper and lower profiles of the soil due to the superposition of the waste over the natural soil (Wahsha and Al-Rshaidat, 2014).
The deposits formed after alluvial exploitation are classified as Technosols given the human influence exerted on them and the fact that their properties and pedogenesis are dominated by their technical origin (IUSS Working Group, 2014). Even if the composition of Technosols is in principle different to the composition of natural soils, their pedogenesis might not be that different. Therefore, it is important to analyze the extent of the pedogenesis of Technosols over periods of time based on changes in physicochemical, hydraulic and morphological properties (Jangorzo et al., 2013).
To mitigate the environmental impact of alluvial gold mining, over the last two decades, frequent attempts were made to revegetate gravel and sand deposits left by dredges. For instance, the Colombian company Mineros S.A. established agroforestry systems to revegetate gravel and sand deposits created after alluvial gold exploitation with suction and bucket dredges. Agroforestry systems are here defined as the growth of woody perennials on the same management unit (farm) as used for agricultural crops and animal husbandry, with both ecological and economical interactions between the woody and non-woody components of the system (Nair, 1993). Multipurpose trees are often planted on cropland, around homesteads, as shelterbelts or for revegetation of less fertile areas. Farmers commercialize the timber, use it as firewood and often do tree beekeeping. The aim of the company is to support agricultural land use by establishing crops in more fertile areas of the deposits while creating productivity on less fertile areas by planting trees. So far, under the Mineros S.A. initiative, more than 700 ha have been restored in this way, and more than 40 farmers and their families have benefitted by the entitlement of 14-ha plots. However, the establishment of agroforestry systems is not an easy task, due to the nature of the deposits that often poses extreme challenges for plant growth.
Although revegetation of Technosols is a long-term process, the ability to interpret early signs of revegetation success or failure is desirable for management (Gould, 2012). Therefore, efforts should be made to understand vegetation and soil development at the early stages of the revegetation process. For this, several indicators have been studied, e.g. temporal trends of soil properties (Hendrychova, 2008), microbial communities (He et al., 2012), plant communities (Holl, 2002), vertebrate communities (Nichols and Grant 2007), and landscape functionality (Antwi et al., 2014). One approach to characterize transformations of Technosols typically involves the arrangement of a chronosequence consisting of sampling and measurements in recently deposited materials and contrasting the results with those of Technosols developed a long time ago. Yet Technosols are very heterogeneous, and the properties of each area of the deposits depend on many factors like the technology used for gold mining or the
rate of weathering processes. Therefore, transformation processes have to be interpreted with care (Uzarowicz et al., 2017).
The structure of vegetation is sensitive to edaphic factors such as soil texture, moisture content, bulk density, organic matter and nutrient content. These factors influence plant development and regulate community structure and ecosystem functioning (Juwarkar et al., 2013). Soil structural stability influences both plant growth and community composition due to its relationship with other physical soil properties related to water availability (Heneghan et al., 2008). Water storage capacity, bulk density and porosity are closely linked to soil structure. Soil with a higher content of silt and organic matter usually has a good structural stability for supporting plant growth, while soil resistance to erosion increases with clay content (Zhang et al., 2015). Furthermore, comparing plant community resemblance between different sites or the progressive change over time can provide a sensitive measure of ecologically relevant changes in the environment (Philippi et al., 1998). One approach to achieve this is to determine community resemblance based on size structure. According to Cáceres et al. (2013), in plant communities, the most natural structural variables for wood vegetation are plant height and trunk diameter. Abundance profiles of the plant community for a given area can be calculated with the values of the structural variables for each individual.
The main objective of this study was to analyze the variability of soil properties explained by the time period since revegetation as well as sampling depth and deposit type, and to integrate the soil data with the analysis of the development of vegetation size structure across different time periods since the onset of the revegetation attempt. Furthermore, the set of physicochemical soil properties that correlated best with dissimilarities of community size structure was determined.
4.2 Material and methods
4.2.1 Study area
The study site is located in northwest Colombia in the gold mining area of El Bagre, Antioquia (Figure 4.1). The area lies in the humid tropical forest zone with an average temperature of 28°C and an annual precipitation of 2,000 – 4,000 mm. The region has a dry season from November to March and a rainy season from April to October. The topography is mostly flat with the characteristics of a low-lying forest that remains flooded most of the year, thereby preventing productive activities in agriculture, animal husbandry or forestry. Such areas are the most affected by gold mining. Revegetation initiatives begin by flattening the topography with bulldozers in order to reduce the slope to below 30% for the subsequent establishment of a vegetation cover. Revegetation areas established in 2002, 2006, 2010 and 2014 were selected for this study. Six sampling sites were chosen within each of the four different areas giving a total of 24 sampling sites with 12 located in gravel deposits and 12 in sand deposits.
The revegetation efforts of the mining company Mineros S.A. focus on gravel and sand deposits. From the total area that needs to be restored, depending on the location and stability of the deposits, specific areas were selected to implement the agroforestry systems. Farmland is allocated to beneficiaries that meet the requirements of the company, and partnership agreements are signed. Mineros S.A. provides resources for crop establishment and reforestation such as seeds and seedlings as well as economic and technical support to the sharecroppers at the beginning of the revegetation process.
Figure 4.1. Four areas in El Bagre, Antioquia, Colombia, covered by gold mining waste deposits undergoing revegetation through agroforestry since 2002, 2006, 2010 and 2014 selected for soil sampling and vegetation measurements.
4.2.2 Soil sampling and analysis
Soil samples were collected from September 2015 to February 2016 at depths of 0-20 cm, 20-40 cm and 40-60 cm. For soil sampling, an area of 10 m x 10 m was selected at each sampling site to perform field measurements of hydraulic conductivity, percolation, description of the soil profile, and sampling for physicochemical analysis. For soil sampling, an auger with 10 cm diameter was used for sand deposits and a shovel for gravel deposits. Soil samples were passed through a 2-mm sieve and air dried for subsequent analysis.
Soil pH was determined by the potentiometric method 1:1 water, organic matter by Walkey-Black, and nitrogen (N) by the Kjeldahl method. Available phosphorus (P) was determined by a modified Bray-II method. Potassium (K), calcium (Ca),
magnesium (Mg), iron (Fe), manganese (Mn), zinc (Zn), copper (Cu) and aluminum (Al) were determined by atomic absorption spectroscopy. Soil physical analyses were performed according to the Pla (2010) protocol. Soil texture was analyzed using the Bouyoucos hydrometer method.
Samples for bulk density were taken as undisturbed soil cores from each sampled surface layer. Bulk density was estimated with oven-dry cores (105°C for 48 hours). Hydraulic conductivity was measured using a tension infiltrometer (Eijkelkamp, Netherlands) and a Guelph constant head permeameter (Eijkelkamp, Netherlands). Altitude, longitude and latitude were recorded using a portable GPS (Garmin eTrex 10, Germany). Saturated water content, field capacity and permanent wilting point were determined according to Richards and Weaver (1944). The structural stability index was determined following Yoder (1936).
4.2.3 Micro-morphological analysis
Soil-pit profiles were studied following the guidelines developed by the US?? Soil Science Division Staff (2017). The soil profile was divided into horizons, and each horizon was described according to the field-description handbook of Loaiza (2015) for the following properties: presence of roots, root size, particle shape, particle size, color, structure, consistence, and stoniness. For the soil color description, Munsell color charts were used (Munsell 2013), and for the mineralogy analysis in the field, 10x – 20x lenses were used.
4.2.4 Vegetation survey
The measurement of the size structure of vegetation was conducted on the 24 sampling sites according to González et al. (2006). Trees and shrubs were georeferenced within the boundaries of the 10 m x 10 m plots, and diameter at breast height (DBH), as well as total height of each live individual, was measured. Tree heights were measured with a Vertex IV hypsometer (Haglöf, Sweden).
4.2.5 Data analysis
Soils of anthropogenic origin are usually formed by an abundance of technogenic artifacts which makes them characteristically heterogeneous. This heterogeneity needs to be taken into account to select adequate methods for the statistical analysis of the data. For example, many hypothesis tests rely on the assumption of a normal distribution of the population. In the case of this study, the data was strongly non-normal and resistant to transformation. Nonparametric tests rely on the assumption that the samples are independent and come from the same distribution, and are usually less powerful than the corresponding parametric tests when the normality assumption holds. Nonparametric tests often require modifying the hypothesis, as the tests about the population center are about the median instead of the mean, which does not answer the same question as the corresponding parametric procedure (McArdle, Anderson 2001; Anderson 2001). In spite of this drawbacks, the use of nonparametric procedures was chosen as the best option for this study, as the sample size was in some cases not adequately large to perform parametric analyses with strongly non-normal data. A three-way permutational analysis of variance was conducted in which soil properties were examined as a function of the time period since revegetation, sampling depth and deposit type (gravel or sand deposit). P-values were calculated on 10,000 permutations of the data using the adonis function in the R vegan package (Oksanen et al., 2017). Kruskal-Wallis tests were used to independently compare each soil parameter associated with each deposit type. A linear discriminant analysis was performed (Huberty and Morris, 1989) to identify which soil properties contributed most to differences between gravel deposits and sand deposits. For this analysis, the variables were standardized and absolute weights used to rank soil properties in terms of their discriminating power, where the soil properties with large weights were considered as those that contributed the most to differences between deposit types. This analysis was performed using the lda function of the R package MASS (Venables and Ripley, 2002)
Abundance profiles of live plants were calculated for each plot to analyze the distribution of plant sizes. Based on the method developed by Clarke and Ainsworth (1993), an analysis was performed to identify the combination of soil properties that best explained the patterns observed in the size distribution of the vegetation community. For this, the *bioenv* function of the R package *vegan* was used to identify the most suitable subset of soil physical, chemical and hydraulic properties that best correlated with plant community similarity matrices constructed based on size distribution measurements (Oksanen et al., 2017). The most suitable subset of soil properties found after the *bioenv* analysis was further subjected to a permutation test using the *adonis* function in R to determine significance.
4.3 Results and discussion
4.3.1 Soil profile morphology and classification
Soils that are the result of a combination of materials, such as the materials deposited by dredges, undergo strong transformations during the early stages of formation, which are characterized by pedogenic processes similar to those occurring in natural soils (Séré et al., 2010). The morphological description of these so-called Technosols for both gravel and sand deposits (Table 4.1 and 4.2) shows a superimposition of sub-horizontal layers, in some cases with wavy boundaries within layers. In the gravel deposits, fine roots are rare in the C horizons. However, frequent fine and medium roots could be observed in O horizons (0-2 cm). Formation of O horizons, dominated by organic material, is observed for gravel deposits with >4 years of revegetation, and for sand deposits with >8 years of revegetation. Both types of deposits are pedologically poorly developed, as they still do not show traits of incipient pedogenesis, and structure formation is not yet observed. This means that the Technosols still retain most of the structural features of the geologic deposits from which they were formed (USDA, 1999). However, there is clear evidence of the rapid development of new horizons, visually distinguished according to color and root density in both types of deposits. This is a typical behavior of Technosols in early stages of
formation as observed by Scalengue and Ferraris (2009), who state that profile development is minimal in Technosols of young age. However, the formation of O horizons in soils >4 years of revegetation evidences the development of an increasingly abundant plant cover that consequently increases the amounts of soil organic matter in topsoil with increasing age (Uzarowicz et al., 2017).
Different kinds of material are recorded in both gravel and sand deposits with >4 years of revegetation, with changes in particle-size distribution and color. The upper layers of the gravel deposits exhibit a light brown color (10 YR4/3), rounded and sub-rounded gravel, and a few fine roots in the younger gravel deposits, and abundant fine and medium roots in the gravel deposits with >8 years of revegetation. Deeper in the profile, layers with various shades of yellow could be identified (5Y6/4, 5Y7/6). Thick roots are noted in the gravel deposits with 12 years of revegetation. The upper layers of the sand deposits are of dark yellow and brown color (2.5Y 5/4, 10 YR 4/3), with fine and medium roots in areas with >4 years of revegetation. Abundant fragments of angular and sub-rounded quartz, as well as abundant coarse pores, occurred in the upper layers of the sand deposits.
**Table 4.1.** Morphological description of profiles of gravel deposits for each time period since revegetation.
| Period | Vegetation | Horizon | Depth | Color | Structure | Consistence | Other features |
|--------|------------------|---------|---------|----------------|---------------|----------------|--------------------------------------------------------------------------------|
| 0 | *Pueraria phaseoloides* | C | 0-50 cm | 10YR 4/3 (wet), 10YR 5/4 (dry) | No structure | Non-plastic | Few fine roots. 70% gravel (diameter: 0.2-1 cm), 15% gravel (diameter: 1-2 cm), 15% rounded and sub-rounded gravel (diameter 2-10 cm) |
| 4 | *Moringa oleifera* | O | 0-2 cm | 10YR 2/2 (wet) | No structure, loose | Non-plastic, non-sticky | Organic matter in decomposition. Frequent fine and medium-sized roots. Abundant sub-rounded quartz grains, size of fine |
| Period | Vegetation | Horizon | Depth | Color | Structure | Consistence | Other features |
|--------|---------------------|---------|-----------|---------------------|-----------|---------------------|---------------------------------------------------------------------------------|
| | | C | 2-45 cm | 5Y6/4 (wet), 5Y7/6 | Loose | Non-plastic, non-sticky consistency | sand. Frequent light-colored mica, size of very fine sand. Abundant fragments of rock, size of fine and medium sand. Frequent fragments of rock (diameter: 1-5 mm). Few fine roots. 60% gravel (diameter 0.5-1 cm), 30% gravel (diameter 1-4 cm), 10% gravel (diameter 4-10 cm). |
| 8 | Musa x paradisiaca | C | 0 - 50 cm | 10YR 4/4 (wet) | Loose | Non-plastic, non-sticky | Abundant fine and medium roots. Frequent fine pores. 80% stoniness, 50/50 proportion of gravel, rounded and sub-rounded gravel. |
| 12 | Psidium guajava | O | 0-4 cm | 7.5 YR 5/3 (wet) | Loose | Non-plastic, non-sticky | Abundant fine and medium roots, few thick roots. Organic matter undergoing medium to advanced decomposition. |
| | Acacia mangium | C | 4-40x cm | | Loose | | Stoniness. Loosen gravel. Few fine roots. Deposit with 80% of rounded gravel (diameter 0.5 – 4 cm), 20% rounded stoniness (diameter 4-10 cm). |
Table 4.2. Morphological description of profiles of sand deposits for each year of establishment.
| Year/Vegetation | Horizon | Depth | Color | Structure | Consistence | Observations |
|-----------------|---------|-----------|---------------------|-----------|---------------------|-------------------------------------------------------------------------------|
| 0 Pueraria phaseoloides | C | 0-50 cm | 2.5Y (wet), 2.5Y5/2 (dry) | No structure, loose | Non-plastic, non-sticky | Abundant angular quartz fragments, size of fine and very fine sand. Frequent lithic mafic angular and sub-rounded fragments. |
| Year | Vegetation | Horizon | Depth | Color | Structure | Consistence | Observations |
|------|---------------------|---------|--------|----------------|---------------|-------------------|------------------------------------------------------------------------------|
| 4 | *Musa paradisiaca* | xC | 0 - 7 cm | 10YR3/4 (wet) | No structure | Slightly plastic, non-sticky | Frequent sub-rounded quartz grains, size of very fine sand. |
| | *Theobroma cacao* | | | | | | Frequent fine roots. Abundant fine and medium roots. Abundant fine pores. |
| | | | | | | | Abundant light-colored mica, size of very fine sand. Roots with insects. |
| | | C₂ | 7-15 cm | 10 YR 4/3 (wet)| No structure, loose | Non-plastic, non-sticky | Coarse porosity. Abundant quartz sub-rounded fragments, size of fine sand. |
| | | | | | | | Abundant lithic fragments, size of fine sand. Frequent accumulation of iron oxide. |
| | | C₃₈ | 15-29 cm | 60% 2.5Y5/3 (wet), 40% 10YR3/6 (wet) | Loose | Slightly firm consistency, slightly plastic and sticky | Abundant fine roots. Abundant fine pores. Frequent accumulation of iron oxide in channels. Frequent quartz grains, size of very fine sand. |
| | | C₄₄ | 29-48 cm | 80% 5Y5/1 (wet), 20% 7.5YR 4/6 (wet) | Loose | Plastic and sticky | Few fine roots, abundant fine pores. Abundant accumulation of iron oxide in root channels. Frequent mica fragments, size of very fine sand. Evidence of redox processes. Porosity associated with root channels with a vertical orientation. Abundant fine root channels. |
| | | | 48-x cm | 90% GLEY 6/5 GY (wet), 10% 7.5YR 5/8 (wet) | Loose | Non-plastic, non-sticky | Abundant coarse pores. Abundant quartz grains, rounded and sub-angular, size of fine and medium sand. Abundant lithic fragments, size of medium sand. Frequent light-colored mica fragments, size of sand. |
| 8 | *Acacia mangium* | O | 0-1 cm | | Loose | Non-plastic, non-sticky | Sapric material. Materials undergoing an early stage of decomposition. Structure and tissue of litter are conserved. |
| | | C | 1-40x cm | 2.5Y 5/3 (wet) | Loose | Non-plastic, non-sticky | Few fine and medium roots. Abundant coarse pores. Frequent quartz grain, size of very fine sand. Few fragments of light-colored mica, size of very fine sand. Frequent lithic fragments, size of very fine sand. Few fragments of quartz (diameter >2 mm). |
| 12 | *Citrus × limon* | O | 0-40 cm | 10YR 4/4 (wet) | Loose | Non-plastic, non-sticky | Few fine and medium roots. Abundant coarse pores. |
Redoximorphic features (Lindbo et al., 2010) were observed in the profile of the sand deposit revegetated since 2010, where the water table was found at a depth of 58 cm. Accumulation of iron oxide in the root channels was found in sand deposits with >4 years of revegetation, suggesting temporary changes in the redox potential. In addition, the presence of sapric material was found in the sand deposit with 8 years of revegetation. Organic matter decomposition was observed in gravel deposits undergoing revegetation for >4 years and biological activity of mesofauna in the profile of sand deposits with 4 years of revegetation. In both sand and gravel deposits, the abundance and size of roots increased from younger to older revegetation areas. The presence of sapric material, as well as the biological activity after 4 years of revegetation, suggests that porosity and aggregation processes increased with time under the influence of biological factors. Therefore, the pedogenetic development of the studied Technosols can be similar to that of natural soils influenced by biological factors (Jangorzo et al., 2015).
4.3.2 Changes in soil chemical, physical and hydraulic properties along the chronosequence of revegetation
Three-way permutational analysis of variance was performed for two groups of soil properties: soil chemical properties (pH, Al, N, OM, P, K, Ca, Mg, Fe, Mn, Zn, Cu, Na), and soil physical and hydraulic properties (sand, silt, clay, bulk density, stability index, field capacity, saturated water content, permanent wilting point, saturated hydraulic conductivity). Soil chemical properties vary significantly between gravel and
sand deposits ($p = 0.004$). In addition, there is a significant interaction between the factors soil type and year of establishment ($p = 0.01$). Following up on the interaction, a permutational analysis of variance for each soil type (gravel and sand deposits) was performed independently for the different time periods of vegetation establishment. Results show that for sand deposits there is no significant difference among the different time periods of vegetation reestablishment, while gravel deposits exhibit significant changes ($p < 0.001$).
Median values of soil properties corresponding to the different time periods since the establishment of the revegetation plots and different deposit types are shown in Table 4.3. Kruskal-Wallis test and Kruskal-Wallis multiple comparisons were conducted for each chemical property of the gravel deposits to assess significant changes among different time periods since establishment. Results show significant changes in pH, P, K, Ca, Cu and Na. Gravel deposits with >4 years of revegetation have significantly lower pH, lower P, K, Ca, Cu and Na values compared with gravel deposits that were still without vegetation cover.
**Table 4.3.** Median values of physicochemical properties of sand and gravel deposits corresponding to different years since the establishment of revegetation plots. Median values of gravel deposits with different letters in the rows are significantly separated ($p \leq 0.05$).
| Property | Years since the establishment of revegetation | Gravel | Sand |
|----------|---------------------------------------------|--------|------|
| | 0 | 4 | 8 | 12 | 0 | 4 | 8 | 12 |
| pH | 7.05b | 5.4a | 5.1a | 5a | 5.7 | 5 | 4.5 | 5.6 |
| OM (%) | 6.39 | 8 | 9.21 | 7.64 | 6.06 | 7.89 | 7.36 | 7.36 |
| N (%) | 0.28 | 0.34 | 0.38 | 0.33 | 0.27 | 0.33 | 0.32 | 0.32 |
| P (mg/kg)| 17.9b | 7a | 5a | 9a | 11 | 5.5 | 8 | 7 |
| K (cmol(+)/kg) | 0.51b | 0.37a | 0.43a | 0.40a | 0.34 | 0.35 | 0.34 | 0.31 |
| Ca (cmol(+)/kg) | 13.03b | 6.86a | 6.49a | 6.24a | 2.78 | 6.13 | 3.47 | 2.29 |
| Mg (cmol(+)/kg) | 5.32 | 3.12 | 2.8 | 1.78 | 0.88 | 2.92 | 1.58 | 1.55 |
| Fe (mg/kg) | 96 | 84 | 112 | 159 | 62 | 162 | 127 | 64 |
| Mn (mg/kg) | 29.09 | 98.69 | 70.43 | 78.34 | 61.08 | 86.08 | 55.8 | 62.08 |
| Zn (mg/kg) | 8.08 | 10.99 | 21.28 | 1.81 | 1.3 | 3.31 | 1.36 | 0.79 |
| Property | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 |
|-------------------|-------|-------|-------|-------|-------|-------|-------|-------|
| Cu (mg/kg) | 8.69b | 3.12a | 3.71a | 4.27a | 1.03 | 8.48 | 3.16 | 1.62 |
| Na (cmol(+)/kg) | 0.32b | 0.19a | 0.19a | 0.12a | 0.13 | 0.19 | 0.13 | 0.09 |
| Al (cmol(+)/kg) | 0 | 0 | 0.8 | 0.8 | 0 | 0.65 | 0.7 | 0 |
| Sand (%) | 40 | 73 | 59 | 78 | 90 | 55 | 69 | 85 |
| Silt (%) | 24 | 10 | 13 | 5 | 4 | 27 | 23 | 5 |
| Clay (%) | 32 | 16 | 28 | 14 | 6 | 16 | 8 | 10 |
| Bulk density (g/cm³) | 1.64 | 1.53 | 1.34 | 1.29 | 1.32 | 1.08 | 1.15 | 1.39 |
| Stability index | 0.07 | 0.09 | 0.4 | 0.28 | 1.93 | 0.19 | 0.55 | 0.67 |
| Field capacity (%)| 10.72 | 10.77 | 12.01 | 7.65 | 10.87 | 10.23 | 10.23 | 11.38 |
| Saturated water content (%) | 15.01 | 15.94 | 16.83 | 11.1 | 16.31 | 15.34 | 15.35 | 16.67 |
| Permanent wilting point (%) | 5 | 5.92 | 6.55 | 4.2 | 5.97 | 5.57 | 5.01 | 6.25 |
| $K_{sat}$ (cm/h) | 5.85 | 0.23 | 7.54 | 0.28 | 0.32 | 0.003 | 0.23 | 0.05 |
$K_{sat}$: Saturated hydraulic conductivity
Three-way permutational analysis of variance of soil physical and hydraulic properties revealed no significant changes among deposit type, time period since establishment of vegetation or sampling depth. The relatively short time of establishment of the revegetation plots indicates that environmental conditions and climate have only had a short time to significantly influence the physical properties. Ruiz-Jaen et al. (2015) propose that significant changes in soil physical properties in post-mining landscapes can be evidenced after 15 years.
### 4.3.3 Comparison between gravel and sand deposits
Linear discriminant analysis (LDA) was conducted to determine which chemical properties of the soil contributed the most to differences between the different deposit types. Results show that Ca and P content contribute the most to differentiating gravel and sand deposits, and that Zn, Al, Cu, and Fe were also of considerable importance (Table 4.4).
Table 4.4. Ranking of soil chemical properties that contributed most to differentiate gravel and sand deposits based on linear discriminant analysis (LDA).
| Soil property | Absolute weight | Variable rank |
|---------------|-----------------|---------------|
| Ca | 2.69 | 1 |
| P | 1.29 | 2 |
| Zn | 1.21 | 3 |
| Al | 1.11 | 4 |
| Cu | 1.08 | 5 |
| Fe | 1.05 | 6 |
| Mn | 0.49 | 7 |
| pH | 0.47 | 8 |
| K | 0.30 | 9 |
| N | 0.17 | 10 |
| Mg | 0.16 | 11 |
| Na | 0.04 | 12 |
Phosphorus levels in gravel deposits with >4 years of revegetation are significantly lower than in gravel deposits with no vegetation cover. In the context of revegetation of mine spoils, P is essential for restoring most of the biogeochemical processes. Previous studies conducted by Castellanos et al. (2010) in the same research area show that P was the nutrient that limited the productivity of the tree *Acacia mangium* used to reforest sand and gravel deposits (Castellanos and Leon, 2010). Therefore, as a consequence of vegetation reestablishment, the P concentration is reduced.
The K, Ca and Mg contents are higher in gravel deposits as well as the concentration of Zn and Cu. Metallic micronutrients are also essential for plant growth but are soluble in acidic conditions in which they can dissolve to toxic concentrations that may actually hinder plant growth (Sheoran et al., 2010). Lindsay and Norvell (1978) mention values rated as highly sufficient for ecologically sustainable reclamation as being 4.5 mg/kg Fe, 1.0 mg/kg Mn, 1 mg/kg Zn and 0.4 mg/kg Cu (Lindsay and Norvell,
In the gravel deposits, in 97% of the samples, Zn exceeded the concentration recommended by the above authors, while in contrast, only 6% of the sand deposit samples had Zn concentrations above the threshold. All samples showed levels of Fe, Mn, and Cu that exceeded the threshold recommended by the authors. Critical levels of Mn that can begin to affect the yield of sensitive species are >65 mg/kg Mn (Hazelton and Murphy, 2007). For the gravel deposits, 52% of the samples had Mn contents above the critical level, and 46% of the sand deposits also showed Mn values above the critical level. The high concentration of metallic micronutrients might, therefore, be explained by the observed acidic conditions and the nature of the deposits.
For chemical soil analysis, gravel is defined as samples containing mineral particles with a diameter >2 mm. Gravel is usually considered to have no effect on the chemical and biological functioning of the soil and is removed before the laboratory analysis. Overall, the analysis of the chemical properties suggests that gravel deposits have a higher nutrient and organic matter (OM) content. However, the gravel content represented 8.4 ± 3.7% (SD) of the total weight of the samples. Therefore, the nutrient stock can be overestimated (Rytter, 2012). Even if gravel is considered as an inert component of a soil, it has a diluting effect on the amount of stored water and nutrients, affects infiltration and runoff rates, and introduces heterogeneity into soils. This can have either positive or negative effects on crop production. One of the positive effects of gravel is that it decreases the soil buffering power. Therefore, fertilizer applications may be more effective than on gravel-free soils (Bowden, 2013). Fertilizer recommendations and management strategies for gravel deposits should consider gravel content as well as bulk density and should be adjusted to a whole soil basis.
Moreover, the high N and OM contents of both deposit types could be explained, because the actual deposits were former bottoms of sedimentation basins (Shlyakhov and Osipov, 2004). Therefore, the material was deposited in a mixed manner with OM-rich layers that might compensate the lack of macronutrients of OM-poor layers (Meuser, 2013). The analysis of bulk density in the context of deposit revegetation
is crucial, given that high bulk densities might limit rooting depth. Severely compacted soils (bulk density > 1.7 g/cm$^3$) cannot hold enough plant-available water to sustain plants during dry seasons (Maiti and Ghose, 2005). In addition, it is expected that while reclaiming mining land, the soil becomes compacted with the consequent overall decrease in groundwater recharge (Ahirwal and Maiti, 2016). For the study site, the bulk density values cannot be considered as those of severely compacted soils, although the gravel deposits had higher bulk densities than the sand deposits (Table 4.3). Furthermore, the volumetric field capacity for both deposits was below 20%. This parameter did not exhibit significant changes across the reconstructed chronosequence, which is also related to the weak structure observed for these deposits. On the same lines, very rapid infiltration was observed for both types of deposits, as well as high saturated hydraulic conductivities.
### 4.3.4 Plant community succession
The most abundant tree species in the sampling plots undergoing revegetation were *Cecropia peltata* (Urticaceae), *Acacia mangium* (Fabaceae), *Vernonanthura patens* (Asteraceae) as well as shrubs such as *Eupatorium vitalbae* (Asteraceae), *Rubus ulmifolius* (Rosaceae), and *Calathea lutea* (Marantaceae) (Table 4.5). Height distribution of the vegetation was calculated for trees and shrubs in different years of establishment of revegetation for both deposit types (Figure 4.2). Profiles show that smaller trees <5 m in height predominated on the plots with >4 years of vegetation reestablishment. A few taller trees (> 10 m height) were found with <4 years of revegetation, and were more abundant in areas with >8 years of revegetation. The height profiles also reveal that the count of live trees in each height range is higher for gravel than for sand deposits.
Table 4.5. Abundant species found in the revegetation area.
| Growth form | Species |
|-------------|----------------------------------------------|
| Herbaceous | *Calathea lutea* (Marantaceae) |
| | *Cyperus ferax* (Cyperaceae) |
| Shrubs | *Eupatorium vitalbae* (Asteraceae) |
| | *Heterocondylus vitalbae* (Asteraceae) |
| | *Rubus ulmifolius* (Rosaceae) |
| | *Acacia mangium* (Fabaceae) |
| Trees | *Cecropia peltata* (Urticaceae) |
| | *Guazuma ulmifolia* (Malvaceae) |
| | *Miconia minutiflora* (Melastomataceae) |
| | *Sapium glandulosum* (Euphorbiaceae) |
| | *Tectona grandis* (Lamiaceae) |
| | *Vernonanthura patens* (Asteraceae) |
For shrubs, the height distribution reveals similar counts of individuals among the different height ranges for deposits with 4 years of revegetation. However, gravel deposits with >8 years had higher counts in all height ranges. Analysis of similarity based on the Bray-Curtis index shows that the time period since revegetation had a higher effect ($R = 0.27$, $p = 0.001$) on changes in size distribution (diameter and height) of trees than the deposit type ($R = 0.04$, $p = 0.001$). However, for height distribution of shrubs, it was observed that time period since establishment had a similar effect ($R = 0.19$, $p = 0.001$) to that of deposit type ($R = 0.19$, $p = 0.001$).
Analysis of plant density of trees and shrubs in terms of live individuals per square meter (Table 4.6) shows significant changes in plant density of trees, with significantly higher values ($p = 0.01$) for areas with >4 years of revegetation. No significant differences are observed for shrubs among the different time periods since revegetation nor between gravel and sand deposits. Analysis of vegetation development through the calculation of size profiles based on the size structure of the vegetation in four different areas with different time periods since revegetation provides evidence of
a progressive vegetation succession. In the specific case of Technosols, a progressive plant community succession is only achievable through a favorable combination of soil type, soil physical regime and type of primary plant community (Ciarkowska et al., 2016).
Figure 4.2. Abundance profiles of (a) trees and (b) shrubs calculated for different years of establishment of revegetation plots for gravel and sand deposits using total height as a structural variable.
The fact that trees and shrubs were taller in the gravel deposits suggests that the plant roots proliferated in the nutrient-rich zones of these deposits. This can be due
to the high nutrient content of the 2-mm fraction of the gravel deposits and the observed uneven distribution of this fraction within the deposit layers. Plants can respond morphologically to heterogeneity in nutrient availability by preferentially growing roots in nutrient-rich zones or by shifting growth allocation to or from roots (Robinson, 2005). Therefore, changes in root architecture can be mediating adaptation of the plants to these deposits (López-Bucio et al., 2003).
**Table 4.6.** Mean values of plant density (plant/m²) (N = 24) for trees and shrubs in sand and gravel deposits corresponding to different time periods since establishment of revegetation plots. Mean values of tree density in plots located in gravel deposits with different letters in the rows are significantly separated (p ≤ 0.05).
| Time period | Gravel | Sand |
|-------------|--------|------|
| | Trees | Shrubs | Trees | Shrubs |
| 0 years | 0.05<sup>a</sup> | 0.09 | 0.08 | 0.07 |
| 4 years | 0.27<sup>b</sup> | 0.05 | 0.28 | 0.08 |
| 8 years | 0.16<sup>b</sup> | 0.19 | 0.06 | 0.10 |
| 12 years | 0.30<sup>b</sup> | 0.23 | 0.13 | 0.02 |
### 4.3.5 Relation of Technosol properties with variation of size structure of plant community
Linking the size structure of the plant community to the variations of the chemical properties of the Technosol (Table 4.7) shows that pH, P and Mg have a stronger influence on plant growth compared to the other chemical properties. Previous research conducted on Technosols of bauxite residue shows that nutrient availability and physicochemical fertility depend mostly on the formation of aggregates (Vidal-Beaudet et al., 2016). The structural stability of the gravel deposits is much lower than that of sand deposits, therefore a careful selection of the plant species to be used in these areas is required. For example, the use of legumes can increase soil-N content,
increase organic matter as well as improve soil porosity and structure (Li et al., 2016). In addition, grasses characterized by fast growth can also help to stabilize the substrate and cover the land, and therefore can be used as a suitable initial cover for the barren deposits (Fullen et al., 2006). Vegetation succession will change the dominant plant cover of recently formed deposits from grasses to trees and shrubs, which will likely aid structure development through root binding (Santini and Fey, 2016). Therefore, understanding the pedogenesis of Technosols is essential to designing sustainable revegetation techniques, especially when the soil is to be used for agricultural purposes.
**Table 4.7.** Set of soil properties that best correlate with dissimilarities of community size structure. Results of permutational analysis demonstrate the significance of each parameter.
| Set of soil properties | Spearman correlation | p-value |
|------------------------|----------------------|---------|
| pH + P + Mg | 0.4365 | pH (0.034)
P (0.023)
Mg (0.039) |
Post-mining Technosols are often considered to be unfavorable for agricultural use and vulnerable to erosion (Kolodziej et al., 2017). However, the farmers living in the study area have the challenge to identify management strategies and areas where crop yield is not significantly affected by the quality of the substrate. The fact that sand and gravel deposits have remarkably different properties also suggests that for crop establishment they should be managed differently. Consequently, soil surveys are required to characterize the nutritional and physical properties of the deposits to develop management strategies for agricultural use and reforestation. In addition, crop selection should take into account the different properties of the deposits. Limiting factors for revegetation of sand deposits are low contents of P and exchangeable cations, and high Fe, Mn, Zn and Al contents. Limiting factors for revegetation of gravel
deposits are those mentioned for sand deposits in addition to a very poor structural stability.
Some unfavorable soil properties can be compensated for through the application of special ameliorative measures and the adoption of crop growing technologies, yet it is difficult to compensate limiting factors such as soil texture, stoniness and gravel content. However, studies on soil suitability for growing fruit trees show that large orchards can be established in areas considered to be of limited suitability for crop establishment and horticulture (Savin et al., 2016). Therefore, the establishment of orchards can be a suitable option for revegetation of gravel deposits. Furthermore, the choice of tree species for revegetation should be related to their capacity to increase soil nutrients and sequester soil organic carbon. Therefore, the exclusive establishment of fast-growing trees may not be as beneficial as the plantation of mixed stands (Neina et al., 2017). For crop production, sand deposits could be used, but organic amendments would be required for growth and maintenance of the crops. Initial coverage with natural topsoil might favor the establishment of soil ecosystem engineers such as earthworms and ants, and can play a decisive role in the development of plant communities. Furthermore, to enhance the structure and properties of the Technosols, amendments such as green waste or composts can be applied (Vergnes et al., 2017). In acidic areas with low concentrations of cation exchange, liming or especially wood ash application would be a suitable strategy due to the neutralizing capacity and availability in most households in the area (Neina et al., 2017). In areas with high bioavailable concentrations of Zn, Mn, Cu and Fe, species such as *Brachiaria decumbens* or *Lolium perenne* could be planted given their high tolerance to low fertility and high capacity to reduce the mobility of these metals in the soil. In addition to phytostabilization, plant-growth promoting bacteria could be applied to improve the tolerance and growth of these plants on soils with high metal concentrations (Rodríguez-Seijo et al., 2014).
4.4 Conclusions
The variability of the studied Technosols is primarily influenced by the type of deposit formed, i.e. gravel or sand deposit. It depends on the technology used for alluvial gold mining such as bucket dredges that create gravel deposits or suction dredges that create sand deposits. The physical and hydraulic properties of both deposits are rather similar, however, their chemical properties vary. Gravel deposits have higher nutrient contents in the fine fraction, therefore, the diluting effect of the rocks and pebbles of these deposits should be considered in the design of management strategies and fertilizer recommendations. Sand deposits have better structural properties than the gravel deposits, therefore an adequate revegetation scheme with fast-growing plants could promote an overall improvement in the physicochemical fertility of these deposits.
The vegetation cover on gravel deposits is developing faster than that on sand deposits, which could be due to the higher nutrient contents of the fine fraction in the gravel deposits combined with the adaptation of plant-root architecture for reaching the nutrient-rich zones of these deposits. Therefore, plant selection for revegetation of gravel deposits should also take into account the capacity of the plants to increase the efficiency of nutrient capture in nutrient-poor zones of these deposits. Moreover, as gravel deposits sustain a greater vegetation cover, there is evidence of a decrease in nutrient levels in older revegetation areas. Given the great importance of P for vegetation reestablishment, a suitable fertilization scheme should be designed to guarantee sufficient P availability for sustained vegetation growth.
The Technosols formed after alluvial gold mining activities exhibit nutrient contents and structural properties that make them suitable for agricultural use. However, selection of crops and trees for revegetation should consider the high concentrations of metallic micronutrients that can be potentially toxic to the plants. These deposits can ensure essential functions for rural areas such as woody biomass production and crop
establishment if gravel deposits and sand deposits are managed differently and specific crop selection for each deposit is done based on its respective properties.
4.5 Acknowledgements
This work was sponsored by the Foundation *fiat panis*, the company Mineros S.A., the German Academic Exchange Service (DAAD) and the Center for Development Research (ZEF) at the University of Bonn.
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5. DELINEATION OF HOMOGENEOUS ZONES IN SITES COVERED BY GOLD MINING WASTE UNDERGOING RESTORATION WITH AGROFORESTRY SYSTEMS
Abstract
Alluvial gold mining activities generate large amounts of dredged sediments that are deposited on the banks of and in areas near rivers. Agroforestry systems have been established for reclamation of these deposits in the gold mining area of El Bagre, Colombia, with the aim to support agricultural land use by establishing crops in more fertile areas of the deposits while making non-fertile areas productive through the planting of trees. Spatial variability of these sediment deposits depends on the type of machinery used for mining and the geochemical properties of the exploited alluvial areas.
To support farmer’s decision making regarding soil management, the main objective of this study is to understand the patterns of spatial variability of the soil properties of the deposit areas that might affect plant growth and crop productivity. For this purpose, homogeneous zones were delineated to identify areas with homogeneous properties within farmers’ fields, i.e. areas within a field with similar characteristics such as texture and nutrient levels. Soil samples were taken from 310 locations distributed in four reclamation areas of 50 ha each established in 2014, 2010, 2006 and 2002. Maps of the soil properties were generated through spatial interpolation with ordinary kriging. Spatial principal component analysis and fuzzy cluster classification were performed to delineate the homogeneous zones. For validation, multispectral aerial images were used to create maps of vegetation indices, and integrate these with field measurements of physicochemical soil properties.
5.1 Introduction
Alluvial gold mining activities generate large volumes of dredged rocks and sediments that destroy riparian ecosystems, cover large areas previously dedicated to agriculture or other land uses, and thus severely change the pedological properties (Shlyakhov and Osipov, 2004). In undisturbed soils, spatial and temporal variability is a result of the dynamic interaction of natural processes and management practices (Buttafuoco et al., 2010; Panakoulia et al., 2017). In the case of deposits of dredged rocks and sediments generated by mining activities, variability is not only determined by these factors but also depends on the type of machinery used for mining, as well as on the geology and geochemical properties of the parent material (Shlyakhov and Osipov, 2004). Moreover, the nature of the substrate that forms these deposits makes colonization by plants difficult. The texture can be very coarse in rock wastes, intermediate in sand wastes, or very fine in milled tailings. These deposits usually have low macronutrient levels and a low pH (Cooke and Johnson, 2002). There is also a discontinuity between the upper and lower layers of the soil profile due to the superposition of the mine waste over the natural soil (Bini and Bech, 2014).
When farmers attempt to use these severely disturbed lands for agriculture, they have to deal with several crop-limiting factors such as water and nutrient availability (Córdoba et al., 2016). One of the main challenges they face is to identify areas suitable for crop establishment in which productivity is not reduced by such crop-limiting factors. For this reason, in areas undergoing reclamation through agroforestry, understanding the spatial variability of soil properties that affect growth and productivity is crucial.
The delineation of homogeneous zones can be a useful method to understand variability within a farmer’s field (Gertsis et al., 2015). These zones are areas within a field with homogeneous characteristics such as texture, topography and nutrient levels (Schemberger et al., 2017). Even though an accurate definition of homogeneous zones
can be difficult due to the complex interactions of factors that could affect crop establishment and yield (Moral et al., 2010), understanding spatial variability of the soil can support the development of an effective management strategy to restore the productivity of the heavily degraded lands. The delineation of homogeneous zones requires detailed information to characterize the within-field variability of soil properties, plant and crop yield (Sona et al., 2016). Multivariate geostatistics is a tool widely used to subdivide a field into smaller and more homogeneous units through the analysis of spatial relationships of variables, i.e. soil physical, chemical and biological properties (Buttafuoco et al., 2015). Furthermore, data from optical sensors can be combined with the analysis of these properties to characterize variability and improve the delineation of homogeneous zones (López-Lozano et al., 2010; Pinheiro et al., 2017).
Recent advancements in the use of multispectral cameras mounted on drones for agricultural management provide an efficient way of collecting high-resolution data in areas where satellite images have poor spatial or temporal resolution (Sona et al., 2016). Multispectral images of vegetation cover are combined to obtain vegetation indices. Here the Normalised difference vegetation index (NDVI) is a good estimator of productivity and is commonly used for this purpose given its high correlation with leaf chlorophyll, green biomass and leaf area index (LAI) (Cicore et al., 2016). NDVI maps can be used as effective measures of vegetation activity and are useful parameters to characterize differences in crop canopy characteristics, as well as to assess spatial variability of agricultural fields (Al-Gaadi et al., 2014). Furthermore, NDVI is considered as one of the most important vegetation indices for the prediction of crop production due to its strong relationship with crop yield (Mkhabela et al., 2011; Wall et al., 2008).
To support farmers’ decision making regarding soil management of areas undergoing revegetation with agroforestry systems, the main objective of this study is (i) to understand the spatial variability of the soil properties of the deposit areas that might affect plant growth and crop productivity, (ii) to investigate the spatial correlation between NDVI and the analyzed soil properties, and (iii) to delineate and validate
homogeneous zones within the areas undergoing restoration. These objectives aim to support the design of specific management schemes for each zone to maximize the overall production potential of the farms by addressing specific agronomic requirements for both crop production and vegetation establishment.
5.2 Methodology
5.2.1 Study area
The study was conducted in north-west Colombia in the gold mining area of El Bagre, Antioquia (Figure 5.1). The area lies in a humid tropical forest zone (Espinal, 1992) with an average temperature of 28°C and a mean precipitation is 2,000 - 4,000 mm. The region has a dry season from November to March and a rainy season from April to October. The topography of the area is mostly flat. The low-lying forest remains flooded most of the year, preventing productive agriculture, animal husbandry or forestry. These areas are the most affected by the gold mining activities of the company Mineros S.A.
Areas to be restored are flattened with heavy machinery to reduce the slope below 30% for the subsequent establishment of a vegetation cover. The restoration efforts of the mining company focus on gravel and sand deposits. From the total area that needs to be restored, depending on location and stability of the deposits, specific areas are selected to implement agroforestry systems. The parcels are allocated to farmers that meet the requirements of the company, and partnership agreements are made. Resources for crop establishment as well as a subsidy are provided by the company to allow the farmers to initiate the restoration process.
Figure 5.1. Study area. The map on the left shows the four restoration areas selected for this study and the soil sampling points.
5.2.2 Soil sampling and analysis
Soil samples were collected from areas undergoing restoration through the establishment of agroforestry systems from September 2015 to March 2016. Four plots established in 2002, 2006, 2010 and 2014 were selected for soil sampling and aerial photography. A regular sampling grid consisting of 312 points spaced 100 m apart (78 sampling points for each area) for the four study plots was created. In addition, one cell of the grid was randomly selected for soil sampling at 25-m spacing. For soil sampling, an auger with 10 cm diameter was used for sand deposits and a shovel for gravel deposits. Soil samples were passed through a 2-mm sieve and air dried for subsequent analysis. They were analyzed according to the Soil Survey Investigations Report No. 42 5.0 (USDA, 2014). Soil pH was determined by the potentiometric method 1:1 water. Organic matter was determined by the Walkey-Black method. Nitrogen was determined by the Kjeldahl method. Available P was determined by a modified Bray-II method.
Potassium, Ca, Mg, and Al were determined by atomic absorption spectroscopy. Soil physical analyses were performed using methodologies developed by Pla (2010). Soil texture was determined by the Bouyoucos hydrometer method. Samples for bulk density were taken using intact soil cores from each sampled surface layer. Bulk density was determined by oven-drying the cores at 105°C for 48 hours (Pla, 2010). Penetration resistance was measured with a penetrograph standard set for measurements to a depth of 80 cm (Eijkelkamp, Netherlands). Altitude, longitude and latitude were determined using a portable GPS (Garmin eTrex 10, Germany).
5.2.3 Aerial imagery
The commercially available Sensefly eBee drone was used for collection of aerial imagery (Sensefly, Chaseaux-Lausanne, Switzerland). A Parrot Sequoia multispectral sensor was adapted to the eBee for image collection (Parrot SA, USA). The sensor captured images corresponding to four separate bands: red (660 BP 40), green (550 BP 40), red edge (735 BP 10) and near-infrared (790 BP 40). The drone was flown at a minimum height of 107 m and a maximum height of 143 m obtaining an image resolution of 10-14 cm per pixel. The flight plans were programmed and monitored using eMotion2 software (Sensefly, Cheseaux-Lausanne, Switzerland), and post-flight image processing was completed using Pix4D (Pix4D SA, Lausanne, Switzerland). The eMotion 2 software uses publicly available digital elevation data from Google Earth to develop flight plans. Previews of aerial photographs and digital surface models were generated in real time, however, full data processing took several hours. The drone was flown at a default speed of 15 m/s that changed according to wind direction and speed. The average area covered by a single flight was 60 ha with an image overlap of 60 - 70%. Flights were conducted in November 2016. The resulting aerial images were overlaid with GPS data obtained by soil sampling and vegetation surveys.
5.2.4 Data analysis
Geostatistical analysis of soil properties
The geostatistical analysis for spatial interpolation was performed for the following soil properties: pH, organic matter, N, P, K, Ca, Mg, sand content, silt content, clay content, bulk density and penetration resistance measured at a 5-cm depth. Extreme values were identified graphically using box plots for each soil property and were removed from the dataset for subsequent analysis. Then a spatial data frame was created for soil properties at each sampled coordinate (Pebesma and Bivand, 2005; Bivand et al., 2013b). GPS coordinates were projected onto WGS 84 / UTM zone 18N to express distances in absolute measurements (m).
Local indicators of spatial association allow for the decomposition of global indicators, such as Moran’s I, into the contribution of each observation. The local indicators serve two purposes: (i) they may be interpreted as indicators of local pockets of nonstationarity, or (ii) they can be used to assess the influence of individual locations on the magnitude of the global statistic and to identify “outliers,” as in Anselin’s Moran scatterplot (1993). In exploratory spatial data analysis, the predominant approach to assess the degree of spatial association still ignores this potential instability, as it is based on global statistics such as Moran’s I. A focus on local patterns of association and an allowance for local instabilities in overall spatial association has only been suggested as a more appropriate perspective (Anselin, 1993). The neighborhood for each observation is formalized by means of spatial weights or contiguity matrix. The columns with nonzero elements in a given row of this matrix indicate the relevant neighbors for the observation (Anselin, 1995). Creating spatial weights is then a necessary step in using areal data to confirm that there is no remaining spatial patterning in residuals. The first step is to define which relationships between observations are to be given a non-zero weight that is to choose the neighbor criterion to be used; the second is to assign weights to the identified neighbor links (Bivand et al., 2013a). The construction of spatial neighbors and weights is discussed by Cressie (1993). A spatial weights matrix was
defined for spatial autocorrelation analysis. The matrix was created using the k-nearest neighbor’s methodology with the `knearneigh` function of the R package `spdep` (Bivand et al., 2013a; Bivand and Piras, 2015).
Moran and Geary's C tests were performed to detect spatial autocorrelation using the `moran.test` and `geary.test` functions. In addition, Moran's coefficient was calculated on distance classes from the set of spatial coordinates and corresponding values of each soil property to examine patterns of spatial autocorrelation. The correlogram was calculated using the `correlog` function of the R package `pgirmess` (Giraudoux, 2017). To detect influential points with significant local autocorrelation, Moran scatter plots were elaborated for each soil property, and the statistical significance of each observation was obtained using the local spatial statistic Moran's I calculated for each zone based on the spatial weights object. The scatter plots were elaborated using the `moran.plot` function of the R package `spdep`. Local Moran's I was calculated using the `localmoran` function of the R package `spdep`. Influential points generating spatial autocorrelation were detected and removed from the database for further geostatistical analysis.
There are several geostatistical approaches to estimate confidence intervals of variables in locations that have not been sampled, such as simple kriging with varying local means, kriging with an external drift, collocated co-kriging, among others (Bivand et al., 2013b). However, the results obtained with these procedures might be unsatisfactory due to the incorrect specification of the assumed parametric model. In traditional geostatistical approaches, the use of the residuals introduces a bias in the estimation of the spatial dependence and may produce a strong underestimation of the small-scale variability of the process. Even if the effect of bias may be small for kriging, in this study a bias-corrected estimator of the variograms was calculated under a complete nonparametric model, as more accurate results could be produced (Fernández-Casal et al., 2014), especially considering that the large-scale variation of these deposits cannot be assumed constant and that small-scale variation can be high.
Furthermore, discretization of the data, in this case, was not a suitable option, as it produces a loss of valuable information that was crucial to understanding the heterogeneity of these deposits. Therefore, for this study, modeling of spatial correlation was conducted following a general nonparametric procedure. Semivariograms for each soil property were calculated using local polynomial kernel smoothing of linearly binned semivariances (Fernández-Casal et al., 2014) using the np.svar function of the R package npsp (Fernandez-Casal, 2016). Maximum likelihood estimation of the parameters of the theoretical variogram was done for the following parameters: nugget variance ($\tau^2$), partial sill ($\sigma^2$), practical range ($\varphi$), anisotropy angle ($\psi_A$), and anisotropy ratio ($\psi_R$). The nugget to sill ratio (NSR) was calculated to define different classes of spatial dependence. If the ratio is lower than 25%, the variable is considered to be strongly spatially dependent, if it is in the range 25–75%, the variable is considered moderately spatially dependent, and if the ratio is higher than 75%, the variable is considered weakly spatially dependent (Zimmermann et al., 2008). This estimation was done using the likfit function of the R package geoR (Ribeiro and Diggle, 2001). Cross-validation was performed by comparing observed and predicted values by kriging using the xvalid function. The performance statistics of the crossed validation were assessed in terms of mean error (ME), mean standard error (MSE), and root mean square error (RMSE). Ordinary kriging was performed for spatial interpolation of each soil property after creating a prediction grid within the borders of the study area.
**Computation of vegetation indices and spatial regression with soil properties as explanatory variables**
Orthomosaics elaborated with the aerial images captured with the multispectral sensor were used to calculate the normalized difference vegetation index (NDVI) using the four reflectance bands, i.e. green (550 BP 40), red (660 BP 40), red edge (735 BP 10), and near-infrared (790 BP 40). The NDVI was calculated for the four areas undergoing restoration since 2014, 2010, 2006 and 2002, and in this study is used as a proxy of plant vigor and productivity (Pettorelli et al., 2006). The NDVI maps were overlaid on soil physicochemical maps in order to visualize their impact on the spatial
variability of vegetation vigor. A spatial error model (Anselin, 2013) was used to examine the relationship between the NDVI as a dependent variable and soil physicochemical properties as explanatory variables. A compact way to express this model is presented by (Bivand and Piras, 2015):
\[ y = Z\delta + u \]
(1)
where \( Z = [Y, X, Wy] \) is the set of all explanatory variables and \( \delta = [\pi^T, \beta^T, \rho_{Lag}]^T \) is the corresponding vector of parameters. The error vector \( u \) follows a spatial autoregressive process of the form:
\[ u = \rho_{Err}Mu + \varepsilon \]
(2)
\( \rho_{Lag} \) is the spatial autoregressive parameter on the spatially lagged dependent variable \( y \), and \( \rho_{Err} \) for the spatial autoregressive parameter on the spatially lagged residuals. \( \pi \) and \( \beta \) are corresponding parameters for endogenous and exogenous variables, respectively. \( M \) is an \( n \times n \) spatial weighting matrix and \( Mu \) is an \( n \times 1 \) vector of observation on the spatially lagged vector of residuals. The spatial error model is formed as a special case with \( \rho_{Lag} = 0 \) and no endogenous variables, therefore \( \pi = 0 \). The assumption on which the maximum likelihood estimation of the regression coefficients relies is that \( \varepsilon \sim N(0, \sigma^2) \). A maximum likelihood estimation of the model was performed using the `errorsarlm` function of the R package `spdep` (Bivand and Piras, 2015; Bivand et al., 2013a). Spatial autocorrelation of the residuals of the model was tested through the Moran I statistic to assess the validity of p-values and regression coefficients (Bivand et al., 2013b).
**Delineation of homogeneous zones based on soil properties**
Delineation of homogeneous zones was performed following the protocol developed by Córdoba et al. (2016) with some adaptations for this specific study. For multivariate site classification, a database of predicted soil properties was created. Data were standardized in order to transform them to comparable scales. Principal component analysis was performed on the predicted soil properties using the `dudi.pca` function of the R package `ade4` (Chessel et al., 2004). Subsequently, a multivariate spatial correlation analysis of the principal components was performed as an extension of the
univariate method of spatial autocorrelation. By accounting for the spatial dependence of data observations and their multivariate covariance simultaneously, complex interactions among many variables in a spatial context can be analyzed. Using a methodological scheme borrowed from the techniques of principal components analysis (PCA) and factor analysis, a strategy for the exploratory analysis of spatial pattern in the multivariate domain was developed by Wartenberg (1985). A multivariate spatial correlation analysis of the principal components was performed using the function multispati.
A fuzzy c-means cluster analysis was performed to generate fuzzy partitions and prototypes for the spatial principal component obtained from the multivariate spatial correlation analysis. These partitions are useful for corroborating known substructures or suggesting substructure in unexplored data. The clustering criterion used to aggregate subsets is a generalized least-squares objective function (Bezdek, 1984).
A fuzzy c-means cluster analysis was performed on the spatial principal component obtained from the multivariate spatial correlation analysis using the cmeans function of the R package e1071 (Meyer, 2017). A value for the number of clusters (c) is known a priori on physical grounds. If c is unknown, then the determination of an optimal c becomes an important issue. This question is sometimes termed the "cluster validity" problem. In addition to the clustering, it is essential to perform a posteriori measures of cluster validity (or "goodness of fit") (Bezdek, 1984). To calculate the optimal number of clusters, the following indices were calculated: Xie-Beni (XB) (Xie and Beni, 1991), Fukuyama-Sugeno (FS) (Kwon, 1998), partition coefficient (PC), and partition entropy (PE) (Tang et al., 2005). A summarizing index (SI) proposed by (Galarza et al. 2013) was used to summarize the results of the indices as shown in equation (3):
\[ SI = \sqrt{XB^2 + PE^2 + PC^{-2}} \]
(3)
For the validation of the delineated homogeneous zones, vegetation indices were extracted from the maps, and descriptive statistics were applied to the extracted values. Analysis of variance was performed to test differences among the values for each
homogeneous zone. For calculation of the maps of vegetation indices and extraction of values, the R packages rgdal, raster and rgeos were used.
5.3 Results and discussion
5.3.1 Exploratory data analysis
The first step of the geostatistical analysis was an exploratory data analysis in which descriptive statistics were used (Table 5.1). The sandy fraction was predominant, with an average value of 68%, while silt and clay constituted 18% and 14%, respectively. Coefficients of variation for silt and clay were much higher than for sand. The soil was slightly acidic with a mean pH value of 5.09; this parameter also exhibited the lowest coefficient of variation and Al the highest. Nitrogen and OM values were high with 0.25% and 5.95%, respectively, and those of P moderate with an average 15 mg/kg. The levels of exchangeable cations were low for Na, K and Ca with mean values of 0.22, 0.18 and 2.92 cmol(+)/kg, respectively. Magnesium levels were moderate with an average 1.36 cmol(+)/kg. Bulk density was relatively low (0.91 g/cm$^3$), which reveals that there was no severe compaction that could inhibit root penetration. However, average penetration resistance values of 1.93 MPa suggest that the soil has a dense consolidation, therefore cereal root growth could be restricted. For all soil properties, mean and median values were quite similar; however, skewness values were high for most of the parameters, with the exception of pH that was the only normally distributed parameter. Outliers were scarce and were removed after identification through box plots for each soil property. The values for pH, N, bulk density, moisture and penetration resistance were fairly symmetrical in contrast to textural parameters such as sand (skewness = -1.18) and clay (skewness = 2.10), which were highly skewed.
Table 5.1. Descriptive statistics of soil properties in the study area.
| Variable | Mean | Median | SD | Min | Max | CV | Skewness | Kurtosis |
|----------|--------|--------|--------|------|------|-------|----------|----------|
| **2014** | | | | | | | | |
| pH | 5.41 | 5.3 | 0.51 | 4.2 | 6.7 | 0.09 | 0.25 | 0.03 |
| N (%) | 0.36 | 0.31 | 0.12 | 0.27 | 0.69 | 0.33 | 1.52 | 1 |
| OM (%) | 9.06 | 7.11 | 3.87 | 6.02 | 18.7 | 0.42 | 1.57 | 1.1 |
| P (mg/kg)| 12.24 | 13 | 7.12 | 0 | 44 | 0.58 | 0.88 | 3.58 |
| K (cmol(+)/kg) | 0.12 | 0.09 | 0.09 | 0.02 | 0.53 | 0.83 | 1.61 | 3.78 |
| Ca (cmol(+)/kg) | 2.78 | 2.46 | 2.25 | 0.28 | 9.1 | 0.81 | 1.31 | 1.1 |
| Mg (cmol(+)/kg) | 0.98 | 0.37 | 1.09 | 0.14 | 4.6 | 1.11 | 1.68 | 2.07 |
| Na (cmol(+)/kg) | 0.26 | 0.19 | 0.18 | 0.06 | 0.65 | 0.7 | 0.94 | -0.29 |
| Sand (%) | 74 | 90 | 26.19 | 13 | 98 | 0.35 | -1.08 | -0.39 |
| Silt (%) | 14 | 4 | 18.34 | 0 | 60 | 1.25 | 1.27 | 0.14 |
| Clay (%) | 11 | 7.5 | 10.27 | 0 | 43 | 0.94 | 1.37 | 1.08 |
| BD (g/cm³) | 1.01 | 0.96 | 0.24 | 0.62 | 1.46 | 0.24 | 0.48 | -0.84 |
| PR (MPa) | 1.64 | 1.57 | 1.02 | 0.1 | 4.5 | 0.62 | 1.23 | 1.55 |
| **2010** | | | | | | | | |
| pH | 5.08 | 5.1 | 0.53 | 3.9 | 6.6 | 0.1 | -0.11 | -0.19 |
| N (%) | 0.22 | 0.2 | 0.16 | 0.01 | 0.71 | 0.75 | 0.73 | -0.16 |
| OM (%) | 5.2 | 4.22 | 4.55 | 0 | 18.7 | 0.87 | 0.93 | 0.25 |
| P (mg/kg)| 15.25 | 16 | 7.78 | 0 | 34 | 0.51 | 0.035 | -0.45 |
| K (cmol(+)/kg) | 0.21 | 0.2 | 0.12 | 0.03 | 0.53 | 0.55 | 0.83 | 0.22 |
| Ca (cmol(+)/kg) | 3.51 | 3.16 | 2.44 | 0.32 | 9.1 | 0.69 | 0.62 | -0.53 |
| Mg (cmol(+)/kg) | 1.55 | 1.68 | 1.03 | 0 | 4.03 | 0.66 | 0.07 | -1.21 |
| Na (cmol(+)/kg) | 0.26 | 0.27 | 0.14 | 0 | 0.65 | 0.56 | 0.15 | -0.35 |
| Sand (%) | 58 | 54 | 27.4 | 15 | 99 | 0.47 | 0.02 | -1.43 |
| Silt (%) | 23 | 24 | 16.98 | 0 | 69 | 0.72 | 0.35 | -0.74 |
| Clay (%) | 18 | 16 | 14.84 | 1 | 60 | 0.81 | 0.99 | 0.27 |
| BD (g/cm³) | 0.86 | 0.86 | 0.17 | 0.35 | 1.39 | 0.21 | -0.08 | 1.51 |
| PR (MPa) | 1.42 | 1.05 | 1.03 | 0.1 | 4.5 | 0.72 | 1.53 | 1.68 |
| **2006** | | | | | | | | |
| pH | 4.98 | 5 | 0.516 | 4 | 6.2 | 0.1 | 0.05 | -0.49 |
| N (%) | 0.18 | 0.16 | 0.12 | 0.03 | 0.47 | 0.64 | 0.42 | -0.97 |
| OM (%) | 4.1 | 3.35 | 3.04 | 0.27 | 12.12| 0.74 | 0.57 | -0.7 |
| P (mg/kg)| 21.1 | 18 | 12.25 | 0 | 44 | 0.58 | 0.41 | -0.81 |
| K (cmol(+)/kg) | 0.19 | 0.2 | 0.12 | 0 | 0.53 | 0.62 | 0.97 | 1.04 |
| Ca (cmol(+)/kg) | 2.59 | 2.48 | 1.49 | 0.34 | 6.78 | 0.57 | 0.74 | 0.42 |
| Mg (cmol(+)/kg) | 1.21 | 1 | 0.88 | 0.21 | 4.6 | 0.73 | 1.49 | 2.33 |
| Na (cmol(+)/kg) | 0.15 | 0.15 | 0.09 | 0.04 | 0.65 | 0.63 | 2.14 | 7.34 |
| Sand (%) | 71 | 78 | 22.68 | 18 | 99 | 0.32 | -0.57 | -0.91 |
| Silt (%) | 17 | 12 | 15.79 | 0 | 54 | 0.89 | 0.69 | -0.94 |
| Clay (%) | 11 | 7 | 11.29 | 0 | 67 | 1 | 2.43 | 7.67 |
| Variable | Mean | Median | SD | Min | Max | CV | Skewness | Kurtosis |
|----------------|-------|--------|-------|-------|-------|-------|----------|----------|
| **2001** | | | | | | | | |
| BD (g/cm³) | 0.99 | 0.98 | 0.24 | 0.49 | 1.46 | 0.24 | -0.003 | -0.94 |
| PR (MPa) | 2.42 | 1.89 | 1.18 | 0.5 | 4.8 | 0.48 | 0.86 | -0.49 |
| **2002** | | | | | | | | |
| pH | 4.88 | 4.9 | 0.44 | 3.7 | 5.8 | 0.09 | -0.19 | -0.38 |
| N (%) | 0.23 | 0.21 | 0.14 | 0.02 | 0.59 | 0.59 | 0.47 | -0.67 |
| OM (%) | 5.41 | 4.53 | 3.73 | 0.07 | 16.31 | 0.69 | 0.71 | -0.17 |
| P (mg/kg) | 12.02 | 11 | 7.95 | 0 | 37 | 0.66 | 0.69 | 0.45 |
| K (cmol(+)/kg) | 0.18 | 0.15 | 0.12 | 0 | 0.53 | 0.66 | 0.56 | -0.57 |
| Ca (cmol(+)/kg)| 2.81 | 2.56 | 1.86 | 0.35 | 9.1 | 0.66 | 1.28 | 1.66 |
| Mg (cmol(+)/kg)| 1.67 | 1.33 | 1.16 | 0.17 | 4.6 | 0.69 | 0.72 | -0.55 |
| Na (cmol(+)/kg)| 0.2 | 0.15 | 0.12 | 0.05 | 0.65 | 0.58 | 1.38 | 1.76 |
| Sand (%) | 67 | 74 | 25.33 | 20 | 96 | 0.37 | -0.39 | -1.42 |
| Silt (%) | 18 | 10 | 16.34 | 1 | 58 | 0.89 | 0.68 | -0.83 |
| Clay (%) | 14 | 10 | 12.59 | 1 | 51 | 0.88 | 1.11 | 0.37 |
| BD (g/cm³) | 0.79 | 0.68 | 0.23 | 0.34 | 1.46 | 0.29 | 1.62 | 1.72 |
| PR (MPa) | 2.2 | 1.37 | 1.39 | 0.3 | 4.8 | 0.63 | 0.72 | -1.03 |
OM, organic matter; BD, bulk density; PR, penetration resistance at 5 cm depth.
A correlation matrix between soil properties is shown in Figure 5.2. Rectangles were drawn around the correlation matrix plots based on the hierarchical clustering of correlation values. High positive correlation was observed for N and organic matter as well as between Mg and Ca, Ca and clay, Ca and silt, Mg and silt, and Mg and clay. Sand content had a strong negative correlation with Ca and Mg; pH had a strong negative correlation with Al.
Figure 5.2. Correlation matrix between soil properties in the study area.
5.3.2 Geostatistical analysis of soil properties
Spatial continuous estimation of soil properties was carried out with ordinary kriging following the spatial correlation structures described with the variograms for spatial interpolation of the soil properties to be used for delineation of homogeneous zones. Experimental variograms were computed for this purpose (Appendix 2\(^1\)), and theoretical models were a good fit in most cases for the soil properties (Table 5.2).
\(^1\) Appendices for this chapter can be downloaded from: [https://data.zef.de/?uuid=7315196f-60aa-4eb3-87ca-d49b0531f22e](https://data.zef.de/?uuid=7315196f-60aa-4eb3-87ca-d49b0531f22e)
Kriging maps were developed to show spatial distribution of soil properties in the four selected areas undergoing restoration (Appendix 3).
**Table 5.2.** Geostatistical analysis of soil physicochemical properties. Maximum likelihood estimation of parameters of theoretical variogram for nugget variance ($\tau^2$), partial sill ($\sigma^2$), practical range ($\varphi$, m), nugget to sill ratio (NSR, %), anisotropy angle ($\psi_A$) and anisotropy ratio ($\psi_R$).
| Parameter | pH | N | OM | P | K | Ca | Mg | Sand | Silt | Clay | BD | PR |
|-----------|----|----|----|----|----|----|----|------|------|------|-----|-----|
| **2014** | | | | | | | | | | | | |
| Model | Mat| Exp| Exp| - | Cub| Exp| Sph| Sph | Mat | Sph | Cub | Gau |
| $\tau^2$ | 0.14| 0 | 5.09| - | 0.15| 0 | 0.36| 0.02 | 0.01 | 0 | 0.01| 0.6 |
| $\sigma^2$| 0.09| 0.015| 12 | - | 0.25| 4.83| 0.58| 0.06 | 0.03 | 0.01 | 0.04| 0.46|
| $\varphi$ (m)| 200| 173.1| 262.1| - | 383.3| 163.1| 202.8| 567.1| 100 | 146.5| 402.8| 77.9|
| NSR (%) | 155| 0 | 42 | - | 60 | 0 | 62 | 33 | 33 | 0 | 25 | 130 |
| $\psi_A$ | 0 | 0 | 0 | - | 0 | 0.385| 0 | 0 | 0 | 1.23 | 1.07| 0.68|
| $\psi_R$ | 2.54| 1 | 1 | - | 1.07| 3.15| 11.86| 10.5 | 12.96| 1.39 | 1.46| 6.08|
| ME | 0.004| 9e-4| 9e-4| - | 4e-4| 0.019| 0.006| 3e-5 | 5e-4 | 8e-4 | 0.001| 0.01|
| MSE | 0.005| 0.01| 1e-4| - | 0.024| 0.007| 0.88 | 2e-4 | 0.002| 0.009| 0.002| 0.005|
| RSME | 0.42| 0.09| 2.79| - | 0.07| 1.88 | 1.03 | 0.18 | 0.11 | 0.09 | 0.17| 0.89|
| **2010** | | | | | | | | | | | | |
| Model | Gau| PW | PW | Sph| Sph| Cub| Sph| Sph | Sph | PW | Sph | - |
| $\tau^2$ | 0.23| 0.007| 1.38| 14 | 0.09| 2.53| 0.71| 0.01 | 0.07 | 0.01 | 0 | - |
| $\sigma^2$| 0.02| 0.01| 2.31| 34.32| 0.01| 2.61| 0.38| 0.05 | 0.21 | 0.004| 0.02| - |
| $\varphi$ (m)| 100| 100| 100| 165.9| 99.86| 364.4| 339.7| 196.6| 102.8| 174.2| 118.9| - |
| NSR (%) | 1150| 70 | 60 | 41 | 900 | 97 | 186 | 20 | 33 | 250 | 0 | - |
| $\psi_A$ | 0 | 0 | 0 | 0.006| 0 | 0 | 0 | 0.70 | 0.69 | 0.83 | 0.16| - |
| $\psi_R$ | 1 | 1.55| 1 | 1 | 1 | 2.04| 1.57| 2 | 2.06 | 1 | 2.7 | - |
| ME | 0.001| 0.001| 0.03| 0.16| 2e-4| 0.013| 0.007| 0.008| 0.007| 3e-5 | 5e-4| - |
| MSE | 0.001| 0.006| 0.009| 0.012| 0.003| 0.003| 0.004| 0.014| 0.02 | 9e-5 | 0.002| - |
| RSME | 0.52| 0.56| 1.57| 6.18| 0.11| 1.77| 0.89| 0.21 | 0.13 | 0.12 | 0.14| - |
| **2006** | | | | | | | | | | | | |
| Model | - | Exp| Exp| Sph| Sph| Sph| Sph| Sph | Sph | Exp | Exp | Sph |
Four areas undergoing restoration since 2002, 2006, 2010 and 2014 were selected for geostatistical analyses. Density graphs for each parameter in each restoration area are provided as supplementary material (Appendix 1). Spatial autocorrelation was calculated through Moran and Geary C tests and Moran correlogram. Spatial autocorrelation was calculated for the majority of the soil parameters, with the exception of K, sand content and penetration resistance in the plot established in 2014, sand content in the plot established in 2010, and K, sand and silt content in the plot established in 2002. Moran scatter plots were elaborated and significant inliers were removed before proceeding with further geostatistical analysis.
Non-parametric semivariograms were calculated for each soil parameter in the four areas (Appendix 2), and theoretical models were used to find the best fit for each case (Table 5.2). For the restoration area established in 2014, OM ($\sigma^2=12$, $\varphi=262.1$ m), Ca ($\sigma^2=4.83$, $\varphi=163.1$ m) and Mg ($\sigma^2=0.58$, $\varphi=202.8$ m) exhibited the highest spatial variability, followed by penetration resistance at 5 cm depth ($\sigma^2=0.46$, $\varphi=77.9$ m) and K ($\sigma^2=0.25$, $\varphi=383.3$ m). For the restoration area established in 2010, the highest spatial variability was exhibited by P ($\sigma^2=34.32$, $\varphi=165.9$ m), followed by Ca ($\sigma^2=2.61$, $\varphi=364.4$ m), OM ($\sigma^2=2.31$, $\varphi=100$ m) and Mg ($\sigma^2=0.38$, $\varphi=339.7$ m). For the restoration area established in 2006, the highest spatial variability was exhibited by P ($\sigma^2=126.6$, $\varphi=575.4$ m), followed by OM ($\sigma^2=9.79$, $\varphi=307.6$ m), Ca ($\sigma^2=1.03$, $\varphi=202.1$ m) and sand content ($\sigma^2=0.7$, $\varphi=353.1$ m). For the restoration area established in 2002, the highest spatial variability was exhibited by P ($\sigma^2=44.02$, $\varphi=768.6$ m), followed by OM ($\sigma^2=2.74$, $\varphi=201.2$ m), Ca ($\sigma^2=1.22$, $\varphi=119.2$ m) and Mg ($\sigma^2=0.88$, $\varphi=526.7$ m). Furthermore, the nugget to sill ratio (NSR) shows that for the restoration area established in 2014 most of the variables exhibit moderate to weak spatial dependency, with the exception of N, Ca and clay content. For the restoration area established in 2010, only bulk density exhibited strong spatial dependency. For the restoration area established in 2006, most of the variables exhibited strong spatial dependency, with exception of Ca, Mg and penetration resistance. For the restoration area established in 2002, most of the variables exhibited weak spatial dependency, with exception of the textural variables.
Most of the variograms show a considerable nugget effect explained by the fact that variability in soil properties can occur at a scale smaller than the minimum lag distance (Moral et al., 2010). Furthermore, the results of the geostatistical analysis show that OM, P, and exchangeable cations (Ca, Mg) exhibited the highest spatial variability in the four restoration areas.
The high spatial variability of P content in the deposits can be explained by the primary origin of the alluvial deposits considering that the sand fraction is predominant. This is because a fairly high proportion of the P in sand fractions of alluvial soils is of
primary origin, whereas the P in clay fractions is mostly the result of the accumulation of both organic and inorganic P (Syers et al., 1969). Furthermore, P retention and release has been shown to be influenced more strongly by the parent material and thus sedimentation conditions in young floodplain soils than by pedogenetic processes (Lair et al., 2009). In addition to the variability inherent to the parent material, some management practices can also influence P spatial variability. For example, the irregular return of manure and urine is a heterogeneous supply of nutrients to the soil, which can also result in heterogeneous plant growth with a proliferation of roots and heterogeneous increase in the rate of P absorption (Corazza et al., 2003).
High variability and distribution of organic matter can be explained by the fact that these materials are a complex mixture of the materials deposited during alluvial-gold exploitation and natural recent OM. It is well known that the OM content in sediments usually exhibits substantial spatial variability, especially in areas where historical gold mining has taken place (Nascimento et al., 2012). Organic matter is easily affected by climatic conditions, and in mining deposits, it can easily be washed out and be affected by erosion (Komnitsas et al., 2010). In addition to the inherent random distribution of OM in these deposits, the main changes are a consequence of the input and incorporation of fresh OM from vegetation in the surface layer (Huot et al., 2014). Furthermore, even in poorly revegetated areas, OM can be produced in limited quantities, which can also explain its high spatial variability. The composition of tree species can also change the OM in mixed forests and reflects the chemical characteristics of the various tree species present in the stand (Kooch and Bayranvand, 2017). High spatial variability of OM can also explain the high variability of exchangeable cations observed in the study area, which can be due to high differentiation of the OM content in the deposits. Alluvial soils are usually characterized by low K and Mg, therefore most of the ions occur in the horizons enriched with OM as consequence of the biological accumulation of these components (Bartkowiak and Dlugosz, 2010).
To summarize the variability of the soil properties of the four restoration areas, a MULTISPATI PCA analysis (Dray et al., 2008) was performed. This multivariate spatial analysis has an advantage over classical PCA as the principal components derived from this analysis maximize the spatial autocorrelation between sites. This method accounts for the spatial position of the sampling sites through the construction of a neighboring relationship between sites. This allows the detection of map trends in the multivariate distribution of topsoil characteristics, showing strong spatial structures on the first few axes (Schneider et al., 2016). In this study, we calculated the neighboring relation by considering the relation of each point with its three nearest neighbors.
5.3.3 Spatial regression of vegetation indices and soil properties as explanatory variables
To analyze the interrelations among soil physicochemical properties and NDVI as an indicator of potential productivity of the areas, a spatial regression was conducted by means of an error model. Initially, a linear regression was conducted to analyze the relation between NDVI and soil physicochemical properties. Spatial autocorrelation for the residuals of this linear model was significant. Moran’s I statistics of 0.93 (p <0.001) for the restoration area established in 2014, of 0.96 (p <0.001) for that established in 2010, of 0.94 (p <0.001) for that established in 2006, and of 0.93 (p <0.001) for that established in 2002 strongly suggest that standard regression estimates cannot be trusted. Therefore, it was necessary to include the spatial structure of the data in the regression analysis. For the restoration area established in 2014, pH, P, K, silt content, bulk density and penetration resistance at 5 cm depth are significant explanatory variables of NDVI (Table 5.3). There is an inverse relation between pH and bulk density with NDVI and a positive relationship of K with NDVI. In addition, there is a marginal positive relation between silt content and penetration resistance with NDVI. For the restoration area established in 2010, pH still has a significant negative relation with NDVI, K content a positive relation with NDVI, and bulk density a significant negative relation with NDVI. Marginal positive relations are observed among sand and silt content.
with NDVI, and marginal negative relations are observed among P and Mg content with NDVI. For the restoration area established in 2006, K and bulk density have a positive relation with NDVI. A positive marginal relation is observed between P and NDVI, which is negative between Ca and penetration resistance with NDVI. For the restoration area established in 2002, pH and N have a positive relation with NDVI.
For the four restoration areas, the major spatial variations of the NDVI are explained mainly by spatial variations of pH, bulk density and K content. Nitrogen content becomes a significant explanatory variable only for the restoration area established in 2002 (Table 5.3). These properties exhibit relatively low spatial variability and overall moderate to weak spatial dependence (Table 5.2). K has been found to be an influential variable on NDVI in previous studies (Whetton et al., 2017), however, its influence is higher in younger areas undergoing restoration. The pH value also has a higher influence in younger areas, and the same behavior is observed for bulk density. It should be noted that for restoration areas established in 2002, more soil properties are considered to have a significant influence on NDVI, such as P, Mg and textural variables when compared with younger areas. Therefore, the relative importance of pH, K and bulk density decreases.
**Table 5.3.** Spatial regression coefficients of soil properties as explanatory variables of NDVI. Significance is assumed for p-value < 0.001.
| Property | 2014 | 2010 | 2006 | 2002 |
|----------|------|------|------|------|
| | β | p-value | β | p-value | β | p-value | β | p-value |
| pH | -0.17 | 3.2e-13 | -0.07 | 1.81e-9 | - | - | 0.06 | <2e-16 |
| N (%) | -1.04 | 0.06 | -0.19 | 0.005 | 1.21 | 0.013 | 0.11 | <2e-16 |
| OM (%) | 0.01 | 0.25 | 0.001 | 0.012 | -0.045 | 0.016 | -0.004 | 0.011 |
| P (mg/kg)| -0.002 | 0.002 | -0.003 | 3.5e-5 | 0.004 | 2.9e-12 | -0.006 | 1.8e-4 |
| K (cmol(+)/kg) | 0.95 | 4.5e-12 | 0.473 | 1.12e-6 | 0.743 | <2.2e-16 | -0.044 | <2e-16 |
| Ca (cmol(+)/kg) | -0.007 | 0.41 | 0.007 | 0.048 | -0.034 | 1.2e-4 | -0.006 | 0.003 |
| Mg (cmol(+)/kg) | -0.022 | 0.25 | -0.023 | 3.46e-5 | 0.049 | 0.002 | -0.021 | 3.4e-4 |
| Sand (%) | 0.001 | 0.02 | 0.001 | 2.1e-4 | -5e-4 | 0.526 | 3.2e-4 | <2e-16 |
| Silt (%) | 0.007 | 1.1e-10 | 0.007 | <2e-16 | -0.01 | <2e-16 | -0.165 | 0.081 |
| Clay (%) | 0.002 | 0.13 | 0.001 | 0.012 | 0.003 | 0.009 | 0.003 | <2e-16 |
| BD (g/cm³) | -0.68 | <2e-16 | 0.13 | 1.67e-6 | 0.18 | 1.202e-7 | -0.051 | <2e-16 |
### 5.3.4 Delineation of homogeneous zones based on soil properties
To summarize the variability of the soil properties, a MULTISPATI principal component analysis (MULTISPATI-PCA) of the scaled values was performed. In the restoration area established in 2014, the first and second eigenvalues exhibited higher values with loadings of 55% and 20%, respectively (Table 5.4), thus explaining the high total variability (76%). The graphical display of the MULTISPATI-PCA analysis (Figure 5.3) allows visualizing the spatial correlation structure between the variables to be used for cluster analysis. For the restoration area established in 2014, clay and Ca contents were positively correlated, as well as Mg, OM and N. The first principal component exhibited high loadings for N, OM, Mg, sand and silt content with average loading values of 0.35 for each soil parameter. The second principal component exhibited high loadings for K (0.59), bulk density (0.49), Ca (0.36) and P (0.35). The map of the first principal component (Figure 5.4) shows that the spatial pattern of the eigenvalues resembles the spatial pattern observed for N and OM (Appendix 3). Furthermore, the spatial pattern of the second principal component (Appendix 4) resembles that of the exchangeable cations K and Ca.
For the restoration area established in 2010, the first and second eigenvalues were associated to loadings of 51.16 and 16.66, respectively (Table 5.4), together...
explaining 67.83% of the total variability. The graphical display of the MULTISPATI-PCA analysis (Figure 5.3) for this plot shows that N, Ca, OM and K were positively correlated, as well as P content and pH. The first principal component exhibited relatively high loadings for all textural variables (0.35), and Ca (0.33) and Mg (0.31) content. The second principal component exhibited higher loadings for K (0.44), Ca (0.36) and bulk density (0.36). The map of the first principal component (Figure 5.4) shows that its spatial pattern resembles that of Mg and sand. The map of the second principal component (Appendix 4) shows that its spatial pattern resembles that of K content.
For the restoration area established in 2006, the first and second eigenvalues are associated to loadings of 36.192 and 31.983, respectively, together explaining 68.18% of the total variability (Table 5.4). The graphical display of the MULTISPATI-PCA analysis (Figure 5.3) shows a strong positive correlation between the pairs clay and Mg, K and Ca, and OM and N. The first principal component exhibited high loadings for Mg (0.41), sand (0.48), silt (0.42), clay (0.38) and bulk density (0.41). The second principal component exhibited higher loadings for N (0.49), OM (0.48), K (0.41), and Ca (0.47). Maps of the first principal component (Figure 5.4) show that its spatial pattern resembles that of sand and bulk density (Appendix 3). The map of the second principal component (Appendix 4) shows that its spatial pattern resembles that of Ca content.
Figure 5.3. Graphical display of the first two axes of MULTISPATI-PCA analysis with soil properties pH, N, OM, P, K, Ca, Mg, Na, sand, silt, clay, bulk density, penetration resistance at 5 cm for areas undergoing restoration since 2014, 2010, 2006 and 2002.
Table 5.4. Principal component analysis for soil properties pH, N, OM, P, K, Ca, Mg, Na, sand, silt, clay, bulk density, penetration resistance at 5 cm.
| Year of establishment | Principal component | Eigenvalue | Component loading | Cumulative loading |
|-----------------------|---------------------|------------|-------------------|--------------------|
| 2014 | PC1 | 6.1040 | 55.49 | 55.49 |
| | PC2 | 2.2159 | 20.145 | 75.64 |
| | PC3 | 1.0229 | 9.299 | 84.93 |
| | PC4 | 0.5884 | 5.349 | 90.28 |
| | PC5 | 0.3431 | 3.119 | 93.40 |
| Year of establishment | Principal component | Eigenvalue | Component loading | Cumulative loading |
|-----------------------|---------------------|------------|-------------------|--------------------|
| 2010 | PC1 | 5.6277 | 51.162 | 51.16 |
| | PC2 | 1.8333 | 16.666 | 67.83 |
| | PC3 | 1.0570 | 9.610 | 77.44 |
| | PC4 | 0.7417 | 6.743 | 84.18 |
| | PC5 | 0.5233 | 4.758 | 88.94 |
| 2006 | PC1 | 3.6192 | 36.192 | 36.19 |
| | PC2 | 3.1983 | 31.983 | 68.18 |
| | PC3 | 1.1023 | 11.023 | 79.20 |
| | PC4 | 0.7553 | 7.553 | 86.75 |
| | PC5 | 0.4855 | 4.855 | 91.61 |
| 2002 | PC1 | 5.1786 | 51.786 | 51.79 |
| | PC2 | 1.6878 | 16.878 | 68.66 |
| | PC3 | 1.1639 | 11.639 | 80.30 |
| | PC4 | 0.5765 | 5.765 | 86.07 |
| | PC5 | 0.4311 | 4.311 | 90.38 |
For the restoration area established in 2002, the first and second eigenvalues are associated to loadings of 51.786 and 16.878, respectively, together explaining 68.66% of the total variability (Table 5.4). The graphical display of the MULTISPATI-PCA analysis (Figure 5.3) shows a strong positive correlation between N and OM. The first principal component exhibited relatively high loadings for all textural variables with an average of 0.36 and for N (0.32), OM (0.37) and P content (0.32). The second principal component exhibited relatively high loadings for pH (0.35), OM (0.35), K (0.39), Ca (0.35) and Mg (0.39). The map of the first principal component (Figure 5.4) shows that its spatial pattern resembles that of N and OM. The map of the second principal component (Appendix 4) shows that its spatial pattern resembles that of Ca. For all areas, the first and second principal components were correlated to all soil parameters. Therefore it is clear that all soil parameters represent significant sources of variability, and need to be
analyzed for further classification as explained by the two first principal components to be used for clustering.
Due to the fact that a high percentage of the variability (≈70%) can be explained by the first two principal components in all restoration plots, only the first two axes were used for the cluster analysis. Euclidean distance was used as a similarity distance in the optimization function of the clustering algorithm. A fuzzy c-means algorithm was applied to the two first principal components to form 2, 3 and 4 clusters. The validity of the clusters was assessed through the fuzzy validity measures associated with the indices Xie-Beni, Fukuyama Sugeno, partition coefficient and partition entropy (Table 5.5). For all indices except partition coefficient, the optimum number of classes is indicated by the lowest index values. For the area undergoing restoration since 2014, the Xie-Beni and partition entropy indices indicate that two clusters should be selected for delineating homogeneous zones; however, Fukuyama Sugeno and partition coefficient suggest four clusters. In addition, the summarizing indices proposed by Galarza et al. (2013) suggest four clusters. For the area undergoing restoration since 2010, the Xie-Beni index, partition entropy and partition coefficient suggest two clusters; however, the Fukuyama Sugeno and the summarizing indices suggest four clusters. However, the use of these indices only provides a statistical metric but does not consider whether the output realistically corresponds to field areas that can be differently managed. Therefore, three clusters were selected to delineate homogeneous zones in the areas undergoing restoration since 2014 and 2010 (Figure 5.5).
Figure 5.4. Maps of the first principal component for areas undergoing restoration since 2014, 2010, 2006 and 2002.
Table 5.5. Validity of clusters from fuzzy k-means cluster results. XB: Xie Beni, FS: Fukuyama Sugeno, PC: partition coefficient, PE: partition entropy, SI: summarizing index proposed by Galarza et al. (2013).
| Year of establishment | Index | 2 clusters | 3 clusters | 4 clusters |
|-----------------------|-------|------------|------------|------------|
| 2014 | XB | 5.043e-07 | 1.077e-06 | 6.758e-07 |
| | FS | -1.610e+06 | | |
| | PC | 7.581e-01 | | |
| Year of establishment | Index | 2 clusters | 3 clusters | 4 clusters |
|-----------------------|-------|------------|------------|------------|
| | PE | 3.919e-01 | -1.485e+06 | -1.452e+06 |
| | SI | 1.220e+06 | 6.158e-01 | 5.322e-01 |
| | | | 6.725e-01 | 8.865e-01 |
| | | | 9.150e+05 | 7.732e+05 |
| 2010 | XB | 5.885e-07 | 1.064e-06 | 7.228e-07 |
| | FS | -1.230e+06 | -1.297e+06 | -1.336e+06 |
| | PC | 6.864e-01 | 5.318e-01 | 4.839e-01 |
| | PE | 4.848e-01 | 8.069e-01 | 9.715e-01 |
| | SI | 1.792e+06 | 1.608e+06 | 1.375e+06 |
| 2006 | XB | 6.194097e-07 | 3.202407e-07 | 3.976904e-07 |
| | FS | -5.291395e+05 | -7.322126e+05 | -7.346625e+05 |
| | PC | 1.000000e+00 | 1.000000e+00 | 1.000000e+00 |
| | PE | 3.317797e-01 | 4.245127e-01 | 4.763111e-01 |
| | SI | 529139.5 | 732212.6 | 734662.5 |
| 2002 | XB | 8.261e-07 | 7.682e-07 | 5.340e-07 |
| | FS | -8.072e+05 | -1.335e+06 | -1.637e+06 |
| | PC | 6.314e-01 | 5.332e-01 | 4.918e-01 |
| | PE | 5.485e-01 | 8.006e-01 | 9.574e-01 |
| | SI | 5.097e+05 | 7.121e+05 | 8.052 e+05 |
For the area undergoing restoration since 2006, the Xie-Beni index suggests three clusters for the delineation of homogeneous zones; however the Fukuyama Sugeno, the partition entropy and summarizing index suggest two clusters. Therefore, two homogeneous zones were delineated based on these criteria and also based on the fact that the delineated areas can be differentially managed by the farmers (Figure 5.5). For the area undergoing restoration since 2002, the Xie-Beni index suggests that four clusters, the Fukuyama Sugeno suggests the selection of three clusters, the partition
coefficient two clusters, as well as the partition entropy and the summarizing index. Four clusters were selected for the delineation of homogeneous zones in this area.
Indices were used to assess the appropriateness of the clustering algorithm. However, the division of the experimental field into a specific number of homogeneous zones depends not only on the statistical results of these tests, but also on a logical assessment of the delineated areas (Córdoba et al., 2016) with respect to the feasibility of developing different management strategies for each zone by the farmers, which can be analyzed by observing a better separation and less overlap among the delineated homogeneous zones. The number of zones depends on the inherent variability of the field, the type of variables selected for the delineation, weather and vegetation type established in the area, and sensitivity of measurements of within-field variability (Hagos, 2014). The homogeneous zones produced for this study can probably change when data from different seasons are used due to climatic factors that might influence soil properties.
5.3.5 Validation of delineated homogeneous zones with vegetation indices
NDVI maps were obtained using the reflectance data of the four multispectral image bands (red, green, near infrared, red edge) captured with a drone. The maps for the four areas undergoing restoration (Figure 5.6) will be used as a reference to validate the delineated homogeneous zones. The comparison of means for the soil parameters indicated statistically significant differences among the delineated homogeneous zones in the areas undergoing restoration since 2014, 2010, 2006 and 2002 (Table 5.6).
Figure 5.5. Homogeneous zones for optimum clusters in areas undergoing restoration since 2014, 2010, 2006 and 2002.
Table 5.6. Comparison of delineated homogeneous zones. Mean values of soil properties are shown for each zone. Significance codes (0 ‘***’, 0.001 ‘**) illustrate significant differences.
| Year | Zone | pH | N | OM | P | K | Ca | Mg | Sand | Silt | Clay | BD | PR5 |
|------|------|------|------|------|------|------|------|------|------|------|------|------|------|
| 2014 | 1 | 5.45 | 0.32 | 7.56 | 15.11| 0.18 | 2.94 | 0.51 | 84.9 | 6.69 | 11.43| 1.21 | 1.89 |
| | 2 | 5.48 | 0.31 | 7.29 | 12.69| 0.04 | 1.25 | 0.36 | 88.9 | 5.45 | 5.48 | 0.95 | 1.65 |
| | 3 | 5.05 | 0.43 | 11.23| 5.81 | 0.11 | 3.78 | 1.40 | 50.02| 31.84| 16.80| 0.85 | 1.78 |
| p | | ** | *** | *** | *** | *** | *** | *** | *** | *** | *** | *** | *** |
| 2010 | 1 | 4.96 | 0.42 | 14.04| 15.74| 0.32 | 6.02 | 2.25 | 51.41| 18.67| 18.67| 0.88 | - |
| | 2 | 5.04 | 0.21 | 4.64 | 12.95| 0.21 | 3.47 | 1.89 | 51.32| 20.29| 20.30| 0.81 | - |
| | 3 | 5.35 | 0.12 | 2.63 | 18.77| 0.17 | 2.27 | 1.03 | 76.20| 8.56 | 16.21| 0.95 | - |
| p | | ** | *** | *** | *** | *** | *** | *** | *** | *** | *** | *** | - |
| 2006 | 1 | - | 0.10 | 1.87 | 22.41| 0.11 | 1.67 | 0.92 | 77.04| 14.51| 7.79 | 0.97 | 2.50 |
| | 2 | - | 0.19 | 4.26 | 15.69| 0.22 | 3.11 | 1.59 | 58.41| 24.57| 16.31| 0.84 | 2.39 |
| | 3 | - | 0.32 | 7.38 | 14.82| 0.22 | 3.04 | 0.67 | 83.64| 8.87 | 6.30 | 1.18 | 1.71 |
| p | | - | *** | *** | *** | ** | *** | *** | *** | *** | *** | *** | *** |
| 2002 | 1 | 4.85 | 0.21 | 4.80 | 9.66 | 0.13 | 2.68 | 2.55 | 60.65| 12.42| 14.49| 0.79 | 2.17 |
| | 2 | 5.13 | 0.23 | 7.22 | 11.82| 0.23 | 3.76 | 1.09 | 81.17| 8.80 | 8.13 | 1.05 | 1.46 |
| | 3 | 4.75 | 0.27 | 11.22| 7.02 | 0.30 | 5.28 | 2.54 | 45.14| 31.98| 24.42| 0.77 | 1.76 |
| | 4 | 5.02 | 0.18 | 2.70 | 17.58| 0.11 | 1.66 | 0.85 | 86.31| 4.56 | 6.35 | 0.69 | 2.29 |
| p | | *** | *** | *** | *** | *** | *** | *** | *** | *** | *** | *** | *** |
Note: Missing values due to the fact that the semivariogram for the parameter could not be fitted to any theoretical model, therefore, geostatistical interpolation of that soil property could not be performed.
For the area undergoing restoration since 2014, the three delineated zones exhibit a strongly acidic pH. Zone 1 exhibits on average higher sand content and bulk density, which implies that poor soil structure and that penetration resistance also might
impair plant growth. The soil has high N and OM, moderate P content and moderate levels of exchangeable cations. This zone is also associated with the lowest mean NDVI values (Table 5.7), therefore it can be associated with the lowest productivity and poor health of the reestablished vegetation layer. Zone 2 also exhibits high N and OM, moderate P, and very low exchangeable cations. The sand content is also very high, however, the low bulk density and penetration resistance suggest very poor soil structure and limited capacity to support plant growth. Low mean NDVI (0.49) for this zone also suggests that the productivity of this area might not be very high and also limited crop growth. Zone 3 exhibits the lowest sand content and highest percentage of silt and clay. In addition, the bulk density values suggest satisfactory conditions for plant growth with no signs of soil compaction. The soil of this area has the highest N and OM, but low P, K, Ca and moderate Mg values. This zone is associated with the highest NDVI values, therefore can be considered as the most productive zone of this restoration area.
When comparing the NDVI maps (Figure 5.6) and the delineated homogeneous zones (Figure 5.5) for the area undergoing restoration since 2014, clear coincidental patterns can be seen when observing areas with higher NDVI values, which correspond to those in zone 3, i.e. the most productive zone for this restoration area. This pattern can be observed more clearly for the area established in 2014 given that the vegetation cover corresponds only to spontaneous vegetation developed after a few months of the creation of this deposit, therefore the spatial variation of vegetation development is clearer in this area. The fact that the NDVI maps and the delineated homogeneous zones coincide is a useful verification of the validity of the delineated homogeneous zones by a continuous remotely sensed variable such as NDVI.
Figure 5.6. NDVI maps of areas undergoing restoration since 2014, 2010, 2006, and 2002 calculated from reflectance data of four bands captured with a drone coupled to a SenseFly multispectral sensor.
Table 5.7. Descriptive statistics of NDVI values for each management zone in the restoration plots established in 2014, 2010, 2006 and 2002. Significance codes: 0 ‘***’, 0.001 ‘**’, 0.01 ‘*’, 0.05 ‘.’ for one-way ANOVA and Tukey’s multiple comparisons of means.
| Year | Zone | Min | Median | Mean | Maximum | Global p-value | Pairwise Tukey HSD |
|------|------|-------|--------|-------|---------|-----------------|--------------------|
| | | | | | | | |
| 2014 | 1 | -0.79 | 0.44 | 0.46 | 0.99 | <2e-16 | 2-1: 0.04*** |
| | 2 | -0.75 | 0.51 | 0.49 | 0.99 | | 3-1: 0.31*** |
| | 3 | -0.71 | 0.73 | 0.77 | 0.99 | | 3-2: 0.27*** |
| 2010 | 1 | 0.12 | 0.92 | 0.89 | 0.98 | <2e-16 | 2-1: -0.03*** |
| | 2 | -0.96 | 0.90 | 0.86 | 1 | | 3-1: -0.13*** |
| | 3 | -0.78 | 0.87 | 0.76 | 1 | | 3-2: -0.10*** |
| 2006 | 1 | -0.59 | 0.87 | 0.74 | 0.99 | <2e-16 | 2-1: -0.02*** |
| | 2 | -0.66 | 0.84 | 0.72 | 1 | | 3-1: 0.07*** |
| | 3 | -0.61 | 0.91 | 0.82 | 1 | | 3-2: 0.10*** |
| 2002 | 1 | -0.42 | 0.89 | 0.85 | 1 | <2e-16 | 2-1: -0.0*** |
| | 2 | -0.16 | 0.90 | 0.84 | 1 | | 3-1: -0.008*** |
| | 3 | 0.04 | 0.88 | 0.87 | 1 | | 4-1: 0.02*** |
| | 4 | -0.85 | 0.90 | 0.88 | 1 | | 3-2: 0.003** |
| | | | | | | | 4-2: 0.03*** |
| | | | | | | | 4-3: 0.03*** |
The restoration area established in 2010 was also subdivided into three homogeneous zones. These zones exhibited the highly acidic pH values characteristic of these deposits. Zone 1 is characterized by loamy soils with bulk density values that suggest an adequate soil compaction for plant growth, high levels of OM, N and P, low values of K, and moderate Ca and Mg values. Zone 1 is associated with high NDVI values suggesting a high productivity potential and good health status of the vegetation. Zone 2 exhibits relatively similar textural properties to those of Zone 1, however, OM, N, P and exchangeable cations are much lower. The low bulk density indicates satisfactory
soil consolidation, considering its textural properties. NDVI associated with Zone 2 is significantly lower compared to those of Zone 1. Therefore, even if the textural properties of the soil are similar, the nutrient content is a limiting factor for the potential productivity and successful vegetation reestablishment of Zone 2.
The restoration area established in 2006 was also subdivided into three homogeneous zones. Zone 3 exhibits the highest mean NDVI associated with the highest N and OM levels. On average, the bulk density in the loamy fine sand indicates high compaction that could inhibit root penetration. The P content is the lowest among the three zones. This zone also exhibits low exchangeable cations. However, the vegetation growth is not uniform (Figure 5.6), and some areas of this zone exhibit poor vegetation growth, therefore the mean NDVI might not be a good representation of the overall productivity of the zone. Zone 2 has a sandy loam soil with a bulk density that indicates a satisfactory degree of consolidation. However, penetration resistance indicates that this soil has high levels of compaction where very few plant roots can penetrate the soil. Mean NDVI is lowest in this zone, N is moderate, OM and P are high, and exchangeable cations low. Zone 1 also has sandy loam with higher bulk density and penetration resistance, which might inhibit plant growth due to severe compaction. This zone has a very low content of N and OM, P is high and exchangeable cations are very low. It has also relatively low mean NDVI compared with Zone 1. Therefore, it can be concluded that, in spite of the poor vegetation growth in some areas of Zone 3, high potential productivity can be expected in this here.
Four homogeneous zones were delineated in the area undergoing restoration since 2002. All zones exhibited highly acid conditions. Zone 2 had the lowest mean NDVI. This zone has a loamy/fine sand soil with moderate N and P, high OM, and low exchangeable cations. Average bulk density and penetration resistance suggest a level of soil consolidation that does not prevent root penetration. However, the low nutrient and high sand contents can explain the relatively low plant colonization of this zone. In contrast, Zone 3 and Zone 4 exhibited higher mean NDVI. Zone 3 has a sandy clay loam
with the highest N and OM in this restoration area, low P and K, moderate Ca, and high Mg. Zone 4 also has a loamy/fine sand soil with a moderate degree of consolidation indicated by a relatively low bulk density; however, penetration resistance measurements indicate that some areas within the zone might be severely compacted and inhibit plant growth. Nitrogen and OM are moderate, P is high, and exchangeable cations are low.
Descriptive statistics of soil properties and NDVI of each zone indicate that the management scheme delineation using soil physicochemical variables allowed the creation of homogeneous zones with significantly different values. Literature has shown that the use of soil physicochemical properties sampled in different locations of a field is suitable to delineate potential homogeneous zones when analyzed together with a remotely sensed continuous variable (Farid et al. 2016). Variability of landscape measures analyzed through aerial images has been used in association with soil chemical properties to assess spatial patterns of crop yield through the delineation of homogeneous zones. However, the use of multiple years to describe and identify spatial patterns could provide broader opportunities for the farmers related to site-specific management of crop inputs and fertility management (Aaron et al., 2004). NDVI have been used in previous studies to delineate homogeneous zones aiming to control N inputs (Cicore et al., 2016) to identify variability in plant stress for management (Henik, 2012) and even as input to decision-support systems regarding plantation status (Katsigiannis et al., 2016).
5.4 Conclusions
Using a geostatistical approach, this study aimed to understand the spatial patterns of soil nutrients and physical properties in areas covered by gold mining waste undergoing revegetation with agroforestry systems. The NDVI was used as a proxy of productivity in the area and was correlated with soil properties by means of a spatial
error model. Furthermore, management zones were delineated in the area and the NDVI was used for validation of the delineated areas.
The results of this analysis show that the studied areas have a predominantly low pH, and in spite of the high contents of N and OM, there is a lack of other necessary soil nutrients for almost the entire area. This is mostly explained by the nature of the alluvial deposits that cover the area, and by the technology used for washing the soil for gold extraction, which washes away nutrients important for plant growth. This lack of nutrients could be compensated through amendments prior to revegetation, including organic waste, compost or cover crops to buffer soil pH, improve water holding and cation exchange capacity of the substrate, establish active microbial communities, and provide nutrients to stimulate the reestablishment of vegetation. The relation of the NDVI as a proxy of productivity with soil properties strongly suggests that special attention should be paid to soil pH and exchangeable cations.
The high spatial variability of OM, exchangeable cations and P suggests that the application of amendments should consider this spatial heterogeneity, as the nutrient requirements may significantly differ even within areas of a few hundred meters. For this purpose, the delineation of homogeneous zones can be a helpful approach to support the farmers in decision making regarding soil fertility management.
Identification of management zones is the first step to implement site-specific soil management strategies. Understanding spatial variability of areas undergoing restoration will allow an overall increased productivity by developing strategies suitable to the characteristics of each field and its potential uses. In addition, areas suitable for crop establishment can be more accurately identified. Further studies need to be conducted to compare the seasonal variability of soil properties and its influence on the delineated management zones to understand the spatial dynamics of the restoration process. In addition, crop yield should be measured in each zone to understand the agronomic significance of the delineation process.
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6. USE OF UNMANNED AERIAL VEHICLE FOR THE ESTIMATION OF ABOVEGROUND BIOMASS AND SPECIES DIVERSITY IN RECLAIMED GOLD MINING WASTE DEPOSITS
Abstract
Alluvial gold mining projects leave a vast amount of waste that completely covers the natural soil and requires reclamation to return the disturbed area to a reference or pre-disturbance condition. Assessments of vegetation recovery in disturbed landscapes usually focus on parameters such as the abundance of trees, community composition of vegetation and biomass. Remote sensing is an important tool to estimate the biophysical parameters of vegetation by creating relationships between remotely sensed spectral variables and vegetation parameters. Therefore, the main objective of this study is to combine the use of multispectral images captured with an unmanned aerial vehicle (UAV) with a random forest model for prediction of tree species diversity and aboveground biomass in areas covered by gold mining waste undergoing reclamation with agroforestry systems. For this purpose, several vegetation indices, as well as image texture analysis, were used as predictors of aboveground biomass and species diversity. These measures can be used to evaluate how the reclaimed sites are responding to the interventions, and to determine the effect of management practices on forests and productivity of newly created ecosystems.
The random forest model achieved limited performance for the estimation of herbaceous biomass; however, its predictive capacity improved for the estimation of tree biomass and species richness. The model performance was the best when all predictors were included. The most important predictors of tree biomass were textural attributes whereas broadband greenness indices were the most important predictors of tree species richness. Areas with higher species richness did not coincide with areas of higher aboveground biomass (Figure 6.6 and 6.7), and tree biomass did not follow a clear
pattern of distribution within the analyzed plots. Furthermore, areas with higher species richness did not necessarily correspond to areas with higher aboveground tree biomass.
In younger restoration areas, vegetation growth was mainly in the form of pioneer shrubs with a few scattered areas with the pre-disturbance vegetation cover. Older reclamation areas did not have significantly higher species richness than younger. Special attention should be paid to fallow periods and management intensity of the areas undergoing restoration, and tree species selection for the agroforestry systems should minimize the use of exotic species and promote the use of native species that improve the diversity of the newly created ecosystems.
6.1 Introduction
Mining projects and other forms of industrial development often cause physical disturbances that require reclamation, i.e. the process of returning the disturbed area to a reference or pre-disturbance condition (Hird et al., 2017). Alluvial gold mining, particularly dredging operations, leaves a vast amount of waste that completely covers the natural soil, destroys riparian ecosystems and impacts river beds and valleys (Shlyakhov and Osipov, 2004). Waste deposits created by alluvial gold mining usually have low levels of macronutrients and an acidic pH that tend to disrupt soil formation processes and plant growth (Cooke and Johnson, 2002). Assessment of vegetation recovery in disturbed landscapes usually focuses on parameters such as the abundance of trees, community composition of vegetation, and plant height and branching architecture (Zahawi et al., 2015). These parameters can be used to evaluate how a particular site is responding to a restoration intervention and to determine the effect of management practices on forest development (Holl, 2002). Structural vegetation data, such as canopy height and coverage in conjunction with diameter at breast height and wood-specific gravity can be used to estimate aboveground biomass accumulation or stock (Chave et al., 2014).
Aboveground biomass is a basic ecological indicator for the study of environmental processes, as it provides important signs regarding the growth, light-use efficiency and carbon stocks in agroecosystems. Direct biomass estimation is through the destructive harvest of plants for estimation of dry biomass. However, over large areas, this is challenging, expensive and time-consuming. Therefore, remote sensing is an important tool to estimate biophysical parameters of vegetation by creating relationships between remotely sensed spectral variables and vegetation parameters (Li et al., 2016). To monitor structural data of vegetation, vegetation indices are the most widely used variables, however, their sensitivity is limited in areas with sparse vegetation (Wang et al., 2017a). Vegetation indices calculated from red and near-infrared (NIR) wavelengths, such as simple ratio (SR, (Chen, 1996)) and normalized difference vegetation index (NDVI, (Carlson and Ripley, 1997)) are good predictors of vegetation photosynthetic activity and are correlated to aboveground biomass. As aboveground green biomass increases, higher reflectance is caused by leaf internal multiple scattering in the NIR wavelengths, with less absorption in the red wavelengths due to chlorophyll absorption. However, SR and NDVI may lose sensitivity for monitoring aboveground biomass in sparse canopy situations due to the influence of soil background (Ren and Feng, 2015). To overcome this barrier, the red-edge band is more effective in differentiating the reflectance of the soil background, as this wavelength position covers chlorophyll absorption, leaf cell structure reflection and adds information for vegetation characterization (Schumacher et al., 2016). Therefore, red-edge indices are better for the estimation of aboveground biomass in semi-arid landscapes than traditional vegetation indices (Clevers et al., 2002).
In addition to the use of red-edge indices, it has been suggested to include texture attributes of aerial images, as the textural analysis discriminates the spatial variability of neighboring pixels independent from image tone. Texture analysis is an image processing technique that measures the variability in pixel values among neighboring pixels for a defined analysis window (Kelsey and Neff, 2014). Image texture has been observed in previous studies as a more accurate predictor of biomass than
spectral vegetation indices (Eckert, 2012), as image texture discriminates the spatial variability of neighboring pixels independent from image tone (Kelsey and Neff, 2014). Another important contribution of adding texture measurements is the bias reduction of the predictions, as it tests the contribution of the surrounding pixels of the image to the biomass estimation (Xu et al., 2016). Of the many texture measures, the gray-level co-occurrence matrix (GLCM) is the most common texture measurement used to estimate aboveground biomass (Lu and Batistella, 2005), structural parameters of forests (Ozdemir and Karnieli, 2011) and species diversity (Wood et al., 2013).
Aerial images captured by unmanned aerial vehicles (UAV) provide a low-cost approach to meet the critical requirements of spatial, spectral and temporal resolutions for application in agricultural fields (Yang et al., 2017). The main benefits of using UAVs are simple mission planning, instantaneous operation with low manpower, imaging below cloud cover, and very high-resolution images (10 cm/pixel) of a vegetation canopy due to low flight altitudes (Schirrmann et al., 2016). The applications for these sensors include visible images for canopy surface modeling, crop height, biomass estimation, identification of physiological status, thermal imaging to detect water stress, and canopy structure parameters through the combination of different spectral bands (Yang et al., 2017).
The potential of UAV-acquired data to provide a cost-effective source of vegetation information is clear, however, a greater understanding of its strengths and weaknesses is needed if these data are to be considered as an alternative to traditional ground observations (Hird et al., 2017). For this purpose, a growing body of work has applied machine learning algorithms to classify vegetation and model structural traits or in combination with spectral datasets (Schumacher et al., 2016). Machine learning approaches provide efficient analysis of datasets with many potential predictor variables and often yield stronger models than those derived using simple linear regression methods (Anderson et al., 2018). Therefore, the combined analysis of remotely sensed data with field measurements of vegetation using a machine learning
algorithm such as random forest (RF) can be a suitable option to effectively predict the spatial distribution of aboveground biomass (Wang et al., 2017b). Random Forest is a non-parametric regression tree method designed to generate robust predictions without over-fitting data (Tian et al., 2017).
The main objective of this study is to use vegetation indices, red-edge vegetation indices and image texture analysis as predictors of aboveground biomass and species diversity in areas covered by alluvial gold mining waste undergoing reclamation with agroforestry systems. The study focuses on a series of sites covered by alluvial gold mining waste undergoing reclamation for 0, 4, 8 and 12 years in north-west Colombia using multispectral images captured with a UAV and the RF model for prediction. It aims to contribute to the development of assessment protocols and environmental monitoring programs in reclamation areas with sparse vegetation to understand the spatial patterns of biomass production and species diversity distribution in the areas undergoing restoration.
6.2 Methodology
6.2.1 Study area
The study was conducted in north-west Colombia in the gold mining area of El Bagre, Antioquia (Figure 6.1). The area lies in a humid tropical forest zone (Espinal, 1992) with an average temperature of 28°C and an annual precipitation of 2,000 - 4,000 mm. The region has a dry season from November to March and a rainy season from April to October. The topography of the area is mostly flat. The area has the characteristics of low-lying forest that remains flooded most of the year, making productive agriculture, animal husbandry or forestry difficult. These areas are the most affected by the gold productive process of the company Mineros S.A.
Figure 6.1. Map of research area with sampled forest and herbaceous plots.
Areas to be restored are flattened with bulldozers to reduce the slope below 30% for the subsequent establishment of vegetation cover and agricultural land use. Gravel and sand deposits are the main areas of the restoration efforts. From the total area that needs to be restored, depending on location and stability of the deposits, specific areas are selected to implement agroforestry systems. The parcels are allocated
to farmers that meet the requirements of the company, and partnership agreements are made. Resources for crop establishment as well as a subsidy are provided by the company to support the farmers initiating the restoration process.
The methodological approach of this study includes the steps shown in Figure 6.6.2. Vegetation measurements and wood density were determined to estimate woody biomass of trees using allometric equations developed by Chave et al. (2014). Aerial images captured with an unmanned aerial vehicle (UAV) were processed to create orthophoto mosaics that were subsequently used for the estimation of vegetation indices and extraction of texture attributes. Finally, ground- and image-based data sources were linked using a random forest (RF) algorithm to spatially predict forest and herbaceous biomass.
6.2.2 Vegetation survey
The forest cover was surveyed for aboveground biomass estimation and species identification in February 2017. The vegetation survey was performed in 21 circular plots of 10-m radius (250 m$^2$) distributed as follows: 2 plots located in the area undergoing revegetation since 2014, 2 plots on the area undergoing revegetation since 2010, 6 plots on the area undergoing revegetation since 2006, and 11 plots on the area undergoing revegetation since 2002. Trees with diameter at breast height in the range of 2.5 – 10 cm were measured within the plots. In total, 717 trees were selected for measurement of diameter at breast height, wood density, total height and species identification. The coordinates of the center of each plot were recorded using a portable GPS (Garmin eTrex 10, Germany). The angle and distance of each tree from the center of the plot were measured, and its coordinates estimated. Stem diameters of all trees within the plot were measured using a caliper. Tree height was measured using a Vertex IV (Haglöf, Sweden). Crown diameter was measured in north-south and east-west directions.
For species identification, a preliminary analysis of the flora of the area was performed following the guidelines developed by Idárraga-Piedrahita et al. (2011), Cardona et al. (2010) and Cardona et al. (2011). For identification of the trees, leaf samples were collected from all individuals. The samples were preserved in alcohol for transportation to the laboratory, and subsequently dried and visually matched with species of the herbarium of the National University of Colombia. Some species could
only be classified by genus because their reproductive morphology could not be determined, which is specifically relevant for the identification of *Vismia* sp. (Hypericaceae), *Casearia* sp. (Salicaceae), *Cordia* sp. (Boraginaceae) and *Licania* sp. (Chrysobalanaceae). Due to the complexity of their morphological and reproductive characteristics, genera *Inga* sp. (Fabaceae), *Citrus* sp. (Rutaceae), *Ficus* sp. (Moraceae) and *Piper* sp. (Piperaceae) were not classified at the species level.
### 6.2.3 Herbaceous biomass estimation
Herbaceous aboveground biomass growing spontaneously within the area and that was located outside of areas with forest cover was harvested at ground level in 120 plots (4 m$^2$ each) with 30 plots per area undergoing restoration since 2014, 2010, 2006 and 2002. The total fresh weight of the biomass was determined in the field, and a subsample of 500 g was oven-dried for 24 – 48 hours for determination of dry weight.
### 6.2.4 Tree biomass estimation
Tree biomass was derived from non-destructive measurements. Overall plots, 716 trees were selected for allometric measurements and species classification. Samples for estimation of wood density were taken using a three-threaded increment borer (Haglöf, Sweden) with 20 cm length and 0.5 cm diameter. The volume of the wood samples was estimated using the water displacement method, and dry weight was determined as indicated by Chave et al. (2014). Data collected in the field were used to determine biomass per individual according to the allometric equations established for tropical zones for trees with diameter at breast height >10 cm. Tree aboveground biomass ($AGB_{est}$) was estimated using the pantropical model developed by Chave et al. (2014):
$$AGB_{est} = 0.0673 \times (\rho D^2 H)^{0.976}$$ \hspace{1cm} (1)
where tree diameter ($D$) is in cm, height ($H$) is in m, and wood density ($\rho$) is in g cm$^{-3}$. This model was selected as it performed well across forest types and bioclimatic conditions.
Allometric equations developed by Yepes et al. (2011) were used to estimate aboveground biomass of trees with diameter at breast height in the range of 2.5-10 cm.
\[ AGB_{est} = \exp(2.4128 \ln D - 1.9968) \]
For areal estimation of tree biomass, the total biomass of each tree within the 21 circular plots was summed and divided by the area of the plot (250 m²). The number of plots for ground measurements of tree biomass varied, since the forest cover in younger areas is smaller than in older areas, therefore, more than 50% of the plots were located in restoration areas established in 2002 and 2006.
### 6.2.5 Aerial imagery
The commercially available Sensefly eBee UAV was used for taking aerial photographs (Sensefly, Chaseaux-Lausanne, Switzerland). A Parrot Sequoia multispectral sensor was adapted to the eBee for image collection (Parrot SA, USA). The sensor captured images corresponding to four separate bands: red (660 BP 40), green (550 BP 40), red edge (735 BP 10) and near-infrared (790 BP 40). For image capture at the study site, the eBee was flown at a minimum height of 107 m and a maximum height of 143 m, obtaining an image resolution of 10-14 cm per pixel. The flight plans were programmed and monitored using eMotion2 software (Sensefly, Cheseaux-Lausanne, Switzerland). The eMotion 2 software uses publicly available digital elevation data from Google Earth to develop flight plans. Previews of aerial photographs and digital surface models were generated in real time, however, full data processing took several hours. The UAV was flown at a default speed of 15 m/s that changed according to the wind direction and speed. The average area covered by a single flight was 60 ha with an image overlap of 60 - 70%. Flights were conducted in November 2016. The images were processed using Pix4D (Pix4D SA, Lausanne, Switzerland) to construct 4 band orthomosaic TIF files for each area undergoing restoration since 2014, 2010, 2006 and 2002. The processing included adjustment of the image reflectance based on the
calibration panel images pre- and post-flight. Additionally, an aggregation factor of 100 was applied to the resulting images by estimating the mean of pixel intensity.
6.2.6 Data analysis
Computation of vegetation indices and textural attributes
Maps of vegetation indices were calculated using the multispectral aerial images. For calculation and extraction of values, the R packages rgdal, raster and rgeos were used. The indices (Table 6.1) were categorized as indicated by Schumacher et al. (2016): (i) single bands that represent reflectance values within the spectral range, (ii) band ratios that detect differences in surface properties, (iii) broadband greenness vegetation indices that measure photosynthetic activity, (iv) red-edge indices that exhibited high sensitivity to detect the state of vegetation, (v) soil-adjusted vegetation indices that minimize the effect of soil background, and (vi) textural attributes of the multispectral image.
Table 6.1. Equations for vegetation indices used in this study.
| Index | Formula | Reference |
|--------------------------------------------|-------------------------------------------------------------------------|----------------------------|
| i. Single bands of multispectral image | | |
| Near Infrared ($\rho_{NIR}$), Green ($\rho_G$), Red ($\rho_R$), Red-edge ($\rho_{RE}$) | | |
| ii. Band ratios | | |
| Simple ratio | $\frac{\rho_{NIR}}{\rho_R}$ | (Crippen 1990) |
| NIR Green ratio | $\frac{\rho_{NIR}}{\rho_G}$ | (Haboudane et al. 2004) |
| iii. Broadband greenness | | |
| Green Chlorophyll Index | $CI_G = \frac{\rho_{NIR}}{\rho_G} - 1$ | (Viña et al. 2011) |
| Green Normalized Difference Vegetation Index | $GNDVI = \frac{\rho_{NIR} - \rho_G}{\rho_{NIR} + \rho_G}$ | (Gitelson, Merzlyak 1998) |
| Normalized Difference Vegetation Index | $NDVI = \frac{\rho_{NIR} - \rho_R}{\rho_{NIR} + \rho_R}$ | (Carlson, Ripley 1997) |
| Modified Simple Ratio | $MSR = \frac{\left(\frac{\rho_{NIR}}{\rho_R}\right)^{-1}}{\left(\frac{\rho_{NIR}}{\rho_R}\right)^{+1}}$ | (Chen 1996) |
| Index | Formula | Reference |
|--------------------------------------------|------------------------------------------------------------------------|----------------------------------|
| Non-Linear Index | \( NLI = \frac{\rho_{NIR}^2 - \rho_R}{\rho_{NIR}^2 + \rho_R} \) | (Goel, Qin 1994) |
| Green Red Vegetation Index | \( GRVI = \frac{\rho_G - \rho_R}{\rho_G + \rho_R} \) | (Motohka et al. 2010) |
| Transformed Difference Vegetation Index | \( TDVI = \sqrt{0.5 + \frac{\rho_{NIR} - \rho_R}{\rho_{NIR} + \rho_R}} \) | (Bannari et al. 2002) |
| iv. Red edge indices | | |
| Browning reflectance index | \( BRI = \frac{1}{\rho_G - \rho_{RE}} \) | (Merzlyak et al. 2003) |
| Canopy chlorophyll content index | \( CCCI = \frac{\rho_{NIR} - \rho_{RE}}{\rho_{NIR} + \rho_{RE}} \) | (Fitzgerald et al. 2010) |
| Normalized difference Near-Infrared red edge| \( NDNIRRE = \frac{\rho_{NIR} - \rho_{RE}}{\rho_{NIR} + \rho_{RE}} \) | (Elvidge, Chen 1995) |
| Normalized Difference Red Edge Red | \( NDRE = \frac{\rho_{RE} - \rho_R}{\rho_{RE} + \rho_R} \) | (Danson, Plummer 1995) |
| v. Soil adjusted vegetation indices | | |
| Soil adjusted vegetation index | \( SAVI = \frac{\rho_{NIR} - \rho_R}{\rho_{NIR} + \rho_R + 0.5} * 1.5 \) | (Huete 1988) |
| Tasseled cap Soil brightness Index | \( TCSBI = 0.332 * \rho_G + 0.603 * \rho_R + 0.675 * \rho_{RE} - 0.262 * \rho_{NIR} \) | (Crist, Cicone 1984) |
| vi. Texture attributes | Mean, variance, homogeneity, contrast, dissimilarity, entropy, second moment, correlation | (Kavitha et al. 2011) |
The texture analysis was performed using the gray-level co-occurrence matrix (GLCM), a statistical method that considers the spatial relationship of pixels. It characterizes the texture of an image by calculating how often pairs of pixels with specific values and in a specified spatial relationship occur in an image (Kim et al. 2011). The filter window size was kept low (3x3 pixels) to avoid the loss of spatial information due to over-smoothing of textural variations (Schumacher et al. 2016). For the
calculation of the GLCM and the statistics (mean, variance, homogeneity, contrast, dissimilarity, entropy, second moment, correlation), the R package glcm was used (Zvoleff 2015).
**Modeling aboveground biomass and species diversity**
The Random Forest (RF) machine learning algorithm was used to develop decision-tree models predicting the biomass and species diversity from descriptors. The algorithm consists of a collection of tree-structured classifiers that determine how the input is related to a predictor variable. It is a widely used ensemble approach to feature selections for a small number of samples and large input features. Random Forest creates many regression trees (500 trees were created for this study) containing a bootstrap sample of the records with the same number of cases as the original data by using a randomly selected subset of the predictor variables. The final prediction is the average of the values predicted by all previous trees (Corona-Núñez et al. 2017). This method generates robust predictions while being insensitive to outliers and noise in comparison to single predictors (Tian et al. 2017).
Predictors were classified in several predictor sets (Schumacher et al. 2016; Table 6.1): (i) single bands, (ii) band ratios, (iii) broadband greenness indices, (iv) red-edge indices, (v) soil adjusted vegetation indices, and (vi) texture attributes. Missing values were imputed using data proximity from the RF model. The increase in training sample size can help to improve prediction accuracies (Xu et al. 2016). For this reason, for model training and parameter tuning, bootstrap resampling methods were used due to their suitability for parameter estimation with a small sample size (Banjanovic and Osborne 2016). Model performance was assessed through the estimation of mean absolute error (MAE), root mean square error (RSME) and correlation between observed and predicted values ($R^2$), and their standard deviation. Variable importance was evaluated using a model-based approach in which the prediction error on the out-of-bag portion of the data is recorded by means of error rate for classification and mean squared error (MSE) for regression, and the same is done after permuting each predictor.
variable. The second measure for variable importance is the total decrease in node impurities from splitting on the variable (Gini index for classification and residual sum of squares (RSS) for regression) (Liaw and Wiener 2002). Based on model performance, the best combination of predictors was used to map the aboveground biomass and species diversity for the study areas.
For model training and cross-validation, the R package caret was used (Kuhn 2008). For evaluation of variable importance and prediction, the R package randomForest was used (Liaw and Wiener 2002). For the creation of raster predictions, the R package raster was used (Hijmans and van Etten 2012). For visualization of raster predictions, the R package ggmap was used (Kahle and Wickham 2013).
6.3 Results
6.3.1 Measured and calculated parameters
Height, diameter and wood density were used to estimate aboveground biomass of the trees with the use of the allometric equation developed by Chave et al. (2014). The most abundant species in the area selected for ground measurements were found to be *Acacia mangium*, *Cecropia peltata*, *Casearia* sp. and *Vismia* sp. (Figure 6.3).
Figure 6.3. Abundance of individuals per species in sampled forest stands.
Table 6.2 shows the mean and standard deviation of structural parameters of measured trees for the most abundant species found in the area. *Acacia mangium* and *C. peltata* are the tallest and most abundant trees in the area and also exhibit higher diameter values. In comparison to *A. mangium* and *C. peltata*, *Casearia* sp. and *Vismia* sp. are relatively smaller. In terms of wood density, *A. mangium* exhibits higher values than the other most abundant species. *Cecropia peltata* exhibits the lowest wood density values among the other most abundant species. *Acacia mangium* had the highest values of tree biomass per individual.
Table 6.2. Parameters of the most abundant species measured in forest stands (median values).
| Structural parameter | Acacia mangium | Cecropia peltata | Casearia sp. | Vismia sp. |
|----------------------|----------------|------------------|--------------|------------|
| Number of measured trees | 277 | 99 | 61 | 52 |
| Height (m) | 14.7 | 13.2 | 5.9 | 8.3 |
| Diameter at breast height (cm) | 19 | 14.5 | 4.4 | 7.1 |
| Wood density (g/cm³) | 0.59 | 0.32 | 0.41 | 0.51 |
| Aboveground biomass (ton/individual) | 0.09 | 0.04 | 0.003 | 0.01 |
Table 6.3 shows median values of aboveground biomass for tree and herbaceous biomass in the restoration areas. Tree biomass per hectare in the restoration areas established in 2006 and 2002 was almost 100% higher than the values observed for the 2010 and 2014 areas. However, tree biomass of the 2010 restoration area is lower than that of the area established in 2014. Areal herbaceous biomass does not vary significantly among the areas, and there is no significant increase in herbaceous biomass in the 2010 and 2014 areas.
Tree species diversity was assessed through the calculation of the Shannon, Simpson and Fischer indices as well as species richness (Table 6.3). The median Shannon index is higher for the areas established in 2014, followed by the plot established in 2010. The lowest median Shannon index is for the plot established in 2006. A similar behavior is observed for the Simpson and Fischer indices, which exhibit highest values in the plots established in 2014 and 2010, and lowest in the plot established in 2006. The highest median values of species richness were observed in the plots established in 2014 and 2002.
6.3.2 Biomass and species diversity modeling
Random forest (RF) achieved limited performance for the estimation of herbaceous biomass (Table 6.4) evidenced by the low correlation between predicted
and observed values ($R^2$) of 0.23. Although the model exhibited relatively low mean absolute errors, the fact that the root-mean-square error (RMSE) is equal to the standard deviation of the observed values also confirms the low predictive capacity of the model.
**Table 6.3.** Aboveground biomass for restoration areas based on median values. $N =$ number of plots.
| Year of establishment | Aboveground biomass | Tree species diversity |
|-----------------------|---------------------|------------------------|
| | Tree biomass (ton/ha) | Herbaceous biomass (ton/ha) | Shannon index | Simpson index | Fischer index | Species richness |
| 2014 | 83.4 (N = 2) | 3.8 (N = 30) | 1.57 | 0.75 | 2.88 | 7 |
| 2010 | 50.6 (N = 2) | 4.2 (N = 30) | 1.27 | 0.66 | 1.75 | 5 |
| 2006 | 121.3 (N = 6) | 3.7 (N = 31) | 0.18 | 0.08 | 0.44 | 2 |
| 2002 | 142.4 (N = 11) | 2.9 (N = 30) | 1.24 | 0.62 | 1.58 | 7 |
**Table 6.4.** Performance of Random Forest (RF) model for estimation of aboveground biomass and classification of vegetation cover assessed through cross-validation. Standard deviation for comparison.
| Parameter | Performance |
|----------------------------------|---------------------------|
| Herbaceous biomass per plot | |
| Standard deviation (ton/ha) | 0.002 |
| MAE (ton/ha) | 0.001 (1.5e-4) |
| RMSE (ton/ha) | 0.002 (4e-4) |
| $R^2$ | 0.23 (0.10) |
| R (Pearson) | 0.47 |
| Tree biomass per plot | |
| Standard deviation (ton/ha) | 85.9 |
| MAE (ton/ha) | 52.44 (19.58) |
| RMSE (ton/ha) | 70.61 (28.35) |
| $R^2$ | 0.43 (0.15) |
| Parameter | Performance |
|--------------------|-------------|
| R (Pearson) | 0.65 |
| Classification herbaceous/tree | |
| Accuracy | 0.99 |
| Kappa | 0.97 |
Performance values are reported as mean (standard deviation)
The model performance is higher for the estimation of areal tree biomass. The best performance of the model was achieved when all the predictors were included (Table 6.1). This was analyzed through cross-validation for predictor selection with a sequentially reduced number of predictors for the prediction of herbaceous and tree biomass, and species diversity (Figure 6.4). The model that included all predictors showed higher correlations between measured values and predictions on cross-validated test sets. An increase in correlation between observed and predicted values to 0.43 ($R^2$) and 0.65 for Pearson correlation indicates an improved predictive capability of the model. Additionally, RMSE values are lower than the standard deviation of the observed tree biomass values, which also confirms an increased predictive capacity of the model for tree biomass.
The RF model exhibits high accuracy for the classification of vegetation type between the categories herbaceous and forest. As the model was run with a lower percentage of samples classified as forest compared to samples classified as herbaceous, the Cohen's Kappa statistic was calculated through cross-validation for the classification model, as this can improve the quality of its performance (Ben-David 2008). High Kappa values and high accuracy of the classification model show high performance of the classifiers selected for the model, as the instances classified by the model matched most of the labeled data.
Figure 6.4. Cross-validated prediction performance of models measured by mean squared error (MSE) with a sequentially reduced number of predictors (features ranked by variable importance) via a nested cross-validation procedure.
For prediction of tree species diversity measured by biodiversity indices (Shannon, Simpson, Fischer and species richness), RF showed limited performance for the prediction of Simpson and Fischer biodiversity indices, which was confirmed by the low correlation between predicted and observed values (Table 6.5). In addition, RMSE values are higher than the standard deviation of the observed values for the prediction of Simpson and Fischer indices. However, the predictive capacity of the model improved for Shannon index and species richness. Higher correlation values between predicted and observed values can be observed for Shannon index ($R^2 = 0.42$) and species richness ($R^2 = 0.44$), as well as higher Pearson correlation values. Furthermore, RMSE values for the estimation of Shannon index and species richness are consistently lower than the standard deviation of the observed values.
Table 6.5. Random Forest (RF) model performance in predicting tree species richness assessed through cross-validation. Standard deviation for comparison.
| Performance measurement | Biodiversity index |
|-------------------------|--------------------|
| | Shannon | Simpson | Fischer | Species richness |
| Standard deviation | 0.71 | 0.31 | 1.61 | 3.05 |
| MAE | 0.55 (0.11) | 0.28 (0.07) | 1.79 (0.29) | 3.15 (0.52) |
| RMSE | 0.63 (0.12) | 0.33 (0.06) | 1.84 (0.21) | 2.79 (0.53) |
| $R^2$ | 0.42 (0.16) | 0.14 (0.12) | 0.26 (0.20) | 0.44 (0.19) |
| R (Pearson) | 0.65 | 0.37 | 0.51 | 0.66 |
Performance values as mean (standard deviation)
6.3.3 Variable importance
Importance scores of each predictor generated for the RF model for estimation of herbaceous and tree biomass, species diversity and vegetation type classification (forest/herbaceous) are presented in Figure 6.5. For the classification model used to estimate class probabilities for herbaceous/forest cover, predictors such as intensity of red, near infrared (NIR) and red-edge bands had higher importance, as well as the Simple Ratio (SR) vegetation index. Furthermore, the red-edge indices Normalized Difference Near-Infrared red edge (NDNIRRE) and canopy chlorophyll content index (CCCI) exhibited relatively higher importance for the classification of vegetation type.
Figure 6.5. Importance scores for predictors used in Random Forest model for vegetation type classification, herbaceous and forest biomass estimation, and tree species diversity based on permutation of predictor variables for accuracy estimation.\(^6\)
The most important predictors of tree species diversity are found to be the Transformed Difference Vegetation Index (TDVI) and the Browning reflectance index (BRI). A textural band of the multispectral image, i.e. variance, also has relatively high importance as a predictor in this model.
For the estimation of herbaceous biomass, the most important predictors were the textural bands of the multispectral image, i.e. contrast (9.71), variance (7.27), mean (5.97), and dissimilarity (5.77). The Browning reflectance index (BRI) also exhibited a relatively high importance (6.84) as a predictor. For the estimation of tree biomass, the most important predictor was a textural band of the multispectral image, i.e. homogeneity (4.26). The second most important predictor was the red-edge index NDRE
---
\(^6\) Refer to Table 6.1 for the meaning of abbreviations.
with a score of 4.07. The green-red vegetation index was the third most important predictor in this model (3.41). The fourth was a textural band, i.e. correlation of the multispectral image (2.50).
6.3.4 Prediction maps
Tree biomass
Prediction maps were created with RF for the tree biomass maps (Figure 6.6) obtained with the best performing model (all predictors included; Table 6.1; $R^2 = 0.43$, Pearson correlation = 0.65, RSME = 70.61 tons/ha). No prediction maps were created for herbaceous biomass due to the low predictive capability observed for the RF model. Predicted values for tree biomass were between 120 and 180 tons/ha for the restoration areas established in 2014, 2010 and 2006, and between 160 and 240 tons/ha for the area established in 2002. The highest predicted value of approximately 180 tons/ha for the restoration areas established in 2014 and 2006 is similar to the maximum value observed in the field (183 tons/ha) for the restoration area established in 2006, but much higher than that observed in the restoration area established in 2014 (104 tons/ha). The predicted value 240 tons/ha for the restoration area established in 2002 is similar to the maximum value observed in the field (246 tons/ha). However, for the restoration area established in 2010, the model highly overestimated the tree biomass value with approximately 180 tons/ha given that the maximum observed value in the field was 53 tons/ha.
Figure 6.6. Forest aboveground biomass (tons/ha) estimated with Random Forest model (all predictors included (Table 6.1), $R^2 = 0.43$, Pearson correlation = 0.65, RSME = 70.61 tons/ha).
Tree biomass estimations for the restoration area established in 2014 are scattered on only small areas of the plot, where the model identified areas with bare soil and predicted no tree biomass. In such older restoration plots, tree biomass is mainly scattered over the plots, tending to decrease towards the edges. However, the model tended to overestimate, since median values measured in the field (Table 6.3) were much lower than the values predicted by the model. Furthermore, the prediction
maps show that tree biomass distribution is not homogeneous on these plots, which corresponds to the field observations where tree biomass does not follow a clear distribution pattern.
**Tree species richness**
A map of predicted tree species richness was created for the four restoration areas with the best performing model (all predictors included; Table 6.1; $R^2 = 0.44$, Pearson correlation = 0.66, RSME = 2.79). Tree species richness was selected for prediction as the RF model had better predictive capability when it was used as a response variable. Predicted species richness ranked between 4.5 and 7 for the restoration area established in 2014, between 3.5 and 5.5 for that established in 2010, between 3.5 and 6 for that established in 2006, and between 4 and 8 for the area established in 2002. Minimum and maximum values predicted for the restoration areas established in 2014 and 2010 are similar to the range observed in the field (2014: 5-8 species, 2010: 4-6 species). For the restoration area established in 2006, the maximum value (8 species) coincides with the value observed in the field, however, the minimum value (1 species) was overestimated. For the restoration area established in 2002, the range of species richness observed in the field (1-11 species) was broader than that predicted by the model (4-8).
For the restoration area established in 2014, the species richness predictions were only performed in small areas of the plot as done for tree biomass. This is because the species richness model recognized the areas with bare soil, therefore blank areas correspond to the zero values predicted by the RF model. When comparing the maps of predicted species richness (Figure 6.7) and the maps of predicted tree biomass (Figure 6.6), it can be seen that areas with higher species richness do not necessarily correspond to areas with higher tree biomass. Furthermore, areas with predicted higher species richness are highly scattered and do not follow a spatial pattern.
Figure 6.7. Species richness estimated with Random Forest model (all predictors included; Table 6.1; $R^2 = 0.44$, Pearson correlation = 0.66, RSME = 2.79).
**Vegetation type classification**
The RF model exhibited very high predictive capability for the classification of vegetation type between the categories tree cover and herbaceous cover. Maps of predicted class probabilities were created for the four restoration areas (Figure 6.8). The values depicted in this map represent for each pixel the probability of a herbaceous cover. Therefore, a probability 1 means with a confidence of 95% that the pixel...
corresponds to herbaceous vegetation. Lower probability values for herbaceous cover indicate an increasing probability of the pixels depicting forest cover.
**Figure 6.8.** Herbaceous/forest cover probabilities estimated with Random Forest model (all predictors included; Table 6.1; accuracy = 0.99, Kappa = 0.97)
For the restoration area established in 2014, the model also identified areas with bare soil and did not assign a classification to these. For the classified areas, the model estimated that most of them were covered by herbaceous biomass, with only small areas that could potentially be forest cover. The map for the restoration areas established in 2010 and 2006 shows many scattered spots that have a higher probability
of being classified as forest cover, however, most of the area was classified as herbaceous biomass. The map of the area established in 2002 shows much larger areas with higher probability of depicting forest cover. When comparing the maps of predicted class probabilities (Figure 6.8) and the maps of predicted tree biomass (Figure 6.6), it can be seen that the class probabilities roughly follow the same pattern, i.e. areas with higher tree biomass roughly corresponding to areas with a lower probability of being classified as herbaceous cover. Once more, there is not a clear pattern for the distribution of these classes, while predicted forest cover is randomly distributed within the restoration areas.
6.4 Discussion
6.4.1 Implications of the use of UAV and high-resolution images
Revegetation management requires an understanding of patterns of vegetation in a timely and accurate manner to make informed decisions. Therefore, the development of a cost-effective and accurate method to acquire forest attributes is essential to management and restoration activities. Here, the use of UAVs represents an opportunity to land managers (Mohan et al., 2017). Multispectral images captured with a Sensefly UAV proved useful to estimate tree biomass and species richness in areas covered by gold mining waste undergoing restoration through agroforestry. Therefore, the methodology used for this study has the potential to be an effective and affordable approach to support the reclamation processes being conducted in gold mining areas. UAVs are especially useful for plot-level assessments in the field, as they can capture highly specific spectral traits at the high spatial resolution and with the desired temporal frequencies (Zahawi et al., 2015). Furthermore, the fact that repeated flights could be conducted over the same plots with varying flight paths resulted in better quality coverage, therefore maximizing line crossings and multiple flights should be considered (Brede et al., 2017). However, the flight time of UAVs is very short (approximately 15 minutes), hence each flight results in a relatively small documented area. Flying the UAV at higher altitude can help to compensate for this limitation, but it could be detrimental
to the overall accuracy with respect to the resolution of the images (Mohan et al., 2017). Furthermore, the use of UAVs is favorable in terms of operability and accessibility given that data can be collected whenever is required (Li et al., 2016).
6.4.2 Tree and herbaceous biomass modeling
In spite of the fact that spectral predictors and broadband greenness vegetation indices improved herbaceous biomass estimates using the RF model in the plots with low to medium herbaceous biomass (Greaves et al., 2016), a low predictive capacity of the model was observed. This may be because the approach used in this study aimed to aggregate structural information of vegetation from predefined grids within herbaceous biomass plots measuring 4 m$^2$. This aggregation process generates the risk of confusion with respect to a decision tree within the RF model when different vegetation composition exhibits similar signals. This may explain the low performance of the model for the prediction of herbaceous biomass as was also found by Anderson et al. (2018). Moreover, shrub vegetation is not dense enough to cover the ground, thus the soil can have important effects on the spectral signature (Feng et al., 2017).
The results indicate that the predictors for estimating forest aboveground biomass by the RF model in order of decreasing importance are textural variables (homogeneity, correlation, contrast, entropy and dissimilarity), red-edge indices (NDRE, CCI), broadband greenness indices (GRVI) and band ratios (NIR green ratio). Single bands and band ratios have been identified as good predictors for tree biomass by several studies (Liu, 2016; Galidaki et al., 2017; Adam et al., 2014; Meyer et al., 2017), and the combination with texture features of the image results are favorable for addressing existing problems with vegetation index saturation and data acquisition for mapping tree biomass (López-Serrano et al., 2016). Model prediction improvements when adding texture layers have been observed in several studies (Xu et al., 2016; Bastin et al., 2014; Cutler et al., 2012; Eckert, 2012), as texture analysis brings additional spatial information for estimating the forest structure from the knowledge of surrounding pixels.
Furthermore, a large part of spatial dependence at a short distance is explained by the texture layers included in the model (Xu et al., 2016).
Kachamba et al. (2016) emphasized the importance of incorporating the spectral components of UAV point clouds, as they present useful information to estimate biomass. In this study, red-edge indices were important predictors for both tree biomass and classification of vegetation type. In arid regions, red-edge vegetation indices have been better estimators of green vegetation fraction than broadband greenness vegetation indices (Li et al., 2012). Schumacher et al. (2016) also demonstrated that texture attributes and red-edge indices improve the predictive performance of RF models for tree biomass estimation in semi-arid regions in comparison to conventional methods limited only to broadband vegetation indices.
6.4.3 Species diversity modeling
Mapping diversity estimates are accomplished by analyzing the variation of spectral signals and correlating the variation with measures of plant diversity (Gould, 2000). Therefore, the analysis of optical diversity can show good correlation with species richness and evenness estimated by Shannon index (Wang et al., 2016). This was observed in the present study. The results indicate that the predictors for estimating species richness by the RF model in order of decreasing importance are broadband greenness indices (TDVI, GRVI), red-edge indices (BRI), texture attributes (variance, correlation), band ratios (NIR green ratio), and single bands (red edge, green, red). Texture statistics and vegetation indices derived from the NIR band are good predictors of species richness of trees and are able to detect local changes in habitat structures (Wallis et al., 2017).
The fact that variance (textural attribute) was one of the most important predictors of species richness is in agreement with the findings presented by Wang et al. (2016), who studied coefficient of variation as a metric of optical diversity and found that it significantly correlated with conventional species diversity indices (richness and
Shannon index). However, in this study broadband greenness and red-edge indices had higher importance scores as predictors of species richness. This can be attributed to the fact that higher tree species richness might occur in areas where the canopy is higher and denser, therefore pigment-related spectral data are more important predictors of tree species richness than heterogeneity measurements assessed with texture metrics (Wallis et al., 2017). Madonsela et al. (2017) also found significant linear relationships between vegetation indices (NDVI and simple ratio) and measures of local tree diversity, but unlike in the present study, found that textural attributes had not shown significant relationships with tree species diversity.
6.4.4 Model uncertainties and limitations
Estimation of aboveground biomass is a complex procedure that requires careful design of each step, i.e. (i) calculation of aboveground biomass from sample plots, (ii) extraction and selection of remote sensing variables, (iii) selection of modeling, and (iv) evaluation of prediction results (Lu et al., 2016). The calculation of aboveground biomass from sample plots using allometric models is usually a critical step resulting in uncertainty of biomass estimation, especially in moist tropical areas where the complex species composition and the difficulty of selecting an allometric equation for specific tree species result in high uncertainty in the aboveground reference data (Feng et al., 2017). It is expected that the relationship between remotely sensed spectral data and aboveground biomass is species dependent (Chen et al., 2016). However, the model in this study was developed at plot level where the average relationship for tree species within plots was modeled, which might not completely capture the variations within agroforestry fields (Feng et al., 2017).
Modeling vegetation biomass on an area rather than on a plant basis is valuable when the measurements consider all vegetation within a plot and none outside this plot (Anderson et al., 2018) as was the case of this study. Previous studies have shown that a combination of multiple predictor variables such as vegetation indices can improve the estimation accuracy of vegetation parameters (Li et al., 2016). Due to the
high heterogeneity in the distribution of vegetation in the studied areas undergoing reclamation, where vegetation communities with low biomass are widespread in the landscape, a model including several predictor variables is the most suitable option for prediction of vegetation features in terms of improved accuracy (Greaves et al., 2016). Previous studies that have compared the performance of the RF model versus other machine learning algorithms such as k-Nearest Neighbors (kNN) or parametric methods such as multiple linear regression (MLR) have shown that RF is a more robust technique for biomass predictions (López-Serrano et al., 2016). Shadowing within and between tree crowns influences canopy reflectance, texture complexity, tree species variety, and image quality, and can also affect the predictive capacity of the model (Mohan et al., 2017). Furthermore, environmental factors such as wind speed, fog and temperature variations can interfere in the process of image capturing by the UAV, which should be addressed for remote sensing of vegetation structures (Zarco-Tejada et al., 2014).
GPS errors associated with tree location estimation are also a common source of uncertainty that needs further investigation (Mohan et al., 2017). The small discrepancies in values extracted from the multispectral images versus ground-truth values may have introduced some erroneous biomass and species richness values, especially when a relatively large amount of vegetation could have been either wrongly included or excluded. Furthermore, the predictive capacity of the model improved after applying an aggregation factor of 100 to the multispectral images. Greaves et al. (2016) also observed an increased predictive capability of a RF model using broadband greenness vegetation indices for biomass estimation using a coarser resolution, which can be attributed to georeferencing errors occurring during field measurements.
6.4.5 Implications for the areas undergoing restoration
The spatial distribution pattern of vegetation is an indicator of the success of restoration programs in disturbed sites. For instance, the presence of shrubs represents the regeneration capacity and reflects the reproduction ability of a created ecosystem, while trees (DBH > 10 cm) reflect the survival capacity of vegetation in restored
ecosystems (Juwarkar and Singh, 2016). For this study, in the younger restoration areas, vegetation growth is mainly in the form of pioneer shrubs with a few scattered areas that have preserved the pre-disturbance vegetation cover. In terms of succession, there is clear evidence of reclamation success, as even in the relatively young area established in 2010, there are only a few scattered areas without vegetation cover. Furthermore, in older areas undergoing vegetation since 2002 and 2006, there were no signs of bare soil that could indicate a possible reverse succession.
There is a broad perception that productivity integrates major drivers of tree species diversity, which can include land use, climate, and biotic change, however, productivity itself cannot directly assess tree species diversity (Sala et al., 2000). Another finding of this study is the fact that older reclamation areas do not have significantly higher species richness than younger reclamation areas. Murguía et al. (2016) emphasize the fact that large-scale metal mining activities exert pressure on biodiversity by adversely changing habitats at local and regional scales. Therefore, it should be considered that successful restoration of the post-mining landscape should also include tree species diversity restoration. Consequently, reclamation practices ought to focus on becoming a source of germplasm for various species, which might improve the environmental and economic conditions of the local area (Juwarkar and Singh, 2016).
Some studies show that high tree species diversity is associated with higher biomass (Cardinale et al., 2007). On the other hand, recent studies suggest that there could be a decline in diversity at high productivity (Fraser et al., 2015). The humped-back model proposed by Fraser et al. (2015) suggests that “plant diversity peaks at intermediate productivity; at low productivity few species can tolerate the environmental stresses, and at high productivity a few highly competitive species dominate”. The comparison of spatial patterns of biomass and species richness in the research area show that areas with high biomass do not necessarily coincide with areas with higher species richness. This may be due to the fact that *Acacia mangium* became a dominant species due to its strong adaptability and resistance as well as its rapid
growth (Chazdon, 2008) and has played an important role in the restoration of vegetation cover in this area. However, its invasiveness in disturbed ecosystems has been documented (Osunkoya et al., 2005), as it tends to convert the habitats to nearly monospecific stands over time.
The capacity of agroforestry systems to provide food, shelter, habitat and resources for multiple species is highly context dependent. Agroforestry systems tend to have less diversity than forest but higher diversity than traditional agriculture, however, this is highly conditioned to management practices that improve (or not) resilience of the created ecosystems (Torralba et al., 2016). For instance, in repeated cropping cycles with shortening fallow phases, a point will be reached at which tree regeneration fails completely, and the systems will move to the grassland domain (Norgrove and Beck, 2016). In this regard, Jakovac et al. (2015) found that the recovery of forest structure is determined by management intensity, while the recovery of tree species diversity is driven by landscape configuration. Therefore, special attention should be paid to secondary forests that develop during the fallow period, as the sustainability of agroforestry systems may highly depend on them.
Given that the disturbance and recovery history of a mining site can be highly complex, especially when measured over long time periods, having the spatial knowledge of the disturbance agent may improve predictions of aboveground biomass (Pflugmacher et al., 2014). Post-disturbance conditions following alluvial gold mining activities are influenced largely by deposit properties, site preparation practices, the technology used for mining, and management decisions. Therefore, an analysis of the spatial heterogeneity of these deposits could also contribute to the prediction of aboveground biomass. Optical diversity and species diversity can be influenced by environmental heterogeneity such as soil texture or microtopographic variability (Zhao et al., 2015), therefore understanding the relationship between subtle gradients in soil and microtopography and optical variations can be a suitable objective for future work.
The outcome of restoration programs depends on the nature and extent of plant distribution. Vegetation cover, species diversity, and ecosystem development processes are the major indicators of restoration success (Juwarkar and Singh, 2016). In the study area, an increase in forest area could occur if forest conservation practices, combined with agricultural abandonment, take place (Hansen et al., 2013). However, this assertion strongly depends on the intended reclamation goal. Up to now, the reclamation goal of the mining company and the inhabitants of the area has been to combine trees, agricultural crops and livestock for the reestablishment of an ecologically and economically viable land-use system. Evidence that this balance can be achieved is provided by Antwi et al. (2014), who found that in a post-mining landscape, agriculture played an essential role in forest growth, and emerged as the most stable land-cover type. However, the restoration process depends on the specific characteristics of a particular ecosystem, especially in post-mining landscapes such as the type and impact of the disturbance, planted species, climatic conditions, and management (Juwarkar and Singh, 2016). Therefore, the measurement of success of a restoration process is highly specific to each site, and can hardly be compared with restoration conducted in other mining sites.
6.5 Conclusions
The results of this study suggest that areas covered by gold mining waste can be recovered and converted into productive ecosystems if appropriate management strategies are adopted. The use of remote sensing techniques using a UAV and field measurements allowed gaining information about the study area in a way that reduced error due to data interpolation or data misrepresentation given the high heterogeneity of the study area. Furthermore, the results show that UAV multispectral imagery is suitable to generate information for biomass estimation and vegetation classification. The combination of spectral data and ground-truth data using a machine learning algorithm had the ability to model high-dimensional non-linear relationships with
relative robustness with respect to noise features, and allowed measuring the individual importance of several predictors.
The method applied in this study can be used for estimation of vegetation biomass with a broad range of dimensions and where vegetation classes are mixed. The analysis of the development of tree plantations and vegetation reestablishment should be oriented to increase biomass, maximize productivity, and promote an increase in tree species diversity in the areas undergoing reclamation. In addition, the tree species selection for the agroforestry systems should aim to minimize the use of invasive species, and promote the use of native species that improve the resilience of the newly created ecosystems.
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7. CONCLUSIONS AND OUTLOOK
The chapters of this dissertation cover different perspectives on agroforestry as a post-mining land-use approach in north-west Colombia. They embrace some of the land management challenges that the farmers working in areas undergoing reclamation must face to bring the areas affected by gold mining back to productivity and reinstate agricultural production systems. In the following, insights from this research are presented.
7.1 Need for suitable post-mining land-use approach in Colombia
Gold mining activities put pressure on the environment due to the high resource intensity of their operations, release of pollutants such as mercury and cyanide, and formation of dredging waste deposits on banks of rivers. This compromises the wellbeing and livelihoods of the communities in nearby areas. From the agricultural productivity perspective, the deposition of dredging waste poses a major threat, as it covers vast areas of land that were previously dedicated to agricultural activities. The deposits created by gold mining usually have low nutrient levels, acidic conditions and poor structural features that make the spontaneous reestablishment of a vegetation cover difficult.
As the global demand for gold continues to rise, the waste production associated with its exploitation will also increase. To cope with this, a suitable post-mining land-use approach needs to ensure the establishment of sustainably productive and ecologically valuable post-mining landscapes. Agroforestry may be in many respects a beneficial land-use system for marginal post-mining landscapes, as the use of crops and livestock can complement protective reforestation in affected areas. Planting of crops and cattle grazing in the more fertile areas of the waste deposits can help to reinstate the income opportunities of farmers whilst planting of woody perennials in
less fertile areas of the deposits can contribute to restoring the productivity of the areas covered with waste.
7.2 Role of farmers’ knowledge
The farmers working in areas undergoing reclamation through agroforestry face major challenges with respect to developing a suitable land-management scheme that allows them to fulfill their production objectives (crops, trees and animals), and the reclamation objectives (establishment of a vegetation cover and improvement in soil fertility). The physical and chemical properties of the waste deposits make the establishment of crops difficult, and this is exacerbated by their high spatial variability and seasonal variability, susceptibility to weed invasion, and frequent pest outbreaks. To address these challenges, the farmers have developed a whole set of indicators to recognize areas suitable for crop establishment, cattle grazing or planting of woody perennials, as well as a set of practices to improve the productivity and quality of the crops. However, the development of this set of indicators and practices is a process that is mostly done by each farmer individually with the aid of extensionists of the mining company and is usually a result of years of trial and error, which causes significant loss of resources.
7.3 Insights on soil development
To minimize the loss of resources, it is necessary to gain insight on the pedological properties of the waste deposits through an in-depth analysis of their physical, chemical and hydrological properties and the changes that the waste deposits experience as a result of vegetation establishment. The chronosequence analysis of the waste deposits undergoing reclamation with agroforestry systems revealed that, on a larger scale, the main driver of variability was the type of technology used for alluvial gold mining. This determines the type of waste deposit that is going to be created in terms of structural and physical properties as well as chemical properties. A comparison
between gravel deposits and sand deposits revealed structural differences but, most importantly, critical differences in the chemical composition of these two types of deposits that are present in all analyses. Therefore, these differences need to be considered when making decisions on management practices, and on the selection of crops and woody species to be planted on the different deposits.
The fact that the first restoration plots established on the waste deposits were planted in 2002 means only a relatively short time span for analysis of temporal changes in the deposits across a chronosequence of restoration. Furthermore, a critical assumption for chronosequence studies is that each site differs only in the time period since establishment and that they share the same history of biotic and abiotic components. Although the sites may be formed by similar substrates, the high inherent variability of these deposits suggests that each site can have different successional trajectories and diverse pathways of soil development.
7.4 Heterogeneity of waste deposits
The heterogeneity of waste deposits produced by alluvial gold mining is not only determined by the technology used for dredging, but also by the geochemical properties of the dredged deposits and the random mixing of the alluvial materials through dredging operations and waste depositing. A further understanding of the patterns of spatial variability of the waste deposits helps the farmers to identify areas with higher nutrient contents and better physical properties that are suitable for crop establishment, as well as to identify areas where protective reforestation is crucial to restore soil fertility. For this purpose, a geostatistical analysis was conducted to understand the spatial variability patterns of soil nutrients, textural and chemical properties of the waste deposits. The spatial variability analysis revealed that substantial changes in nutrient levels and organic matter can be observed even within small distances of less than 100 m.
The high spatial variability of the properties of waste deposits suggests that management practices, as well as the selection of crop and woody species, should take into account the highly differing nutrient and textural conditions of the deposits. Therefore, a spatial cluster analysis was conducted to delineate management zones, which were validated through the analysis of multispectral aerial images used to develop NDVI maps as a proxy of productivity. This combined analysis allows verifying that areas clustered as being more fertile had indeed higher NDVI values and, vice versa, areas clustered as less fertile had lower NDVI values. The delineation process is the first stage for implementation of site-specific management strategies. This is an adequate approach to improve the productivity of deposits as well as to reduce the wasting of resources through the identification of areas suitable for crop establishment through trial and error.
7.5 Establishment of vegetation cover
In terms of establishment of vegetation cover, there is clear evidence of a successful reclamation process. In areas undergoing reclamation over longer periods of time, there are no signs of bare soil, and even in those undergoing reclamation for short periods of time, only a few scattered areas without vegetation cover can be observed. In terms of biomass, values are higher in older restoration plots than in younger ones. However, the assessment of species richness shows that older restoration areas are not more diverse than younger ones. Also, areas with higher biomass do not coincide with areas of higher species richness. Therefore, the reclamation practices should focus not only on restoring the vegetation cover but also on creating a source of germplasm to increase species diversity, which can improve the environmental and economic conditions of the area undergoing reclamation.
To assess the recovery of vegetation cover through biomass and species richness maps, a machine learning algorithm was used to connect field measurements of biomass and species richness with multispectral images captured by a drone. In this
process, sources of error can be field measurements and allometric determination of biomass, interferences in the process of image capturing, and the calculations performed for the modeling. Nevertheless, the model used for this study achieved an acceptable predictive capacity for tree biomass and species richness in the area. However, results must be interpreted with care, as the variables modeled are average relationships of biomass and species richness within plots, which might not completely capture the within-field variability.
7.6 Conclusions on the methodological approach
Soil sampling for this study was conducted under three sampling schemes: (1) based on the local knowledge of farmers who indicated fertile and non-fertile areas of their fields; (2) based on a chronosequence approach and an empirical classification of deposit types; (3) a spatial grid of sampling points. The first sampling scheme allowed to associate certain physical and chemical properties with higher agricultural productivity. This scheme also endorsed the profound knowledge that the farmers possess of their fields based on observable features of the deposits that they have perfected with experience. The second sampling scheme provided an overview of the variations in chemical properties along the chronosequence of reclamation. However the limited number of samples resulting from this scheme exacerbated by the relatively short time after vegetation establishment, did not allow to get a good overview of the actual evolution of these deposits, instead it evidenced the necessity of a more robust sampling scheme for the study of the properties of the waste deposits as the range of variability was observed to be very broad. The spatially explicit sampling scheme provided sufficient information for further stages of data analysis on spatial variability of deposit properties, which in this specific case proved to be valuable to gain insight on the actual scale of variability of the soil characteristics.
With regard to data analysis, it is worthwhile to highlight that the anthropogenic origin of these waste deposits made them characteristically
heterogeneous, which needed to be well-thought-out for statistical analysis of data. Heterogeneity generally results in multimodality and therefore in non-normality. It could also result in heteroscedasticity concerning data to be compared which then also would violate assumptions of traditional statistical modeling. In addition, the methods for data analysis were selected to minimize the volatility in results caused by influential values (e.g. outliers). Therefore the shift from mean to more robust statistics (e.g. median) or the estimation of more realistic standard errors through resampling techniques (e.g. bootstrap) was a decisive step for this study. This statistical approach allowed to analyze the rather rough data to obtain more robust and comprehensive results without losing valuable information through data normalization or discretization.
The high spatial variability of the properties of the waste deposits was observed using soil mapping techniques based on the geostatistical analysis. The use of this technique allowed to visualize the variability of each soil property in distances of less than a hundred meters. Using a spatial clustering technique, the spatially explicit characterization of the soil was used to delineate homogeneous zones within the restoration areas that could be dedicated to different purposes according to their overall soil quality. This technique was then validated with vegetation indices estimated from drone images, which provided a proxy for productivity of the delineated zones. Moreover, machine learning algorithms (Random Forest, k-nearest neighbors) were used to predict the spatial distribution of tree biomass and tree species diversity based on the combination of data collected through vegetation survey and spectral indices obtained from drone images. Furthermore, the use of high-resolution remotely sensed data showed promise as a tool to assess the spatial variation in biomass and species richness, as well as to reflect the variation in soil properties and potential productivity of agricultural fields.
The methodological approach used for this research, combining soil digital mapping, aerial image analysis and machine learning algorithms lead to a set of results that were both accurate and interpretable. A methodological approach such as the one
used for this study can be relevant for research in degraded or disturbed areas where agricultural activities are to be reinstated, as well as for studies conducted in areas with low agricultural productivity to address the spatial variation of soil chemical and physical characteristics and their influence on productivity. This methodology can be used to 1) determine yield-limiting factors among soil parameters within small areas of a field; 2) show the spatial variability of soil characteristics associated with crop productivity or biomass distribution; 3) delineate differential management zones to indicate which areas within the field is can be most responsive to amelioration through site-specific management of crop inputs.
7.7 Outlook
Based on the findings of this research, tasks are suggested for land managers and extensionists, as well as for future research in the area.
7.7.1 Recommendations for practitioners and extensionists
- Promote cooperation between more experienced farmers and farmers new to the area through the creation of communal demonstration areas where new farmers can collectively learn from both extensionists and more experienced farmers how to better manage and protect their land.
- Promote dialogues between farmers and scientists, and extensionists and scientists that allow complementing local knowledge with relevant scientific advice.
- Develop integrated management schemes that incorporate farmers’ perceptions and knowledge, especially in the early stages of the design of the reclamation schemes.
- Elaborate strategies to increase the acceptance of management guidelines provided by extensionists to the farmers.
- Create site-specific management schemes that allow decision making on the farmers’ fields that accounts for the inherent spatial variability of the deposits.
7.7.2 Recommendations for reclamation management
- Initial coverage with natural topsoil can support the establishment of soil ecosystem engineers such as earthworms and ants, and can play a decisive role in the development of plant communities.
- Some unfavorable soil properties can be compensated for through the application of special ameliorative measures such as the use of amendments prior to revegetation, including organic waste, compost or the use of cover crops, to buffer soil pH where necessary, improve water holding and cation exchange capacity of the substrate, establish active microbial communities, and provide nutrients to stimulate the reestablishment of vegetation. The application of amendments should consider the high spatial heterogeneity of the deposits, as the nutrient requirements may significantly differ even within areas of less than 100 m apart.
- Understanding spatial variability of areas undergoing restoration will allow an overall increased productivity by developing strategies suited to the characteristics of each field and its potential uses. In addition, areas suitable for crop establishment can be more easily identified.
- In acidic areas with low cation exchange capacity, liming would be a suitable strategy due to its neutralizing capacity and its availability in most households in the area.
- Reclamation practices should also focus on becoming a source of germplasm for various species, which might improve the environmental and economic conditions of the area. Selection of tree species for revegetation should be related to their capacity to increase soil nutrients and sequester carbon. Exclusive establishment of fast-growing trees may not be as beneficial as mixed stands in terms of tree species diversity of the areas undergoing reclamation.
7.7.3 Recommendations for future research
- Further studies need to be conducted to compare the seasonal variability of soil properties and its influence on the delineated management zones to understand the dynamics of the restoration process. In addition, crop yield should be measured in each zone to understand the agronomic significance of the delineation process. Field experiments need to be conducted for the assessment of the impact on soil properties of specific species for protective reforestation and as cover crops, as well as to assess the effect of specific soil amendments (lime, ash, compost) and management practices (green manure, cover crops) on revegetation and crop productivity.
- Analysis of the nutrient fluxes through floodwater and of how the design of the waste deposits can be improved to take better advantage of these nutrient pulses.
- The delineation of management zones should not only be based on spatial clusters of soil properties but also should include farmers’ perceptions of soil fertility. For this purpose, participatory mapping can be conducted with the farmers working in the area to develop site-specific management schemes for the areas undergoing reclamation.
8. ACKNOWLEDGEMENTS
First and foremost I wish to thank the Center for Development Research (ZEF) at the University of Bonn, the German Academic Exchange Service (DAAD/BMZ), the Fiat Panis Foundation, and the Environmental Division of Mineros S.A. for the financial support that made possible the successful completion of this study. Special thanks to:
Prof. Dr. Christian Borgemeister, for the patient guidance, encouragement and advice he has provided throughout my doctoral studies.
Dr. Manfred Denich, who helped me to come up with the thesis topic and guided me through these years of work by constantly providing new ideas and ways of shaping this study.
Dr. Juan Carlos Loaiza at the National University of Colombia, for helping me to find this extraordinary research area and create the logistics for the data collection and analysis of my thesis.
Dr. Santiago Cardona Gallo at the National University of Colombia, for helping me to find my research area and for his valued assistance during my fieldwork.
Dr. Guenther Manske, the coordinator of the Doctoral Program, who was very helpful and supportive during all of the stages of my doctoral studies.
Guido Luechters for sharing with me his vast knowledge of mathematics and statistics, and for providing interesting ideas for my sampling design and data analysis.
Carlos Alberto Cardona and Julio Arrieta from the Environmental Division of Mineros S.A. who helped me with all of the logistics for my fieldwork, as well as with valuable information on the restoration process and management of the farms.
I would like to specially thank all the farmers who live in the area undergoing restoration for sharing generously their expertise, knowledge and wonderful stories for the writing of this thesis.
Ms. Maike Retat-Amin and Ms. Sabine Aengenendt-Baer at ZEF, who were extraordinarily helpful with all the administrative tasks of my thesis, as well as for making our everyday life so easy for me and my colleagues.
Special thanks to my evaluation committee for their valuable advice and suggestions that will allow me to create a better version of this thesis.
Carmen Soledad Morales and her team at the Laboratory of Soil Chemistry and Fertility at the University of Caldas who enthusiastically helped me with the soil analysis for my thesis.
Felipe Acevedo at Drone Studios SAS who dedicatedly helped me with the drone imagery for my thesis as well as with numerous questions I had during their analysis.
Special thanks to my fieldwork team “Los parceleros” who unconditionally and extraordinarily helped me during the samples and data collection, their cherished help and joy inspired me deeply during fieldwork.
Thanks to my good friends at ZEF who filled my days with smiles and joy, and supported me during the toughest days of my doctoral studies.
I would like to finish with the most important part of my life: my family. Their love and prayers have been always endless and unconditional. |
U. S. DEPARTMENT OF AGRICULTURE,
BUREAU OF PLANT INDUSTRY—BULLETIN NO. 205.
B. T. GALLOWAY, Chief of Bureau.
SEEDS AND PLANTS IMPORTED
DURING THE PERIOD FROM OCTOBER 1
TO DECEMBER 31, 1909:
INVENTORY No. 21; Nos. 26048 to 26470.
ISSUED MARCH 17, 1911.
WASHINGTON:
GOVERNMENT PRINTING OFFICE.
1911.
U. S. DEPARTMENT OF AGRICULTURE.
BUREAU OF PLANT INDUSTRY—BULLETIN NO. 205.
B. T. GALLOWAY, Chief of Bureau.
SEEDS AND PLANTS IMPORTED
DURING THE PERIOD FROM OCTOBER 1 TO DECEMBER 31, 1909:
INVENTORY No. 21; Nos. 26048 to 26470.
Issued March 17, 1911.
WASHINGTON:
GOVERNMENT PRINTING OFFICE.
1911.
BUREAU OF PLANT INDUSTRY.
Chief of Bureau, Beverly T. Galloway.
Assistant Chief of Bureau, William A. Taylor.
Editor, J. E. Rockwell.
Chief Clerk, James E. Jones.
FOREIGN SEED AND PLANT INTRODUCTION.
SCIENTIFIC STAFF.
David Fairchild, Agricultural Explorer in Charge.
P. H. Dorsett and Peter Bisset, Expert Plant Introducers.
George W. Oliver, Expert Propagator.
Frank N. Meyer, Agricultural Explorer.
H. C. Skeels and R. A. Young, Scientific Assistants.
Stephen C. Stuntz, Botanical Assistant.
Henry F. Schultz, Agent, in Charge of Subtropical Introductions.
E. C. Green, Pomologist, in Charge of South Texas Plant Introduction Garden, Brownsville, Tex.
Robert L. Beagles, Agent, Acting in Charge of Plant Introduction Garden, Chico, Cal.
Edward Simmonds, Gardener, in Charge of Subtropical Plant Introduction Garden, Miami, Fla.
John M. Rankin, Expert, in Charge of Yarrow Plant Introduction Garden, Rockville, Md.
Edward Goucher, John H. Allison, W. H. F. Gomme, and Roy F. Mann, Experts.
LETTER OF TRANSMITTAL.
U. S. DEPARTMENT OF AGRICULTURE,
BUREAU OF PLANT INDUSTRY,
OFFICE OF THE CHIEF,
Washington, D. C., October 31, 1910.
SIR: I have the honor to transmit herewith and to recommend for publication as Bulletin No. 205 of the series of this Bureau the accompanying manuscript, entitled "Seeds and Plants Imported During the Period from October 1 to December 31, 1909: Inventory No. 21; Nos. 26048 to 26470."
This manuscript has been submitted by the Agricultural Explorer in Charge of Foreign Seed and Plant Introduction with a view to publication.
Respectfully,
G. H. POWELL,
Acting Chief of Bureau.
Hon. James Wilson,
Secretary of Agriculture.
CONTENTS.
Introductory statement .................................................. 7
Inventory ........................................................................... 11
Publication of a new name ................................................ 49
Index of common and scientific names ............................... 51
SEEDS AND PLANTS IMPORTED DURING THE PERIOD FROM OCTOBER 1 TO DECEMBER 31, 1909: INVENTORY NO. 21; NOS. 26048 TO 26470.
INTRODUCTORY STATEMENT.
Although our agricultural explorer Mr. Frank N. Meyer has been in the field during the period covered by this inventory, the material received from him which is herein recorded is but a small part of the work performed by him. He has been investigating the prevalence of the crown-gall disease of the apple in France for the purpose of ascertaining whether the French have resistant stocks; making studies in the English, French, German, and Russian arboreta for the purpose of familiarizing himself with the important plants and plant cultures of Chinese Turkestan, which region it is expected he will explore this summer; and he has been unexpectedly delayed for six weeks in St. Petersburg. This office is negotiating by correspondence for the valuable material he has reported in the different arboreta.
To the fruit growers the question of better stock plants is of great importance and is being emphasized more strongly now than ever before. To such as are working on the problem, the introduction from Palestine, through Mr. Aaron Aaronsohn, of a large red-fruited variety of haw, *Crataegus azarolus* (Nos. 26116 and 26354), will be interesting. It has been used successfully both in Tunis and Palestine and is considered by Mr. Aaronsohn to be an ideal stock for dwarf early pears in our arid irrigated regions of the Southwest, where the question of growing early pears is attracting attention. A species of *Photinia* (No. 26133) from western China is sent in by Mr. Meyer, who suggests its use as a possible stock for the loquat.
The possibility of using the Chinese brambles for the production of new types of raspberries has been pointed out as promising. For those interested in this field, nine species of *Rubus* from the Yangtze Valley (Nos. 26270 to 26278), collected by Mr. E. H. Wilson, of the Arnold Arboretum, are likely to prove of very considerable interest.
The problem of growing in this country the large-fruited English gooseberry has proved difficult to solve because of the gooseberry mildew to which all English gooseberry varieties seem subject. Those interested in this fruit will be glad to test Dr. W. Van Fleet's three new hybrids between *Ribes missouriense*, *R. cynosbati*, and *R. rotundifolium* crossed by *R. reclinatum*. These represent twelve years of careful work in selection from hundreds of seedlings from various crosses, and preliminary tests have shown them remarkably resistant to the gooseberry mildew. (Nos. 26138 to 26140.)
*Feijoa sellowiana* (Nos. 26120 and 26121) is a new fruit from Uruguay which is attracting some attention in California and Florida, since it is said to withstand more cold than the guava and to have a unique flavor of its own which is especially relished by many. An acid-fruited species of *Psidium laurifolium* (No. 26413), from Trinidad, will interest those who believe in the future of the guava and its jelly-making qualities, since it is said to jelly much quicker than the common West Indian varieties and, quite distinct from them, to have an agreeable acidity.
To the Florida and California fruit growers who are watching the possibilities of the anonas, the introduction of eight large-fruited, smooth-skinned varieties from Chile will be of interest. (Nos. 26148 to 26155.)
The loganberry is already well known in the United States and those who realize its value will doubtless wish to test the lowberry (No. 26197) and Low's Phenomenal raspberry-loganberry hybrid (No. 26198), which are said to be new rivals of the loganberry.
Those who are experimenting with forage plants will be interested in a new importation of shaftal, *Trifolium suaveolens*, from Tashkend (No. 26135), a clover which is being given a thorough trial in the irrigated regions of the Southwest. Although normally an annual, this species behaves as a perennial if regularly cut for hay. The Wallaby grass, *Danthonia semiannularis*, from New Zealand (No. 26119), is recommended especially for heavy clay soils or gumbo lands subject to drought; and ray-grass, *Lolium strictum* (No. 26200), coming from the dry regions along the Mediterranean, is recommended by the veteran experimenter, Doctor Trabut, of Mustapha, Algiers, as being an excellent forage grass, an annual worthy of cultivation in the Southwest; while the New Zealand rice-grass, *Microlaena stipoides* (No. 26118), may find a use in America for pasture or lawn purposes.
Potato breeders have already shown an interest in the introduction of a few tubers of a species of *Solanum* thought to be a wild hybrid of *Solanum tuberosum* (No. 26122), which has been used by Mr. Paton, of Scotland, to originate what he believes are varieties practically immune to the potato blight, *Phytophthora infestans*. Interesting
varieties have also been introduced from Bogota, Colombia (Nos. 26126 to 26129).
The Arracacia of South America forms a staple food of the Venezuelans, who know it under the name of apio. It is cultivated in high altitudes and requires a long season in which to mature. It deserves a thorough trial in the South to determine where it will succeed. (No. 26204.)
The destructive fungous disease of the chestnut, which threatens to destroy the native chestnut trees of the Atlantic coast region, makes the production of a chestnut-chinquapin hybrid of unusual interest, since its resistance to this bark disease may furnish a way out of a situation which seriously threatens the chestnut industry. Doctor Van Fleet's hybrids (Nos. 26230 to 26235) have so far shown a high degree of immunity to the disease.
The interest in the Japanese flowering cherry trees, which have been found to succeed well in the United States, makes it worth while to call attention to seven Chinese flowering cherry trees from the Yangtze Valley, collected by Mr. E. H. Wilson, of the Arnold Arboretum. (Nos. 26246 to 26252.)
For many years attempts have been made to introduce the cliff-grown tea and the teas from the Dragon Pool, of the Kienningfu and Wuishan districts of China, but without success. Through the kind assistance of Mr. Rockhill, ambassador to Russia, formerly American ambassador to China, and the hearty cooperation of the American consul and vice-consul at Foochow, fourteen varieties of these specially noted teas have been introduced and are being propagated.
As heretofore, the work of identification and nomenclature, as well as that on the geographical distribution, has been done by Mr. H. C. Skeels under the supervision of Mr. W. F. Wight, of the Office of Taxonomic and Range Investigations, and the manuscript has been prepared by Miss Mary A. Austin.
David Fairchild,
Agricultural Explorer in Charge.
Office of Foreign Seed and Plant Introduction,
Washington, D. C., March 7, 1910.
65739°—Bul. 205—11—2
26048 and 26049. Prunus spp.
From the Himalayas. Presented by Mr. E. Shearer, Assistant Inspector-General of Agriculture in India, Nagpur, Central Provinces, India. Received October 2, 1909.
Seeds of the following:
26048. Prunus armeniaca L. Apricot.
"Shari. A nursery of shari plants is prepared in January each year. The soil is first dug, properly cleaned, and manured; ditches are then made about 4 inches deep and the seeds are put in and covered with earth. These seeds germinate in the following March.
"These plants are then transplanted where desired in January next, i.e., after one year. They are planted in pits dug deep enough and are watered every second or third day until they take root in the ground. Shari plants when grafted with aru (peach) give a better variety of shari fruit." (Shearer.)
26049. Prunus sp. Plum.
"Aloocha. The season and process of sowing this seed are the same as that of shari (apricot) (S. P. I. No. 26048).
"Jamun (wild cherry) and aru (peach) when grafted on aloocha plants produce fine varieties of jamun and aru, respectively." (Shearer.)
26050. Aleurites trisperma Blanco. Banucalag.
From Philippine Islands. Presented by Mr. Elmer D. Merrill, Bureau of Science, Manila. Received October 2, 1909.
"As there are probably no live specimens of this species in America to-day, these seeds were procured to grow plants for trial in the tropical possessions of the United States. A portion of them will also be used for the expression of a sample of oil to be tested in the Bureau of Chemistry of the United States Department of Agriculture in Washington in comparison with oils derived from other species of Aleurites.
"This species, which yields a valuable drying oil, is found in the Philippines; so far as known, it is restricted to these islands and is comparatively rare but quite generally distributed. This plant is botanically known as Aleurites trisperma Blanco, but carries also the synonym Aleurites saponaria Blanco. It is known locally as 'banucalag,' 'lumbang banucalag,' 'lumbang banucalad,' 'baguilumban,' 'calumban,' or 'lumbang gubat,' besides having a variety of other names in the different provinces. It is much mixed and confused with the true lumbang (Aleurites moluccana), especially when information in regard to it is sought.
"Aleurites trisperma belongs to the same section of Aleurites as the Chinese and Japanese species; this may readily be seen by comparing the seeds and foliage of these three plants. The seeds resemble those of Aleurites fordii, while the leaves resemble those of Aleurites cordata. The seeds are somewhat larger, however, than those of the China wood-oil tree, besides being thicker shelled and of a distinct brick-red color." (W. Fischer.)
26051 to 26054. *Glycine hispida* (Moench) Maxim. **Soy bean.**
From Nanking, China. Presented by Dr. F. B. Whitmore. Received September 13, 1909. Numbered October 4, 1909.
Seeds of each of the following:
- 26051. Yellow.
- 26052. Yellowish green.
- 26053. Green.
- 26054. Black.
26055 to 26061. *Saccharum officinarum* L. **Sugar cane.**
Presented by Mr. Edward W. Knox, general manager of the Colonial Sugar Refining Company (Limited), Sydney, New South Wales, Australia. Received October 4, 1909.
Seeds of each of the following; notes by Mr. Knox:
- 26055. *Striped Singapore.* “Standard variety, medium thickness, medium quality. Very similar to Rose Bamboo, but striped amber and red.”
- 26056. *Rose Bamboo.* “Standard variety, medium tonnage and sweetness, medium thickness, straw-rose color.”
“These are at present most grown in the drier districts of Fiji, being of very fair weight and sweetness. According to Mr. J. Clark (one of our officers who recently paid a visit to Demerara and Barbados) Striped Singapore is the striped variant of the cane called White Transparent in the West Indies; Rose Bamboo is an allied cane which is very nearly identical with White Transparent, the latter being called Yellow Singapore in Fiji. The obvious difference between Rose Bamboo and Yellow Singapore is that the latter is somewhat thicker in the stalk and arrows very freely, while the former rarely flowers.”
- 26057. *Badila.* “Best variety in Fiji and Queensland. Very heavy and very sweet, thick, purple.”
- 26058. *Mohona.* “Early maturing, successful variety in New South Wales, but dies off early in the season in tropical Queensland and Fiji; rather thin, purple; white bloom.”
“These have been obtained from New Guinea. Badila is a dark-purple cane of stout build, giving heavy and sweet crops under favorable conditions, but being a slow grower at the start. Mohona is of a lighter purple color, of medium size and yield, attaining high sweetness when comparatively young, readily going back in quality in the Tropics, but much more enduring in semi-tropical districts. It supplies very fertile seeds.”
- 26059. *HQ. 10.* “Fairly sweet variety, fair tonnage, seedling raised from Mohona by Mr. J. Clark at Hambledon, Queensland. Thin, olive-green.”
- 26060. *HQ. 50.* “Seedling raised from Mohona; rather thin, purple; white bloom; good cropper; good quality; raised at Hambledon, Queensland.”
“These are both sweet and have given fair crops so far when tried on small areas only.”
- 26061. *Couvé 87.* “This is a thick, purple Mauritius seedling, giving a heavy crop, which is somewhat discounted by shortcomings as regards quality. Seed from this variety is more fertile than that from any other known by us.”
26062 to 26065. *Musa textilis* Née. **Manila hemp.**
From Davao, Mindanao, Philippine Islands. Presented by Mr. M. M. Saleeby, in charge of fiber plants, Bureau of Agriculture, Manila, through Mr. Lyster H. Dewey. Received October 4, 1909.
Seeds of each of the following:
26062. *Tanguyon* (also spelled *Tangouan* and *Tongongon*).
26063. *Libuton*.
26064. *Puteean*.
26065. *Arupan*.
"Mr. Saleeby, who is making a careful study of abacá (Manila hemp), writes that although abacá seedlings are often found in the fields in well-shaded moist places, he has never found good plants growing directly from the seeds. He suggests trying to grow plants from root cuttings or suckers from the seedlings that we may secure. He also states that he finds seedlings only in soil well drained yet constantly moist and constantly shaded. I would suggest that these seeds be grown with a view to sending the young plants to Porto Rico." (Dewey.)
26067. **Beta vulgaris** L.
*Beet.*
From Sicily. Presented by Dr. Carl Sprenger, Hortus Botanicus Vomerensis, Vomero, Naples, Italy. Received October 5, 1909.
Seed collected in a wild state.
26068. **Apium graveolens** L.
*Celery.*
From France. Presented by Mrs. E. M. Sheridan, 2300 G street NW., Washington, D. C., who procured the seed from Vilmorin-Andrieux & Co., Paris, France. Received October 5, 1909.
*Improved Paris* celeri-rave (Falaise). "The taste of this is similar to the meat of the large artichoke and only requires boiling and a dressing of drawn butter gravy after it is cut in slices or small chunks." (Sheridan.)
"Sow in February or March in a bed under glass; set out in well-manured ground at a distance of 30 to 40 centimeters (12 to 16 inches). Harvest in August and September. Plant in nursery beds in April or May; set out in May or June. Gather in October or November and keep during the winter.
"A variety obtained by Mr. Falaise and distinguished from the common celeri-rave by a much greater development of the root. Foliage tolerably high with slender petioles, dark green, strongly tinted with red; the leaves themselves are large, tolerably serrate, of a dark and shining green, especially on the upper part of the stalk. It is the race most liked by the Parisian market gardeners; it is an improvement on Large Smooth Paris celeri-rave, which it has replaced and which was itself a good selection from Common celeri-rave." (Vilmorin-Andrieux & Co.)
26069. **Aralia cordata** Thunb.
*Udo.*
From New York, N. Y. Purchased from J. M. Thorburn & Co. Received October 7, 1909.
*Kan.* See Bureau of Plant Industry Bulletin 42 for description; also S. P. I. No. 9166.
26070 to 26077. **Medicago** spp.
From Chico, Cal. Grown at the Plant Introduction Garden by Mr. Roland McKee. Received September 22, 1909.
Seeds of the following; descriptive notes by Mr. McKee:
26070. **Medicago hispida confinis** (Koch) Burnat.
"This is a selection from S. P. I. No. 16771 made at Chico, Cal., in 1906. It is a prickleless form of bur clover and well adapted for pasturage, especially for sheep. It should be tested throughout the southern and southwestern United States. It has been grown for the increase of seed."
Distribution.—The British Islands, France, Spain and Portugal, Italy, and the Balkan Peninsula.
26071. *Medicago hispida nigra* (L.) Burnat.
"Seed in the bur was received at the Plant Introduction Garden, Chico, Cal., in December, 1905, from the University of California. It perhaps will succeed wherever *M. hispida denticulata* or *M. arabica* does well. In California it is perhaps a little more aggressive than *M. hispida*. Of value for pasturage and soil improvement."
Distribution.—The European countries bordering on the Mediterranean Sea, including Spain, southern France, and Italy; also in the Balkan Peninsula, Asia Minor, Syria, Palestine, and northern Africa.
26072. *Medicago hispida nigra* (L.) Burnat.
Same as No. 26071.
26073. *Medicago hispida* Gaertn.
"Seed in the bur was received at the Plant Introduction Garden, Chico, Cal., in December, 1905, from the University of California. Of value for pasturage and soil improvement wherever common bur clover is adapted."
Distribution.—The Mediterranean region.
26074. *Medicago hispida* Gaertn.
Same as No. 26073.
26075. *Medicago hispida terebellum* (Willd.) Urban.
"Seed in the bur received at the Plant Introduction Garden, Chico, Cal., in December, 1905, from the University of California. This is practically a prickleless form of bur clover and needs to be tested extensively in the West and South for pasturage and soil improvement."
Distribution.—The countries along the Mediterranean, from Spain to Palestine and Egypt.
26076. *Medicago muricata* (L.) All.
"This is a selection made from seed which was received at the Plant Introduction Garden, Chico, Cal., in December, 1905, from the University of California. It is a form of bur clover having a large but very hard bur. Should be tested in sections adapted to bur clovers."
Distribution.—The province of Riviera, southern France, and in Dalmatia, Croatia, and Herzegovina, southern Austria.
26077. *Medicago scutellata* (L.) Miller.
"Seed in the bur was received at the Plant Introduction Garden, Chico, Cal., in December, 1905, from the University of California. This is a form of bur clover having a very large papery pod, making it especially desirable for pasturage. It should be tested in particular in the warmer sections of the South."
Distribution.—The Mediterranean region.
26078. *Capriola incompleta* (Nees) Skeels.
*Cynodon incompletus* Nees, *Linnaea* 7: 301. 1832.
The genus Capriola was established by Adanson in 1763, while Cynodon was not published until 1805, forty-two years later. Dactilon was proposed for the same genus by Villars in 1787 and Fibichia by Koeler in 1802.
From Pretoria, Transvaal, South Africa. Presented by Prof. J. Burtt Davy, government agrostologist and botanist, Transvaal Department of Agriculture. Received October 14, 1909.
"This is closely related to common Bermuda grass." (C. V. Piper.) (Roots.)
26078—Continued.
Distribution.—This species occurs in South Africa and was originally described from "Gaaup," in the district of Beaufort, Cape Colony. It has since been found in various localities from the vicinity of Lydenburg, Transvaal Colony, southward, and westward to the banks of Orange River in Little Namaqualand. In the central region of Cape Colony it is found at elevations of 3,000 feet.
26109. Zizyphus sativa Gaertn. Chinese date.
From Chekiang Province, China. Presented by Mr. J. H. Judson, Hangchow, China. Received April 21, 1908. Numbered October 6, 1909.
"I can not say whether these plants are of a named variety or not. The Chinese have three kinds on the market, which they call red, black, and honey dates." (Judson.)
26110 and 26111.
From Beirut, Syria. Presented by Mr. A. E. Day, professor of natural science, The Syrian Protestant College. Received October 8, 1909.
Seeds of each of the following:
26110. Cucurbita pepo L.
"Kusa." See No. 22810 for description.
26111. Cucumis sativus L. Cucumber.
"We eat freely of this cucumber, and it is a common sight to see a Syrian child one or two years old chewing away at one; it does not seem to hurt them." (Day.)
26112. Diospyros discolor Willd. Mabola fruit.
From Philippine Islands. Presented by Mr. William S. Lyon, Gardens of Nagtajan, Manila. Received October 11, 1909.
"A small tree, native of the Philippine Islands, introduced into India and cultivated in gardens, especially in Vizagapatam. The fruit is like a large quince and in some places is called mangosteen; its proper name should be the Mabola fruit. It is agreeable and has a pink-colored fleshy rind." (Extract from Watt, Dictionary of Economic Products of India, vol. 3, p. 138.)
See No. 19216 for previous introduction and description.
26115. Mucuna gigantea (Willd.) DC.
From Buntal, at the mouth of Sarawak River, Sarawak, Borneo. Presented by Mr. J. C. Moulton, curator, Sarawak museum. Received October 12, 1909.
Black. See No. 25514 for distribution.
26116. Crataegus azarolus L.
From Zichron-Jacob, near Haifa, Palestine. Presented by Miss Rifka Aaronsohn, through Mr. A. Aaronsohn. Received October 4, 1909.
"Arabian name za'arur. This species is very abundant throughout the Orient, where a great many varieties and forms of it are found. It grows wild on the slopes of dry, arid hills, preferably amongst calcareous rocks. It is a shrub with spiny branches from 1.5 to 4 or 5 meters in height, with a diameter of 10 to 30 centimeters. It is rather a slow grower.
"In the spring it bears dense corymbs of white flowers which are pleasantly fragrant. The size of the fruits varies in different varieties. Some have fruits as large
26116—Continued.
as 1 inch in diameter. The acid flesh has a delicate flavor, but there is not enough of it to give the fruits a commercial value. Fruits are occasionally found, however, that are practically without seeds and it might be possible to fix this character by selection. As it is the fruit is often sold in the oriental markets.
"I particularly recommend this Crataegus as a stock for pears. It is good for dry localities at any altitude. It is found as low as 200 meters below the level of the Mediterranean in the valley of the Jordan and as high as 1,800 meters above sea level in the desert near Petra. It ought, therefore, to thrive in southern California as well as on the plateaus of Colorado.
"My personal experience has shown that a top graft 6 inches or a foot above the ground is the best for this stock. It is best suited for the early varieties of pears.
"I recommend this as a stock, therefore, in high, arid situations where water is scarce or costly. It is an ideal stock for dwarf early pears. At Indio, Cal., for instance, it ought to yield prime fruit with very little irrigation.
"Palestine (where my father has had trees grafted in this way for 18 years) is not the only region in which *Crataegus azarolus* has been used as a stock for the pear. Mr. Dumont has used it for the same purpose near Tunis.
"I speak of pears because I have had personal experience with this fruit. But I can see no reason why it would not do as well as a stock for dwarf early apples."
(A. Aaronsohn.)
Distribution.—A native of southern Europe, western Asia, and northern Africa, being found in Spain, Italy, Crete, Caucasia, Asia Minor, Syria, Palestine, Arabia; Persia, and Algeria.
26117. *Medicago sativa* L. **Alfalfa.**
From Indian Head, Saskatchewan, Canada. Presented by Mr. Angus Mackay, superintendent, Dominion Experimental Farm for Saskatchewan, through Mr. Charles J. Brand. Received October 18, 1909.
Grimm.—"Grown at Indian Head from S. P. I. No. 12991; seeded in comparison with eight other strains in the spring of 1905. No. 12991 was produced in Minnesota in 1904 and was secured from Mr. A. B. Lyman, Excelsior, Minn. In the Indian Head experiments it has proven from the first (1905 to 1909) to be the best of the nine strains under test." (Brand.)
26118 and 26119.
From Wellington, New Zealand. Presented by Mr. T. W. Kirk, Biologist, Department of Agriculture. Received October 18, 1909.
Seeds of the following:
26118. *Microlaena stipoides* (Labill.) R. Br. **New Zealand rice-grass.**
A native grass, much relished by all kinds of stock; the herbage is of a rich green color, and is produced in great abundance.
Distribution.—A native of New Zealand and Australia, where it is widely distributed and used for a lawn and pasture grass.
26119. *Danthonia semiannularis* (Labill.) R. Br. **Wallaby grass.**
A grass which does well on any of the poorer classes of gumbo land, also on heavy clay soils. It stands drought with impunity, and throws up a good quantity of feed, which is eaten by all classes of stock.
See No. 21024 for previous introduction.
Distribution.—New Zealand, Tasmania, and the temperate parts of Australia.
26120 and 26121. *Feijoa sellowiana* Berg.
From Los Angeles, Cal. Presented by Mr. H. Hehre. Received October 11, 1909.
Seeds of the following:
26120. "These fruits were raised from a plant imported by me from Europe a number of years ago and which has been bearing regular crops for five or six years." (Hehre.)
26121. "These fruits are from a plant originated by me from seed imported from Europe; it has not been named. Ripens later than the preceding variety." (Hehre.)
"Feijoa sellowiana is worthy to be mentioned under promising new fruits and deserves the widest distribution. The plant stands more cold than the guava, is beautiful in bloom, and is evergreen. The fruit is green and when ripe has a tinge of yellow. As it blooms for a period of about two months, so does the fruit ripen successively for two months; therefore there are all sizes of fruit on the plant at the same time, which grow at the leaf axil on new wood." (Hehre.)
Distribution.—Found in the province of Rio Grande do Sul, in the southeastern part of Brazil, and in the vicinity of Montevideo, Uruguay; cultivated in southern Europe.
26122. *Solanum* sp. Potato.
From Castle Kennedy, Scotland. Presented by Rev. J. Aikman Paton, Soulseat. Received October 19, 1909.
"‘Tubers of *Solanum etuberosum* (so called; I think it is a wild hybrid of *S. tuberosum*, simply), which I used as the parent of my ‘Immune’ strain. A certain proportion of the ‘selfed’ seedlings of it and its hybrids are immune to *Phytophthora infestans* even here.’" (Paton.)
26123. *Citrus bergamia* Risso. Bergamot orange.
From Nice, France. Presented by Dr. A. Robertson Proschowsky. Received October 20, 1909.
Variety *mellarosa plena*. (Cuttings.)
26124. *Trifolium subrotundum* Steud. & Hochst.
From 70 miles east of Lake Victoria Nyanza, British East Africa, at about 7,500 feet altitude. Presented by Mr. E. Blackbun, Salem, Ohio. Received October 19, 1909.
Distribution.—A native of Abyssinia, where it is cultivated as forage, under the name of Mayad; also native of Upper and Lower Guinea.
26125. *Mangifera indica* L. Mango.
From Port of Spain, Trinidad, B. W. I. Presented by Mr. F. Evans, Department of Agriculture. Received October 19, 1909.
Julie. "This plant is grafted upon the common mango, *Mangifera indica*." (Evans.) See No. 21515 for description.
26126 to 26129. *Solanum* spp. Potato.
From Bogota, Colombia. Presented by Mr. Eugene Betts, American vice and deputy consul-general. Received October 18, 1909.
Tubers of the following; quoted notes received with the shipment:
26126. "Pápas Tocanas. Produced on high, broken ground, mountain sides, high and very cold."
65739°—Bul. 205—11—3
26127. "Pápas Arrayanas, criallas coloradas. Produced on the mountain tops and on high table lands."
26128. "Pápas Paramunas. Produced on the mountain slopes above the Savannah of Bogota."
26129. "Pápas Amapalá. Produced on the Savannah of Bogota."
26130. **Medicago sativa** L. **Alfalfa.**
From Talas, Caesarea, Turkey. Presented by Dr. Wm. S. Dodd, through Mr. Charles J. Brand. Received October 19, 1909.
"In his letter transmitting this seed Doctor Dodd states: 'I am not sure whether the lucern for which you ask is the plant that we cultivate here for horse feed or not, but I send some of that. Yonja is the Turkish name.' Only a small package of this seed was received, and it should be reserved for experiments in the Southwest." (Brand.)
26132 and 26133.
From Mr. Frank N. Meyer, Agricultural Explorer. Received October 13, 1909.
Seeds of the following:
26132. **Prunus** sp.
From China. Obtained at the M. L. de Vilmorin Arboretum, Les Barres, Nogent sur Vernisson, France.
26133. **Photinia villosa** (Thunb.) DC.
From Western China. Obtained at the M. L. de Vilmorin Arboretum, Les Barres, Nogent sur Vernisson, France. "This plant has a rather dwarfy habit, is apparently evergreen in a climate not too cold, and may serve as a stock for loquats, besides being also ornamental. The plant will probably not be hardy in Washington, D. C." (Meyer.)
Distribution.—A native of the southeastern provinces of the Chinese Empire and of Formosa, and widely distributed in Japan.
26134. **Allium cepa** L. **Onion.**
From Denia, Spain. Procured from Señor Don Luis Tono, American consular agent, through Mr. Robert Frazer, jr., American consul, Valencia, Spain. Received October 20, 1909.
"Seed of the onion that is commercially grown on an extensive scale in Denia. These onions come upon the American market in a peculiar type of package and are the large yellow or straw-colored onions which are sold under the name of Spanish onions. The closest American representative of this type is the Prizetaker, which I understand is an American sport from this variety. It is probably the largest of the onions which are grown extensively for market, has the thinnest skin, is the mildest in flavor, and altogether is the best onion produced in the world. From imported seed we have succeeded in producing some very fine specimens in parts of Texas, and we hope that from this small beginning a very considerable industry will be built up. The probabilities are that we shall always need to import the seed direct from Spain in order to maintain the high quality in the American-grown product." (L. C. Corbett.)
26135. **Trifolium suaveolens** Willd. **Shaftal, or schabdar.**
From Tashkend, Turkestan. Purchased from Dr. Richard Schröder, director Chief Agricultural Experiment Station, at the suggestion of Prof. N. E. Hansen, Agricultural Experiment Station, Brookings, S. Dak. Received October 23, 1909.
26135—Continued.
The following notes were taken from a letter written by Doctor Schröder to Professor Hansen; clause in brackets is by Professor Hansen:
“In Persia the schabdar seed is usually sown in the fall, not too late. It endures the winter quite well. By sowing in the fall it develops in the spring so quickly that the first cutting is ready before the first cutting of alfalfa. According to information obtained in Persia the schabdar endures several years. This lot is of a new variety which endures from five to seven years. The fact that this plant is perennial comes in conflict with botanical statements [that it is an annual].
“In Persia the fresh shoots of the schabdar are also used for salad. The flowers are visited by bees.”
26136. Gossypium barbadense L. Cotton.
From Nyassaland Protectorate, British Central Africa. Presented by Mr. J. Stewart J. McCall, director of agriculture, Zomba. Received October 23, 1909.
“Egyptian (Abbasi). Our Egyptian is not nearly so good as our Upland cotton (S. P. I. No. 25964).” (McCall.)
26137. Fragaria sp. Strawberry.
From Germany. Presented by Rev. J. M. W. Farnham, Chinese Tract Society, Shanghai, China. Received September 13, 1909
White fruited. (Seed.)
26138 to 26140. Ribes hybrids. Gooseberry.
From Little Silver, N. J. Presented by Dr. W. Van Fleet. Received October 22, 1909.
Plants of the following; quoted notes by Doctor Van Fleet:
26138. Ribes missouriense × reclinatum.
“Third generation. (R. gracile (R. missouriense) × Red Warrington × Triumph × Keepsake.) Six-year-old plant, very vigorous, 6 feet high, disease-resistant foliage, productive, berries dark reddish-purple when ripe, smooth, thin skinned, larger than Houghton, excellent quality, seeds small.”
26139. Ribes cynosbati × reclinatum.
“Second generation. (R. cynosbati × Triumph × Whitesmith.) Fair grower; rather spreading; good, disease-resistant foliage; berries large, dark red when ripe, few soft spines, very firm, agreeable flavor, small seeds; excellent for jelly.”
26140. Ribes rotundifolium × reclinatum.
“Third generation. (R. rotundifolium × Houghton × Triumph × Keepsake.) Healthy, upright grower; disease-resistant foliage; berries rather small, smooth, bright red when ripe, brisk, pleasant quality, exceedingly productive.”
“These hybrids are final selections from hundreds of seedlings, representing 12 years of arduous work.”
Note.—“Houghton is supposed to be R. oxyanthoides × grossularia (reclinatum).”
26141 and 26142.
From Pretoria, Transvaal, South Africa. Presented by Mr. F. T. Nicholson, secretary, Transvaal Agricultural Union. Received October 25, 1909.
26141. Vicia faba L. Horse bean.
Light brown seeded. (Seed.)
26142. Gladiolus sp. (Bulbs.)
26143 and 26144.
From the Himalayas, India. Presented by J. Mollison, esq., Inspector-General of Agriculture in India. Received October 26, 1909.
Seeds of the following:
26143. Malus sylvestris Mill. Crab apple.
"Pala (Palu) is generally propagated by cuttings. When grown from seeds, the method of raising the plants is as follows: In the month of January, the plat to be sown is dug about one-half foot deep and is manured. Then the seeds are sown and germinate in the following summer.
"In January next (i.e., a year after), the plants are transplanted, where desired, in pits dug for that purpose. Pala is only grafted on seb (apple). It is also grafted with nashpati (pears), but the pears produced are sour." (Mollison.)
26144. Prunus padus L. Jamu.
"The process of cultivating jamu is the same as that of pala (S. P. I. No. 26143).
"This plant is grafted with aloocha (plum) (S. P. I. No. 26049) and yields aloocha fruit. If it is grafted on aloocha plant, jamu fruits will be produced." (Mollison.)
26145 and 26146. Andropogon sorghum (L.) Brot. Durra.
From Igatpuri, India. Presented by Mrs. Effie Pyle Fisher, through Miss Audrey Goss. Received August 31, 1909.
Seeds of the following; notes by Mr. Carleton R. Ball:
26145. "Apparently very similar to No. 9856, Dagdi durra, which we are selecting for grain production, and which now gives considerable promise of value for the Southwest."
26146. "A white durra with black hulls, probably a late sort."
26147. Citrus aurantium sinensis L. Orange.
From Mount Gravatt, Brisbane, Australia. Presented by Mr. John Williams. Received October 28, 1909.
"Usher's Favorite. It ripens in October here, and is a splendid keeper; quality, flavor, and all things considered, I believe it to be really first class." (Williams.) (Plants.)
26148 to 26155. Anona cherimola Mill. Cherimoyer.
From Santa Inez, Chile. Presented by Mr. Salvador Izquierdo. Received October 26, 1909.
"Nos. 26148, 26152, 26153, 26154, and 26155 are different cherimolas with very large fruits, of the form 'ananas.' No. 26149 is a very large cherimolia with smooth skin. Nos. 26150 and 26151 are large-fruited cherimolias, smooth skin, form 'concha.'" (Izquierdo.) (Cuttings.)
26156 to 26160.
From Foochow, China. Presented by Mr. Samuel L. Gracey, American consul. Received October 25, 1909.
Seeds of the following:
26156 to 26158. Citrullus vulgaris Schrad. Watermelon.
26156. "White or Shanghai melon, very popular in this district." (Gracey.)
26156 to 26158—Continued.
26157. Yellow. 26158. Red.
26159 and 26160. Glycine hispida (Moench) Maxim. Soy bean.
26159. Yellow seeded. 26160. Green seeded.
26161. Medicago sativa L. Alfalfa.
From different oases in the region of Ourlana and Tougourt, Algeria. Purchased from M. Colombo, père, Biskra, Algeria, at the request of Mr. Walter T. Swingle. Received October 29, 1909.
26162 to 26178.
Presented to Mr. P. J. Wester, Subtropical Garden, Miami, Fla., and turned over by him to this office for distribution, October, 1909.
Seeds (unless otherwise noted) were received of the following; notes by Mr. Wester:
26162 to 26174. Presented by Mr. J. M. Doctor, acting superintendent, Victoria Gardens, Bombay, India.
26162. Acacia arabica (Lam.) Willd.
"The gum arabic. An evergreen shade tree with dense and spreading crown, attaining a height of 60 feet; valuable for its gum, bark, and timber; the pods are a favorite food for sheep and goats. The tree thrives on a great variety of soils and is resistant to droughts."
Distribution.—Widely distributed, being found in India, Ceylon, Egypt, Arabia, tropical Africa, and Natal.
26163. Acacia sp.
26164. Barringtonia asiatica (L.) Kurz.
"An ornamental, lecythidaceous, evergreen shrub, attaining a height of 6 to 8 feet; cultivated as an ornamental on account of its shining foliage and large, handsome purple and white flowers produced on an erect thyrsse."
Distribution.—Found along the shores of southern India, and of Australia, and on the islands between.
26165. Bauhinia acuminata L.
"A leguminous ornamental shrub, 6 to 8 feet tall, native of Malabar, bearing white flowers."
Distribution.—India, especially in the northwestern part, and extending to Ceylon, China, and the Malayan Islands.
26166. Thespesia lampas (Cav.) Dalz. and Gibbs.
Distribution.—The tropical Himalayas of India, from Kumaon eastward, and in Bengal, Burma, and Ceylon; also found in Java and in eastern tropical Africa.
26167. Butea monosperma (Lam.) Taub.
"Leguminous, native of India. An ornamental shade tree with dense foliage, attaining a height of 40 to 50 feet. The flowers are very showy, crimson, 2 inches long."
Distribution.—Found throughout the plains of India, from the Himalayas to Ceylon and Burma.
26162 to 26174—Continued.
26168. Cassia auriculata L.
"A shrub or small tree, native of India, the bark of which yields tannin. In young plants the bark has been found to contain 11.92 tannin and 22.35 extract; in old plants the corresponding figures are 20.12 and 29. In India the leaves are used as a substitute for tea and eaten as a vegetable in times of famine. This is also cultivated for its ornamental value. The yellow flowers appear in June and July."
Distribution.—Wild in the western and central part of India and in Ceylon; often cultivated in the Tropics.
26169. Cassia glauca Lam.
"A tall leguminous tree."
Distribution.—From the Himalayas, in India, through Ceylon and the Polynesian Islands to Australia.
26170. Cassia grandis L. f.
"A tree attaining a height of 45 to 55 feet furnishes a very handsome fine-grained wood. A dense shade tree, flowers very handsome, appearing in April."
Distribution.—The northern part of South America, from Panama, through Colombia and Guiana, to Brazil; also found in the West Indies.
26171. Caesalpinia coriaria (Jacq.) Willd.
See Nos. 23335 and 25281 for previous introductions.
26172. Pithecolobium dulce (Roxb.) Benth.
"A tree of very rapid growth, deserving wider distribution." See No. 23457 for description.
26173. Ficus benghalensis L. Banyan tree.
"In tropical India and Africa this tree attains a height of 70 to 100 feet. The aerial roots descending from the branches form accessory trunks, thus extending the growth of the tree from the main stem. The leaves are eaten by cattle. In India the fruits are eaten in time of famine. The wood, if carefully cut and seasoned, can be made into furniture and is sometimes employed in making boxes and door panels. The Hindus regard the tree as sacred. The one tree in southern Florida that has come to my attention does so exceedingly well that the species deserves wider distribution."
Distribution.—Found wild in the lower Himalayan forests and on the Deccan hills; cultivated throughout India on the plains.
26174. Ficus cannonii (Bull.) N. E. Brown.
"An ornamental-leaved greenhouse plant from the Society Islands. With the exception of the cultivated fig all species of Ficus introduced to southern Florida, as far as they have come to my attention, do so exceedingly well that I have thought it well worth while to introduce all species that are cultivated in other parts of the world in the hope of finding a suitable stock for the fig, which does not do well on its own roots here, largely on account of root-knot."
26175 to 26178. Presented by Mr. A. S. Archer, Antigua, British West Indies.
26175. Thryallis glauca (Cav.) Kuntz.
"An ornamental shrub bearing yellow flowers, Malpighiaceae."
Distribution.—Mexico and Central America, from Sierra Madre and Zacatecas, south to Nicaragua.
26176. Haematoxylum campechianum L. Logwood.
"Leguminous. The tree furnishes the logwood of commerce and the wood may be utilized in turning. The honey produced from the flowers of this species is said to be the finest in the world. The tree attains a height of 30 to 45 feet."
Distribution.—Central America, from Tehuantepec and Yucatan to Nicaragua and Colombia; also West Indies.
26177. Boussingaultia baselloides H. B. K.
"A rapid-growing half-hardy ornamental climber. The flowers on opening are white and fragrant, turning black before withering. Easily propagated from tubers growing on the stem."
Distribution.—Southern Mexico and South America, from Gonacatepec south to southern Brazil.
26178. Cedrela odorata L.
"Indigenous to the West Indies; attains a height of 80 feet. The wood is light, of pleasant odor, and easily worked, preferentially chosen in its native country for cigar boxes and a variety of other articles; also furniture."
26179 to 26182.
From Tripoli, in Barbary, North Africa. Presented by Mr. William Coffin, American consul. Received October 28 and November 1, 1909.
Seeds of the following; descriptive notes by Mr. Coffin:
26179. Hordeum vulgare L. Barley.
Dry land.
26180. Pennisetum americanum (L.) Schum. Pearl millet.
"Kassab. The Arabs think very highly of this grain as a food and use the grass as fodder for their stock."
26181. Medicago sativa L. Alfalfa.
"Safsafa or Susfa. Sometimes they get eight crops of this in the eight months of the year it grows. I have seen at least five, and I think six, crops harvested from fields just back of my house. They irrigate about every four days."
26182. Citrus aurantium sinensis L. Orange.
Blood flesh. (Plants.)
26183. Stizolobium sp.
From Sibpur, near Calcutta, India. Presented by Maj. A. T. Gage, director, Royal Botanic Garden. Received November 2, 1909.
Black seeded.
26184. Funtumia elastica (Preuss) Stapf.
Presented by Mr. Gilbert Christy, F. L. S., care of Thomas Christy & Co., 4, 10, and 12 Old Swan lane, Upper Thames street, E. C., London, England. Received December 2, 1909.
"Seeds of a very large forest tree. I suggest that you have them planted in one of the Cuban stations. It would be necessary to shade the growing seedlings in the summer, otherwise they would be likely to dry off." (Christy.)
26184—Continued.
Distribution.—Along the west coast of Africa from the Gold Coast in Ashanti through Lagos and lower Nigeria to the valley of Mungo River; usually in forests and along streams.
26185. Stizolobium sp.
From Tehwa, via Foochow, China. Presented by Miss Jessie A. Marriott. Received December 3, 1909.
"This species has pods about intermediate in character between the Lyon bean, No. 19979, and the Yokohama, No. 25254. To judge from its behavior in the greenhouse, it is about intermediate in time of maturity between these two species. The flowers are white as in the Lyon bean; very similar to the Japanese variety." (C. V. Piper.)
26186 and 26187.
From Nice, France. Presented by Dr. A. Robertson Proschowsky. Received November 2, 1909.
26186. Furcraea bedinghousi K. Koch.
"This plant is said (like most Furcraea, I suppose) to produce good fibers. This species is hardier than any other Furcraea I cultivate or know, and has once resisted from 5 to 7 degrees below zero Centigrade, without suffering the least. A few seeds were also produced on the 6-meter-high flower stalk." (Proschowsky.)
Distribution.—On the slopes of Acusca Mountain, south of the city of Mexico, at an elevation of about 12,000 feet. (Bulbs.)
26187. Maytenus boaria Molina.
See No. 3394 for description.
Distribution.—Dry lowlands along the coast of Chili and southward into Patagonia. (Seeds.)
26188. Kaempferia sp. "Sherungulu."
From Transvaal, South Africa. Presented by Prof. J. Burtt Davy, government agrostologist and botanist, Transvaal Department of Agriculture, Pretoria. Received November 5, 1909.
"This plant grows in tropical and subtropical Transvaal and the tubers or rhizomes are dried and sent up from the Low Country, for sale to natives working on the Witwatersrand, by whom they are supposed to have medicinal or other virtues.
"It has been suggested that owing to the remarkable fragrance of the tubers, they might possibly be of use in the perfume trade for scenting tooth powders, soaps, etc.
"The flowers are distinctly ornamental." (Davy.) (Tubers.)
26189. Chrysanthemum hybridum Hort. Shasta daisy.
From Rosedale, Santa Cruz, California. Presented by Mr. George J. Streator. Received November 4, 1909.
"Streator's strain of the so-called Shasta daisy. Seed from the finest semidouble, quilled, fimbriated, or fringed forms." (Streator.)
26193 to 26195.
From Mexico. Procured by Dr. David Griffiths, Agriculturist, of this Department. Received November 5, 1909.
Seeds of each of the following:
26193 and 26194. *Cicer arietinum* L. Chick-pea.
26193. Small seeded. 26194. Large seeded.
26195. *Physalis ixocarpa* Brot. Husk tomato.
"This big blue husk tomato is often 4 centimeters in diameter, as found upon the markets of Oaxaca and Mexico City especially."
Distribution.—Found wild in California, Colorado, New Mexico, Texas, Mexico, and Cuba; cultivated, and often escaped, as far north as Massachusetts, Michigan, Dakota, Oregon, and Washington.
26196. *Saccharum officinarum* L. Sugar cane.
From Honolulu, Hawaii. Presented by Mr. Harold L. Lyon, Experiment Station of the Hawaiian Sugar Planters' Association. Received November 2, 1909.
*Lahina.* "This cane has proved itself to be the best money maker that Hawaii ever saw. Under irrigation it is a splendid cane if the conditions are suited. Unfortunately it is a cane that is very subject to disease. In those parts of Hawaii where it can still be used, namely, those parts where the sky is nearly cloudless the year around and the rainfall very slight, it still does better than any other cane. If any attempt to introduce this cane to other places from Hawaii is made, great care should be exercised to select cuttings free from disease." (N. A. Cobb, letter of May 22, 1909.) (Cuttings.)
26197 and 26198. *Rubus* spp.
From Enfield, England. Purchased from Messrs. Stuart Low & Co., Royal Nurseries, Bush Hill Park, at the request of Mr. Walter T. Swingle. Received November 4, 1909.
Plants of the following:
26197.
"Lowberry. This is said to be as large as the loganberry and to be as strong a grower, and to be 'altogether the most valuable novelty in the fruit way produced for some years.'" (Swingle.)
26198.
"Low's Phenomenal. A raspberry-loganberry hybrid, 'possessing all the flavor of the raspberry, and combining the free fruiting qualities of this now famous berry.'" (Swingle.)
26199. (Undetermined.)
From Standerton, Transvaal. Presented by Mr. O. W. Barrett, director of agriculture, Lourenço Marquez, Portuguese East Africa. Received November 8, 1909.
"Seeds of a striking asclepiad. This vine is probably native to the locality. Foliage not seen. Stems, thickish, green. Fruits (follicles) about 4 inches long, opening to about 3 inches wide. Ornamental and ought to make a good trellis or porch vine for the Southern States and California." (Barrett.)
26200. *Lolium strictum* Presl.
From Sfax, Tunis. Presented by Doctor Trabut, Algiers, Algeria. Received November 8, 1909.
"Seed of ray-grass, native name *maudjour*. Excellent forage; grows in arid regions; annual; interesting to cultivate in the steppes." (Trabut.)
26200—Continued.
Distribution.—The countries bordering on the Mediterranean Sea and the Canary Islands.
26201 and 26202.
From 30 miles north of Hangchow, China. Presented by Rev. J. M. W. Farnham, Presbyterian Mission, Shanghai, China. Received November 2, 1909.
Seeds of the following:
26201. Cucumis melo L. Muskmelon.
Golden.
26202. Silene sp. Wild pink.
"Found on the mountain here." (Farnham.)
26203 to 26206.
Presented by Mr. H. F. Schultz, Ancon, Canal Zone, Panama. Received November 9, 1909.
26203. Anona squamosa L.
From David, Chiriqui, Panama. "Seed from a tree bearing large and very superior fruits of fine flavor." (Schultz.)
26204. Arracacia sp. "Aracache."
From Boquete, Chiriqui, Panama. "Tubers of a plant found growing in the neighborhood of Boquete in a cultivated and semicultivated state. The tubers grow to a size of 6 to 15 inches in length and about 6 to 8 inches in diameter, weighing from 2 to 10 pounds. The foliage resembles somewhat that of celery, and it grows to a height of about 10 to 18 inches above the ground. The taste of the root resembles a cross between a potato, celery, and asparagus, and it is eaten like potatoes, roasted, baked, or fried, as well as cut up in soups. I have found it growing at an altitude of 3,000 to 5,000 feet above sea level, and the inhabitants claim that it will not grow on the lower levels. I think, however, that it will do well in the Gulf States and that it will prove valuable, as I know that it is a well-flavored vegetable." (Schultz.)
See S. P. I. No. 3511 for previous introduction.
26205. Byrsonima cotinifolia H. B. K.
From Chiriqui, Panama. "Seeds of a fruit called 'Nance' which is used by the inhabitants as the main ingredient for a cooling and very pleasing drink. This tree is found growing at all altitudes from sea level up to about 4,000 feet and above. I do not think that it is a very valuable tree. It may possibly succeed in southern California." (Schultz.)
Distribution.—Along the Pacific coast of Mexico, from the province of Tepic to Chiapas.
26206. Parmentiera cereifera Seem.
From Bugaba, Panama. "Seed of an ornamental tree with peculiarly shaped candle-like fruits produced in great abundance on the second year's growth of the plant. The long, smooth, yellow fruits are 8 to 20 inches long and one-half to three-fourths of an inch in diameter, containing in the strong, fibrous, fleshy pulp numerous small flat seeds. The inside of the fruit has a strong musky fragrance, and the appearance of the bushy, spreading shrub, which grows to a height of about 12 to 15 feet, with its numerous candle-like fruits, is quite odd. The fruits were obtained on the ranch of Mr. Alexander Croetsch, of Bugaba, province of Chiriqui, and flowers were not in evidence." (Schultz.)
Distribution.—Confined to the valley of Chagres River, Republic of Panama.
26207. PROTEA MELLIFERA Thunb.
From Durban, Natal, South Africa. Presented by Prof. J. Medley Wood, director, Botanic Gardens. Received November 8, 1909.
A South African bush, useful both as an ornamental and as a bee plant.
26208. SOLANUM TUBEROSUM L. Potato.
From Solomon, Alaska. Presented by Mr. T. Brown. Received October 14, 1909.
"Tubers round to oblong, flattened; skin deep flesh color; eyes few and shallow." (W. V. Shear.)
26209 to 26223. CITRUS spp.
From Sawbridgeworth, Herts, England. Purchased from Thomas Rivers & Son, at the request of Mr. Walter T. Swingle. Received November 11, 1909.
Plants of the following:
26209 to 26219. CITRUS AURANTIUM SINENSIS L. Orange.
26209 to 26216. Subvarieties of the St. Michael's orange, which is said to be the ordinary orange of commerce, and although some of the strains have been tried in this country it was thought desirable to introduce the following:
26209. Long. 26213. Dom Louise.
26210. Botella. 26214. Egg.
26211. Bittencourt. 26215. Excelsior.
26212. Nonpareil. 26216. Dulcissima.
26217. White. "Very distinct, with striped fruit and white pulp; flavor very good." (T. Rivers & Son.)
26218. Embigus (Navel).
"A singular variety, with a nipple-like excrescence at the apex; fruit large and good; pulp pale in color." (T. Rivers & Son.)
26219. Silver (Plata). "A delicious orange." (T. Rivers & Son.)
26220 and 26221. CITRUS LIMETTA Risso. Lime.
26220. Common. "An abundant bearer; fruit excellent for cooling drinks." (T. Rivers & Son.)
26221. Bitter. "Remarkable for the great fertility and dwarf habit of the tree; resembles the Bijou lemon so closely as to be distinguished with difficulty except by the color of its fruit." (T. Rivers & Son.) See No. 26222.
26222 and 26223. CITRUS LIMONUM Risso. Lemon.
26222. Bijou. "Pronounced to be a lime by some authorities. Fruit small, with a delicious aroma; growth of the tree very dwarf and fruitful; this is a remarkable sort." (T. Rivers & Son.) See No. 26221.
26223. White. "One of the largest and best." (T. Rivers & Son.)
26224. CARICA PAPAYA L. Papaw.
From Puerto Plata, Dominican Republic. Presented by Mr. A. W. Lithgow, American vice-consul. Received November 12, 1909.
"Native name 'lechosa,' the only class known here." (Lithgow.) (Seeds.)
26225 to 26227. *Citrullus vulgaris* Schrad. **Watermelon.**
From Bucharest, Roumania. Presented by Mr. William G. Boxshall, vice consul-general, through Mr. Horace G. Knowles. Received November 13, 1909.
Seed of the following small melons:
- 26225. Red flesh.
- 26226. Yellow flesh.
- 26227. Red flesh.
26228 and 26229. *Avena sativa* L. **Oat.**
From Feuchtwangen, Germany. Purchased from Mrs. Sophie Kreiselmeyer. Received April 20, 1909. Numbered for convenience in recording distribution November 15, 1909, at which time definite information regarding this shipment was received.
Seed of the following:
- 26228. *Giant of Ligowa.*
- 26229. *Fichtelgebirge.*
26230 to 26235. *Castanea* hybrids.
From Little Silver, N. J. Presented by Dr. W. Van Fleet. Received October, 1909.
26230 and 26231. (*Castanea pumila* × *crenata*).
“Mostly shrubby in habit; good growers; nuts twice as large as *C. pumila*, often three in a bur; productive, and bears at two to three years from seed. Supposed to be resistant to bark disease.” (Van Fleet.)
- 26230. (Seeds.)
- 26231. (Plants.)
26232 and 26233. (*Castanea pumila* × *sativa* (*Paragon* variety)).
“Nuts four times as large as those of *C. pumila*, sometimes three in a bur; good growers; arborescent; productive and bears at six years from seed.” (Van Fleet.)
- 26232. (Plants.)
- 26233. (Seeds.)
26234 and 26235. (*Castanea pumila* × *crenata*).
“Second generation from self-pollinated seeds; vigorous; not fruited; supposed to be resistant to bark disease.” (Van Fleet.)
- 26234. Arborescent plant.
- 26235. Shrubby plant.
26236 and 26237. *Glycine hispida* (Moench) Maxim. **Soy bean.**
From Cedara, Natal, South Africa. Presented by Mr. E. R. Sawer, director, Division of Agriculture and Forestry. Received November 12, 1909.
Seeds of the following:
- 26236. “Mammoth yellow.”
- 26237. “Chinese,” yellow.
“This is our principal field crop in the Midlands.” (Sawer.)
26238 to 26240. *Rubus* spp.
From Lowdham, Nottinghamshire, England. Purchased from Messrs. J. R. Pearson & Sons, at the request of Mr. Walter T. Swingle. Received November 16, 1909.
Plants of the following:
- 26238. **Blackberry.**
*Parsley leaved.* “This is said to be of English origin, supposed to have originated at Handsworth, and is, in the opinion of Messrs. Pearson & Sons, ‘far
26238—Continued.
better than any of the American kinds, and in addition to being a good cropper, it is very ornamental and may be used with good effect for covering wild rockery and rough banks.’’ (Swingle.)
26239.
Raspberry.
November Abundance. “This is said to produce ‘a good supply of fruit during September and onwards.’” (Swingle.)
26240.
Raspberry.
Superlative. “Said to be a good dessert berry, of red color, large size, and of excellent flavor, readily picked on account of its long stalks.” (Swingle.)
26241. Brassica oleracea capitata L. Cabbage.
From Dalny, Manchuria. Presented by Mr. A. A. Williamson, vice-consul in charge. Received November 15, 1909.
“The Manchurian cabbage is one of the chief articles of diet of the inhabitants of these regions. It is particularly tender, succulent, and well flavored. These are a few of the first seeds, which only ripen in the spring.” (Williamson.)
26242. Quercus aegilops L. Oak.
From Patras, Greece. Presented by Hon. F. B. Wood, British consul. Received November 16, 1909.
Valonia. “The valonia oak derives its name from a Greek word signifying acorn. The valonia produces fully two or three times more than the ordinary oak. The term ‘valonia’ used commercially does not apply to the acorn but to the cup which contains it, which when ground is used for tanning purposes. The cup is a bright drab color, which it preserves as long as it is kept dry; any dampness injures it, as it then turns black and loses both its strength and value. The more substance or thickness there is in the husk or cup the better it is for commercial purposes.
“Valonia without the acorn (which is only of use for feeding swine, etc.) is worth about £8 to £10 per ton, but the finer quality sometimes fetches £2 or £3 more. In former years the article was worth double the above figures, but chemical and other substitutes used for tanning purposes have brought its value down to a point which scarcely covers the expense of picking and getting ready for shipment.
“The valonia oak flourishes almost exclusively in the Levant; Greece, several islands in the Aegean Sea, Crete, and Asia Minor are its favorite localities. There it thrives in great profusion and in every variety of soil and climate, being affected by neither severe heat nor great cold. In the plains of Elis in soft, heavy, rich soil the valonia displays all its beauties, and in perfect similarity to its congener growing on the barren and stony mountains of Acarnania and Laconia.
“The tree is very beautiful with its great outspreading branches and delicate foliage; it reaches in many instances a height of 60 feet and a girth of 15 feet 3 or 4 feet from the soil. In appearance it resembles the ordinary oak and has many of the latter’s characteristics, forming occasionally great distorted boles. It produces the oak apple, and the mistletoe grows on it plentifully.
“The valonia tree can scarcely be called deciduous, for although the leaves attain a withered and brownish look in winter, only a certain proportion are cast before the fresh shoots appear in the early spring.
“The finest valonia forest I know of exists in the province of Achaia, between Patras and Pyrgos. In length it measures some 10 miles and in breadth about 4 or 5. The trees in most instances must be several centuries old.
“The manner of collecting valonia brings one back almost to patriarchal days. The Greek peasantry are for the most part and to a great extent nomadic. In the
26242—Continued.
summer and spring months they retire to their mountain villages, but in winter, driven down by the snows, they descend into the plains bordering the sea and live as squatters. Each family has acquired hereditary rights for years and years to occupy certain portions of the plains, paying a head tax for the cattle which accompany it and having a right to collect valonia in a certain area. The old patriarch of the family, with his wife, sons, daughters, and grandchildren may be seen collecting valonia, for which they pay a tax of 10 per cent in kind to the owner of the property.
"In 1899 the production of valonia in the different localities was as follows: 5,000 tons in Acarnania and Aetolia; 4,100 tons in Laconia and Arcadia; and 900 tons in Achaia. In 1908 the total product of Greece had diminished to 4,000 tons." (Wood.)
"Valonia consists of the acorn cups, the best of which contain about 40 per cent of tannin. It is especially serviceable in the production of heavy leathers. The tree has been grown in the vicinity of Paris, where it attained an age of 25 to 28 years before bearing fruit. In the collection of valonia the labor of children and young girls is said to be largely used, the pay of the most skillful amounting to about 30 cents per day." (W. W. Stockberger.)
Distribution.—Lower mountain slopes and valleys of Greece, and on the Cyclades. See No. 6833 for previous introduction.
26243. Garcinia brasiliensis Mart. (?).
From Lawang, Java. Presented by Mr. M. Buysman, Hortus Tenggerensis. Received November 19, 1909.
Distribution.—Found in the woods in the province of Para, in the northern part of Brazil. (Seed.)
26244 and 26245. Polakowskia tacaco Pittier.
From San José, Costa Rica. Presented by Mr. Ad. Tonduz, through Prof. H. Pittier. Received November 19, 1909.
26244. Small variety having fiber. 26245. Large variety without fiber.
"A cucurbitaceous plant, the fruit of which is used as a green vegetable. It is a near relative to the chayote, but the fruit is smaller, fusiform, set with stiff spines at the base and of quite a distinct taste. It is one of the primitive foods of the native Indians of Costa Rica, where it grows wild in fresh, shady places of the temperate region, and its use as a vegetable has been readily adopted by the Spanish Costa Ricans. Nowadays the plant is at least semicultivated on the central plateau. To grow it, a whole mature fruit is set in a rich, loose leaf mold with the spiny end up and almost showing at the surface. The vines spread on the ground or on low bushes or supports. The fruits, which are about $2\frac{1}{2}$ inches long and $1\frac{1}{2}$ inches broad, hang from short peduncles and are picked when still green. After taking away the basal spines they are boiled in water, either whole or cut into small pieces, or pickled, or made into preserves. They are also a favorite addition to the native vegetable soups." (H. Pittier.)
26246 to 26252. Prunus spp. Cherry.
From western Hupeh, China. Purchased from Mr. C. S. Sargent, director of the Arnold Arboretum, Jamaica Plain, Mass. Received November 22, 1909.
Plants of the following: notes by Mr. E. H. Wilson:
26246. From Changyang Hsien. "(A. A. No. 3.) A very ornamental tree, attaining a height of 10 to 30 feet. Grows on mountains at an altitude of 2,500 to 3,500 feet. Flowers white."
26247. From Changyang Hsien. "(A. A. No. 3a.) A very ornamental tree, attaining a height of 10 to 30 feet. Grows on mountains at an altitude of 2,500 to 3,500 feet. Flowers white."
26248. From north and south of Ichang. "(A. A. No. 3b.) A very ornamental tree, attaining a height of 10 to 30 feet. Grows on mountains at an altitude of 2,500 to 3,500 feet. Flowers white."
26249. "(A. A. No. 4.) No description.
26250. From Changyang Hsien. "(A. A. No. 5.) A rare and magnificent species, attaining a height of 35 feet. Grows in glades at an altitude of 3,500 feet. Fruit black."
26251. From Changyang Hsien. "(A. A. No. 7.) A very fine tree, rare, attaining a height of 25 to 35 feet. Grows in woods at an altitude of 3,000 to 3,500 feet. Flowers pink."
26252. From Changyang Hsien. "(A. A. No. 11.) A very common bush species, growing 10 feet high in mountains at an altitude of 2,500 to 3,500 feet. Flowers white and pink."
26253. Vicia faba L. Horse bean.
From Kindred, N. Dak. Presented by Mr. A. P. Hertsgaard. Received November 22, 1909.
"Grown in North Dakota, summer of 1909. Seed originally from Holland. This is said to be called in Holland the pigeon pea." (Hertsgaard.)
26256 to 26259. Eucalyptus spp.
From Sydney, New South Wales, Australia. Procured from Mr. J. H. Maiden, director and government botanist, Botanic Gardens. Received November 25, 1909.
Seed of each of the following procured for planting on the experimental plantation to be established by the Forest Service, in cooperation with the Bureau of Plant Industry, at Brownsville, Tex.:
26256. Eucalyptus sideroxylon A. Cunn.
Distribution.—Australia, in the provinces of New South Wales, Victoria, and South Australia.
26257. Eucalyptus goniocalyx F. Muell.
Distribution.—Southeastern Australia, from Twofold Bay in New South Wales, to the Buffalo Range in Victoria.
26258. Eucalyptus botryoides Smith.
Distribution.—Eastern Australia, from Brisbane in Queensland, south through New South Wales, to Victoria.
26259. Eucalyptus pauciflora Sieber.
Distribution.—Common in Tasmania, and in South Australia, Victoria, and New South Wales.
26265. Rosa canina L. Rose.
From Mexico. Presented by Mr. Harvey C. Stiles, Mexico City, through Mr. P. J. Wester. Received November 26, 1909.
"Seeds of a wild rose, native of the cool, frostless Mexican highlands, but found only where there is constant moisture; it grows luxuriantly, often 12 to 20 feet high, and I have sometimes seen it in gardens, budded or grafted to other sorts of fine roses. It makes an ideal stock, not sprouting like Manetti, etc." (Stiles.)
26266 and 26267.
From Cape Town, South Africa. Presented by Mr. R. W. Thornton, government agriculturist, Department of Agriculture. Received November 23, 1909.
Seed of the following:
26266. *Pentzia incana* (Thunb.) Kuntze. "Karroo bush."
Distribution.—Eastern South Africa, from Natal south to Uitenhage, Cape Colony.
26267. *Panicum* sp.
"This is an indigenous grass which is considered to be one of the best grasses in the Orange River Colony, where in certain parts it is practically the only fodder which the stock have." (Thornton.)
26268 and 26269. *Passiflora* spp.
From Port of Spain, Trinidad. Presented by Dr. E. André. Received November 27, 1909.
Seeds of the following:
26268. *Passiflora quadrangularis* L. Granadilla.
"A plant of South American origin very closely allied to *Passiflora macrocarpa* and *P. alata*, now cultivated in many tropical countries. Its large, greenish-yellow fruit has a thick rind which is sometimes preserved, and the pulp surrounding its seeds, though sometimes insipid, is usually pleasant flavored and is made into cooling drinks and sherbets. The seeds are too large to be swallowed as in the case of the smaller fruited species. This plant is valuable for covering arbors and verandas. The leaves are large, membranaceous, and heart shaped; the large fragrant flowers have red petals alternating with the white sepals, while in the closely allied *P. macrocarpa* both the sepals and petals are purplish. Many species of Passiflora are incorrectly referred to this species." (W. E. Safford.)
26269. *Passiflora maliformis* L. Sweet cup.
"This species is frequently cultivated in the West Indies, and on some of the islands it is found wild. The fruit is globose, or apple shaped, and much smaller than the Granadilla or Barbadian (S. P. I. No. 26268). It has a thin shell-like envelope, not soft like that of the watermelon (*P. laurifolia*) but varying in rigidity. In the specimens sent the shell, which is yellow and marked with numerous white dots, is easily indented, almost like that of *P. ligularis*, but in some varieties it is hard and rigid, even sufficiently so that snuffboxes can be made of it. The pulp is pleasant flavored and slightly acidulous, and the seeds are small enough to swallow. The leaves are simple, entire, and oval or ovate, with linear lanceolate stipules and petioles bearing two glands. The flowers are sweet scented and beautiful, variegated red and white, with blue coronal filaments." (W. E. Safford.)
26270 to 26278. *Rubus* spp.
From western Hupeh, China. Purchased from Prof. C. S. Sargent, director, Arnold Arboretum, Jamaica Plain, Mass. Received November 29, 1909.
Plants of the following; notes by Mr. E. H. Wilson:
26270. *Rubus bambusarum* Focke.
From north and south of Ichang. "(A. A. No. 48.) A straggling plant; height 10 to 15 feet. Grows in thickets at an elevation of 3,000 to 5,000 feet. Flowers pink. A fine Rubus."
Distribution.—Bamboo forests on the mountain slopes, at an elevation of 4,000 to 6,000 feet, in the province of Hupeh, central China.
26271. Rubus innominatus S. Moore.
From north and south of Ichang. "(A. A. No. 92.) A shrubby plant; height 3 to 5 feet. Grows in thickets at an elevation of 3,000 to 4,500 feet. Pinkish flowers. Fine, red paniculate fruits."
Distribution.—The valley of the Yangtze River at Kiukiang, in the province of Kiangsi, central China.
26272. Rubus ichangensis Hemsl. and Kuntze.
From north and south of Ichang. "(A. A. No. 663.) A straggling plant. Grows in thickets at an elevation of 2,000 to 4,000 feet. Flowers white. A good thing."
Distribution.—The vicinity of Ichang, province of Hupeh, China.
26273. Rubus parkeri Hance.
From north and south of Ichang. "(A. A. No. 44a.) A straggling plant; height 6 to 15 feet. Grows in glens, etc., up to an elevation of 2,000 feet. Pink flowers, calyx red, very glandular."
Distribution.—The provinces of Hupeh and Szechwan, China.
26274. Rubus lambertianus Ser.
From north and south of Ichang. "(A. A. No. 482.) A spreading plant; height 6 to 10 feet. Grows in thickets at an elevation of 2,000 to 4,000 feet. Whitish flowers. Red fruits."
Distribution.—Kiukiang, in the province of Kiangsi, and along the valley of Lienchu River, in the vicinity of Saingu, province of Kwangtung, central China.
26275. Rubus chroosepalus Focke.
From south of Ichang. "(A. A. No. 80.) A rambling plant; height 7 to 10 feet. Grows in thickets at an elevation of 3,000 to 4,000 feet. Leaves small, cordate, hairy below."
Distribution.—The vicinity of Patung, in the western part of Hupeh.
26276. Rubus conduplicatus Duthie.
From north and south of Ichang. "(A. A. No. 97.) An erect plant; height 6 to 8 feet. Grows in thickets at an elevation of 3,000 to 5,000 feet. Flowers pink. Fruit red, growing in dense clusters."
26277. Rubus coreanus Miq.
From north and south of Ichang. "(A. A. No. 31.) An erect plant; height 6 to 8 feet. Grows on mountains, etc., up to an elevation of 4,000 feet. Flowers purple. Stems white. Ornamental."
Distribution.—The provinces of Kiangsi and Hupeh, in central China, and the islands of the Korean Archipelago.
26278. Rubus hypargyrus Edgew.
From Changlo Hsien. "(A. A. No. 152.) Grows on mountains at an elevation of 3,000 to 4,500 feet. Fruit dark red. Flowers paniculate. Leaves silvery below."
Distribution.—Himalaya Mountains of northeastern India and mountains of central China.
26279 to 26281.
From China. Presented by Rev. T. D. Holmes, Alfred, N. Y. Received November 24, 1909.
Seeds of the following:
26279. *Aleurites fordii* Hemsl. **China wood-oil tree.**
Largest seeds of this variety yet received. See No. 25081 for description.
26280. *Sapindus mukorossi* Gaertn.
"The Chinese use this fruit, just as it is gathered, to wash with. My wife says these soap balls are superior to our soap for washing flannel fabric, in that they prevent shrinking." (Holmes.)
*Distribution.*—Southeastern China, in the provinces of Chekiang, Fukien, Hupeh, and Kwangtung. Also in India, and introduced into Japan.
26281. *Gymnocladus chinensis* Baill.
"The pods of this tree are used as a soap." (Holmes.)
*Distribution.*—The southeastern part of China, in the provinces of Hupeh, Chekiang, and Kiangsi.
26282. *Vicia faba* L. **Horse bean.**
From Cawnpore, United Provinces, India. Presented by Mr. H. M. Leake, economic botanist to government. Received November 29, 1909.
"Seed of the only form of *Vicia faba* grown here. It is a cold-weather crop, sown in October and ripening in March. The unripe pod is used as a vegetable and the ripe seed after soaking and boiling. The stalks are used as fodder for stock, chopped up and mixed with other fodder (e.g., sorghum).
"The plant is grown only for personal consumption. It has, therefore, no market value." (Leake.)
26283. *Pinus pinceana* Gordon.
From Mexico. Presented by Mr. Elswood Chaffey, Hacienda de Cedros, Mazapil, Zacatecas, Mexico. Received November 18, 1909.
"Seed from a pine which grows some 50 feet high and as much as 2 feet in diameter." (Chaffey.)
*Distribution.*—Along gulches on the slopes of the great table-land in northeastern Mexico, between 19° and 25° north latitude.
26284 to 26288.
From Tokyo, Japan. Presented by Mr. Albert J. Perkins, who procured them from The Tokyo Plant, Seed and Implement Co. Received November 29, 1909.
Seeds of the following:
26284 to 26287. *Raphanus sativus* L. **Radish.**
26284. *Sakurajima*. See No. 22399 for previous introduction.
26285. *Nerima*. See No. 22397 for previous introduction.
26286. *Takuwan*.
26287. *Miyashige*.
26288. *Aralia cordata* Thunb. **Udo.**
*Kan.* For description, see Bulletin 42, Bureau of Plant Industry, Department of Agriculture.
26289 to 26291.
From Kentung, Burma. Presented by Rev. R. Harper, M. D., American Baptist Shan Mission. Received November 29, 1909.
Seeds of the following; notes by Rev. R. Harper:
26289. *Stizolobium* sp.
"Collected by Captain McGregor. This is a sort of creeper, I believe, very thorny."
26290. *Anona squamosa* L.
"Mak au hsa. This fruit is a favorite in Burma, and if it can be grown in the Southern States ought to command a large market."
26291. *Carica papaya* L. Papaw.
Papaia, from which a digestive extract called papain is made.
26292 and 26293. *Stizolobium* spp.
From Dharapuram, India. Presented by Rev. George N. Thomssen, Baptla, South India, who procured them from Dr. C. A. Barber, government botanist, Agricultural College, Coimbatore, India. Received November 29, 1909.
Seeds of the following:
26292. "Punarkkali."
26293. (Native name not given.)
"These varieties grow wild in southern India." (Barber.)
26294 to 26296. *Vicia faba* L. Horse bean.
Presented by Mr. R. L. Sprague, American consul, Gibraltar, Spain. Received November 29, 1909.
Seeds of the following:
26294. From Mazagan, Morocco.
26295. From Spain.
26296. From Taragona, Spain.
26297. *Amygdalus andersonii* (Gray) Greene. Wild peach.
From Pyramid Lake, Nevada. Presented by Mr. Marsden Manson, San Francisco, Cal. Received December 1, 1909.
Mr. Manson recommends this wild peach as a stock and for hybridizing experiments. See No. 21657 for previous introduction.
Distribution.—California, from Sierra County southward to Inyo County, and in the western part of Nevada.
26298. *Anona longiflora* S. Watson.
From Altadena, Cal. Presented by Dr. F. Franceschi, Santa Barbara, Cal. Received December 1, 1909.
"Fruit said to compare well in quality with the cherimoyer. The species is hardy and grows quite vigorously at Altadena, Cal. To judge from photographs of fruit, leaves, and seeds, it would seem to be a species intermediate between *Anona cherimola* and *Anona squamosa*, possibly a natural hybrid between these species." (P. J. Wester.)
Distribution.—In ravines on the slopes of the Cerro de San Estevan, in the vicinity of Rio Blanco, Mexico. (Seed.)
26299. (Undetermined.) (Scrophulariaceæ.)
From Yosemite Valley, Mariposa County, Cal. Presented by Mr. F. W. McCauley, through Col. G. B. Brackett, pomologist. Received December 1, 1909.
"Seed of a wild plant that grows in this section of the country and seems to be valuable for cattle to feed on. It is a large plant, attaining a height of 3 to 4 feet and growing in the shape of a small tree. It ripens in the latter part of October, coming up the following season from seed. It is at its best for cattle in August, when it is still tender. When driven cattle throng the woods at this season of the year they will go out of their way to munch on this plant; later in the season it becomes hard and woody, and then cattle will only eat the more tender branches of it. This plant grows in light, sandy soil of granitic origin and apparently without moisture; it thrives on steep south hillsides among brush and rocks, also on the mountain top in the pine forests 4,000 feet above sea level. A peculiarity of the plant is that it grows in little patches—here half a dozen plants, and there possibly 50 together; I believe the seed does not spread readily. If this plant could be cultivated with success I believe it would be valuable as a forage plant to be grown without irrigation. It grows well at altitudes as low as 2,000 feet above sea level, where the thermometer stands at 100° and marks as high as 110°." (McCauley.)
26300. Roystonea regia (H. B. K.) O. F. Cook.
From Nice, France. Presented by Dr. A. Robertson Proschowsky. Received November 27, 1909.
"A variety from Mexico." (Proschowsky.)
Distribution.—Common about Cruces, Gorgona, and San Juan, in Panama, and in Cuba, Antigua, and other West Indian islands.
26301. Andropogon halepensis virgatus Hackel.
From Algiers, Algeria. Presented by Doctor Trabut. Received December 2, 1909.
"This grass is vigorous, but not stoloniferous, and would be interesting for hybridizing with Sorghum vulgare [Andropogon sorghum]. It is a moderately good forage like Johnson grass, but has the advantage of not stooling. This variety is perennial here and produces many seeds." (Trabut.)
Distribution.—Egypt, extending from Alexandria, through Nubia, to the valley of the White Nile, in the Province of Kordofan.
26302 and 26303. Vigna unguiculata (L.) Walp. Cowpea.
From Entebbe, Uganda. Presented by Mr. R. Fyffe, Botanical and Forestry Department. Received December 3, 1909.
Seeds of the following; native names as given by Mr. Fyffe:
26302. Buff seeded. (This number was assigned to three packages of seed which had been mixed in transit. The native names are as follows: "Mpendi Kiriya Mugombere," "Mpendi Kantinti," "Mpendi Bimogoti.")
26303. Black seeded. "Mpendi Luzzige."
26304 to 26329.
From Chile. Received through Mr. José D. Husbands, Limavida (via Molina), Chile, November 9, 1909.
Seeds of the following; notes by Mr. Husbands:
26304. *Acacia longifolia* (Andr.) Willd.
"Aromo. A grand, yellow-flowered tree, grown in Chile from the time of the Spanish, for ornamental purposes."
*Distribution.*—A shrub or small tree found throughout Australia and in Tasmania. Used as a street tree in California.
26305. *Aextoxicon punctatum* R. and P.
"In Valdivia and Chiloe this plant is called 'tique' or 'palo muerto;' in the north it is called 'acietunillo' or 'olivillo.' It grows along the coast of Chile from Valparaiso to the island of Chiloe."
26306. *Aristotelia maqui* L'Hér.
"El Maqui. This is a valuable wild fruit tree and I believe is capable of improvement. The fruit is abundant, astringent, sweet, and refreshing. In time of fruitage 'chicha de maqui' is highly esteemed as a healthful beverage. It is nonfermented; the fruit is simply mashed and mixed with water and the liquid drawn off and drunk. The fruit juice is similar in color to blackberry juice; it stains whatever it comes in contact with, but it is not indelible. The fruit is gathered in immense quantities and dried for export and domestic uses, especially for coloring wines or imitating them. These seeds are from near Puerto Montt, which is the extreme southern limit of the territory allotted to their growth; they are as good as 'el maqui' of central Chile. The color of the fruit is generally a reddish black; brown, white, and pink fruits are sparsely found in a few localities, but these are different varieties. This tree sometimes attains a height of 30 to 35 feet. Usually it is not more than 12 to 15 feet high and 4 inches in diameter, but I have seen trees 16 inches in diameter. They thrive in dry central Chile, but seek the moisture of the ravines. The tree reminds one of a cherry tree. The wood is not considered. The bark of the new wood is very flexible and is used for making lassos and ropes for use about the farm; also for tying in the vineyards. The ties are strong and last a long time if dampened before using. Birds and foxes are very fond of the fruit and scatter the seeds in a fit state to germinate.
"The juice of the leaves is a splendid remedy for throat diseases and ulcers and has a fame for healing wounds. An infusion of the leaves is employed as a gargle. Reduced to a powder, they serve effectively as a healing ointment. They are also good made into a poultice, especially when placed over the kidneys to calm fevers. The fruit, being a quick, mild acid, and astringent, is often used as a refreshing drink in the sick room and is especially efficacious in fevers; toasted and ground or broken and put into hot water it is a sure remedy against the worst cases of diarrhea, dysentery, and cholera; being perfectly harmless the fruit or decoctions may be eaten or drunk in any quantity. The plant is widely distributed, from always dry, rainless Coquimbo to Chiloe's perpetual moisture."
*Distribution.*—Along ravines from central Chile to Puerto Veras.
26307 and 26308. *Avena sativa* L. Oat.
26309. *Boquila trifoliata* (DC.) Decaisne.
"'Voquil blanco,' 'boquila,' and 'pi!pil blanco' are the Indian names. It grows along the edges of the woods from the thirty-fifth degree of latitude south to and including the island of Chiloe; it avoids altitudes and seeks the moist lowlands. The fruit is without importance."
26310 and 26311. *Chusquea quila* (Poir.) Kunth. Bamboo.
"This seed is from the provinces of Cautin and Malleco, in the vicinities of the volcanos Lonquimai, Llaimi, and Villa Rica. Several small lots from
26310 and 26311—Continued.
different places are contained in this shipment and may or may not be all of the same variety. They are not of the Valdivia class."
Distribution.—The Chilean coast from Valparaiso to Chiloe.
26312. *Citrullus vulgaris* Schrad. **Watermelon.**
"A watermelon that was harvested in February and eaten in July."
26313. *Cucumis melo* L. **Muskmelon.**
"A melon that grew without water in the poorest arid soil."
26314 and 26315. *Embothrium coccineum* Forst.
26314. "'Notru,' 'el ciruelillo.' A beautiful, flowering ornamental tree fit for any place. Has bunches of bright crimson flowers in early October and dark-green leaves, which are pale green beneath. It grows in the south up to 22 feet and 12 to 16 inches in diameter. A decoction of the bark or leaves is used to cure glandular affections; infusion or smoke cures dental neuralgia, and is also used to cicatrize wounds."
26315. "'Lirhucrillo.' From the Province of Llanquihue. Useful as a timber tree."
Distribution.—The southern part of Chile.
See Nos. 25491 and 25492 for previous introductions.
26316. *Eucryphia cordifolia* Cav.
"North of Valdivia this is called 'Ulmo;' at the south 'Muermo.' An evergreen tree with dense foliage, very beautiful on account of its abundant bunches of beautiful, white, fragrant flowers; it grows 50 feet high and 2 feet in diameter. Its hard wood is tan colored, of good quality for charcoal and bright blazing fuel, extra-durable railroad ties, heavy timbers, planks or boards, casks and vats, furniture, or any inside work; it becomes a darker red from exposure and age. Its wood and bark are highly impregnated with tannic acid. The bark contains about 35 per cent of tannin of great excellence, which quickly tans leather of superior quality and of much flexibility. The tanned product has a clean, light-buff color and an increased weight over the crude skins. The tannin of the wood serves for tanning, but is not used on account of its giving leather a blue cast. Ulmo bark is better than lingue and has been successfully applied in the form of concentrated extracts; its superiority as a tanning compound is of recent knowledge. It flowers in November and December and seeds in March and April."
Distribution.—The region around San Carlos, Chile, and extending south to the island of Chiloe.
See No. 25490 for previous introduction.
26317 and 26318. *Gevuina avellana* Molina.
26317. "'Avellana.' One of the handsomest trees in the world; its glossy, evergreen leaves, bunches of white, fragrant flowers and crimson nuts all at the same time, and its general symmetrical grace and beauty, make a very impressive sight. It grows in the Cordilleras of south and central Chile to the thirty-fourth degree of latitude and not beyond; is also found in the low coast range of the Cordillera Maritima. These seeds were found growing in latitude 44°; they need to be soaked in water a long time to germinate; they thrive in any soil, dry or wet, high or low lands here, but moist land is best for them. The wood of this tree is tough and elastic, takes a high polish, and is good for furniture."
26317 and 26318—Continued.
26318. "Avellana." From the Cordillera of central Chile. Soak the seeds well."
See No. 25611 for previous introduction and distribution.
26319. Greigia sphacelata (R. and P.) Regel.
"Chupones." From the mainland in the Province of Llanquihue."
Distribution.—In humid situations about Concepcion, Chile, and south to the province of Llanquihue.
See No. 25476 for previous introduction.
26320. Gunnera chilensis Lam.
"'Nalea.' This grows only in wet places, banks of streams, ravines, etc. It is like a giant pieplant or rhubarb and is very ornamental; it is somewhat different from 'Pangue' (S. P. I. No. 25477); the former is eaten raw after the bark or skin is removed and has an agreeable sweet-acid taste; its juice made into ices is eaten with gusto. A decoction for diarrhea, etc., is made from the roots, which are hard and very astringent; the small quantity of juice which they contain is a valuable, permanent black dye for cloths and is estimable for tanning skins. The new sprouts are much esteemed by the Indians; they call them 'pampancallhue.' Oxen eat the leaves with relish when accustomed to them."
See No. 25477 for previous introduction and distribution.
26321. Laurelia sempervirens (R. & P.) Tul.
"Indian name 'el huahuan.' The evergreen laurel is too well known to need description. The industrial applications, large dimensions and merits of its timber, durability when not exposed to the elements, facility to work, ability to permanently receive any stain, etc., require no comment. It is necessary to cut the tree for lumber when the sap is down. It grows to immense size in the Cordilleran foothills of the south and gradually diminishes in size as it is found north of the river Bio Bio. It has nearly all the medicinal properties of Laurelia aromatica, among which are the following: An infusion of the scraped or pounded wood, the leaves or flowers is used to cure pains in the head which are the results of colds; the same and especially an infusion of the leaves is used for affections of the digestive tubes, urinary organs, to combat bronchitis and as baths or lotions to strengthen the nervous system, to alleviate or moderate paralysis, to fumigate the body against spasmodic convulsions; a pomade made of the powdered leaves cures skin diseases. The ground bark being placed in the cavity of a tooth stops the pain; an infusion of the bark is used as a remedy for lockjaw, etc."
Distribution.—Frequent in the woods in the vicinity of Valparaiso, Chile, and south to the island of Chiloe, rising to an elevation of 8,000 feet on the mountain slopes.
26322 and 26323. Maytenus boaria Molina.
26322. "Large-leaved variety." 26323. "Small-leaved variety."
"An evergreen forest tree, native name 'el maiten.' A beautiful, fine-leaved, dense, semidrooping, small-limbed, shade tree of rare excellence, growing naturally in a round form up to a height of 12 meters and about 12 inches thick. It naturally seeks the dryest, poorest, arid lowland soils. It has great value as forage for horses and cattle; in times of drought or grass failure, hungry animals are kept alive by breaking a few branches daily and feeding the leaves. The wood is fine grained, hard, elastic, and mostly plain white and pale yellow, some26322 and 26323—Continued.
times with a light pinkish-red cast; some varieties are beautifully veined with red and olive colors. The Araucana Indians use the wood to make their bows."
Distribution.—Dry lowlands along the Chilean coast and south to Patagonia.
See No. 23272 for previous introduction.
26324. Nothofagus sp.
"'Rauli.' A giant forest tree of the greatest industrial value; it may be favorably compared with the American black walnut in respect to its uses and commercial importance. Like the finest pines it is used to make all kinds of sash, doors, blinds, and for every class of furniture, and inside and outside construction; it is durable, easy to work, receives and long retains any paint or stain, admits of the highest class of polish, is tasteless, and is largely used for wine casks, tubs, vats, store fixtures, etc. The wood does not warp, split, fade, or rot. The trunks are long and extra thick, requiring the full capacity of both the upper and lower saws of the mills to cut them through. In my opinion 'rauli' is the most valuable wood in Chile for general uses. Grows only in the provinces of Nuble, Concepcion, Malleco, and Cautin."
26325. Quillaja saponaria Molina.
"'Quillai.' It will certainly pay to plant plantations of this valuable tree. The natural source of supply is exhausted. They seek the dry hillsides and foothills, where they thrive in the driest and worst kinds of arid soils."
Distribution.—In the valleys and on the plains at the base of the mountains from Illapel, south to the valleys of the Angol and Levu rivers, Chile.
26326. Rhaphithamnus parvifolius Miers.
"In the province of Valdivia this is called 'espino blanco;' further south the Indians call it 'arrayan macho,' 'arrayan de espino,' 'guayun,' and 'repu.' It is an evergreen bush or treelet about 20 feet high, good for live fences and ornament."
Distribution.—The southern part of Chile and the adjacent islands.
26327. Solanum sp. Potato.
26328. Sophora tetraptera J. Mill.
"'Pelu.' This treelet of 12 to 15 feet is beautifully ornamental, having abundant bunches of fragrant, yellow flowers, which come in August and September before the leaves appear. The wood is not very thick, but is extra valuable on account of its extreme hardness; it is used for hubs, spokes, plow points, pulleys, cogwheel teeth, pins for sailing boats, ships, etc. It grows between Concepcion on the north and Puerto Montt south, also upon the island of Juan Fernandez, where it is called 'Guayacan.' The scraped wood serves as a stimulant and cathartic. It is also used for chronic rheumatism, gout, syphilis, and cutaneous diseases. Lasts forever in water."
See No. 25479 for previous introduction.
26329. Tepualia stipularis Griseb.
"'Tepu.' This is a small, beautiful tree, which grows along the coast of Chile from Valdivia to the island of Chiloe, where it forms dense impassable forests; the Indians call these woods 'Tepuales.'
26330 to 26343. Thea sinensis L. Tea.
From China. Procured by Vice-Consul Nightingale under directions from Mr. S. L. Gracey, American consul at Foochow, at the suggestion of Ambassador
Rockhill before he left Pekin for St. Petersburg, Russia. Plants received at the Plant Introduction Garden, Chico, Cal., December 1, 1909; seeds received at Washington, D. C., December 6, 1909.
Plants of the following:
26330 to 26332. From the Kienning district.
26330. Lotus Heart. 26332. Dragon Pool.
26331. Water Fairy.
26333 to 26336. From Wuishan district, the cliff-grown teas from River of the Nine Windings.
26333. White Cock Comb. 26335. Superior.
26334. Great Red Robe. 26336. Dragon Pool.
Seeds of the following:
26337. Water Fairy (parent plant).
26338. Dragon Pool (parent plant).
26339. Dragon Pool. From Heaven Sauntering Place.
26340. White Cock Comb (parent plant).
26341. Red Robe (parent plant).
26342. Red Robe. From Heaven Heart Temple.
26343. White Peony (parent plant).
"The cliff-grown teas are extremely rare and valuable, and I do not believe can be obtained again, as the Chinese are not at all anxious to have the tea of this district become general. The department having for some years past written for seed of the 'Dragon Pool teas,' which I was unable to obtain otherwise, though repeated requests have been made, I sent my vice-consul, Mr. Nightingale, and through the extreme courtesy of the viceroy of Fukien, the magistrate of Chungan, and two mandarin friends, he was allowed to gather seeds and select the plants I send. There is 200 miles of foot journey besides considerable boat trip from Foochow to this district, which involves some expense. The peculiar flavor of these cliff-grown teas is said to come from the soil, and other soil may impart an entirely different flavor to the same plant. The earth about the cliff teas is very sandy and not at all rich. A rich soil they claim is not good for tea, as the plant will grow too high and not remain stunted, as is considered desirable. In this district frost occurs often, and now and then there is light fall of snow, which lasts but a short time. The entire district of the River of the Nine Windings is composed of huge red sandstone cliffs and bowlders, and in the shadow and clefts of these, wherever a little of the sandy soil is found, the tea grows. Other than a little digging about the roots at this season of the year (October), no attention is necessary.
"Some fertilize the plants once or twice a year with night soil; the fertilization is not considered necessary.
"Some plants produce as many as four kinds of tea, according to the size of the leaf and the time of gathering. The teas of this district in order of superiority are 'White Cock Comb,' 'Great Red Robe,' 'Superior,' 'Lotus Heart,' 'Water Fairy,' and 'Dragon Pool.' The White Cock Comb and the Red Robe plants were those growing closest to the original plant. The White Cock Comb is said to be 'the original tea plant and to have fallen from heaven;' twice a year the Chungan magistrate comes to see that it is all right and worship at a neighboring temple. The Dragon Pool tea plants are from a little inclosure back of this temple, where a brother of an emperor in the Sung dynasty retired at one time to raise tea, and which I believe has given rise to the story of the
‘Royal Inclosures.’ The ‘Special Tea’ comes from the Chungan magistrate’s private stock. The Kienningfu plants produce an inferior quality of tea from that of the cliff district. These plants may be raised from cuttings in the spring; those of the cliff district by seed only.
“The seeds should be soaked in water twenty-four hours before planting, and then planted in the open to a depth of 5 inches in low mounds 3 feet apart; ridges should be made so the rain runs freely from the mounds. Considerable moisture after planting is not desirable.
“The Dragon Pool seed sent is from the Wuishan district. All the seeds are authentic, as Mr. Nightingale gathered them personally.” (Extract from letter dated October 25, 1909, written by Consul Gracey to Mr. George S. Baker, United States dispatch agent, San Francisco, Cal.)
26344 to 26352. Rosa spp. Rose.
From Woods Hole, Mass. Presented by Mr. M. H. Walsh. Received December 2, 1909.
Plants of the following Rambler roses; descriptive notes by Mr. Walsh:
26344. “Kalmia is a beautiful light Kalmia formed and colored flower, single.”
26345. “Bonnie Belle is carmine and pink, single.”
26346. “Delight, bright red.”
26347. “La Fiamma, single; intense crimson, with white center.”
26348. “Coquina, as its name denotes, is shell color.”
26349. “Milky Way, single, white, large flower; an improved wichuriana.”
26350. “Lady Blanche, double white wichuriana hybrid; very dark, glossy foliage; flowers borne in clusters similar to Lady Gay. This variety is deliciously fragrant.”
26351. “Excelsa is double, crimson maroon, with tips of petals fiery scarlet; this will rank as one of the best.”
26352. “Jessica, a climbing variety, large glossy foliage; large, double flower, cotton white, fragrant; a valuable acquisition.”
26353. Metternichia wercklei K. Schum.
From San Jose, Costa Rica. Presented by Mr. Ad. Tonduz. Received December 4, 1909.
“Fleshy roots of what Mr. Carlos Wercklé calls the ‘edible tuber’ of Metternichia wercklei K. Schum. (Solanaceae); he experimented with eating these pseudotubercles and found them agreeable and without any poisonous principle. Metternichia wercklei grows in the high plateaus of La Palma, near San Jose, at 5,000 feet altitude. It is sometimes a branching bush, 7 to 10 feet high, which grows in the ground, and sometimes a semiepiphyte which grows in rotted trunks of trees or in a hollow of some large tree. Mr. Wercklé says that this bush can be propagated very easily by means of pieces of roots.” (Tonduz.)
26354. Crataegus azarolus L.
From Acre, Palestine. Presented by Miss Rifka Aaronsohn, Zichron-Jacob, near Haifa, Palestine. Received October 19, 1909.
“Seed of the large, red-fruitied variety.” (Aaronsohn.)
See No. 26116 for description.
26355. *Populus lasiocarpa* Oliver.
From Chelsea, London, England. Purchased from Messrs. James Veitch & Sons. Received December 8, 1909.
"The ovate cordate leaves of this new poplar are extremely large and attractive, measuring 10 to 12 inches in width. They are bright green in color, whilst the petiole, midrib, and principal veins are of a rich red hue. The tree in central China attains a height of 15 to 40 feet and should prove a valuable addition to our ornamental deciduous trees." (Veitch & Sons.)
*Distribution.*—Central China, in the provinces of Hupeh and Szechwan.
26356 to 26362.
From Malkapur, Berar, India. Presented by Mr. A. S. Dhavale. Received November 29, 1909.
Seeds of the following; quoted native names as given by Mr. Dhavale:
26356. *Crotalaria juncea* L.
"Boru."
*Distribution.*—Plains of India from the Himalayas to Ceylon, the Malayan Islands, and Australia. Cultivated for fiber.
26357. *Dolichos biflorus* L.
"Kulitha."
26358. *Dolichos lablab* L. **Bonavist bean.**
"Val."
26359. *Guizotia abyssinica* (L.) H. Cass.
"Karala."
26360. *Phaseolus max* L.
"Urid."
26361. *Phaseolus radiatus* L.
"Mug."
26362. *Vigna catjang* (Burm.) Walp.
"Chavali." Brown eye, small.
26363 to 26385. *Garcinia mangostana* L. **Mangosteen.**
Grown at the United States Department of Agriculture greenhouse, Washington, D. C., numbered December 17, 1909.
"These seedlings were raised from S. P. I. No. 21276, received through Mr. H. F. Macmillan, Royal Botanic Gardens, Peradeniya, Ceylon, August 22, 1907. The seedlings were inarched to 4-year-old plants of *Garcinia tinctoria* (DC.) W. F. Wight (*G. xanthochymus*), S. P. I. No. 11788, raised from seeds obtained from Dr. John C. Willis, director of the Royal Botanic Gardens, Peradeniya, Ceylon, October 31, 1904. *G. tinctoria* was used as a nurse plant to which the seedlings of the mangosteens were inarched. Since the unions were effected the mangosteens have made splendid growth and this method promises to be the best one so far as my experimental work in the propagation of the mangosteen has gone. It has been deemed best to give each of these inarched plants a separate S. P. I. number, so that they will not be confused with other mangosteens worked by different methods." (G. W. Oliver.)
26386. *Punica granatum* L. **Pomegranate.**
From Tripoli, in Barbary, North Africa. Forwarded by the American vice-consul, at the request of Mr. William Coffin, American consul, who presented them to the Department. Received December 10, 1909.
26387 and 26388.
From Georgetown, Demarara, British Guiana. Presented by Mr. F. A. Stockdale, assistant director and government botanist, Science and Agriculture Department, Botanic Gardens. Received December 10 and 11, 1909.
Seeds of the following palms:
26387. *Attalea cohune* Mart.
See No. 1970 for description.
*Distribution.*—Honduras, and the northeastern part of South America.
26388. *Copernicia tectorum* (H. B. K.) Mart. (?)
*Distribution.*—The valley of the Orinoco River, in South America.
26389 to 26397. *Zea mays* L. **Corn.**
From Hamburg, Germany. Purchased from Mr. Albert Schenkel, 47 Rosenstrasse. Received December 10, 1909.
Seeds of each of the following; names of varieties as catalogued:
26389. *Zea atropurpurea.*
26390. *Zea caragua.*
26391. *Zea gracillima variegata.*
26392. *Zea gracillima variegata gigantea.*
26393. *Zea gracillima zebrina aurea.*
26394. *Zea japonica*, foliage variegated.
26395. *Zea japonica gigantea quadricolor.*
26396. *Zea* sp. Rissen mais von Peru.
26397. *Zea tunicata*, foliage variegated.
The above were purchased for the experiments of Mr. G. N. Collins, assistant botanist, Bionomic Investigations, this Department.
26398. *Citrus aurantium sinensis* L. **Orange.**
From Toliman Barranca, Hidalgo, Mexico. Presented by Mr. Jorge J. White, Zimapan, Mexico. Received December 15, 1909.
"Cuttings of an orange that retails for 10 centavos each in Mexico City; it is small and extremely sweet, and I believe with care will make a fancy shipping orange. The barranca where they grow was settled by the Spanish padres, who, I believe, introduced the orange; owing to neglect by the Indians, who own all the trees, which are now very few, I suppose that the fruit has deteriorated, but careful cultivation and perhaps crossing might give a remarkably fine orange.
"The winters here are very mild; the soil, generally speaking, is very poor and full of gravel, and is also thin, not exceeding a meter in thickness; underlying the soil is the usual detritus—coarse bowlders—found in the beds of mountain streams. The elevation is about 4,000 feet above sea level." (White.)
26399 to 26406. *Vigna unguiculata* (L.) Walp. **Cowpea.**
From Mount Selinda, Rhodesia, South Africa.
Presented by Mr. C. C. Fuller, through Mr. W. L. Thompson, M. D. Received November 27, 1909.
Seeds of the following, with descriptions of same:
| Number | Description |
|--------|------------------------------|
| 26399 | Small, black. |
| 26400 | Large, black. |
| 26401 | Small, speckled. |
| 26402 | Large, speckled. |
| 26403 | Maroon. |
| 26404 | Small, buff. |
| 26405 | Large, buff. |
| 26406 | Cloudy violet and buff. |
26408. Gossypium hirsutum L.
Cotton.
From Northern Arabia. Presented by Dr. Arthur K. Bennett, Arabian Mission, Busrah, Persian Gulf, via Bombay. Received November 20, 1909.
"Seed of a cotton which I found while traveling across northern Arabia. The women were weaving a light-brown cloth from this kind of cotton, and they say it is bigger and better than the white." (Bennett.)
26411. Ipomoea sinuata Ortega.
From Iguala, Mexico. Collected by Dr. David Griffiths. Received December 23, 1909.
"Seeds of a native ipomoeaceous vine which climbs over shrubs in the valley of Iguala, Mexico. The vine itself is a handsome thing. I have not seen the flowers." (Griffiths.)
26412. Caryophyllus malaccensis (L.) Stokes.
Large rose-apple.
From Honolulu, Hawaii. Presented by Mr. J. E. Higgins, horticulturist, Hawaii Experiment Station. Received December 16, 1909.
"The mountain-apple, as it is locally known in Hawaii, is a very beautiful fruit of a very dark red color when at its best. It is about the size of a small pear and is of mild, rather pleasing flavor. The tree grows to a height of 40 or 50 feet in the wild condition in the mountains and moist gulches, and bears fruit freely. The usual season is from June to September. It is probable that some interesting results would be obtained by the crossing of this species with some of the more highly flavored species of Eugenia, such as *E. michelii* (=*E. uniflora*)." (Higgins.)
Distribution.—Throughout the Polynesian islands; varieties in cultivation in Bengal and Burma.
26413. Psidium laurifolium Berg.
From Port of Spain, Trinidad. Presented by Mr. F. Evans, acting superintendent, Botanical Department, Department of Agriculture. Received December 10, 1909.
"Jelly made from this fruit has been found to be of considerable value, from the fact that by its agreeable acidity it is quite distinct in flavor from the ordinary guava jelly made from *Psidium guajava* and *P. polycarpum*. It is also said that it 'jellies' much quicker than the common West India guava.
"It is a plant, therefore, which is likely to become widely distributed on account of its usefulness. The jelly, with soda and ice, makes an excellent 'soft' or 'cool' drink equal to or better than any of the ordinary fruit sirups." (Extract from Bulletin 57, Trinidad Botanical Department, January, 1908.)
Distribution.—The vicinity of Masaya, near the Pacific coast of Nicaragua.
26414 to 26418. Citrullus vulgaris Schrad.
Watermelon.
From Salisbury, Md. Grown by Mr. W. F. Allen; presented through Prof. W. W. Tracy. Received December 15, 1909.
Seeds of the following selections made from the Roumanian watermelons received through Consul Knowles; notes by Mr. Allen:
26414. Rind nearly white; yellow flesh; reddish-brown seeds.
26415. Striped rind; red meat; reddish-brown seeds.
26416. Rind nearly white; red flesh; reddish-brown seeds.
26417. Striped rind; red flesh; black seeds.
26418. Rind nearly white; red flesh; small reddish-brown seeds. This variety was quite uniform, there being only one type; grown from the second lot of S. P. I. No. 22658, received May 14.
26421 to 26423.
From Hwai Yuan, via Nanking, China. Presented by Mr. Samuel Cochran, American Presbyterian Mission. Received October 15, 1909.
Seeds of the following; notes and native names by Mr. Cochran:
26421. *Citrullus vulgaris* Schrad. **Watermelon.**
“Hwang jang hsi kwa,” yellow fleshed.
26422 and 26423. *Brassica pekinensis* (Lour.) Skeels. **Pe tsai cabbage.**
26422. *T'ang pei ts'ai* (soup white vegetable).
Planted in spring, summer, and autumn by sowing thickly on freshly cultivated soil and then raking in. Ready for use in 20 to 30 days. Eaten boiled. It is also sometimes transplanted from the beds sown as above into rows, each bunch being a foot or so apart. It then grows into large, thick-stalked bunches which are pickled and eaten during the entire year. It is gathered at first hoarfrost when grown in this way, as the first frost kills it.
26423. *P'iao pei ts'ai* (dipper white vegetable).
So called from the shape of the leaf. Sown in beds in August and transplanted into rows in bunches, each clump being separate. It is transplanted in September or early October, and is ripe when snow falls; it continues to ripen through the winter in spite of frost and snow, but its quality is improved by being covered with straw.
26424 to 26439.
Procured by Mr. A. J. Perkins, of the firm of Jackson & Perkins, Newark, N. J., while making a trip through Japan. Received December 8, 1909.
Seeds of the following obtained in Japan, unless otherwise noted; descriptive notes by Mr. Perkins:
26424. *Akebia lobata* Decaisne.
A vine from which baskets are made at Aomori, Japan. It is used as an ornamental in the United States. Seeds of an especially large-fruited variety as well as a common kind are contained in this lot.
See No. 24744 for previous introduction and distribution.
26425. *Citrus* sp. **Orange.**
“Yusu.” A Japanese sour orange, round and flat. Used as lemon and as a stock.
26426. *Citrus trifoliata* L.
Seed from a tree in the Yokohama Nursery Co.’s grounds.
26427 and 26428. *Cucurbita pepo* L. **Squash.**
26427. “Chirimen.” Has a rough, knotted exterior; named after a kind of silk having rough knots in its texture.
26428. “Kikuza.” Has a smooth exterior, as its name signifies.
Both these kinds are said to have yellow meat $1\frac{1}{2}$ inches thick which is of fine flavor when boiled.
26429. Diospyros kaki L. f.
Persimmon.
These seeds are from nonastringent fruit.
26430. Euonymus oxyphyllus Miq.
From Botanical Gardens, Sapporo, Japan.
Distribution.—The vicinity of Port Chushan, Korea; also Japan.
26431. Fedia scabiosaefolia (Fisch.) Trev.
“Omineshi.” An ornamental herbaceous perennial from Morioka, Japan.
Distribution.—The provinces of Chihli, Shingking, Kiangsu, Chekiang, Fukien, Hupeh, and Kwangtung, in China; Korea, and Japan.
26432. Firmiana simplex (L.) W. F. Wight
“Ao giri.” From Morioka, Japan.
26433. Hordeum distichon nudum L.
Naked barley.
“Shiratama” (white grain). Winter barley, procured by Prof. Gentau Tamada, from Morioka, Japan.
26434. Hordeum vulgare coeleste L.
Barley.
“Marumi” (round seed). From Messrs. Aizawa & Co., Sapporo, Japan.
26435 and 26436. Perilla nankinensis (Lour.) Decais.
26435. White or green leaved variety.
26436. Purple-leaved variety.
Known in Japan as “Shiso;” edible, being used as a condiment in cooking and to color pickles in combination with Prunus mume.
Distribution.—The provinces of Kiangsi and Szechwan, China; also Japan.
26437. Pithecolobium dulce (Roxb.) Benth.
From Kapiolani Park, Honolulu, Hawaii. See No. 23457 for description.
26438. Sesamum orientale L.
Sesame.
Black seeded.
26439. Zanthoxylum piperitum (L.) DC.
“San-sho.” A condiment, purchased in Hakodate.
Distribution.—Provinces of Shensi and Shantung, eastern China; the island of Port Hamilton, in the Korean Archipelago; and the woods on the mountain slopes in central Japan.
26440. Anona longiflora S. Watson.
From Altadena, Cal. Presented by Mr. F. O. Popenoe. Received December 20, 1909.
Budwood taken from the tree which produced the seed sent in under S. P. I. No. 26298, which see for description.
26441. Anona sp.
From San Salvador, Salvador, Central America. Presented by Mr. H. F. Schultz, Ancon, Canal Zone, Panama. Received November 23, 1908.
“I obtained the seed of this Anona from a friend of mine whom I met in Panama and who mailed it to me from San Salvador, Salvador. When I saw him at Ancon he spoke very highly of these ‘sugar apples’ of his country; beyond his verbal descriptions, which were very general, I have no guide regarding the identity of the species.” (Schultz.)
26442 to 26456.
The following seeds were turned over to this office by Dr. R. H. True, physiologist in charge of Drug-Plant, Poisonous-Plant, Physiological, and Fermentation Investigations, for distribution, December 27, 1909.
| Number | Plant Name | Common Name |
|--------|----------------------------------|-------------------|
| 26442 | Atropa belladonna L. | Belladonna |
| 26443 | Calendula officinalis L. | Pot marigold |
| 26444 | Cannabis sativa L. | Hemp |
| 26445 | Carum carvi L. | Caraway |
| 26446 | Nepeta cataria L. | Catnip |
| 26447 | Conium maculatum L. | Conium |
| 26448 | Coriandrum sativum L. | Coriander |
| 26449 | Digitalis purpurea L. | Foxglove |
| 26450 | Foeniculum vulgare Hill. | Fennel |
| 26451 | Inula helenium L. | Elecampane |
| 26452 | Lobelia inflata L. | Indian tobacco |
| 26453 | Althaea officinalis L. | Marshmallow |
| 26454 | Monarda fistulosa L. | Horsemint |
| 26455 | Spigelia marilandica L. | Maryland pinkroot |
| 26456 | Sesamum orientale L. | Sesame |
White seeded.
26457 to 26459. Hordeum spp. Hull-less barley.
From Nara, Japan. Procured by Mr. A. J. Perkins, from Dr. G. Nakamura, director, Experiment Station. Received December 22, 1909.
Seeds of the following; descriptive notes by Mr. Perkins:
26457. "Zun-paku-mugi." Pure white naked barley; produces 1.751 koko per tau (one-fourth acre) and is hardy.
26458. "Yane-hadake." This is hardy and produces more than 1 koko per tau.
26459. "Kama-ore." Produces 2.005 koko per tau and is useful for both grain and straw.
26460. Citrus trifoliata L.
From Tokyo, Japan. Presented by Prof. Y. Kozai, director, Imperial Agricultural Experiment Station. Received December 27, 1909.
Large seeded. To be used for stocks.
26462 to 26465. Trifolium subrotundum Steud. & Hochst.
From Adis Ababa, Abyssinia. Presented by Mr. Hoffman Philip, American minister. Received December 20, 1909.
Seeds from plants found in a shady garden; descriptive notes by Mr. Philip:
26462. Most profuse variety; full flower; large leaves light in center; grows to height of about 1½ feet.
26463. Full flower; small leaves; grows to height of about 1 foot; not very profuse.
26464. Grows to height of about 3 feet; not very erect; large leaves, all one color.
26465. Grows to height of about 2 feet; not very erect; very narrow leaf."
26470. Spondias dulcis Forst. We fruit.
From Monrovia, Liberia. Presented by Mr. E. L. Parker, commissioner of agriculture. Received December 30, 1909.
"The we fruit (pronounced vee) or Tahiti-apple. The tree is of rapid growth, highly ornamental, and attains a height of 50 feet in its native habitat. The golden-yellow fruits, about 2 to 3 inches in diameter, are produced in loose clusters. The brownish-yellow flesh partakes of the flavor of a pineapple and most people become very fond of the fruit when once accustomed to it.
"The we fruit is indigenous to the Society Islands and is now disseminated to most tropical countries. In Florida, where it has fruited in Miami and Lemon City for at least four years, it appears well adapted to well-drained land underlaid with coral limestone. It is a trifle less hardy than the mango, to which plant the we fruit is related." (P. J. Wester.)
Distribution.—Cultivated throughout the Tropics; probably native in the Polynesian islands.
PUBLICATION OF A NEW NAME.
26078. Capriola incompleta (Nees) Skeels.
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): A software application that provides services for creating, maintaining, and managing databases.
5. Encryption: The process of converting information into a coded form to prevent unauthorized access.
6. Hashing: A technique for mapping data of arbitrary size to fixed-size values.
7. Interface: A boundary between two systems or components that allows them to communicate with each other.
8. Object-Oriented Programming (OOP): A programming paradigm that emphasizes the use of objects to represent real-world entities and their interactions.
9. Protocol: A set of rules and procedures for communication between different systems or devices.
10. Query: A request for information from a database.
11. Security: The measures taken to protect data and systems from unauthorized access, theft, or damage.
12. Software: A collection of instructions and data that can be executed by a computer to perform specific tasks.
13. System: A collection of hardware and software components that work together to achieve a common goal.
14. User Interface (UI): The part of a computer program that interacts with the user, allowing them to input commands and receive feedback.
15. Virtual Machine (VM): A software implementation of a computer system that runs on top of another operating system.
These terms are fundamental to understanding the concepts and practices in computer science, and they are widely used in various fields such as software development, database management, security, and networking.
INDEX OF COMMON AND SCIENTIFIC NAMES, ETC.
Acacia sp., 26163.
arabica, 26162.
longifolia, 26304.
Aextoxicon punctatum, 26305.
Akebia lobata, 26424.
Aleurites fordii, 26279.
trisperma, 26050.
Alfalfa (Africa), 26181.
(Algeria), 26161.
Grimm, 26117.
(Turkey), 26130.
Allium cepa, 26134.
Althaea officinalis, 26453.
Amygdalus andersonii, 26297.
Andropogon halepensis virgatus, 26301.
sorghum, 26145, 26146.
Anona sp., 26441.
cherimola, 26148 to 26155.
longiflora, 26298, 26440.
squamosa, 26203, 26290.
Apium graveolens, 26068.
Apricot (India), 26048.
Aralia cordata, 26069, 26288.
Aristotelia macqui, 26306.
Arracacia sp., 26204.
Atropa belladonna, 26442.
Attalea cohune, 26387.
Avena sativa, 26228, 26229, 26307, 26308.
Bamboo (Chile), 26310, 26311.
Banucalag. See Aleurites trisperma.
Barley (Africa), 26179.
hull-less, 26433, 26457 to 26459.
(Japan), 26433, 26434, 26457 to 26459.
Barringtonia asiatica, 26164.
Bauhinia acuminata, 26165.
Bean, horse, 26141, 26253, 26282, 26294 to 26296.
Beet, wild (Sicily), 26067.
Beta vulgaris, 26067.
Blackberry, parsley-leaved, 26238.
Boquila trifoliata, 26309.
Boussingaultia baselloides, 26177.
Brassica oleracea capitata, 26241.
pekinensis, 26422, 26423.
Butea monosperma, 26167.
Byrsonima cotinifolia, 26205.
Cabbage (Manchuria), 26241.
Pe-tsai. See Brassica pekinensis.
Casalpinia coriaria, 26171.
Calendula officinalis, 26443.
Cannabis sativa, 26444.
Capriola incompleta, 26078.
Carica papaya, 26224, 26291.
Carum carvi, 26445.
Caryophyllus malaccensis, 26412.
Cassia auriculata, 26168.
glauca, 26169.
grandis, 26170.
Castanea hybrids, 26230 to 26235.
Cedrela odorata, 26178.
Celery, "Improved Paris celeri-rave, 26068.
Cherimoyer (Chile), 26148 to 26155.
Cherry, flowering, 26246 to 26252.
(India), 26144.
Chick-pea. See Cicer arietinum.
Chinese date. See Zizyphus sativa.
Chrysanthemum hybridum, 26189.
Chusquea quila, 26310, 26311.
Cicer arietinum, 26193, 26194.
Citrullus vulgaris, 26156 to 26158, 26225 to 26227, 26312, 26414 to 26418, 26421.
Citrus sp., 26425.
aurantium sinensis, 26147, 26182, 26209 to 26219, 26398.
bergamia, 26123.
limetta, 26220, 26221.
limonum, 26222, 26223.
trifoliata, 26426, 26460.
Conium maculatum, 26447.
Copernicia tectorum, 26388.
Coriandrum sativum, 26448.
Corn (Germany), 26389 to 26397.
Cotton, Abbasi, 26136.
(Arabia), 26408.
Cowpea, black, 26303, 26399, 26400.
buff, 26302, 26404, 26405.
maroon, 26403.
(Rhodesia), 26399 to 26406.
(Uganda), 26302, 26303.
Crab apple (India), 26143.
Crataegus azarolus, 26116, 26354.
Crotalaria juncea, 26356.
Cucumber (Syria), 26111.
Cucumis melo, 26201, 26313.
sativus, 26111.
Cucurbita pepo, 26110, 26427, 26428.
Danthonia semiannularis, 26119.
Digitalis purpurea, 26449.
Diospyros discolor, 26112.
kaki, 26429.
Dolichos biflorus, 26357.
lablab, 26358.
Embothrium coccineum, 26314, 26315.
Eucalyptus botryoides, 26258.
goniocalyx, 26257.
paucijlora, 26259.
sideroxylon, 26256.
Eucriphylla cordifolia, 26316.
Euonymus oxyphyllus, 26430.
Fedia scabiosaefolia, 26431.
Feijoa sellowiana, 26120, 26121.
Ficus benghalensis, 26173.
cannonii, 26174.
Firmiana simplex, 26432.
Foeniculum vulgare, 26450.
Fragaria sp., 26137.
Funatum elastica, 26184.
Furcarea bedinghausi, 26186.
Garcinia brasiliensis, 26243.
mangostana, 26363 to 26385.
Gevuina avellana, 26317, 26318.
Gladiolus sp., 26142.
Gladiolus (Transvaal), 26142.
Glycine hispida, 26051 to 26054, 26159,
26160, 26236, 26237.
Gooseberry hybrids, 26138 to 26140.
Gossypium barbadense, 26136.
hirsutum, 26408.
Granadilla. See Passiflora quadrangularis.
Grass, New Zealand rice. See Microlaena stipoides.
wallaby. See Danthonia semiannularis.
Greigia sphacelata, 26319.
Guizotia abyssinica, 26359.
Gunnera chilensis, 26320.
Gymnocladus chinensis, 26281.
Haematoxylum campechianum, 26176.
Hordeum sp., 26457 to 26459.
distichon nudum, 26433.
vulgare coeleste, 26434.
Husk tomato. See Physalis ixocarpa.
Inula helenium, 26451.
Ipomoea sinuata, 26411.
Kaempferia sp., 26188.
"Karroo bush." See Pentzia incana.
Kusa. See Cucurbita pepo.
Laurelia sempervirens, 26321.
Lemon, Bijou, 26222.
white, 26223.
Lime, bitter, 26221.
common, 26220.
Lobelia inflata, 26452.
Logwood, 26176.
Lolium strictum, 26200.
Mabola. See Diospyros discolor.
Malus sylvestris, 26143.
Mangifera indica, 26125.
Mango, Julie, 26125.
Mangosteen. See Garcinia mangostana.
Manila hemp. See Musa textilis.
Maytenus boaria, 26187, 26322, 26323.
Medicago hispida, 26073, 26074.
confinis, 26070.
nigra, 26071, 28072.
terebellum, 26075.
muricata, 26076.
sativa, 26117, 26130, 26161,
26181, 26461.
scutellata, 26077.
Metternichia wercklei, 26353.
Meyer, F. N., seeds obtained, 26131 to 26133.
Microlaena stipoides, 26118.
Millet, Pearl. See Pennisetum americanum.
Monarda fistulosa, 26454.
Mountain-apple. See Caryophyllus maccensis.
Mucuna gigantea, 26115.
Musa textilis, 26062 to 26065.
Muskmelon (Chile), 26313.
(China), 26201.
Nepeta cataria, 26446.
Nothofagus sp., 26324.
Oak, Valonia, 26242.
Oat (Chile), 26307, 26308.
Fichtelgebirge, 26229.
Ligowa, Giant of, 26228.
Onion, Denia, 26134.
Orange, bergamot, mellarosa plena, 26123.
Bittencourt, 26211.
Blood, 26182.
Botelha, 26210.
Dom Louise, 26213.
Dulcissima, 26216.
Egg, 26214.
Excelsior, 26215.
Long, 26209.
(Mexico), 26398.
Navel, 26218.
Nonpareil, 26212.
Silver, 26219.
Usher's Favorite, 26147.
white, 26217.
Yusu, 26425.
Panicum sp., 26267.
Papaw (Dominican Republic), 26224.
(India), 26291.
Parmentiera cereifera, 26206.
Passiflora maliformis, 26269.
quadrangularis, 26268.
Pennisetum americanum, 26180.
Pentzia incana, 26266.
Perilla nankinensis, 26435, 26436.
Persimmon. See Diospyros kaki.
Phaseolus max, 26360.
radiatus, 26361.
Photinia villosa, 26133.
Physalis ixocarpa, 26195.
Pinus pinea, 26283.
Pithecolobium dulce, 26172, 26437.
Plum (India), 26049.
Polakowskia tacaco, 26244, 26245.
Pomegranate (Tripoli in Barbary), 26386.
Populus lasiocarpa, 26355.
Potato (Alaska), 26208.
(Chile), 26327.
(Colombia), 26126 to 26129.
(Scotland), 26122.
Protea mellifera, 26207.
Prunus sp., 26049, 26132, 26246 to 26252.
armeniaca, 26048.
padus, 26144.
Psidium laurifolium, 26413.
Punica granatum, 26386.
Quercus aegilops, 26242.
Quillaja saponaria, 26325.
Radish (Japan), 26284 to 26287.
Miyashige, 26287.
Nerima, 26285.
Sakurajima, 26284.
Takuwan, 26286.
Raphanus sativus, 26284 to 26287.
Raspberry, November Abundance, 26239.
Superlative, 26240.
Rhaphithamnus parvifolius, 26326.
Ribes hybrids, 26138 to 26140.
Rosa sp., 26344 to 26352.
canina, 26265.
Rose, Bonnie Belle, 26345.
Coquina, 26348.
Delight, 26346.
Excelsa, 26351.
Jessica, 26352.
Kalmia, 26344.
Lady Blanche, 26350.
La Fiamma, 26347.
(Mexico), 26265.
Milky Way, 26349.
Rose-apple, large. See Caryophyllus malaccensis.
Roystonea regia, 26300.
Rubus sp., 26197, 26198, 26238 to 26240.
bambusarum, 26270.
chroosepalus, 26275.
conduplicatus, 26276.
coreanus, 26277.
hypargyrus, 26278.
ichangensis, 26272.
innominatus, 26271.
lambertianus, 26274.
parkeri, 26273.
Saccharum officinarum, 26055 to 26061, 26196.
Sapindus mukorossi, 26280.
Schabdar. See Trifolium suaveolens.
Sesame. See Sesamum orientale.
Sesamum orientale, 26438, 26456.
Shasta daisy. See Chrysanthemum hybridum.
"Sherungulu," 26188.
Silene sp., 26202.
Solanum sp., 26122, 26126 to 26129, 26327.
tuberosum, 26208.
Sophora tetraptera, 26328.
Sorghum, Durra (India), 26145, 26146.
Soy bean, black, 26054.
(China), 26051 to 26054, 26159, 26160.
green, 26053, 26160.
(Natal), 26236, 26237.
yellow, 26051, 26159, 26236, 26237.
yellowish green, 26052.
Spigelia marilandica, 26455.
Spondias dulcis, 26470.
Squash (Japan), 26427, 26428.
Stizolobium sp., 26183, 26185, 26289, 26292, 26293.
Strawberry, white, 26137.
Sugar cane (Australia), 26055 to 26061.
Lahina (Hawaii), 26196.
Sweet cup. See Passiflora maliformis.
Tahiti-apple. See Spondias dulcis.
Tea (China), 26330 to 26343.
cliff-grown, 26333 to 26336.
Tepualia stipularis, 26329.
Thea sinensis, 26330 to 26343.
Thespesia lampas, 26166.
Thryallis glauca, 26175.
Trifolium suaveolens, 26135.
subrotundum, 26124, 26462 to 26465.
Udo, Kan, 26069, 26288.
Undetermined, 26199, 26299.
Vicia faba, 26141, 26253, 26282, 26294 to 26296.
Vigna catjang, 26362.
unguiculata, 26302, 26303, 26399 to 26406.
Watermelon (Chile), 26312.
(China), 26156 to 26158, 26421.
(Roumania), 26225 to 26227.
Roumanian, 26414 to 26418.
We fruit. See Spondias dulcis.
Wood-oil tree, China. See Aleurites fordii.
Yonja (alfalfa), Turkey, 26130.
Zanthoxylum piperitum, 26439.
Zea mays, 26389 to 26397.
Zizyphus sativa, 26109. |
DEEP MULTI-VIEW MODELS FOR GLITCH CLASSIFICATION
Sara Bahaadini*, Neda Rohani*, Scott Coughlin**, Michael Zevin**, Vicky Kalogera**, Aggelos K Katsaggelos*
* Department of Electrical Engineering and Computer Science, Northwestern University, Evanston, IL, USA
**CIERA Physics and Astronomy, Northwestern University, Evanston, IL, USA
ABSTRACT
Non-cosmic, non-Gaussian disturbances known as “glitches”, show up in gravitational-wave data of the Advanced Laser Interferometer Gravitational-wave Observatory, or aLIGO. In this paper, we propose a deep multi-view convolutional neural network to classify glitches automatically. The primary purpose of classifying glitches is to understand their characteristics and origin, which facilitates their removal from the data or from the detector entirely. We visualize glitches as spectrograms and leverage the state-of-the-art image classification techniques in our model. The suggested classifier is a multi-view deep neural network that exploits four different views for classification. The experimental results demonstrate that the proposed model improves the overall accuracy of the classification compared to traditional single view algorithms.
Index Terms— Multi-view learning, deep learning, image classification, neural network
1. INTRODUCTION
In many machine learning problems, samples are collected from more than one source. Also, various feature extraction methods can be used to provide more than one set of feature vectors per sample. Such extra sources or feature vectors are referred to as “views”. Using multiple views can improve performance as they may provide complementary or redundant information [1].
Fusion of multiple sources of information has been used in many applications such as emotion recognition [2], recommendation systems [3], speech recognition [4, 5], and biometric verification [6]. Integrating multiple sources of data is a challenging task, and various approaches have been proposed in the literature [4][7]. More recently, deep learning techniques have shown promising performance for multimodal fusion [8, 9, 10]. Moreover, deep learning methods have shown superb performance for many classification problems including image classification. In this paper, we propose deep multi-view models for a particular classification problem from the aLIGO project [11].
Advanced LIGO (Advanced Laser Interferometer Gravitational -wave Observatory, or aLIGO) has recently made the first direct observations of gravitational waves [12] [13], which are ripples in the fabric of spacetime caused by accelerating masses. Since aLIGO is sensitive to minuscule changes in distance, its experimental data is affected by a variety of non-cosmic disturbances. When such disturbances, called “glitches”, show up in the gravitational-wave data, they generally worsen the quality of the detection of candidate cosmic signals. The elimination and prevention of these glitches will improve the quality of the detection system and increase the chance of detecting gravitational waves. Therefore, it is necessary to develop methods for identifying and characterizing glitches, which will help to determine their origin and eliminate their cause. Since glitches can be visualized as time-frequency-energy images (spectrograms), image classification techniques can be used to identify and characterize them.
In this paper, we present the development of a multi-view deep neural network framework for glitch classification. Compared to standard methods that use just one set of images, we propose four-input models. We exploit four different time durations that are available for each glitch, namely each glitch plotted over time windows of 0.5, 1, 2, and 4 seconds. An example of such a glitch (from the “Helix” class) with four durations is shown in Fig. 1. We suggest two multi-view deep neural network models (a parallel view and a merged
view) and we compare their performances to deep single view models. Experimental analysis shows that single view models trained with shorter glitches have a better performance for the classes that have shorter duration, while single view models trained with longer-duration glitches work better for long-duration classes. Our experimental results show that the developed multi-view framework improves the glitch classification accuracy by capturing the required information from glitches of various morphological characteristics.
The rest of this paper is organized as follows. In the next section, we present our model. Experiments and results are discussed in Section 3. We conclude this paper in Section 4.
2. THE PROPOSED MODEL
The main motivation for this study is to exploit multiple views for glitch classification instead of depending on just a single view. We investigate this by combining views’ information at two points as we go through the deep network layers. We thus propose one model in which fusion take place at an early step (referred to as “merged view”) and one in which information is integrated at the middle level (referred to as “parallel view”). In the following sections we explain these two architectures in detail.
**Table 1. Best Models Specifications**
| Single view models | Parallel view model | Merged view model |
|--------------------|---------------------|-------------------|
| Input $1 \times 47 \times 57$ | Input four $1 \times 47 \times 57$ | Input $1 \times 94 \times 114$ |
| $5 \times 5$ Conv- 128, 2 $\times$ 2 Maxpooling, ReLU | Four $5 \times 5$ Conv- 128, 2 $\times$ 2 Maxpooling, ReLU | $5 \times 5$ Conv- 128, 2 $\times$ 2 Maxpooling, ReLU |
| $5 \times 5$ Conv- 128, 2 $\times$ 2 Maxpooling, ReLU | $5 \times 5$ Conv- 128, 2 $\times$ 2 Maxpooling, ReLU | $5 \times 5$ Conv- 128, 2 $\times$ 2 Maxpooling, ReLU |
| Fully Connected-256 Softmax-20 | Fully Connected-256 Softmax-20 | Fully Connected-256 Softmax-20 |
2.1. Parallel view model
The idea behind the parallel view model is to project each view into a feature space which is based more on the statistical properties of the samples than their view-specific properties. This projection makes the views interact with each other and be presented in a common feature space more efficiently. We illustrate the construction of the parallel view model using the four durations as views in Fig. 2. At the very first layer, each view passes through a convolutional layer, followed by max-pooling and ReLU activation. Then, we introduce a shared layer (merger layer) to map all views into a common feature space. Another set of convolutional, max-pooling, and activation layers is used after the merger layer to model the obtained common features from the previous layers. In the end, a fully connected layer and a softmax layer are employed (see Fig. 2).
2.2. Merged view model
In this model, we introduce the network layers on top of the merged views. We merge the views by forming a $2m \times 2k$
matrix by placing next to each other four $m \times k$ images. After merging the views, a set of convolutional layer followed by max-pooling and activation layer is used, and then a fully connected layer and a softmax layer are exploited (see Fig. 3). This approach clearly models jointly the distribution of the different views in their original feature space. This seems a reasonable approach since the correlations among the views in our problem are not highly non-linear compared to other tasks where the views are very different, such as image and text [8], or audio and video [9]. Therefore it is possible for the model to learn such correlations even in the original space of data.
2.3. Training
The models presented above optimize a loss function defined on the training data. For training the model, we can use either the mean squared error or the average cross-entropy error as the loss function. Due to the advantages of the average cross-entropy error over the mean squared error, e.g., the derivation of a “better” gradient for back propagation, for multi-class classification problems [14], in our model we use a cross-entropy based loss function defined as follows:
$$E = -\sum_{n=1}^{N} \sum_{i=1}^{C} y_i^n \log o_i^n$$ \hspace{1cm} (1)
where $o_i^n$ is the model’s output for class $i$ when the $n^{th}$ training sample is given to the network, $y_i^n$ is one if the $n^{th}$ sample is from class $i$, otherwise it is zero, and $N$ and $C$ are the total numbers of the training samples and classes, respectively. There exits many optimization techniques [15, 16, 17, 18] that we can use to optimize the objective function. We use the Adadelta [15] optimizer. It monotonically decreases the learning rate and shows good performance in our experiments.
3. EXPERIMENTS AND RESULTS
3.1. Dataset
The dataset consists of glitch samples from 20 classes. The glitches are represented as a spectrogram, a time-frequency representation where the x-axis represents the duration of the glitch and the y-axis shows the frequency content of the glitch. The colors indicate the “loudness” of the glitch in the aLIGO detector. The classes arise from different environmental and instrumental mechanisms, and are based on the shape and intensity of the glitch in time-frequency space. The primary sample duration is 0.5 second. However, in this study we use three other durations, i.e., 1.0, 2.0 and 4 seconds, per glitch to train our multi-view models. An example of the dataset with four durations is shown in the Fig. 1. In total, there are 7730 glitches in our dataset. We use 75%, 12.5%, and, 12.5% of samples as training, validation, and test sets, respectively\footnote{This dataset will be publicly available soon.}.
3.2. Experiment
Baseline
A straightforward approach is to use just one glitch duration, as is done in a traditional single view approach. We use this as a baseline to compare the performance of our multi-view deep models. For single view models, we use CNNs with the structure shown in Table 1 (left column). The architecture of CNNs is optimized for the best classification accuracy. We use two convolutional layers with 128 kernels of size $5 \times 5$, max-pooling of $2 \times 2$, and the ReLU activation function. Batch size is set to 30, and the number of iterations is 130. In Table 2, the classification accuracies of single view CNNs are presented.
| Classifier | Duration | Accuracy (%) |
|------------|----------|--------------|
| Classifier 1 | 0.5 second | 92.85 |
| Classifier 2 | 1 second | **95.34** |
| Classifier 3 | 2 seconds | 94.09 |
| Classifier 4 | 4 seconds | 93.68 |
Deep multi-view models
In the parallel view model, first, we use four separate convolutional layers (see Fig. 2). Each has 128 kernels with size $5 \times 5$, and $2 \times 2$ max-pooling and ReLu activation. Then, we merge the output of these four convolutional layers into the merger layer and use another convolutional layer with the same structure, and finally a fully connected layer with 256 nodes and a softmax layer with 20 nodes (equal to the number of classes). All these details are shown in the middle column of Table 1. The parameters of this architecture were obtained based on extensive experimentation and guidance from literature.
In the merged view model, we use the structure shown in Fig. 3. Two convolutional layers with 128 kernel of size $5 \times 5$, max-pooling of $2 \times 2$, and ReLU activation function are used. One fully connected layer with 256 nodes and softmax with 20 outputs are added to the model. All details are shown in the right column of Table 1.
For both structures, the number of iterations is set to 130 and the batch size is 30. We use Keras [19] with Theano [20] back-end for all implementations. In Table 3, the best performances of parallel and merged view models are compared.
Fig. 4. An example of a glitch that was misclassified by all four single view models, but correctly classified with both of the multi-view models. The single view model, which is trained with 0.5 second duration images, classifies it as “Blip” class. The predicted class is “Repeating Blips”, “Koi fish”, and “Koi fish” for the single view models trained with 1, 2, and 4 second duration glitches, respectively. Multi-view models predict the sample correctly as belongs to the “Light Modulation” class.
Table 3. Classification accuracy of single and multi-view CNNs.
| Classifier | Accuracy (%) |
|-----------------------------|--------------|
| The best single view model | 95.34 |
| parallel view model | 95.75 |
| merged view model | 96.89 |
with the best single view model performance. See Table 1 for full models specifications.
3.3. Analysis
As the results in Table 3 show, the performance of multi-view deep models is better than single view models. An example of a misclassified sample by all single view models that was classified correctly by the multi-view models is shown in Fig. 4. Such examples show that in many cases, single view models do not have the needed sight and horizon for recognizing glitches correctly. Glitch classes are divided into short and long duration based on the glitch duration. In Table 4, we show the category of each class plus the accuracy of two of the single view models; the 0.5-second model (Classifier 1) and 4-second model (Classifier 4). As can be seen in this table Classifier 1 performs at least as good as Classifier 4 for short duration glitches, while the opposite is true for long duration glitches, as expected for some classes (e.g., “Air Compressor” and “Tomte”) the performance is perfect with both classifiers. Clearly the multi-view models which use all durations can capture the needed information to classify all types of glitches (according to their duration) more accurately.
4. CONCLUSIONS
In this paper, we proposed multi-view deep neural network models for the glitch classification problem in aLIGO data. Two multi-view models, merged view and parallel view, are presented. The parallel view model projects samples into a common feature space where the views can interact efficiently. In the merged view model, the deep model is introduced on the concatenated durations. The experimental results show that multi-view models provide higher classification accuracy compared to the single view models, since they can accommodate efficiently the various classes independently of the glitch durations.
5. ACKNOWLEDGMENT
This work was supported in part by an NSF INSPIRE grant (award number IIS-1547880). The authors would like to thank Joshua Smith from California State - Fullerton University for being the chief point of contact between this study and the LIGO detector characterization working group and for being a resource on LIGO glitches and current methods of data analysis.
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Art of the United States: 1670-1966
Art of the United States: 1670-1966
This exhibition marking the opening of the new building of the Whitney Museum of American Art presents a survey of American painting and sculpture from early colonial days to the present. While the Whitney Museum's activities have centered around the art of our time, and particularly the works of living artists, it was founded as a museum of all American art, past as well as present. Over the years it has carried on varied programs in historical art, including exhibitions, acquisitions, research and publications. Due to space limitations in the Fifty-fourth Street building these programs had to be somewhat reduced. But with greatly increased space for the future, the Museum plans to resume and expand its activities in the field of historical American art.
The Museum wishes to express its deep gratitude to the many owners, public and private, who have lent outstanding paintings and sculpture from their collections, including a number of works not customarily lent. The very generous cooperation of these lenders, which has made this exhibition possible, has been a rewarding experience for the Museum and its staff.
A fully illustrated catalogue, with text by the writer, will be published in early October.
LLOYD GOODRICH
Director
Catalogue
Paintings are in oil unless otherwise specified. Dimensions are in inches, height preceding width. The largest dimension of sculpture is given.
PAINTINGS
JOSSEF ALBERS b. 1888
1 Homage to the Square: "Ascending." 1953. 43½ x 43½. Collection of the Whitney Museum of American Art.
IVAN ALBRIGHT b. 1897
2 Poor Room — There is No Time, No End, No Today, No Yesterday, Only the Forever, and Forever and Forever without End. 1941-43, 1948-55, 1957-62. 48 x 37. Lent by Mr. and Mrs. Ivan Albright.
WASHINGTON ALLSTON 1799-1843
3 Elijah in the Desert. 1818. 48¾ x 72½. Lent by the Museum of Fine Arts, Boston.
4 Rising of a Thunderstorm at Sea. 1804. 38¼ x 51. Lent by the Museum of Fine Arts, Boston.
ANONYMOUS
5 John Van Cortlandt. c. 1731. 57 x 40⅞. Lent by The Brooklyn Museum.
ANONYMOUS
6 Mrs. Elizabeth Paddy Wensley. 1670-80. 42¼ x 53¾. Lent by the Pilgrim Society.
RICHARD ANUSZKIEWICZ b. 1930
7 The Feast of the Sun and the Moon. 1964. Synthetic polymer paint. 36 x 36. Lent by Mr. and Mrs. Burton Peskin.
JOHN JAMES AUDUBON 1785-1851
8 Audubon's Caracara. 1831. Pencil, ink, watercolor, pastel, egg-white. 38¼ x 25. Lent by the New-York Historical Society.
9 Wood Duck. c. 1825. Pencil, watercolor, ink, pastel, egg-white. 38 x 25¾. Lent by The New-York Historical Society.
MILTON AVERY 1893-1965
10 Speed Boat's Wake. 1959. 51 x 72. Lent by Mrs. Milton Avery.
WILLIAM BAZIOTES b. 1912
11 The Beach. 1955. 36 x 48. Collection of the Whitney Museum of American Art.
GEORGE BELLOWS 1882-1925
12 Dempsey and Firpo. 1924. 51 x 63¼. Collection of the Whitney Museum of American Art.
THOMAS HART BENTON b. 1889
13 Preparing the Bill. 1934. 46 x 38. Lent by Randolph-Macon Woman's College.
FUGENE BERMAN b. 1899
14 The Muse of the Western World. 1942. 50⅞ x 37¾. Lent by The Metropolitan Museum of Art, George A. Hearn Fund, 1943.
ALBERT BIERSTADT 1830-1902
15 The Bombardment of Fort Sumter. c. 1861. 26 x 68. Lent by The Union League of Philadelphia.
16 The Buffalo Trail — The Impending Storm. 1869. 29½ x 49½. Lent by The Corcoran Gallery of Art, gift of Mr. and Mrs. Lansdell K. Christie.
GEORGE CALFB BINGHAM 1811-1879
17 Raftsmen Playing Cards. 1847. 28 x 36. Lent by the City Art Museum of Saint Louis, Ezra H. Linley Fund.
ELMER BISCHOFF b. 1916.
18 Lavender Curtain. 1962. 54 x 72. Lent by the Staempfli Gallery.
ISABEL BISHOP b. 1902
19 Subway Scene. 1957-58. Egg tempera, oil. 40 x 28. Collection of the Whitney Museum of American Art.
JOSEPH BLACKBURN Active in America 1754-1763
20 James Boudoin III and His Sister Elizabeth (as children). c. 1762. 37 x 58. Lent by the Bowdoin College Museum of Art.
RALPH A. BLAKELOCK 1847-1919
21 *Ecstasy*. 30 x 38. Lent by The Hackley Art Gallery.
22 *Moonlight, Indian Encampment*. 26½ x 33¾. Lent by the National Collection of Fine Arts, Smithsonian Institution.
HYMAN BLOOM b. 1913
23 *The Anatomist*. 1953. 70½ x 40½. Collection of the Whitney Museum of American Art.
OSCAR BLUEMNER 1867-1938
24 *Old Canal Port*. 1914. 30¼ x 40⅓. Collection of the Whitney Museum of American Art.
PETER BLUME b. 1906
25 *Passage to Etna*. 1956. 78 x 38¾. Lent by the Fogg Art Museum, Harvard University, gift of Edward L. Holsten.
DAVID G. BLYTHE 1815-1865
26 *General Doubleday Watching His Troops Cross the Potomac*. 1863. 30¼ x 40. Lent by the National Baseball Hall of Fame and Museum, Inc.
27 *The Pittsburgh Horse Market*. c. 1858. 26½ x 36½. Lent by Thomas M. Evans.
LOUIS BOUCHÉ b. 1896
28 *The Kiss*. Before 1918. 45¾ x 24. Lent by the Walker Art Center.
ALEXANDER BROOK b. 1898
29 *The Sentinels*. 1934. 32 x 48⅓. Collection of the Whitney Museum of American Art.
JAMES BROOKS b. 1906
30 *Rasalns*. 1959. 66 x 79¾. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
PATRICK HENRY BRUCE 1881-1937
31 *Painting*. c. 1930. 35 x 45¾. Collection of the Whitney Museum of American Art, anonymous gift.
GEORGE DE FOREST BRUSH 1855-1941
32 *A Family Group*. 1907. 31⅔ x 39½. Lent by The Art Institute of Chicago, gift of Philip D. Armour.
J. D. BUNTING Active 1840-1850
33 *Darby, Pennsylvania, after the Burning of Lord's Mill*. 1840-50. 42 x 51¼. Lent by the Museum of Fine Arts, Boston.
CHARLES BURCHFIELD b. 1893
34 *An April Mood*. 1946-55. Watercolor. 40 x 54. Collection of the Whitney Museum of American Art, gift of Mr. and Mrs. Lawrence A. Fleischman (and purchase).
35 *Old House by Creek*. 1932-38. 31½ x 57. Collection of the Whitney Museum of American Art.
PAUL BURLIN b. 1886
36 *Young Man Alone with His Face*. 1944. 39 x 32. Collection of the Whitney Museum of American Art.
PAUL CADMUS b. 1904
37 *Fantasia on a Theme by Dr. S.*. 1946. Egg tempera. 13 x 13. Collection of the Whitney Museum of American Art.
ARTHUR B. CARLES 1882-1952
38 *Bonquet Abstraction*. c. 1930. 31¾ x 36. Collection of the Whitney Museum of American Art.
MARY CASSATT 1845-1926
39 *The Bath*. c. 1891-92. 39½ x 26. Lent by The Art Institute of Chicago, Robert A. Waller Fund.
40 *Woman and Child Driving. (Lydia Cassatt and a niece of Degas')*. 1879. 35¼ x 51½. Lent by the Commissioners of Fairmount Park, W. P. Wilstach Collection, Courtesy of the Philadelphia Museum of Art.
41 *Young Women Picking Fruit*. 1891. 51¼ x 35¾. Lent by the Museum of Art, Carnegie Institute.
THOMAS CHAMBERS Active 1834-1866
42 *The United States and the Macedonian*. 1852. 31¼ x 50⅓. Lent by Mr. and Mrs. Sheldon Keck.
WINTHROP CHANDLER 1747-1790
43 *Captain Samuel Chandler*. c. 1780. 54⅞ x 47⅝. Lent by the National Gallery of Art, gift of Edgar William and Bernice Chrysler Garbisch.
44 *Mrs. Samuel Chandler*. c. 1780. 54⅜ x 47⅝. Lent by the National Gallery of Art, gift of Edgar William and Bernice Chrysler Garbisch.
WILLIAM M. CHASE 1849-1916
45 *Hide and Seek*. 1888. 27½ x 36. Lent by The Phillips Collection.
46 *Near the Beach, Shinnecock*. c. 1895. 30 x 18. Lent by The Toledo Museum of Art, gift of Arthur J. Secor, 1924.
FREDERIC E. CHURCH 1826-1900
47 *Rainy Season in the Tropics*. 1866. 55 x 84. Lent by Mr. and Mrs. J. William Middendorf II.
48 *Twilight in the Wilderness*. 1860. 64 x 40. Lent by The Cleveland Museum of Art, Mr. and Mrs. William H. Marlatt Fund.
THOMAS COLE 1801-1848
49 *Landscape With a Dead Tree*. c. 1827-28. 26½ x 32½. Lent by the Museum of Art, Rhode Island School of Design.
50 *The Osbou (The Connecticut River near Northampton)*. 1836. 51½ x 76. Lent by The Metropolitan Museum of Art, gift of Mrs. Russell Sage, 1909.
51 *The Voyage of Life: Manhood*. 1840. 52 x 78. Lent by the Munson-Williams-Proctor Institute.
JOHN SINGLETON COPLEY 1738-1815
Nicholas Boylston. c. 1767. 50\(\frac{1}{4}\) x 40\(\frac{1}{4}\). Lent by the Museum of Fine Arts, Boston.
Mrs. Rebecca Boylston Gill. c. 1773. Oil. 49\(\frac{3}{4}\) x 39\(\frac{1}{2}\). Lent by the Museum of Art, Rhode Island School of Design.
Mrs. Ezekiel Goldthwait. 1770-71. 50 x 39\(\frac{3}{4}\). Lent by the Museum of Fine Arts, Boston.
Mr. and Mrs. Thomas Mifflin. 1773. 60\(\frac{1}{2}\) x 48. Lent by the Historical Society of Pennsylvania.
RALSTON CRAWFORD b. 1906.
Lobster Pots Number 3. 1960-63. 45 x 60. Lent by the artist.
JASPER FRANCIS CROPSEY 1823-1900
Autumn on the Hudson River. 1860. 60 x 108. Lent by the National Gallery of Art, gift of the Avalon Foundation.
JOHN STEUART CURRY 1897-1946
Baptism in Kansas. 1928. 40 x 50. Collection of the Whitney Museum of American Art.
ANDREW DASBURG b. 1887
New Mexican Village. 1926. 24 x 30. Lent by the Museum of New Mexico.
ARTHUR B. DAVIES 1862-1928
Crescendo. 1910. 18 x 40. Collection of the Whitney Museum of American Art.
STUART DAVIS 1894-1964
Oub! in San Pa. 1951. 52\(\frac{1}{2}\) x 41\(\frac{3}{4}\). Collection of the Whitney Museum of American Art.
The Paris Bit. 1959. 46 x 60. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
CHARLES DEAS 1818-1867
The Death Struggle. 1845. 30 x 25. Lent by the Webb Gallery of American Art, Shelburne Museum.
WILLEM DE KOONING b. 1904
Door to the River. 1960. 80 x 70. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art (and purchase).
Woman and Bicycle. 1952-53. 76\(\frac{1}{2}\) x 49. Collection of the Whitney Museum of American Art.
CHARLES DEMUTH 1883-1935
The Circus. 1917. Watercolor. 15\(\frac{11}{16}\) x 18\(\frac{3}{8}\). Lent by the Ferdinand Howald Collection, The Columbus Gallery of Fine Arts.
Illustration for "Distinguished Air." 1930. Watercolor. 16 x 12. Lent by The Downtown Gallery.
Modern Conveniences. 1921. 29\(\frac{3}{8}\) x 25\(\frac{1}{8}\). Lent by the Ferdinand Howald Collection, The Columbus Gallery of Fine Arts.
My Egypt. 1927. 35\(\frac{3}{4}\) x 30. Collection of the Whitney Museum of American Art.
THOMAS W. DEWING 1885-1938
The Recitation. 1891. 30 x 55. Lent by The Detroit Institute of Arts.
The Spinet. 15\(\frac{9}{16}\) x 20. Lent by the National Collection of Fine Arts, Smithsonian Institution.
EDWIN DICKINSON b. 1891
The Fossil Hunters. 1926-28. 96\(\frac{1}{2}\) x 73\(\frac{3}{4}\). Collection of the Whitney Museum of American Art.
RICHARD DIEBENKORN b. 1922.
Interior with Doorway. 1962. 70\(\frac{1}{4}\) x 59\(\frac{1}{2}\). Lent by the Pennsylvania Academy of the Fine Arts.
BURGOYNE DILLER 1906-1965
First Theme: Number 10. 1963. 72 x 72. Collection of the Whitney Museum of American Art.
JIM DINE b. 1935
Double Isometric Self Portrait (Serape). 1964. Oil, wood, metal. 57 x 84. Lent by Mrs. Robert M. Benjamin.
ARTHUR G. DOVE 1880-1946
Plant Forms. 1915. Pastel. 17\(\frac{1}{4}\) x 23\(\frac{7}{8}\). Collection of the Whitney Museum of American Art, gift of Mr. and Mrs. Roy R. Neuberger.
GUY PÈNE DU BOIS 1881-1958
Country Wedding. 36 x 30. Lent by Mrs. G. Macculloch Miller.
ASHER B. DURAND 1796-1886
Kindred Spirits. 1849. 46 x 36. Lent by The New York Public Library, Astor, Lenox and Tilden Foundations.
JOHN DURAND Active 1766-1782
The Rapalje Children. c. 1768. 50\(\frac{3}{4}\) x 40. Lent by The New-York Historical Society.
FRANK DUVENECK 1818-1919
Amy Folsom. c. 1880. 36 x 23\(\frac{3}{4}\). Lent by The Montclair Art Museum.
Woman with Forget-me-nots. c. 1876. 40 x 32\(\frac{3}{4}\). Lent by the Cincinnati Art Museum.
THOMAS EAKINS 1844-1916
The Concert Singer — Portrait of Weda Cook (Mrs. Stanley Addicks). 1892. 75\(\frac{3}{8}\) x 51\(\frac{3}{8}\). Lent by the Philadelphia Museum of Art, given by Mrs. Thomas Eakins and Miss Mary A. Williams.
Miss Van Buren. c. 1889-91. 18 x 32. Lent by The Phillips Collection.
Professor Rowland. 1891. 82\(\frac{1}{2}\) x 53\(\frac{3}{4}\). Lent by the Addison Gallery of American Art.
The Swimming Hole. 1883. 27 x 36. Lent by the Fort Worth Art Association.
RALPH EARL 1751-1801
Chief Justice Oliver Ellsworth and his Wife, Abigail Wolcott. 1792. 75\(\frac{15}{16}\) x 86\(\frac{3}{4}\). Lent by the Wadsworth Atheneum.
87 Benjamin Tallmadge with His Son, William Smith. 1790. 78⅓ x 54⅛. Lent by the Litchfield Historical Society.
88 Mrs. Benjamin Tallmadge with Her Son, Henry Floyd and Daughter, Maria Jones. 1790. 78⅜ x 54. Lent by the Litchfield Historical Society.
LOUIS M. FELSHÉMIUS 1864-1941
89 Don Quixote. 1895. 20 x 30. Lent by Professor and Mrs. E. Dudley H. Johnson.
EDWIN ROMANZO ELMER 1850-1923
90 Morning Picture. c. 1889. 28 x 36. Lent by the Smith College Museum of Art.
JIMMY ERNST b. 1920
91 Certain Moment I. 1960. 41 x 50. Lent by the Grace Borgenicht Gallery, Inc.
PHILIP EVERGOOD b. 1901
92 The New Lazarus. 1927-54. 48 x 83⅓. Collection of the Whitney Museum of American Art, gift of Joseph H. Hirshhorn.
LIONEL FEININGER 1871-1956
93 Gelmeroda, VIII. 1921. 39⅓ x 31¼. Collection of the Whitney Museum of American Art.
94 Harbor Mole. 1913. 32 x 39. Lent by Mr. and Mrs. John Drew.
ROBERT FEKE Active 1741-1750
95 Brigadier General Samuel Waldo. c. 1748. 96 x 60. Lent by the Bowdoin College Museum of Art.
96 Isaac Royall and His Family. 1741. 56⅔ x 77⅓. Lent by the Harvard University Law School.
ERASTUS SALISBURY FIELD 1805-1900
97 The Garden of Eden. c. 1860. 35 x 46. Lent by the Museum of Fine Arts, Boston.
SAM FRANCIS b. 1923
98 Abstraction. 1959. 84 x 50. Collection of the Whitney Museum of American Art, bequest of Udo M. Reinach.
HELEN FRANKENTHALER b. 1928
99 Blue Territory. 1955. 113 x 58. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
JARED FRENCH b. 1905
100 State Park. 1916. Egg tempera. 23½ x 23½. Collection of the Whitney Museum of American Art, gift of Mr. and Mrs. R. H. Donnelley Erdman.
GEORGE FULLER 1822-1884
101 Winifred Dysart. 1881. 50⅓ x 40½. Lent by the Worcester Art Museum.
LEE GATCH b. 1902
102 Greenhouse. 1950. 44 x 36. Lent by Mr. and Mrs. Roy R. Neuberger.
WILLIAM J. GLACKENS 1870-1938
103 Hammerstein's Roof Garden. c. 1901. 30 x 25. Collection of the Whitney Museum of American Art.
104 The Soda Fountain. 1935. 48 x 36. Lent by the Pennsylvania Academy of the Fine Arts.
FRITZ GLARNER b. 1899
105 Relational Painting. 1949-51. 65 x 52. Collection of the Whitney Museum of American Art.
ARSHILE GORKY 1904-1948
106 The Artist and His Mother. 1926-29. 60 x 50. Collection of the Whitney Museum of American Art, gift of Julien Levy for Maro and Natasha Gorky in memory of their father.
107 The Betrothal, II. 1947. 50⅓ x 38. Collection of the Whitney Museum of American Art.
108 The Liver is the Cock's Comb. 1944. 72 x 98. Lent by the Albright-Knox Art Gallery.
ADOLPH GOTTLIEB b. 1903
109 The Crest. 1959. 108⅓ x 90⅓. Collection of the Whitney Museum of American Art, gift of The Chase Manhattan Bank.
110 The Frozen Sounds, Number 1. 1951. 36 x 48. Collection of the Whitney Museum of American Art, gift of Mr. and Mrs. Samuel M. Kootz.
MORRIS GRAVES b. 1910
111 Flight of Ploter. 1955. 36 x 48. Collection of the Whitney Museum of American Art, gift of Mr. and Mrs. Roy R. Neuberger.
BALCOMB GREENE b. 1904
112 This Architectural World. 1945. 30 x 47⅓. Collection of the Whitney Museum of American Art.
JOHN GREENWOOD 1727-1792
113 Sea Captains Carousing at Surinam. c. 1755. 37⅓ x 75⅓. Lent by the City Art Museum of Saint Louis.
GEORGE GROSZ 1893-1959
114 Peace, II. 1946. 47 x 33⅓. Collection of the Whitney Museum of American Art.
LOUIS GUGLIELMI 1906-1956
115 Terror in Brooklyn. 1911. 54 x 30. Collection of the Whitney Museum of American Art.
PHILIP GUSTON b. 1912
116 Dial. 1956. 72 x 76. Collection of the Whitney Museum of American Art.
ROBERT GWATHMEY b. 1903
117 Blues. 1963. 30 x 42. Lent by Gladys and Selig Burrows.
JOHN HABERLE 1856-1933
118 A Bachelor's Drawer. 1894. 20 x 36. Lent by Mr. and Mrs. J. William Middendorf II.
JAMES HAMILTON 1819-1878
119 *The Last Days of Pompeii*. 1864. 60\(\frac{3}{16}\) x 48\(\frac{5}{16}\). Lent by The Brooklyn Museum.
WILLIAM M. HARNETT 1848-1892
120 *After the Hunt*. 1885. 71 x 48. Lent by the California Palace of the Legion of Honor, Mildred Anna Williams Collection.
121 *Old Models*. 1892. 54 x 28. Lent by the Museum of Fine Arts, Boston.
MARSDEN HARTLEY 1877-1943
122 *Fisherman's Last Supper — Nova Scotia*. 1910-11. 29\(\frac{7}{8}\) x 41. Lent by Mr. and Mrs. Roy R. Neuberger.
123 *Painting, Number 5*. 1914-15. 39\(\frac{1}{2}\) x 31\(\frac{3}{4}\). Collection of the Whitney Museum of American Art, anonymous gift.
CHILDE HASSAM 1859-1935
124 *Room of Flowers*. 1894. 31 x 34. Lent by Mr. and Mrs. Arthur G. Altschul.
125 *The Summer Girl*. 1894. 32 x 32. Lent by Mr. and Mrs. Ogden Phipps.
MARTIN J. HEADE 1819-1904
126 *Storm over Narragansett*. 1867. 32 x 54. Lent by Ernest Rosenfeld.
127 *View of Tree Fern Walk, Jamaica*. 1887. 53 x 90. Lent by Patrick A. Doheny.
AL HFLD b. 1928
128 *The Dowager Empress*. 1965. Synthetic polymer paint. 96 x 72. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
JOHN HELIKER b. 1909
129 *Rocks and Trees, Maine*. 1961. 50 x 40. Collection of the Whitney Museum of American Art, gift under the Ford Foundation Purchase Program.
ROBERT HENRI 1865-1929
130 *Gertrude Vanderbilt Whitney*. Lent by Mrs. G. Macculloch Miller.
131 *Jessica Penn in Black with White Plumes*. 1908. 77 x 38. Lent by Dr. and Mrs. David B. Pall.
EDWARD HICKS 1780-1849
132 *The Peaceable Kingdom*. 1840-45. 30\(\frac{1}{8}\) x 31\(\frac{1}{2}\). Lent by the New York State Historical Association.
HANS HOFMANN 1880-1966
133 *Fantasia in Blue*. 1954. 60 x 52. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
134 *Song of the Nightingale*. 1964. 81 x 72. Lent by Mr. and Mrs. Eugene M. Schwartz.
WINSLOW HOMER 1836-1910
135 *Deer Drinking*. 1892. Watercolor. 13\(\frac{1}{2}\) x 19\(\frac{1}{2}\). Lent by Mr. and Mrs. Courtlandt P. Dixon.
136 *The Fox Hunt*. 1893. 38 x 68. Lent by the Pennsylvania Academy of the Fine Arts.
137 *The Signal of Distress*. 1890. 24 x 38. Lent by Mr. and Mrs. Cornelius Vanderbilt Whitney.
138 *The Two Guides*. 1876. 24 x 38\(\frac{1}{2}\). Lent by the Sterling and Francine Clark Art Institute.
139 *West India Divers*. 1899. Watercolor. 14\(\frac{1}{2}\) x 21\(\frac{1}{4}\). Lent by The University of Kansas Museum of Art.
140 *West Point, Prom's Neck*. 1900. 30 x 48. Lent by the Sterling and Francine Clark Art Institute.
141 *The Wreck*. 1896. 30 x 48. Lent by the Museum of Art, Carnegie Institute.
EDWARD HOPPER b. 1882
142 *Early Sunday Morning*. 1930. 35 x 60. Collection of the Whitney Museum of American Art.
143 *House on Pamet River*. 1934. Watercolor. 19\(\frac{3}{4}\) x 24\(\frac{1}{8}\). Collection of the Whitney Museum of American Art.
144 *Second-Story Sunlight*. 1960. 40 x 50. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art (and purchase).
WILLIAM MORRIS HUNT 1824-1879
145 *Anabita, or The Flight of Night*. 1878. 62\(\frac{3}{8}\) x 95\(\frac{1}{4}\). Lent by the Museum of Fine Arts, Boston.
146 *Ida Mason*. 1878. 42 x 30\(\frac{1}{4}\). Lent by the Museum of Fine Arts, Boston.
ROBERT INDIANA b. 1928
147 *The X-5*. 1963. 108 x 108. Collection of the Whitney Museum of American Art.
GEORGE INNESS 1825-1894
148 *Early Morning, Tarpon Springs*. 1892. 42 x 32\(\frac{1}{4}\). Lent by The Art Institute of Chicago, Edward B. Butler Collection.
149 *The Monk*. 1873. 39\(\frac{1}{2}\) x 61. Lent by the Addison Gallery of American Art, gift of Stephen C. Clark.
JASPER JOHNS b. 1930
150 *Flag on Orange Field*. 1957. Encaustic. 66 x 49. Lent by Ileana Sonnabend.
151 *Studio*. 1964. 73\(\frac{1}{2}\) x 145\(\frac{1}{2}\). Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art (and purchase).
EASTMAN JOHNSON 1824-1906
152 *Not at Home*. c. 1865. 26\(\frac{1}{2}\) x 22\(\frac{1}{4}\). Lent by The Brooklyn Museum.
153 *Sugaring-off, Number 2*. 1865-75. 33 x 54. Lent by the Butler Institute of American Art.
MORRIS KANTOR b. 1896
154 *Synthetic Arrangement*. 1923. 46 x 54. Lent by Mr. and Mrs. Arthur G. Altschul.
BERNARD KARFIOL 1886-1952
155 *Boy Bathers*. 1916. 28 x 36. Collection of the Whitney Museum of American Art.
ELLSWORTH KELLY b. 1923
Green, Blue, Red. 1964. 73 x 100. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
JOHN F. KENSETT 1816-1872
High Bank, Genesee River. 1857. 30 1/2 x 49 1/4. Lent by The Corcoran Gallery of Art.
WILLIAM KIENBUSCH b. 1914
Red Vine, Autumn, Dogtown. 1956. 41 x 56 1/2. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
CHARLES BIRD KING 1785-1862
Poor Artist's Cupboard. c. 1815. 29 3/4 x 27 3/4. Lent by The Corcoran Gallery of Art.
FRANZ KLINE 1910-1962
Dahlia. 1959. 82 x 67. Collection of the Whitney Museum of American Art, gift of an anonymous group of Friends of the Whitney Museum of American Art.
Maboning. 1956. 80 x 100. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
KARL KNATHS b. 1891
Winter Wharf. 1955. 40 x 50. Collection of the Whitney Museum of American Art, gift of Mr. and Mrs. Roy R. Neuberger.
LEON KROLL b. 1881
A Road Through Willows. 1933. 26 x 42. Collection of the Whitney Museum of American Art.
WALT KUHN 1877-1949
White Clown. 1929. 40 x 30. Lent by The Honorable and Mrs. W. Averell Harriman.
YASUO KUNIYOSHI 1890-1953
Amazing Juggler. 1952. 65 x 40 1/4. Lent by the Edmundson Collection, Des Moines Art Center.
I'm Tired. 1938. 40 1/4 x 31. Collection of the Whitney Museum of American Art.
JOHN LA FARGE 1835-1910
Bridle Path, Tahiti. c. 1890. Watercolor. 18 x 20. Lent by the Fogg Art Museum, Harvard University, gift of Edward D. Bettiens.
Girl Weeding in Front of our House, Vaiala, Samoa. 1890. 18 1/2 x 18. Lent by Mrs. Paul H. Iaccaci.
FITZ HUGH LANE 1804-1865
Stage Rocks and Western Shore of Gloucester Outer Harbor. 1852. 23 x 38. Lent by Professor John Wilmerding.
JACOB LAWRENCE b. 1917
Tombstones. 1942. Gouache. 28 3/4 x 20 1/2. Collection of the Whitney Museum of American Art.
ERNST LAWSON 1873-1939
High Bridge. 1934. 30 x 40. Collection of the Whitney Museum of American Art.
EMANUEL LEUTZE 1816-1868
Westward the Course of Empire Takes Its Way. 1861. 33 x 43. Lent by the National Collection of Fine Arts, Smithsonian Institution.
JACK LEVINE b. 1915
Witches' Sabbath. 1963. 96 x 84. Lent by The Honorable and Mrs. William Benton.
ROY LICHTENSTEIN b. 1923
Little Big Painting. 1965. 68 x 80. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
RICHARD LINDNER b. 1901
Disneyland. 1965. 52 x 79. Lent by The Joan and Lester Avnet Collection.
MORRIS LOUIS 1912-1962
Tet. 1958. 93 1/2 x 115 1/2. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
GEORGE LUKS 1867-1933
Armistice Night. 1918. 37 x 68 3/4. Collection of the Whitney Museum of American Art, anonymous gift.
STANTON MACDONALD-WRIGHT b. 1890
"Oriental." Synchromy in Blue-Green. 1918. 36 x 50. Collection of the Whitney Museum of American Art.
LOREN MAC IVER b. 1909
Venice. 1949. 59 x 93. Collection of the Whitney Museum of American Art.
CONRAD MARCA-RELLI b. 1913
Junction. 1958. Collage of painted canvas. 56 x 77 1/2. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
JOHN MARIN 1870-1953
Region of Brooklyn Bridge Fantasy. 1932. Watercolor. 18 3/4 x 22 1/4. Collection of the Whitney Museum of American Art, gift of Friends of the Whitney Museum of American Art.
Sea Piece. 1951. 22 x 28. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
White Horse, Sea Movement off Deer Isle, Maine. 1926. Watercolor. 15 1/4 x 19 3/4. Collection of the Whitney Museum of American Art, anonymous gift.
REGINALD MARSH 1898-1954
Human Pool Tables. 1938. Egg tempera. 29 3/4 x 40. Collection of the Whitney Museum of American Art, gift of Mrs. Reginald Marsh and William Benton.
HOMER D. MARTIN 1836-1897
The Iron Mine, Port Henry, New York. 30 x 50. Lent by the National Collection of Fine Arts, Smithsonian Institution.
Westchester Hills. 32 x 59. Lent by Mrs. Roger Straus.
ALFRED H. MAURER 1868-1932
Twin Heads. c. 1930. 26 3/8 x 18. Collection of the Whitney Museum of American Art, gift of Mr. and Mrs. Hudson D. Walker (and exchange).
KENNETH HAYES MILLER 1876-1952
Shopper. 1928. 41 x 33. Collection of the Whitney Museum of American Art.
LASZLO MOHOLY-NAGY 1895-1946
Space Modulator. 1938-40. 47 x 47. Collection of the Whitney Museum of American Art, gift of Mrs. Sibyl Moholy-Nagy.
THOMAS MORAN 1837-1926
The Spirit of the Indian. 1869. 32 x 48. Lent by the Philbrook Art Center.
HERMON MORE b. 1887
Rocky Hillside. 1934. 32 x 42. Collection of the Whitney Museum of American Art.
SAMUEL F. B. MORSE 1791-1872
The Muse — Susan Walker Morse. c. 1835-37. 73 3/4 x 57 3/4. Lent by The Metropolitan Museum of Art, bequest of Herbert L. Pratt, 1945.
ROBERT MOTHERWELL b. 1915
The Voyage. 1949. Oil, tempera. 48 x 94. Lent by The Museum of Modern Art, gift of Mrs. John D. Rockefeller, 3rd.
WILLIAM SIDNEY MOUNT 1807-1868
Boys Caught Napping in a Field. 1848. 29 1/8 x 36 1/8. Lent by The Brooklyn Museum.
Eel Spearing at Setanket. 1845. 29 x 36. Lent by the New York State Historical Association.
GERALD MURPHY 1888-1964
Razor. 1922. 32 x 36. Lent by the Dallas Museum of Fine Arts, collection of Foundation for the Arts.
JOHN NEAGLE 1796-1865
Anna Gibbon Johnson. 1828. 45 1/2 x 34. Lent by the Pennsylvania Academy of the Fine Arts.
BARNETT NEWMAN b. 1905
Day One. 1951 and 1952. 132 x 50. Lent by Annalee G. Newman.
ROBERT LOFTIN NEWMAN 1827-1912
Christ and His Disciples. 20 x 30. Lent by Mr. and Mrs. Cornelius Vanderbilt Whitney.
KENNETH NOLAND b. 1924
Up Cadmium. 1966. Synthetic polymer paint. 72 x 216. Lent by Andre Emmerich Gallery.
KENZO OKADA b. 1902
Memories. 1957. 68 x 8 1/2. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
GEORGIA O'KEEFFE b. 1887
Abstraction. 1926. 30 x 18. Collection of the Whitney Museum of American Art.
Pelvis with Shadows and the Moon. 1943. 40 x 48. Lent by The Frank Lloyd Wright Foundation.
GEORGE ORTMAN b. 1926
Eve I. 1962. Oil, wood. 48 x 48. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
ALFONSO OSSORIO b. 1916
Between. 1963. Assemblage. 48 x 48. Collection of the Whitney Museum of American Art, gift of Howard and Jean Lipman.
WILLIAM PAGE 1811-1885
Self Portrait. c. 1860. 59 x 36. Lent by The Detroit Institute of Arts.
Mrs. William Page. c. 1860. 60 1/4 x 36 1/4. Lent by The Detroit Institute of Arts.
DAVID PARK 1911-1960
Four Men. 1958. 57 x 92. Collection of the Whitney Museum of American Art, gift of an anonymous foundation.
JULFS PASCIN 1885-1930
The Prodigal Son. 1928. 15 x 18. Lent by Mr. and Mrs. Samuel Josefowitz.
CHARLES WILLSON PEALE 1741-1827
Exhuming the Mastodon. 1806. 50 x 62 1/2. Lent by The Peale Museum, gift of Mrs. Harry White.
James Peale, The Miniature Painter, (The Lamplight Portrait). 1822. 21 1/2 x 36. Lent by The Detroit Institute of Arts.
JAMES PEALE 1741-1831
The Ramsay-Polk Family at Carpenter's Point, Maryland. c. 1793. 49 1/4 x 39. Lent by Lammot du Pont Copeland.
RAPHAELLE PEALE 1774-1825
After the Bath. 1823. 29 x 24. Lent by the Nelson Gallery — Atkins Museum (Nelson Fund).
Still Life With Strawberries. 1822. 16 x 22. Lent by Mr. and Mrs. Robert C. Graham.
I. RICE PEREIRA b. 1907
Oblique Progression. 1948. 50 x 40. Collection of the Whitney Museum of American Art.
JOHN F. PETO 1851-1907
Ordinary Objects in the Artist's Creative Mind. 1887. 56 x 35. Lent by the Webb Gallery of American Art, Shelburne Museum.
JOSEPH PICKETT 1848-1918
Coryell's Ferry, 1776. Probably between 1914-18. 37 1/2 x 48 1/4. Collection of the Whitney Museum of American Art.
HORACE PIPPIN 1888-1946
Cabin in the Cotton, 1944. 23 x 29 1/4. Lent by Mr. and Mrs. Roy R. Neuberger.
JACKSON POLLOCK 1912-1956
Blue Poles, 1953. Oil, duco, glass. 84 x 192. Lent by Mr. and Mrs. Ben Heller.
Lavender Mist, 1950. 88 x 119. Lent by Alfonso Ossorio.
LARRY POONS b. 1937
Untitled, 1966. Synthetic polymer paint. 130 x 90. Collection of the Whitney Museum of American Art.
RICHARD POUSSETTE-DART b. 1916
The Magnificent, 1950-51. 86 1/4 x 41. Collection of the Whitney Museum of American Art, gift of Mrs. Ethel K. Schwabacher.
MAURICE PRENDERGAST 1859-1924
Central Park, 1901. Watercolor. 14 1/8 x 21 3/4. Collection of the Whitney Museum of American Art.
The Promenade, 1913. 30 x 34. Collection of the Whitney Museum of American Art, bequest of Alexander M. Bing.
JOHN QUIDOR 1801-1881
Antony van Corlear Brought into the Presence of Peter Stuyvesant, 1839. 34 1/4 x 27 3/8. Lent by the Munson-Williams-Proctor Institute.
The Money Diggers, 1832. 16 3/4 x 21 1/2. Lent by The Brooklyn Museum.
ABRAHAM RATTNER b. 1895
Song of Esther, 1958. 60 x 48. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
ROBERT RAUSCHENBERG b. 1925
Summer Rental, Number 2, 1960. 70 x 54. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
Tracer, 1963. 84 x 60. Lent by Mr. and Mrs. Frank M. Titelman.
MAN RAY b. 1890
The Rope Dancer Accompanies Herself with Her Shadows, 1916. 52 x 73 3/8. Lent by The Museum of Modern Art, gift of G. David Thompson.
AD REINHARDT b. 1913
Number 17-1953. Oil, tempera. 77 3/4 x 77 3/4. Collection of the Whitney Museum of American Art.
FREDERIC REMINGTON 1861-1909
The Old Stage Coach of the Plains, c. 1901. 40 x 27. Lent by the Amon Carter Museum of Western Art.
LARRY RIVERS b. 1923
Africa II, 1962-63. 112 3/4 x 133. Lent by the Marlborough-Gerson Gallery.
THEODORE ROBINSON 1852-1896
On the Towpath — A Halt, 1893-94. 28 x 40. Lent by Mr. and Mrs. Cornelius Vanderbilt Whitney.
JAMES ROSENQUIST b. 1933
Untitled, 1963. 72 x 72. Collection of the Whitney Museum of American Art.
MARK ROTHKO b. 1903
Black and Brown on Red, 1957. 91 x 60. Lent by Joseph E. Seagram and Sons, Inc.
MORGAN RUSSELL 1886-1953
Synchromy, 1914-15. 13 x 13 3/4. Lent by Benjamin F. Garber.
ALBERT P. RYDER 1847-1917
The Flying Dutchman, c. 1887. 13 3/4 x 16 1/2. Lent by the National Collection of Fine Arts, Smithsonian Institution.
Jonah, c. 1890. 26 1/2 x 33 1/2. Lent by the National Collection of Fine Arts, Smithsonian Institution.
Marine, 12 5/8 x 9 13/16. Lent by Mr. and Mrs. Leo M. Rogers.
Oriental Camp, 7 1/4 x 12. Lent by Amherst College.
The Race Track, 1890-1910. 28 1/4 x 35 1/4. Lent by The Cleveland Museum of Art, purchase from the J. H. Wade Fund.
The Story of the Cross, c. 1890. 14 x 11 3/8. Lent by the Guennol Collection.
ROBERT SALMON Active 1780-1810
Boston Harbor from Constitution Wharf, c. 1829. 32 1/2 x 47 1/16. Lent by the United States Naval Academy Museum.
HENRY SARGENT 1770-1855
The Dinner Party, c. 1820. 59 1/2 x 48. Lent by the Museum of Fine Arts, Boston.
JOHN SINGER SARGENT 1856-1925
Group with Parasols, Probably 1908 or 1910. 21 x 27 3/4. Lent by Rita and Daniel Fraad.
Alme. Edouard Pailleron, 1879. 82 x 39 1/2. Lent by The Corcoran Gallery of Art, gallery Fund, and gifts of Katherine McCook Knox, John A. Nevius and Mr. and Mrs. Lansdell K. Christie.
Venetian Street, 29 x 25 3/4. Lent by Rita and Daniel Fraad.
MORTON L. SCHAMBERG 1881-1918
Machine, 1916. 30 1/8 x 22 3/4. Lent by the Yale University Art Gallery, collection of the Société Anonyme.
KATHERINE SCHMIDT b. 1898
Broe and McDonald Listen In, 1937. 30 x 24. Collection of the Whitney Museum of American Art.
HENRY SCHNAKENBERG b. 1892
*Memorial to Summer*. 1949. 50 x 19. Collection of the Whitney Museum of American Art.
BEN SHAHN b. 1898
*Everyman*. 1954. Tempera. 72 x 24. Collection of the Whitney Museum of American Art.
*The Passion of Sacco and Vanzetti*. 1931-32. From the Sacco-Vanzetti series of 25 paintings. Tempera. 84½ x 48. Collection of the Whitney Museum of American Art, gift of Edith and Milton Lowenthal in memory of Juliana Force.
CHARLES SHEELER 1883-1965
*Architectural Cadences*. 1954. 25 x 35. Collection of the Whitney Museum of American Art.
*Classic Landscape*. 1931. 25 x 32¼. Lent by Mrs. Edsel B. Ford.
EVERETT SHINN 1876-1953
*Footlight Flirtation*. 1912. 29½ x 36½. Lent by Mr. and Mrs. Arthur G. Altschul.
JOHN SLOAN 1871-1951
*Backyards, Greenwich Village*. 1914. 26 x 32. Collection of the Whitney Museum of American Art.
*Model in Dressing Room*. 1933. Tempera, oil. 36 x 30. Collection of the Whitney Museum of American Art, permanent loan from Mrs. John Sloan.
JOHN SMIBERT 1688-1751
*Francis Brimley*. 1731. 50 x 39¼. Lent by The Metropolitan Museum of Art, Rogers Fund, 1962.
RAPHAEL SOYR b. 1899
*Farewell to Lincoln Square*. 1959. 60 x 55. Lent by The Joseph H. Hirshhorn Foundation.
EUGENE SPICHER 1883-1962
*Marianna*. 1937. 45½ x 35½. Collection of the Whitney Museum of American Art.
NILES SPENCER 1893-1952
*In Fairmont*. 1951. 65½ x 41½. Lent by The Museum of Modern Art, Edward Joseph Gallagher 3rd Memorial Collection.
THEODOROS STAMOS b. 1922
*High Snow — Low Sun II*. 1957. 53½ x 97½. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
FRANK STELLA b. 1936
*Gran Cairo*. 1962. Synthetic polymer paint. 85½ x 85½. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
JOSEPH STELLA 1877-1946
*Battle of Lights, Coney Island*. 1913. 76 x 84. Lent by the Yale University Art Gallery, collection of the Société Anonyme.
MAURICE STERNF 1878-1957
*Dance of the Elements*. 1913. 56¾ x 65½. Lent by the North Carolina Museum of Art.
CLYFFORD STILL b. 1904
*Number 2*. 1949. 96 x 69. Lent by Mr. and Mrs. Ben Heller.
GILBERT STUART 1755-1828
*Josiah Quincy*. 1824. 36 x 28. Lent by the Museum of Fine Arts, Boston.
*Mrs. Perez Morton*. c. 1802. 29⅛ x 24⅛. Lent by the Worcester Art Museum, gift of the Grandchildren of Joseph Tuckerman, Newport, Rhode Island, 1899.
THOMAS SULLY 1783-1872
*Miss Eliza Leslie*. 1844. 36 x 28½. Lent by the Pennsylvania Academy of the Fine Arts.
*Mrs. John Cox (Martha Lyman)*. c. 1825. 30 x 25. Lent by James S. Cox.
YVES TANGUY 1900-1955
*Fear*. 1949. 60 x 40. Collection of the Whitney Museum of American Art.
ABBOTT H. THAYER 1849-1921
*Angel*. 36½ x 28. Lent by the National Collection of Fine Arts, Smithsonian Institution.
JEROME B. THOMPSON 1814-1886
*Pic Nick, Camden, Maine*. c. 1850. 41 x 62. Lent by the Museum of Fine Arts, Boston.
MARK TOBEY b. 1890
*The Avenue*. 1954. Tempera. 39½ x 29¾. Lent by the Norton Gallery and School of Art.
*Universal Field*. 1949. Tempera, pastel. 28 x 44. Collection of the Whitney Museum of American Art.
BRADLEY WALKER TOMLIN 1899-1953
*Number 20*. 1949. 86 x 80¼. Lent by The Museum of Modern Art, gift of Philip C. Johnson.
JOHN TRUMBULL 1756-1843
*Sortie of the British Garrison at Gibraltar*. c. 1788. 20 x 30. Lent by the Cincinnati Art Museum.
JOHN H. TWACHTMAN 1853-1902
*Azaleas*. c. 1898. 30 x 24. Lent by Randolph-Macon Woman's College.
*River in Winter*. 36½ x 48½. Lent by the Museum of Art, Carnegie Institute.
JACK TWORKOV b. 1900
*Duo, I*. 1956. 81¾ x 57¾. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
JOHN VANDERLYN 1775-1852
*Death of Jane McCrea*. c. 1804. 32 x 26½. Lent by the Wadsworth Atheneum.
ABRAHAM WALKOWITZ 1880-1965
New York. 1917. Watercolor, ink, pencil. 30\(\frac{3}{8}\) x 21\(\frac{3}{4}\). Collection of the Whitney Museum of American Art, gift of the artist in memory of Juliana Force.
ANDY WARHOL b. 1925
Marilyn Monroe. 1962. Synthetic polymer paint, silk screen paint. Diptych. 82 x 57 each panel. Lent by Mr. and Mrs. Burton G. Tremaine.
FRANKLIN C. WATKINS b. 1894
Soliloquy. 1932. 25\(\frac{1}{4}\) x 30\(\frac{1}{4}\). Collection of the Whitney Museum of American Art.
MAX WEBER 1881-1961
Adoration of the Moon. 1944. 48 x 32. Collection of the Whitney Museum of American Art.
Chinese Restaurant. 1915. 40 x 48. Collection of the Whitney Museum of American Art.
J. ALDEN WEIR 1852-1919
Family Group. 1893. 79 x 74. Lent by Mr. and Mrs. Charles Burlingham.
TOM WESSELMANN b. 1931
Great American Nude, #37. 1964. Synthetic polymer paint. 48 x 65. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
BENJAMIN WEST 1738-1820
Saul and the Witch of Endor. 1777. 19\(\frac{15}{16}\) x 25\(\frac{3}{4}\). Lent by the Wadsworth Atheneum.
JAMES A. MCNEILL WHISTLER 1834-1903
Lady of the Lange Lijsen. 1864. 36\(\frac{1}{4}\) x 24\(\frac{1}{4}\). Lent by the John G. Johnson Collection.
Old Battersea Bridge: Symphony in Brown and Silver. c. 1865. 25 x 30. Lent by the Addison Gallery of American Art, gift of Cornelius N. Bliss.
Wapping on Thames. 1861. 28 x 40. Lent by Mr. and Mrs. John Hay Whitney.
WORTHINGTON WHITTREDGE 1820-1910
Deer, Mount Storm Park, Cincinnati. Before 1850. 28\(\frac{3}{4}\) x 40\(\frac{3}{16}\). Lent by the Worcester Art Museum.
GRANT WOOD 1892-1942
Stone City, Iowa. 1930. 30\(\frac{1}{4}\) x 40. Lent by the Joslyn Art Museum.
RICHARD CATON WOODVILLE 1825-1856
War News from Mexico. c. 1846. 27 x 24\(\frac{3}{4}\). Lent by the National Academy of Design.
ANDREW WYETH. b. 1917
Spool Bed. 1947. Watercolor. 20\(\frac{3}{8}\) x 28\(\frac{3}{4}\). Collection of the Whitney Museum of American Art.
Winter Fields. 1942. Tempera. 17\(\frac{1}{4}\) x 41. Lent by Benno C. Schmidt.
SCULPTURE
LEONARD BASKIN b. 1922
Hephaestus. 1963. Bronze. 63\(\frac{1}{4}\) high. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
LARRY BELL b. 1939
Ellipse. 1965. Glass, chrome plated brass. 54\(\frac{1}{2}\) high. Collection of the Whitney Museum of American Art, gift of Howard and Jean Lipman.
LEE BONTECOU b. 1931
Untitled. 1963. Pencil and soot on muslin. 47\(\frac{1}{4}\) diameter. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
DORIS CAESAR b. 1893
Torso. 1953. Bronze. 57\(\frac{1}{2}\) high. Collection of the Whitney Museum of American Art.
ALEXANDER CALDER b. 1898
The Cock's Comb. 1960. Sheet iron. 146\(\frac{1}{2}\) long. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
Roxbury Front. 1965. 192 long. Metal. Lent by the Perls Galleries.
KENNETH CAMPBELL b. 1913
Birth of Spring. 1962-63. 73\(\frac{3}{4}\) high. Marble. Collection of the Whitney Museum of American Art, gift under the Ford Foundation Purchase Program (and exchange).
JOHN CHAMBERLAIN b. 1927
Velvet White. 1962. Welded automobile metals. 83 high. Lent by The Albert A. List Family Collection.
CHRYSSA b. 1933
Fragments of Times Square. 1966. Neon, plexiglas. 42\(\frac{3}{4}\) high. Lent by Mr. and Mrs. Burton G. Tremaine.
BRUCE CONNER b. 1933
Looking Glass. 1964. Assemblage. 78 high. Lent by The Alan Gallery.
JOSEPH CORNELL b. 1903
Medici Slot Machine—Reprise. Construction. 18 high. Lent by Joseph Cornell.
JO DAVIDSON 1883-1952
Gertrude Stein. 1920. Bronze. 31\(\frac{1}{4}\) high. Collection of the Whitney Museum of American Art.
Gertrude V. Whitney. c. 1917. Marble. 19 high. Collection of the Whitney Museum of American Art.
JOSÉ DE CRÉFET b. 1884
Opulence. 1964. Marble. 22\(\frac{1}{2}\) high. Collection of the Whitney Museum of American Art, gift of friends of the artist.
JOSÉ DE RIVERA b. 1904
Construction Number 33. 1956. Steel. 6 high. Lent by The Joseph H. Hirshhorn Foundation.
MARK DI SUVERO b. 1933
New York Dawn (For Lorca). 1965. Wood, steel, iron. 78 high. Collection of the Whitney Museum of American Art, gift of the Howard and Jean Lipman Foundation, Inc.
ROBERT ENGMAN b. 1927
Moon, Number 2. 1964. Bronze. 31½ high. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
HERBERT FERBER b. 1906
Homage to Piranesi, III. 1963. Copper. 104 high. Lent by Herbert Ferber.
NAUM GABO b. 1890
Linear Construction in Space, Number 4. 1958. Plastic, stainless steel. 40 high. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
JOHN GOODYEAR b. 1930
Eight. 1966. Wood, enamel, light, glass. 24 high. Lent by Joseph L. Shulman.
DOROTHEA GREENBAUM b. 1893
Drowned Girl. 1950. Marble. 10¼ wide. Collection of the Whitney Museum of American Art.
CHAIM GROSS b. 1904
Sisters. 1946. Marble. 32 high. Collection of the Whitney Museum of American Art.
RAOUL HAGUE b. 1905
Sauk Hill Walnut. 1955. Walnut. 42 high. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
DAVID HARE b. 1917
Juggler. 1950-51. Steel. 80½ high. Collection of the Whitney Museum of American Art.
EDWARD HIGGINS b. 1930
Catafalque. 1962. Epoxy, steel. 57½ long. Collection of the Whitney Museum of American Art, gift under the Ford Foundation Purchase Program.
CHARLES HINMAN b. 1932
Light. 1964. Synthetic polymer paint on shaped canvas. 113 long. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
FREDERICK KIESLER 1896-1965
Landscape: The Saviour Has Risen. 1964. Bronze, glass, granite, plastic. 57½ high. Collection of the Whitney Museum of American Art, gift of the Howard and Jean Lipman Foundation, Inc.
GASTON LACHAISE 1882-1935
Standing Woman. 1912-27. Bronze. 70¼ high. Collection of the Whitney Museum of American Art.
IBRAM LASSAW b. 1913
Equinox. 1963. Nickel, silver, phosphor bronze. 84 high. Lent by the artist.
ROBERT LAURENT b. 1890
The Awakening. 1931. 54¾ long. Collection of the Whitney Museum of American Art.
MICHAEL LEKAKIS b. 1907
Sympan. 1960. Oak. 86 high. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
JAQUES LIPCHITZ b. 1891
Sacrifice, II. 1948-52. Bronze. 49¼ high. Collection of the Whitney Museum of American Art.
RICHARD LIPPOLD b. 1915
Primordial Figure. 1947-48. Brass, copper wire. 96 high. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art, Charles Simon (and purchase).
SEYMOUR LIPTON b. 1903
Gateway. 1964. Bronze on monel metal. 76 high. Lent by the Marlborough-Gerson Gallery.
LEN LYE b. 1910
Fountain. 1959. Stainless steel. 85 high. Collection of the Whitney Museum of American Art, gift under the Ford Foundation Purchase Program.
MARISOL b. 1930
Women and Dog. 1964. Wood, plaster, synthetic polymer paint, miscellaneous items. 91 long. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
JOHN McCracken b. 1934
Violet Block in Two Parts. 1966. 40 long. Plywood, Fiberglas, automotive lacquer. Collection of the Whitney Museum of American Art, gift of the Howard and Jean Lipman Foundation, Inc.
ROBERT MORRIS b. 1931
Untitled. 1966. Reinforced Fiberglas, polyester resin. 90 wide. Collection of the Whitney Museum of American Art, gift of the Howard and Jean Lipman Foundation, Inc.
ELIE NADELMANN 1882-1946
Tango. 1918. Polychromed wood. 34 high. Lent by Mrs. Edith Gregor Halpert.
RFUBEN NAKIAN b. 1897
Olympia. 1960-62. Bronze. 72 high. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art (and purchase).
LOUISE NEVELSON b. 1900
*Young Shadows*. 1959-60. Wood. 126 long. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art and Charles Simon.
BARNETT NEWMAN b. 1905
*Here. (To Marcia)*. 1950. Bronze. 96 high. Lent by Annalee G. Newman.
ISAMU NOGUCHI b. 1904
*Humpty Dumpty*. 1946. Ribbon slate. 583/4 high. Collection of the Whitney Museum of American Art.
CLAES OLDENBURG b. 1929
*Hard Tub*. 1966. Corrugated paper, wood, enamel. 80 long. Lent by the Sidney Janis Gallery.
ERASTUS DOW PALMER 1817-1904
*The White Captive*. 1859. Marble. 66 high. Lent by The Metropolitan Museum of Art, gift of Hamilton Fish, 1894.
HIRAM POWERS 1805-1873
*California*. 1858. Marble. 71 high. Lent by The Metropolitan Museum of Art, gift of William B. Astor, 1872.
BERNARD REDER 1897-1963
*Harp Player. II*. 1960. Bronze. 84 high. Collection of the Whitney Museum of American Art.
GEORGE RICKEY b. 1907
*Unstable Column*. 1966. Stainless steel. 156 high. Lent by George Rickey.
WILLIAM RIMMER 1816-1879
*The Dying Centaur*. c. 1871. Bronze. 21½ high. Lent by The Metropolitan Museum of Art, gift of Edward Holbrook, 1906.
*Fighting Lions*. c. 1871. Bronze. 2½ long. Lent by The Metropolitan Museum of Art, gift of Daniel Chester French, 1907.
HUGO ROBUS 1885-1964
*One and Another*. 1934. Bronze. 41 long. Lent by the Sara Roby Foundation.
THEODORE ROSZAK b. 1907
*Sea Sentinel*. 1956. Steel, bronze. 105 high. Collection of the Whitney Museum of American Art.
WILLIAM RUSH 1756-1833
*Comedy*. 1808. Painted pine. 114 high. Lent by The Edwin Forrest Home, Courtesy of the Philadelphia Museum of Art.
*Tragedy*. 1808. Painted pine. 114 high. Lent by The Edwin Forrest Home, Courtesy of the Philadelphia Museum of Art.
AUGUSTUS SAINT-GAUDENS 1847-1907
*Diana*. 1892. Gilded bronze. 112 high. Lent by The Metropolitan Museum of Art, Rogers Fund, 1927.
GEORGE SEGAL b. 1924
*Girl in Doorway*. 1965. Plaster, wood, glass, aluminum paint. 113 high. Collection of the Whitney Museum of American Art.
JASON SELEY b. 1919
*Primavera*. 1964. Chrome plated steel. 80 high. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art.
DAVID SMITH 1906-1965
*Hudson River Landscape*. 1951. Steel. 75½ long. Collection of the Whitney Museum of American Art.
*Lectern Sentinel*. 1961. Stainless steel. 101¾ high. Collection of the Whitney Museum of American Art, gift of the Friends of the Whitney Museum of American Art (and purchase).
RICHARD STANKIEWICZ b. 1922
*Untitled*. 1964. Iron, steel. 49 high. Lent by the Stable Gallery.
JOHN STORRS 1885-1956
*Composition Around Two Voids*. 1932. Stainless steel. 20 high. Collection of the Whitney Museum of American Art, gift of Monique Storrs Booz.
GEORGE SUGARMAN b. 1912
*C-Change*. 1965. Laminated, polychromed wood. 110 high. Lent by the Albert A. List Family Collection.
ERNEST TROVA b. 1927
*Study: Falling Man Series. Six Figures*. 1964. Chrome plated bronze. 19 long. Collection of the Whitney Museum of American Art, Larry Aldrich Foundation Fund.
MAX WEBER 1881-1961
*Spiral Rhythm*. 1915. Bronze. 24½ high. Lent by The Joseph H. Hirshhorn Collection.
GERTRUDE V. WHITNEY 1877-1942
*Mother and Child*. 1935. Marble. 34 high. Collection of the Whitney Museum of American Art, gift of Mrs. G. Macculloch Miller.
JAMES WINES b. 1932
*Sabre I*. 1965-66. Iron, cement. 110 long. Lent by the Marlborough-Gerson Gallery.
WILFRID ZOGBAUM 1915-1965
*III*. 1963. Painted parkerized steel and stones. 57 high. Collection of the Whitney Museum of American Art, gift under the Ford Foundation Purchase Program (and exchange).
WILLIAM ZORACH b. 1887
*The Future Generation*. 1942-47. Marble. 40 high. Collection of the Whitney Museum of American Art.
Addison Gallery of American Art, Andover, Mass.; The Alan Gallery, New York; Albright-Knox Art Gallery, Buffalo; Amherst College; Amon Carter Museum of Western Art, Fort Worth; Grace Borgenicht Gallery, Inc., New York; Museum of Fine Arts, Boston; Bowdoin College Museum of Art, Brunswick, Me.; The Brooklyn Museum; The Butler Institute of American Art, Youngstown, Ohio; California Palace of the Legion of Honor, San Francisco; Museum of Art, Carnegie Institute, Pittsburgh; The Art Institute of Chicago; Cincinnati Art Museum; City Art Museum of Saint Louis; Sterling and Francine Clark Art Institute, Williamstown, Mass.; The Cleveland Museum of Art; The Columbus Gallery of Fine Arts; The Corcoran Gallery of Art, Washington, D.C.; Dallas Museum of Fine Arts; Des Moines Art Center; The Detroit Institute of Arts; The Downtown Gallery, New York; Andre Emmerich Gallery, New York; Commissioners of Fairmont Park, Philadelphia; Fogg Art Museum, Harvard University; Fort Worth Art Association; The Hackley Art Gallery, Muskegon, Mich.; Harvard University Law School; Historical Society of Pennsylvania, Philadelphia; Sidney Janis Gallery, New York; Joslyn Art Museum, Omaha; The University of Kansas Museum of Art, Lawrence; Litchfield Historical Society, Conn.; Marlborough-Gerson Gallery, New York; The Metropolitan Museum of Art, New York; The Montclair Art Museum, N. J.; Munson-Williams-Proctor Institute, Utica; The Museum of Modern Art, New York; National Academy of Design, New York; National Baseball Hall of Fame and Museum, Inc., Cooperstown, N. Y.; National Collection of Fine Arts, Smithsonian Institution, Washington, D. C.; National Gallery of Art, Washington, D. C.; Nelson Gallery-Atkins Museum, Kansas City, Mo.; Museum of New Mexico, Santa Fe; The New-York Historical Society, New York; The New York Public Library; New York State Historical Association, Cooperstown; North Carolina Museum of Art, Raleigh; Norton Gallery and School of Art, West Palm Beach, Fla.; The Peale Museum, Baltimore; Pennsylvania Academy of the Fine Arts, Philadelphia; Perls Galleries, New York; Philadelphia Museum of Art; Pilgrim Society, Plymouth, Mass.; Philbrook Art Center, Tulsa; The Phillips Collection, Washington, D. C.; Randolph-Macon Woman's College, Lynchburg, Va.; Museum of Art, Rhode Island School of Design, Providence; Shelburne Museum, Vermont; Smith College Museum of Art, Northampton, Mass.; Stable Gallery, New York; Staempfli Gallery, New York; The Toledo Museum of Art; The Union League of Philadelphia; United States Naval Academy Museum, Annapolis; Wadsworth Atheneum, Hartford; Walker Art Center, Minneapolis; Worcester Art Museum; Yale University Art Gallery.
Mr. and Mrs. Ivan Albright; Mr. and Mrs. Arthur G. Altschul; Mrs. Milton Avery; The Joan and Lester Avnet Collection; Mrs. Robert M. Benjamin; The Honorable and Mrs. William Benton; Mr. and Mrs. Charles Burlingham; Gladys and Selig Burrows; Lammot du Pont Copeland; Joseph Cornell; James S. Cox; Ralston Crawford; Mr. and Mrs. Courtlandt P. Dixon; Patrick A. Doheny; Mr. and Mrs. John Drew; Thomas M. Evans; Herbert Ferber; Mrs. Edsel B. Ford; Rita and Daniel Fraad; Benjamin F. Garber; Mr. and Mrs. Robert C. Graham; Guennol Collection; Mrs. Edith Gregor Halpert; The Honorable and Mrs. W. Averell Harriman; Mr. and Mrs. Ben Heller; The Joseph H. Hirshhorn Foundation; Mrs. Paul H. Iaccaci; Professor and Mrs. E. Dudley H. Johnson; John G. Johnson Collection; Mr. and Mrs. Samuel Josefowitz; Mr. and Mrs. Sheldon Keck; Ibram Lassaw; The Albert A. List Family Collection; Mr. and Mrs. J. William Middendorf II; Mrs. G. Macculloch Miller; Mr. and Mrs. Roy R. Neuberger; Annalee G. Newman; Alfonso Ossorio; Dr. and Mrs. David B. Pall; Mr. and Mrs. Burton Peskin; Mr. and Mrs. Ogden Phipps; George Rickey; Sara Roby Foundation; Mr. and Mrs. Leo M. Rogers; Ernest Rosenfeld; Benno C. Schmidt; Mr. and Mrs. Eugene M. Schwartz; Joseph E. Seagram and Sons, Inc.; Joseph L. Shulman; Ileana Sonnabend; Mrs. Roger W. Straus; Mr. and Mrs. Frank M. Titelman; Mr. and Mrs. Burton G. Tremaine; Mr. and Mrs. Cornelius Vanderbilt Whitney; Mr. and Mrs. John Hay Whitney; Professor John Wilmerding; The Frank Lloyd Wright Foundation. |
BILLS
The procedures in the Senate for the consideration of bills and joint resolutions are the same for all practical purposes, and they can be contrasted to those procedures for the consideration of concurrent and simple resolutions. When operating under Rule VII, during the transaction of routine morning business, the Chair calls for the introduction of bills and joint resolutions as a single class. Likewise, under Rule XIV, both bills and joint resolutions are treated as a class. For example, "whenever a bill or joint resolution is offered, its introduction shall, if objected to, be postponed for one day." The rule also requires that bills and joint resolutions be read three times on separate "legislative days" before passage. They are required to be read twice before reference to a committee or before amendments thereto are in order. This is not required in the case of concurrent and simple resolutions.
Bills and joint resolutions, whether House or Senate, except joint resolutions proposing amendments to the Constitution, are submitted to the President for his signature. Concurrent and simple resolutions are not sent to the President for signature.
In modern usage, the contents of bills and joint resolutions often become indistinguishable. It is not uncommon to find that a proposed piece of legislation (in identical language) is introduced in the Senate as a Senate bill and introduced in the House as a joint resolution, or vice versa. While at one time there might have been definite distinctions between the two types of proposed legislation, they have for all practical purposes been lost.
Until 1944, when bills became law they were printed in the Statutes at Large as public or private laws, while joint resolutions were printed up as public or private resolutions. That is no longer the case. Since 1944, they are all printed in the Statutes as public or private laws.
Under the law, the enacting clause of all Acts of Congress shall be in the following form: "Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled." The resolving clause of all joint resolutions shall be in the following form: "Resolved by the Senate and House of Representatives of the United States of America in Congress assembled."
Bills and resolutions can only be introduced in the Senate by Senators; and unless otherwise ordered or the rule is waived, all bills and resolutions are referred to the appropriate committee except when referral to committee is obviated under either paragraph 4 or 6 of Rule XIV.
If the committee to which a bill or resolution has been referred reports it, it is placed on the Calendar in the section entitled "General Orders," in the chronological order in which it was reported. Once reported, it stays there for the duration of a Congress or until it is disposed of on a "Call of the Calendar," brought up on motion by a majority vote or by consent of the
Senate, considered by unanimous consent, or otherwise removed from the Calendar by order of the Senate.
When a bill or joint resolution is before the Senate for consideration, it is open to debate and to amendment, and as long as any Senator seeks recognition to debate the measure or to offer an amendment thereto (assuming debate and amendments are not precluded by unanimous consent or cloture), the Senate cannot proceed to the third reading or passage of the measure.
After the passage of a bill or joint resolution, if it is a Senate measure, it is engrossed before it is messaged to the House; if it is a House measure, the Senate amendment or amendments, if any, are engrossed before the measure as so amended is messaged back to the House.
If there are differences between the two Houses on any measure which cannot be resolved by amendments between the Houses, the measure is generally sent to conference to resolve such differences. The report of the conference committee must be approved by both Houses in identical form before the measure is enrolled (printed on parchment) and made available for the signatures of the Presiding Officers of the two Houses. At this point, the enrolled measure is by custom signed first by the Speaker of the House and then by the Presiding Officer of the Senate, before being presented to the President for his signature.
---
**U.S. Code on Printing of Bills and Laws**
Title 1 of the United States Code (sections 101–107) embodies the following provisions of the laws regarding the style and forms in which acts are to be passed and, of course, bills and resolutions are drawn in the same fashion for printing:
**[Enacting Clause]**
The enacting clause of all Acts of Congress shall be in the following form: “Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled.” (July 30, 1947, ch. 388, 61 Stat. 634.)
**[Resolving Clause]**
The resolving clause of all joint resolutions shall be in the following form: “Resolved by the Senate and House of Representatives of the United States of America in Congress assembled.” (July 30, 1947, ch. 388, 61 Stat. 634.)
**[Enacting or Resolving Words After First Section]**
No enacting or resolving words shall be used in any section of an Act or resolution of Congress except in the first. (July 30, 1947, ch. 388, 61 Stat. 634.)
[Numbering of Sections, Single Proposition]
Each section shall be numbered, and shall contain, as nearly as may be, a single proposition of enactment. (July 30, 1947, ch. 388, 61 Stat. 634.)
[Title of Appropriation Acts]
The style and title of all Acts making appropriations for the support of Government shall be as follows: "An Act making appropriations (here insert the object) for the year ending September 30, (here insert the calendar year)." (July 30, 1947, ch. 388, 61 Stat. 634; July 12, 1974, Pub. L. 93–344, Title V, sec. 506(a), 88 Stat. 322.)
[Printing Bills and Joint Resolutions]
Every bill or joint resolution in each House of Congress shall, when such bill or resolution passes either House, be printed, and such printed copy shall be called the engrossed bill or resolution as the case may be. Said engrossed bill or resolution shall be signed by the Clerk of the House or the Secretary of the Senate, and shall be sent to the other House, and in that form shall be dealt with by that House and its officers, and, if passed, returned signed by said Clerk or Secretary. When such bill, or joint resolution shall have passed both Houses, it shall be printed and shall then be called the enrolled bill, or joint resolution, as the case may be, and shall be signed by the presiding officers of both Houses and sent to the President of the United States. During the last six days of a session such engrossing and enrolling of bills and joint resolutions may be done otherwise than as above prescribed, upon the order of Congress by concurrent resolution. (July 30, 1947, ch. 388, 61 Stat. 634.)
[Promulgation of Laws]
Whenever a bill, order, resolution, or vote of the Senate and House of Representatives, having been approved by the President, or not having been returned by him with his objections, becomes a law or takes effect, it shall forthwith be received by the Archivist of the United States from the President; and whenever a bill, order, resolution, or vote is returned by the President with his objections, and, on being reconsidered, is agreed to be passed, and is approved by two-thirds of both Houses of Congress, and thereby becomes a law or takes effect, it shall be received by the Archivist of the United States from the President of the Senate, or Speaker of the House of Representatives in whichsoever House it shall last have been so approved, and he shall carefully preserve the originals. (Added Oct. 31, 1951, ch. 655, § 2(b), 65 Stat. 710.)
[Amendments to Constitution]
Whenever official notice is received at the National Archives and Records Administration that any amendment proposed to the Constitution of the United States has been adopted, according to the provisions of the Constitution, the Archivist of the United States shall forthwith cause the amendment to be published, with his certificate,
specifying the States by which the same may have been adopted, and that the same has become valid, to all intents and purposes, as a part of the Constitution of the United States. (Added Oct. 31, 1951, ch. 655, § 2(b), 65 Stat. 710.)
[Parchment or Paper for Printing Enrolled Bills or Resolutions]
Enrolled bills and resolutions of either House of Congress shall be printed on parchment or paper of suitable quality as shall be determined by the Joint Committee on Printing. (July 30, 1947, ch. 388 61 Stat. 635.)
Rule VII, Paragraphs 1, 3, and 6
[Introduction of Bills]
1. On each legislative day after the Journal is read, the Presiding Officer on demand of any Senator shall lay before the Senate messages from the President, reports and communications from the heads of Departments, and other communications addressed to the Senate, and such bills, joint resolutions, and other messages from the House of Representatives as may remain upon his table from any previous day's session undisposed of. The Presiding Officer on demand of any Senator shall then call for, in the following order:
The presentation of petitions and memorials.
Reports of committees.
The introduction of bills and joint resolutions.
The submission of other resolutions.
All of which shall be received and disposed of in such order, unless unanimous consent shall be otherwise given, with newly offered resolutions being called for before resolutions coming over from a previous legislative day are laid before the Senate.
3. The Presiding Officer may at any time lay, and it shall be in order at any time for a Senator to move to lay, before the Senate, any bill or other matter sent to the Senate by the President or the House of Representatives for appropriate action allowed under the rules and any question pending at that time shall be suspended for this purpose. Any motion so made shall be determined without debate.
6. Senators having petitions, memorials, bills, or resolutions to present after the morning hour may deliver them in the absence of objection to the Presiding Officer's desk, endorsing upon them their names, and with the approval of the Presiding Officer, they shall be entered on the Journal with the names of the Senators presenting them and in the absence of objection shall be considered as having been read twice and referred to the appropriate committees, and a transcript of such entries shall be furnished to the official reporter of debates for publication in the Congressional Record, under the direction of the Secretary of the Senate.
Rule XIV
[Bills, Joint Resolutions, Resolutions, and Preambles Thereto]
1. Whenever a bill or joint resolution shall be offered, its introduction shall, if objected to, be postponed for one day.
2. Every bill and joint resolution shall receive three readings previous to its passage which readings on demand of any Senator shall be on three different legislative days, and the Presiding Officer shall give notice at each reading whether it be the first, second, or third: Provided, That each reading may be by title only, unless the Senate in any case shall otherwise order.
3. No bill or joint resolution shall be committed or amended until it shall have been twice read, after which it may be referred to a committee; bills and joint resolutions introduced on leave, and bills and joint resolutions from the House of Representatives, shall be read once, and may be read twice, if not objected to, on the same day for reference, but shall not be considered on that day nor debated, except for reference, unless by unanimous consent.
4. Every bill and joint resolution reported from a committee, not having previously been read, shall be read once, and twice, if not objected to, on the same day, and placed on the Calendar in the order in which the same may be reported; and every bill and joint resolution introduced on leave, and every bill and joint resolution of the House of Representatives which shall have received a first and second reading without being referred to a committee, shall, if objection be made to further proceeding thereon, be placed on the Calendar.
5. All bills, amendments, and joint resolutions shall be examined under the supervision of the Secretary of the Senate before they go out of the possession of the Senate, and all bills and joint resolutions which shall have passed both Houses shall be examined under the supervision of the Secretary of the Senate, to see that the same are correctly enrolled, and, when signed by the Speaker of the House and the President of the Senate, the Secretary of the Senate shall forthwith present the same, when they shall have originated in the Senate, to the President of the United States and report the fact and date of such presentation to the Senate.
6. All other resolutions shall lie over one day for consideration, if not referred, unless by unanimous consent the Senate shall otherwise direct. When objection is heard to the immediate consideration of a resolution or motion when it is submitted, it shall be placed on the Calendar under the heading of “Resolutions and Motions over, under the Rule,” to be laid before the Senate on the next legislative day when there is no further morning business but before the close of morning business and before the termination of the morning hour.
7. When a bill or joint resolution shall have been ordered to be read a third time, it shall not be in order to propose amendments, unless by unanimous consent, but it shall be in order at any time before the passage of any bill or resolution to move its commitment; and when the bill or resolution shall again be reported from the committee it shall be placed on the Calendar.
8. When a bill or resolution is accompanied by a preamble, the question shall first be put on the bill or resolution and then on the preamble, which may be withdrawn by a mover before an amendment of the same, or ordering of the yeas and nays; or it may be laid on the table without prejudice to the bill or resolution, and shall be a final disposition of such preamble.
9. Whenever a private bill, except a bill for a pension, is under consideration, it shall be in order to move the adoption of a resolution to refer the bill to the Chief Commissioner of the Court of Claims for a report in conformity with section 2509 of title 28, United States Code.
10. No private bill or resolution (including so-called omnibus claims or pension bills), and no amendment to any bill or resolution, authorizing or directing (1) the payment of money for property damages, personal injuries, or death, for which a claim may be filed under chapter 171 of title 28, United States Code, or for a pension (other than to carry out a provision of law or treaty stipulation); (2) the construction of a bridge across a navigable stream; or (3) the correction of a military or naval record, shall be received or considered.
---
**Amendments to:**
*See “Amendments,” pp. 24–125; “When Not in Order,” pp. 111–119; “Call Up for Senate Consideration,” pp. 33–49.*
**Bills on Calendar:**
*See “Calendar,” pp. 253–267; “Placed on Calendar-Objection Heard to Consideration After Second Reading,” pp. 243–244.*
**Consideration of:**
*See “Consideration, Question of,” pp. 655–682; “Business Pending Before Committee, p. 661.*
**Consideration of and Passage by Unanimous Consent:**
The Senate has by unanimous consent provided in advance that upon receipt of a House bill in the Senate the following actions be deemed to have occurred: The bill be considered, all after its enacting clause be stricken and the text of a Senate bill as amended be inserted in its place, the bill be read a third time and passed, the Senate insist on its amendment, and the Chair appoint conferees.\(^1\)
On another occasion, unanimous consent was obtained for the Senate to receive a House bill during an adjourn-
\(^1\) June 26, 1984, 98–2, *Record*, p. 18637.
ment of the Senate and for the bill upon its receipt to be considered and agreed to.\textsuperscript{2}
\textbf{Consideration of and Vote on Required by Statute:}
On one occasion, the Chair on its own initiative put the question on the passage of a measure the vote on passage of which was required by statute to occur by the end of a certain calendar day, immediately after announcing the result of a roll call vote which began before midnight on that day, and which concluded at approximately 12:10 a.m. the following day.\textsuperscript{3}
\textbf{Constitutionality of a Bill:}
See “Constitutionality of Amendments,” pp. 52–54, 685.
\textbf{Co-Sponsors:}
A Senator may introduce a bill or resolution for himself and as many other Senators as may see fit to join him;\textsuperscript{4} in one case all 96 Senators joined each other on the same bill.\textsuperscript{5} Unanimous consent is required for any Senator to add his name to a bill or resolution which has been introduced or submitted,\textsuperscript{6} or to add the names of additional Senators as co-sponsors of a bill when the bill is next printed or reported.\textsuperscript{7} The Joint Committee on Printing, as authorized by law, has adopted a resolution providing that the Public Printer shall not reprint any bill or joint resolution or amendment for the purpose of adding the names of additional sponsors,\textsuperscript{8} and unanimous consent given by the Senate to reprint a measure for the purpose of adding additional names will not be honored by the Government Printing Office.\textsuperscript{9}
There is no rule authorizing a bill introduced by one Senator for himself and a number of other Senators to be designated by a specific name as to authors.\textsuperscript{10}
\begin{itemize}
\item \textsuperscript{2} July 11, 1985, 99–1, Record, p. 18855.
\item \textsuperscript{3} Sept. 19, 1986, 99–2, Record, p. 24937.
\item \textsuperscript{4} See Jan. 23 and 30, 1961, 87–1, Record, pp. 1104–05, 1405; Feb. 20, 1961, 82–1, Record, p. 2350; Jan. 30, and 31, 1958, 85–2, Record, pp. 1323, 1418; Dec. 19, 1947, 80–1, Record, p. 11674; and July 1, 1967, 90–1, Record, p. 3730.
\item \textsuperscript{5} Apr. 2, 1937, 75–1, Journal, pp. 194–95, Record, p. 3061; this was before the membership was increased to 100.
\item \textsuperscript{6} Jan. 13, 1953, 83–1, Record, p. 352.
\item \textsuperscript{7} Oct. 11, 1949, 81–1, Record, p. 14173; Oct. 19, 1949, 81–1, Record, p. 15031.
\item \textsuperscript{8} Mar. 21, 1951, 82–1, Record, p. 2723.
\item \textsuperscript{9} Jan. 6, 1955, 84–1, Record, p. 241.
\item \textsuperscript{10} Mar. 12, 1952, 82–2, Record, p. 2141.
\end{itemize}
On June 10, 1937, by unanimous consent, the name of a Senator was added as a co-sponsor of a resolution after its passage.\textsuperscript{11}
In 1913, a ruling was made that a resolution should be introduced by one Senator only, and not by one Senator for himself and another jointly.\textsuperscript{12}
Bills cannot be held at the desk for more than the day introduced for adding additional co-sponsors, except by unanimous consent.\textsuperscript{13}
\textbf{Debate of:}
See “Debate,” pp. 716–797.
\textbf{Desk Copy of Bill:}
When a bill under consideration by the Senate is ordered reprinted showing the amendments adopted by the Senate, the original official desk copy will continue to be used at the desk in the consideration of further amendments to be proposed thereto.\textsuperscript{14}
On one occasion the Senate used as the desk copy of a measure a committee print thereof in the absence of the printed version of the measure;\textsuperscript{15} on another occasion by unanimous consent the Senate used as the desk copy of a measure a committee print of a House bill after granting unanimous consent that the provisions of the Senate companion measure for that bill be included as Senate amendments thereto.\textsuperscript{16}
\textbf{Division of Questions on Passage:}
See “Division of Pending Question,” pp. 807–812.
\textbf{Enacting or Resolving Words After First Section:}
It is not in order for an amendment to contain either a preamble or a resolving clause.\textsuperscript{17}
\begin{footnotesize}
\begin{itemize}
\item[\textsuperscript{11}] June 10, 1937, 75–1, \textit{Record}, p. 5515.
\item[\textsuperscript{12}] Oct. 27, 1913, 63–1, \textit{Record}, p. 5798.
\item[\textsuperscript{13}] See Feb. 16, 1967, 90–1, \textit{Record}, p. 3730.
\item[\textsuperscript{14}] June 10, 1935, 74–1, \textit{Record}, p. 8940; June 22, 1932, 72–1, \textit{Record}, p. 13643; May 19, 1953, 83–1, \textit{Record}, p. 7084.
\item[\textsuperscript{15}] Dec. 16, 1982, 97–2, \textit{Record}, p. 31313.
\item[\textsuperscript{16}] July 23, 1984, 98–2, \textit{Record}, pp. 20498, 20507.
\item[\textsuperscript{17}] June 18, 1984, 98–2, \textit{Record}, p. 16913.
\end{itemize}
\end{footnotesize}
Enrollment Not on Parchment Paper:
The Congress on one occasion passed, and the President signed, a joint resolution waiving the requirement contained in sections 106 and 107 of Title I, U.S. Code, that enrolled bills be printed on parchment paper, for the enrollment of a specific measure, and providing that such enrollment be in such form as may be certified by the Committee on House Administration.\(^{18}\)
Form of Bills and Resolutions Changed:
*See also* “Constitutional Amendments,” pp. 683–686.
The form of legislative proposals, by unanimous consent, or without objection, has been changed after their introduction.
In 1838, the House changed a Senate joint resolution to a bill, and the Senate on the same day agreed to the House amendment.\(^{19}\) In 1921, a Senate joint resolution, which requested the President to negotiate a treaty, was changed to a Senate resolution.\(^{20}\) Senate joint resolutions on different occasions have been changed to Senate concurrent resolutions;\(^{21}\) and in 1884, a joint resolution was changed in form to a Senate bill and passed as such.\(^{22}\)
As a courtesy to the House of Representatives in 1912, a House joint resolution was changed by amendment in the Senate to a House concurrent resolution, instead of adopting an original Senate concurrent resolution in lieu of the joint resolution and the latter was indefinitely postponed.\(^{23}\) In 1940, when a joint resolution was reached on the call of the Calendar, a Senate resolution was submitted in lieu thereof and passed, by unanimous consent, and the joint resolution was indefinitely postponed.\(^{24}\)
During the consideration of a Senate concurrent resolution a motion to change it to a joint resolution is not in order,\(^{25}\) but in 1888 a motion was agreed to which changed a House concurrent resolution to that of a joint
---
\(^{18}\) Dec. 10, 1985, 98–1, *Record*, p. 35552.
\(^{19}\) July 9, 1838, 25–2, *Journal*, p. 1310.
\(^{20}\) June 6, 1921, 67–1, *Journal*, p. 130, *Record*, p. 2136.
\(^{21}\) Oct. 30, 1919, 66–1, *Journal*, p. 264, *Record*, p. 7755; Feb. 15, 1884, 48–1, *Record*, pp. 1142–43.
\(^{22}\) Mar. 12, 1884, 48–1, *Journal*, p. 417, *Record*, p. 1790.
\(^{23}\) Apr. 13, 1912, 62–2, *Record*, pp. 4702–04.
\(^{24}\) Feb. 1, 1940, 76–3, *Journal*, p. 100, *Record*, pp. 904–05.
\(^{25}\) See Mar. 21, 1951, 82–1, *Record*, pp. 2746–47.
resolution, and a similar action was taken in 1896. In 1906, a concurrent resolution which contained a legislative provision was changed by unanimous consent to that of a joint resolution and passed, and under a ruling of the Chair in 1951, such action can be taken by unanimous consent only.
In 1920, the House changed a Senate joint resolution to a concurrent resolution, in which amendments the Senate concurred; subsequently, in order to permit a proper parliamentary record of the proceedings to be made, the House passed a concurrent resolution embracing the same language; the Senate then reconsidered its vote agreeing to the House amendments to the joint resolution, and ordered it returned to the House, pursuant to its request, and agreed to the House concurrent resolution.
Concurrent resolutions have been changed to simple resolutions and in 1892, when this was done on one occasion, it was held on appeal to be in the nature of a new resolution and would have to lie over 1 day on an objection.
On March 25, 1938, by unanimous consent the form of a Senate resolution, under consideration, was changed to that of a joint resolution and passed, and on April 2, 1951, the Chair ruled that during the consideration of a Senate resolution, a motion to change its character to that of a joint resolution is not in order.
Senate simple resolutions by unanimous consent have been changed to concurrent resolutions.
In 1951, by unanimous consent, a concurrent resolution not before the Senate for consideration was modified by its author.
**Held at Desk by Unanimous Consent:**
When a bill is ordered held at the desk by unanimous consent it takes unanimous consent to take it from the
---
25 July 5, 1888, 50–1, *Journal*, pp. 1062–63, *Record*, pp. 5899, 5927.
27 May 28, 1896, 54–1, *Journal*, p. 355, *Record*, p. 5828.
28 Jan. 30, 1906, 59–1, *Journal*, p. 140. *Record*, p. 1758.
29 Mar. 21, 1951, 82–1, *Record*, pp. 2746–47.
30 Jan. 13, 14 and 15, 1920, 66–2, *Journal*, pp. 76–79, *Record*, pp. 1509–12, 1521, 1559–60, 1563.
31 Feb. 8, 1940, 76–3, *Record*, p. 1218; June 16, 1938, 75–3, *Record*, p. 9549.
32 Aug. 5, 1892, 52–1, *Journal*, pp. 428–24, *Record*, pp. 7070–71.
33 Mar. 25, 1938, 75–3, *Journal*, p. 245, *Record*, p. 4085.
34 Apr. 2, 1951, 82–1, *Record*, p. 3065.
35 Feb. 13, 1940, 57–3, *Record*, p. 1563; Apr. 25, 1904, 58–2, *Journal*, p. 432.
36 Apr. 13, 1951, 82–1, *Record*, p. 3858.
desk to allow any other proceeding to occur thereon, or to proceed to its consideration.
**House Language in Bill Not Subject to a Point of Order:**
*See “House Language,” pp. 171, 174, 610–611.*
**House-Passed Bills—Lay Before Senate:**
Under Rule VII, paragraph 3, the Presiding Officer may, at any time, lay before the Senate any bill or other matter sent to the Senate by the President or the House of Representatives. For disposition of such matters, see “Calendar,” pp. 253–267, and “References to Committees,” pp. 1150–1169.
A bill that may be received from the House of Representatives while the Senate is in executive session will be held at the desk until the Senate returns to legislative session; it is not in order to lay such a message before the Senate while that body is in executive session.
**House-Passed Bills, Reference of:**
*See “References to Committees,” pp. 1150–1169.*
**Interpretation of Bills:**
*See also “Interpretation of Amendments,” p. 64.*
It is not in order for the Chair, on the question of final passage of a bill, to attempt to analyze such bill or describe its provisions.
**Introduction:**
Under Rule VII, the introduction of bills and joint resolutions is in order on a new legislative day during the transaction of morning business, following the submission of reports of committees and before the submission (or consideration) of other resolutions. After this period
---
37 Dec. 21, 1982, 97–2, *Record*, pp. 33107–08.
38 Sept. 30, 1982, 97–2, *Record*, p. 26414.
39 See June 15, 1957, 85–1, *Record*, p. 9176.
40 See June 18, 1957, 85–1, *Record*, pp. 9431–33.
41 Aug. 31, 1922, 67–2, *Record*, p. 12032.
42 Rule VII, par. 1.
has expired or during the consideration of unfinished business Senators may introduce bills in the absence of objections by presenting them to the Presiding Officer's desk, which, with the approval of the Presiding Officer, shall be referred and entered on the Journal, "with the names of the Senators presenting them" and the Secretary of the Senate shall furnish a transcript of such entries to the official reporter of debates for publication in the Record.\(^{43}\)
Unanimous consent is required for the introduction of public bills and resolutions while the unfinished business is pending or at any time during a legislative day, except during the period prescribed by Rule VII\(^{44}\) for the morning business; for example, the introduction of public bills and resolutions is not in order except by unanimous consent: during the correction of the Journal,\(^{45}\) during consideration of a resolution opposing the seating of a Senator-elect;\(^{46}\) during the consideration of a conference report under a unanimous consent agreement for a vote thereon at a specified hour;\(^{47}\) or during a recess.\(^{48}\)
It is not in order, under the rule, for a Senator to interrupt a Senator having the floor for the purpose of introducing a bill or making a report,\(^{49}\) even during the Morning Hour.
Under the recent practices of the Senate, a Senator, in the course of a speech, frequently allows himself to be interrupted by another for the introduction of a bill or other matter, but if he yields over an objection or in the face of a notice that a point of order will be made, or if a point of order is made, the yielding would terminate his right to the floor,\(^{50}\) unless unanimous consent is given for that purpose.\(^{51}\)
---
\(^{43}\) See Dec. 6, 1927, 70–1, Record, p. 109; July 10, 1937, 75–1, Journal, p. 407, Record, p. 7018; Rule VII, par. 2, Jan. 19, 1938, 75–3, Record, p. 752; Aug. 2, 1917, 65–1, Record, p. 5693.
\(^{44}\) Mar. 31, 1939, 76–1, Record, p. 3619; see Rule VII; Jan. 19, 1938, 75–3, Record, p. 752; June 28, 1945, 79–1, Record, p. 6904; Dec. 21, 1945, 79–1, Record, p. 12511; July 25, 1914, 63–2, Record, pp. 12725–26; Jan. 23, 1896, 54–1, Record, p. 904; July 10, 1937, 75–1, Journal, p. 407, Record, p. 7018.
\(^{45}\) See Jan. 19, 1938, 75–3, Record, p. 557.
\(^{46}\) See Dec. 6, 1927, 70–1, Record, p. 109.
\(^{47}\) Dec. 23, 1913, 63–2, Record, p. 1471.
\(^{48}\) Jan. 19, 1938, 75–3, Record, p. 752; Sept. 10, 1942, 77–2, Record, p. 7098; Feb. 5, 1954, 83–2, Record, p. 1390; Apr. 30, 1952, 82–2, Record, p. 4759.
\(^{49}\) Aug. 18, 1914, 63–2, Record, p. 13902.
\(^{50}\) See Mar. 21, 1939, 76–1, Record, p. 3052; Mar. 28, 1938, 75–3, Record, p. 4205; Nov. 18, 1921, 67–1, Record, p. 7895; June 10, 1913, 63–1, Record, p. 1935.
\(^{51}\) July 10, 1937, 75–1, Journal, p. 407.
Under a unanimous consent order to consider unobjected to bills on the Calendar only and transact no other business, the introduction of a joint resolution is not in order upon objection.\textsuperscript{52}
A Senator may object to the introduction of a bill,\textsuperscript{53} in which case it may be introduced on the next legislative day as a matter of right.\textsuperscript{54}
Under Rule XIV, paragraph 1, whenever objection is made to the introduction of a bill, its introduction must be postponed for 1 legislative day, under the rule,\textsuperscript{55} but the bill may be introduced as a matter of right during morning business on the next legislative day.\textsuperscript{56}
When a bill is sent to the desk and unanimous consent is requested for its immediate consideration, until that request is granted the bill is not considered to be introduced, is not numbered, has no official status, and the Chair cannot interpret its contents.\textsuperscript{57}
It is customary at the beginning of a session of Congress to await the delivery of the President’s State of the Union message before the introduction of bills.\textsuperscript{58} In recent years this practice has been modified somewhat.
Debate during the introduction of bills is out of order. See “Morning Business,” pp. 918–926, and “Debate,” pp. 716–797.
It is not in order during the introduction of bills and joint resolutions to read a speech into the \textit{Record} over an objection.\textsuperscript{59}
\section*{Introduction by General Order:}
The following excerpt from the \textit{Record}, is the form of a general order to introduce bills and submit resolutions and amendments during the remainder of that Congress by presenting them at the desk of the Presiding Officer, obtained on March 7, 1974, by unanimous consent:
\begin{footnotesize}
\textsuperscript{52} Aug. 15, 1914, 63–2, \textit{Record}, pp. 13783–84.
\textsuperscript{53} Aug. 3, 1982, 97–2, \textit{Record}, p. 19134; Aug. 12, 1982, 97–2, \textit{Record} p. 20935.
\textsuperscript{54} Aug. 12, 1982, 97–2, \textit{Record}, p. 20935.
\textsuperscript{55} Rule XIV, paragraph 1: Oct. 15, 1981, 97–1, \textit{Record}, p. 24142; May 11, 1894, 53–2, \textit{Record}, p. 4584; Jan. 29, 1941, 63–1, \textit{Journal}, p. 84; \textit{Record}, p. 1899; Apr. 18 and 25, 1921, 67–1, \textit{Journal}, 44, 52, \textit{Record}, pp. 1882, 504; Apr. 2, 1926, 63–1, \textit{Journal}, p. 100; \textit{Record}, pp. 8764–65; July 1, 1946, 79–2, \textit{Record}, p. 8017; see also June 25, 1946, 79–2, \textit{Record}, pp. 7950, 7954–55.
\textsuperscript{56} Aug. 16, 1982, 97–2, \textit{Record}, p. 21161.
\textsuperscript{57} Mar. 5, 1986, 99–2, \textit{Record}, pp. 3681–82.
\textsuperscript{58} Jan. 3, 1941, 77–1, \textit{Record}, p. 5.
\textsuperscript{59} Feb. 26, 1924, 68–1, \textit{Record}, p. 3136.
\end{footnotesize}
Mr. Robert C. Byrd. Mr. President, I ask unanimous consent that during the remainder of this Congress it be in order for the proper members of the staff to receive bills, resolutions, and amendments at the desk when signed and presented by a Senator at any time during the day of a session of the Senate when no question is raised thereon, and that in accordance with the rules, it be in order to refer them to the appropriate committee or to refer the amendments, or order them printed and to lie on the table, as requested by the said Senator.\(^{60}\)
**Lie on Table:**
*See “Lie on Table,” pp. 910–911.*
**Lie Over One Day:**
On objection, introduction of a bill must be postponed 1 day. *See “Introduction,” pp. 235–237; see also “Over Under the Rule,” pp. 957–967.*
**Lost in Processing and Duplicates Furnished:**
Bills have been lost or mislaid during the period of processing them. The Senate has furnished the House of Representatives, in compliance with its request, copies of engrossed bills that had been lost.\(^{61}\) The House of Representatives has furnished the Senate, in compliance with its request, copies of certain engrossed House bills that had been lost or mislaid.\(^{62}\)
Likewise, duplicate enrolled bills pursuant to a request of the President, have been supplied him to take the place of original bills which were lost after they were presented to him.\(^{63}\)
**Managers of a Bill:**
In the absence of an official designation, the Senator who occupies the seat of the Majority Leader is assumed to be manager of the measure as the designee of such leader, and the Senator who occupies the seat of the Mi-
---
\(^{60}\) Mar. 7, 1974, 93–2, *Record*, p. 5768; *See also* proceedings for Jan. 15, 1979, for such an order for the 96th Congress.
\(^{61}\) July 19, 1886, 49–1, *Record*, p. 7147; Jan. 10, 1887, 49–2, *Record*, p. 474; Feb. 7, 1887, 49–2, *Record*, p. 1438; Jan. 31, 1895, 53–3, *Record*, p. 1562.
\(^{62}\) May 15 and 16, 1894, 53–2, *Record*, pp. 4747, 4796; June 28, 1906, 59–1, *Record*, p. 9472.
\(^{63}\) May 15, 1935, 74–1, *Record*, p. 7598; May 15, 1935, 74–1, *Journal*, p. 346, *Record*, p. 7598; May 27, 1938, 75–3, *Record*, p. 7601; Dec. 19, 1947, S.J. Res. 167 was presented to the President but lost and a duplicate was furnished.
nority Leader is assumed to be the minority manager as the designee of that leader.\textsuperscript{64}
**Morning Business:**
Introduction of bills is a portion of morning business. \textit{See also} “Morning Business,” pp. 918–926.
**Numbering of Bills:**
By unanimous consent in 1973, a bill was held at the desk for printing until a particular number was reached.\textsuperscript{65}
**Original Bills Reported by Committee:**
\textit{See} “Original Bills Reported by,” p. 408.
**Original Papers Lost:**
The original papers having been lost, after the passage of a bill by both Houses and a request for a conference having been granted, the Senate adopted a concurrent resolution to authorize the preparation of official duplicates.\textsuperscript{66}
**Passage of Bill—Question Not Divisible:**
\textit{See} “Division of Pending Question,” pp. 807–812.
**Passage of Bill Vacated:**
\textit{See} “Concurrent Resolutions,” pp. 442–448.
**Passage—Question on:**
When a House bill has been amended by the Senate, the question, after the third reading of the bill, is on the passage of the bill as amended.\textsuperscript{67}
**Placed on Calendar:**
\textit{See} “Placed on Calendar—Objection Heard to Consideration After Second Reading,” pp. 243–244.
\textsuperscript{64} Oct. 4, 1988, 100–2, \textit{Record}, p. S 14438; Nov. 13, 1985, 99–1, \textit{Record}, p. 31671.
\textsuperscript{65} May 17, 1973, 93–1, \textit{Record}, p. 16145.
\textsuperscript{66} Mar. 13 and 14, 1972, 92–2, \textit{Record}, pp. 8195–96.
\textsuperscript{67} See May 29, 1956, 84–2, \textit{Record}, pp. 9248–50.
Postponement of:
See “Postpone, Motion To,” pp. 997–1003.
Preambles:
See “Preambles,” pp. 1005–1007.
President’s Signature:
See “President of the United States,” pp. 1008–1018.
Private Bills:
See “Private Bills,” pp. 1033–1034.
Reading of Bill:
See also “Introduction,” pp. 235–237; “Reading,” pp. 43–45, 1079; “Reading on Motion . . . ,” pp. 974–975; “Reading of Resolution,” p. 1208.
Bills Read Three Times Before Passage:
Every bill and joint resolution shall receive three readings previous to its passage, which readings on demand of any Senator shall be on three different legislative days, except by unanimous consent, “and the Presiding Officer shall give notice at each reading whether it be the first, second, or third: Provided, That each reading may be by title only, unless the Senate in any case shall otherwise order.”\(^{68}\)
Upon the timely demand of any Senator the three readings of a bill must occur on separate legislative days.\(^{69}\)
Rule XIV, paragraphs 2 and 3, provides that each of the three readings may be by title only unless the Senate in any case shall order otherwise. This order can be either by motion or by unanimous consent. If it is by motion and debate is permitted during the period of morning business, then the motion itself may be debated within the confines of that permitted debate.\(^{70}\)
---
\(^{68}\) Rule XIV, par. 2; Mar. 4, 1929, 70–2, *Journal*, p. 273; July 2, 1946, 79–2, *Record*, pp. 8093, 8096–97; July 3, 1946, 79–2, *Journal*, p. 395; *Record*, p. 8202; May 9 and 13, 1913, 63–1, *Record*, pp. 1393, 1408, 1409, 1415; Apr. 29, 1971, 92–1, *Record*, pp. 12775–81; Apr. 30, 1971, 92–1, *Record*, pp. 12792–93; Oct. 17, 1977, 95–1, *Record*, p. 33832.
\(^{69}\) Dec. 20, 1982, 97–2, *Record*, pp. 32663–64.
\(^{70}\) See Nov. 29, 1982, 97–2, *Record*, p. 27684.
A Senator may move that one of the three required readings of a bill be a reading in full.\textsuperscript{71}
The Chair has stated in response to an inquiry that a pro forma session does not count as a legislative day for the purpose of advancing legislation under Rule XIV.\textsuperscript{72}
\textbf{First and Second Reading Before Reference:}
\textit{See also} “Bills and Resolutions, Reference to Committees,” pp. 1154–1158.
A bill that has been introduced may be read for the first time as a matter of right.\textsuperscript{73}
If a bill is introduced and read a first time, objection to a second reading will put that matter over one legislative day.\textsuperscript{74}
Bills and joint resolutions when introduced are read twice before their reference to the appropriate committees,\textsuperscript{75} and a motion to place a bill on the Calendar or to refer it to a committee is not in order until it had its second reading.\textsuperscript{76}
A bill which has received its first reading on a previous legislative day will, when read the second time on the next legislative day, be referred to committee if no objection to further proceeding thereon is heard.\textsuperscript{77} If an objection to further proceeding thereon is heard at that point, the bill or joint resolution will be placed on the calendar.\textsuperscript{78}
A bill must be read twice on separate legislative days before it can be referred, except by unanimous consent.\textsuperscript{79}
Under an agreement for the transaction of morning business, a bill introduced may be read the first time by title under the rule, and a second time by unanimous consent.\textsuperscript{80}
If objection is heard to the introduction of a public bill or joint resolution, that measure may be read the first time on the next legislative day,\textsuperscript{81} and the second read-
\begin{itemize}
\item Dec. 10, 1982, 97–2, \textit{Record}, p. 29910.
\item See Feb. 26, 1987, 100–1, \textit{Record}, p. S 2647.
\item May 1, 1987, 100–1, \textit{Record}, p. S 5794.
\item Oct. 15, 1981, 97–1, \textit{Record}, p. 24142.
\item Rule XIV, pars. 3.
\item See June 1, 1960, 56–1, \textit{Record}, p. 6523.
\item Mar. 10, 1986, 99–2, \textit{Record}, p. 4152.
\item Mar. 11, 1987, 100–1, \textit{Record} pp. S 2965–66.
\item Rule XIV, pars. 2 and 3; Aug. 12, 1982, 97–2, \textit{Record}, p. 21161; Aug. 6, 1971, 92–1, \textit{Record}, pp. 30213–16; Sept. 8, 1971, 92–1, \textit{Record}, p. 30889; Dec. 12, 1969, 91–1, \textit{Record}, pp. 38717–18; May 22, 1978, 95–2, \textit{Record}, pp. 14765–66.
\item See Aug. 9, 1960, 86–2, \textit{Record}, pp. 16009–19.
\item June 5, 1913, 63–1, \textit{Journal}, p. 84, \textit{Record}, p. 1899.
\end{itemize}
ing, when objected to at the time of the first reading, must be postponed for 1 day,\textsuperscript{82} since a bill or resolution may not be read a second time on the same day of its first reading upon objection being made.\textsuperscript{83}
If an objection is made to the second reading at time of introduction, it should be laid before the Senate for a second reading on the next day when the order of introduction of bills and joint resolutions is reached.\textsuperscript{84}
The second reading of a bill having been objected to on the day of its introduction, a motion made on a subsequent day, after the close of the morning business, that it be read a second time was held to be in order.\textsuperscript{85}
In one case in 1885, when the second reading at length was asked for and objected to, the Presiding Officer put the question to the Senate for decision.\textsuperscript{86}
The requirement of the second paragraph of Rule XIV, relating to reading of bills, will be satisfied by the reading of the bills the first and second times by title only, as determined by decision of the Chair on June 6 and 10, 1913, and as Rule XIV was amended on June 14, 1914.\textsuperscript{87} If objection is made to the second reading of a House bill on the day of its first reading, it will go over a legislative day, when it will be read a second time.\textsuperscript{88}
A bill accompanying a report of a special joint committee may be read the first time by title, but, upon objection, its second reading must be postponed for 1 day; following its second reading, a motion to refer such bill to a standing committee is in order.\textsuperscript{89}
A committee, under the rule, is authorized to report an original bill or joint resolution, which, after its second reading, shall be placed upon the Calendar in the order in which it was reported,\textsuperscript{90} in lieu of a bill previously re-
\textsuperscript{82} \textit{Ibid.}
\textsuperscript{83} Mar. 4, 1929, 70–2, \textit{Journal}, p. 278; Apr. 18 and 25, 1921, 67–1, \textit{Journal}, pp. 44, 52, \textit{Record}, pp. 382, 595; July 2, 1946, 79–2, \textit{Record}, pp. 8093, 8096–97; July 3, 1946, 79–2, \textit{Journal}, p. 395, \textit{Record}, p. 8202; May 9 and 13, 1913, 63–1, \textit{Record}, pp. 1393, 1408–09, 1495.
\textsuperscript{84} June 30 and July 1, 1884, 48–1, \textit{Record}, pp. 5773, 5822, 5825–26; Aug. 19, 1960, 86–2, \textit{Record}, pp. 16739, 16741–42; Sept. 5, 1959, 86–1, \textit{Record}, pp. 18200–201; Aug. 22 and 23, 1958, 85–2, \textit{Record}, pp. 19088–89, 19164, 19347; Aug. 5, 1971, \textit{Record}, pp. 30046–48; Apr. 29, 1971, 92–1, \textit{Record}, pp. 12779–81; Apr. 30, 1971, 92–1, \textit{Record}, pp. 12792–93; Oct. 17, 1977, 95–1, \textit{Record}, p. 3304.
\textsuperscript{85} Apr. 12 and 13, 1911, 62–1, \textit{Journal}, p. 172, \textit{Record}, pp. 3877–78, 3997–99.
\textsuperscript{86} Feb. 28, 1885, 45–2, \textit{Record}, p. 2281.
\textsuperscript{87} June 6 and 10, 1913, 63–1, \textit{Record}, pp. 1903, 1932–33.
\textsuperscript{88} June 19, 1957, 85–1, \textit{Record}, pp. 9618–26; June 18, 1957, 85–1, \textit{Record}, p. 9506; Aug. 1, 1955, 84–1, \textit{Record}, pp. 12545, 12571; May 3, 1948, 80–2, \textit{Record}, pp. 5170–76; Aug. 5, 1971, 92–1, \textit{Record}, pp. 30046–48.
\textsuperscript{89} Apr. 26 and 29, 1928, 69–1, \textit{Record}, pp. 8203–04, 8411–12.
\textsuperscript{90} Dec. 7, 1920, 66–3, \textit{Journal}, p. 7, \textit{Record}, pp. 18, 24.
ferred to it.\textsuperscript{91} Such a bill or joint resolution when reported shall be read once only upon objection being made to a second reading, which then goes over for 1 day.\textsuperscript{92}
The first and second readings of an original bill reported under an order of the Senate, during a recess of the Senate, were subsequently regarded as having been had.\textsuperscript{93}
A motion that the second reading of a bill be by title only and that such bill be printed in full in the \textit{Record} is in order and not debatable, but under the rule, it would be subject to division on demand.\textsuperscript{94}
\textbf{House Bills Read Before Reference:}
A bill received from the House may be read for the first time while the Senate is considering another bill, but no bill may be read more than once on the same legislative day without unanimous consent.\textsuperscript{95}
A bill received from the House may be read for the first time while the Senate is considering a matter under closure.\textsuperscript{96}
\textbf{Placed on Calendar—Objection Heard to Consideration After Second Reading:}
\textit{See also “Bills and Resolutions, Reference to Committees,” pp. 1154–1158; “Calendar of Business,” pp. 256–258.}
After a bill or joint resolution has been read a second time, if objection is heard to its further consideration at that time, under Rule XIV, paragraph 4, the bill will be placed on the Calendar by order of the Chair.\textsuperscript{97}
Under Rule XIV, paragraph 4, a joint resolution which has had its first reading on one legislative day, and then received its second reading on the next legislative day, was placed on the calendar upon objection to further consideration thereon.\textsuperscript{98}
\textsuperscript{91} Apr. 22, 1914, 63–2, \textit{Journal}, p. 244, \textit{Record}, pp. 7069–70.
\textsuperscript{92} Dec. 7, 1920, 66–3, \textit{Journal}, p. 7, \textit{Record}, pp. 18, 24.
\textsuperscript{93} Feb. 5, 1954, 83–2, \textit{Record}, p. 1390; Apr. 30, 1952, 82–2, \textit{Record}, p. 4759.
\textsuperscript{94} See June 20, 1957, 85–1, \textit{Record}, p. 9778; see also Rule XV, paragraph 3.
\textsuperscript{95} Aug. 2, 1983, 98–1, \textit{Record}, pp. 22143–44.
\textsuperscript{96} Aug. 3, 1983, 98–1, \textit{Record}, p. 22450.
\textsuperscript{97} Aug. 2, 1971, 92–1, \textit{Record}, pp. 30446–48; Aug. 6, 1971, 92–1, \textit{Record}, pp. 30213–16; Sept. 1, 1971, 92–1, \textit{Record}, p. 30689; Apr. 29 and 30, 1971, 92–1, \textit{Record}, pp. 12779–81, 12792–93; Aug. 10, 1972, 92–2, \textit{Record}, pp. 27855, 27892–93; Sept. 12, 1973, 93–1, \textit{Record}, pp. 29500, 29504; Oct. 9 and 10, 1973, 93–1, \textit{Record}, pp. 33235, 33489; Nov. 19, 1973, 93–1, \textit{Record}, p. 37725; Jan. 27, 1975, 94–1, \textit{Record}, pp. 1304–07; see also Mar. 6, 1978, 95–2, \textit{Record}, p. 5615; May 22, 1978, 95–2, \textit{Record}, pp. 14765–66; Apr. 9, 1979, 96–1, \textit{Record}, pp. 7630–31; Sept. 29, 1977, 95–1, \textit{Record}, pp. 31660–61.
\textsuperscript{98} Nov. 29, 1982, 97–2, \textit{Record}, pp. 27664–65.
A bill which had its first reading on a given legislative day was read a second time on the next legislative day during the standing order of the Majority Leader, and when objection was heard to further proceedings thereon was placed on the calendar under Rule XIV.\textsuperscript{99}
A bill which has had its first reading and has remained at the desk pending its second reading on the next legislative day will be read the second time on that next legislative day during\textsuperscript{100} or at the end\textsuperscript{101} of the Morning Business, and upon objection to further consideration thereon will be placed on the calendar.\textsuperscript{102}
When a bill is laid before the Senate which came over from the House, it will be read a first time, and if an objection to its second reading is heard, the second reading will go over until the next legislative day. After the second reading, if objection is heard to its further consideration at that time, the bill will be ordered placed on the Calendar. This technique is used to get a House-passed bill on the Senate Calendar without reference to a committee.\textsuperscript{103}
**Placed on Calendar Versus Referred to Committee:**
The precedents in the previous subsection reflect the current practice of the Senate. However, earlier precedents have provided that bills and joint resolutions could not be placed on the Calendar after second reading, but had to be referred to committee.
In 1919, the Vice President ruled that a joint resolution which had been read for the second time must be referred to a committee, despite the contention of a Senator that Rule XIV, paragraph 4 required that it be placed on the Calendar. The Senator had argued that his objection to the referral of the bill to committee constituted the kind of objection to “further proceeding thereon” which would result in the measure being placed on the Calendar.\textsuperscript{104} At times, however a Senate bill upon introduction or House bill which had been messaged to the Senate, would be placed on the Calendar instead of being referred, upon
\textsuperscript{99} Aug. 17, 1982, 97–2, \textit{Record}, pp. 21657–58.
\textsuperscript{100} Sept. 14, 1982, 97–2, \textit{Record}, p. 23364; Nov. 20, 1980, 96–2, \textit{Record}, p. 30345.
\textsuperscript{101} May 25, 1982, 97–2, \textit{Record}, pp. 11583–84.
\textsuperscript{102} May 25, 1982, 97–2, \textit{Record}, pp. 11583–84; Sept. 14, 1982, 97–2, \textit{Record}, p. 23364; Nov. 20, 1980, 96–2, \textit{Record}, p. 30345.
\textsuperscript{103} Dec. 12, 1969, 91–1, \textit{Record}, pp. 38717–18; Aug. 16, 1978, 95–2, \textit{Record}, p. 26393.
\textsuperscript{104} May 23, 1919, \textit{Record}, pp. 128–129.
objection to further proceedings thereon after second reading, under rule XIV, paragraph 4.\textsuperscript{105}
In 1948, the Senate took the same position as the Vice President had in 1919 when it declined to sustain a point of order submitted to it by the President \textit{pro tempore} which claimed that a House bill which had been read the second time should be placed on the Calendar, if objection were made to further proceedings thereon.\textsuperscript{106}
The Senate reversed these earlier precedents in 1957, when it overruled a point of order submitted to it by the Vice President. The point of order argued that Rule XXV by using the language “shall be referred to committee” with respect to every committee, required referral of measures to committee, notwithstanding the language of Rule XIV providing for the placement of measures on the Calendar.\textsuperscript{107}
The issue was again joined in 1964 when the Chair overruled a point of order that claimed that Rule XXV mandated the referral of a House bill that had been read twice, after a Senator objected to further proceedings thereon and asked that the bill be placed on the Calendar. An appeal from that ruling was taken, and laid on the table.\textsuperscript{108}
In 1972, in response to parliamentary inquiries whether a bill that had been read twice could be referred to committee, the Chair stated that if objection were heard “there is no way in which that can be done at this time.”\textsuperscript{109}
\textbf{Third Reading:}
In the consideration of a bill or joint resolution, when the stage is reached that no amendment is pending and no one is seeking recognition, the measure is ordered engrossed (or the Senate amendments to a House measure) and read a third time.\textsuperscript{110} The Presiding Officer is required to order the third reading of a bill if no amendments are pending and no Senator is seeking recognition.\textsuperscript{111} The bill can be advanced to third reading in the
\begin{footnotesize}
\begin{itemize}
\item[105] Mar. 2, 1931, 71–3, \textit{Journal}, p. 309; Jan. 16, 1932, 72–1, \textit{Journal}, p. 154.
\item[106] May 3 and 4, 1948, 80–2, \textit{Record}, pp. 5170–72, 5176, 5219–29.
\item[107] June 20, 1957, 85–1, \textit{Journal}, pp. 382–383; \textit{Record}, pp. 9777–9827, 9814.
\item[108] Feb. 26, 1964, 88–2, \textit{Record}, pp. 3593–97, 3719.
\item[109] See Aug. 18, 1972, 97–2, \textit{Record}, pp. 29309–20; see also Sept. 6, 1972, 92–2, \textit{Record}, pp. 29445–46.
\item[110] See Aug. 20, 1960, 86–2, \textit{Record}, p. 16910.
\item[111] Apr. 23, 1987, 100–1, \textit{Record}, p. S 5369.
\end{itemize}
\end{footnotesize}
absence of any question being raised, or upon demand, it can be determined by a roll call vote, it being a definite action on the bill on the part of the Senate.\textsuperscript{112}
It is appropriate to request the yeas and nays on a third reading of a measure.\textsuperscript{113}
After a bill or joint resolution has been read a third time,\textsuperscript{114} or has been engrossed and read a third time,\textsuperscript{115} or a substitute amendment for a bill has been adopted and the bill read a third time,\textsuperscript{116} an amendment is not in order except by unanimous consent,\textsuperscript{117} unless its previous action is reconsidered;\textsuperscript{118} likewise, should a vote rejecting a joint resolution be reconsidered, an amendment thereto is not in order unless the votes ordering the engrossment and third reading of the bill have been reconsidered.\textsuperscript{119}
By unanimous consent, an amendment may be added to a bill after it has passed, as was done on one occasion in 1888, when an order was adopted changing the \textit{Journal} to show that the bill was amended prior to its third reading and passage.\textsuperscript{120}
In the case of the third reading, further amendments will be in order if a Senator was trying to get recognition at the time the third reading was had.\textsuperscript{121}
Amendments are not in order after third readings of a measure, but debate remains in order after a third reading just as it was before a third reading; \textsuperscript{122} therefore, a Senator may still be recognized after the third reading of a measure has been requested.\textsuperscript{123}
\begin{footnotesize}
\begin{itemize}
\item[\textsuperscript{112}] Sept. 13, 1977, 95–1, \textit{Record}, pp. 29080–81.
\item[\textsuperscript{113}] Sept. 19, 1986, 99–2, \textit{Record}, p. 24917.
\item[\textsuperscript{114}] Sept. 6, 1888, 50–1, \textit{Record}, p. 8335; Apr. 2, 1952, 82–2, \textit{Record}, p. 3370; June 14, 1954, 83–2, \textit{Record}, p. 8146; July 23, 1955, 83–1, \textit{Record}, p. 9616; July 5, 1952, 82–2, \textit{Record}, p. 9491; Jan. 14, 1921, 66–3, \textit{Record}, p. 1415; Feb. 10, 1919, 65–3, \textit{Record}, pp. 3052, 3060; Apr. 2, 1952, 82–2, \textit{Record}, p. 3370.
\item[\textsuperscript{115}] Jan. 10, 1907, 59–2, \textit{Record}, p. 894.
\item[\textsuperscript{116}] Aug. 4, 1972, 92–2, \textit{Record}, pp. 26891–92.
\item[\textsuperscript{117}] Feb. 1, 1945, 79–1, \textit{Record}, p. 691; Apr. 10, 1945, 79–1, \textit{Record}, p. 3248; July 27, 1955, 84–1, \textit{Record}, pp. 11667–68; June 28, 1955, 84–1, \textit{Record}, pp. 9337–38; June 10, 1948, 80–2, \textit{Record}, p. 7680; Dec. 18, 1945, 79–1, \textit{Record}, p. 12254; Feb. 10, 1919, 65–3, \textit{Record}, pp. 3052, 3060; see also Mar. 8, 1941, 77–1, \textit{Record}, p. 2096; Apr. 8, 1943, 78–1, \textit{Record}, pp. 1212–23; Feb. 7, 1943, 78–1, \textit{Record}, p. 1291; Apr. 2, 1936, 74–2, \textit{Record}, pp. 4759–60; Oct. 12, 1976, 95–3, \textit{Record}, p. 96244.
\item[\textsuperscript{118}] Mar. 12, 1940, 76–3, \textit{Record}, p. 2693; see also Apr. 8, 1943, 78–1, \textit{Record}, pp. 3122–23; Feb. 7, 1944, 78–1, \textit{Record}, p. 1291.
\item[\textsuperscript{119}] May 22, 1934, 73–2, \textit{Record}, p. 9241.
\item[\textsuperscript{120}] Apr. 4, 1888, 50–1, \textit{Record}, p. 2683.
\item[\textsuperscript{121}] June 14, 1948, 78–1, \textit{Record}, p. 5824.
\item[\textsuperscript{122}] Dec. 18, 1982, 97–2, \textit{Record}, p. 32331.
\item[\textsuperscript{123}] Dec. 18, 1982, 97–2, \textit{Record}, p. 32324.
\end{itemize}
\end{footnotesize}
After the third reading of a bill, a motion to reconsider the vote agreeing to an amendment is not in order until the vote ordering the engrossment and third reading has first been reconsidered.\(^{124}\)
The Senate on one occasion having refused to order the third reading of a bill reconsidered that vote subsequently, and then recommitted the bill.\(^{125}\)
A demand for the reading of an engrossed bill prior to the usual reading of the bill by title on its third reading would defer action on its passage until the bill had been engrossed and the copy received from the printer.\(^{126}\)
After a bill or joint resolution has been read the third time, and the question stated to be on its passage, a demand that it have its third reading on another day is not in order.\(^{127}\) Likewise, the reading of the text of a bill is not in order after the amendments have been engrossed and the bill has been read the third time.\(^{128}\)
**Third Reading and Engrossment:**
In 1938, on one occasion, the Senate refused to order the engrossment and third reading of a bill.\(^{129}\)
After a bill has been read the third time, a demand for the reading of the engrossed bill is not in order.\(^{130}\)
In 1960, a motion was made to reconsider the vote by which a bill was read the third time, and that motion was laid on the table.\(^{131}\)
**Title Only, Read on Motion To Consider:**
A Senator who makes a motion to proceed to the consideration of a bill is entitled to have the title, but not the body of the bill, read.\(^{132}\)
**Various Practices Under the Rule:**
While a bill is being read for information, debate is not in order.\(^{133}\)
---
\(^{124}\) Mar. 19, 1934, 73–2, *Record*, p. 4818.
\(^{125}\) May 4 and 5, 1910, 61–2, *Journal*, pp. 338, 342, *Record*, pp. 5768, 5820.
\(^{126}\) May 27, 1940, 76–3, *Record*, p. 6903; May 10, 1939, 76–1, *Record*, p. 5404; Sept. 10, 1958, 86–1, *Record*, p. 1891.
\(^{127}\) Apr. 14, 1938, 75–3, *Record*, p. 11137.
\(^{128}\) Feb. 28, 1925, 68–2, *Record*, p. 5007.
\(^{129}\) Apr. 14, 1938, 75–3, *Journal*, p. 309, *Record*, p. 5409.
\(^{130}\) See May 27, 1940, 76–3, *Record*, p. 6903.
\(^{131}\) Apr. 7, 1960, 86–2, *Record*, p. 7568.
\(^{132}\) Aug. 10, 1962, 87–2, *Record*, p. 16124.
\(^{133}\) July 6, 1921, 67–1, *Journal*, p. 181, *Record*, pp. 3347–48; see also Mar. 2, 1911, 61–3, *Record*, p. 3877.
The reading of a bill for the information of the Senate is not in order on a motion to proceed to its consideration.\textsuperscript{134}
A motion to proceed to the consideration of a bill having been agreed to, debate is in order prior to the reading of the bill.\textsuperscript{135}
An appropriation bill, previously read twice and referred under the rule, when subsequently taken up for consideration may be read at length upon demand, under the custom of the Senate; a demand, however, that it be again read for the consideration of amendments is not in order, but the amendments are subject to consideration without a further reading.\textsuperscript{136} Under such circumstances, it is only necessary to read the amendments.\textsuperscript{137} When the formal reading of a bill has been demanded, the original text of the bill, and not a committee substitute reported therefor, should be read.\textsuperscript{138}
A rollcall vote on a motion to proceed to the consideration of a bill, after a response has been made, cannot be interrupted by a demand for the reading of the bill; after such bill has been taken up, it would be in order to demand its reading.\textsuperscript{139}
\textbf{Reading of Bill Introduced During Recess Under Order Waived:}
See “First and Second Reading Before Reference,” pp. 241–242.
\textbf{Recommit:}
See “Recommit,” pp. 1106–1123.
\textbf{Recommit on Point of Order:}
See “Point of Order—Resolution Recommitted,” p. 1119.
\textbf{Reconsider:}
See “Reconsideration,” pp. 1124–1149.
\textsuperscript{134} July 5, 1921, 67–1, \textit{Journal}, p. 181, \textit{Record}, pp. 3347–48.
\textsuperscript{135} Feb. 20, 1895, 53–3, \textit{Record}, p. 2430.
\textsuperscript{136} Mar. 3, 1919, 65–3, \textit{Record}, p. 4897.
\textsuperscript{137} See Dec. 9, 1914, 63–3, \textit{Record}, p. 47.
\textsuperscript{138} See May 19, 1926, 69–1, \textit{Record}, p. 9681.
\textsuperscript{139} Jan. 27, 1915, 63–5, \textit{Journal}, p. 75, \textit{Record}, p. 2405.
Reference:
See “References to Committees,” pp. 1150–1169.
Reports:
See “Reports,” pp. 1176–1201.
Resolutions, Introduction of:
See “Submittal of Resolutions,” pp. 1210–1211.
Resolutions, Reading of:
See also “Reading of Resolution,” p. 1208.
Concurrent and simple resolutions are not required to be read twice before reference and a third time before passage, as is the case for bills and joint resolutions as provided for under Rule XIV; however, if a resolution is submitted and immediate consideration thereof is requested, an objection under Rule XIV, paragraph 6, requires the resolution to go over a day.\(^{140}\)
Concurrent resolutions do not require the approval of the President, nor do they require three readings.\(^{141}\)
Third Reading:
See “Third Reading,” pp. 245–247.
Titles of Bills and Resolutions:
See also “Titles of Bills and Resolutions,” p. 1293.
The Senate has invoked cloture on two titles of a bill en bloc pursuant to the provisions of a unanimous consent agreement.\(^{142}\)
Typographical Errors:
Typographical errors in a printed Senate bill, as compared with the bill introduced, can be corrected without motion being made therefor.\(^{143}\)
\(^{140}\) See Rule XIV on bills, joint resolutions and resolutions, requiring reading thereof; see also Dec. 8, 1826, 19–2, Journal, p. 28.
\(^{141}\) Dec. 8, 1826, 19–2, Journal, p. 28.
\(^{142}\) Aug. 13, 1986, 99–2, Record, p. 21295.
\(^{143}\) June 26, 1913, 63–1, Record, p. 2179.
Withdrawn:
See “Postpone, Motion To,” pp. 997–1003. |
The Control of Avoidance: The United States Alternative
John Tiley
Erik M. Jensen
Case Western University School of Law, firstname.lastname@example.org
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Tiley, John and Jensen, Erik M., "The Control of Avoidance: The United States Alternative" (2006). Faculty Publications. 582.
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The Control of Avoidance: The United States Experience
JOHN TILEY* and ERIK JENSEN†
Introduction
Ten years ago one of us (with help and advice from, amongst others, the other) wrote a series of articles on the judicial doctrines developed in the United States for the control of avoidance of tax.\(^1\) The general conclusions were that the United States rules were a natural feature of a system which was very different from that in the United Kingdom and that considerable care should therefore be exercised by United Kingdom judges before incorporating such doctrines into United Kingdom law. That care was demonstrated by the House of Lords in *Craven v. White*\(^2\) where the House, in a memorable moment, said to second counsel for the Revenue that there was no need for him to take them on his proposed world tour. Since then, and notably in *McGuckian*,\(^3\) the House has indicated that this does not mean that the United Kingdom doctrines have come to a complete and ossified halt. Thus the rule or approach or doctrine, whichever it might be, has not reached the state of a developed and formalised rule against perpetuities around which parties may safely (if carefully) arrange their affairs or into which they may dangerously (if carelessly) blunder; it is a living doctrine which is part of a general approach to the interpretation of statutes. The recent Tax Law Review Committee Report prefers a “sensible” statutory general anti-avoidance rule to a continued development of judicial doctrine.\(^4\) In the United States there has been little call for such a change. This may be because, deep down and despite their preference for substance over form, the United States tax community (whether judges, lawyers or the IRS\(^5\)) are aware of the value of certainty and, while they have become accustomed to the uncertainty generated by the broad doctrines (and other developments), they have no wish for the even greater uncertainty of a general anti-avoidance rule.
The United States judicial doctrines have been created outside the statute and are therefore hypnotically attractive to the outside observer. There is however evidence that, as Gustafson points out, the frequency of the use of the technique seems to be diminishing as, perhaps following the pattern already laid down in the United Kingdom, Congress and the IRS have found other ways of combating avoidance.\(^6\) As this article repeatedly shows, schemes which have been explored in our *Ramsay* cases would not have been attempted in the United States. United States legislation now routinely deals with avoidance and Gustafson cites the Hobby Loss provisions, Subpart F, the Passive Activity Loss
---
* Professor of law, University of Cambridge.
† Professor of law, Case Western Reserve University.
\(^1\) [1987] B.T.R. 180, 220; [1988] B.T.R. 63, 108.
\(^2\) [1988] S.T.C. 476.
\(^3\) [1997] S.T.C. 908.
\(^4\) At para. 4.18.
\(^5\) In this article we use the term “IRS” to cover the Service, its officers and its Commissioner. The term “Commissioner” is used in case names where this is the correct citation.
\(^6\) Gustafson in *Tax Avoidance and the Rule of Law* (ed. Cooper, IBFD, 1997) pp. 349–376.
BRITISH TAX REVIEW
Limitation and the Alternative Minimum Tax as examples. The sweeping Partnership Regulations, on which we comment below, follow the same approach. Yet what lies behind this may be even more interesting. What the United States now has are rules which do not turn on taxpayer intent but on broad categories of transactions. In these ways the United States is coming to look more like the United Kingdom—Taxes Act 1988, s.703 is never far from a United Kingdom fiscal mind.
A further and separate United States development recognises the range of choice which taxpayers face in planning their affairs, choices which are given by the real world to which the tax law has to be applied. Taxpayers are therefore being given the chance to settle their tax affairs or, if one prefers, to select the relevant tax regime in advance; the most of which the system demand by way of payment is consistency in applying the regime selected. Sometimes the choice is implicit; here the system provides clear sets of tax rules and allows taxpayers to bring their facts into one or other legal category as they choose (e.g. alimony payments in the U.S.).\(^7\) Sometimes however the choice is explicit; in the United States one could cite the transfer pricing rules with their advance pricing agreements as an example. Another would be the “tick the box” regulations for the classification of an entity as either a company or a partnership;\(^8\) this applies to United States entities but not to foreign entities as viewed from the United States perspective. These indicate a change from the normal ex-post way of dealing with tax problems to an ex-ante administrative regime. Their implications of such developments are intriguing but beyond the scope of this article.
Despite these developments the judicial doctrines have not gone away. We do not seek to re-examine them at length here. We begin with a brief discussion of the nature of Regulations in the United States tax system before using the 1995 Partnership regulations as an example of one way of dealing with tax avoidance (which, if copied elsewhere in the U.S. system, would appear to make a general rule less necessary). We then turn to some of the United Kingdom’s cases since Ramsay to see how they would have been dealt with in the United States and at one recent United States decision in which tax planning succeeded—the Esmark case. Some of the United Kingdom cases will be decided the same way in the United States and others not—most are the subject of specific legislation. We then comment briefly on the United States advance ruling system since the TLRC requires an advance clearance procedure as part of their “sensible” general anti-avoidance rule.
Our conclusions are that while the United States system has a much more developed judicial approach to counter avoidance this has not stopped either the courts or the Congress from upholding or specifically allowing some avoidance schemes. In our view the key difference has lain in the approach to statutes as sources of law and the much greater rule-formality in the United Kingdom system. However, even here, there are signs of convergence. Just when the House of Lords in McCutchan is indicating a more purposive approach to interpretation and a broader approach to the application of the statutes to the facts in front of them, a lead followed with at least superficial enthusiasm by other United Kingdom judges, some United States courts are emphasising the role of textual formalism in the interpretation of statutes, a move associated especially with Justice Scalia. This school of thought goes beyond the search for the intention of congress (intentionalism) or for the purpose or objective of the statute (purposivism) and finds its basis in what
\(^7\) See below.
\(^8\) Treas. Reg., paras 301.7701–2, 301.7701–3.
Eskridge calls "holistic textualism". The approach was set out by Justice Scalia in the following terms in Green v. Bock Laundry Machine Co.:
"The meaning of terms in statute books ought to be determined, not on the basis of which meaning can be shown to have been understood by a larger handful of the members of Congress; but rather on the basis of which meaning is (1) most in accord with context and ordinary usage, and thus most likely to have been understood by the whole Congress which voted on the words of the statute (not to mention the citizens subject to it), and (2) most compatible with the surrounding body of law into which the provision must be integrated—a compatibility which, by a benign fiction, we assume Congress always has in mind."
The extent of this contrast is matter for much deeper reflection but for now we simply note the evidence of convergence; whether the United Kingdom will reach the point at which it will consider an argument based on United States cases is also a matter for speculation. The question whether this greater rule formality is a good thing or bad thing is likewise ignored.
Regulations—general status
When United States tax officers come across a tax avoidance scheme they may seek to challenge it in a number of ways—including court action. However they may also seek to change the law. One way is to get Congress to act by making a legislative change to the Internal Revenue Code. This may sometimes be retroactive not just to the start of the current taxable year, which begins on January 1, but for a modest period before that. The Supreme Court has allowed retroaction that went back "only a modest period"—in that case to the year immediately preceding that in which the legislation was passed. The Court said that legislation was neither arbitrary nor illegitimate and Congress had acted promptly. It added that it made no difference that the taxpayer had reasonably relied on the statute as it was. In one of those declamatory phrases which grip the imagination rather than the reason Blackmun J. said, "[T]he tax legislation is not a promise and a taxpayer has no vested right in the Internal Revenue Code." The issue of retroactivity in the United Kingdom is another matter to be returned to another day.
Another option is not to wait for Congress but to act immediately by promulgating a Revenue Regulation stating an interpretation of the Code which catches the transaction. The United States tax system divides regulations into two categories—legislative and interpretative. The former are made under express grants of regulation (i.e. statutory instrument) making power, e.g. IRC paras 337(d) and 469(f), with which we are familiar in the United Kingdom, e.g. Finance Act 1993, s.165(4) (FOREX transitional regulations). In the United States these regulations have to follow the procedures in the Administrative Procedure Act, which require notice to taxpayers and opportunities to comment. This still leaves the regulation making power in the hands of the Commissioner but it needs the
---
9 37 UCLA Law Rev. 621; see also Eskridge, Dynamic Statutory Interpretation (1994), Chap. 1, n.64 for some later literature.
10 490 U.S. 504, 528.
11 See generally Atiyah and Summers, Form and Substance in the Anglo-American Common Law, Chaps 1, 4 and 11; there is a summary of some of the points by Popkin at [1991] B.T.R. 284–286.
12 U.S. v. Carlton 512 U.S. 26 (1994).
13 129 L.Ed. 2d at 30.
imprimatur of the Secretary to the Treasury and requires that the process should be open.\textsuperscript{14} In the United States interpretative regulations are made under section 7805a which empowers the Secretary to the Treasury to prescribe “all needful rules and regulations for the enforcement of [the code] including all rules and regulations which may be necessary by reasons of any alteration of law in relation to internal revenue”. These regulations do not have to follow the procedures in the Administrative Procedure Act but in practice the IRS generally follows that procedure. They are binding on IRS and taxpayer alike—so long as they are not inconsistent with the statutes.
The issue of the validity of such regulations may be raised in later cases but, according to the leading United States text on tax law, the attitude of the courts is to recognise that the legislative process in the United States is not ideal and that they should be allowed considerable leeway in filling in the gaps of the legislation.\textsuperscript{15} It is often said that the courts will give greater effect to regulations made under a specific power than to those made under section 7805a; however the evidence (as opposed to the words) on this is at best only mildly supportive.\textsuperscript{16} Although regulations cannot override a provision which is unambiguous and specific in its directions, this leaves a vast area in which the court sustain regulations unless they are “unreasonable and plainly inconsistent with the statutes”.\textsuperscript{17} Particular weight is placed on the contemporaneous nature of the regulations—these are even more likely to be upheld. Regulations may be retroactive as is envisaged by section 7805(b), which enables the Secretary to direct the extent to which they are not to be retroactive.\textsuperscript{18} While there is no legal problem with a retroactive regulation which purports to interpret the existing law, a regulation designed to deal with a particular abusive transaction would if it had retroactive effect be the subject of much criticism. Many controversial regulations only have prospective effect.
A recent study by Aprill relates the status of tax regulations to more general developments in the United States law of judicial review.\textsuperscript{19} The \textit{Chevron} decision was given by the Supreme Court in 1984 and upheld a legislative regulation.\textsuperscript{20} The administrative body was the Environmental Protection Agency. The regulation had been made in 1981 following the change of President and changed the requirements for a source-of-pollution review process; previously any significant change to a plant would trigger this review; now it was to be done by looking at all the changes to the plant at once to see whether the change was above a certain threshold. The court upheld the change:
“If the intent of Congress was clear the court and the agency both had to obey it. If however the statutes were silent or ambiguous the court should not impose its own construction but should ask whether the agency’s answer was based on a permissible construction of the statute. . . . The court should not substitute its own version for a reasonable interpretation made by the administrator of an agency . . .”\textsuperscript{21}
\textsuperscript{14} On the U.K. control of delegated legislation see Wade, \textit{Administrative Law} (7th ed.), Chap. 22; and Bradley and Ewing, \textit{Constitutional and Administrative Law} (1997); pp. 722–732.
\textsuperscript{15} Bittker and Lokken, \textit{Federal Taxation of Income Estates and Gifts} (2nd ed.), 5 vols. 1989–92 and updating supplement (“S”) (hereafter Bittker and Lokken), para. 110.4.2.
\textsuperscript{16} For words see Bittker and Lokken, pp. 110–138 and S110–7, adding to nn.14 and 15.
\textsuperscript{17} Bittker and Lokken, p. 110–138, S para. 110.4.2.
\textsuperscript{18} On possible challenges see Bittker and Lokken, para. 110.4.3.
\textsuperscript{19} Aprill, “Muffled Chevron: Judicial Review of Tax Regulations” (1996) 3 Florida Tax Rev. 52.
\textsuperscript{20} \textit{Chevron USA Inc. v. Natural Resources Defense Council}, 467 U.S., 837 (1984).
\textsuperscript{21} Esp. at 842–844.
THE CONTROL OF AVOIDANCE: THE UNITED STATES EXPERIENCE
Aprill's study also raises the issue of what material the courts will look at in deciding whether to "defer" to the regulations and in particular whether the courts should look at the legislative history, an approximately contemporaneous account of the legislative process prepared by the Congress. In *Chevron* the court said that legislative history and other traditional tools should be used at step one but "deference" should be shown at step two. Since 1984 there have been further developments and some Justices have tried to downgrade the role of the legislative history. So in 1992 we find Justice Kennedy in effect removing legislative history from step one. The result was that at step two the agency may still defend any reasonable interpretation and on any basis; it does not matter whether that basis is to be found in the legislative history.\(^{22}\)
These developments must be seen against the intellectual background of the textualist revolution led particularly by Justice Scalia. As already seen this revolution places great weight on the "plain meaning" of the words of the statutes and can be seen as a return to formalism in the interpretation of statutes. The issue is of course, like every other issue in the United States, very controversial. There has been a great weight of United States scholarship devoted to the study of legislation over the last 20 years\(^{23}\); sadly there has been little counterpart in the United Kingdom law schools. A part of the revolution plays down the role of the legislative history. The position of critics of the legislative history has been summarised by Farber and Frickey as follows:
"[The legislative history] is rarely read by members of Congress and often written by staffers under the influence of lobbyists; it represents legislators at their worst, promoting private interest deals, strategically posturing to mislead judges or abdicating all responsibility to their unelected staffs (who presumably either have their own political agendas or randomly run amok)."\(^{24}\)
As Aprill explains, Justice Scalia is one of these critics, indeed the Justice once memorably likened the use of the legislative history to "entering a crowded cocktail party and looking over the guests for one's friends".\(^{25}\) However these critics have their own critics, including Judge Posner.\(^{26}\) For present purposes one may note three things. The first is the revival of a traditional approach to interpretation; the second is a reduction in the role of the legislative history (a matter of importance if we should ever move in that direction ourselves) and the third is to note Aprill's conclusion that this part of the new revolution does not appear to have reached the Tax Court which routinely still looks at legislative history.
**The United States partnership regulations**
Regulations are important in the United States system because they give the IRS the power to counteract avoidance schemes by this method rather than have to rely on the
---
\(^{22}\) *National RR Passenger Corp. v. Boston and Maine Corp.* 503 U.S. 407 (1992), cited by Aprill at p. 66. It will be appreciated that the requirement that the agency should show that its interpretation is reasonable calls for a more searching inquiry than simply deferring to the agency—Aprill, pp. 87–88.
\(^{23}\) See generally Eskridge, *Dynamic Statutory Interpretation* (1994), esp. pp. 41–47 and 225–237.
\(^{24}\) 74 Virginia L.R. 423 at 437–8. Farber and Frickey add that the relationship between this vision of the legislative process and the assumptions of public choice theory are obvious but the effect of that relationship is disputed by Aprill at n.193.
\(^{25}\) Aprill, p. 85, n.194 citing *Conroy v. Asnikoff* 507 U.S. 511 and L.Ed. 2d 229 at 238 (1993).
\(^{26}\) *Sundstrand Corp. v. CIR*, 17 F 3d 865 (1994) cited by Bitter and Lokken, p. S 4–4.
broad judicial anti-avoidance doctrines; the recent "anti-abuse" regulations under the partnership tax provisions of the Code provide a striking example of this. At one time IRC paragraph 704(b) allowed the IRS to reallocate a particular item if the principal purpose was the avoidance of tax. This was changed in 1976 when the IRS acquired the power to reallocate not when there was a tax avoidance purpose but when the allocation in the partnership arrangement did not have "substantial economic effect". Regulations were issued under the new statute but these were not enough. A new regulation was proposed in May 1994, and then finalised, in considerably different form, in April 1995. Although not a general anti-avoidance provision—its scope is limited to subchapter K of the Code (paras 701 et seq.)—it is best seen as an attempt at regulatory codification of some general anti-abuse principles. More ominously it may be seen as a forerunner for regulations in other areas.
The proposed regulation May 1994
This provided that subchapter K was not intended
"to permit taxpayers either to structure transactions using partnerships to achieve tax results that are inconsistent with the underlying economic arrangements of the parties or the substance of the transactions, or use the existence of the partnerships to avoid the purposes of other provisions of the Internal Revenue Code".
The proposal would have given the IRS very broad authority to recast or altogether ignore transactions that were put together using partnerships in a way inconsistent with the amorphous intent of subchapter K. Much was written on this topic but here two short points should be made. The first is that, for better or worse, partnership planning is often tax driven, some aspects of partnership tax planning in the United States being intended precisely to disregard (or at least stretch) the "underlying economic arrangement of the parties". It followed that, taken at face value, the proposal would have left almost any arrangement using the partnership form at risk. Not surprisingly, the partnership tax bar was almost universal in its condemnation of the loosely drafted, very general proposal, although some commentators defended the proposal on the ground that the IRS needed additional weapons to deal with the aggressive abuses. The second is that doubts were raised as to the validity of such a regulation. The proposal was issued under paragraph 701 of the Code, which merely provides that "[a] partnership as such shall not be subject to the income tax imposed by this chapter. Persons carrying on business as partners shall be liable for income tax only in their separate or individual capacities." The question whether Treasury has the power to issue such a broad-ranging regulation under the authority of a provision that says nothing more than that partnerships themselves are not taxable entities is still unresolved.
The final regulation—1995
The final version was more tightly drafted and included some helpful (although
27 The precise effect of this change is uncertain since the expression had previously formed part of a Regulation.
28 Prop. Treas. Reg., para. 1.701–2(a) (1994).
29 Treas. Reg., para. 1.701–2.
30 Gustafson, op. cit., p. 360 who notes the text took 13½ pages of the CCH Standard Federal Tax Reporter.
31 e.g. Halperin, 64 Tax Notes 823 (1994).
occasionally controversial) examples to provide guidance to practitioners. It is now clear (if it had not been before) that not every partnership used to minimise federal income taxation—i.e. almost every partnership—is at risk. The final regulation contains two broad sets of rules—the “anti-abuse” rule and the “abuse of entity” rule.
The general but vague idea in the anti-abuse rule is that the partnership provisions should be used “in a manner that is consistent with the intent of subchapter K”. If the “principal purpose” of a transaction is “…to reduce substantially the present value of the partners’ aggregate federal tax liability in a manner that is inconsistent with the intent of subchapter K”, then the IRS can “recast the transaction”, which can mean disregarding the partnership altogether, treating some of the purported partners as non-partners for tax purposes, changing methods of accounting, reallocating partnership income or deduction items, and so on—in short, almost anything. United Kingdom readers of a certain age may recall the vigorous reaction when the Finance Act 1960, s.28 was first introduced; mercifully we have not seen too many provisions of that breadth since then.
The regulation tries to define, albeit generally, the “intent of subchapter K”, so that there is at least some idea of what the anti-abuse rule is concerned with. The definition looks to the “substantial business purpose” of the relevant transactions, substance-over-form principles, and proper-reflection-of-income principles. In addition, it contains some extensive examples that, in many respects, have become the substantive rules of the provision; at the least these examples provide safe harbours. Outside the safe harbour examples, however, the definitions are still not very precise, with the ultimate determination of legitimacy resting on a facts-and-circumstances analysis that looks to such factors as how much the aggregate partnership tax liability is reduced below what would have been the case had the partnership form not been used. If there is a series of transactions, an important factor is a comparison between the aggregate tax liability with the steps being honoured and the aggregate tax liability with the steps collapsed.
The abuse of entity rule allows the IRS to treat a partnership as an aggregate of its partners “as appropriate to carry out the purpose of any provision of the Internal Revenue Code or the regulations promulgated thereunder”. While the potential scope of this provision is very broad its purpose is clear: parties ought not to be able to use partnerships to circumvent clear limitations in other parts of the Code. For example, two corporations that would be denied interest deductions if they were to issue “high yield debt” ought not to be able to get the deductions by forming a partnership and having the partnership issue the debt. The fact that paragraph 163(e)(5), the provision that would preclude the corporate interest deductions, makes no mention of partnerships should not matter; the abuse of entity provision would treat this particular partnership as if it were an aggregate of its partners, rather than an entity. International tax practitioners who struggle with the varying characterisations of a partnership in different countries may find this rule of some interest.
*The situation today*
The United States partnership tax bar is much happier with the final regulation than with
---
32 Treas. Reg. para. 1.702–2(b).
33 ibid. para. 1.702(a).
34 ibid. para. 1.701–2(c).
35 ibid. para. 1.701–2(e)(1).
36 ibid. para. 1.701–2(f), example 1.
the proposal partly because the regulation is less amorphous than the draft and partly because of the examples. It may also be because Treasury has been careful to emphasise, like the Inland Revenue in some of its manuals, that the regulation is directed at only the most questionable arrangements; there is no evidence that the IRS has as yet been vigorous in its invocation of the anti-abuse rules.
Nevertheless, grumbling persists, and part of the concern is uncertainty about just how far the regulation goes beyond previously existing doctrine. Interesting light is shed on the relationship between the new regulation and the judicial doctrines in this extract from the regulation:
“[t]he Commissioner can continue to assert and to rely on applicable non-statutory principles and other statutory and regulatory authorities to challenge transactions. This section does not limit the applicability of those principles and authorities”.
These words suggest that the regulation may actually add something to the IRS’ powers—that it goes beyond substance-over-form, step transaction, sham transaction, and all the rest of the doctrines that the IRS can already mobilise. If so, there may be a grand new regulation-based power for the IRS—a new fuzzy doctrine on top of the already existing fuzzy doctrines. If this regulation means something more than the old anti-avoidance doctrines, critics wonder where to find the authority for that something more. The best that defenders of the regulation can do is to state that the regulation does not directly add anything substantive to the Commissioner’s power. What it does is emphasise those powers in a context that has seen more than its share of aggressive tax planning. Moreover by codifying the Commissioner’s power to look to substance rather than form, the Treasury has perhaps made it more likely that a judge sceptical of applying substance-over-form and similar doctrines (if there should be such judges in the United States) will overcome that scepticism. The United Kingdom’s history with the Taxes Act 1988, s.703 shows that initial complacency may be misplaced.
**The judicial anti-avoidance doctrines**
As was seen in those articles ten years ago the United States courts have devised a number of doctrines for the control of avoidance. In the articles they were broken down into different elements—sham transactions, step transactions, business purpose and substance over form and so on. The purpose of so doing was to try to identify elements which might or might not usefully be transferred to the United Kingdom and to try to see what the current United Kingdom doctrine was and where it might go. Looking back we have considered whether it was right to break these doctrines down into distinct units rather than regarding them simply as manifestations of one overarching doctrine—the preference for substance over form. However, while this may be a way of finding some basis for the rules, it does not help one to understand their rather selective application. Overall we take comfort from some positive endorsement of what we did and from the fact that the leading United States text still treats them separately; American literature on each doctrine continues to appear. It may also be that it is inappropriate to treat them as
---
37 *ibid.* para. 1.701–2(i).
38 Popkin [1991] B.T.R. 283, n.1.
39 Bittker and Lokken, para. 4.3.
40 e.g. Brown (1992) 15 Hastings Intl. and Comp.L.Rev. 169, esp. n.2.
"bright-line" rules rather than simply as aids to interpretation. It is certainly true that in the end, as the House of Lords said in *McGuckian*, these matters have to rest on statutory interpretation because that is the authority for their being part of the legal system, whether in the United States or the United Kingdom. However if all that is meant is that the application of these different principles depends on their context then we seem to be no further on—the shifting of the rules on to the level of a more abstract principle achieves nothing of explanatory or predictive value. It still remains the firm view of the United Kingdom author that while the United States principles make a lot of sense in their context they should not be adopted as part of United Kingdom law without everyone being aware of the nature of what is being imported. We would agree with Judge Wisdom who in 1970 noted in *Waterman SS Corp. v. Commissioner* that the solution of a case requires
“something more than easy generalisation that the substance rather than the form of a transaction is determinative of its tax effect. *Gregory (v. Helvering)*\(^{41}\) should not be considered a ‘talisman of magical powers’, since in numerous situations the form by which a transaction is effected does influence or control its tax consequences... This generalisation does however reflect the truth that courts look beyond the superficial formalities of a transaction to determine its proper tax treatment.”\(^{42}\)
Even in 1939, four years after *Gregory*, we find the Supreme Court saying that the *Gregory* principle was “of little value in the solution of tax problems”.\(^{43}\) Nor should one forget critical tax scholars such as Isenbergh.\(^{44}\)
(a) *McGuckian*: sale of right to dividends
The lesson here is that, with the United Kingdom court in *McGuckian* willing to revisit the boundary between capital and income, there is much to be gained from a look at other common law countries. The distinction is deeply ingrained in all common law countries but the precise boundaries can be different. In *McGuckian*,\(^{45}\) the sum received for the sale of a right to dividends over a period of three years was characterised as income for the purpose of the Taxes Act 1988, s.739. For Lords Browne-Wilkinson and Clyde this was based on an application of the *Ramsay* principle\(^{46}\); for Lords Steyn and Cooke the conclusion could be reached without reliance on that principle.\(^{47}\) As Lord Lloyd agreed with all reasons given by his colleagues\(^{48}\) three judges out of five support each *ratio*.
Before turning to the United States materials it may just be worth noting an Australian decision. One of those who would have reached the same decision without relying on the *Ramsay* principle was Lord Cooke. He did not cite the decision of the Australian Full High Court in *FCT v. Myer Emporium*,\(^{49}\) but one suspects that it was not unknown to him. That case concerned the sale of a right to interest. In rejecting the taxpayer’s case that the sum received in return for the right to interest was capital, Mason A.C.J., speaking for the
---
\(^{41}\) 293 U.S. 465 (1935).
\(^{42}\) *Waterman SS Corp. v. Commissioner* 430 F.2d 1185, 1192.
\(^{43}\) *Higgins v. Smith* 308 U.S. 473 at 476.
\(^{44}\) 49 U.Chi.L.R. 859, extensively cited in the articles listed at n.1.
\(^{45}\) [1997] S.T.C. 908.
\(^{46}\) At 912f and 922f.
\(^{47}\) At 917j and 919e.
\(^{48}\) At 914g.
\(^{49}\) (1987) A.T.R. 693.
whole court, suggested various (not very convincing) grounds on which *Paget v. IRC* might be distinguished before concluding that “if *Paget* is not to be distinguished in this way we should be unable to accept its authority for the purposes of the Act”.
When one turns to the United States for comparison one has to begin with the Code itself. The United States tax system has distinguished capital gains from ordinary income for many years and in several ways—including the rate of tax and the treatment of losses. paragraph 1222 charges gain arising from the sale or exchange of a capital asset and paragraph 1221 defines a capital asset. The leading text describes the United States provisions on capital gains and losses as “a leading source of complexity in tax law, comparable in this respect to the realisation concept and the separate taxation of corporation income”. The list of capital assets in paragraph 1221 includes all property other than five specifically listed categories. While none of those categories (stock in trade, depreciable property, etc.) includes the sale of a right to a stream of dividends it is reasonably clear that the proceeds of sale of a right to a stream of dividends (especially for as short a period as three years) would be treated by the courts as ordinary income and not as the proceeds of sale of a capital asset.
One of the categories of capital asset appears to come close to *McGuckian*—property that, if retained, would generate ordinary income (“accounts or notes receivable, acquired in the ordinary course of trade or business for services rendered or from the sale of property described in paragraph (1) [i.e., inventory or stock in trade]”). One might infer from this a general congressional intention to limit the conversion of ordinary income to capital gain but the provision does not in terms apply directly to the sale of a right to dividends. Whatever the outcome of this debate judicial glosses on the capital-asset definition will ensure that the proceeds will be characterised as ordinary income and not capital gain. These glosses come from two relatively old cases which say that capital gain treatment should not be available for amounts that are merely substitutes for ordinary income.
The first case is *Hort v. Commissioner*, decided in 1941. Here the Supreme Court held that a payment made to cancel a lease burdensome to the lessee (prevailing rental rates during the Great Depression having dropped far below the rates provided in the lease) was ordinary income to the lessor. This is the issue that would have arisen in the United Kingdom if the lessor in *Tucker v. Granada Motorway Services* had been subject to tax. *Hort* is usually described as a battle between capital gain and ordinary income—and in a sense it was—but what the lessor actually argued was that he had an ordinary income loss on the transaction in that the cancellation proceeds were less than the present value of the future rental stream. The case focused on the character of the proceeds, and the Court held that no “return of capital” was involved, even though the lease may have been “property” for most purposes and, for that matter, may have been a “capital asset”. What mattered was that rent derived from the capital asset would have been taxable as ordinary income; it followed that the cancellation amount “was merely a substitute for the rent reserved in the lease”. *Hort* is often (and incorrectly) understood to have been concerned with a sale of the right to future lease payments. While Chirelstein argues that cancellation “really does not present quite the same compelling case for ordinary treatment”, it must follow that if a
50 (1938) 21 T.C. 677.
51 Bittker and Lokken, para. 50.1.
52 313 U.S. 28 (1941).
53 (1979) S.T.C. 393.
54 *Federal Income Taxation* (7th ed.) at p. 321.
lease cancellation payment is ordinary income, *a fortiori* the proceeds from sale of a right to lease payments are ordinary income.
The second case is *Commissioner v. P. G. Lake Inc.*, decided in 1958.\(^{55}\) The Supreme Court, in a number of combined appeals, ruled that the disposition of mineral payment rights—in effect, interests entitling the recipient to a stream of ordinary income—generated ordinary income despite the connection of the interests to land:
"The lump sum consideration seems essentially a substitute for what would otherwise be received at a future time as ordinary income. . . . The substance of what was received was the present value of income which the recipient would otherwise receive in the future. In short, consideration was paid for the right to receive future income, not for an increase in the value of the income-producing property . . . [the dispositions were] transparent devices . . . [whose] forms do not control. Their essence is determined not by subtleties of drafting but by their total effect."\(^{56}\)
What would strike a United Kingdom reader as odd about the *Lake* case is the failure of the court even to cite the earlier decision in *Hort*. Instead the court relied on some assignment-of-income cases where the question was not character of income but, rather, who should be taxed on income generated by property that had been gratuitously transferred.\(^{57}\) Whatever the defects in Justice Douglas's analysis, the substitute-for-ordinary-income theory clearly is at the core of *Lake*, as it was in *Hort*.
As commentators regularly note,\(^{58}\) it cannot be the case that any payment substituting for ordinary income must itself be ordinary income. If that were so, there would be little or nothing left of the capital gain provisions. Thus the sale of a share of stock is, in a sense, the sale of a right to a future stream of earnings that would have been taxed at ordinary income rates, but gain on such a sale is unquestionably capital to an investor. So the substitute-for-ordinary-income rationale must be understood to apply to a limited universe of situations. Unfortunately, but inevitably, the boundaries of that universe are not precise. From the many cases involving arguable carve-outs of income interests Bittker and Lokken\(^{59}\) have distilled some factors to look for. For example, the disposition of an undivided fractional interest in a property is likely to give rise to capital gain treatment, and other divisions that are "coextensive with the life of the property" are unlikely to be recharacterised. In contrast, temporal divisions, where the carve-out is for a period less than the life of the underlying property, are problematic. (Both *Hort* and *Lake* fit in that category. In *Lake*, the pay-outs were expected to occur over relatively short periods.) Also problematic are "anticipatory transactions", sales of rights to ordinary income "on the eve of an ordinary income transaction". Perhaps the best we can do is Chirelstein's short description of *Hort*: "[T]he Court's aim [in *Hort*] was to deny (a) capital treatment, and (b) an offsetting basis, to one who disposes of a right to future income which has been carved out of a larger estate." So, returning to *McGuckian*, the United States view would be that whatever the conceptual difficulties in the cases at the margin, this situation is not marginal. A carve-out of the right to future dividends for only three years from shares in absolute ownership is an easy case for ordinary income treatment. The result makes
\(^{55}\) 356 U.S. 260 (1958).
\(^{56}\) At 266–267.
\(^{57}\) For further criticisms see Bittker and Lokken, para. 51.10.5 and articles there cited.
\(^{58}\) e.g. Chirelstein, *op. cit.*, pp. 318–323.
\(^{59}\) At para. 51.10.5.
conceptual sense, and it also makes practical sense for one typical United States reason—it avoids the need to come up with a basis for the right-to-dividends.
Before leaving *McGuckian* it may be worth noting some of those other situations which the United States courts have had to consider whether to characterise a receipt as ordinary income or capital gain. Thus the definition of capital assets excludes property held for sale to customers in the ordinary course of trade or business. Although the United States has no statutory provision widening this to cover an adventure in the nature of trade the case law on this heading when dealing with land will seem very familiar to United Kingdom readers.\(^{60}\) Sums payable for ordinary personal services are excluded from capital gains treatment by paragraph 1221(4) which applies to accounts receivable in the ordinary course of business. The distinction between employment and self-employment is not relevant at this point so ordinary income treatment applies not only to sums received for unpaid services but also to compensation for loss of future income such as compensation received for breach of a contract of employment.
After reading such material it may be surprising to find the decision in *McAllister v. Commissioner*,\(^{61}\) where the court held that a sum received for the sale of a life estate was capital not income; the decision is denounced by Chirelstein as almost certainly wrong while Bittker and Lokken regard the contrast with *Hort* and *Lake* as paradoxical with the paradox being inherent in the capital gain concept.\(^{62}\) What mattered was that the sale was of the vendor's entire interest.
**(b) Furniss v. Dawson**
Since *Furniss v. Dawson*\(^{63}\) is a much-cited case it is perhaps worth noting its United States fate. The planning device there attempted would not work in the United States either—having been pre-empted both by legislation and by judicial activity.
*Furniss v. Dawson* looks at first sight to be a prime target for the invocation of a wide United States general anti-avoidance rule. To simplify, D holds shares with a market value of 4 but with a base cost of 1; D wants to sell them to W for 4. D makes a share for share exchange with GJ; assuming that the Taxation of Capital Gains Act 1992, s.135 applies D will take the shares in GJ with the old base cost of 1 while GJ takes the share at the full market value of 4. GJ then sells the shares to WB; this is a genuine taxable disposal but in fact yields no gain. Today this would be stopped in the United Kingdom by the business purpose test in the Taxation of Capital Gains Act 1992, s.137. In retrospect what is odd is the absence of a business purpose test from the 1965 legislation.
The scheme would not work under United States tax law either. This is because the United States courts are quite used to filling in the gaps in their legislation by determining the basis of the shares themselves and because the legislation in fact usually anticipates the problem. The problem is solved by the principle, recognised by both case-law and legislation, that if basis is increased gain must be recognised; if D was getting a tax deferral GJ would not. Hence in the United States GH's acquisition cost would be 1 not 4 and so the scheme would not be implemented.
In the United States a corporate reorganisation may be effected in various ways. First,
\(^{60}\) e.g. Bittker and Lokken, para. 51.2.3.
\(^{61}\) 157 F. 2d 235 (2d Cir. 1946).
\(^{62}\) Chirelstein, *op. cit.*, p. 324; Bittker and Lokken, para. 51.10.5, nn.72 and 73.
\(^{63}\) [1984] S.T.C. 153.
under paragraph 351 a deferral is recognised when property is transferred to a company in return for shares in that company and the transferor(s) control that company immediately after the transfer. Secondly, the transaction could be treated as a “B” reorganisation under paragraph 368. In both these scenarios D will keep the base cost of 1 for the shares in GJ—but GJ will have to have a base cost of 1 also.
The general anti-avoidance approach of the United States courts is of some potential relevance. While these two options do not achieve their United Kingdom objective of deferring liability, such a scheme might be of some United States interest if, as has sometimes happened, the United States corporate income tax rate is lower than the ordinary individual income tax rate. Under these circumstances the transfer to GJ using the reorganisation rules would shift the potential liability from D to GJ and so to the entity with the lower rate. The IRS might be tempted to try to recharacterise the transaction as a simple sale by D to W. However this attempt to exploit the difference in rates is not without its own risks to D—and so the IRS might just sit back and watch D proceed.\footnote{On the IRS’s right to do this see infra.}
Because of the classical system of corporate tax in the United States a distribution by the company back to D as ordinary would attract full taxation in D’s hands. If D chose to liquidate the company the money would emerge as capital gain but again the gain would have been fully taxed already in the hands of the company. The further complications of the accumulated earnings tax or personal holding company tax (which can be applied to the company) are omitted from this discussion. Until 1986 a further rule was of some relevance. If a company distributed an asset or even sold an asset in anticipation of a liquidating distribution there might be no charge on the company in respect of that gain—the so called \textit{General Utilities} doctrine. That doctrine was repealed by the Tax Reform Act 1986 but had already been reduced by statute and eviscerated by the courts.\footnote{See Bittker and Lokken, para. 92.3.}
If GJ is not to realise a gain it must take the asset over at a base cost of 4. To do this the parties must make the facts fall outside paragraph 351 and also avoid a “B” characterisation of the transaction—perhaps by demonstrating the lack of a business purpose. However one has now stumbled into ever deeper thickets while forgetting what one is trying to do. The consequence of making the transaction such that GJ has a base cost of 4 is that D has realised a gain of 3 on the transfer to GJ; hence D will have realised a gain anyway and might as well realise that gain in the simpler way of a sale to W.
(c) \textit{Ensign Tankers} and non-recourse finance
The lesson to be learned here is the probable advantage of allowing some matters to be dealt with by case law on a principle basis rather than by rushing to legislate. Even today no-one in the United Kingdom is sure how far the principle in \textit{Ensign Tankers} goes; the clearer United States rules on the topic look like examples of legislative overkill.
To summarise the facts in \textit{Ensign Tankers Leasing Ltd v. Stoker},\footnote{[1992] S.T.C. 226.} C, was a limited partnership which was to finance a film made by D so as to exploit the generous capital allowances then available. Ostensibly C put up 100 per cent of the money but in fact it put up only 25 per cent, the balance being loaned by D to C and made payable on a non-recourse basis. C owned the master negative of the film; C assigned the right to promote the film to subsidiaries of D. The House of Lords held that, on the particular
facts, the money provided by D to C could not be said to be expenditure incurred by C on acquiring the film rights so that C was not entitled to capital allowances on 100 per cent of the expenditure but only on 25 per cent.
So far as films are concerned the United States history is in two acts. The story begins with the 1947 Supreme Court decision in *Crane v. Commissioner*. Assuming that the facts gave rise to a real loan—a rather questionable proposition given the facts in *Ensign—the Crane case*, the case that made tax shelters possible, allowed C to write off 100 per cent of the expenditure despite the non-recourse nature of the debt; non-recourse and recourse were treated alike provided the loan were genuine. The reason for this is that if the mortgage is not included C’s depreciation deductions will not reflect actual physical exhaustion so distorting income.
The second act was the 1976 Tax [Reform] Act which introduced at-risk rule for films. paragraph 465 of the Code was made applicable to “holding, producing, or distributing motion picture films or video tapes”. It follows that these devices had been dealt with before the 1986 Tax Reform Act. The third act, the Tax Reform Act of 1986, is of no relevance to films since they had already been dealt with. However the Act widened paragraph 465 still further and had its critical impact on real estate, which had been outside the coverage of paragraph 465. When paragraph 465 applies, depreciation deductions are limited to the amounts taxpayers have at risk—generally cash and the adjusted basis of property contributed to the activity, the amount of any liabilities for which they are personally liable together with the amount of some non-recourse liabilities (those secured by property not used in the activity). So the deductions for the partners in C would be limited to the amount of their contributions (the 25 per cent), assuming that the at-risk amount does not increase in the future (such as through undistributed revenue).
The United States legislative at-risk rules are very complex and the complexity is increased when they are combined with the passive activity loss (PAL) rules. In this combination it can be seen that the real target for the legislator should have been not non-risk finance as such so much as seller-financed debt—as happened in *Ensign*. If this analysis of the United States rules is right the United Kingdom may, by case law development, have reached a solution rather better than the United States statutory rules.
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67 Quite what the relevant particular facts were is of course uncertain but one may note the description of the facts set out by Lord Goff at 245–246 and his comments at 245h: “I am prepared (with some hesitation) to accept that the composite transaction which I have just described should not be called a sham”, and, after setting out the detailed arrangements for repayment, at 246g: “In the circumstances it is, I consider, a misuse of language to describe the payments made by [D] into the bank account as a loan by [D] to [C] to enable [C] to finance the making for the film by [D] on its behalf in excess of [25%]”.
68 331 U.S. 1 (1947).
69 Bittker and Lokken, paras 41.2.3, n.8 and 43.4.2.
70 The film industry is one of those areas where taxpayers cannot be sure of a return on their investments—but this has not prevented the Tax Court from playing the role of film critic. IRC para. 183 resembles (distantly) T.A. 1988, ss.397 and 386 in that it creates a presumption that an activity has been conducted for profit if it has generated a net profit in three of the last five years or two out of seven for horse-breeding, racing or showing. In *Jacobson v. Commissioner* the Tax Court decided that a film had not been made for profit. The court said the film was “a slow paced melodrama, and the screen play full of trivial conversation and shallow commentary”. The subplots were “pedestrian” and the supporting characters “flat”. The Court of Appeals overruled the Tax Court: 915 F. 2d 832 (cited by Gustafson, p. 362).
71 Sims, “Debt, Accelerated Depreciation and the tale of a Teakettle: Tax Shelter Abuse Reconsidered” 42 UCLA L.R. (1994).
Where the non-recourse loan comes not from the seller but from a third party—and so real dollars change hands and the nominal creditor has every incentive to enforce the loan obligations—the potential for abuse does not exist or at least is much reduced.\(^{72}\)
In looking at United States rules one must begin first with the issue whether there is a loan at all (and if so for how much), issues which arose in *Ensign*; only then, having found that there was a loan, does not apply the at-risk and other rules. As an example of the schemes attempted in the United States suppose that S sells a piece of land worth $100 not for that simple price of $100 but for $10 plus a purchase-money mortgage of $1 million; in the most extreme cases the $1m would only be repayable at some far future time). If the scheme worked B, the buyer, would be entitled to deduct depreciation using a basis not of $100 but of $1,000,010. When the scheme was first created, S might seek to defer any gain attributable to the mortgage note under the instalment method of reporting. If B defaulted—as would almost certainly happen—S never reported any gain. It is true that B would be treated as receiving income when released from the debt but the tax benefits already realised by B would far outweigh the tax detriment of gain recognition.
The success of the scheme would originally turn on the question whether this was a genuine loan. The IRS would argue that the debt was not real debt at all—especially where, as here, the value of the property “securing” the note, with value measured at the time the loan was incurred, was substantially less than the amount of the note. If it was not a real loan, the amount of the loan does not get included in basis and interest deductions are not available. The transaction was in essence either an option (the buyer will make the balloon payment only if the property dramatically increases in value) or a sale of tax benefits. Either way, the desired tax results were unavailable. The IRS won in the now classic 1976 case, *Estate of Franklin v. Commissioner*.\(^{73}\) There B, a tax-shelter partnership, had “paid” much more than a motel’s value to the parties who would continue to operate the hotel after the sale. Most of the purchase price was in the form of a grossly inflated purchase money mortgage designed to heighten depreciation and interest deductions. B lost, having failed, in the language of the Ninth Circuit, “to demonstrate that the purchase price was at least approximately equivalent to the fair market value of the property”. It is true that a recent case, the 1988 decision in *Pleasant Summit Land Corp. v. Commissioner*,\(^{74}\) goes the other way but this seems to be a distinctly minority position. In *Pleasant Summit* the court permitted a fair market value basis even when the nominal debt greatly exceeded the value of the property. In cases which have gone to other circuit courts because of the investors’ different places of residence, the position taken in the 1988 case has been rejected; the general view is that was no liability at all—and no basis for the note.
If the facts show that there is a genuine debt the IRS will then invoke the “at loss” and other rules. It should perhaps be noted that the effect of paragraph 465 is not the same as altogether denying tax effects to non-recourse debt. Paragraph 465 does not come to precisely the same result that repeal of the *Crane* basis rule would have done. If the note is reflected in the basis of the motion picture, as it would be if the debt is real, the depreciation deductions would be measured by that higher basis. Thus suppose that one has property with a $100 basis, $10 of which is attributable to a cash contribution and $90 of which is attributable to a non-recourse loan. If the depreciation deduction in year 1 is 10 per cent of basis, the deduction would be $10 in that year—none of which would be limited
\(^{72}\) See Jensen, 10 Va.Tax Rev. 455.
\(^{73}\) 544 F. 2d 1045 (9th Cir.).
\(^{74}\) 863 F. 2d 263 (3d Cir. 1988).
by the at-risk rules. By contrast, if the non-recourse loan were not reflected in basis at all, the deduction in year 1 would be only $1 (one-tenth of $10). Total deductions over time would still equal $10—$1 per year—but the at-risk rules do nothing to prevent the accelerate of deductions attributable to the enhanced basis of $100 as opposed to $10.
(d) *Sherdley*: avoidance opportunity enshrined in legislation
Maintenance or alimony is an area in which the United States tax system openly condones what one might have regarded as avoidance but the condonation takes the form of allowing the taxpayer to plan matters so that they fall on one side of the line or the other—and so falls short of an open election procedure for entity classification. In *Sherdley v. Sherdley*<sup>75</sup> the House of Lords upheld a planning device which had been developed which enabled a parent to make maintenance payments not only to the other spouse but also direct to the children. These direct payments would enable the payments to be set against the children’s personal allowances and lower marginal rates. This system was of course dismantled in the United Kingdom in 1988 when payments, whether to the spouse or child, ceased to be deductible as such, the standardised (and now disgracefully attenuated) qualifying maintenance deduction being substituted, while all such payments ceased to be income of the recipient under Schedule D, Case III.<sup>76</sup>
Although the conceptual framework is quite different from the United Kingdom, United States taxpayers are still free to arrange their affairs on a quite formal basis to achieve tax reductions.<sup>77</sup> These enable taxpayers, within limits, to make the payments deductible or non-deductible as they may wish. The recipient, if taxable, is liable under paragraph 71; the payer’s right to deduct is contained in paragraph 215. Deductibility entails taxability for the recipient; non-deductibility entails non-taxation—there is no room for what Americans call a whipsaw effect. This is achieved by legislation and cannot be assailed on the basis that is tax-driven. Whether it can be attacked for being unconstitutional is another matter.
We now consider the United States rules in more detail.<sup>78</sup> In the early years of the modern American income tax, there was some doubt about the constitutionality of taxing alimony—i.e., whether alimony is encompassed by the term “incomes” in the Sixteenth Amendment to the United States Constitution.<sup>79</sup> Since 1942, however, the Internal Revenue Code, (now para. 71), lacking a general provision like Schedule D, Case III, has expressly provided that alimony and separate maintenance payments are included in the gross income of the recipient; it has equally provided that such payments are deductible by the payer. Despite the pre-1942 doubts, the constitutional issue has receded into the obscurity of academic footnotes, part of a more general reluctance to subject federal tax laws to serious constitutional examination which has been summarised by Graetz as, “The Constitution stops where the Internal Revenue Code begins.”<sup>80</sup> The 1942 scheme had one drawback in that the scope of “alimony” was not always clear and payers could plausibly deduct amounts that payees were not reporting as income. This inconsistency was matched by the IRS—to protect the revenue. The reported cases focused on whether
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<sup>75</sup> [1987] S.T.C. 217.
<sup>76</sup> T.A. 1988, ss.347A and 347B, added by F.A. 1988, s.36.
<sup>77</sup> Gustafson, p. 375 gives other instances such as para. 1031 on like-kind exchanges.
<sup>78</sup> See generally Bittker and Lokken, Chap. 77.1.
<sup>79</sup> *Mahana v. U.S.* 88 F.Supp. 285; see also *Fairbanks v. Commissioner* 191 F. 2d 680 (9th Cir.)—the matter has never been considered by the U.S. Supreme Court.
<sup>80</sup> *The Decline (and Fall(?)) of the Income Tax* (1997) p. 280.
amounts were in substance alimony, looking to such factors as whether the payments were periodic (periodicity pointed toward alimony treatment), whether they discharged a material support obligation, whether they were to be discontinued upon the death or remarriage of the payee spouse, and whether they were earmarked to support minor children of the payer (child support not being treated as alimony).
In 1984 Congress intervened, providing a number of statutory requirements, which, if satisfied, give rise to characterisation as alimony. If those requirements were not satisfied, non-alimony characterisation followed; a non-alimony characterisation would mean that the transfer was generally regarded as a non-taxable—and non-deductible—gift. While the 1984 requirements clearly derive from the pre-1984 case law, the rules are intended to be “either-or” rules, with form controlling the outcome (except perhaps at the margins). The first three 1984 requirements are that a payment is an alimony payment if (a) it is in cash; (b) it is received by or on behalf of a spouse under a divorce or separation instrument; and (c) the payments are, as a matter of law, to terminate on the death of the payee. Three further rules are important: (d) if the spouses are legally separated payments between them will not be alimony if they are members of the same household; (e) perhaps most important, the parties must not have elected to characterise the payment as not alimony. The power to elect is subject to the general rules (i.e. (a)—(d) and (f)); a transfer breaking the rules, e.g., a non-cash transfer, cannot be characterised as alimony. Finally there is rule (f), the payments cannot be alimony to the extent that a divorce or separate instrument fixes particular payments as “for the support of children of the payor spouse”. It is at this point that payments for and, *a fortiori*, to the children become relevant in the United States context. The parties can control their tax liabilities by denominating, or not denominating, payments as child support.
The alimony provisions of the Code are thus a permissible form of assignment of income, and they are in that respect pro-avoidance. If there is an anti-avoidance aspect to this system, it is that it prevents whipsawing the government. To claim an alimony deduction, a payer spouse must indicate his payee spouse’s social security number on his return. Consistent treatment by the two parties is thus assured (assuming the Internal Revenue Service’s computer system can handle the necessary comparison of tax returns). But, except for the requirement of consistency, it is understood that the system will lose the Treasury money.
(e) Hedging transactions: *Whittles v. Uniholdings* (No. 3)—principle or garrotte?
The problem of the tax treatment of hedging transactions caused no less difficulty in the
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81 A well-known example is *Bernatschke v. U.S.* 364 F. 2d. 400 (Ct.C.I.) where the former husband bought an annuity for the benefit of the former wife. The lump sum pointed to no deduction for H but the periodic payment had the scent of alimony for W perhaps to avoid that undesirable result the Court of Claims strained to characterise the arrangements as not arising from any marital obligation and so not as alimony. This brought the symmetrical result that H could not deduct the sum and W had no income.
82 IRC para. 1041 (governing transfers between spouses or former spouses if “incident to divorce”.
83 No substitute obligation must “kick in” at that time.
84 IRC para. 71(b).
85 IRC para. 71(c)(1).
86 IRC para. 215(c).
87 The system has been criticised by feminists. However, if the divorcing spouses are well represented both should come out better, on an after tax basis, than they otherwise would have been. The anti-female bias in the system lies in the general problem of securing adequate (*i.e.* at least equal)
United States than it has done in the United Kingdom—and with the same eventual solution of special provisions—in the form of regulations made under IRC paragraph 988(d). There are also separate regulations for foreign exchange transactions and for financial instruments.
The case law as developed before the regulations began with the *Corn Products* case in 1955. This provided ordinary income treatment for profits and losses from corn futures realised by a company engaged in converting corn into other products. Although futures were not listed in paragraph 1221 as being excluded from the category of capital assets the Supreme Court held that they gave rise to ordinary income under an invocation of general congressional intent that profits or losses arising from the everyday operation of a business should be so considered. The preferential treatment of capital assets should be given only to transactions of property which were not the normal source of business income; capital assets should be construed narrowly.
*Corn Products* returned to the Supreme Court in 1988 when it (or, perhaps more accurately, lower court readings of it) was substantially narrowed. In *Arkansas Best Corp. v. Commissioner*, the taxpayer had bought additional stock in a failing subsidiary to protect its business reputation. Although the Tax Court held that the taxpayer's business purpose in buying the stock was enough to make the resulting loss an ordinary income loss the Supreme Court disagreed—the taxpayer's motivation was not relevant. Subsequently the Tax Court decided that a company whose business was to buy and hold mortgages was allowed to treat losses on financial transactions such as future and short sales of Treasury stocks as ordinary income losses since they were hedging transactions relating to non-capital assets.
In *Whittles v. Uniholdings Ltd (No. 3)* the English Court of Appeal rejected an invitation to treat the two parts of a foreign currency arrangement as one. The taxpayer had borrowed the dollar equivalent of £14 million rather than sterling itself because the rate of interest was lower. The taxpayer accepted the offer of dollars on condition that the exchange risk was eliminated by a forward purchase of dollars to repay the loan. The evidence was that the bank would not have entered into the contract without such a forward contract and would have insisted on it if the taxpayer had not done so. The facts occurred before the 1993 rules came into force and so, if the two transactions had been carried through entirely separately, the gain realised on the disposal of the rights under the forward contract would have been taxable but the loss on the dollar loan would not have been an allowable loss (being incurred in respect of a capital liability—not an asset). Sir John Vinelott held that it was a single composite transaction so that the company had neither a profit on the forward purchase nor a sterling loss on the repayment of the loan. On appeal Aldous L.J. agreed with Sir John Vinelott but Nourse L.J. and Sir John
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representation for women to prevent conniving males from shifting more of their tax obligations on to vulnerable females.
See Reg. paras 1221–2(a)–(g) and 1.446–4(a)–(h).
See Bittker and Lokken, paras S45.7 and 45.8 and, for foreign exchange matters, Chap. 71.
*Corn Products Ref. Co. v. Commissioner* 350 U.S. 46. For discussion see Bittker and Lokken, para. 51.10.3.
485 U.S. 212 (1988).
*Federal National Mortgage Association v. CIR* 100 T.C. 541.
[1996] S.T.C. 914.
[1995] S.T.C. 185.
[1996] S.T.C. 914 at 931g.
Balcombe\textsuperscript{96} did not. For the majority of the Court of Appeal the taxpayer would not have been able to argue the point before the emergence of the \textit{Ramsay} principle, which was described as the fiscal nullity doctrine, and certainly could not do so now. The new approach applied when there was no contractual arrangement. The taxpayers would have lost even if there had been a contractual tie between them and the bank and so could not use the new approach to get them home on the basis that there was a practical certainty that the second step would follow the first.
It is hard to know where to begin with the majority's analysis which seems flawed from end to end. There seem to be two main problem areas. In \textit{Furniss v. Dawson} it is assumed that if there had been a contractual arrangement that the A–B transfer would have been followed by the B–C transfer the whole scheme would have failed.\textsuperscript{97} The whole point was whether the same result would be reached where there was no contractual arrangement. In \textit{Whittles} the court seems to assume that the transactions have to be taken separately even though there is a contract and yet there is little convincing authority for this or at least little that is put forward in the case. Secondly, the majority assert that the \textit{Ramsay} case is a doctrine of fiscal nullity and by inference only available at the suit of the taxpayer. Yet this is surely the very issue which needs to be decided. Some believe that the \textit{Ramsay} principle as developed by the courts is not just a fiscal nullity doctrine but that it is part of a new approach to statutory interpretation, one in which statutes are seen to contain principles and not just rules.\textsuperscript{98} The majority do not and one must just hope they are wrong.
In the United States taxpayers' claims to use one or other of these pervasive doctrines to escape from the normal fiscal consequences of their acts have met with widely different responses—and occasionally colourful language.\textsuperscript{99} Speaking in favour of preventing the taxpayer from using the doctrines Judge Learned Hand said "It is true that the Treasury may take a taxpayer at his word, so to say; when that serves the purpose it may treat his corporation as a different person from himself; but that is a rule which works only in the Treasury's own favour; it cannot be used to deplete the revenue".\textsuperscript{100}
On the other hand we find the 9th Circuit saying, "One should not be garrotted by the tax collector for calling one's agreement by the wrong name."\textsuperscript{101} It is not easy to find the underlying distinctions which could support a theory to enable the United States courts to make sense of this area but some solid points emerge.\textsuperscript{102} The cases clearly show that the judicial doctrines based on substance over form are indeed a two way street and not the one way street one might infer from the comment of Judge Learned Hand alone or which Nourse L.J. propounded in 1997—in the United States some suggest that Learned Hand's comments should be read as applying only to the problem of the corporate or association entity.\textsuperscript{103} There are however two intermediate positions in which the courts acknowledge that the doctrine is a two way street but impose a heavier burden of proof; as was once said, "the so-called two way street seems to run downhill for the Commissioner and uphill for
\begin{itemize}
\item [96] [1996] S.T.C. 914 at 924f and 932.
\item [97] See Lord Brightman [1984] S.T.C. 153 at 166c.
\item [98] See also above n.47.
\item [99] See Bittker and Lokken, paras 4.3.6 and 4.4.6 and 7.
\item [100] \textit{U.S. v. Morris and Essex RR} 135 USF 2d 711 at 713 (2d Cir. 1943).
\item [101] \textit{Pacific Rock and Gravel Co. v. U.S.} 297 F. 2d 122, 125 (9th Cir. 1961).
\item [102] Amongst other literature see Donaldson, 48 Marq.L.R. 41, Smith, 44 Tax L.Rev. 137; and Bailliff, 48 Tax L.Rev. 289.
\item [103] Bittker and Lokken at para. 4–53, n.106.
\end{itemize}
the taxpayer". The two intermediate positions differ in the degree of extra burden put on the taxpayer. The first imposes a "strong proof" requirement; the second requires an even heavier burden—that the taxpayer should show such proof as would be admissible to alter the construction of the contract (or to show its unenforceability) because of mistake, duress, undue influence or similar doctrines. The second doctrine was laid down in a case where the taxpayer was seeking to challenge the allocation of purchase price to different items in a contract to which he was a party and makes obvious sense in such a context.
While the cases show considerable uncertainty as to the scope of the doctrine one thing which is clear is that taxpayers are more likely to be allowed to invoke substance over form if their tax reporting and actions show an honest and consistent respect for the substance of the transaction, i.e. this is not a new position taken in response to a challenge by the IRS. In Estate of Durkin v. Commissioner, X, a 50 per cent shareholder, offered to buy the other 50 per cent from the taxpayers (H) for just over $1.2 million, a gain of $1 million. In order to avoid tax on this gain H agreed to sell the shares for $200,000 (H's base cost in the shares) and the company agreed to sell H certain property at an undervalue (of some $3 million). To United Kingdom eyes this scheme looks a complete non-starter and one can only wonder at the reputation of a tax system which allowed people to think they could get away with this sort of thing—but then the same is true of the facts of Ramsay or Moodie v. I.R.C. The IRS argued that form should prevail and H should pay tax on the constructive dividend of $3 million. H argued that there were two distinct transactions—the sale of shares and purchase of the asset. However once the issue of the valuation of the property (and so the extent of the constructive dividend) had been settled H argued that there was a single transaction in which they had sold their shares for a consideration which included the $3 million—so getting capital gain treatment. Of the 20 judges in the Tax Court nine rejected H's case by applying the stricter of the two "strong proof" positions. They also said that H had reported the transactions as separate and only taken the present position 15 years after the events had been reported. They also noted that negotiations were not at arms' length and that none of the usual step transaction doctrines could apply, a conclusion which causes some surprise to United Kingdom lawyers versed in Furniss v. Dawson. Six judges while agreeing with the other nine said that the taxpayer should be taxed on what he had actually done—the "actual transaction" doctrine—which has United Kingdom echoes of I.R.C. v. Fleming and Co (Machinery) Ltd. Three judges thought everyone else was completely wrong at all stages of their reasoning (including the application of the step transaction doctrine). Two judges gave no reason but one agreed with the IRS and the other with H. One might say that the Tax Court makes the House of Lords seem like a very disciplined and coherent body.
Before leaving this case two last points need to be made on the case itself. First any appeal from this decision would have lain to the Third Circuit and so to the court which applied the stricter of the two strong proof transactions. Secondly the designation of the
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104 Rogers v. Commissioners 29 T.C.M. 869 (1970).
105 Commissioner v. Danielson 378 F. 2d 771 at 775 (3d Cir. 1967).
106 Estate of Weinert v. Commissioner 294 F. 2d 750, 755 (5th Cir. 1967).
107 99 T.C. 561 (1992).
108 [1993] S.T.C. 188.
109 (1951) 33 T.C. 57 (esp. at p. 62).
taxpayers by the letter H is not accidental. The shareholders were all associates of the notorious Jimmy Hoffa, a fact treated as highly significant by one major commentator.\textsuperscript{110}
(f) \textit{Craven v. White}: Esmark a United States counterpart?
Our United Kingdom cases have attracted United States attention.\textsuperscript{111} In a detailed article Brown\textsuperscript{112} provides an extended critique of United States cases and compares them with the United Kingdom. After reciting the litany of the great United States anti-avoidance decisions—\textit{Gregory}\textsuperscript{113} itself, \textit{Court Holding},\textsuperscript{114} \textit{Knetsch}\textsuperscript{115} and \textit{McDonalds Restaurant of Illinois}\textsuperscript{116}—she discusses the decision of the Tax Court in \textit{Esmark v. Commissioner}.\textsuperscript{117} She concludes that the Tax Court took an approach similar to that employed by Lord Oliver in \textit{Craven v. White}.\textsuperscript{118} As the House of Lords had done in \textit{Craven v. White} so in \textit{Esmark} the Tax Court rejected the IRS' attempt to interpret a two stage transaction (A–B followed by B–C) as a single transaction (A–C). She suggests this was because the court was dealing with a linear as opposed to a circular transaction and that the court placed undue emphasis on the intention of the taxpayer. This sounds all very familiar to United Kingdom ears—however surprising it may be. Less surprising is Brown's conclusion that the \textit{Esmark} case must be wrong and she develops some interesting ideas rejecting the relevance of the taxpayer's intention and stressing instead the element of control which the taxpayer had over the particular form the transaction might take. She complains that the United States courts in cases like \textit{Esmark} place far too great an emphasis on the presence of a legitimate business purpose. She writes:
"In the case of linear transactions the United States and United Kingdom courts generally hold that the presence of a business aim [what Lord Brightman referred to as a business effect] does not preclude the application of step transaction analysis. The United Kingdom courts, however, have flatly refused to employ step transaction analysis where the intermediate tax-saving step is motivated by a business purpose other than tax avoidance. The United States courts have also been reluctant to employ the step transaction doctrine where an arrangement is motivated by legitimate business concerns. Often without consideration of tax policy mandates, they treat the revenue goals embodied in legislative enactments as less important than the aim of the business community. Further they have failed to require a business purpose for each step of an arrangement. If the United States courts adopt the approach found in \textit{Esmark} they will conclude that a substance over form approach should rarely be applied to legitimate business deals."\textsuperscript{119}
\textsuperscript{110} Sheppard Tax Notes 119 (January 19, 1993); for comment on the case see also Faber and Keyes, 78 J.Tax 94 (1993).
\textsuperscript{111} e.g. Popkin [1991] B.T.R. 221.
\textsuperscript{112} 15 Hastings Intl. and Comp. Law Rev. 169 (1992).
\textsuperscript{113} 293 U.S. 465 (1935) discussed at [1987] B.T.R. 220–223.
\textsuperscript{114} 324 U.S. 331 (1945).
\textsuperscript{115} 364 U.S. 361 (1960) discussed at [1987] B.T.R. 223–226.
\textsuperscript{116} 688 F. 2d 520 (1987) discussed at [1987] B.T.R. 237–238.
\textsuperscript{117} 90 T.C. 171 (aff'd 886 F. 2d 1318, 7th Cir., 1989).
\textsuperscript{118} [1988] S.T.C. 476.
\textsuperscript{119} 15 Hastings Intl. and Comp. Law Rev. 207. See also Axelrod, "Esmark's Tax-free Disposition to a Subsidiary—Too Good to be True?" 9 J.Corp. Tax 232 and Vitek "Form over Substance" 69 Neb.L.Rev. 728.
Brown then argues that the courts should adopt a substance over form approach whenever a transaction achieves a result which is inconsistent with the interpretation of a statute and where the result is controlled by the taxpayer. If a court cannot discern a statutory purpose it should balance the interests of the taxpayer and the taxing authority.\(^{120}\) This approach would safeguard the ability of the taxpayer to plan business transactions and the interest in government in preventing the manipulation of tax statutes.\(^{121}\)
So controversial a case deserves at least a brief outline. Esmark (E) had a 98 per cent subsidiary (V). E had accepted a bid from Mobil (M) for the 98 per cent of V stock owned by E. However there was not to be a simple sale. The form eventually adopted (and insisted upon by E was in two steps: (a) M should make a cash tender offer to its (E’s) shareholders representing about 54 per cent of E’s stock; (b) M should then exchange the 54 per cent of stock in E for the 98 per cent of the stock in V which E owned. This two stage tender followed by redemption was a substitute for an earlier idea. Under the earlier plan E was going to sell the V stock and buy back about 50 per cent of its own stock. The purpose would have been to bring the market value of the stock in E back to its real value so reducing the risk of take over, redemption ensuring that there was no spare cash in the company. The preferred scheme was designed to ensure not only some protection against the risk of takeover but also a disposition of the V stock without incurring a capital gain charge on the V stock.
The IRS argued that A and B should be combined and treated as a sale by E of the V stock to M and a redemption of the stock of the tendering shareholders with the proceeds paid by M directly to the shareholders. The court, having found that the shareholders in E were independent of E, rejected the IRS recharacterisation. To follow the IRS would be to ignore the commercial realities because each step had “permanent economic consequences” a phrase which has a (repudiated) United Kingdom echo.\(^{122}\) On the question of the step transaction the court said that, as E’s commercial goals could only be achieved in a two step transaction, the use of the two step transaction which resulted in the lowest tax liability was not subject to the step transaction doctrine.\(^{123}\) The doctrine would not apply to combine steps unless, in addition to an overall plan, a series of meaningless steps was present. While the facts demonstrated the presence of an overall plan, that plant did not involve meaningless steps.\(^{124}\)
Bittker and Lokken\(^{125}\) summarise the case in a less controversial way than Brown but perhaps one of more comparative interest. They state that the principle for which the case is authority is that where a rather convoluted series of transactions takes place, the form of the transactions is nevertheless given effect for tax purposes if there is no more direct route to the resulting position of the parties. As the Tax Court put it, “No route was more direct than the others. Each route required two steps, and each step involved two of the three interested parties. Each route left E, E’s shareholders, and M in the same relative positions. Faced with this choice E chose the path expected to result in the least tax”. \(^{126}\)
\(^{120}\) At p. 214.
\(^{121}\) At p. 226.
\(^{122}\) See Vinelott J. in Furniss v. Dawson at first instance [1982] S.T.C. 267.
\(^{123}\) At p. 182.
\(^{124}\) At p. 184.
\(^{125}\) S 4–7.
\(^{126}\) 90 T.C. 171 at 176.
could not be said that one method represented “the substance” of the transaction rather than any other.\textsuperscript{127}
\textbf{Rulings}\textsuperscript{128}
Since the TLRC makes a clearance procedure part of their “sensible” general anti-avoidance rule it may be appropriate to make one or two points on the rulings procedure in the United States. The general principle is that a private letter ruling is authority only for the taxpayer to whom it is issued. The taxpayer can attach the ruling to his, her, or its return and take the position outlined in the ruling; and that position will control so long as the ruling request accurately represented the relevant facts and no retroactive change in the law nullifies the ruling. However it is clear that this system is not without flaw and we now discuss some of the reasons why letter rulings are not sought and why, therefore, one ought not to overstate their significance for tax planning.
The first two are cost and time. While the actual application fees are trivial, the legal costs in putting together even a routine ruling request can be substantial. Moreover, the likely delay in getting a ruling often makes them impractical. A wait of a few months can be expected even for straightforward requests, and if the ruling involves any controversial issues, a far longer wait can be expected (with no guarantee of a favourable ruling). Since the United States rules prescribe a 21 day period for the appropriate branch representative to contact the taxpayer,\textsuperscript{129} the long period may seem odd. However the period is only one within which the branch representative is to make contact with the taxpayer and can be extended if “justified and approved”. The TLRC proposal gives the Revenue 30 days to reply. Although the 30 day period is based on other United Kingdom models and appears very stringent the Revenue would in practice be able to extend the period by asking for further information.
Then there are some areas in which the IRS will not provide rulings.\textsuperscript{130} The IRS regularly notes areas where it will not issue rulings or will “ordinarily” not issue rulings. This list includes factual matters, alternative plans or hypotheticals and on parts of an integrated transaction, transactions lacking a bona fide business purpose or having tax reduction as their principal purpose.\textsuperscript{131} Thus if the IRS is re-examining its policies in a particular substantive area it may decline to do so until its new policies have been established. Again, with new, and potentially controversial, transactions, the IRS may well decline to rule—or may take so long studying the issues that the delay is the equivalent of a denial. United Kingdom readers may bear in mind a similar line taken by the Inland Revenue in relation to the anti-avoidance rule on loan relationships in the Finance Act 1996, Sched. 9, para. 13.\textsuperscript{132} In addition, the IRS ordinarily does not issue rulings that require it to make factual determinations (\textit{e.g.} is the compensation reasonable?), and a ruling, even if favourable, is only as good as the factual representations made in the ruling request.
Finally there is concern that one is inviting audit unnecessarily. A taxpayer may be
\textsuperscript{127} This meets one of the concerns expressed earlier—see [1987] B.T.R. 226–235.
\textsuperscript{128} These are discussed by Bittker and Lokken at para. 110.5.2.
\textsuperscript{129} Rev. Proc. 98–1, 1998–1 I.R.B. 11, para. 10.
\textsuperscript{130} Rev. Proc. 98–3, 1998–1 I.R.B. 84 (most domestic) and I.R.B. 185 (international).
\textsuperscript{131} Rev. Proc. 98–1 para. 7, 1998–1 I.R.B. 11.
\textsuperscript{132} See Corporation Tax Manual, para. 12680.
reluctant to seek a ruling on a potentially sensitive matter if doing so will increase the risk of audit (i.e. if no favourable ruling is issued but the taxpayer goes ahead anyway with the transaction). It appears that one can overstate this risk since communication between the National Office and the district director who will oversee the audit of a particular taxpayer does not necessarily occur—the IRS is not a 100 per cent efficient organisation—but the danger is there. The National Office has the power to communicate with the district offices even if the ruling request is withdrawn in anticipation of an unfavourable ruling. Moreover, if the proposed transaction is really controversial, it is not at all inconceivable that the word will get out to field agents to pay attention to transactions of a particular sort.
Despite these caveats the ruling process has at least two merits. First, the IRS will issue a ruling only if the facts fall beyond certain guidelines—the guidelines thus provide safe harbours. For example, in would-be tax-free reorganisations where continuity of shareholder interest is an issue, requesters must be able to represent (in a slightly simplified form) that shareholders of the target corporation will receive at least 50 per cent of their consideration in the form of a proprietary interest (generally stock) in the acquiring corporation. The 50 per cent test is not a rule of law; everyone agrees that less than 50 per cent continuity would survive judicial review. Secondly, while a ruling will say that it is not to be treated as authority—i.e. taxpayer B cannot use a favourable ruling given to taxpayer A to fight the IRS on the merits of his similar transaction—rulings are nevertheless a rich resource for tax planners. Because of the Freedom of Information Act, the private letter rulings (with identifying information deleted) are now routinely available and a lawyer who advises on a deal without knowing of these rulings is presumably at risk of being sued for negligence. It is an open question whether the world would be a better place without these things being available to everyone. There are too many of them; the only way to research them at all efficiently is through one of the electronic services, and that is often not very efficient; one often cannot tell whether the point one is interested in was really focused on or whether it just happened to be mentioned in passing. Nevertheless, the rulings are out there and it is a great source of comfort to find favourable rulings on similar transactions.
Conclusions
Given the wide variety of doctrines and devices which the United States courts, Congress and the administration can invoke, the absence of a general anti-avoidance provision scarcely seems to matter. For their part the IRS does not seem to need a general anti-avoidance measure and there must always be a risk of constitutional challenge to such a clause. Practitioners for their part do not seem to think that a general anti-avoidance rule, however sensible, would make their life any better than the present chaotic set of principles and rules. One suspects that, as in all these things, if the players are content there will be no change. One also senses that in the United States, despite the separation of powers, the courts the IRS and the Congress regard themselves as partners in the struggle to make the tax system work. Our general conclusion is that while there are some signs of convergence between the United Kingdom and United States systems in McGuckian, in Esmark and in the Scalia approach to statutes, the two systems remain clearly distinct. Our hope is that if United Kingdom judges become more inclined to a purposive approach to statutes, and if that enables them to extend the new approach, more attention will be paid by United Kingdom judges to the United States experience. For better or worse the United States tax
system is the most important tax system in the modern world; its myriad instances provide both fruitful analogies and painful warnings. It is also the most written about and probably the most criticised. All this comes from a democratic system of government and from a system of legal education in which proper attention is paid to the teaching of tax law. |
MAXIMIZING THE BENEFITS OF ESTATE PLANNING
BET-TO-DIE STRATEGIES: CLATS AND PRIVATE
ANNUITIES
Peter Melcher* and Matthew Zuengler**
INTRODUCTION
Estate planners commonly encounter clients with life expectancies far shorter than average for someone the clients' age. Tragic as this may be, it provides unique estate planning opportunities. By using an appropriate bet-to-die strategy, such a client can transfer assets to beneficiaries at a small fraction of what the normal transfer tax cost would be. These strategies are effective because they enable the taxpayer to greatly undervalue transferred property interests for federal transfer tax purposes.
In this article, we will first provide a general explanation of how life interests in property are valued for transfer tax purposes, why the IRS is generally powerless to prevent undervaluation in certain circumstances, and the extent to which interests can be undervalued. Then, we will discuss the key bet-to-die strategies – charitable lead annuity trusts (CLATs) and private annuity sales – explaining their basic operation, how they produce economic benefits, and their advantages and
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* Peter Melcher, J.D., L.L.M., M.B.A., is a Senior Tax Consultant at Virchow Krause & Company in Milwaukee, Wisconsin, Associate Editor of the Journal of Retirement Planning and a frequent contributor to national estate and retirement planning journals.
** Matthew C. Zuengler is a partner with the law firm of Hager, Dewick & Zuengler, S.C., located in Green Bay, Wisconsin. He received a B.S., cum laude, in Economics and Finance from Carroll College and a J.D. from Marquette University Law School.
disadvantages.\textsuperscript{1}
\textbf{VALUING LIFE INTERESTS IN PROPERTY—THE IRS’S DILEMMA}
Estate planners commonly divide property ownership between (a) a life estate or life annuity interest and (b) a remainder interest to allow for the transfer of one or the other to a beneficiary. Because lifespans vary considerably, it is never possible to value these interests precisely for transfer tax purposes. This creates a dilemma for the IRS and the courts in deciding how these interests should be valued. One alternative would be to conduct a thorough examination of all the facts and circumstances every time a taxpayer made a transfer.\textsuperscript{2} This might involve looking at the taxpayer’s medical history, investigating the longevity of ancestors, and obtaining an opinion from the taxpayer’s current physician. While this might produce the most accurate valuation possible, it would place an unreasonable burden on the IRS and the courts.\textsuperscript{3}
The only alternative to this subjective and time-consuming
\begin{enumerate}
\item Sales of remainder interests, split purchases, and self-canceling installment notes (SCINs) are also sometimes mentioned as bet-to-die strategies. Sales of remainder interests and split purchases have limited application, however, because they are subject to I.R.C. § 2702 and can only be used effectively if the transaction falls within an exception to § 2702 (i.e., transactions involving persons other than close family members or transfers of a personal residence). I.R.C. § 2702 (Westlaw through 2006 legislation). SCINs would produce extremely favorable economic consequences if the seller died prematurely, but using them as a bet-to-die strategy may be risky because they do not qualify for the safe harbor provided in the I.R.C. § 7520 regulations. As explained more fully below, life annuities can be valued by reference to standard IRS actuarial tables whenever the person who is the measuring life has more than a fifty percent chance of surviving for more than one year, but the regulations do not apply to self-canceling installment notes. The IRS takes the position that in valuing SCINs it does not have to use the average life expectancy for a person of the seller’s age, but can look at the seller’s health to determine his or her actual life expectancy. \textit{See} Gen. Couns. Mem. 39503 (June 28, 1985), WL 373070. As a result, it scrutinizes SCIN transactions carefully to make sure that taxpayers are not overvaluing the note based on the likelihood that the seller will die early. The authors have firsthand experience with this IRS policy, having received requests for medical information relating to clients who have made sales using SCINs. While a strong argument could be made that the administrative necessity rationale requiring the IRS to apply its standard tables to life annuities should also apply to SCINs, we will limit our discussion to CLATs and private annuities because the use of these techniques as bet-to-die strategies is firmly grounded in Treasury regulations.
\item \textit{See} Ithaca Trust Co. v. U.S., 279 U.S. 151, 155 (1929).
\item \textit{See id.}
\end{enumerate}
analysis would be to use actuarial tables based on average life expectancies to provide a bright-line rule.\textsuperscript{4} Annuities, life estates, remainders, and reversions are generally valued by reference to the tables prescribed in Internal Revenue Code (I.R.C.) section 7520, which reflect mortality data for the population as a whole and produce values appropriate for a transferor with an average life expectancy.\textsuperscript{5} If the transferor’s actual life expectancy is substantially different, however, the transferred interests could be greatly overvalued or greatly undervalued. This would not be a problem if there was no selection bias in choosing the measuring lives for valuing the transferred life estates, life annuities, and remainder interests. Most interests would be assigned a value reasonably approximating their true value. Some interests would be substantially undervalued or overvalued, but the IRS would come out about even in the long run.
Unfortunately for the IRS, however, measuring lives are not selected at random. Some transfers of life interests favor taxpayers with a longer-than-average life expectancy and others favor taxpayers with a shorter-than-average life expectancy.\textsuperscript{6} The former are sometimes referred to as bet-to-live strategies\textsuperscript{7} and the latter as bet-to-die strategies. Given a particular client’s circumstances, estate planners can recommend an appropriate strategy to take advantage of the actuarial tables. Because bet-
\textsuperscript{4} \textit{Id.}
\textsuperscript{5} I.R.C. § 7520 (Westlaw through 2006 legislation). We are referring to the transferor here for clarity of presentation. Note that the person who is the measuring life could be someone other than the transferor.
\textsuperscript{6} See McMurry v. Comm’r, 203 F.2d 659, 667 (1st Cir. 1953).
\textsuperscript{7} An example of a bet-to-live strategy is a charitable remainder annuity trust (CRAT). To illustrate how it can be used to create transfer tax benefits, suppose that taxpayer (T) (age sixty and in excellent health) transfers property worth $1,000,000 to a CRAT. The CRAT is to pay T an annuity of $60,000 per year for T’s life with the remainder interest passing to charity. The actuarial life expectancy for a sixty year-old is about twenty-one years, so on average T could expect to receive about twenty-one annuity payments. If T lives for twenty-one years, it will turn out that the life annuity and the charity’s remainder interest were properly valued. If T lives for thirty-one years, however, he will receive ten extra payments. This means that T’s lead interest will turn out to have been undervalued and the charity’s remainder interest overvalued, basically giving T a charitable deduction for value that T ended up retaining.
to-die strategies now offer much greater planning opportunities, they will be our focus in this article.
A simple example can be used to introduce the concept of bet-to-die strategies. Suppose that a taxpayer has an actuarial life expectancy of about twenty-five years, but has a medical condition that reduces her actual life expectancy to only four years. The taxpayer transfers assets worth $1,000,000 to her children in exchange for a life annuity having the same $1,000,000 value. Suppose further that, using the standard IRS mortality tables and interest rate assumptions, the amount of the annual payments is $80,000 per year. If the taxpayer lives to her actuarial life expectancy, the value of the property transferred and the present value of the annuity stream will be about equal. If she lives for only four years after making the transfer, however, she will transfer $1,000,000 and take back only $320,000, removing $680,000 from her estate on a tax-free basis.\(^8\) Estate planners can select which taxpayers will use private annuity sales, recommending it to individuals like this taxpayer but not to others who may have an actual life expectancy of twenty-five, thirty or thirty-five years. This leaves the courts and the IRS with a difficult problem. How can the need for administrative convenience be reconciled with the need to prevent massive tax avoidance?
**THE RESPONSE OF THE COURTS**
Long ago the courts recognized that the general use of actuarial tables to value most life estates, life annuities, and remainder interests was an administrative necessity.\(^9\) The alternative, a comprehensive analysis of the health of the transferee, was generally rejected as unworkable.\(^10\) Thus, the public policy in favor of administrative convenience generally
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\(^8\) This simple example is meant only to introduce the concept of bet-to-die strategies. We will present a more complete explanation of the tax savings when we consider the various strategies in detail below, taking into account present value concepts and methods of increasing the transfer tax savings.
\(^9\) *Ithaca Trust*, 279 U.S. at 155; Simpson v. U.S., 252 U.S. 547, 550-51 (1920).
\(^10\) *Ithaca Trust*, 279 U.S. at 155.
came to outweigh concerns about taxpayers with shorter-than-average life expectancies taking advantage of the tables. Using the tables was necessary even if it occasionally produced inaccurate valuations.\textsuperscript{11}
At the same time, the courts realized that taxpayers could go too far, and that use of the tables was improper in extreme cases.\textsuperscript{12} Thus, the issue for the courts was how short a person’s actual life expectancy had to be to justify departing from the tables and using the actual life expectancy instead.\textsuperscript{13} Historically, the courts permitted the tables to be disregarded only if actual life expectancy was \textit{brief}\textsuperscript{14} and death was “\textit{imminent or predictable}”\textsuperscript{15} or if it was “\textit{unmistakable to one in possession of the facts that the [individual’s] life would be radically shorter than predicted in the actuarial tables . . .}.”\textsuperscript{16} In quantifying this standard, most courts held that actual life expectancy had to be one year or less.\textsuperscript{17} In some earlier cases, the Tax Court applied an even more stringent standard, requiring that it be reasonably certain that the person in question would not live for more than one year.\textsuperscript{18}
Ultimately, the case law was codified into I.R.C. section 7520 regulations in 1989. These regulations apply to life estates, interests for a term of years, annuities, and remainder interests.\textsuperscript{19} They provide that the IRS must use the tables prescribed under section 7520 unless the transferor has an “incurable illness or other deteriorating physical condition,” resulting in a fifty
\begin{itemize}
\item \textsuperscript{11} Bank of California v. U.S., 672 F.2d 758, 760 (9th Cir. 1982); Continental Illinois Bank & Trust Co. of Chicago v. U.S., 504 F.2d 586, 594 (7th Cir. 1974); \textit{McMurtry}, 203 F.2d at 667.
\item \textsuperscript{12} \textit{Bank of California}, 672 F.2d at 759-60; \textit{Continental Illinois Bank}, 504 F.2d at 592-93; Estate of Lion, 438 F.2d 56, 61 (4th Cir. 1971).
\item \textsuperscript{13} \textit{Id}.
\item \textsuperscript{14} \textit{Continental Illinois Bank}, 504 F.2d at 590.
\item \textsuperscript{15} Estate of Fabric, 83 T.C. 932, 943 (1984) (emphasis added).
\item \textsuperscript{16} \textit{Estate of Lion}, 438 F.2d at 62 (emphasis added).
\item \textsuperscript{17} See, e.g., \textit{Bank of California}, 672 F.2d at 760; \textit{Estate of Fabric}, 83 T.C. at 942 (both stating that this was the rule in the majority of cases).
\item \textsuperscript{18} Estate of Butler, 18 T.C. 914, 919 (1952); Estate of Jennings, 10 T.C. 323, 327-328 (1948).
\item \textsuperscript{19} Treas. Reg. § 25.7520-2(a)(1) (2005).
\end{itemize}
percent or greater chance of dying within one year.\textsuperscript{20} The regulations go on to provide that if the person lives for at least eighteen months after the transfer it creates a rebuttable presumption that the fifty percent test was satisfied.\textsuperscript{21} The presumption can only be overcome by clear and convincing evidence.\textsuperscript{22} This means that bet-to-die strategies involving interests covered under the section 7520 regulations can be extremely favorable when the person who is the measuring life is likely to live for more than eighteen months, but will likely die well before reaching his actuarial life expectancy.\textsuperscript{23} An ideal candidate might be someone who is relatively young, say fifty, with an illness that is likely to shorten his actual life expectancy to perhaps three or four years. Care should be taken to document that, as of the transfer date, the taxpayer had more than a fifty percent chance of surviving for more than one year. A statement by the taxpayer’s long-time physician to this effect would carry substantial weight. If the taxpayer survived for more than eighteen months, the IRS would have a very difficult time overcoming the presumption.\textsuperscript{24}
Recognizing the possibility of taking advantage of the tables for certain clients, how does an estate planner determine which strategy to use, and how can the benefits of using that strategy be maximized? We will now address the two techniques in detail.\textsuperscript{25}
\begin{footnotesize}
\begin{enumerate}
\item Treas. Reg. § 25.7520-3(b)(3) (2005).
\item \textit{Id.}
\item \textit{Id.}
\item Treas. Reg. §§ 25.7520-2(a)(1), 3(b)(3) (2005).
\item See Gregory A. Hayes & Edward F. Krzanowski, \textit{When IRS Actuarial Tables Don’t Apply in Valuing Interests}, 32 Est. Plan. 21, 26 (2005) (discussing when the IRS actuarial tables need not be applied).
\item See T. R. Harris, \textit{Even the Blackest Cloud has a Silver Lining: Wealth Transfer Planning for the Terminally Ill Client}, 1998 University of Miami Heckerling Institute on Estate Planning at Chapter 6 (discussing the use of CLATs, private annuities, and sales of a remainder interest as bet-to-die strategies as well as other planning considerations for clients with a terminal illness; citing Treas. Regs. §§ 1.7520-3(b)(3), 20.7520-3(b)(3), and 25.7520-3(b)(3)).
\end{enumerate}
\end{footnotesize}
CHARITABLE LEAD ANNUITY TRUST
When used as a bet-to-die strategy, a CLAT is a split-interest trust that pays an annuity interest to charity for the life of the donor or some other person, with the remainder interest passing to the donor’s heirs after his or her death.\textsuperscript{26}
\textit{BASIC TAX CONSEQUENCES}
TRANSFER TAXES
Assuming that the trust is a qualified CLAT, the donor receives a gift tax charitable deduction for the present value of the lead interest, while the present value of the remainder interest is a taxable gift.\textsuperscript{27} The value of the remainder interest, for gift tax purposes, is the value of the property transferred to the trust minus the value of the charity’s lead annuity interest.\textsuperscript{28} The value of the lead interest is calculated by multiplying the amount of the annual payments by the annuity factor that corresponds to the applicable I.R.C. section 7520 rate and the term of the annuity.\textsuperscript{29} These annuity factors may be found in IRS publication 1457 or calculated from Table S, found in the regulations under I.R.C. section 2031.\textsuperscript{30} As a practical matter, estate planners ordinarily calculate the value of the lead and remainder interests using commercially available software.
\textsuperscript{26} Although the lead interest could also be set for a term of years, this would not produce special economic benefits if the donor died prematurely, because the payments would continue to the charity for the rest of the CLAT’s stated term.
\textsuperscript{27} I.R.C. § 2522(c)(2)(B) (Westlaw through 2006 legislation).
\textsuperscript{28} \textit{Id.}; see Treas. Reg. § 25.2512-5(d)(2)(i) (2005).
\textsuperscript{29} Treas. Reg. § 25.2512-5(d)(2)(iv)(A) (2005).
\textsuperscript{30} Treas. Reg. § 20.2031-7(d)(7) (Westlaw thorough 2005 legislation). Although Table S does not provide annuity factors directly, they can be calculated by subtracting the appropriate remainder factor shown in Table S from one and dividing by the applicable I.R.C. § 7520 rate. To illustrate, suppose that a fifty-five-year-old taxpayer transfers $1,000,000 to a CLAT at a time when the I.R.C. § 7520 rate is five percent. Under these facts, Table S shows a remainder factor of 0.34413. The corresponding annuity factor is [(1-0.34413)/0.05] or 13.1173. See \textit{id}.
programs.\textsuperscript{31}
In the case of a term CLAT, the lead interest can be set equal to the full value of the property transferred to the trust, reducing the amount of the taxable gift to zero.\textsuperscript{32} It is not possible to zero out a life CLAT, however, because the regulations issued under I.R.C. section 7520 permit the donor to value the charity's annuity payments only up to the time the trust assets would be expected to run out, given the annuity payout rate and assuming that the trust assets produced a total return equal to the I.R.C. section 7520 rate.\textsuperscript{33}
Provided that the transfer to a CLAT is a completed gift, all of the transfer tax consequences are ordinarily determined at the time the CLAT is created.\textsuperscript{34} This means that there are ordinarily no estate tax consequences when the donor dies.\textsuperscript{35}
\textbf{INCOME TAX}
\textit{GRANTOR CLAT}
If a settlor transfers property to a trust and retains one or more of the powers, including administrative powers, the power to revoke, and the power to control beneficial enjoyment,\textsuperscript{36} she will be treated as the owner of the trust for federal income tax purposes.\textsuperscript{37} Care must be taken in deciding which powers to retain, however, because most of the listed powers will also cause the transferred assets to be included in the settlor's estate at death under I.R.C. section 2036(a) or 2038.\textsuperscript{38} The most
\begin{itemize}
\item \textsuperscript{31} Examples of available software include Tiger Tables, offered by Lawrence Katzenstein of the Thompson Coburn law firm in St. Louis, Missouri, and Number Cruncher, a product of Leimberg Associates, Inc. of Bryn Mawr, Pennsylvania.
\item \textsuperscript{32} Treas. Reg. § 25.2522(c)-3(d)(2), Ex. 1 (2005).
\item \textsuperscript{33} Treas. Reg. § 25.7520-3(b)(2)(i).
\item \textsuperscript{34} Treas. Reg. §§ 25.2501-1, 25.2511-2(b) (2005).
\item \textsuperscript{35} But see I.R.C. § 2035(b) (Westlaw through 2006 legislation) (If the donor does not survive for more than three years after making the transfer, his or her gross estate is increased by the amount of gift tax paid when the CLAT was created.).
\item \textsuperscript{36} I.R.C. § 673-77 (Westlaw through 2006 legislation).
\item \textsuperscript{37} I.R.C. § 671 (Westlaw through 2006 legislation).
\item \textsuperscript{38} I.R.C. §§ 2036(a), 2038 (Westlaw through 2006 legislation).
\end{itemize}
frequently used power to create grantor trust status for income tax purposes, without causing estate inclusion, is a power to reacquire trust corpus by substituting other property of equal value.\textsuperscript{39} Another popular retained power is a power to borrow trust corpus or income without adequate interest or security.\textsuperscript{40} In a grantor CLAT, the transferor receives an income tax deduction for the full present value of the lead interest at the time the trust is created, subject to limitations based on adjusted gross income, the type of property contributed, and the type of charity.\textsuperscript{41} The transferor is treated as the owner of the trust for income tax purposes, though, and will be taxed on all of the trust's income each year during the term of the trust, despite the fact that she will receive no distributions.\textsuperscript{42}
\textit{NON-GRANTOR CLAT}
If the grantor retains none of the power discussed in the previous section, the grantor is not responsible for the trust's tax liability. In a non-grantor CLAT, the donor receives no income tax deduction either at the time the property is contributed or at the time the CLAT makes its annuity payments to charity.\textsuperscript{43} In a non-grantor CLAT, the transferor is not responsible for the trust's tax liability. The trust is subject to tax on all ordinary income and capital gains, but it receives a charitable deduction for the annuity payments it makes to charity from its gross income.\textsuperscript{44} Thus, in effect, the CLAT is taxable only on income in excess of the charitable annuity amount.
\begin{itemize}
\item[39.] I.R.C. § 675(4)(C) (Westlaw through 2006 legislation).
\item[40.] I.R.C. § 675(2) (Westlaw through 2006 legislation).
\item[41.] I.R.C. § 170(f)(2)(B) (Westlaw through 2006 legislation).
\item[42.] I.R.C. § 170(f)(2)(C). The two amounts do not necessarily cancel each other out, however. The transferor receives the charitable deduction upfront while the income tax liability does not arise until the future, creating a timing advantage. Moreover, the upfront deduction can be applied against ordinary income taxed at rates of up to thirty-five percent, while the income taxed in later years may be capital gains or qualifying dividends taxed at only fifteen percent. See, e.g., Matthew Madsen, \textit{Obtaining a Better Benefit by Using a Grantor Charitable Lead Trust}, 31 EST. PLAN. 579, 579 (2004) (discussing tax advantages of a grantor CLAT).
\item[43.] I.R.C. § 170(f)(2)(B).
\item[44.] I.R.C. § 642(c) (Westlaw through 2006 legislation).
\end{itemize}
Regardless of whether the CLAT is a grantor or non-grantor CLAT, the remainder beneficiaries will take a carryover basis in the trust assets upon distribution (i.e., the remainder beneficiaries will have the same basis the transferor had in the assets at the time they were contributed to the trust).\(^{45}\)
**TRANSFER TAX BENEFIT**
If the transferor’s actual life expectancy is shorter than his or her actuarial life expectancy, the charity will receive fewer payments from the CLAT than the tables assume. As a result, the charitable contribution will be overvalued and the taxable remainder interest will be undervalued. Consider the following example.
**EXAMPLE ONE**
Assume the following facts:
- Taxpayer (T) transfers assets worth $1,000,000 to a CLAT;
- The applicable I.R.C. section 7520 rate is five percent;
- T is fifty-five years old as of the date of the transfer;
- The annual annuity payments are $76,235.25 and are made at the end of each year;
- T lives for one day after receiving the fourth annual payment;
- The applicable annuity factor is 13.1173, making the value of the lead interest equal to $1,000,000;
- Because of the application of the I.R.C. section 7520 exhausting corpus regulations, however, the amount of the taxable gift is $116,784;\(^{46}\)
- The total return on the CLAT assets is equal to the I.R.C. section 7520 rate (five percent).
---
\(^{45}\) I.R.C. § 1015(b) (Westlaw through 2006 legislation).
\(^{46}\) See Treas. Reg. § 25-7520-3(b)(2)(i) (providing that payments can only be valued until such time as the trust assets would run out given the amount of the annual payments and assuming that the trust assets produce a total return equal to the I.R.C. § 7520 rate). This computation is illustrated below in the section addressing back-loading payments.
The chart below shows the operation of the CLAT during the four-year period:
| Year | Beginning Principal | + 5% Growth | - Annuity Payment | Remainder |
|------|---------------------|-------------|-------------------|-----------|
| 1 | $1,000,000 | $1,050,000 | $76,235 | $973,765 |
| 2 | $973,765 | $1,022,453 | $76,235 | $946,218 |
| 3 | $946,218 | $993,529 | $76,235 | $917,294 |
| 4 | $917,294 | $963,159 | $76,235 | $886,923 |
The amount left in the CLAT at T’s death would pass to the remainder beneficiaries with no further tax consequences. Thus, under this scenario, T is able to transfer assets with a value of $886,923 to his children at a transfer tax cost of only $116,784.\textsuperscript{47} Assuming a marginal estate tax rate of forty-five percent, the tax payable on the transfer would be only $52,553 (.45 x $116,784).\textsuperscript{48} The effective gift tax rate would be only about 5.93 percent ($52,553/$886,923).\textsuperscript{49}
\textit{POSSIBLE ENHANCEMENTS}
There are several potential methods of enhancing the benefits described above:
1. transferring assets that qualify for valuation discounts;
2. transferring assets expected to produce a high total return;
3. using a person with a more favorable life expectancy as the measuring life;
\textsuperscript{47} If the transferor had sufficient applicable exclusion amount remaining there would be no current gift tax payable, but the $116,784 would be included in the transferor’s estate as an adjusted taxable gift. I.R.C. § 2001(b)(1) (Westlaw through 2006 legislation); I.R.S., \textit{UNITED STATES ESTATE (AND GENERATION-SKIPPING TRANSFER) TAX RETURN}, Form No. 706 (2005) \textit{available at} http://www.irs.gov/pub/irs-pdf/f706.pdf.
\textsuperscript{48} If T had sufficient applicable exclusion left there would be no tax payable, but when T died his estate would include a $116,784 adjusted taxable gift.
\textsuperscript{49} We selected four years as the actual remaining lifespan of the donor to demonstrate how dramatic the tax savings could be. While the benefit would diminish as actual remaining lifespan increased, substantial savings would continue to be possible so long as it was significantly less than the remaining lifespan assumed by the IRS in its mortality tables.
4. back-loading payments; and
5. selling to a grantor trust.
**DISCOUNTED ASSETS**
It is well established in case law that minority interest and lack of marketability discounts may be applied in appropriate circumstances.\(^{50}\) The assets for which discounts have been permitted include limited partnership interests and fractional interests in real estate.\(^{51}\) If discounted assets are transferred to the CLAT, the amount of the taxable gift and the amount of the annuity payments will be reduced to reflect the discounted value. Assuming that the CLAT produces sufficient income so that payments do not have to be made in kind, the effect of reducing the amount of the annuity payments will be to leave more in the CLAT for the heirs when the donor dies.\(^{52}\)
**EXAMPLE TWO**
Assume the same facts as in Example One, except that a thirty percent discount can be taken on the assets transferred to the CLAT. This reduces the amount of the taxable transfer to $700,000, the amount of the annual payments to $53,365 ($76,235 x 0.7), and the taxable gift to $81,758 ($116,784 x 0.7). As a practical matter, however, the value of the assets to the beneficiaries is still $1,000,000. This is because after the transferor dies, the beneficiaries could be taken out of the partnership wrapper in the case of a family limited partnership or be recombined in the case of fractional interests, thereby
\(^{50}\) See, e.g., Estate of Bonner, 84 F.3d 196, 197-99 (5th Cir. 1996); McCord v. Comm'r, 120 T.C. 358, 376-95 (2003); Estate of Jones, 116 T.C. 121, 131-41 (2001); Knight v. Comm'r, 115 T.C. 506, 517-19 (2000).
\(^{51}\) Id.
\(^{52}\) If the CLAT is forced to use discounted assets to make the annuity payments, the benefit of the discounts will be lost. This is because the same discount percentage that was applied to the assets when they were contributed to the CLAT would have to be applied to the assets when they were distributed.
restoring the value of the assets to the undiscounted amount.\textsuperscript{53} Again, assuming that cash is used to make the annuity payments, the value left in the CLAT to pass to the heirs at T's death would be calculated as follows:
| Year | Beginning Principal | + 5% Growth | - Annuity Payment | Remainder |
|------|---------------------|-------------|-------------------|-----------|
| 1 | $1,000,000 | $1,050,000 | $53,365 | $996,635 |
| 2 | $996,635 | $1,046,466 | $53,365 | $993,101 |
| 3 | $993,101 | $1,042,756 | $53,365 | $989,391 |
| 4 | $989,391 | $1,038,819 | $53,365 | $985,495 |
The discount not only reduces the amount of the taxable gift, but also increases the amount left in the CLAT. The taxable gift decreases from $116,784 to $81,758 making the amount of gift tax payable $36,791 (.45 x $81,758). Meanwhile, the amount remaining in the CLAT to pass to the children increases from $886,923 to $985,495.\textsuperscript{54} The overall effect is to reduce the effective gift tax rate on the transfer to about 3.73\% ($36,791/$985,495).\textsuperscript{55}
\textit{FAST-APPRECIATING ASSETS}
The faster the CLAT assets appreciate, the greater the value left in the CLAT to pass to the heirs when the transferor dies. This means that a taxpayer can increase the amount of the tax-free transfer by selecting fast-appreciating assets to fund the CLAT.
\textsuperscript{53} Valuation discounts for minority or fractional interests are sometimes criticized because they typically effect only a temporary reduction in value. Eventually, the divided interests will be put back together and the full potential value of the assets will be realized by the family.
\textsuperscript{54} This difference is due entirely to the reduced amount of the annuity payments. It is the annual reductions appreciated at five percent to the date of the donor’s death.
\textsuperscript{55} Note that if assets must be distributed in kind, the benefit of the discount would be lost. The same thirty percent discount would have to be applied to the assets so that a distribution of $53,368 worth of discounted assets would have the same value as a distribution of $76,235 of undiscounted assets, leaving the donor in the same position he would have been in if no discounts had been available.
EXAMPLE THREE
Assume the same facts as in Example Two, except that the trust assets now appreciate at twelve percent instead of five percent. Compare the amount remaining in the CLAT with the amount remaining in the previous example.
| Year | Beginning Principal | + 5% Growth | - Annuity Payment | Remainder |
|------|---------------------|-------------|-------------------|-----------|
| 1 | $1,000,000 | $1,120,000 | $53,365 | $1,066,635|
| 2 | $1,066,635 | $1,194,631 | $53,365 | $1,141,266|
| 3 | $1,141,266 | $1,278,218 | $53,365 | $1,224,852|
| 4 | $1,224,852 | $1,371,834 | $53,365 | $1,318,470|
The effective gift tax rate is now only about 2.79% ($36,791/$1,318,470).
USING A GRANTOR TRUST
As explained above, a CLAT can be structured as a grantor trust causing the transferor to be taxed on the trust income. On the surface, at least, structuring the CLAT in this way would appear to improve its performance. The income tax payments made by the grantor are, in effect, tax-free transfers to the trust that permit its assets to grow at their pre-tax rate rather than at their after-tax rate. This leaves more in the CLAT to pass to the remainder beneficiaries at the donor’s death.
EXAMPLE FOUR
Assume the same facts as in Example Three, except that the donor pays the trust’s income tax, that the trust’s pre-tax total return is fifteen percent, and that the trust’s effective tax rate is twenty percent. The effect of the tax payments by the grantor is
---
56. Suppose, for example, that the CLAT holds assets worth $100,000 and they produce $10,000 of taxable income. Suppose further that the average tax rate on the CLAT income is twenty percent. If the CLAT pays its own income tax, its assets will grow at eight percent per year. If the grantor pays the tax, however, the assets will grow at ten percent.
that the CLAT assets now grow at fifteen percent instead of twelve percent as shown below.
| Year | Beginning Principal | + 15% Growth | - Annuity Payment | Remainder |
|------|---------------------|--------------|-------------------|-----------|
| 1 | $1,000,000 | $1,150,000 | $7,000 | $1,143,000|
| 2 | $1,143,000 | $1,314,450 | $8,400 | $1,306,050|
| 3 | $1,306,050 | $1,501,958 | $10,080 | $1,491,878|
| 4 | $1,491,878 | $1,715,660 | $12,096 | $1,703,564|
The effective gift tax rate is now only about 2.16% ($36,791/$1,703,564).
A non-grantor CLAT reduces the effective gift tax rate in the same way, however. Provided that the trust’s taxable income does not exceed its annual payments to charity, the deduction that the CLAT receives for making these payments will reduce its taxable income to zero, permitting the CLAT assets to grow at their pre-tax rate of return just like the assets in a grantor CLAT. Although the transfer tax benefits are thus equalized, grantor trust status is still more favorable in most cases, though, because it generally produces better income tax consequences. As explained above, when a taxpayer makes a transfer to a CLAT, she receives an income tax deduction upfront but must pay tax each year on the CLAT’s income.\(^{57}\) Although these amounts are sometimes assumed to cancel each other out, the deduction will generally exceed the present value of the donor’s future tax payments. The transferor receives the charitable deduction upfront while the income tax liability does not arise until the future, creating a timing advantage. Moreover, the upfront deduction can be applied against ordinary income taxed at rates of up to thirty-five percent, while the income taxed in later years may be capital gains or qualifying dividends taxed at only fifteen percent.\(^{58}\)
\(^{57}\) I.R.C. § 170(f)(2)(B).
\(^{58}\) See Madsen, *supra* note 42, at 579.
The income tax advantage may be particularly important where the CLAT is used as a bet-to-die strategy because the donor will receive an income tax deduction for the present value of the lead interest. This is based on the assumption that the transferor will live to her actuarial life expectancy but make only a few income tax payments before dying. In the case of a grantor CLAT for a term of years, the early death of the donor provides no income tax advantage because any difference between the amount of the deduction and the value of the income tax payments made by the donor is recaptured as ordinary income.\(^{59}\) Treasury regulations section 1.170A-6(d)(2) provides that if a grantor CLAT ceases to be a grantor trust before the end of its stated term (e.g., because the grantor dies), the transferor has taxable income as of that date equal to the amount of the income tax charitable deduction taken, minus the amount that would have been allowed as a deduction if the term of the charity’s annuity interest had been the length of time the lead interest actually lasted.\(^{60}\) In the case of a life CLAT, however, it would be impossible for the transferor to die before the end of the stated term because, by definition, the trust lasts until the transferor’s death. Thus, although there appear to be no cases or rulings directly on point, a plausible argument could be made that there should be no recapture at the death of the transferor. If so, the taxpayer in our examples would receive an income tax deduction valued on the assumption that charity would receive twenty-one payments while paying tax on only four.
**BACK-LOADING**
Up to this point, we have assumed that annuity payments were the same each year. If payments can be back-loaded so that they start small and increase over the term of the annuity, it would substantially improve the performance of a bet-to-die
\(^{59}\) I.R.C. § 170(f)(2)(B); Treas. Reg. § 1.170A-6(c)(4) (2005).
\(^{60}\) Treas. Reg. § 1.170A-6(d)(2) (2005).
CLAT. Payments in the early years could be set much lower than they would be if level payments were made. Although the payments toward the end of the taxpayer’s life expectancy would be correspondingly higher, the charity would never receive these later payments because the term of the trust would have ended before they were due.
The applicable Treasury regulations appear to permit back-loading of CLAT payments. The key provisions are as follows:
1. A “guaranteed annuity interest” qualifies for a charitable deduction.\(^{61}\)
2. A guaranteed annuity interest is “an arrangement under which a determinable amount is paid periodically, but not less than annually, for a specified term of years or for the life or lives of certain individuals, each of whom is alive on the date of the gift and can be ascertained at such date.”\(^{62}\)
3. An amount is determinable if “the exact amount which must be paid under the conditions specified in the instrument can be ascertained as of the date of the gift.”\(^{63}\)
A back-loaded bet-to-die CLAT would appear to fall within this definition. Payments would be made periodically for the life of a specified individual who would be alive on the date the CLAT was created and whose identity could be ascertained as of that date. Moreover, the present value of any payment stream could be determined as of the time the gift was made so long as the amount of each payment was fixed. The payments would first be discounted back to the present value using the applicable I.R.C. section 7520 rate. Because the donor would only receive the payments if she was alive on the date they were due, the present value of each payment would then have to be multiplied by the probability that the transferor would survive long enough to receive the payment based on IRS mortality tables.
The IRS could make three arguments against back-loading.
---
\(^{61}\) Treas. Reg. §§ 25.2522(c)-3(c)(2)(vi)(a), 1.170A-6(c)(2)(i) (2005) (emphasis added).
\(^{62}\) Id. (emphasis added).
\(^{63}\) Treas. Reg. § 25.2522(c)-3(c)(2)(vi)(a) (emphasis added).
One would be that the applicable regulation states that a determinable *amount* must be paid periodically, not determinable *amounts*, suggesting that payments cannot vary during the trust term.\(^{64}\) This interpretation is inconsistent with I.R.S. Private Letter Ruling 9112009, however, which approved a CLAT having annuity payments that varied from one year to the next.\(^{65}\) Further, back-loading is clearly permissible in a grantor retained annuity trust (GRAT).\(^{66}\) GRAT payments can increase by twenty percent from one year to the next, suggesting that there is no general prohibition in the tax law on increasing payout annuities.\(^{67}\) A second argument would be that a payment could be so small as to be de minimis, violating the periodic payment requirement.\(^{68}\) This argument could be addressed by setting payments high enough to have some substance. Finally, actuaries commonly think of annuities as payment streams having equal payments each year or payments that change each year based on a formula.\(^{69}\) This limited concept of an annuity does not appear to have been applied in the tax law, however.\(^{70}\)
While back-loading appears to have considerable support, there may, nevertheless, be some risk. Given the powerful tax benefits explained below, the IRS could be expected to look for ways to prevent taxpayers from using it.
The first step in calculating the tax benefit of back-loading is
---
\(^{64}\) *Contra* I.R.S. Priv. Ltr. Rul. 91-12-009 (Mar. 22, 1991).
\(^{65}\) *Id.* (permitting payments to vary without even inquiring into the amount of the variation, suggesting that there is no limit on the amount of the annual increases assuming, perhaps, that none of the payments were so small that they lacked substance).
\(^{66}\) *See* Treas. Reg. § 25.2702-3(b)(1)(ii)(B) (2005).
\(^{67}\) *Id.*
\(^{68}\) Deborah V. Dunn & Katherine M. Cunningham, *Advantages to Back-Loading: An Analysis of Back-Loaded Annuity Payments from a CLAT or RPM Annuity Trust*, 28 TAX MGMT., EST., GIFTS & TR. J., 263, 263 (2004).
\(^{69}\) *Contra* I.R.S. Priv. Ltr. Rul. 91-12-009 (Mar. 22, 1991); Dunn & Cunningham, *supra* note 66, at 264–65.
\(^{70}\) *Cf.* Dunn & Cunningham, *supra* note 66, at 264–65 (suggesting that an annuity paying $10,000 per year for nine years with a very large final payment in year ten should qualify as a guaranteed annuity interest); *see also* Peter Melcher et al., *Splitting Assets Between Family and Charities at Death: Using CLATs to Improve the Opportunity Set*, 4 J. PRAC. EST. PLAN, 35, 41–42 (Feb./Mar. 2002).
to determine the amount of the taxable gift. Recall that payments in a life CLAT can be valued only until the time the CLAT assets would run out under the exhausting corpus rule. The value of the lead interest in such a CLAT would be the sum of the present values of all the payments that could be made from the CLAT up to that time.
**EXAMPLE FIVE**
Assume these facts:
- Taxpayer (T) transfers assets worth $1,000,000 to a CLAT;
- The applicable IRC section 7520 rate is five percent;
- T is seventy years old as of the date of the transfer;
- The CLAT assets grow at five percent per year.
If the payments are not back-loaded, and the value of the annuity stream is set equal to the value of the transferred assets, there would be a taxable gift of $183,445.97 and gift tax payable of $82,551. The operation of the CLAT would look like this:
| Year | Beginning Principal | + 5% Growth | - Annuity Payment | Remainder |
|------|---------------------|-------------|-------------------|-----------|
| 1 | $1,000,000 | $1,050,000 | $109,470 | $940,530 |
| 2 | $940,530 | $987,557 | $109,470 | $877,987 |
| 3 | $877,987 | $921,886 | $109,470 | $812,416 |
| 4 | $812,416 | $853,037 | $109,470 | $743,567 |
Thus, the effective gift tax rate would be about 11.10%. Compare this result with the example below in which the annuity payments are back-loaded.
**EXAMPLE SIX**
Assume the same facts as in Example Five, except that the payments now increase by twenty percent each year.\(^{71}\)
\(^{71}\). We have selected twenty percent increases because that is the maximum increase permitted for GRATs. Treas. Reg. § 25.2702-3(b)(1)(ii)(B).
Appendix A shows how the value of the annuity stream from the CLAT would be calculated under the exhausting corpus rule.
Appendix A also shows that back-loading reduces the amount of the taxable gift from $183,445.97 to $38,138.29 ($1,000,000 - $961,861.71)\textsuperscript{72} and reduces the gift tax payable to $17,158 (0.45 x $38,138.29). The amount left in the trust at the transferor’s death would also be increased as shown in the next chart.
| Year | Beginning Principal | + 5% Growth | - Annuity Payment | Remainder |
|------|---------------------|-------------|-------------------|-----------|
| 1 | $1,000,000 | $1,050,000 | $14,626 | $1,035,374|
| 2 | $1,035,374 | $1,087,143 | $17,551 | $1,069,591|
| 3 | $1,069,591 | $1,123,071 | $21,062 | $1,102,009|
| 4 | $1,102,009 | $1,157,110 | $25,274 | $1,131,836|
The $1,131,836 that passes to the remaindermen in the back-loaded CLAT represents a large improvement over the $743,567 that passed to the remaindermen in the level payment scenario. When we put together the reduced taxable gift with this increased transfer to the remaindermen, the effective gift tax rate drops from 11.10 percent to only about 1.52 percent! If we added in the other enhancements, like discounted assets, the effective gift tax rate amount would be even less.
**SELECTING A MEASURING LIFE OTHER THAN THAT OF THE DONOR**
Although life CLATs ordinarily use the donor as the measuring life, the regulations historically permitted the trust term to be based on the life or lives of other individuals provided that each such individual was living on the date of the gift and could be ascertained as of that date.\textsuperscript{73} This suggests that
\textsuperscript{72} The reason for the reduced taxable gift is that back-loading lengthens the period before the trust assets do not run out until year nineteen. In the level payment scenario, the assets run out in year thirteen.
\textsuperscript{73} Treas. Reg. § 25.2522(c)-3(c)(2)(vi)(a) (2005).
even if the transferor could not take advantage of a CLAT as a bet-to-die strategy because he had a normal life expectancy, he could select another individual who did have a favorable actual life expectancy to be the measuring life.\textsuperscript{74} Unfortunately for taxpayers, a special provision was added to I.R.C. section 7520 regulations in 2002 limiting the individuals who can be used as the measuring life.\textsuperscript{75} The only permissible measuring lives for a CLAT are now the transferor, the transferor’s spouse, or an individual who, with respect to all remainder beneficiaries, other than charities, is either a lineal ancestor or a spouse of a lineal ancestor of those beneficiaries.\textsuperscript{76}
\textbf{ADVANTAGES AND DISADVANTAGES OF USING CLATS}
Probably the most important advantage of a CLAT as a bet-to-die strategy is that it qualifies for the one year/fifty-percent safe harbor in Treasury regulations section 25.7520-3(b)(3), discussed above.\textsuperscript{77} Although private annuities would also qualify, SCINs would not.\textsuperscript{78} Another advantage is that it can be structured as a grantor trust. As explained below, using a trust as the purchaser in a private annuity sale may be problematic. If the transferor desires to benefit both charity and family members, a CLAT may be the most favorable strategy to use. Provided that the total
\textsuperscript{74} See id.
\textsuperscript{75} Treas. Reg. § 20.2055-2(e)(2)(vi)(a) (2005).
\textsuperscript{76} Id. The inclusion of this limitation in the regulations was in response to the use of what was commonly referred to as a “Vulture CLAT” or “Ghoul CLAT.” Estate planners pushed the use of an alternative measuring life to its logical extreme by seeking out people with the ideal life expectancy due. These individuals were often quite young (e.g., thirty years old), but had a life expectancy of perhaps three or four years. Because they had a greater than fifty percent chance of surviving for at least one year, the IRS valuation tables could be used. In some cases, these unfortunate individuals were even paid for their services. Although these CLATs were viewed as unethical by many estate planners, they were used often enough to prompt the IRS to take action. See Randall D. Van Dolsen, \textit{New Regulations Sanction ‘Accelerated’ Charitable Lead Trusts}, 28 Est. Plan. 162 (2001) (discussing CLAT measuring life regulations).
\textsuperscript{77} Treas. Reg. § 25.7520-3(b)(3).
\textsuperscript{78} I.R.C. § 7520(a) (providing that valuation tables generally must be used to determine the value of “any annuity, any interest for life or a term of years, or any remainder or reversionary interest”); Gen. Couns. Mem. 39305 (holding that because a SCIN does not fall into any of these categories, it can be valued by reference to the taxpayer’s actual life expectancy, taking into account any relevant information).
return on the trust assets exceeds the I.R.C. section 7520 rate, CLATs can be a more tax-efficient method of splitting wealth between charity and heirs than outright gifts.\textsuperscript{79}
There are also a number of disadvantages:
- Unlike a private annuity sale, it is not possible to completely eliminate the taxable gift on a transfer to a life CLAT because of Treasury regulation section 25.7520-3(b)(2)(i).\textsuperscript{80} Back-loading can greatly reduce the amount of the taxable gift, however, as explained in Example Six.
- Some value must pass from the family to charity.\textsuperscript{81} For some transferors, this may not be consistent with their objectives.
- The private foundation rules apply to a CLAT.\textsuperscript{82}
- The class of persons that can be used as measuring lives is quite limited.\textsuperscript{83} The transferor may have greater flexibility in the case of private annuities.\textsuperscript{84}
**PRIVATE ANNUITY SALE**
In the context of estate planning, a private annuity sale is a transfer of property from a senior family member (S) to a junior family member (B) in exchange for a promise by B to make annuity payments to S for the rest of S's life.\textsuperscript{85}
\begin{footnotesize}
\begin{enumerate}
\item See Melcher et al., \textit{supra} note 70, at 39-40.
\item Treas. Reg. § 25.7520-3(b)(2)(i).
\item Note that the closer the value of the charity's interest is to this minimum amount, the larger the taxable gift on the transfer (the amount of taxable gift is the value of property transferred to CLAT minus the present value of the interest passing to charity).
\item I.R.C. § 4947(a)(2) (Westlaw through 2006 legislation).
\item Treas. Reg. § 25.2522(c)-3(c)(2)(vi)(a).
\item There are no specific limitations on who may be used as a measuring life for a private annuity. This issue is discussed in more detail below in the section on enhancing the benefits of private annuities.
\item See Howard Zaritsky & Ronald Aucutt, \textit{Structuring Estate Freezes: Analysis with Forms}, Warren, Gorham & Lamont, at ¶ 12.03 (on file with author) (discussing private annuity sales).
\end{enumerate}
\end{footnotesize}
GIFT TAX CONSEQUENCES
Assuming that the present value of the annuity stream is equal to the value of the property transferred, there are no gift tax consequences.\textsuperscript{86} If the value of the property transferred exceeds the present value of the annuity stream, however, such excess constitutes a gift from the seller to the buyer.\textsuperscript{87}
ESTATE TAX CONSEQUENCES
If property is transferred for a \textit{bona fide} life annuity equal in value to the property sold, there will be no estate tax consequences when the transferor dies.\textsuperscript{88} If the transaction looks more like a transfer with a retained income or equity interest, however, I.R.C. section 2036(a)(1) may apply and cause the transferred property to be included in the transferor’s estate at its full date of death value.\textsuperscript{89} This can be a highly unfavorable result because it returns all post-transfer appreciation on the sale to the transferor’s gross estate.\textsuperscript{90}
Where private annuity sales have been treated as transfers with a retained life state, any of the following factors were present: (1) annuity formalities were not observed or the transaction otherwise lacked economic substance;\textsuperscript{91} (2) the seller retained control over the transferred property;\textsuperscript{92} (3) there was a tie-in between the income produced by the transferred assets and the amount of the annuity payments;\textsuperscript{93} (4) the buyer did not
\begin{itemize}
\item[86.] I.R.C. § 2512(b) (Westlaw through 2006 legislation).
\item[87.] Treas. Reg. § 1.1015-4(a) (2005).
\item[88.] The annuity interest terminates at death, and no adjusted taxable gift is included in the gross estate because there was no taxable gift at the time of the sale. I.R.C § 2512(b).
\item[89.] I.R.C. § 2036(a)(1).
\item[90.] One of the purposes of making the sale was to remove future appreciation in the transferred assets from the gross estate, and this purpose would be frustrated.
\item[91.] I.R.S. Priv. Ltr. Rul. 95-13-001 (Mar. 31, 1995).
\item[92.] LaFargue v. Comm’r, 73 T.C. 40, 52-58 (1979); Estate of Holland, 47 B.T.A. 807, 813-15 (1942); Rev. Rul. 76-491, 1976-2 C.B. 302.
\item[93.] Fidelity-Philadelphia Trust Co. v. Smith, 356 U.S. 274, 278-81 (1958); Greene v. U. S., 237 F.2d 848, 851-54 (7th Cir. 1956); Lazarus v. Comm’r, 58 T.C. 854, 863-73 (1972); Rev. Rul. 68-183, 1968-1 C.B. 308 (1968).
\end{itemize}
have significant assets other than the purchased property from which to make the annuity payments; or (5) the buyer was not personally liable for making all annuity payments regardless of the income produced by the purchased assets. This means that the parties must respect the form of the transaction; the seller must give up dominion over the property; the annuity must be structured so that payments have no relationship to expected income; the buyer must have significant assets in addition to the purchased property; and the buyer must be obliged to use these assets to make annuity payments if the income from the purchased property proves to be insufficient.
**INCOME TAX CONSEQUENCES**
The income tax consequences of a sale for a private annuity are provided in Revenue Ruling 69-74 and are basically the same as if the transferor sold the property and took back an installment note. The seller recognizes capital gain on the excess of the sale proceeds over the seller's basis in the property and has ordinary income for the portion of the payments that function as a substitute for interest. Thus, to determine the income tax consequences when each annuity payment is received, it is necessary to apportion payments among (1) non-taxable return of basis; (2) capital gain; and (3) ordinary income.
The first step in making this apportionment is to determine the expected return on the annuity contract. This is the amount of the annual payments multiplied by the life expectancy of the transferor. The percentage of each payment that is non-taxable
---
94. *LaFargue*, 73 T.C. at 56-58; Rev. Rul. 76-491, 1976-2 C.B. 302.
95. *Fidelity-Philadelphia Trust*, 356 U.S. at 279-81; Rev. Rul. 68-183, 1986-1 C.B. 308.
96. *Cf.* Zaritsky & Aucutt, *supra* note 85, at ¶ 12.03[4] (discussing when the IRS and the courts have viewed a purported private annuity as a gift with a retained life estate).
97. Rev. Rul. 69-74, 1969-1 C.B. 43.
98. *Id.*
99. *Id.*
100. *See id.*
is the basis in the property over expected return. The percentage that is capital gain is the present value of the annuity contract minus basis and divided by the expected return. The percentage that is ordinary income is the expected return minus the present value of the annuity and divided by the expected return.
**EXAMPLE SEVEN**
Assume the following fact pattern:
- F sells property worth $1,000,000 to D in exchange for a private annuity;
- The annual payments are $80,000 per year;
- F has a basis of $300,000 in the property;
- F has a life expectancy of twenty years.
The expected return on the contract is $1,600,000 (20 x $80,000). Thus, each payment is divided as follows:
- 18.75 percent ($300,000/$1,600,000) is return of basis.
- 43.75 percent ($1,000,000 - $300,000)/$1,600,000 is capital gain.
- 37.5 percent ($1,600,000 - $1,000,000)/$1,600,000 is ordinary income.
Applying these percentages produces the following characterization of each $80,000 annual payment:
- Return of basis ........................................... $15,000
- Capital gain .............................................. $35,000
- Ordinary Income ....................................... $30,000
If the seller dies before recovering her entire basis, the remaining amount can be deducted on her final income tax return.\(^{101}\) The buyer’s income tax basis after the death of the seller is limited to the amount actually paid for the property.\(^{102}\) Finally, case law exists which states that if the buyer’s obligation is secured, the entire gain is recognized at the time of the sale.
---
\(^{101}\) I.R.C. § 72(b)(3)(A) (Westlaw through 2006 legislation).
\(^{102}\) Rev. Rul. 55-119, 1955-1 C.B. 352.
rather than being recognized only as payments are received.\textsuperscript{103}
\textit{ECONOMIC BENEFIT}
A private annuity sale by a person with a shorter-than-average life expectancy results in the seller receiving fewer payments than would be expected for a person of the seller’s age. This causes the amount transferred out of the estate to exceed the present value of the annuity stream coming back into the estate and producing a gift tax-free transfer. This benefit is illustrated in the next example.
\textbf{EXAMPLE EIGHT}
Assume the following facts:
- Seller (S) transfers assets worth $1,000,000 to Buyer (B);
- S takes back the right to receive an annuity for the rest of S’s life;
- Payments on the annuity are to be made annually at the end of each year;
- S is fifty-five years old;
- The applicable I.R.C. section 7520 rate is five percent;
- T lives for four years and one day after making the transfer.
The applicable annuity factor under these facts would be 13.1173,\textsuperscript{104} making the required annuity payment $76,235 ($1,000,000/13.1173). If S dies four years after making the sale, he would transfer $1,000,000 out of his gross estate while taking back only $304,940 (4 x $76,235). To make a proper comparison between these two amounts, however, we should compare their future values as of the date of S’s death. If we apply a five percent growth rate (the applicable I.R.C. section 7520 rate) to all assets, their date of death value would be $1,215,506, and the
\textsuperscript{103} Estate of Bell, 60 T.C. 469, 475–76 (1973).
\textsuperscript{104} See I.R.S., \textit{ACTUARIAL VALUE: BOOK ALEPH}, Pub. No. 1457 available at http://www.irs.gov/pub/irs-pdf/p1457.pdf.
value of the annuity stream coming back into S's estate would be $328,582, producing a tax-free transfer of $886,924 ($1,215,506 - $328,582).\textsuperscript{105}
\textit{POSSIBLE ENHANCEMENTS}
If we assume that a thirty percent discount could be taken, the value of the transferred assets would be reduced to $700,000 for federal transfer tax purposes, making the annual annuity payments $53,365 ($700,000/13.1173). The sum of the payments back to S would then be $213,459 (4 x $53,365) and their future value as of S's date of death would be $230,010.\textsuperscript{106} The discounted value of the transferred property as of this date would be $850,854,\textsuperscript{107} but its potential value to the family after the restrictions giving rise to the discount were removed (e.g., the assets were taken out of the partnership) would be $1,215,506 ($850,854/0.7). Thus, the tax-free transfer would be $985,496 ($1,215,506 - $230,010). This is $98,572 more than in the previous example.
Transferring faster-appreciating assets would increase the amount of the tax-free transfer in much the same way as it would in a transfer to a CLAT.
EXAMPLE NINE
Assume the same facts as in Example Seven, except that the transferred assets appreciate at twelve percent instead of five percent. Assuming that the seller invested the annuity payments at the same five percent rate as in the previous
\textsuperscript{105} Using the § 7250 rate as the discount rate provides a fairly conservative estimate of the economic benefit produced. The higher the growth rate assumed, the more favorable the results. Note that it does not make sense to talk about the effective gift tax rate in the case of a private annuity as we did in analyzing CLATs because a properly structured private annuity produces no taxable gift. The benefit of a private annuity is that the excess of the value transferred out of the estate over the value of the property coming back into the estate avoids transfer tax.
\textsuperscript{106} We are again assuming that the I.R.C. § 7520 rate (five percent) is the proper discount rate for appreciating the value of the assets.
\textsuperscript{107} $700,000 appreciated for four years at five percent.
example, the date of death value of the annuity stream would be the same $328,582, but the date of death value of the transferred property would now be $1,575,519, increasing the tax-free transfer to $1,246,937.\textsuperscript{108}
\textit{MORE FAVORABLE MEASURING LIFE}
As explained above, only a limited group of persons can be the measuring life for a CLAT.\textsuperscript{109} There are no comparable regulations for private annuities. Thus, it appears to be possible to shop for particularly favorable persons to serve as the measuring life. If a person other than the seller is used as the measuring life, and the seller dies before such person, the annuity continues, and its value should be included in the seller’s gross estate.\textsuperscript{110}
\textit{TRANSFER TO A TRUST}
Any possible advantage of making a private annuity sale to a trust must be weighed against two important disadvantages. One is that it will be more difficult to reduce the amount of the taxable gift to zero. The IRS has taken the position that when property is sold to a trust with a limited fund available from which payments could be made, the annuity stream can be valued only until such time as the trust would be expected to run out of funds, assuming that the trust assets grew at the I.R.C. section 7520 rate.\textsuperscript{111} In Revenue Ruling 77-454,\textsuperscript{112} a taxpayer, age fifty-one, transferred $70,000 to a trust in exchange for the trust’s promise to pay the taxpayer a life annuity.\textsuperscript{113} Under the IRS actuarial tables then in use, the life annuity factor for a fifty-one-
\begin{itemize}
\item \textsuperscript{108} If we assume that the seller invests the annuity payments received at twelve percent, the future value of payment stream as of the seller’s date of death is $364,352, and the tax-free transfer is reduced to $1,211,167.
\item \textsuperscript{109} Treas. Reg. § 25.2522(c)-3(vi)(a).
\item \textsuperscript{110} See Zaritsky & Aucutt, \textit{supra} note 85, at ¶ 12.03[5].
\item \textsuperscript{111} Treas. Reg. § 25.7520-3(b)(2).
\item \textsuperscript{112} Rev. Rul. 77-454, 1977-2 C.B. 351.
\item \textsuperscript{113} \textit{Id}.
\end{itemize}
year-old male was 11.1308, making the annual payment necessary to avoid a taxable gift $6,288.86 ($70,000/11.1308), and the trust was set up to pay this amount.\textsuperscript{114} The taxpayer reported no taxable gift on the transfer.\textsuperscript{115} The IRS ruled, however, that the fund had to be valued for the shorter of life or the time the trust assets would run out, which was about eighteen years under the facts of the case.\textsuperscript{116} This reduced the value of the annuity to $61,133, leaving a taxable gift of $8,867 ($70,000 - $61,133).\textsuperscript{117}
Transferring assets to a trust also creates a greater risk that I.R.C. section 2036 will apply than a transfer to an individual.\textsuperscript{118} An individual would be personally liable on the note and would have to use assets, other than income from the purchased property, to make payments if necessary. This would make it easier for the seller to avoid the argument that the annuity is a retained equity interest. Taxpayers may be able to avoid application of I.R.C. section 2036(a) on a sale to a trust, however, by “seeding” the trust or having the trust beneficiaries personally guarantee the annuity payments.\textsuperscript{119}
\textit{BACK-LOADING PAYMENTS}
Although there appear to be no specific limitations on back-loading a private annuity, the payment stream would have to qualify as an annuity under general tax principles.\textsuperscript{120} The term “annuity” is not defined in the Internal Revenue Code, but it is generally understood to mean a sum of money paid periodically
\begin{itemize}
\item \textsuperscript{114} \textit{Id.}
\item \textsuperscript{115} \textit{See id.}
\item \textsuperscript{116} Rev. Rul. 77-454, 1977-2 C.B. 351.
\item \textsuperscript{117} \textit{Id.}
\item \textsuperscript{118} I.R.C. § 2036.
\item \textsuperscript{119} See Milford B. Hatcher & Edward M. Manigault, \textit{Using Beneficiary Guarantees in Defective Grantor Trusts}, 92 J. TAX. 152 (March 2000); see also Robert S. Keebler & Peter J. Melcher, \textit{Structuring IDGT Sales to Avoid Sections 2701, 2702 and 2036(a)}, 32 Est. PLAN. 19, 19 (Oct. 2005) (discussing this issue in the context of sales to a defective grantor trust for an installment note). The issues are much the same if the transferee takes back a private annuity.
\item \textsuperscript{120} \textit{See Dunn & Cunningham, supra} note 68, at 263.
\end{itemize}
that is part interest and part return of capital.\textsuperscript{121} The Tax Court has defined the term as follows:
'Annuity' is a term somewhat loosely used in financial and legal nomenclature and is perhaps incapable of exact definition. Generally speaking, it designates a right... to receive fixed, periodical payments, either for life or a number of years. Its determining characteristic is that the annuitant has an interest only in the payments themselves and not in any principal fund or source from which they may be derived.\textsuperscript{122}
A back-loaded annuity should qualify under this definition, provided that none of the payments are so small as to be insignificant.\textsuperscript{123} Although the payments received increase over the term of the annuity, their amounts are fixed from the beginning, and they are paid periodically for the transferor's life. If the transferor dies prematurely, he or she has no right to any further payments.\textsuperscript{124}
If the transferor dies prematurely, back-loading a private annuity reduces the amount of the annuity payments and increases the tax-free transfer.
EXAMPLE TEN
Assume the same facts as in Example Four, except that the annuity payments are made pursuant to a private annuity rather than from a CLAT. The annual payments will be the same as those shown in Example Four. Thus, the payments will be reduced from $109,470 each year to $14,626, $17,551, $21,062 and $25,274 in the first four years, respectively. The future value of the assets transferred to the heirs would be $1,215,506 ($1,000,000 appreciated for four years at five percent). The date
\textsuperscript{121} Comm'r v. Meyer, 139 F.2d 256, 259 (6th Cir. 1943); Bodine v. Comm'r, 103 F.2d 982, 984-85 (3rd Cir. 1939).
\textsuperscript{122} George H. Thornley, 2 T.C. 220, 233 (1943), \textit{rev'd on other issue} 147 F.2d 416, 420-21 (3d Cir. 1945) (quoting Commonwealth v. Beisel, 13 A.2d 419 (Pa. 1940)).
\textsuperscript{123} See Dunn & Cunningham, \textit{supra} note 68, at 263-64.
\textsuperscript{124} See Zaritsky & Aucutt, \textit{supra} note 85, at ¶ 12.03[6] (agreeing that private annuities can have an increasing payout feature and include a back-loaded private annuity form in their treatise providing for payments that increase by twenty percent each year), Form 28 (permitting the measuring life to be someone other than the transferor).
of death value of the amount returning to the seller in the level payment scenario would be $471,829, producing a tax-free transfer of $743,677 ($1,215,506 - $471,829). The date of death value of this amount in the back-loaded scenario would be only $83,670, producing a tax-free transfer of $1,131,836, which is $388,159 more than with level payments.
**ADVANTAGES & DISADVANTAGES OF A PRIVATE ANNUITY SALE**
**ADVANTAGES**
The most important advantages of using a private annuity as a bet-to-die strategy are: (1) it clearly qualifies for the I.R.C. section 7520 safe harbor; (2) it can be structured so there is no taxable gift;\(^{125}\) (3) any measuring life appears to be permissible; and (4) there is no need to give anything to charity.
**DISADVANTAGES**
There are four key disadvantages. First, the buyer receives no income tax deduction for the ordinary income component of the annual payments, even though it has a function much the same as interest. Second, the buyer’s basis in the purchased property is limited to the sum of the annuity payments actually paid. Third, the note should be unsecured to avoid possible estate inclusion under I.R.C. section 2036(a).\(^{126}\) Fourth, if the buyers did not have substantial assets of their own before the sale, and the purchased property does not produce as high a total return as the parties expected, it may be difficult for the buyers to make the required payments.\(^{127}\)
---
\(^{125}\) Assuming the sale is made to an individual and not to a trust. If the sale were made to a trust, the IRS would try to apply the exhausting corpus rule of Treasury regulation § 25.7520-3(b)(2).
\(^{126}\) This limits buyers to those the seller is sure he can trust.
\(^{127}\) See Zaritsky & Aucutt, *supra* note 85, at §12.03[5] (discussing the possibility that the IRS might also attempt to apply the original issue discount (OID) rules to a back-loaded private annuity and discussing the benefits of a back-loaded private annuity). Proposed regulations issued in 1995 refused to extend the exclusion from the OID rules for life annuities found in I.R.C. § 1275(a)(1)(B) to annuities with payments increasing at any time during the term of the contract. Prop. Treas. Reg. § 1.1275-1(d) (1995). Final regulations
CONCLUSION
Case law and Treasury regulations require the IRS to use standard actuarial tables to value most life annuity interests. This creates a golden opportunity for taxpayers with shorter-than-average life expectancies to use CLATs or private annuities to transfer tremendous amounts of wealth at a dramatically reduced transfer tax. The benefits may exceed those available from any other strategies for making large wealth transfers. It may be possible to enhance these savings by transferring fast-appreciating discountable assets, back-loading the annuity payments, and/or taking advantage of grantor trust status. Given the potential power of these strategies, the IRS can expect to see them used more frequently in the future. Provided that all formalities are observed, the transactions are carefully structured, and the taxpayers do not carry them to extremes, both strategies appear to work under the applicable case law and Treasury regulations, even in their more advanced forms. We should caution, however, that because of the tremendous potential for reducing tax revenue, the IRS could be expected to do everything it can to find ways to attack these strategies.
on this subject issued in 1997 took a different approach, however, and excluded only life annuities in which the life contingency was not "real or significant." Treas. Reg. § 1.1275-1(j)(1) (1997) (emphasis added). The regulations go on to state that an annuity had a bona fide life contingency only if the contract has no terms or conditions that can significantly reduce the probability that total distributions under the contract will increase commensurately with the longevity of the annuitant. Id.
## Appendix A: Example Six
| Year | Beginning Value\(^i\) | Growth\(^{ii}\) | Payment\(^{iii}\) | Ending Value\(^iv\) | PV of Payment\(^v\) |
|------|-----------------------|-----------------|-------------------|---------------------|---------------------|
| 1 | $1,000,000 | $50,000 | $14,626 | $1,055,374 | $13,928.67 |
| 2 | $1,055,374 | $51,769 | $17,551 | $1,109,931 | $15,917.71 |
| 3 | $1,069,591 | $53,480 | $21,062 | $1,112,009 | $18,191.06 |
| 4 | $1,102,009 | $55,100 | $25,274 | $1,131,836 | $20,789.35 |
| 5 | $1,131,836 | $56,592 | $30,329 | $1,158,099 | $23,758.99 |
| 6 | $1,158,099 | $57,905 | $36,394 | $1,179,609 | $27,153.00 |
| 7 | $1,179,609 | $58,980 | $43,673 | $1,194,917 | $31,032.01 |
| 8 | $1,194,917 | $59,746 | $52,408 | $1,202,254 | $35,465.31 |
| 9 | $1,202,254 | $60,113 | $62,890 | $1,199,478 | $40,532.06 |
| 10 | $1,199,478 | $59,974 | $75,647 | $1,183,984 | $46,322.75 |
| 11 | $1,183,984 | $59,199 | $90,561 | $1,152,622 | $52,940.81 |
---
\(^i\) This column shows the value of the trust assets at the beginning of each year.
\(^{ii}\) The trust assets are assumed to grow at the applicable I.R.C. § 7520 rate of five percent.
\(^{iii}\) The beginning payment is the amount necessary to set the value of the annuity payment stream equal to the value of the property transferred to the CLAT, without taking into account the exhausting corpus rule. The payments then increase by twenty percent from one year to the next.
\(^{iv}\) This is the beginning value plus growth minus the annual payment.
\(^{v}\) This column shows the amount of each payment discounted back to present value at the I.R.C. § 7520 rate of five percent.
| | 12 | $1,152,622 | $57,631 | $108,673 | $1,101,580 | $60,504.41 |
|---|--------|------------|---------|----------|------------|-------------|
| 13 | $1,101,580 | $55,079 | $130,408 | $1,026,252 | $69,148.63 |
| 14 | $1,026,252 | $51,313 | $156,489 | $921,075 | $79,027.85 |
| 15 | $921,075 | $46,054 | $187,787 | $779,341 | $90,318.47 |
| 16 | $779,341 | $38,967 | $225,345 | $592,964 | $103,222.14|
| 17 | $592,964 | $29,648 | $270,414 | $352,198 | $117,969.27|
| 18 | $352,198 | $17,610 | $224,496 | $45,312 | $134,823.22|
| 19 | $45,312 | $2,266 | $47,578 | $0 | $18,816.00 |
Total PV of Payment Stream
$961,861.71 |
NORTH COAST ROCKETRY
ADVANCED ROCKETRY PRODUCTS
1990-91 CATALOG $3.00
Hello!
Welcome to the exciting world of North Coast Rocketry!
We are pleased to present our 1990-1991 catalog of products for the advanced rocketeer. Last year was a year of phenomenal growth for North Coast Rocketry, and we hope that with your ongoing support, that growth will continue.
We have added a number of challenging kits and products to the catalog this year. We hope that you who have been a customer in the past will find something new that intrigues you; for our new customers, please don't let it overwhelm you!
North Coast Rocketry was formed in 1983 by Chris Pearson and Matt Steele to provide a source for advanced rocketry kits, motors, and related products. At that time, the high power hobby was just taking off, and there just wasn't a source of high quality parts for E, F, and G powered models. Since then, North Coast Rocketry has grown from offering high power rocket components to offering a full fledged line of rocketry products. In 1989, we added our competition line, since advanced rocketry can also be the challenge of "higher, faster, and longer!"
Our staff consists of a number of people across the country, many who are long time rocketeers. All of our manufacturing and shipping is handled in Ohio by Chris Pearson and Dan Kafun. If you call our easy order hotline at (205) 883-6020, you'll talk to either Matt or Robyn Steele in Alabama, who handle all of the customer service aspects of the company. Other staff members include Toni McKinnon (Parachute Production), Jimmy Williams (Launchers), Jan McMahan and Mary Ann Halan (Administrative Assistance), Chas Russell (Consultant), and George Gassaway (Designer/Consultant).
With your help and support, North Coast Rocketry has grown to be the largest mail order supplier of high power rocketry products in the world. No one offers more to the advanced rocketeer than North Coast Rocketry!
So, browse through the catalog. We hope you'll find something that interests you. Give us a call, or write us a letter, and keep 'em flying high!
Matt, Chris, Dan, and the whole gang at NCR
NORTH COAST ROCKETRY
How To Use This Catalog
Before you browse any further, take a quick second to look over this page. It will help explain some of the things you'll find further on. In this year's catalog, we've added some features that should make it easier to select the best kit for you.
First of all, we've added a skill level system. This should help you gauge the level of difficulty that each kit presents. Each kit has a "skill level indicator", with the pointer indicating the model's relative degree of difficulty to build and fly within the difficulty group. Below are examples of each.
**Easy:** If you've flown Estes kits in the past, particularly D12 powered models, then these models should be fairly easy to build. The only different techniques used in these kits are the substitution of epoxy, plywood, ripstop nylon, and aerofoam for the materials and components that Estes usually uses. As a general rule, "Easy" kits should be the first ones you purchase from NCR.
**Moderate:** These kits represent more challenge than the "Easy" kits. Typically, these equate to Estes Skill Level 4 kits. They require familiarity with basic high power building skills in order to build successfully.
**Difficult:** These kits require skills not normally learned by building and flying Estes kits or other model rockets. Examples include composite motor clusters, radio control, built up fins, added detailing, and Class B motor (i.e., H, I, & J) powered rockets. These kits are recommended for experienced modelers only.
Secondly, we've tried to answer the age old question of "How high do they go?". Each kit has an "altitude indicator" that presents the performance prediction of that model with certain baseline motor types we sell. These are only predictions, though, so your actual altitudes may vary. These predictions will make it easier to pick the model that best suits your flying field, and they should give you some insight as to the relative performance of similar models. The altitudes were calculated using a specially written prediction program. The values were then rounded off to the nearest 50 feet due to the variances between models and motors.
We've also tried to make it clear what type of motor goes into what type of model. This has really become a problem, with six diameters of rocket motors now available on the market. Below are the motor diameter symbols, and what they represent.
| Diameter | Description |
|----------|-------------|
| 13 mm | 13 mm: (.5" diameter x 1.75" long)
These are the Estes 1/2A and A "Mini" engine series, and are used in our competition series. Motors of this diameter fit our CBT-50 tube. |
| 18 mm | 18 mm: (.690" diameter x 2.75" long)
These are the "standard" size motors. Currently, Estes manufactures 1/2A, A, B & C black powder propellant motors in this size, and MRC makes A, B & C motors. Aerotech manufactures composite propellant D & E motors in this size. Motors of this diameter fit our BT-7 and CBT-74 tube. |
| 24 mm | 24 mm: (.945" diameter; length varies from 2.75" to 4.83")
This is the Estes "D12" size. Estes makes black powder D motors, while Aerotech makes E, F, & G composite propellant motors in this size. Motors of this diameter fit our BT-9 tube. |
| 29 mm | 29 mm (1.125" diameter; length varies from 3.25" to 10.50")
This is the standard "high power" motor size, first popularized by Flight Systems, Inc. Aerotech manufactures Class C composite motors in the F & G range, and Class B composite H motors in this size. Motors of this diameter fit our BT-11 tube. |
| 1.50" | 1.50" (length varies from 7.50" to 13.0")
Aerotech produces a large variety of H and I Class B motors in this diameter. Motors of this diameter fit our BT-15 tube. |
| 2.125" | 2.125" (length varies from 5.0" to 12.875")
This is the Professional Class B motor diameter. Aerotech makes I & J and larger motors in this size. Motors of this diameter fit our BT-21 tube. |
Please be aware that the weights listed in the catalog are typical weights only. Your kit or part may vary due to a number of factors.
The catalog is organized into the following basic sections for your convenience:
- NCR High Power Kits ................................................................. 6
- NCR Launch Controllers and Launch Pads .......................... 20
- Transolve Electronic Payloads ............................................. 22
- NCR Competition Kits ............................................................... 26
- Aerotech Rocket Motors ......................................................... 32
- PIC Adhesives ........................................................................... 34
- NCR Components and Supplies ............................................ 36
- Ordering Information ................................................................. 44
A Typical North Coast Rocketry Kit
What to Expect...
If you have never built a North Coast Rocketry kit before, you'll find a number of differences between our kits and other rocket kits. In general, our kits are designed to be stronger and tougher than others, so you can use high power E, F, and G motors in them time after time. Below is a look at the individual components that make a North Coast advanced rocketry kit unique.
- **Nose Cone**: North Coast offers an exclusive line of Aerofoam cones for many of its airframe tubes. Aerofoam is a very light polyurethane foam that has a smooth finish like plastic, but weighs less. It is strong, durable, and yet safe in high power rockets. NCR also offers a blow molded styrene nose cone for its BT-39 kits.
- **Payload Section**: Some kits from NCR feature a large, spacious payload section. Common payloads flown in NCR kits are the ALTM-1 Altitude Data Logger, the XMTR-1 Transmitter, and the BEEP-1 Location Finder.
- **Bulkhead**: NCR bulkheads consist of a tube coupler, a screw eye, and a plywood insert. These bulkheads seal off the payload section. They are lighter and stronger than balsa bulkheads.
- **Screw Eyes**: These are similar to standard rocketry screw eyes, but considerably larger in size.
- **Shock Cord**: One of the keys to flying models time after time is having a shock cord that won't break after a few flights. North Coast uses a braided elastic cord, rather than rubber, for all of its kits. The elastic is stronger, won't burn as easily, and doesn't hang up on the inside of the tube.
- **Parachute**: All of our parachutes are made of ripstop nylon with heavy duty shroud lines sewn into the parachute for strength. Stripping a line is next to impossible!
- **Launch Lug**: Heavy duty, large diameter lugs are required for big rocket kits. Most kits come with 1/4" diameter lugs standard. The bigger kits use 3/8" or 1/2" lugs.
- **Airframe Tubing**: NCR airframe tubes are thick wall, heavy duty tubes that won't crimp in flight, and won't dent on the ground. These tough tubes are one key reason why you can fly an NCR kit again and again.
- **Gorilla™ Shock Cord Mount**: Our newest innovation! This new mount is stronger and more reliable than all other shock cord mounts. It's also easier to install!
- **Centering Rings**: Made of either Duraply or aircraft plywood, these are precision rings made to fit motor tubes to airframe tubes.
- **Fins**: Made from 3 ply birch plywood (generally 5/32" thick), these fins are strong enough to fly on high power rockets. They also are easier to sand and finish than balsa.
NAR/HIA MODEL ROCKET SAFETY CODE
1) **Construction:** My model rockets will be made of lightweight materials such as paper, wood, rubber and plastic, without any metal or other hazardous materials as structural parts.
2) **Engines:** I will use only pre-loaded, factory made, NAR certified rocket engines in the manner recommended by the manufacturer. I will not alter or dismantle model rocket engines or their ingredients in any way, or attempt to reload these engines.
3) **Recovery:** I will always use a recovery system in my model rockets that will return them safely to the ground so that they may be flown again. I will use only flame resistant wadding in my rockets.
4) **Weight Limits:** My model rockets will weigh no more than 1500 gm (53 oz) at liftoff and the engines will contain a total of no more than 125 gm (4.4 oz) of propellant. My model rockets will weigh less than the engine manufacturer's recommended maximum liftoff weight for the engines used, or I will use engines recommended by the manufacturer for my rockets.
5) **Stability:** I will check the stability of my model rockets before their first flight, except when launching models of already proven stability.
6) **Payloads:** My model rockets will never carry live animals, or payloads that are intended to be flammable or explosive.
7) **Launch Area:** I will launch model rockets outdoors in a cleared area, free of tall trees, power lines, and buildings. I will insure that people in the launch area are aware of the pending rocket launch and are in a position to see the rocket's liftoff before I begin my audible five second count down.
8) **Launcher:** I will launch my model rockets from a launch rod or other device which provides a rigid guidance until the rocket has reached a speed adequate to ensure a safe flight path. To prevent accidental eye injury, I will always place the launcher so that the end of the rod is above eye level or will cap the end of the rod when approaching it. I will cap or disassemble my launch rod when not in use and will never store it in an upright position. My launcher will have a jet deflector device to prevent engine exhaust from hitting the ground directly. I will always clear the area around my launch device of brown grass, dry weeds, and other easy-to-burn materials.
9) **Ignition System:** The system I use to launch my model rockets will be remotely controlled and electrically operated and will contain a launching switch that will return to "off" when released. The system will contain a removable safety interlock in series with the launching switch. All persons will remain at least 15 feet from the model rocket when I am igniting engines totalling 30 N-sec or less of total impulse and at least 30 feet from the model rocket when I am igniting engines totalling more than 30 N-sec total impulse. I will use only electrical igniters that will ignite my rocket engine(s) within one second of actuation of the launching switch.
10) **Launch Safety:** I will not let anyone approach a model rocket on a launcher until I have made sure that the safety interlock has been removed or the battery has been disconnected from the ignition system. In the event of a misfire, I will wait one minute before allowing anyone to approach the launcher.
11) **Flying Conditions:** I will launch my model rocket only when the wind is less than 20 miles per hour and under conditions where the model will not fly into clouds, fly near aircraft in flight, or be hazardous to people or property.
12) **Pre-Launch Test:** When conducting research activities with unproven designs or methods I will, when possible, determine their reliability through pre-launch tests. I will conduct launchings of unproven designs in complete isolation from persons not participating in the actual launching.
13) **Launch Angle:** I will not launch model rockets so that their flight path will carry them against targets. My launch device will be pointed within 30 degrees of vertical. I will never use model rocket engines to propel any device horizontally.
14) **Recovery Hazards:** If a model rocket becomes entangled in a power line or other dangerous place, I will not attempt to retrieve it.
**Always follow the NAR/HIA Safety Code and all local laws and ordinances when flying rockets.**
*Think Safety At All Times!*
NEW North Coast Rocketry Kits for 1990!
THE OUTLAW RC BG
No one offers the advanced rocketeer more! After many requests, we at NCR are proud to present THE OUTLAW, rocketry's first commercially available radio control boost glider (RC BG) kit. Designed for the first time RC BG flyer, THE OUTLAW goes together easily with a solid balsa wing and box fuselage. It is designed for use with Cannon Super Micro flight packs, but can be adapted for Futaba and Airtronics micro packs as well. The kit includes all the materials to make the glider and pod—you supply the radio gear, pushrods, and Monokote!
Recommended motors:
D12-3, E6-2, E15-4
Diameter (Pod): 1.0"
Wingspan: 40"
Liftoff Weight(w/ radio gear): 8.5 oz
Catalog # K-72
Price: $39.95
Skill Level
Easy Moderate Difficult
800' E6-2
24 mm
Length: 35"
Diameter: 2.70"
Weight: 16.0 oz
Catalog # K-71
Price $28.95
Skill Level
Easy Moderate Difficult
1650' G40-7
29 mm
AIRES XL
The AIRES XL features sounding rocket styling for the budget conscious rocketeer. Designed for 24 mm motors, the AIRES XL can be flown with motors ranging from D12s to G55s! The kit includes built up plastic fins (with reinforced through the wall mounts), plastic conduits, custom decals and a silver monokote trim sheet for the payload section. Recovery is by an 18" ripstop nylon parachute. Explore advanced modeling and flying concepts with AIRES XL!
Recommended motors:
D12-3, D12-5, E6-4, E15-7, E30-7, F32-10, F44-10, F72-10, G55-15
Length: 42.25"
Diameter: 1.88"
Weight: 10.0 oz
Catalog # K-73
Price: $21.95
Skill Level
Easy Moderate Difficult
2600' G55-10
24 mm
NEW North Coast Rocketry Kits for 1990!
**STARBURST**
The Starburst is a graceful design with high thrust motors in mind. The Starburst features a spacious payload compartment allows you to add cameras or electronics, while the low drag design provides maximum altitude efficiency. This kit sets a new standard of excellence that the sport rocketry enthusiast will truly enjoy. Easy construction and prepping make this an excellent choice for the rocketeer who wants something more. Recovery is by a 24" ripstop nylon parachute.
**Recommended motors:**
F25-4, F50-4, G25-5, G40-7, G80-7
| Length | 59.5" |
|--------|-------|
| Diameter | 2.70" |
| Weight | 19.0 oz |
| Catalog # | K-74 |
| Price | $29.95 |
**Skill Level**
Easy Moderate Difficult
1350' G40-7
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**SHUTTLE MAGELLAN**
Here's the NCR concept "Mini Shuttle" for the early 21st century. This sleek bird is designed to lift off vertically and eject an internal pod at apogee. The Shuttle Magellan then transitions to glide for a gentle, circling descent. Another innovative design from NCR, the Shuttle is designed to fly on 24mm D12 motors for small fields, while keeping the capability for awesome flights on composite E or F motors. The kit features balsa construction, custom decals, and parachute recovery for the power pod.
**Recommended motors:**
D12-3, E15-4, E30-4, F32-5
| Length | 41.5" |
|--------|-------|
| Diameter | 1.88" |
| Weight | 18 oz |
| Catalog # | K-75 |
| Price | $32.95 |
**Skill Level**
Easy Moderate Difficult
1350' F32-5
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**SA-14 ARCHER**
The SA-14 Archer is patterned after a prototype ship-to-air missile being developed for NATO. The large size and detailing are certain to attract a lot of attention. The SA-14 Archer includes balsa strakes, plywood fins and multicolor decals. The kit also features a core 29mm motor with twin 24mm mounts for extra versatility in choosing motor combinations; it can be flown both in single motor or cluster configurations.
**Recommended motors:**
Core: F25-4, F50-4, G25-5, G40-7, G80-7
Outboard: D12-5, E15-7, E30-7
| Length | 50" |
|--------|-----|
| Diameter | 4.0" |
| Weight | 28.0 oz |
| Catalog # | K-76 |
| Price | $39.95 |
**Skill Level**
Easy Moderate Difficult
900' G40-7
**North Coast Rocketry Kits**
### QUANTUM 3
The **Quantum 3** is perfect for those becoming familiar with high power cluster rockets. Experienced modelers will find the **Quantum 3** combines reliability and high performance for an outstanding value. Most rocketeers seem to prefer the ease of clustering three D12s, but for spectacular flights, try three *White Lightning* G55 motors. A large payload section is provided for lofting sophisticated electronic payloads.
**Recommended motors:** (3 required)
D12-7, E6-4, E15-7, E30-7,
F32-10, F44-10, F72-15, G55-15
| Length: | 54.5" |
| Diameter: | 2.44" |
| Weight: | 17 oz. |
| Catalog #: | K-21 |
| Price: | $25.00 |
### PHANTOM 1800
The high performance **Phantom 1800** is a great model rocket for becoming familiar with high power rocketry. This bird goes together quickly, and yet can fly to great heights! Impressive high altitude flights can be made with the long burn F10 or G25 motors, or try and hit Mach 1 with a short burn G80 motor. Recovery is by a 18" bright orange ripstop nylon parachute. A real screamer!
**Recommended motors:**
F10-4, F25-9, F50-9, G25-10, G40-13,
G80-13
| Length: | 25.5" |
| Diameter: | 1.88" |
| Weight: | 10 oz. |
| Catalog #: | K-22 |
| Price: | $19.00 |
### QUANTUM 1
The **Quantum 1** is the perfect model rocket for those becoming familiar with high power rocketry. It is also ideal for those experienced modelers who want single motor reliability and high performance. The spacious payload section is well suited for an XMTR-1 or an ALTM-1 electronic payloads. A superb performer, and the price tag is easy on the wallet, too. The **Quantum 1** features a 24" bright orange ripstop nylon parachute for reliable recovery.
**Recommended motors:**
F10-4, F25-6, F50-6, G25-5, G40-10,
G80-10
| Length: | 44" |
| Diameter: | 2.44" |
| Weight: | 13 oz. |
| Catalog #: | K-19 |
| Price: | $23.00 |
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**Skill Level**
- Easy
- Moderate
- Difficult
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**Skill Level**
- Easy
- Moderate
- Difficult
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**Skill Level**
- Easy
- Moderate
- Difficult
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**Skill Level**
- Easy
- Moderate
- Difficult
The high performance Phantom 2600 is an excellent choice for your first high power rocket. Impressively sized, this bird goes together quickly, is easy to prep, and really performs! Try a G80 in this one if you're ready for some real excitement! The Phantom 2600 kit is rugged enough to withstand many, many flights, even on the toughest fields. Recovery is by a bright orange 24" ripstop nylon parachute.
**Recommended motors:**
F10-4, F50-6, G25-5, G40-10, G80-10
**Length:** 32.5"
**Diameter:** 2.70"
**Weight:** 14 oz.
**Catalog #** K-23
**Price:** $25.00
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The Phantom 4000 is the perfect BIG rocket for becoming familiar with high power rocketry. Great for demonstration flights with its slow, realistic lift offs, and graceful recovery, this bird is a must! The Phantom 4000 is our most popular kit. No one will think this is a toy when you bring it on the launch field! Recovery is by a 36" bright orange ripstop nylon parachute and the Gorilla™ heavy duty shock cord system.
**Recommended motors:**
F10-2, F25-4, F50-4, G25-5, G40-4, G80-4
**Length:** 50"
**Diameter:** 4.00"
**Weight:** 25 oz
**Catalog #** K-24
**Price:** $30.00
---
The Phantom 4000 HD is our response to those of you who asked for more power! Designed for the NCR 1.5" or 2.125" motor tube, the Phantom 4000 HD features plywood through-the-wall fin attachment for extra strength. Perfect for getting your Tripoli Class B motor confirmation flight.
**Recommended motors:**
**Type A:** H45-10, H65-10, H100-10, H145-15, I95-15, I132-15
**Type B:** H35-10, I32-10, I65-10, I115-10, I140-15, J100-15, J125-15
**Length:** 56"
**Diameter:** 4.00"
**Weight:** 36 oz
**Catalog #** K-31A (1.50" motor mount)
**Catalog #** K-31B (2.125" motor mount)
**Price:** $40.00
North Coast Rocketry Kits
CORPORAL
The NCR Corporal is a sport scale model of one of the USA's first battlefield ballistic missiles. Experience realistic liftoffs with F25 power! Never before offered in a model rocket kit, this design will be unique in your collection. Decals included to match the Corporal's flight test paint scheme. The Corporal is a great sport model as well. The kit includes balsa conduit covers and realistic decals.
Recommended motors:
F10-4, F25-9, F50-9, G25-10, G40-10, G80-10
| Length: | 41.5" |
| Diameter: | 1.88" |
| Weight: | 13 oz |
| Catalog #: | K-41 |
| Price: | $25.00 |
XENON
Here's a model that will catch everyone's eye! The NCR Xenon features a real Xenon flashing strobe in a clear nose section. The strobe is bright enough to be seen in bright daylight. Sunrise and sunset flights are truly impressive! Besides being a unique demonstration bird, the model has a myriad of R&D applications.
Recommended motors:
F10-4, F25-6, F25-9, F60-9, G25-10, G40-13, G80-13
| Length: | 41.5" |
| Diameter: | 1.88" |
| Weight: | 15 oz |
| Catalog #: | K-55 |
| Price: | $50.00 |
ORBIT
The ultra high performance Orbit is a great rocket for those who want to fly high power on smaller fields. This bird goes together quickly, and yet can fly to great altitudes! For standard 29mm motors, this is our highest flying bird. A stock Orbit placed in the top ten in F Altitude at NARAM-30! Recovery is by a 18" ripstop nylon parachute. As with all NCR kits, the Orbit features pre-cut plywood fins and a custom decal sheet.
Recommended motors:
F10-8, F25-9, F50-9, G25-10, G40-13, G80-13
| Length: | 23.5" |
| Diameter: | 1.88" |
| Weight: | 6 oz. |
| Catalog #: | K-39 |
| Price: | $18.50 |
THUNDERBOLT
The high performance Thunderbolt is a step up the high power rocketry ladder. Impressively sized, this bird goes together quickly, is easy to prep, and really performs! Try a G40 in this one if you're ready for real excitement! The Feshkins-Biales fin design contributes to the model's low drag coefficient. Custom decals and a 24" bright orange ripstop nylon parachute are also included.
Recommended motors:
F10-4, F25-6, F50-6, G25-10, G40-10, G80-10
Length: 27"
Diameter: 2.70"
Weight: 12 oz.
Catalog #: K-44
Price: $20.00
LANCE BETA
The Lance Beta represents a future tactical nuclear missile for use across the world. Both a bright development test paint scheme and an operational olive drab paint scheme are featured, as well as realistic, detailed decals. The Lance Beta also features a large payload section that is perfect for beacons such as the XMTR-1. The Lance Beta is impressive both in the air and on the ground.
Recommended motors:
F10-4, F25-6, F50-6, G25-10, G40-10, G80-10
Length: 45"
Diameter: 2.70"
Weight: 22 oz.
Catalog #: K-47
Price: $30.00
ELIMINATOR
Classic sporty lines grace the NCR Eliminator. Designed with high performance and utility in mind, the Eliminator features a large payload section, four pre-cut plywood fins, custom decals, and a 24" bright orange ripstop nylon parachute. The Eliminator is perfect for the ALTM-1 altitude data logger and other electronic payloads.
Recommended motors:
F10-4, F25-6, F50-6, G25-10, G40-10, G80-10
Length: 45"
Diameter: 2.70"
Weight: 21 oz.
Catalog #: K-45
Price: $25.00
North Coast Rocketry Kits
AEROBEE HI TEST
The NCR Aerobee Hi-test is a scaled up version of the Model Missiles, Inc. (MMI) model rocket kit that was made famous during the late 1950's. This "grown up" version should really bring smiles to the faces of the "old-timers" around your flying field! Of course, they never had it so good, since the Aerobee Hi Test is capable of over 1700 feet on a single G40. Sure beats clustering B motors, like they did in the old days!
Recommended motors:
F10-4, F25-6, F50-6, G25-10, G40-10, G80-10
Length: 45"
Diameter: 2.70"
Weight: 17 oz.
Catalog #: K-5
Price: $27.50
Skill Level
Easy Moderate Difficult
1750' G40-7
29 mm
AQM-127A SLAT
The SLAT (Supersonic Low Altitude Target) is the Navy's newest target drone. It uses a solid rocket booster to kick the bird up to Mach 2.2, where a liquid fueled ramjet takes over. The NCR SLAT features a similar flight profile, using a D12 to boost the model before igniting the upper stage composite motor. This is really a two stage model in one airframe! The NCR kit includes a streamer recovered, internal first stage, built up plastic fins, and a two color decal.
Recommended motors:
Booster: D12-0
Sustainer: E6-4, E15-4, E30-4, D12-3
Length: 29"
Diameter: 2.70"
Weight: 12 oz
Catalog #: K-54
Price: $27.50
Skill Level
Easy Moderate Difficult
600' D12/E6
24 mm
BRIGHTHAWK
Designed to be a scale "look alike", the NCR Brighthawk features 100 small screws to add the final detailing touch to an impressive kit. The model includes a detailed payload section, fin sections, a special decal sheet, and strap on booster segments. One of our most popular kits, this is sure to be the centerpiece of your collection.
Recommended Motors:
F50-4, G25-5, G40-7, G80-7
Length: 53"
Diameter: 2.70"
Weight: 32 oz
Catalog #: K-33
Price: $45.00
The Brighthawk also can be fitted with two additional motors in the strap on boosters with our Strap On Kit. Includes the necessary centering rings, thrust rings, and motor tubes.
SOK-1 (24mm motors) $7.50
SOK-2 (29mm motors) $7.50
Skill Level
Easy Moderate Difficult
1000' G80-7
29 mm
MINI KATANA
For those of you who have asked for a scaled down version of our popular Katana, here it is! The Mini Katana has a main motor tube designed to fit a 24 mm motor, with up to seven 18 mm motor mounts surrounding the main motor mount. The result is plenty of smoke and fire, but without the expense. The model is designed to be flown with either a single motor or a cluster of two, four or seven 18 mm motors. Great for small fields on a D12-3!
Recommended motors:
(Single motor option)
D12-3, E15-4, E30-4, F32-10, F44-10, F72-10
Length: 33"
Diameter: 2.70"
Weight: 14 oz
Catalog # K-56
Price $27.50
Skill Level
Easy Moderate Difficult
VIKING
The NCR Viking is one of our kits that is really generating a lot of excitement. A big 4" diameter main vehicle provides plenty of payload and parachute space, while the two strap on motors add extra kick. If you've been waiting to move up in model size, this is the model for you!
Recommended motors:
Core: G40-4, G80-4 (single motor only)
Outboard Motors (2):
F10-X, F25-X, F50-X, G25-X, G40-X
Length: 67"
Diameter: 4.0"
Weight: 46 oz.
Catalog # K-48
Price $50.00
VIKING II
The NCR Viking II is a scaled down version of the Viking designed for smaller fields and budgets. The core vehicle is powered by a 29mm motor with 18mm C, D, or E motors in the strap-ons. Bob Hegwood said "The kit is well worth the price tag, and it has been very well received at demos. You can fly it in fairly small areas, and it will keep coming back time after time." (Courtesy MIVARS Apogee)
Recommended motors:
Core or single motor power: F10-2, F25-6, F50-6, G25-10, G40-10, G80-10
Outboard Motors: B6-X, C5-X, C6-X, D8-X, D21-X, E25-X
Length: 44"
Diameter: 2.44"
Weight: 18 oz.
Catalog # K-52
Price $27.50
Skill Level
Easy Moderate Difficult
**MINI SPOIL SPORT**
A fun kit for those who like to use 18mm motors for impressive fire and smoke flights! The Mini Spoil Sport flies great on clusters of black powder motors. If that's a little tame for your taste, try putting four 18mm E45 motors, and watch this baby go out of sight! This bird will appeal to those rocketeers with limited flying fields, as well as those who want to ease into clustered model rockets. Where else but at NCR are you going to find such a kit?
**Recommended Motors:** (4 required)
B6-2, B6-4, C6-5, D21-7, E45-7
| Length: | 40.5" |
|---------|-------|
| Diameter: | 1.88" |
| Weight: | 14 oz |
| Catalog # | K-3 |
| Price: | $25.00 |
**Skill Level**
Easy Moderate Difficult
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**BIG BRUTE**
The perfect high power demo rocket! This rugged sport model can be flown nearly out-of-sight on F motors, or punch it into orbit on a G! The Big Brute features slow, realistic take-offs, and is perfect for the new White Lightning motors! Recovery is by colorful 24" rip-stop nylon parachute. If you are looking for an impressive flying model, but have a small field, this should be perfect!
**Recommended motors:**
F10-4, F25-6, F50-6, G25-5, G40-10, G80-10
| Length: | 35" |
|---------|-----|
| Diameter: | 4.0" |
| Weight: | 16 oz |
| Catalog # | K-53 |
| Price | $25.00 |
**Skill Level**
Easy Moderate Difficult
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**SPOIL SPORT**
Here's the kit for those rocketeers who enjoy clustered rockets. The Spoil Sport is a good sized model that will attract attention wherever it appears. Construction is straight forward, and tough enough for a cluster of four G55 motors. For lots of fire and smoke, as well as ease of ignition, nothing beats four D12s in a Spoil Sport. A favorite demonstration bird that can be tailored to meet the requirements of your particular flying field.
**Recommended Motors:** (4 required)
D12-7, E6-8, E15-10, E30-10, F32-15, F44-15, F72-15, G55-15
| Length: | 57.5" |
|---------|-------|
| Diameter: | 2.44" |
| Weight: | 18 oz |
| Catalog # | K-4 |
| Price: | $30.00 |
**Skill Level**
Easy Moderate Difficult
---
**Recommended Motors:** (4 required)
B6-2, B6-4, C6-5, D21-7, E45-7
| Length: | 40.5" |
|---------|-------|
| Diameter: | 1.88" |
| Weight: | 14 oz |
| Catalog # | K-3 |
| Price: | $25.00 |
**Skill Level**
Easy Moderate Difficult
North Coast Rocketry Kits
HYPERSONIC 1800
Awesome... simply awesome is the only way to describe the **Hypersonic 1800**. Want to see a rocket fly to over a mile high with ease? Try the NCR **Hypersonic 1800!** Recovery is by a high visibility parastream. It makes for great flights whether you use H motors, or install an adapter and use F or G motors! Features fiberglass, through-the-wall fins for strength and ease of finishing. This is a superb kit for atmospheric research projects, or just plain high flying!
**Recommended Motors:**
H45-10, H65-10, H100-10, H145-15, I95-15, I132-15, I210-15
| Length | 41.5" |
|--------|-------|
| Diameter | 1.88" |
| Weight | 17 oz. |
| Catalog # | K-34 |
| Price | $35.00 |
Skill Level
Easy Moderate Difficult
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HYPERSONIC 2300
For sheer power, this is it! Flights over a mile high and near Mach 2 are possible with the **Hypersonic 2300** and it's 2.1" motor mount! This is the ultimate high flyer in the NCR kit line. The **Hypersonic 2300** features through-the-wall fin mounting, fiberglass fins, and a parastream for recovery. Not recommended for people with weak hearts or backs, children under 21 years of age, or pregnant women. This baby cooks! Recommended for experienced Class B motor flyers only.
**Recommended Motors:**
H35-10, I32-10, I65-10, I115-15, I140-15, J100-15, J125-15
| Length | 44" |
|--------|-----|
| Diameter | 2.44" |
| Weight | 22 oz. |
| Catalog # | K-35 |
| Price | $40.00 |
Skill Level
Easy Moderate Difficult
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ORION
The NCR **Orion** is an advanced rocket designed for the professional experimenter and rocketeer. Experience one of our top-of-the-line kits! Super large payload section and heavy duty construction are perfect for research flights.
**Recommended motors:**
**Type A:** H45-10, H65-10, H100-10, H145-15, I95-15, I132-15
**Type B:** H35-10, I32-10, I65-10, I115-10, I140-15, J100-15, J125-15
| Length | 67" |
|--------|-----|
| Diameter | 4.0" |
| Weight | 60 oz. |
| Catalog # | K-51A (1.50" motor mount) |
| Catalog # | K-51B (2.125" motor mount) |
| Price | $65.00 |
Skill Level
Easy Moderate Difficult
---
Skill Level
Easy Moderate Difficult
**SONIC SEDUCTION**
The Sonic Seduction is perfect for both sport and research work. Just about any altitude can be reached with the proper combination of motors. You can rely on the low cost fire and smoke of D12s for low altitude flights, or put composite E, F or Gs into the Sonic Seduction and really see it take off! Either way, it's a lot of fun!
**Recommended Motors:** (3 required)
D12-7, E6-8, E15-10, E30-10, F32-15, F44-15, F72-15, G55-15
| Length: | 54.5" |
| Diameter: | 2.44" |
| Weight: | 14 oz |
| Catalog #: | K-17 |
| Price: | $27.00 |
**REPLICA 2560**
The NCR Replica 2650 is a semi-scale version of the Enerjet 2650 sounding rocket that was made famous during the early 1970's. The NCR version is a 1:1 replica. You can see how far rocket technology has come in the past 20 years by building the Replica 2650.
**Recommended motors:** (3 required)
F10-4, F25-9, F50-9, G25-10, G40-13, G80-13
| Length: | 49.5" |
| Diameter: | 2.70" |
| Weight: | 20 oz |
| Catalog #: | K-8 |
| Price: | $27.00 |
**STARION**
Sleek and sophisticated, the NCR Starion will convince people that advanced rocketry kits are as much models as they are rockets. Built around a BT-39, the NCR Starion features long lean lines accentuated by balsa conduit covers. If you've built a Phantom 4000, you're ready for this bird. It's a show stopper!
**Recommended motors:**
G25-5, G40-4, G80-4
| Length: | 50" |
| Diameter: | 4.0" |
| Weight: | 30 oz |
| Catalog #: | K-57 |
| Price: | $35.00 |
The NCR **ASAT-21X** is an advanced vision of future anti-satellite prototypes. The NCR concept includes a payload/seeker section detailed with real screws, custom decals, and simulated antennas, hatches, and fin supports to give it a realistic look. A big bird that’s as impressive on display as it is in the air!
**Recommended motors:**
G25-5, G40-4, G80-4
| Length | 67" |
|--------|-----|
| Diameter | 4.0" |
| Weight | 40 oz. |
| Catalog # | K-49 |
| Price | $55.00 |
---
The **Juno 1** is the historic vehicle that launched America’s first satellite, Explorer 1, into orbit. The NCR kit was designed in honor of the 20th anniversary of the Explorer 1 launch. This is a kit for experienced modelers, as it includes built up plastic fins, a multiple section nose cone, and a number of scratch built parts. The NCR **Juno-1** is an impressively sized model of this historic vehicle.
**Recommended motors:**
G40-4, G80-4
| Length | 47.75" |
|--------|--------|
| Diameter | 4.0" |
| Weight | 37.0 oz. |
| Catalog # | K-58 |
| Price | $55.00 |
---
The **Redwing Asp** is a sport scale quality model that will impress everyone. At over seven feet tall, the **Redwing Asp** is a fantastic addition to your collection! Features scale-like fin flares, plastic fin detailing, nose probe, and a huge 48” ripstop nylon parachute. No toys here!
**Recommended motors:**
G40-4, G80-4
| Length | 84" |
|--------|-----|
| Diameter | 4.0" |
| Weight | 48 oz. |
| Catalog # | K-50 |
| Price | $60.00 |
---
Skill Level
- Easy
- Moderate
- Difficult
---
Skill Level
- Easy
- Moderate
- Difficult
The NCR Katana features a six fin, custom motor mount design for power, stability, and superior strength. The payload section is 12" long and 4" in diameter, which is large enough for almost any payload. The specially designed motor mount options allow you to pick the type of power you want to put in this beast. Consult the chart (lower right) to select the motor mount you want to fly with. Please specify the motor mount type when ordering. The NCR Katana is one of high power rocketry's premier kits.
| Length: | 67" |
| Diameter: | 4.0"|
| Weight: | 60 oz. |
| Catalog #:| K-36A, C, D, E, F |
| Price: | $70.00 |
Skill Level
Easy Moderate Difficult
Five different motor mount options are available!
The NCR Magna is an experimental rocket designed with the experienced rocketeer in mind. The model's large size makes it easy to track and recover, yet this baby really gets up there. The dramatic slow lift off will impress everyone. It is a workhorse model, capable of achieving great altitudes, even with large payloads. Consult the chart (lower right) to select the motor mount you want to fly with. Please specify the motor mount type when ordering.
| Length: | 84" |
| Diameter: | 4.0"|
| Weight: | 65 oz. |
| Catalog #:| K-37A, C, D, E, F |
| Price: | $80.00 |
Skill Level
Easy Moderate Difficult
Five different motor mount options are available!
TYPE A
4 29mm motors
3 24mm motors
TYPE C
1 1.5" motor
6 24mm motors
TYPE C
1 1.5" motor
TYPE E
1 2.125" motor
TYPE F
7 29mm motors
Here's a deal that gives you all the "Right Stuff" to get going in high power rocketry. First of all, we've taken the popular Big Brute kit and built our package around it. Then, we've gone ahead and added almost everything you'd need to get the bird built and in the air. Included in this deal are:
(2) F25-6 motors or equivalent for sky high flights
(1) PIC 4/12 Minute Epoxy to glue the whole thing together
(1) PIC "Best Choice" CA for tacking and sealing
(1) PIC Pronto Accelerator to make using CA even easier
(1) PIC Coating Poxy for a glass like finish on fins and body tubes
(1) PIC Skin Shield for protecting your hands while working with epoxies
(20) PIC Mixing Cups to make mixing epoxy easy and clean
(75) PIC Mixing Sticks for mixing epoxy without making a mess
(12) PIC Epoxy Brushes for applying Coating Poxy to fins and tubes
(1) TR 1-10 Technical Report set
(1) CH-8 Spare Igniters (just in case!)
Add it all up, and this would cost over $120! But, NCR has specially priced this package at $99, nearly a 15% savings. Of course, there's plenty of epoxy, CA, mixing cups, coating poxy, brushes and igniters for future use, too.
Catalog # RSP-1 $99.00
THE SUPER DELUXE "RIGHT STUFF" PACKAGE
Want practically EVERYTHING to get started in high power rocketry? You won't find a better set-up than this! Besides including all of the "Right Stuff" package, we'll add the following:
(1) HPLP-1 High Power Launch Pad, simply the best launch pad available anywhere at any price.
(1) LC-1 Launch Controller, designed for high power rockets.
(1) BAT-1 Battery and Charger, for hassle-free, easy to carry power.
This is a $340 value for only $290!!! Save $50 over the list price. You were going to get all this eventually weren't you? Think what kind of present this would be... (hint, hint!)
North Coast Rocketry Launch Pad
HIGH POWER LAUNCH PAD
There have been a lot of requests for a heavy duty, high power launching pad that will handle the large 1/4", 3/8" and 1/2" launch rods. We are pleased to present the NCR High Power Launch Pad. This is a rugged, all metal tripod launcher that will handle up to ten pound rockets.
The launcher features a heavy duty blast deflector, "no slip" legs, and a clip that secures the launch leads. Also, it offers 360° azimuth rotation and elevation adjustment from zero to plus or minus 30°. It comes painted in "NASA Blue".
The following launch rods are included:
(1) 3 foot, 1/8" diameter rod
(1) 3 foot, 3/16" diameter rod
(1) 2 piece, 6 foot, 1/4" diameter rod
These rods are held firmly in place firmly with a nylon set screw, making changes between rod diameters very quick and easy, without damaging the rod like a metal screw would do.
In addition, adapters are included to equip your pad with a 3/8" and 1/2" diameter rod, if you decide you need one.
The launcher tears down easily for transport, too. The HPLP-1 will last for years and handle all of your high power needs. It is an exceptional value! Why pay big bucks for a plastic launch pad that you'll eventually outgrow?
Catalog # HPLP-1
Price: $130.00
LAUNCH PAD ACCESSORIES
Extra Large Blast Deflector
10" x 10" x .5", fits 1/2" rod for BIG birds!
Catalog # BD-1
Price: $20.00
1/8" Diameter, 36" Stainless Rod
for standard 1/2A to C powered rockets.
Catalog # LR-3-1/8
Price: $4.00
3/16" Diameter, 36" Stainless Rod
for "D" powered rockets.
Catalog # LR-3-3/16
Price: $6.00
1/4" Diameter, 72" 2 Piece Rod
for most E, F, & G powered rockets.
Catalog # LR-6-1/4-2PC
Price: $14.00
3/8" Diameter, 72" Fiberglass Rod
for H & I powered rockets.
Catalog # LR-6-3/8
Price: $17.50
1/2" Diameter, 72" Fiberglass Rod
for H, I, J, & above powered rockets.
Catalog # LR-6-1/2
Price: $20.00
The NCR LC-1 Launch Control is the high power launch controller you've been looking for. The LC-1 has all of the features that you would build into a launch controller: An audible continuity checker (who wants to squint in the sun trying to see if the dim little light is on?); a safety key that looks like a key; fifty feet of cable; and heavy duty battery clips. It is also flashbulb and electric match safe. The LC-1 should last a lifetime.
Catalog # LC-1
Price: $55.00
The RL-1 Relay Launcher, is for bigger birds that need more power to the pad than the standard LC-1 can provide. You set the RL-1 up near the pad, and hook it up to a battery. Then, RL-1 hooks up to the LC-1 or any other launcher controller. When you press the fire switch on your launch controller, the RL-1 kicks in and delivers maximum power from the battery near the pad. An absolute must for clustered composite models. Heavy duty construction throughout.
Catalog # RL-1
Price: $55.00
For years, finding the right battery for your launch system was a pain. Now, it's here! We're offering a maintenance free, rechargeable 12 volt, 6 amp battery that is perfect for rocketry. It is a sealed, lead calcium battery that weighs less than 6 pounds and measures 5.9" x 2.5" x 3.6". It charges overnight, and the charger is included!
Catalog # BAT-1
Price: $45.00
ALTM-1 ALTITUDE DATA LOGGER
The ALTM-1 is an altitude data logger that records your model's altitude every quarter second and then displays it on the DSPL-1 digital readout when the model is returned. The ALTM-1 uses a vacuum reference strain gauge sensor which is accurate to ± 50 feet! The whole package fits inside a 12" length of BT-23! Quarter second recording intervals also available on a special basis; please write for a quote.
Weight: 6 oz (+ 9v bat)
Catalog # ALTM-1/DSPL-1
Price: $225.00
XMTR-1 TRANSMITTER
With the XMTR-1 transmitter beacon, here's a way to never lose that expensive kit again! A mere 1 oz. (without a nine volt battery) and just 1.2" x 2.4" x 0.5" in size. Comes assembled; you just supply the crystal to match your 27 mHz walkie talkie. Over 1000' range on the ground, and much more in the air with a 100 mw transmitter. Directional antenna plans included.
Weight: 1 oz (+ 9v bat)
Catalog # XMTR-1
Price: $45.00
ALTM-2 MAX ALTITUDE SENSOR
This was so good that we couldn't resist adding it to the catalog. This is really a watch with an altimeter function! It records the maximum altitude (up to 13,260') that your model flies. It is extremely small and lightweight, and, you can wear it as a watch if you're not flying it!
Weight: 1.1 oz
Size: 2" x 1.75" x .5"
Catalog # ALTM-2
Price: $99.95
**XENON FLASHING STROBE**
The **Xenon Flashing Strobe** is a real Xenon strobe that can be used for Mach 1 attempts, velocity analysis, or just plain fun at dusk or dawn. It can fit in a BT-11 tube if you replace the twin AA battery holder. Otherwise, it's an easy fit into a BT-18 or larger tube. Weighs just 1 oz. (+ battery).
| Catalog # | XEN-1 |
|-----------|-------|
| Price: | $30.00|
Clear nose section for BT-18 cone. 1.55" long, fits over strobe mounted in an NC-18 nose cone.
| Catalog # | NC-18CP |
|-----------|---------|
| Price: | $4.00 |
---
**BEEP-1 AUDIO LOCATOR**
The **BEEP-1** is an audio locator for finding your models when they land on the ground. In other words, a high pitched buzzer! A must for payloads like the ALTM-1, where you can't afford to lose a model. We're not talking about a wimpy buzzer here, either, but a Mallory "Sonalert" that puts out 95 db! It fits inside a BT-18, and comes completely preassembled. It can use two or three 9 volt transistor batteries for power, depending on how long you want to look (and listen) for your model.
| Weight: | 2 oz (+9v bat) |
|-------------|----------------|
| Catalog #: | BEEP-1 |
| Price: | $30.00 |
---
**VEET-1 TIMER**
The **VEET-1** is a Variable Electronic Ejection Timer that will allow delayed deployment of your recovery system. Program it for an ejection delay, and use your motor ejection charge to kick out a small chute or parastream. Then, at just the right time, the **VEET-1** will eject a larger chute, for a safe landing and minimal drift. It features programmable delays from .5 sec to 40 seconds, and is small enough to fit in most high power rockets.
| Weight: | 1 oz (+9v bat) |
|-------------|----------------|
| Catalog #: | VEET-1 |
| Price: | $35.00 |
Catch The Excitement of North Coast Rocketry!
No One Offers The Advanced Rocketeer More!
Special Thanks to our models:
Traci Reeves, Lori Horton, Mary Ann Halan,
Ann Heutsche, Jason Haynes, Matt Sias, Roy Green, Kathy Kmetz, Michael Tannenbaum, John Pratt, and Cody Steele.
And to our photographers:
David Cotriss, Tom Beach, Michael South, Ed Holland,
Chas Russell, Henry Holzgrefe, Michael Tannenbaum, James and Peggy Gearhart, Lee Olyniec, Chris Pearson, Matt Steele, Robyn Steele, Jerry Schaefer, and Vince Huegele.
North Coast Rocketry Competition Kits
**WHIPLASH A**
The Whiplash A is a contest proven parachute duration bird designed by Matt Steele. The length of the body tube makes it easy to pack the parachute reliably. Kit includes lightweight nose cone, red plastic parachute, a chrome mylar tape strip, and balsa fins.
**Applicable Competition Events:**
1/2A Parachute Duration, A Parachute Duration
**Recommended motors:**
1/2A3-2T, 1/2A3-4T, A3-4T, A3-6T
| Length: | 13" |
|---------|-----|
| Diameter: | .54" |
| Weight: | 1 oz. |
| Catalog #: | K-59 |
| Price: | $6.50 |
**Skill Level**
- Easy
- Moderate
- Difficult
---
**WHIPLASH B/C**
The Whiplash B/C is a parachute duration for 18mm motors. Designed by Matt Steele, the Whiplash B/C is easy to put together and fly, yet it can be very competitive. Kit includes lightweight nose cone, red plastic parachute, a chrome mylar tape strip, and balsa fins.
**Applicable Competition Events:**
A Parachute Duration, B Parachute Duration, C Parachute Duration
**Recommended motors:**
A8-3, B4-6, B6-6, C6-7
| Length: | 13.5" |
|---------|-------|
| Diameter: | .73" |
| Weight: | 1 oz. |
| Catalog #: | K-60 |
| Price: | $7.50 |
**Skill Level**
- Easy
- Moderate
- Difficult
---
**KICKSTART PISTON**
The NCR Kickstart Piston allows you to squeeze out the every bit of performance from your mini motor model. This state of the art zero volume piston features a brass piston head and lightweight 18" piston tube for maximum performance. Easily adapts to any launcher that takes 1/4" rods. The kit includes two locking collars that hold the piston firmly in place, yet release for easy tube cleaning and replacement.
**Recommended motors:**
Mini-motors only
| Length: | 18" |
|---------|-----|
| Diameter: | .535" |
| Catalog #: | K-77 |
| Price: | $16.95 |
**Skill Level**
- Easy
- Moderate
- Difficult
---
Adds up to 10% in altitude improvement
The **Backlash A** is a contest proven streamer duration design by Matt Steele. An earlier version of the bird set a US National record in A Streamer Duration. A 4" x 40" Micafilm streamer is used to get reliable winning performances. Kit also includes lightweight nose cone, and a chrome mylar tape strip.
**Applicable Competition Events:**
1/2A Streamer Duration, A Streamer Duration
**Recommended motors:**
1/2A3-2T, 1/2A3-4T, A3-4T, A3-6T
| Length | 13" |
|--------|-----|
| Diameter | .54" |
| Weight | 1 oz. |
| Catalog # | K-61 |
| Price | $6.50 |
---
The **Backlash B/C** is a streamer duration for 18mm motors. Designed by Matt Steele, the **Backlash B/C** uses a Micafilm streamer to reduce the chance of streamer failure. Kit includes lightweight nose cone, plastic 6" x 60" streamer, chrome mylar tape strip, and balsa fins.
**Applicable Competition Events:**
A Streamer Duration, B Streamer Duration, C Streamer Duration, Precision Duration
**Recommended motors:**
A8-3, B4-6, B6-6, C6-7
| Length | 13.5" |
|--------|-------|
| Diameter | .73" |
| Weight | 1 oz. |
| Catalog # | K-69 |
| Price | $7.50 |
---
The **Backlash D/E** is a streamer duration for 24mm motors. Designed by Matt Steele, the **Backlash D/E** uses a Micafilm streamer to reduce the chance of streamer failure. Kit includes lightweight nose cone, plastic 8" x 80" streamer, chrome mylar tape strip, and plywood fins.
**Applicable Competition Events:**
D Streamer Duration, E Streamer Duration, Precision Duration
**Recommended motors:**
D12-7, E6-8, E15-10
| Length | 21.25" |
|--------|--------|
| Diameter | 1.00" |
| Weight | 3 oz. |
| Catalog # | K-78 |
| Price | $12.00 |
North Coast Rocketry Competition Kits
STILETTO A
The Stiletto A is sure to be a winner. Based on a simple wing planform, this is the perfect glider to get started with in competition. Yet, the Stiletto A will win its share of contests, too, as it broke the US Record Holder in 1/2A BG. The Stiletto A includes streamer recovery on the pod.
Applicable Competition Events:
1/2A Boost Glide Duration, A Boost Glide Duration
Recommended motors:
1/2A3-2T, A3-2T, A3-4T
Length: 26.5"
Diameter: .54"
Weight: 1.5 oz.
Catalog # K-64
Price: $11.00
Skill Level
Easy Moderate Difficult
250' A3-2T
13 mm
STILETTO B
The Stiletto B is the easy way to get started in full size boost gliders. It trims easily, and is nearly immune to death dives, making it a reliable competition model. It's sure to be a winner! The Stiletto B includes streamer recovery on the pod.
Applicable Competition Events:
B Boost Glide Duration, C Boost Glide Duration
Recommended motors:
B4-2, B6-2, C5-3, C6-3
Length: 29"
Diameter: .73"
Weight: 1.5 oz.
Catalog # K-65
Price: $12.00
Skill Level
Easy Moderate Difficult
600' C6-3
18 mm
MINI NOMAD
The Mini Nomad is another contest winner, this time for the rocket glide event. It is a simple, reliable design that uses an auto elevator to flip the tail up at transition. What goes up on this bird comes down... all in one piece!
Applicable Competition Events:
1/2A Rocket Glide Duration, A Rocket Glide Duration
Recommended motors:
1/2A3-2T, A3-2T
Length: 16.5"
Diameter: .54"
Weight: 1.5 oz.
Catalog # K-70
Price: $11.50
Skill Level
Easy Moderate Difficult
250' A3-2T
13 mm
North Coast Rocketry Competition Kits
E-Z SLIDER A NEW!
For a more complex and competitive rocket glider, try the E-Z Slider A slide wing rocket glider. During boost, the wing is held in the rear position for straighter flights. At ejection, the restraining thread burns through, allowing the wing to slide forward for glide! The slide wing design is a favorite among the competition crowd.
Applicable Competition Events:
1/2A Rocket Glide, A Rocket Glide,
1/2A Boost Glide, A Boost Glide
Recommended motors:
1/2A3-2T, A3-2T
Length: 16.5"
Diameter: .54"
Weight: 1.5 oz.
Catalog # K-79
Price: $12.00
Skill Level
Easy Moderate Difficult
The Nomad was designed for the B and C rocket glide event. The Nomad goes back a long ways, having first placed at NARAM-19, yet it is still competitive today. It goes together easily, and is a fun sport model, too, if you're not into competition.
Applicable Competition Events:
B Rocket Glide Duration, C Rocket Glide Duration
Recommended motors:
B4-2, B6-2, C5-3, C6-3
Length: 23"
Diameter: .73"
Weight: 2 oz.
Catalog # K-66
Price: $12.50
Skill Level
Easy Moderate Difficult
E-Z SLIDER B NEW!
The E-Z Slider B represents the state of the art in the rocket glide event. Using the popular "slide wing" approach allows for arrow straight boosts and super transition to glide. Get your running shoes on if you fly this bird. The kit includes balsa wing and nose cone, plywood wing rails, and a mylar tape strip to protect the wing.
Applicable Competition Events:
B Rocket Glide, C Rocket Glide,
B Boost Glide, C Boost Glide
Recommended motors:
B4-2, B6-2, C6-3, C5-3
Length: 23"
Diameter: .73"
Weight: 2 oz.
Catalog # K-80
Price: $13.00
Skill Level
Easy Moderate Difficult
The Rotaroc A is the most successful helicopter duration design ever. It has held more National records than any other design, and swept the competition at NARAM-30, winning in all four divisions. Designed by George Gassaway, the Rotaroc A is fun to fly, even if you're not into competition.
Applicable Competition Events:
1/2A Helicopter Duration, A Helicopter Duration
Recommended motors:
1/2A3-2T, A3-2T, A3-4T
Length: 15.5"
Diameter: .54"
Weight: 1.5 oz.
Catalog # K-62
Price: $12.00
Skill Level
Easy Moderate Difficult
250' A3-2T
13 mm
The Rotaroc B/C is a contest winner, and a former US National Record holder in both B and C Helicopter Duration. Designed by George Gassaway, the Rotaroc B/C is a good sized model that is especially popular at demos as well as contests. Try one and see!
Applicable Competition Events:
B Helicopter Duration, C Helicopter Duration, D Helicopter Duration
Recommended motors:
B4-2, B6-2, C5-3, C6-3
Length: 19.5"
Diameter: .73"
Weight: 1.5 oz.
Catalog # K-63
Price: $13.00
Skill Level
Easy Moderate Difficult
600' C6-3
18 mm
The Rotaroc D is a scaled up version of the popular Rotaroc for those of you out there who don't fly anything less than D power anymore! The Rotaroc D is perfect for demos and fun flying as well as competition. Includes an Aerofoam nose cone, high strength body tube, and heavy duty hinges.
Applicable Competition Events:
D Helicopter Duration, E Helicopter Duration
Recommended motors:
D12-3, E6-8, E15-10
Length: 21.25"
Diameter: 1.00"
Weight: 4.0 oz.
Catalog # K-81
Price: $17.50
Skill Level
Easy Moderate Difficult
1000' D12-5
24 mm
The JAVELIN B/C is a Super Roc for the 18mm motor events. This kit gives you the option of a minimum (40") or maximum (79") length model for maximum competitive advantage and flexibility. The JAVELIN B/C includes a streamer for altitude events, and a 24" red plastic parachute for duration events. With the JAVELIN B/C, you can find the winning combination!
Applicable Competition Events:
B SR Altitude, B SR Duration, C SR Altitude, C SR Duration
Recommended motors:
B4-4, C6-5
Length: 1—2 meters
Diameter: .73"
Weight: 2.5 oz.
Catalog # K-83
Price: $14.00
Skill Level
Easy Moderate Difficult
1150' C6-7
18 mm
The JAVELIN A is a perfect model for the A and 1/2 A Super Roc events. With its lightweight NCR body tubes, nose cone and plastic fins, the Javelin A has all it takes to come out on top. The kit contains a streamer recovery system, if you wish to fly the model in altitude events, or a red plastic 15" parachute for the duration events. Either way, it's a winner!
Applicable Competition Events:
1/2A SR Altitude, A SR Altitude, 1/2 A SR Duration, A SR Duration
Recommended motors:
1/2A3-2T, A3-4T
Length: .5—1 meter
Diameter: .54"
Weight: 2.0 oz.
Catalog # K-82
Price: $12.00
Skill Level
Easy Moderate Difficult
225' A3-4T
13 mm
A lean, clean design for maximum altitude performance. The DOUBLE EAGLE was designed to be an ultra-reliable D or E Dual Eggloft. The spacious BT-18 payload compartment provides plenty of room for eggs and padding. The single diameter design allows for easy tower or rod launching and added reliability.
Applicable Competition Events:
D Dual Eggloft Altitude, E Dual Eggloft Altitude, F Dual Eggloft Altitude
Recommended motors:
D12-3, D21-4 (with adapter), E15-7, F32-10
Length: 20"
Diameter: 1.88"
Weight: 4 oz.
Catalog # K-84
Price: $20.00
Skill Level
Easy Moderate Difficult
2000' F32-10
24 mm
Step into the exciting world of advanced composite rocket motors by Aerotech! These motors use propellants similar to that used in the Space Shuttle Solid Rocket Motors.
All of these motors offer increased reliability and performance over black powder motors of similar size and weight. Using high tech materials, Aerotech has established the highest reliability rate in the advanced model rocket motor market.
For sheer excitement, try a White Lightning motor! These motors have more "fire and smoke" than the standard propellant formulation. They are designated by a "WL" after the delay.
All motors on this page are currently certified by the NAR and are DOT Class C Toy Propellant Devices. Igniters and instructions are included.
Above: Aerotech motors come in a variety of sizes and power. From left to right are the 18mm D21, the 24mm E15, the 24mm F44, the 29mm F10, and the 29mm G25. No special purchase restrictions apply to these motors.
### MOTOR SPECIFICATIONS
| Motor Designation | Dimensions (inches) | Total Impulse (Newton-sec) | Thrust Duration (Seconds) | Initial Mass (Grams) | Propellant Mass (Grams) | Peak Thrust (lbs) | Price (Each) |
|-------------------|---------------------|----------------------------|--------------------------|----------------------|------------------------|------------------|-------------|
| **18mm Diameter Motors:** | | | | | | | |
| D21 (4, 7, 10) | .69 x 2.75 | 20 | .95 | 23.6 | 9.6 | 7.6 | $6.95 |
| E25 (4, 7, 10) | .69 x 2.75 | 20 | .92 | 24.9 | 11.0 | 8.2 | $7.95 |
| E45 (4, 7, 10) | .69 x 4.120 | 40 | .81 | 36.9 | 19.2 | 15.0 | $9.95 |
| **24mm Diameter Motors:** | | | | | | | |
| E6 (2, 4, 8) | .94 x 2.75 | 40 | 7.2 | 39.7 | 21.5 | 4.8 | $11.95 |
| E15 (4, 7, 10) WL | .94 x 2.75 | 40 | 3.0 | 45.4 | 17.8 | 6.3 | $7.95 |
| E30 (4, 7, 10) | .94 x 2.75 | 40 | 1.3 | 46.8 | 19.2 | 10.5 | $7.95 |
| F32 (5, 10, 15) WL | .94 x 4.812 | 80 | 2.5 | 72.2 | 37.7 | 10.5 | $13.95 |
| F44 (5, 10, 15) WL | .94 x 4.812 | 80 | 1.7 | 73.5 | 36.4 | 14.8 | $13.95 |
| F72 (5, 10, 15) | .94 x 4.87 | 80 | 1.1 | 73.1 | 36.8 | 22.9 | $13.95 |
| G55 (5, 10, 15) WL | .94 x 6.93 | 120 | 2.2 | 103.7 | 62.5 | 22.75 | $18.95 |
| **29mm Diameter Motors:** | | | | | | | |
| F10 (2, 4, 8) | 1.125 x 3.37 | 80 | 7.9 | 69.4 | 40.7 | 7.5 | $15.95 |
| F25 (4, 6, 9, 12) WL | 1.125 x 3.87 | 80 | 3.0 | 81.7 | 35.6 | 10.0 | $12.95 |
| F50 (4, 6, 9, 12) | 1.125 x 3.87 | 80 | 1.6 | 82.5 | 37.9 | 16.5 | $12.95 |
| G25 (5, 10, 15) WL | 1.125 x 4.87 | 120 | 4.8 | 105.0 | 54.8 | 8.4 | $18.95 |
| G40 (4, 7, 10, 13) WL | 1.125 x 4.87 | 120 | 2.7 | 118.0 | 55.1 | 15.0 | $16.95 |
| G80 (4, 7, 10, 13) | 1.125 x 4.87 | 120 | 1.5 | 119.8 | 56.9 | 24.0 | $16.95 |
Aerotech Motors
Aerotech D & E Class Motors
Aerotech F Class Motors
Aerotech G Class Motors
PIC Adhesives
PIC ADHESIVES
So many times people have asked us, "What adhesives should we use to build our North Coast rockets?". We looked around the past few years, but couldn't really identify a superior brand to recommend. That is, until PIC Adhesives were introduced. After extensively sampling their product line, we were delighted. We use PIC Adhesives exclusively on all of our demo and R&D models. As such, North Coast is proud to be the only manufacturer to offer a complete line of superlative adhesives that should meet ALL of your hobby needs.
"PIC POXY" 4 1/2 MINUTE
This two part epoxy system is what you'll need to build most high power rockets! It has fast setting action, high strength, and toughness. Pot life is 3-5 minutes, and handling time (the time until the bond is tack free and can support light loading) is 15 minutes. Full strength is achieved in one hour. This epoxy will even cure at low temperatures, so it's great for on the field fixes! Our most popular epoxy!
Net Weight: 9 oz. set
Catalog # PIC 905
Price: $10.49
"PIC POXY" 30 MINUTE
This epoxy system is used when you need more working time. Typical uses include motor mounts, shock cord mounts, and fin fillets. Pot life is 30 minutes, and handling time is 6 hours. Full strength is achieved in 24 hours. This epoxy is suitable for paper, plywood, fiberglass, composites, and other common high power materials found in high power rockets.
Net Weight: 9 oz. set
Catalog # PIC 930
Price: $9.49
PIC "QUICK CURE" CA
This CA glue is water thin and cures in seconds. Perfect for sealing the edges of body tubes, launch lugs, and for tacking parts in place. Sold in high density translucent bottles so you can see when more is needed.
Net Weight: 1 oz.
Catalog # PIC 100
Price: $4.99
PIC "BEST CHOICE" CA+
This is the best choice for overall construction use. Medium cure rate (30 second), gap filling, fillet forming CA+ cyanoacrylate that is perfect for areas where the strength of epoxies is not required. Ideal for tacking fins in place until epoxy cures. Use with PIC Pronto for best results.
Net Weight: 1 oz.
Catalog # PIC 101
Price: $4.99
PIC"SLOW CURE" CA++
This CA has the longest, most spreadable characteristics in the business. Super thick, s-l-o-w cure rate allows for maximum time to align parts before cure. Recommended for large surfaces and areas. Use with PIC Pronto for best results.
Net Weight: 1 oz.
Catalog # PIC 102
Price: $4.99
PIC "PRONTO" ACCELERATOR
You just can't build without this! A bond accelerator that "freezes" the surface of CA adhesives, allowing for "instant" bonding. Perfect for fillets, tacking fins in place until epoxies cure, and 1001 other uses. It will also assist the "skinning over" of PIC POXY adhesives.
Net Weight: 2 oz.
Catalog # PIC 802
Price: $4.99
PIC "TIPS 'N TOPS"
Spare dispensing nozzles and nozzle caps for PIC CA, CA+, and CA++. Handy for special jobs needing trimmed nozzles, and to prevent spillage. Four nozzles and caps per bag.
Catalog # PIC 650
Price: $.89
PIC "MICRO DROPPER" TIPS
These are not only a must for anyone who uses CA, but they're the best we've ever seen. These tips allow fine control of CA's during application, minimizing waste and mess. Packaged ten to a pack, these will delight the master modeler.
Catalog # PIC 660 PIC 670
Price: $1.75 $1.75
Size: Fine Extra Fine
"PIC COATING POXY"
This is the way to finish high power models! A two part brushable low viscosity epoxy system for finishing, fiberglassing, and laminating composites. It sands smooth and easily with a minimum of hassle, and adds incredible strength to any area. Pot life is 9 minutes, and handling time is 1.5 hours. Full cure is achieved in 6 hours. There are none of the fumes or flammability problems that polyester resins have.
Net Weight: 4.8 oz set
Catalog # PIC 975
Price: $9.99
"PIC APART" DEBONDER
This water based liquid softens and removes CA glues from hands, tools, clothing and work surfaces. It will also allow the debonding of glued parts, so corrections can be made. This is a "must have" item.
Net Weight: 1 oz.
Catalog # PIC 500
Price: $3.49
"PIC 'N PATCH" FILLER
A fast drying, lightweight fluffy paste that fills plywood, aerofoam, fiberglass, and balsa. Recommended for use with our Aerofoam nose cones, to fix dents, dings, or bubbles. Apply in thin layers, and sand minutes later. Doesn't crack or shrink. Thins with water, and has a long shelf life.
Net Weight: 8 oz
Catalog # PIC 600
Price: $4.99
"PIC POXY LITE"
A 1:1 epoxy paste that will let you make fantastic fillets, and repair landing damage. Sands easily. Add strength to areas with 1/3 less the weight of regular epoxy.
Net Weight: 6 oz set
Catalog # PIC 980
Price: $8.99
"PIC "SKIN SHIELD"
This hand cream is rubbed onto the skin before working with PIC CA's, epoxies, paints, etc. A microscopically thin layer protects the skin, yet your hands feel normal. Actually forces CA glues away from the skin. Washes off with soap and water.
Net Weight: 100 ml bottle
Catalog # PIC 700
Price: $8.99
NEW!
"PIC CARBON FIBER TAPE"
Available in two widths, this tape is perfect for adding strength without adding a lot of weight. This is 100% carbon fiber tape with bound edges that won't unravel.
Catalog # PIC 020 PIC-021
Price: $8.99 $6.00
Size: 1" X 48" 1/2" X 48"
"PIC "RESIN WACKER"
At last! A way to clean up epoxy resins from your hands, models, workbench, and clothes! If you use epoxy, you NEED this! Apply Resin Wacker to the problem area, wipe it and the resin away, and rinse with water. That's it! It's non-toxic, contains no solvents, and works on almost every surface.
Net Weight: 1 oz.
Catalog # PIC 900
Price: $3.99
"PIC "SLICKER"
This is a barrier for both epoxies and CA glues. Want to keep glue out of somewhere? This is what you need! Prevents the migration of CA's (particularly the Quick Cure CA) into hinges, push rods, pins, and other moving parts. It acts as a release agent for epoxies for molded or cast parts. Non toxic, and cleans up easily.
Net Weight: 20 ml tube
Catalog # PIC 730
Price: $4.99
"PIC FIBERGLASS CLOTH"
This 3/4 oz. fiberglass cloth is ideal for reinforcing fin/body joints, tubes, and finishing models. Apply with PIC Coating Poxy. One sheet per package. 36" x 30".
Catalog # PIC 022
Price: $7.99
"PIC MIXING CUPS"
Perfect for mixing epoxies, resins, and other liquids. These polyethylene cups hold eight ounces and are calibrated for easy proportional mixing. 20 cups per package.
Catalog # PIC 035
Price: $5.75
"PIC EPOXY BRUSHES"
These are great for applying PIC Finishing Epoxy, as well as sanding sealers, resins, and other liquids where disposable brushes are necessary. The brushes are 3/8" wide, and 6" long. 12 brushes per pack.
Catalog # PIC 050
Price: $2.30
"PIC MIXING STICKS"
Use these sticks to mix up all PIC Epoxies. Why mess around with scrap wood when you're making the perfect model? 75 sticks per pack.
Catalog # PIC 075
Price: $2.95
"PIC SQUEEGEES"
Perfect for making fillets, fiberglassing, and smoothing out fillers and adhesives. Try a set of these, and you'll find even more uses. 3 per pack.
Catalog # PIC 010
Price: $3.99
NCR TECH REPORTS
New to high power, or looking for more information on a particular subject? North Coast offers these technical reports to help you out. Each report is $2.00.
Reports 1-5, 6-10, and 11-15 are available in bound sets; a deluxe set of TR-1 through TR-15 is also available.
**TR-1 through TR-5 Set**
Catalog # TR-1/TR-5
Price: $8.50
**TR-6 through TR-10 Set**
Catalog # TR-6/TR-10
Price: $8.50
**TR-11 through TR-15 Set**
Catalog # TR-11/TR-15
Price: $8.50
**Deluxe Tech Report Set (TR-1 through TR-15)**
Catalog # DTR-1
Price: $22.00
**NCR Tech Report #1**
*Clustering Black Powder Motors*
How to safely and reliably ignite clusters of black powder (i.e., Estes, MRC and FSI) motors using the latest techniques. Updated for the new Copperhead™ Igniters!
Catalog # TR-1
**NCR Tech Report #2**
*Clustering Composite Motors*
How to safely and reliably ignite clusters of composite (i.e., Aerotech) motors. Explores igniter installation techniques and flashbulb igniters in depth. Updated for the new Copperhead™ Igniters!
Catalog # TR-2
**NCR Tech Report #3**
*Model Rocket Adhesive Techniques*
An overview of available adhesives, how they work, and what are the best applications of each type.
Catalog # TR-3
**NCR Tech Report #4**
*Model Rocket Paint and Finishing Techniques*
An overview of paints and fillers available for rocket use. Includes comments on how to use each type.
Catalog # TR-4
**NCR Tech Report #5**
*Staging High Power Rockets*
Techniques on how to stage high power cluster rockets. An in-depth look at a subject few have published articles about. Updated for the new Copperhead™ Igniters!
Catalog # TR-5
**NCR Tech Report #6**
*Radio Transmitters and Rocketry*
An overview of transmitters developed for rocket use in the past 25 years, including the state-of-the-art XMTR-1.
Catalog # TR-6
**NCR Tech Report #7**
*Electronic Staging of Model Rockets*
How to build and use electronic staging systems such as the VEET-1, digital timers, and mercury switches.
Catalog # TR-7
**NCR Tech Report #8**
*Model Rocket Launch Control Systems*
An overview of launch control systems. An in-depth look at how to determine the right system for you. Includes relay systems, flashbulb safe launch controllers, and audible continuity systems.
Catalog # TR-8
**NCR Tech Report #9**
*The Care and Feeding of Rocket Launchers*
How to maintain and improve your current launcher. Includes painting, cleaning, helpful tools and transport.
Catalog # TR-9
**NCR Tech Report #10**
*Composites in Model Rocketry*
An in-depth essay of composite materials such as fiberglass, aramid, and carbon fibers, and how to best use each one in model rockets.
Catalog # TR-10
**NCR Tech Report #11**
*Supersonic Rocketry*
A detailed look at what design considerations and verification methods are required for supersonic flight. Includes a suggested design.
Catalog # TR-11
**NCR Tech Report #12**
*Mile High Rocketry*
How to design and fly rockets to altitudes in excess of a mile high. Includes a suggested design.
Catalog # TR-12
**NCR Tech Report #13**
*High Power Construction Techniques*
Detailed instructions on how to make through-the-wall fins, strong shock cord and motor mounts, and failsafe recovery systems that high power rockets require.
Catalog # TR-13
**NCR Tech Report #14**
*Advanced Finishing and Detailing Techniques*
This report shows how to put those perfect finishing touches on models. Advanced paint techniques, monokote trim sheets, and more are covered.
Catalog # TR-14
**NCR Tech Report #15**
*Basic Stability Considerations For Advanced Rockets*
An in-depth look at basic stability design and test methods that insure that your models fly safely.
Catalog # TR-15
*FOR ROCKETRY BOOKS, SEE PAGE 42*
AIRFRAME TUBES
North Coast Rocketry High Performance, High Strength Airframe Tubes are the industry standard. We built our business around these tubes, and we're sure you'll like them. Our tubes have thick walls so that they can take the power of E, F, G, and H motors without reinforcement. If you want strength, you've got it! If you want a lighter weight tube, the inner layer can be peeled out easily. All airframe tubes are glassine coated. They sand, prime, and paint very easily.
The BT-9 and BT-11 motor tubes are white wrapped for superior glue penetration. The BT-15 and BT-21 are extra thick for super strength as 1.5" and 2.125" motor mount tubes or minimum diameter airframes.
All airframe tubes are 34" in length.
| Catalog # | ID | OD | Thickness |
|-----------|------|-------|-----------|
| BT-7 | 0.72"| 0.76" | .020" |
| BT-9 | 0.95"| 1.00" | .025" |
| BT-11 | 1.14"| 1.21" | .035" |
| BT-15 | 1.53"| 1.65" | .060" |
| BT-18 | 1.80"| 1.88" | .040" |
| BT-21 | 2.14"| 2.26" | .060" |
| BT-23 | 2.36"| 2.44" | .040" |
| BT-26 | 2.62"| 2.70" | .040" |
| BT-39 | 3.89"| 3.97" | .040" |
| Catalog # | Price |
|-----------|-------|
| BT-7 | $2.50 |
| BT-9 | $3.50 |
| BT-11 | $4.00 |
| BT-15 | $5.00 |
| BT-18 | $5.00 |
| BT-21 | $5.50 |
| BT-23 | $5.50 |
| BT-26 | $5.50 |
| BT-39 | $6.00 |
MOTOR TUBES
Identical in construction to our airframe tubing, these motor tubes are available in shorter lengths for use as motor tubes.
| Catalog # | Tube | Length | Price |
|-----------|------|--------|-------|
| MT-7 | BT-7 | 3" | $0.75 |
| MT-9/6 | BT-9 | 6" | $1.00 |
| MT-11/6 | BT-11| 6" | $1.50 |
| MT-11/12 | BT-11| 12" | $1.75 |
| MT-15 | BT-15| 17" | $3.00 |
| MT-21 | BT-21| 17" | $3.50 |
Body Tubes Shown in Actual Size Diameters
AEROFOAM NOSE CONES
These are advanced technology nose cones available exclusively from North Coast Rocketry. They combine the light weight of balsa with the strength and ease of finishing that plastic provides. All cones are roughly a 4:1 ogive, and are compatible with all types of paint. The NC-39P is a lightweight, blow molded plastic nose cone.
| Catalog # | Fits Tube | Length | Shoulder Length | Price |
|-----------|-----------|--------|-----------------|-------|
| NC-9 | BT-9 | 4.25" | 1.0" | $2.50 |
| NC-11 | BT-11 | 4.50" | 1.25" | $3.00 |
| NC-18 | BT-18 | 7.25" | 1.75" | $4.75 |
| NC-23 | BT-23 | 8.50" | 2.25" | $5.75 |
| NC-26 | BT-26 | 8.50" | 2.25" | $7.50 |
| NC-39P | BT-39 | 16.0" | 2.00" | $16.00|
CENTERING RINGS
These high strength rings are made from aircraft plywood or Dura-Ply to adapt BT-9, BT-11, BT-15 or BT-21 motor tubes to larger diameter tubes. Great for scratch built designs.
| Catalog # | Fits Tube | Motor Tube | Price |
|-----------|-----------|------------|-------|
| CR-18-9 | BT-18 | BT-9 | $1.00 |
| CR-18-11 | BT-18 | BT-11 | $1.00 |
ENGINE BLOCKS
Spiral wound kraft paper rings to hold motors in place. These are a must for high power rockets, as you just can't count on tape to hold the motor in place. If you want the flexibility of using different length motors, epoxy them in as far in as your longest motor, and then use a tube coupler as a spacer for shorter motors.
| Catalog # | Fits | Price |
|-----------|------|-------|
| EB-7 | BT-7 | 5 for $2.00 |
| EB-9 | BT-9 | 5 for $2.50 |
| EB-11 | BT-11| 5 for $3.00 |
| EB-15 | BT-15| 1 for $1.00 |
| EB-21 | BT-21| 1 for $1.25 |
Don't forget!
You can get those parts you need QUICK!
Call (205) 883-6020
**MOTOR ADAPTERS**
For mounting smaller motors in larger diameter motor tubes, each motor adapter kit consists of two centering rings, motor tube, thrust ring, and instructions.
| Catalog # | Adapts: | Length | Price |
|-----------|--------------------------|--------|-------|
| MA-1 | 24 mm motors to 29 mm mount | 6" | $3.50 |
| MA-3 | 1.125" motors to BT-15 | 12" | $4.50 |
| MA-4 | 1.50" motors to BT-21 | 12" | $5.00 |
**TUBING COUPLERS**
Spiral wound paper couplers that fit inside our airframe tubing. For use as motor spacers or joining airframe sections.
| Catalog # | To Fit Tube | Length | Price |
|-----------|-------------|--------|-------|
| TC-7/1 | BT-7 | 1.0" | $0.50 |
| TC-7/2 | BT-7 | 2.0" | $0.75 |
| TC-9 | BT-9 | 1.5" | $1.00 |
| TC-11 | BT-11 | 2.0" | $1.00 |
| TC-15 | BT-15 | 3.0" | $1.50 |
| TC-18 | BT-18 | 3.0" | $1.50 |
| TC-21 | BT-21 | 4.0" | $1.75 |
| TC-23 | BT-23 | 4.0" | $1.75 |
| TC-26 | BT-26 | 4.0" | $2.00 |
| TC-39 | BT-39 | 6.0" | $3.00 |
**BULKHEADS**
Hollow tubing bulkheads are perfect for nose blocks and payload sections. These kits consist of a tubing coupler, pre-fit plywood backing plate, and a screw eye. These are stronger, lighter, and more durable than solid bulkheads.
| Catalog # | To Fit Tube | Length | Price |
|-----------|-------------|--------|-------|
| BH-9 | BT-9 | 1.5" | $2.50 |
| BH-11 | BT-11 | 2.0" | $3.00 |
| BH-18 | BT-18 | 3.0" | $3.50 |
| BH-23 | BT-23 | 4.0" | $3.75 |
| BH-26 | BT-26 | 4.0" | $4.00 |
| BH-39 | BT-39 | 6.0" | $5.00 |
**ADAPTER RINGS**
Spiral wound kraft paper adapter rings for mounting motor tubes into airframe tubes or larger motor tubes.
| Catalog # | Adapts | Length | Price |
|-----------|-----------------|--------|-------|
| CR-9 | BT-9 to BT-11 | 1.75" | $0.75 |
| CR-11 | BT-11 to BT-15 | 2.0" | $1.00 |
| CR-15 | BT-15 to BT-18 | 3.0" | $1.00 |
| CR-21A | BT-15 to BT-21 | 3.0" | $1.50 |
| CR-21B | BT-21 to BT-23 | 4.0" | $1.50 |
**LAUNCH LUGS**
The LL-3/16 is a white 3/16" launch lug just like everyone else sells. The LL-1/4, LL-3/8, and LL-1/2 are spiral wound brown kraft paper, that is glassine coated for better appearance and moisture resistance. They are perfect for high power rockets! Lugs come up to 6" in length and are available to fit all popular launch rod sizes. You can buy smaller lengths pre-cut, or buy a 6" length and cut it yourself.
| Catalog # | Fits Rod | Length | Price |
|-----------|----------|--------|-------|
| LL-3/16 | 3/16" | 1.5" | $0.25 |
| LL-1/4-1 | 1/4" | 1.0" | $0.50 |
| LL-1/4-2 | 1/4" | 2.0" | $0.50 |
| LL-1/4-3 | 1/4" | 3.0" | $0.50 |
| LL-1/4-6 | 1/4" | 6.0" | $1.00 |
| LL-3/8-2 | 3/8" | 2.0" | $0.50 |
| LL-3/8-3 | 3/8" | 3.0" | $0.50 |
| LL-3/8-6 | 3/8" | 6.0" | $1.00 |
| LL-1/2-2 | 1/2" | 2.0" | $0.75 |
| LL-1/2-3 | 1/2" | 3.0" | $0.75 |
| LL-1/2-6 | 1/2" | 6.0" | $1.25 |
North Coast Rocketry Recovery Supplies
PARACHUTES
These are the same high quality parachutes that go in all our kits. Simply the best in the business! Our parachutes are orange ripstop nylon that resists burning and does not "set" when stored folded up. Shroud lines are 60 lb test twisted nylon cord. The edges are serged to prevent fraying.
| Catalog # | Diameter | Price |
|-----------|----------|-------|
| PARA-18 | 18" | $8.00 |
| PARA-24 | 24" | $10.00|
| PARA-36 | 36" | $14.00|
| PARA-48 | 48" | $18.00|
STREAMERS
Bright orange ripstop nylon streamers are just the ticket for those high altitude flights that would drift too far on a parachute. These feature attachment loops at both ends.
| Catalog # | Width | Length | Price |
|-----------|-------|--------|-------|
| STR-1 | 4" | 40" | $8.00 |
| STR-2 | 6" | 60" | $10.00|
PARASTREAMS
A Parastream is a long streamer with a small parachute attached at the top. The idea is to get a fast descent rate, but not as fast as just a streamer. They are highly visible at long distances, and particularly suited for heavier high flying models, such as the Phantom 2600. They use 3/4 oz ripstop nylon construction and come with an 18" parachute.
| Catalog # | Width | Length | Price |
|-----------|-------|--------|-------|
| PS-4X40 | 4" | 40" | $12.00|
| PS-6X60 | 6" | 60" | $14.00|
SCREW EYES
Screw eyes for attaching recovery systems to either nose cones or bulkheads. Chrome plated, these are great for high power rockets.
| Catalog # | Length | Eye Size | Price |
|-----------|----------|----------|-------|
| SE-1 | 1 3/16" | 3/8" | $0.25 |
| SE-2 | 1 7/8" | 1/2" | $0.50 |
| SE-3 | 2 1/4" | 3/4" | $0.75 |
SHOCK CORD
Heat resistant, high strength elastic cord that is the best shock cord available. Don't mess around with anything else! Specify length that you want in yards.
| Catalog # | Width | Maximum Model Mass | Price Per Yard |
|-----------|-------|--------------------|-----------------|
| SC-1 | .25" | 12 oz | $1.00 |
| SC-2 | .50" | 24 oz | $1.00 |
| SC-3 | .75" | 48 oz | $1.25 |
| SC-4 | 1.0" | 60 oz | $1.50 |
TRIM MONOKOTE
For all of those out there who have asked us how we get such super finishes on our display models, Trim Monokote is the answer! Why fuss with masking tape, paint, primer and a lot of hassle, when making perfect models can be as easy as applying a sheet of Trim Monokote? The stuff looks great, is easy to work with, and can even be painted over! Each sheet is 5" wide x 36" long, which will cover a number of models. Please specify color.
| Catalog # | Price |
|-----------|-------|
| TMK-1 | $2.00 |
Available in the following solid colors:
Black, Red, White, Blue, Orange, Yellow, Chrome, and Gold
| Catalog # | Price |
|-----------|-------|
| TMK-2 | $2.25 |
Available in the following checkerboard patterns:
Red on White, Black on White, Red on Clear, Black on Clear
| Catalog # | Price |
|-----------|-------|
| TMK-3 | $2.50 |
Available in the following solid colors:
Day-Glo Red, Day-Glo Orange
PRISMA TRIM
This is a pressure sensitive, textured metalized film that reflects every color of the rainbow. Easily cut with scissors or a knife. Makes for spectacular effects, and really dresses up a model. Each sheet is 6" wide by 12" long.
| Catalog # | Price |
|-----------|-------|
| PRISM-1 | $5.00 |
Available in the following colors:
Red, Silver, Gold, and Blue
ADHESIVE MYLAR
This is a pressure sensitive, one mil thick metalized mylar film that contest modelers have grown to know and love. It's super for decoration, too! Each sheet is 9" wide by 12" long. Available in either silver or gold. Please specify color.
| Catalog # | Price |
|-----------|-------|
| AM-1 | $2.00 |
MULTI COLOR TRIM SHEETS
We took one look at this item and were immediately impressed! These are really great looking trim sheets that make model finishing a snap! Instead of just one color, these are multi colored to give the whole trim scheme in just one application. The sheets are available in one of three styles:
- Three Color Stripe (Type A)
(Outside Stripe is 3/8" wide, Second Stripe is 3/4" wide, and the Center Stripe is 3.5" wide)
- Horizontal Graduated Stripe (Type B)
- Vertical Graduated Stripe (Type C)
Each sheet is 6" wide and 27" long. Sheets can be cut into any sort of design and go well over all common paints. Let your imagination run wild with this one! All sheets are $6.00
| Catalog # | Color |
|-----------|-------|
| MCT-1A | Royal Blue/Medium Blue/Light Blue (Type A) |
| MCT-2A | Yellow/Orange/Flourescent Orange (Type A) |
| MCT-3A | Yellow/Orange/Red (Type A) |
| MCT-4A | Yellow/Red/Black (Type A) |
| MCT-5A | Red/White/Blue (Type A) |
| MCT-6B | Yellow/Red Blend (Type B) |
| MCT-7B | Light Blue/Dark Blue Blend (Type B) |
| MCT-8C | Yellow/Red Blend (Type C) |
| MCT-9C | Light Blue/Dark Blue Blend (Type C) |
NCR T-SHIRTS
You don't want to be without this attractive T-shirt with the North Coast logo! Let everyone know you're a high power flyer! Available in small, medium, large, extra large, and extra extra large. Please specify size when ordering.
| Catalog # | Price |
|-----------|-------|
| TS-1 (S, M, L, or XL) | $9.50 |
| TS-1 (XXL) | $11.50 |
NCR HATS
You've asked for them, so here they are! Attractive, one size fits all baseball hats with the North Coast Logo prominently displayed. The hats are blue with mesh tops for comfort in the hot sun.
| Catalog # | Price |
|-----------|-------|
| HAT-1 | $7.50 |
**COMPETITION BODY TUBES**
Competition modelers have different requirements than high power flyers, so we've designed some tubes especially for competition. These are light weight, easy to sand, and easy to finish. And, they beat the competition in price, too!
| Catalog # | ID | OD | Length | Price |
|-----------|------|-------|--------|-------|
| CBT-5/9 | .515"| .535" | 9" | $1.25 |
| CBT-5/18 | .515"| .535" | 18" | $2.00 |
| CBT-7/9 | .710"| .730" | 9" | $1.50 |
| CBT-7/18 | .710"| .730" | 18" | $2.50 |
**MICAFILM STREAMERS**
Micafilm is a tough light material that is very difficult to rip. Because of that, it makes good streamer material. When reliability counts, this is what you need. Available in common sizes. Red in color for maximum visibility in the air and on the ground. Includes anchor cord, adhesive strip and instructions.
| Catalog # | Width | Length | Price |
|-----------|-------|--------|-------|
| MSTR-1 | 4" | 40" | $4.00 |
| MSTR-2 | 6" | 60" | $5.00 |
| MSTR-3 | 8" | 80" | $6.00 |
**TRACKING POWDER**
Bright red powder in an easy to use squeeze bottle. Is great in the sky, and cleans up easy if you get it on you while handling it on the ground. Great for demos, too! Four ounce bottle.
| Catalog # | Price |
|-----------|-------|
| TRACK-1 | $3.00 |
**RED PARACHUTE MATERIAL**
Bright red lightweight plastic film that is ideal for parachute duration models. Comes in 24" x 78" length sheet. Good for approximately four 24" parachutes.
| Catalog # | Price |
|-----------|-------|
| RPM-1 | $5.00 |
**ROCKETRY BOOKS**
*Second Stage, Advanced Model Rocketry*
Authored by Mike Banks, this is a great addition to your collection if you're a "born again" rocketeer returning to the hobby after a few years away.
| Catalog # | Price |
|-----------|-------|
| BK-1 | $8.50 |
*Countdown, The Complete Guide to Model Rocketry*
By Mike Banks. A good book to get started in rocketry with. Lots of illustrations and helpful techniques.
| Catalog # | Price |
|-----------|-------|
| BK-2 | $16.95|
*The Rocket Book*
A basic rocketry book by Bob Cannon and Mike Banks. Great if you want a refresher of the basics. Lots of photos.
| Catalog # | Price |
|-----------|-------|
| BK-3 | $12.95|
**FOR TECHNICAL REPORTS, SEE PAGE 36**
FLASHBULB IGNITERS
The traditional flashbulb igniter has been taken one step further! These are pre-made for your convenience. Why bother wiring your own, when you can buy these? They feature 12" leads.
| Catalog # | Price |
|-----------|-------|
| FB-1 | $1.25 |
ELECTRIC MATCHES
Offered exclusively by North Coast, these electric matches have a greater amount of pyrogen to insure ignition. These igniters feature small diameter heads to fit most motors (including D12s), and 60" leads. For spectacular, reliable ignition, these are great. Check them out with your launch system before installing into your rocket motor; some electrical systems will set them off during the continuity check.
| Catalog # | Price |
|-----------|-------|
| EM-1 | $1.50 |
THERMALITE WICK
For special ignition challenges, we offer fast or slow thermalite wick in 36" lengths. The fast type typically burns at 5" per second; the slow at 1.25". For use with electrical ignition systems only!
| Catalog # | Rate | Price |
|-----------|--------|-------|
| TMW-1 | (Fast) | $3.50 |
| TMW-2 | (Slow) | $3.50 |
PYROPAK™ ELECTRIC MATCHES
Offered exclusively by North Coast, these are an absolute must for reliable flying. Throw away your Solar Igniters and start using these—no more misfires! Use in 1/2A—D size motors. These electric matches have 3" leads. Ten per pack.
| Catalog # | Price |
|-----------|-------|
| PPEM-1 | $6.75 |
COPPERHEAD™ IGNITERS
Here's the revolutionary new single lead igniter from Aerotech. Can be used in all motors—just pick the correct length. The Copperhead igniter is by far the easiest igniter to install in composite motors. An Interlock™ clip is required to use. Use CH-2 in 1/2A—D size motors; CH-4 in D and E motors, and CH-8 in F and G motors. Six per pack.
| Catalog # | Length | Price |
|-----------|--------|-------|
| CH-2 | 2" | $1.75 |
| CH-3 | 4" | $2.59 |
| CH-8 | 8" | $3.39 |
INTERLOCK™ IGNITER CLIP
Use with the Copperhead™ Igniter for fast, easy hookups!
| Catalog # | Price |
|-----------|-------|
| IC-1 | $3.39 |
TADPOLE COUNTOUR SANDING GRIPS
These new contour sanding grips are the easy way to sand small radius curves such as rounding fin edges. Just match the grips size to the surface to be sanded, wrap with sandpaper, grip, and sand. Can be used with all grades of sandpaper. Made of neoprene rubber for long life.
Concave Set:
Four different concave radius tools in a set (1/4", 3/8", 1/2", and 5/8"), perfect for rounding leading edges.
| Catalog # | Price |
|-----------|-------|
| TP-11 | $3.95 |
Convex Set:
Four different convex grips (5/8", 1/2", 3/8", 1/4"), perfect for sanding fillets, as well as a 1" wide flat grip and a sanding pad.
| Catalog # | Price |
|-----------|-------|
| TP-2 | $4.95 |
Deluxe Set:
Includes both of the above sets.
| Catalog # | Price |
|-----------|-------|
| TP-1 | $7.95 |
Below: A typical Electric Match (left) and Flashbulb Igniter (less thermalite wick).
How To Order
BY TELEPHONE...
You may place your order with North Coast Rocketry by using our convenient phone hot line, 1-205-883-6020. This number can be used 24 hours a day. To talk to Robyn or Matt in person, try to call from 7-10 PM Central Time during the week, or all day Saturday. We can ship phone orders using Visa, Master Card, or COD. To make it easy when you order, be sure to have the catalog numbers and quantities ready when you call.
SHIPPING...
North Coast Rocketry will normally ship all orders within a short as possible period after receipt. On occasion, if a product is temporarily out of stock, we will notify you within 30 days. Your order will be filled as soon as possible, but in no event, later than 90 days after receipt of your order. If your order cannot be filled within 90 days, your money will be cheerfully refunded. We don't have to do this very often, though.
BY MAIL...
Please use our order form when making an order by mail. New order forms will be sent with each purchase. Be sure to add the appropriate handling and shipping fees.
Please include your full name and shipping address, including zip code and phone numbers. Our preferred method of shipment is via United Parcel Service, but orders with a post office box may be sent via the mail. Check or money order for payment in full must be included with your order. Please make checks payable to North Coast Rocketry.
Send all orders to:
North Coast Rocketry
P.O. Box 24468
Mayfield Heights, OH 44124
RESPONSIBILITY...
North Coast Rocketry and its suppliers certify that they have exercised reasonable care in the design and manufacture of their products. As NCR can not control the storage or use of its products, we can not assume any responsibility for product storage, transport, or use. The buyer assumes all risks and liabilities therefore, and accepts and uses the products based on these conditions. No warranty, either expressed or implied, is made regarding these products, except for the replacement of those products which are determined by us to be defective in manufacture.
By ordering from North Coast Rocketry, the buyer understands and acknowledges the above paragraph, and agrees to to hold harmless North Coast Rocketry from any claim arising from use or association of their products.
(This is all legal gobbledegook, but we have to put it in. In other words, it means "If you buy from us, you assume all risks and liabilities". That's reasonable, isn't it?)
PROBLEMS...
All inquiries will be personally answered promptly. If you have a problem with a North Coast Rocketry product, please let us know.
Before we ship a product to you, we carefully inspect it to insure that it is in perfect condition. If it arrives in less than perfect condition, call us at (205) 883-6020. We are more than upset when anything comes between our service and your satisfaction. If UPS damages the box or parts inside, you'll have to call them, too. They have the responsibility to fix your problem. But call us, so we can expedite shipment of your replacement items.
If you have to return an item to the plant, please send it to: North Coast Rocketry, 5500 Kenbridge Dr., Highland Heights, OH 44143. If you have a copy of the receipt, please send it along. It'll help us with our records, but it's not necessary to get your replacement order processed.
Thank you for ordering!
Prices and Specifications subject to change without notice.
North Coast Rocketry Order Form
SHIP TO:
Name _______________________________________________________
Address _____________________________________________________
City __________________________ State ______ Zip ____________
Age _________ NAR # ___________ Tripoli # _________________
Day Phone _________________________________________________
Evening Phone _____________________________________________
Signature _________________________________________________ Date ___________
*ALL CREDIT CARD ORDERS MUST INCLUDE PHONE NUMBER AND SIGNATURE.
Payment Method: □ Check □ Money Order □ COD □ MasterCard □ Visa
Credit Card Number
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Month Year
ALL ORDERS MUST BE ACCOMPANIED BY PAYMENT IN U.S. FUNDS.
| Quantity | Catalog # | Description | Unit Price | Total Price |
|----------|-----------|-------------|------------|-------------|
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INFORMATION
Orders will be shipped by UPS Ground. Please allow 4 weeks for mail orders and 2 weeks for telephone orders. UPS Next Day and Second Day Air services are available on COD or credit card card orders. The actual shipping fee will be added. Please remember that motors can not be shipped by air.
SHIPPING & HANDLING FEES
| Amount | Fee |
|--------------|-------|
| Up to $25.00 | $4.00 |
| $25.01 - $100.00 | $5.00 |
| Over $100.00 | $7.50 |
| COD (add to above chgs) | $5.00 |
Subtotal
Credits or Balance Due
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Total Enclosed
THANK YOU FOR YOUR ORDER!
North Coast Rocketry Mailer
Fold Here First
From:
TO:
North Coast Rocketry
P.O. Box 24468
Mayfield Heights, OH 44124
Hasten!
Fold Here Last
The National Association of Rocketry (NAR) is the official non-profit national organization for model rockets. Model rockets are, by definition, rockets weighing less than 1500 grams, and having less than 125 grams of propellant on board at lift off. The NAR establishes safety rules, certifies records, publishes technical literature, sponsors contests, and promotes model rocketry.
The NAR plays a big role in getting legislation changed and in educating the public about rocketry. The biggest reason to join, however, is to meet the people involved. There's a broad spectrum of people, from astronauts and professional engineers, to shoe salesmen and auto workers. Everyone has an interesting story to tell, a unique design, and a "secret project" that they'll share with you.
North Coast Rocketry is a big supporter of the National Association of Rocketry. As a matter of fact, Matt is an elected Trustee in the Association. NCR also helps sponsor national meets, conventions, and international contests.
Dues are reasonable. For members under 21 years of age, the dues are $15.00; for those 21 or over, the dues are $25 per year. Your membership entitles you to a one year subscription to *American Spacemodeling* Magazine, a Membership Decal, and a NAR Technical Services catalog. Also available is $100,000 personal and $1,000,000 club liability insurance. And, you can have the fun of meeting other NAR members through local, regional and national level events.
To join the NAR, write to: National Association of Rocketry, 1311 Edgewood Dr., Altoona, WI 54720
(Prices and address subject to change.)
---
Tripoli is the official rocketry organization for people who are looking for fun in rockets larger than what is endorsed by the NAR. Advanced, non-professional rocketry is based on the same principles that model rocketry is, only scaled up to H, I, J and beyond. As with model rockets, motors are bought from certified manufacturers, and rockets are non-metallic in construction. Tripoli is not a basement bomber "amateur" rocketry association. Instead, they are a group of people who want to fly rockets larger than 1500 grams.
Tripoli membership is $25.00 per year. That membership will entitle you to a subscription to the *Tripolitan* journal. Once you are a member, you earn the right to build and fly high power models by having another Tripoli member or official "certify" that you have the skills and experience necessary to fly these larger models. Once you have become certified, you may buy the Class 1.3C motors of your choice.
North Coast Rocketry also actively supports Tripoli. Chris Pearson has been awarded a lifetime membership on the basis of his early support and efforts on behalf of the organization.
Tripoli also sponsors local and national level events. These are often quite spectacular, with many high powered birds being flown in a single day. They are often worth attending, even if you just want to watch.
To join, send your money to: Tripoli Rocketry Association, P.O. Box 40475, St. Petersburg, FL 33743
(Prices and address subject to change.)
NORTH COAST ROCKETRY
NO ONE OFFERS THE ADVANCED ROCKETEER MORE!
NORTH COAST ROCKETRY
P.O. BOX 24468
MAYFIELD HEIGHTS, OH 44124
BULK RATE
U.S. POSTAGE PAID
HUNTSVILLE, AL
PERMIT NO. 316 |
Premetazoan genome evolution and the regulation of cell differentiation in the choanoflagellate *Salpingoeca rosetta*
Stephen R Fairclough\(^1\)\(^*\), Zehua Chen\(^2\)\(^†\), Eric Kramer\(^3\), Qiandong Zeng\(^2\), Sarah Young\(^2\), Hugh M Robertson\(^4\), Emina Begovic\(^1\), Daniel J Richter\(^1\), Carsten Russ\(^5\), M Jody Westbrook\(^1\), Gerard Manning\(^3\), B Franz Lang\(^5\), Brian Haas\(^2\), Chad Nusbaum\(^2\)\(^†\) and Nicole King\(^1\)\(^*\)
**Abstract**
**Background:** Metazoan multicellularity is rooted in mechanisms of cell adhesion, signaling, and differentiation that first evolved in the progenitors of metazoans. To reconstruct the genome composition of metazoan ancestors, we sequenced the genome and transcriptome of the choanoflagellate *Salpingoeca rosetta*, a close relative of metazoans that forms rosette-shaped colonies of cells.
**Results:** A comparison of the 55 Mb *S. rosetta* genome with genomes from diverse opisthokonts suggests that the origin of metazoans was preceded by a period of dynamic gene gain and loss. The *S. rosetta* genome encodes homologs of cell adhesion, neuroepitope, and glycosphingolipid metabolism genes previously found only in metazoans and expands the repertoire of genes inferred to have been present in the progenitors of metazoans and choanoflagellates. Transcriptome analysis revealed that all four *S. rosetta* septins are upregulated in colonies relative to single cells, suggesting that these conserved cytokinesis proteins may regulate incomplete cytokinesis during colony development. Furthermore, genes shared exclusively by metazoans and choanoflagellates were disproportionately upregulated in colonies and the single cells from which they develop.
**Conclusions:** The *S. rosetta* genome sequence refines the catalog of metazoan-specific genes while also extending the evolutionary history of certain gene families that are central to metazoan biology. Transcriptome data suggest that conserved cytokinesis genes, including septins, may contribute to *S. rosetta* colony formation and indicate that the initiation of colony development may preferentially draw upon genes shared with metazoans, while later stages of colony maturation are likely regulated by genes unique to *S. rosetta*.
**Background**
Metazoan multicellularity and development are rooted in basic mechanisms of cell adhesion, signaling, and differentiation that were present in the unicellular and colonial progenitors of metazoans. Reconstructing the evolution of metazoans from their single celled ancestors promises to illuminate one of the major transitions in evolutionary history, while also revealing fundamental mechanisms underlying metazoan cell biology and multicellularity. Although the first metazoans evolved over 600 million years ago, insights into their biology and origin may be gained through the comparison of metazoan genomes with those of their closest living relatives, the choanoflagellates [1-3]. Indeed, the genome of the first sequenced choanoflagellate, the single-celled species *Monosiga brevicollis*, provided evidence that diverse protein domains characteristic of metazoan signaling and adhesion proteins (for example, tyrosine kinase (TK), cadherin, and Hedgehog (Hh) domains) evolved before the divergence of choanoflagellates and metazoans [2].
The evolution of metazoans from their single-celled ancestors is hypothesized to have involved a transition through a colonial intermediate [4,5], the Urblastea, which...
may have been composed of choanoflagellate-like cells [5] (Figure 1). The rosette-shaped colonies formed by the choanoflagellate *Salpingoeca rosetta* evoke the hypothesized Urblastea (Figure 1a, b). In addition to rosette colonies, the life history of *S. rosetta* includes diverse cell types and morphologies, including linear chains of cells ('chain colonies'), slow and fast swimmer cells, and thecate cells that attach to substrates through a secreted structure called a theca (Figure 1c) [6]. The diversity of these forms is comparable to the number of cell types observed in sponges and placozoans [7]. Therefore, sequencing the *S. rosetta* genome would provide an opportunity to investigate how genome evolution and cell differentiation in the ancestors of metazoans and multicellular choanoflagellates laid the foundations for metazoan cell biology and development. Furthermore, comparisons between the genomes of *M. brevicollis* and *S. rosetta* offer the opportunity to investigate the genetic bases of multicellularity in choanoflagellates. To these ends, we have sequenced and analyzed the *S. rosetta* genome and transcriptome during multiple key phases in the *S. rosetta* life history.
**Results and discussion**
The approximately 55 Mb *S. rosetta* genome was sequenced to 33x average coverage with a combination of Sanger and 454 technology and assembled into 154 scaffolds with an N50 average length of 1.52 Mb (Table S1 in Additional file 1). The genome assembly is largely complete, capturing approximately 96% of transcripts assembled *de novo* from RNA-seq data (Table S2 in Additional file 1). Predicted telomeres were found at both ends of 21 scaffolds and 24 additional scaffolds contain a single telomeric end, suggesting that *S. rosetta* has a minimum of 33 chromosomes (Table S3 in Additional file 1). A starting set of *ab initio* gene predictions generated by the Broad Institute annotation pipeline trained with ESTs (generated by Sanger chemistry) was refined using 21 Gb of transcriptome sequence (generated by Illumina chemistry) collected from diverse life history stages (Additional file 1, Figure S1). This gene catalog contains 11,629 genes, of which 98% are supported by transcriptome sequence data (Table S1 in Additional file 1). Aligning the protein sequences from this gene set to the *M. brevicollis* protein set revealed 4,994 orthologous pairs, yet the two species display relatively little gene synteny (Figure S14 in Additional file 1).
To reconstruct the gene contents of the progenitors of metazoans and choanoflagellates, we compared the genomes of *S. rosetta* and *M. brevicollis* [2] with the sequenced genomes of 32 representative metazoans and metazoan outgroups (Table S4 in Additional file 1). Evolutionary relationships among genes from different genomes were predicted using OrthoMCL2 [8] to identify 'ortholog clusters' (Additional files 2 and 4). The 11,629 genes of *S. rosetta* fall into 9,411 ortholog clusters (that is, some ortholog clusters contain multiple *S. rosetta* genes). The evolutionary history of each ortholog cluster was inferred by mapping its distribution onto a reference phylogeny (Figure 1a), allowing us to gain insight into the composition of ancestral genomes and patterns of gene gain and loss in the lineages leading to metazoans, choanoflagellates, and fungi (Figure 2; Additional file 5). Gene families and protein domains of particular interest were also curated manually (see, for example, Figures S7 to S9, S13 and Tables S6 and S8 in Additional file 1).
The genomes of the ancestors ('Ur-'; Figure 1a) of metazoans and opisthokonts (metazoans + choanoflagellates + fungi) were each predicted to have contained members of about 10,000 ortholog clusters. While nearly 20% (1,843) of the ortholog clusters from the Uropisthokont were lost along the lineage leading to the Urmetazoan, this lineage also experienced an equivalent amount of gene gain (Figure 2). In contrast, fungi and choanoflagellates apparently lost representation from 33% (3,372) and 47% (4,747) of the ancestral Uropisthokont ortholog clusters, respectively, but experienced only half as much gene gain. The *S. rosetta* genome also reveals that *M. brevicollis* has lost an additional 1,343 genes. Therefore, the *S. rosetta* genome sequence substantially clarifies the gene content of the Urchoanimal. Future sequencing of additional choanoflagellate genomes will further refine inferences about the gene content of the Urchoanimal, presumably by reducing the number of genes thought to be metazoan. Nonetheless, patterns of gene gain and loss based on currently sequenced genomes speak to the richness of the gene complement in the Uropisthokont [3] and emphasize the role that gene birth may have played in the evolution of biological novelties such as metazoan multicellularity.
Therefore, we next characterized the 5,706 ortholog clusters that appear to have evolved along the stem lineage leading to metazoans (Additional file 3). These metazoan-specific ortholog clusters include homologs of genes that regulate cell adhesion, including δ-catenin and β-laminin, as well as genes involved in the transforming growth factor (TGF)-β and Wnt developmental signaling pathways. Many of the core components of the TGF-β and Wnt signaling pathways (for example, TGF-β, TGF-β receptor, Smad, Wnt, Wntless, β-catenin, and TCF) were identified in every metazoan genome included in our analysis, underscoring their early evolution and fundamental importance to metazoan biology.
Genes shared between choanoflagellates and metazoans were present in the progenitors of metazoans and may have contributed to the genomic foundations of the origin of metazoans. We find that the evolution of the
Figure 1 *Salpingoeca rosetta* as a model for studying the ancestry of metazoan multicellularity. (a) Choanoflagellates are the closest living relatives of Metazoa [1,3,68]. Taxonomic groupings are indicated above the phylogeny and the last common ancestors of each group are indicated as colored circles at nodes. The topology of the reference phylogeny was based on a consensus of results from [68-70]. Branches were collapsed at the base of Metazoa to reflect current uncertainty about the identity and branch order of the most basal metazoan phyla [69,71-73]. The black, yellow, and green colored nodes are used in both figures 1 and 2 to represent the Urmetazoan, Urchoanimal, and Uropisthokont, respectively. (b) The evolution of metazoans from their single-celled ancestors is hypothesized to have involved a transition through a simple colonial form, such as Haeckel’s Blastea (left, from Figure 117 of [4]) or Nielsen’s Choanoblastea (center, from [5]), that resembles the rosette colonies formed by *S. rosetta* (right). (c) *S. rosetta* can transition through at least five morphologically and behaviorally differentiated cell types (d’summary). Cells that attach to a substrate (Th) can produce solitary swimming (Sw) cells or solitary fast-swimming (FS) cells, either through cell division or theca abscission. Solitary swimming cells can divide completely to produce solitary daughter cells or remain attached after undergoing incomplete cytokinesis to produce either chain colonies (CC), or rosette colonies (RC) in the presence of the bacterium *Alginiphagus machipongonensis* (asterisk) [6,18,64]. Fili, Filasterea, Cho, Choanoflagellates.
monophyletic ‘Choanoimal’ clade (which contains choanoflagellates and metazoans, and is not to be confused with the paraphyletic ‘Choanozoa’ (see Endnote a)), was marked by a disproportionate gain of genes with Gene Ontology terms [9] for metazoan cell adhesion and cell-junction organization (Table S5 in Additional file 1), including cadherins, PAT1 (a component of adherens junctions) and KANK/vab-19 (an ankyrin repeat protein required for proper embryonic epidermal elongation and muscle attachment to the epidermis in *Caenorhabditis elegans* [10]). Ortholog clusters involved in metazoan neuroepitope signaling and glycosphingolipid metabolism also increased in abundance (Table S5 in Additional file 1). In addition, the *S. rosetta* genome, like that of *M. brevicollis*, contains a diverse and abundant repertoire of TKs (see Endnote b) [2,11,12] (Additional file 6). Ninety percent of the *S. rosetta* cytoplasmic TKs are conserved in the *M. brevicollis* genome, and *S. rosetta* has homologs of two adhesion-associated cytoplasmic TKs, FAK and Fer, that were apparently lost in *M. brevicollis* (Table S6 in Additional file 1). In contrast, only 21% of receptor TKs (RTKs) from *S. rosetta* and *M. brevicollis* form orthologous pairs. The added sequence diversity provided by the *S. rosetta* genome also revealed that choanoflagellates may have divergent homologs of metazoan Eph RTKs that were not originally detected in the *M. brevicollis* genome. Eph RTKs are key regulators of cell migration during development, regulating cellular organization through differential cell repulsion and adhesion [13]. Their discovery in *S. rosetta* lays the foundation for investigating core and ancestral functions of these important receptors.
The *S. rosetta* genome now provides a platform for investigating the regulation of cell differentiation in choanoflagellates and the potential evolutionary connections between the cell biology of choanoflagellates and metazoans. Therefore, we analyzed the transcriptional profiles of samples enriched in each of four different *S. rosetta* cell types: thecate cells, swimming cells (a mix of slow and fast swimmers), chain colonies, and rosette colonies (Figure 1c; Figure S1 in Additional file 1; Additional file 7). Using three independent analytical approaches we identified 480 *S. rosetta* genes that were consistently upregulated in colonies (chains and rosettes) compared to solitary cells (swimming and thecate) and 1,410 genes that were consistently upregulated in thecate cells relative to swimming solitary cells and colonies (Figures S2, S3 and S4 in Additional file 1; Additional files 8 to 13). For example, in colonies and thecate cells distinct subsets of TKs, cadherins (notable for their roles in metazoan cell signaling and adhesion)
and Hh-domain containing proteins (see Endnote c) were significantly upregulated (Figures S5, S6, and S12 in Additional file 1), although their functions in these contexts are unknown.
Perhaps most illuminating was the observation that all four members of the *S. rosetta* septin gene family were significantly upregulated in colonies (Figure 3a). Septins, conserved GTPases that regulate cytokinesis in fungi and metazoans, were first identified in yeast through a screen for cytokinesis defects; septin mutants frequently failed to undergo proper cytokinesis and therefore exhibited multicellular phenotypes [14]. Metazoan septins also stabilize intercellular bridges such as midbodies and ring canals [15,16]. During metazoan cytokinesis and in intercellular bridges, a set of specific septin monomers polymerize to form cytoskeletal filaments [17]. The four *S. rosetta* septins have conserved amino acid residues on predicted interacting surfaces, suggesting they may also form filaments (Figure 3b; Figures S7 and S8 in Additional file 1). Interestingly, *S. rosetta* homologs of other midbody-associated proteins and septin regulators, including Aurora kinase, the scaffolding protein Anillin, and Polo kinase, are also significantly upregulated in colonies (Figure 3a). The coordinated upregulation of septins and septin regulators is notable because colony development in *S. rosetta* occurs by incomplete cytokinesis, such that neighboring cells remain physically linked by intercellular bridges (Figure 3c) [6,18].
The genes that regulated cell differentiation in the progenitors of metazoans may have provided the foundations for the spatiotemporal regulation of cell differentiation that underpins metazoan development. Therefore, understanding the evolutionary history of genes differentially expressed in different *S. rosetta* cell types may suggest which cell types are most conducive to the study of metazoan origins. Of the 11,628 genes in the *S. rosetta* genome, at least 57% were present in the Uroplastid host, 5% arose on the Urchonanimal stem, 6% are choanoflagellate-specific, and 31% are apparently unique to *S. rosetta* (Figure 4a; Table S7 in Additional file 1). The evolutionary histories of genes upregulated in specific cell types deviated significantly from this distribution. For example, thecate cells disproportionately upregulated genes that evolved within choanoflagellates, after their divergence from the metazoan stem lineage (Figure 4b; Table S7 in Additional file 1). Therefore, the unusual morphology and transcriptional profile of thecate cells suggest that important aspects of their biology may be unique to choanoflagellates. Colony development, in contrast, has potential relevance for understanding the regulation of early metazoan multicellularity. Colonies develop from a subset of solitary swimming cells [6], so the most likely regulators of colony development are the 352 genes that are specifically upregulated in both solitary swimming cells and in colonies (Figure 4c; Table S7 in Additional file 1). Interestingly, this set is highly enriched in genes that are exclusively shared with metazoans and that presumably evolved along the Urchonanimal stem lineage. Genes involved in the maintenance of mature colonies, as opposed to those involved in regulating early colony development, would be expected to be specifically upregulated in colonies (Figure 4d; Table S7 in Additional file 1), but not in the single cells from which they develop (Figure 4e; Table S7 in Additional file 1). This set was enriched in genes unique to *S. rosetta*. Taken together, these data led us to hypothesize that the initiation of *S. rosetta* colony development draws upon genes shared with metazoans, while later stages of colony maturation are regulated by genes that are unique to *S. rosetta*.
**Conclusions**
Although the progenitors of metazoans expired over 600 million years ago [19,20], genome comparisons between metazoans and their closest relatives, the choanoflagellates, can offer detailed insights into the evolutionary foundations of metazoan genomes and gene families [20]. The *S. rosetta* genome refines the catalog of metazoan-specific genes and highlights the potential relevance of key gene families to the evolution of defining features of metazoan biology. Genes with a variety of evolutionary histories - including highly conserved genes with functions that are integral to eukaryotic cell biology, genes that evolved before the choanimals and that were subsequently co-opted to new metazoan-specific functions, and new genes whose evolution may have served as key innovations - shaped the evolution of metazoans from their protistan ancestors [21,22]. With this more complete gene catalog, it is now possible to reconstruct the ancestry of metazoan gene families in unprecedented detail (for example, Figures S6 and S9 in Additional file 1, and [23,24]). The *M. brevicollis* genome sequence previously revealed that diverse protein domains in metazoan signaling and adhesion genes, including cadherin, Hh, and TK, evolved before the origin of metazoan multicellularity [2]. The *S. rosetta* genome now reveals that the Urchonanimal genome contained representatives of at least eight metazoan TK gene families (Table S6 in Additional file 1), including the developmentally important Eph RTKs, and raises questions about their ancestral functions in the Urchonanimal [25,26].
In addition to expanding gene family representation, the *S. rosetta* genome also sheds light on the pathways in which these genes are traditionally thought to operate. For example, while some components of the TK and Hh developmental signaling pathways are conserved in choanoflagellates (for example, Src, Eph RTK, and Patched), others are not. Therefore, the evolution of these pathways
Figure 3 Septins are upregulated in colonial cells. (a) Unlike the average for all genes in the genome, septins, the septin-associated Polo and Aurora kinases, and Anillin are each significantly upregulated in colonial cells. FPKM, fragments per kilobase per million reads; Error bars are standard error: *P < 0.05, **P < 0.01. (b) Conserved and similar residues shared between S. rosetta septins and human septins (red) on monomer surfaces predicted to interact in human septin filaments [74] suggest that S. rosetta septins also form filaments. (c) Septins regulate cytokinesis in metazoans and fungi [14,16], providing a potential connection to the narrow intercellular bridges (arrowhead), likely formed through incomplete cytokinesis, that connect neighboring cells in S. rosetta colonies.
Figure 4 Different *S. rosetta* cell types disproportionately upregulate genes with different evolutionary histories (a) The majority (57%) of *S. rosetta* genes are ancient and evolved prior to the divergence of choanoflagellates, metazoans and fungi. An additional 9% of *S. rosetta* genes emerged along the stem lineage leading to *S. rosetta* and metazoans and 6% evolved along the choanoflagellate stem lineage. Thirty-one percent of genes in the *S. rosetta* genome are apparently unique to *S. rosetta*. (b-e) The evolutionary history of *S. rosetta* genes upregulated in different cell types (pie charts) and the percent enrichment (y-axis) relative to the *S. rosetta* genome (bar graphs). Color code: red, *S. rosetta*-specific genes; blue, genes restricted to choanoflagellates; yellow, genes uniquely shared by choanoflagellates and metazoans; green, genes restricted to opisthokonts. (b) Thecate cells. (c) Colonies and swimming cells. (d) Colonies (rosettes and chains). (e) Swimming cells. **P < 0.01.
along the metazoan stem lineage likely involved an as-yet undefined combination of protein domain shuffling, gene cooption, and evolution of new protein-protein interactions [2,27] that promises to be further elucidated by the continued study of diverse early-branching metazoans, choanoflagellates and other metazoan outgroups [24,28]. In contrast, components of the Wnt pathway have not been identified in any sequenced non-metazoan genome, including those of *S. rosetta* and *M. brevicollis*, suggesting that the pathway did not evolve until after the divergence of metazoans and choanoflagellates [29–31]. A sponge classical cadherin has proven capable of binding *in vitro* [23] to its cognate β-catenin, a Wnt pathway effector, suggesting that at least a portion of the critical interactions in the Wnt pathway evolved before the Cambrian radiation. Given the ubiquity of Wnt pathway components in metazoans and their essential roles in regulating embryonic patterning in diverse animals, it is therefore possible that the evolution of the Wnt pathway was critical to the early evolution of metazoans.
Finally, the *S. rosetta* genome offers the opportunity to investigate whether choanoflagellate colony formation and metazoan development are regulated by conserved mechanisms. The upregulation of conserved genes and gene families in colonies, such as septins, cadherins, and Hh-related proteins, is intriguing and warrants further investigation to fully understand their current and ancestral functions. Taken together, the *S. rosetta* genome and transcriptome suggest that the genome of the last common ancestor of choanoflagellates and metazoans contained genes and domains that orchestrate development in modern animals but underwent important changes in gene content and regulation *en route* to the evolution of the first metazoan. Further refinement of ancestral genomes through comparative genomics with additional choanoflagellate genomes and functional efforts in choanoflagellates and sponges promises to reveal the minimal set of genes required for metazoan development and multicellularity.
**Materials and methods**
**Salpingoeca rosetta** culture conditions
*S. rosetta*, a colonial choanoflagellate originally isolated from Hog Island, Virginia, was cultured with co-isolated bacteria at 25°C in natural seawater infused with cereal grass media [32]. The strain sequenced in this study is deposited at the ATCC under strain number ATCC PRA-366.
**Isolation of S. rosetta genomic DNA**
Genomic DNA was harvested from a monoclonic culture of *S. rosetta* in which the sole source of bacteria was *Algoriphagus machipongonensis* [6]. *S. rosetta* DNA was separated from the *A. machipongonensis* DNA on a CsCl gradient as described for the genome sequencing of *M. brevicollis* [2].
**Genome sequencing**
Purified *S. rosetta* genomic DNA was sequenced with 454 and Sanger Whole Genome Shotgun methodology as described below.
**454 sequencing**
454 fragment and approximately 3 kb jumping libraries were generated as previously described [33]. In short, *S. rosetta* genomic DNA was sheared into small fragments, approximately 600 bp for fragment and approximately 3 kb for jumping libraries. For fragment library construction DNA was ligated on both ends with 454 sequencing adapters. For 3 kb jumping library construction, DNA was ligated with biotinylated adapters on both ends to facilitate circularization. Adapted DNA was circularized, sheared and resulting fragments were ligated on both ends with 454 sequencing adapters. Library fragments containing biotin were retrieved using streptavidin beads. Both library types were subjected to emulsion PCR and sequenced with approximately 400 base titanium chemistry reads using a 454 GS FLX instrument following the manufacturer's recommendations (454 Life Sciences/Roche, Branford, Connecticut, USA).
**Sanger sequencing**
Genomic DNA was sheared and cloned into plasmid (4 kb and 10 kb insert) and Fosmid (40 kb) vectors using standard methods. Resulting whole genome shotgun libraries were paired-end Sanger sequenced using standard methods.
**Genome assembly**
454 data were first assembled using 454’s Newbler assembler [34]. 454 assembly was then combined with Sanger data using the HybridAssemble [35] module of the ARACHNE assembler [36]. The assembly was then manually modified to close additional gaps and break misassembled joins using ARACHNE tools.
**Telomere identification**
Six supercontigs containing telomeric ends (Table S3 in Additional file 1, fourth column) were identified by searching the genome assembly for TTAGGG repeats. Examination of the subtelomeric regions of these six supercontigs did not reveal genes that are shared at the other telomeres below, so they appear to be aberrant or newly formed telomeres without the subtelomeric repeated regions of most telomeres.
Additional telomeric supercontigs were identified by searching the raw reads from the approximately 40 kb insert fosmids with 1,000 bases of TTAGGG repeats. The mate pairs of the first 250 such hits, all of which were in plus/minus arrangement, indicating that they
were from telomeres, were then searched against the supercontigs to identify telomeric supercontigs. This search revealed 41 such supercontigs (fifth column of Table S3 in Additional file 1), including four of the six with assembled TTAGGG repeats. Clearly this is an underestimate of the number of telomeres, both because only four of the six assembled ones were identified, and because this search yields a Poisson distribution of such hits (fifth column of Table S3 in Additional file 1), ten of which were only hit once. From the average positions of the mate-pair hits within each supercontig it was possible to estimate the length of DNA missing between the assembly and the TTAGGG repeats of the telomere, and this is shown in the sixth column of Table S3 in Additional file 1.
Examination of these 37 telomeric supercontigs without assembled TTAGGG repeats revealed that all but a few of them have regions repeated on most of the others (seventh column in Table S3 in Additional file 1). The few exceptions are instances where the gap between the end of the supercontig and the TTAGGG repeats is near the 40 kb insert size of the fosmids, so presumably the shared subtelomeric regions are within this missing part. This approach allowed us to discover 22 additional telomeric supercontigs.
**Genome annotation**
Protein-coding genes were initially annotated using a combination of *ab initio* predictions (GeneMark.hmm-ES, AUGUSTUS, GlimmerHMM), protein sequence homology-based evidence (blast, GeneWise), and transcript structures built from ESTs using the PASA package [37]. The package EVM (EVidenceModeler) [38] was used to build gene models from all available input evidence. The obtained gene models were further improved by incorporating RNAseq data from eight different conditions using PASA and inchworm pipelines to get a final gene set [39,40]. Gene models were also annotated with gene ontology terms using Blast2Go (Additional file 14) and interPro2GO (Additional file 15), and gene ontology enrichment was measured with Ontologizer 2.0 using default settings correcting for multiple testing.
**Synteny analysis**
Protein sequences from *S. rosetta* and *M. brevicollis* were aligned using BLAST [41].
Best reciprocal BLAST pairs with a score cutoff of 75 were considered orthologs.
Predicted protein orthologs were mapped back to their genomic loci using BLAT [42] and plotted against the scaffolds with R to investigate synteny between the *S. rosetta* and *M. brevicollis* genomes.
**Tyrosine kinase annotation**
Manual annotations for the *S. rosetta* kinases were made through BLAST [41], multiple sequence alignments, hidden Markov models, presence or absence of accessory domains and phylogenetic trees. *S. rosetta* kinases were compared to nine previously annotated kinomes: *Homo sapiens* [43], *Mus musculus* [44], *Strongylocentrotus purpuratus* [45], *Drosophila melanogaster* [46], *C. elegans* [47], *Amphimedon queenslandica* [30], *Monosiga brevicollis* [48], *Saccharomyces cerevisiae* [49], and *Selaginella moellendorffii* [50].
**Septin characterization**
The final gene predictions for the *S. rosetta* genome included five septin domain encoding genes (PTSG_04106, PTSG_06009, PTSG_07215, PTSG_04363 and PTSG_04364) as predicted by Pfam [51]. A gap in the assembly suggested that PTSG_04363 and PTSG_04364 might be one gene. PCR amplification from a *S. rosetta* cDNA library using specifically designed primers (5’TCAACGAAACGATTCTCAAGC and 5’GTGGTCCGAGTTGTGCACCT) confirmed this and the two gene models were merged into a new gene model (PTSG_04364*) (Figure S7 in Additional file 1). Conserved septin-specific residues, including the amino-terminal polybasic region, were identified manually while coiled-coil domains were predicted using the COILS program using the default settings [52]. Sequences with average probabilities below 0.8 were not considered to have coiled-coil domains (Figure S8 in Additional file 1).
**Septin structure prediction**
The structure of each *S. rosetta* septin was predicted using LOOPOP (version 4.0) available through the University of Texas [53,54]. Individual *S. rosetta* septin structures were loaded into MacPyMol [55] and similar residues determined using NCBI BLAST [41] alignment and colored red. Each structure was then aligned to the crystal structure of the human septin filament (accession 2QAG in the Protein Data Bank).
**Phylogenetic analyses**
The four *S. rosetta* septin sequences were added to a septin alignment from Momany *et al.* [56] in order to establish putative gene homology assignments (Figure S8 in Additional file 1). The sequences were aligned using the Clustal Omega multiple sequence alignment program [57] and variable sequence regions were systematically removed using Gblocks [58] with the most lenient parameters: Minimum Number Of Sequences For A Conserved Position, 81 (b1 = 81); Minimum Number Of Sequences For A Flanking Position, 81 (b2 = 81); Maximum Number Of Contiguous Nonconserved Positions,
8 (b3 = 8); Minimum Length Of A Block, 5 (b4 = 5); Allowed Gap Positions, With Half (b5 = h); Use Similarity Matrices, Yes (b6 = y); New number of positions, 210 (15% of the original 1,360 positions). A maximum likelihood analysis was performed on the resulting alignment of 183 amino acid characters using PHYLML v.3.0 [59]. The WAG substitution model [60] was implemented with a mixed model of rate heterogeneity and four rate categories where the fraction of invariable sites and the gamma distribution parameter alpha were estimated from the data set. Bootstrap support (100 replicates) was estimated for the single resulting tree topology (Figure S9 in Additional file 1).
**Reconstructing gene gain and loss in opisthokonts**
To characterize how gene content changed during the evolution of the opisthokonts, ortholog clusters were mapped to a reference phylogeny [61,62] using a Dollo parsimony model of evolution [63] and the minimal gene content at each node and the change along the subsequently diverging lineages was estimated.
**Cell type enrichment**
Solitary swimming (Sw) cells were isolated from the supernatant fraction of cultures grown in the presence of mixed bacteria, but not *A. machipongonensis* [18].
Thecate (Th) cells were collected from cultures by removing the supernatant, washing three times with 10 ml of culture media and removing the attached cells from the plate surface with a plastic cell lifter.
Cultures consisting primarily of chain colonies (CC) were generated by diluting 2 ml of cells from the supernatant of solitary swimming (Sw) cells into 15 ml fresh medium every day for 1 to 2 weeks.
Cultures consisting primarily of rosette colonies (RC) were produced using two different strategies. In the first approach, a culture of solitary swimming (Sw) cells was inoculated with live *A. machipongonensis* bacteria [18], which induces the development of rosette colonies (RC) that became the dominant form in the culture within 2 days [6,18,64]. Rosette colonies (RC) were also isolated from cultures grown exclusively with live *A. machipongonensis* [6].
**RNAseq**
Total RNA was isolated from *S. rosetta* cultures using the RNeasy (Qiagen, Venlo, The Netherlands) kit and four consecutive rounds of oligo-dT hybridization, washing, and elution with Oligotex kit (Qiagen) were used to purify mRNA. Purified mRNA was treated with Ambion Turbo DNA-free (Life Technologies, Carlsbad, California, USA) per the manufacturer’s recommendation. The integrity of the mRNA was assessed using an Agilent 2100 Bioanalyzer (Agilent Technologies, Santa Clara, California, USA) and quantified using RNA Quant-it assay for the Invitrogen Qubit Fluorometer (Life Technologies, Carlsbad, California, USA).
Strand specific dUTP Illumina RNA-seq libraries were generated from 200 ng mRNA as previously described [65] with the following modifications. mRNA was fragmented in 1x fragmentation buffer (Affymetrix, Santa Clara, California, USA) at 80°C for 4 minutes, purified and concentrated to 6 µl following ethanol precipitation. Illumina sequencing adapters containing 8-base barcodes were ligated to each sample, enabling pooling of libraries. Adaptor ligation was done with 1.2 µl of barcoded Illumina adaptor mix and 4,000 cohesive end units of T4 DNA Ligase (New England Biolabs, Ipswich, Massachusetts, USA) overnight at 16°C in a final volume of 20 µl. Final library insert size ranged from 225 to 425 bp. Libraries were sequenced with 68 base paired-end reads on an Illumina GAII instrument (Illumina, San Diego, California, USA) following the manufacturer’s recommendations.
**Identification of differentially expressed genes**
**Pairwise comparison**
To identify genes differentially expressed in a particular cell type and control for environmental variation, we compared gene expression in different fractions of the same culture. All genes identified by this method have a statistically significant difference in at least 30% of the comparisons, with the remaining comparisons showing the same trend.
**Colonial versus thecate**
Read count was compared between samples (RCA1 versus ThA2, RCA2 versus ThA2, RCAM versus ThAM, RCAM versus ThM, CCM versus ThA2, CCM versus ThAM, CCM versus ThM) using edgeR installed under Bioconductor v2.8 and a gene was considered differentially expressed between colonial cells and attached cells if it was significantly differentially expressed (*P*-value < 0.05) in at least three comparisons and had a fold change greater than 1.5 in the remaining comparisons.
**Colonial versus swimming**
Read count was compared between samples (RCA1 versus SwM, RCA2 versus SwM, RCAM versus SwM, CCM versus SwM) using edgeR installed under R Bioconductor v2.8 [66] and a gene was considered differentially expressed between colonial cells and swimming cells if it was significantly differentially expressed (*P*-value < 0.05) in at least two comparisons and had a fold change greater than 1.5 in the remaining comparisons.
**Attached versus swimming**
Read count was compared between samples (ThA2 versus SwM, ThAM versus SwM, ThM versus SwM) using edgeR installed under R Bioconductor v2.8 [66] and a gene was considered differentially expressed between attached cells and swimming
cells if it was significantly differentially expressed ($P$-value < 0.05) in at least one comparison and had a fold change greater than 1.5 in the remaining comparisons.
**Group comparison**
RNAseq read count was compared between groups of samples using edgeR installed under R Bioconductor V2.8 [66] and genes are considered differentially expressed with $P$-value < 0.05. The comparisons include: Colony versus thecate (RCA1, RCA2, RCAM, CCM versus Tha2, ThAm, ThM); Colony VS Swim (RCA1, RCA2, RCAM, CCM versus SwM); Thecate versus Swim (ThA2, ThM, ThAm versus SwM).
**Hierarchical clustering**
FPKM values (fragments per kilobase per million reads) for each gene were log2 transformed, quantile normalized, and filtered requiring $\text{Max}(\log_2(\text{FPKM})) - \text{Min}(\log_2(\text{FPKM})) > 2$. The filtered gene set was clustered hierarchically using the gplots package installed under R Bioconductor V2.8 [66], and 22 initial clusters were manually identified. Genes from these clusters were scored as colony, swimming, thecate, colony and swimming, thecate and swimming, and colony and thecate based on their expression patterns (Figure S2 in Additional file 1).
**OrthoMCL**
Predicted protein sets for 34 genomes (Table S4 in Additional file 1) were generated from the longest protein greater than 30 amino acids for each gene. Then all-vs-all blastp [41] (E-value < 1E-5) was run on the filtered proteins and the OrthoMCL2 [61] pipeline was used to build ortholog clusters with default parameters.
**Reconstructing gene gain and loss in opisthokonts**
To characterize how gene content changed during the evolution of the opisthokonts, ortholog clusters from OrthoMCL2, including single gene clusters, were mapped to a reference phylogeny [61,62] using a Dollo parsimony model [63]. The minimal gene content at each node and the change along the subsequently diverging lineages were then catalogued. The presence or absence of gene families and protein domains mentioned in the text were manually verified using homologs from NCBI homologene and BLASTP and tBLASTN (cutoff e10^{-5}) [41].
**Ortholog cluster origin enrichment analysis**
Ortholog clusters were annotated as ancient, choanimal, choanoflagellate or *S. rosetta*-unique based on the cluster member most distantly related to *S. rosetta*. The relative frequencies of phylogenetic annotations were calculated for the entire *S. rosetta* genome (Figure 4a). Expression clusters were tested for phylogenetic enrichment by comparing their annotation counts to frequencies for the entire genome. Annotation counts were assumed to follow a multinomial distribution, which was validated through a Monte Carlo simulation (data not shown).
A jackknifing analysis was run to test the sensitivity of phylogenetic enrichment to the species included (Figure S10 in Additional file 1): 10,000 trials were run, each with a random set of species. *S. rosetta* and *M. brevicollis* were included in all trials. Each of the 32 remaining species had an 80% probability of being included in any given trial. The OrthoMCL2 algorithm was rerun for each species set to generate new clusters. Annotation frequencies were recalculated for the entire genome and the expression clusters were tested for phylogenetic enrichment.
The MCL algorithm was run an additional 19 times to test the sensitivity of the results to the inflation parameter of the MCL algorithm (Figure S11 in Additional file 1). Values for inflation ranged from 1.1 to 3. All 34 analyzed species were included.
**Data availability**
Raw 454 genome sequence data have been submitted to NCBI's Short Read Archive and can be retrieved using the following accession numbers; fragment reads (SRX015529, SRX015528, SRX015527, SRX015526, SRX015525, SRX015524, SRX015523, SRX015522, SRX015521, SRX015515, SRX015514, SRX015512, SRX015511, SRX015503, SRX015502, SRX015499, SRX015498, SRX015486, SRX015485, SRX015484, SRX015483, SRX015482, SRX015487, SRX015456); and 2 to 3 kb jumping reads (SRX015500, SRX015505, SRX015501, SRX015464, SRX015463, SRX015458). Raw Sanger sequence data have been submitted to NCBI's Trace Archive and can be retrieved using the following search parameters: CENTER_NAME = "BI" and CENTER_PROJECT = "GI237". The genome assembly was submitted to NCBI with accession number ACSY00000000. Genome sequence and transcriptome sequence have been deposited in GenBank under project codes PRNA37927 and SRP005692, respectively. A genome browser is available at the Broad Institute website [67].
Raw sequence data from Illumina sequencing of cell-type enriched transcriptomes has been submitted to NCBI's Short Read Archive using the following accession numbers: RCAM, SRX042054 (NK96-sup - culture enriched for colonial cells grown in the presence of mixed bacterial prey and *A. machipongonensis*); SwM, SRX042053 (Col-sup - solitary swimming cells grown in the presence of mixed bacterial prey); ThA2, SRX042052 (Pxd-att - culture enriched for solitary attached cells grown only in the presence of *A. machipongonensis*); ThAM, SRX042051 (NK96-att - culture enriched for solitary attached cells grown in the presence of mixed bacterial prey and *A. machipongonensis*); ThM, SRX042050 (Catt - culture enriched for solitary attached cells grown in
the presence of mixed bacterial prey); RCA1, SRX042049 (colonies - culture enriched for colonial cells grown only in the presence of *A. machipongonensis*); CCM, SRX042047 (Chains - culture enriched for chain cells grown with mixed bacterial prey); RCA2, SRX042046 (Pxl-sup - culture enriched for colonial cells grown only in the presence of *A. machipongonensis*).
**Additional material**
**Additional file 1: Figures S1 to S14 and Tables S1 to S8.** Figure S1: transcriptional profiling experimental design. Figure S2: differentially expressed genes, identified by hierarchical clustering. Figure S3: identification of upregulated genes. Figure S4: gene expression correlates with cell type. Figure S5: *S. rosetta* cadherin expression. Figure S6: Hedgehog signal domain-encoding genes are upregulated in thecate and colonial cell types. Figure S7: protein domain architecture of *S. rosetta* sepsins. Figure S8: gene sequence comparison. Figure S9: sepsin gene family phylogeny. Figure S10: ortholog cluster organization is robust to species composition. Figure S11: ortholog cluster origin enrichment is robust to changes in MCL (Markov Cluster algorithm) species inflation value. Figure S12: expression levels of receptor tyrosine kinase families. Figure S13: the phylogenetic distribution of important metazoan development genes or domains. Figure S14: synteny between the *S. rosetta* and *M. brevicaulis* genomes. Table S1: *S. rosetta* and *M. brevicaulis* genome statistics. Table S2: mapping of de novo transcript assembly. Table S3: telomeres predicted in the *S. rosetta* genome. Table S4: genomes used for comparative genomics. Table S5: Gene Ontology enrichment of *S. rosetta* genes. Table S6: *S. rosetta* tyrosine kinases. Table S7: phylogenetic distribution of gene families in different cell types. Table S8: genes missing from choanoflagellate.
**Additional file 2: Number of ortholog pairs shared between *S. rosetta* and *M. brevicaulis* scaffolds.**
**Additional file 3: The number of genes present in each of the OrthoMCL ortholog clusters.**
**Additional file 4: The genes present in each of the OrthoMCL ortholog clusters.**
**Additional file 5: OrthoMCL ortholog clusters predicted to be present in the ancestors reconstructed in Figure 2.**
**Additional file 6: Kinases identified in the *S. rosetta* genome.**
**Additional file 7: Read counts and FPKM values (fragments per kilobase per million reads) for genes encoded by the *S. rosetta* genome.**
**Additional file 8: Differentially expressed genes identified by hierarchical clustering.**
**Additional file 9: Differentially expressed genes identified by pairwise comparison.**
**Additional file 10: Differentially expressed genes identified by group comparison.**
**Additional file 11: Genes identified as upregulated in colonial cells.**
**Additional file 12: Genes identified as upregulated in thecate cells.**
**Additional file 13: Genes identified as upregulated in swimming cells.**
**Additional file 14: Blast2GO annotation of *S. rosetta* genome.**
**Additional file 15: Interpro annotation of *S. rosetta* genome.**
**Abbreviations**
bp: base pair; Hh: Hedgehog; RTK: receptor tyrosine kinase; TGF: transforming growth factor; TK: tyrosine kinase.
**Competing interests**
The authors declare no competing financial interests.
**Authors’ contributions**
SF and NK conceived the project, SF setup experiments, harvested samples, and prepared DNA and RNA for sequencing. CR managed sequencing and data deposition. SY assembled the genome. HR annotated telomeres. BH and QD annotated the genome. ZH, DR and SF analyzed annotation. EK and GM annotated and analyzed Tks. EB, EW, and SF analyzed Septins. BH assembled RNA-seq transcripts. ZH and SF analyzed expression data. EK and SF analyzed morphology and expression patterns. SF and NK wrote the manuscript with significant input from ZC, EB, GM, BH, and CN. All authors read and approved the final manuscript.
**Acknowledgements**
We thank the Broad Institute Genomics Platform for sequence data generation. This work was supported by funding from NIH NHGRI U54HG003967, NICGS R01 GM089977 (NK), an American Cancer Society Research Scholar Grant (NK), the Gordon and Betty Moore Foundation Marine Microbiology Initiative (NK), NIH Training Grant T32 HG 00047 (SFR), a National Defense Science and Engineering Graduate Fellowship (DJR), and NIH R01 GM090164 (GM). NK is a Fellow of the Banting and Best Medical Biodiversity Program of the Canadian Institute for Advanced Research.
**Endnotes**
*The term 'Choanosa' first coined by Shalchian-Tabrizi et al. [75] refers to the paraphyletic group that contains *Capsaspora owczarzaki* and choanoflagellates, but excludes metazoans.*
*5. *S. rosetta* tyrosine kinases*
The *S. rosetta* genome encodes 469 protein kinases. The 376 serine/threonine kinases are generally well conserved between *M. brevicaulis* and *S. rosetta* (Table S6 in Additional file 1). In contrast, the Tks seem to be more variable. The *S. rosetta* genome has undergone large numbers of gains and losses (Table S6 in Additional file 1). Comparison of the 93 *S. rosetta* and 135 *M. brevicaulis* Tks suggests a core choanoflagellate tyrosine kinase of approximately 51 kinases, with extensive gains and some losses in the two species. The Fer and FAK kinases appear to have been lost in *M. brevicaulis*, as they are found in *S. rosetta*, *owczarzaki*, and *Capsaspora owczarzaki*. Fer and FAK both regulate cell adhesion and motility, suggesting that *M. brevicaulis* has lost some ancestral cell-adhesion functions.
The *S. rosetta* sequences allow an improved classification of both choanoflagellate tyrosine kinases, resulting in six new families of RTKs (RTKs-I to VI) and the discovery of a new family of RTKs (RTKs-VII) among the previously unique TKs. The additional sequences also indicate homology between some choanoflagellate and metazoan RTKs. Eph RTKs are found in both species, and several other RTKs are weakly Eph-like. More tentatively, the new RTK family may be orthologous to the insulin/IGF-1R family, although it has only partial similarity to the extracellular regions of metazoan insulin receptors.
The cytoplasmic (non-receptor) TKs are evolutionarily stable between *M. brevicaulis* and *S. rosetta*, with 90% of kinases in common, the only differences being one extra CTKA and FYTK in *M. brevicaulis*, and the loss of FAK and Fer from *M. brevicaulis*. The large family of 15 HMRTKs is completely conserved between *M. brevicaulis* and *S. rosetta* choanoflagellates. The receptor TKs are more evolutionarily dynamic, with eight families specific to *M. brevicaulis*, three families specific to *S. rosetta*, and only 21% of all RTKs orthologous between the two sequenced choanoflagellates. Another eight TK families (UTKA-H) could not be classified as cytoplasmic or receptor, and the 'TK-Unique' kinases have no clear homologs between the two species.
As with other genes, we see that *S. rosetta* Tks that are conserved with *M. brevicaulis* tend to be more highly expressed in attached cells, while those unique to *S. rosetta* are more highly expressed in rosette colonies (Figure S12 in Additional file 1).
*5. *S. rosetta* cadherins and hedging protein diversity*
The *S. rosetta* genome is predicted to encode 29 proteins containing cadherin domains [23], a number that is comparable to the complement of cadherins found in the genomes of *M. brevicaulis* and many animals (including 17 in *D. melanogaster* and 32 in *C. intestinalis*) [76]. While cadherins are well known for their roles in cell adhesion and intercellular signaling [77], their functions in choanoflagellates are unknown. Two *S. rosetta* cadherins, PTSG_06458 and PTSG_06068, are upregulated in colonies relative to single cells and an additional six are upregulated in thecate cells relative to colonies (Figure S5 in Additional file 1).
Two of the six cadherins that are upregulated in thecaete cells are homologs of Hedgehog. Hedgehog proteins are conserved among choanoflagellates, sponges, and cnidarians proposed to be the evolutionary ancestors of the metazoan developmental signaling protein Hh [22,27]. Unlike canonical metazoan Hh proteins (which contain an amino-terminal Hh signal domain and a carboxy-terminal autocatalytic HINT domain), Hedgehog proteins are large transmembrane proteins that contain an amino-terminal Hh domain, an adjacent prodomain, and a carboxy-terminal domain; some also contain tumor necrosis factor receptor, Furin, and epidermal growth factor domains, although these are not universally conserved [27,8]. Prior to the sequencing of the S. rosetta genome, the choanoflagellate Hedgehogs were the only known non-metazoan Hh-domain containing proteins. With the sequencing of the S. queenslandica genome, we have discovered five additional non-Hedgehog proteins that contain Hh domains. A surprising feature of these proteins and all Hedgehogs, including those from the sponge Amphimedon queenslandica and the cnidarian Nematostella vectensis, is the positioning of the Hh domain immediately adjacent to a WWA domain; this pairing may represent an ancient caspase-like domain and also encodes the genes from which metazoan Hh evolved. Four of the remaining domain-containing proteins also have a predicted transmembrane domain and these proteins are all upregulated in thecaete cells (Figure 56 in Additional file 1). The remaining three Hh domain-containing proteins are relatively small, contain an amino-terminal signal sequence, and lack a transmembrane domain; these proteins are currently not upregulated in colonial cells where they may act as secreted ligands. Like M. brevis, the S. queenslandica genome also encodes homologs of Patched, the Hh receptor in metazoans, allowing the possibility that the Hh-Patched interaction preceded the origin of metazoans.
Author details
1Department of Molecular and Cell Biology, University of California Berkeley, Berkeley, CA 94720, USA. 2Broad Institute of MIT and Harvard, Cambridge, MA 02141, USA. 3Department of Computational Biology, Genentech, 1 DNA Way, South San Francisco, CA 94080, USA. 4Department of Entomology, University of Illinois at Urbana-Champaign, Urbana, IL 61801, USA. 5Department de Biochimie, Universite de Montreal, Montreal, Quebec, Canada
Received: 13 November 2012 Revised: 30 January 2013 Accepted: 18 February 2013 Published: 18 February 2013
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doi:10.1186/gb-2013-14-2-r15
Cite this article as: Fairclough et al.: Premetazoan genome evolution and the regulation of cell differentiation in the choanoflagellate *Salpingoeca rosetta*. *Genome Biology* 2013 14:R15. |
Rhuddlan Town Council – Minutes of the meeting on the 13th December 2018
Present:
Cllr Gareth Rowlands (Mayor in the Chair)
Cllr Arwel Roberts (Deputy Mayor)
Cllr Ann Davies
Cllr Gareth Smith
Cllr Heather Ellis
Cllr Mike Elgin
Cllr Mike Kermode
Cllr Reg Davies
Cllr Syd Gaskin
Town Clerk.
1. Apologies
Cllr Jackie Burnham
Cllr Andy Smith
Three members of public were present
2. Declaration of Interest.
Cllr Ann Davies: Item 12 – Member of Denbighshire County Council Planning Committee.
Cllr Ann Davies: Items 14a & 14b - Rhuddlan Community Group.
Cllr Gareth Smith: Items 14a & 14b - Rhuddlan Community Group.
The Mayor asked permission for Part 2 to be discussed at this stage of the meeting. Members unanimously agreed. The minutes are included under Item 15.
Complaint
Before proceeding to the next item, The Mayor explained that he had received a complaint from a Member about a fellow Member.
I received a request to meet with regard to a complaint about a fellow Councillor and I quote
We would like to raise the following -
Code of Conduct for member’s inappropriate comments at public meetings. At this point I tried to persuade the complainant to put the complaint in writing they did not want to do this.
The Clerk and I had a meeting with the complainant. Having listened to the complaint and have since spoken to the Councillor concerned we concluded that there was nothing untoward here, it was said in the heat of the moment whilst giving a report and being interrupted by a fellow Councillor (more on interrupting and cutting across later).
The Clerk and I have decided that no further action will be taken. However, if Councillors are not happy about our decision you are welcome to put your complaint in writing to the Clerk who will forward it to the Monitoring Officer.
Furthermore, any future complaint, if any, will need to be sent to the Monitoring Officer at Denbighshire County Council not to the Clerk or The Mayor. The complaint will need to be in writing as per the code of conduct.
With regard to the running of the Council Meetings and the Code of Conduct I have endeavored to run a fair and unbiased meeting to try and get a flow to the meeting but it has become apparent that this is not working.
Councillors need to revisit the Code of Conduct and read it to remind themselves how we should behave and treat not only your fellow Councillor but everyone in life.
The incident that I mentioned earlier would never have happened if a Councillor had not cut across while another Councillor was giving a report, so I ask in future that you do not interrupt while someone is speaking but indicate to the Chair of your need to speak, also please don’t take matters into you own hands by shouting across the chamber.
Please vent your dissatisfaction through the Chair who will take the appropriate action.
Having said all this let us move on to the positives as what has happened is a distraction from what we are here for, that is to be planning ahead and working as a team for the benefit of our community.
All members need to understand the work that the Town Council is trying to achieve i.e. improving the Town of Rhuddlan for residents and visitors. Therefore, communication needs to be open, honest and respectful. Members need to feel free to express their thoughts, opinions and potential solutions to problems but also need to be heard and listened to by every team member.
This does not mean you will win every discussion or argument but we need to do it in a polite and dignified way.
We’ll have a chance before the precept meeting in January to come up with schemes/ideas a wish list for the next financial year. They don’t have to be big schemes, often it’s the little changes that make a big difference to residents e.g. tarmac footpath at Vicarage Lane play area, new seating, planting bulbs about the town, etc. However, if these goals are to be achieved, we must, as a Town Council put our personal thoughts to one side and seriously think of why we are here, by singing from the same hymn sheet and working together otherwise Rhuddlan Town Council will take a retrograde step and all our hard work over the last few years will be lost and total waste of time and effort by all.
3. Police matters
No report received.
4. Minutes
The minutes of 8th November 2018 were accepted subject to 17a. which needs to include “subject to costings being submitted to a future meeting”.
Matters Arising
a. Cold Calling Zones
Ian Millington, Public Protection Business Manager in Denbighshire County Council to attend a Town Council meeting in March.
b. Woodland Bench
In the last meeting a request had been received from Mr McCormick to install a woodland bench in Twtil. It was resolved that the Town Clerk make enquires with Cadw as they are custodians of the land to ask for their view and consent; the same enquiry to be made to Countryside Section of Denbighshire County Council. The Countryside Officer for Denbighshire County Council has given consent and Cadw are willing to meet on-site to discuss a different location as the current location is the site for the annual re-enactment. It was resolved to arrange an on-site meeting.
c. Memorial Bench
In the last meeting, a request has been received from Mr David Williams to have a memorial seating bench to be located outside the Community Centre in memory of his late brother. It was resolved unanimously to agree to this request subject to securing permission. However, Denbighshire County Council have turned down the request to have the bench located outside the Community Centre due to limiting public access.
Members felt that a memorial bench would not be appropriate in other locations and the Town Clerk is to arrange an on-site meeting with Denbighshire County Council, David Williams and the Mayor.
d. Fresh Air Gym
Users of the Fresh Air Gym have been experiencing problems with dog mess on the lower part of the equipment which creates a problem of removing the mess before they even start exercising. Denbighshire County Council can mark the pitch for approximately £40 which should act as a deterrent with regards to dogs accessing the site. It was resolved to go ahead with the pitch marking.
A letter was sent to Denbighshire County Council to make sure that they monitor the area and carry out fines when necessary. The response was that since Kingdom withdrew their services Denbighshire County Council are looking to engage a new contractor to enforce environmental crime, this process could take months. In the
meantime any complaints regarding dog muck to be reported to Denbighshire County Council via Customer Services. It was resolved to send a letter to police Station to ask the PCSO’s to patrol the site.
e. Blodeuo
800 daffodil bulbs have been planted in Nant Close. The Mayor thanked the volunteers who helped with this. One member requested if there is a possibility of having daffodils planted in on the green patch by the footbridge. The Mayor said that the next time the Town Council get daffodils, then they will be planted in this area.
f. Castle Lights
Members were asked to consider asking Cadw to change the timer so that the lights on the Castle come on earlier in the evening. It was resolved that the Mayor to go and see the Custodian to ask if the lights can come on at 4.30 p.m. and alter the time as we get closer to Spring.
With regards to replacing the current floodlight with a higher lux for £2,199 that would light the South corner of the Castle it was resolved not to go ahead with this.
5. Correspondence from:
5a. The Mayor
This report was accepted.
The Mayor stated that there is no provision for Deputy Mayor to give a report on civic duties attended as support to the Mayor. It was resolved that there be an item for the Deputy Mayor on future agendas.
5b. The Town Clerk.
This report was accepted.
It was also reported that the two defibrillators supplied by the Town Council are in good working order.
Thanks to Cllr Reg Davies for providing a splendid Christmas Tree.
5c. Natural Resources Wales
This report had been pre-circulated for information.
5d. Mrs Edge
Correspondence received from Mrs Edge requesting to place a memorial plaque on a tree on the corner of Highlands Road and Rhyl Road. It was resolved to inform Mrs Edge to submit the request to the Highway Operations & Streetscene Manager (North) of Denbighshire County Council as this is County Council land.
5e. Customer Services Assistant Manager
A Quarterly Report on the library had been pre-circulated for information. Members recognise the good work that is going on in the library.
5f. J Fray & R Smith
Correspondence received requesting the Town Council to put a wider edge on the new parking bay for people with disabilities to help with safer access. Cllr Gareth Smith to forward to the Town Clerk information on criteria and standards in relation to the design of a disabled parking bay. It was resolved to paint another hatched area on the other car parking space to overcome the problem.
6. County Council Members Report.
Cllr Ann Davies
- Rhuddlan by Pass
I have now received the Noise survey assessment report on the Rhuddlan by pass. The purpose of the report was to define the noise levels in the area, and to establish the typical noise levels which effects the residencies adjacent to the A 525 during the daytime and night time. I am now arranging a meeting with a highway officer to discuss further.
- Child Care
A Welsh government Child Care Package will be available in Denbighshire as from 7th January 2019. Residents can apply online.
- Affordable Housing
I am campaigning across the ward to get people to register for affordable housing if they want to get on the housing ladder. This is particularly important for first time buyers and those who want to rent / buy. A government scheme is also available to assist with initial deposits.
- December 2018 Carers Events
NEWCIS organised a very successful Carers day event in Rhyl, this brings organisations together annually to help Carers know their rights, raise awareness and help Carers to access support and information. This year’s theme was “Caring For Your Future”.
Carers Christmas lunch was held at Ruthin Castle and attended by over 80 Carers/cared for. HAFAL organised two lovely events for Carers at RHUDDLAN LIBRARY. One event was a coffee morning with holistic therapy and nail painting by a Dyserth beautician.
December 10th A wonderful Christmas afternoon tea was prepared for Carers. Card making was also available.
I was delighted to be present at all the above events and to meet with the Carers.
- Finally, I would like to wish you all a happy, healthy and peaceful Christmas and New Year.
County Councillor Report – Cllr Arwel Roberts
- Heddiw cefais gyfle i fod yn bresennol mewn cynhadledd i holl gyngorwyr y Sir. Today I had an opportunity to be present in a Corporate Parenting Forum in County Hall. Every councillor is a cooperative parent and we were given facts about children in the County’s care. An example of good and successful work done by Children’s Services in Denbighshire. Fostering was mentioned and respite Services. Some cases are very challenging – children with significant disabilities – indeed complex needs. The County has responsibility for some cases when children are 25 years old. We were informed that a young person was left at Rhyl Railway Station when he was fourteen whilst his mother and stepdad moved back to Rochdale. A young person like him/her costs the County £3,558 to £4,500 a week, over £200k a year.
- Last week as Learning Disabilities Champion I had a chance to visit Canol y Dre Centre Rhuthun – a Centre for adults who have complex needs. I have a cousin who has such needs he is now 65 and lives in the county of Conwy.
- Information :- Low Vision Service Wales. If you have impaired vision we can help you make the most of your sight - phone 01267 248793 www.eyecare.wales.nhs.uk.
- I met Mrs Elizabeth Hanmer one morning whilst I was in County Hall, she informed me that she was visiting Rhuddlan. Mrs Hanmer is the High Sheriff of Clwyd. Since this chance meeting I have been informed that she was invited by the Rhuddlan Environment Group.
- As a County Councillor and Group Leader I accepted the invitation from the Chair of the County Council to be present in his special concert in St Asaph Parish Church. An hour before my wife and I left we received a message from the Mayor requesting that we could represent the Town Council also in the Concert. We accepted the honour gladly.
- Dementia is now on the County’s Cooperative Plan. Our town and others such as Denbigh, Prestatyn and Rhyl are leading with the aim of providing support to people living with Dementia. It was an honour to present the group’s (Dementia Friendly Group) activities in St Mary’s Church last Sunday morning the 9th of December in a special service organised by the elders of the church. I have sent my notes to the Clerk which were given orally to the congregation.
• At last the proposed parking restrictions are to be changed. The new times will be on Vicarage Lane, High Street and Marsh Road soon. The latter will also have new tarmac on its surface in the new year.
One member commented on the High Sherriff’s visit to Rhuddlan and said that the Environment Group has done a lot of good work with youth groups in the community and it was resolved that a letter to be sent to the Chairperson, commending the Group on their good work and the Town Council welcome working with the Environment Group on future projects.
9. Welcome signs for Rhuddlan
The Mayor, Deputy Mayor and the Town Clerk had met with Officers from Denbighshire County Council Highways & Environmental Services with regards to installing new signs on Abergele Road. There are a few options there are being costed by Denbighshire County Council:
- Locating the sign in by Lowlands where there is a wide verge.
- Locating the sign on the south side past the bungalows.
- Use the 40 mph signs as a gateway feature into Rhuddlan.
A member had seen a comment by a resident on Facebook and stated that there is a grammatical error on the current signs saying “Croeso i Rhuddlan” and that it should be “Croeso i Ruddlan”. Members agreed that the current signs are correct.
10. Tarmac Footpath at Vicarage Lane Car Park
Three quotes had been received to supply a 55m tarmac path on the playing fields, Three quotes had been received and it was resolved to accept the quote from Contractor A for £3,750.
A request received from Cllr Gareth Smith with regards to carefully agreeing to the position of the proposed footpath to accommodate hedge species which could be planted in the space between the footpath and the boundary fence. The Town Council would fund this project. It was resolved to submit costings to the next precept meeting for consideration. There is a need to think about future maintenance costs.
11. New Policies
Both the Privacy Statement Policy and Retention & Disposal Policy were accepted and need to be available to the public on the website.
12. Planning Applications for comment:
Cllr Mike Kermode abstained
a. **Application 44/2018/1115** – Erection of single storey pitched roof extension to front of dwelling – Bryntirion, 11 Llys Pen y Bont. **No objection**
b. **Application 44/2018/1112** – Erection of extension to dwelling – 14 Lon Cwybr. **No objection**
c. **Application 44/2018/1028**
Erection of single storey flat roof extension to side of dwelling and front entrance porch. This application had been pre-circulated to member with a deadline of 7th December 2018. **No objections received.**
13. Budget/Finance matters
a. **Accounts due.**
Members approved the list of accounts due for December 2018.
Rhuddlan Town Council as of 30th November have £73,309 in the bank. The third and final precept from Denbighshire County Council of £28k, will be paid into the account at the end of December.
In the next meeting money will need to be transferred from Rhuddlan Town Council Account to the newly opened Dementia Steering Group Bank Account, which was agreed in the 2018/19 Precept meeting.
b. **2019/20 Precept Meeting**
Members to consider new ideas for new projects/initiatives and approximate costing for consideration for the next Precept Meeting which will be held on 24th January @ 6 p.m. One idea put forward is to set up a Youth Project Fund to provide financial support to projects by groups and organisations in Rhuddlan for the benefit of young people in Rhuddlan that contribute towards - cultural activities - environmental improvements - play schemes - recreational activities - community activities. Each project can bid for a maximum of £500 support from the Town Council.
14. Urgent Community matters
a. **Rhuddlan Community Group – Educational Project**
Rhuddlan Community Group are planning an educational project to provide an outdoor classroom facility which would benefit local primary school children and play groups. This will also enhance the Rhuddlan Community Groups work in promoting the Welsh language and educating the young members of the community in the ongoing wild life project that they are doing. The project includes a notice board to display children's work and a purpose built picnic table for 16 primary school age children which will be suitably positioned to enable them to complete their work. The Group asked permission and support to landscape and position the
table adjacent to the picnic area. If agreed then the Group can then apply independently for funding in 2019. It was resolved to agree to the project in principle.
b. Rhuddlan Community Group – Wheelchair access in Vicarage Lane
A request had been received from a lady in a wheelchair who could access to the play area to be with her children because of the kerb and incline. It was resolved that the Town Council would rectify the problem.
c. Poppies & silhouettes
The Mayor reported that he had taken down all the poppies from the lamppost but has left silhouettes and the metal poppies on High Street. It was resolved that these can be left there all year round
d. Insurance
A member made enquiries on whether the Town Council has adequate insurance in place should there be a claim. The Town Clerk to report back to the next meeting.
15. Part 2. Exclusion of press and public.
By virtue of The Public Bodies (Admission to Meetings) Act 1960, the press and public are excluded from discussions on the following items on the basis that disclosure thereof would be prejudicial to the public interest by reason of the confidential nature of the business to be transacted.
a. Request for financial Assistance – Home Start
A request for funding towards the cost of supporting families in the Rhuddlan area. Concern was expressed at the shortfall in their finances and being reliant on reserves. Homestart are in the process of applying for funding. It was resolved that Homestart offer an excellent service and that £750 to be awarded on the proviso that they succeed in their other applications.
b. Welsh Hearts Charity – Light Up a Heart Christmas Appeal 2018.
It was resolved not to support this application
16. Date of next meeting
Next meeting to be held on January 10th 2019 at 7 p.m.
Signed.......................................................... Cllr Gareth Rowlands – Mayor
Date .......................................................... |
Note to the reader: Please be informed this paper is not for publication. See note at conclusion.
Paper presented in the Contextual Theology Working Group of the Tenth Oxford Institute of Methodist Theological Studies. August 11 - 22, 1997. Somerville College, Oxford, England.
Community of God's Creation:
Toward A Fijian Village Contextual/Practical Theology.
Introduction
The sun is setting in the west over the tropical islands of Fiji. Its gold glittering rays shimmer in the blue summer sky, drifting through a variety of clouds round, long, gray and black. Red, orange and gold tint the western sky. Tropical breezes blow from the deep blue horizon between the two southwestern outlying islands across the white surfs of the reefs to the white sandy beaches, through green running creepers, palm trees and other shore bushes, plants and trees. These island breezes along the coral coast where the Queen's Road links the eastern capital city of Suva and the Nadi international airport, help cool a group of sojourners traveling in the 95 plus Fahrenheit tropical heat and humidity. It is the early seventies. These sojourners are the teaching staff of a vocational lay training center traveling in a "written-off" navy blue land rover that the center had just received from the government ministry of youth.\(^1\) It is the only vehicle owned by the newly-organized center at a time when the tide of concern has increased throughout the Pacific region for out-of-school youths, and for relevant development programs and vocational centers in the Pacific region. Because the land rover has just been given to the center at the time of this journey, it is often mistaken for a police vehicle. This provides disguised safety to the sojourners as they travel to the coral coast villages to visit the Christian education course students from the center who are engaged in three months of field work with the parishes in the region. The main road is mostly gravel except for the places where the hotels and motels accommodating international tourists are located.\(^2\)
Though the journey only takes three hours, it feels like a long half-day. The ex-police van passengers sit holding tightly onto the one-and-half inch pipe frames supporting the tarpaulin
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\(^1\)The Training Centre for Vocational Training was established with little financial resources available. It therefore depended on the community for resources in terms of people giving their time in kind and money. The first vehicle of the Centre was a "written off" police van land rover that the Centre received from the Ministry of Youth and Sports.
\(^2\)There are 2 main roads in Vitilevu during colonial occupation: the Queen's Road and the King's Road. Some sections are still unpaved today, although many village sections are tarsealed to help minimise the dusty clouds that sweep the village every time a vehicle goes through on a hot tropical sunny day.
covering the land rover. They literally bounce up and down for most of the dirt and gravel road trip. But the uncomfortableness of the trip is overcome by their anticipation of visiting the villages and resort centers and by being with the students as they live and experience the theories stimulated by their classroom work. Expectations of seeing, experiencing and hearing exciting and challenging things from the village, and tourist communities makes the trip enjoyable.
As the land rover approaches a village on the public road that runs through it, one can sense and feel a celebrative atmosphere in the air. From the southern end, one sees the village’s respected inner green oval lawn occupied by a vakatunuloa, a temporary hall approximately fifty feet by thirty feet, built out of bamboo, coconut palm tree trunks, branches and leaves, on a frame of wooden posts and covered with an iron tin roof for special occasions. Around the base about three feet from the ground are decorations of green and colored leaves, hibiscus, frangipani and other tropical fragrant flowers and plants. Vakatunuloas decorated as such are signs of festivities and celebrations. As the land rover approaches, one sees the children running around the lawn and women and men walking to and from the vakatunuloa. Some of the children, youth, women and men are wearing traditional costumes for traditional dances. As the land rover pulls into its parking place the passengers are told that the village is about to end the activity of the day. There is a fundraising event for the church similar to a bazaar, where crafts are sold, eating and kava drinking takes place. Traditional dances are performed, and in the midst of singing, games and impromptu dances. Soon, vocational center staff members are being led into the vakatunuloa where their students are integrally involved in facilitating, supervising and leading this important community event. As a member of this staff I was filled with joy to see our students engaged in this work. The role plays and stimulating discussions of the classroom had become a reality here.
For this writer this scene and experience was so meaningful that it still flashes like a guiding star in intensity and depth of meaning. That guiding star still inspires this writer in her vocation. The guiding light is the genuine cooperation and oneness of the mainly Fijian and indigenous village community. Taukeis and Indian descendants brought over by the British who live in the neighborhood join village members to celebrate and carry out the village fund raising event. But the function is much more than merely fund raising. To have these two ethnic groups engaged in
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3 Vakatunuloa is an interim structure built for any important occasion: including festivals, birthdays, wedding celebrations and funerals.
4 Kava or yaqona is a traditional drink made from grounded roots of a local plant.
5 Taukei means indigenous owners of the land and country, the indigenous Fijian ethnic group. Indians are those of Indian descendents who were brought over to Fiji by the British government to work on the sugar cane plantations in the early nineteenth century.
an activity where the sacredness, serenity and respect of the village is central and where the acceptance of those ethnically different is genuinely carried out fills me with awe and great joy. The inclusivity and involvement of all people in the life of the village and community is a sign of hope that becomes the guiding star for my life's work. The fund raising activity for the church convinces me that the genuine oneness and unity of the people of Fiji are real possibilities. We can make Fiji a place where people live with love, celebration, justice and peace. Village and rural communities are already living them! This enlightening moment expresses my vocational ideal: to try to get two major ethnic groups to live harmoniously with each other while embracing their diversities and similarities. "Village is our Hope for the Future" is a statement that is shared with the center's staff as we evaluate the field trip. It becomes my personal statement, vision and dream. It is what has inspired me to enter this doctoral study programme.
The village is our hope for the future because in the village concept members live in a communal spirit, sharing and caring for each other. Historically and traditionally the village is a community where everyone is related in kin and blood. Today, however, the village is open to anyone who wants to live in the village. Indians, Chinese and other ethnic groups who live next to the village are looked upon as members of the village. Even though they would not participate in the intricate matters of tribe and village leadership they participate in the village communal activities. There are no "homeless" in the village. Cooperative living and sharing of village responsibilities is the way of life. The identity of the individual is defined by the village community. Therefore the welfare of the community becomes the context of concern for the individual. Roles and responsibilities are clearly defined relating to membership in the different tribes. Village members relate very closely to their land and the natural environment, and they live more in cyclical time where nature and life repeats herself. Village communal living and relationships are grounded in spirituality and religious observances and are integral in the life of the village. Village members have a "cosmovision" of their existence. Their land, nature and the whole of their environment is part of their identity and spirituality. They are integral parts of their world view and their ethos.
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6The first time I encountered the word "cosmovision" was when teaching a course on multicultural communication with a group of 15 who were preparing to go to different parts of the world as missionaries of the United Methodist Church of USA. They were under training in the spring of 1966 at the United Methodist Church Mission Resource centre in Atlanta. There was a couple preparing to go to Ghana, a couple to Russia, a family to Zimbabwe, a family to Harare, a couple to Uruguay, a family to Louthenia, a professor to Japan, a couple to Liberia and one to Chile. In the process of discussing the importance of seeing the explicit as well as the implicit messages in different cultural contexts, one of the participants who served in an ecumenical project for street children and women in Cochabamba, Bolivia was talking about the way in which the indigenous community relate to their land and how they see their oneness with their environment. Their world views and ethos are very similar to Fijian and Pacific villages and rural communities. Ronda Lee was using the word "cosmovision" and I have adopted it because it is a word that describes the wholeness of life and oneness of a community, of a person with the whole of creation. It is encompassing and whole in itself and communicates the oneness of the earth. The cosmovision of the
The most intimate motions within the depths of our souls are not completely our own. For they belong also to our friends, to mankind, to the universe, and to the Ground of all being, the aim of our life. Nothing can be hidden ultimately. It is always reflected in the mirror in which nothing can be concealed.\(^7\)
Is the guiding light from the village experience one of those "most intimate motions within the depth of our souls" that Paul Tillich is twriting about? If so, then what is being reflected in the mirror?
This paper seeks to describe a part of what is being reflected in the mirror. The mirror reflects a situation in the Church in Fiji. Similar experiences are reflected in other parts of the world. It occurs where Christian churches have been successful in bringing the Gospel, Western civilization and their cultures to these places. In Fiji the missionaries were very successful and achieved many good works in spreading the Christian gospel and building the infrastructures of church ministries that have contributed to the modern development of the villages and the country as a whole. When the missionaries arrived the village ethos and ways of life were fertile grounds for planting the Christian Gospel of loving God and loving one's neighbor because this was precisely the Fijian way of life. The only new message they brought was to "love one's enemies." When the paramount chief accepted Christianity the whole country was obliged to accept Christianity as well. This had its advantages and disadvantages. Advantages included people following the chief's words such as stopping the tribal wars and trying to love one's enemies. The disadvantages were that although people follow the chief's command they may not necessarily have personally accepted, internalized and appropriated the Gospel's Good News. The paramount chief's acceptance of Christianity has enabled the Church to have a very important position in the communities.
Still further, the Christian Gospel came into the country as an expression of Western realities and with 18th-century British masks. As more missionaries from other Western countries came they brought their own ways of life and cultures, and their world views and beliefs that influenced how they carried out their tasks. These were of great benefits to Fiji particularly when they helped end tribal wars and cannibalism, built schools and hospitals, and improved the general standard of living. Even though these missionaries were successful and greatly influenced the way the country is today, they also posed enormous challenges to the basic normative lives of the villages and the
\(^6\)world will also help in understanding the "coconut theology" evolving from the Pacific region as we contextualize the Gospel.
\(^7\)Tillich, *The Shaking of The Foundations*, p. 46
country. Therefore, despite the fact that Christian Missionaries were successful in spreading the Gospel in Fiji resulting in the Church as one of the strong pillars of society, and despite the fact that strict observances of Sunday are practiced in the country, and despite the fact that most denominations have programs in their churches throughout the week with numerous church events over the weekends, the faith of the community is not adequate to face the escalating problems of social issues that they are confronted with because of the changes that are happening in the socio-economic religious and political life of the country. There are issues of crime, such as burglaries, rapes and murder; there is a growing poor population in urban areas such as Suva and Lautoka; there is leadership corruption in the government and community, and there is family and societal disintegration. One wonders where the Christian values have gone as they are not in the communities any more. The traditional cultural values are also vanishing. People are yearning for the olden-days values to return as well as the preaching, teaching and the practicing of "love God, love one's neighbor and love your enemies." Why this gap? Why this contradiction?
The contradictions and the gaps according to this writer are partly due to the fact that the way in which the Christian faith is being taught to the believers is not holistically meaningful. It is foreign to their world views and ethos, foreign to how they construct their meanings and knowledge and their ways of worship in the early 19th Century. As life continues today the values and belief systems central to the Western cultures are increasingly encroaching into the country and right into the villages. The missionaries and the leaders did not convey the strong Gospel values and the traditional values. The teaching of the Christian faith is not effective. This has caused traditional values to weaken and Christian values to be lost. As a consequence there is a gap that exists between the function and meaning of life. There is an urgent need to reclaim a new way to wed the Christian and traditional values if we are to salvage the eroding Christian religious way of life that is permeating the country. There is an urgent need to equip and prepare the people to creatively face the wider societal challenges that are facing the country now.
I contend that if the Church is to be an agent of a faithful and moral society, the Church must be contextual. If the Church is to be contextual, particularly for indigenous Fijians, it must draw on village resources and traditions, on village concepts, values, and practices in dialogue with the Church's theological traditions, for theological concepts that can serve as a foundation for Christian religious education.
In 1995 I spent eight months in Fiji particularly in the village of Naivucini carrying out a participant observer ethnographic study with the purpose of gathering information on the present cultural life of the village members: how they carry out their communal and individual activities and how their
lives express their world views, ethos and their faith. Adapting Paulo Freire's educational approach of conscientisation the study was able to identify generative themes that will dialogue with the Church's theological traditions for theological concepts that can serve as a foundation for Christian religious education.
In response to the Oxford 11th Institute on the theme, *Trinity Community and Power*, the rest of this paper will focus on how village members understand and relate to God, how this relationship influences their communal life and how power is exercised in the village.
**Naivucini’s distinctive ways of understanding and relating with God**
With the village people, *an understanding of God’s presence permeates the village*; and God is very real and is everywhere. There is no question about their belief and faith in a living God. The village is predominantly Christian and everyone goes to church. In identifying the main concerns of the village and in envisioning its future, from individuals and groups, from children, youth and adults, and from women and men, one hundred percent of the answers given both verbally and in questionnaire believe that God will help them. Their belief and trust in God is real and profound. They relate to God both in a very personal and communal way. When asked when and where they feel closest to God in their experiences, answers given by individuals were predominantly along the following lines:
* when I pray in anguish
* when I pray for something I want
* when I ask for help to guide me in finding a wife
* when I am deeply in trouble
* when I have to make some important decisions
* when I pray to thank and praise God
* when I am deeply drunk and at my worst, I pray earnestly and feel near to God.
* when I spend time in prayer and fasting
* when harvesting my dalo (taro) patch and see the bounteous yield, I kneel in prayer of thanksgiving
Naivucini’s people believe that God answers their prayers. They receive what they ask for and when the answers are negative, they feel at peace and accept that what they prayed for is not God’s will.
Second, with Naivucini people God is in the *wholeness and unity of life*. God is present in every aspect of the village infrastructures. God is in their tradition, in their economy, in the
administration of the village, in their families, in their cultures and social life and in the life of the church. God is integrated in the way they live and expressed in their world views and ethos. This is what gives them meaning. The deep meaning and wholeness of the village life are what attracts her children to return to Naivucini from time to time. It is where they belong and call home. It is where they will always have a place no matter where they may be in this world. God is the God of their village who cares and holds them together and protects them.
Third, with Naivucini they also experience God's presence in God's creation in their world and environment. They have a deep and respected relationship and attachment to nature and to their land. Nature and land are extensions of themselves. God's blessing for their lives is seen in the richness and fertility of their land. There is no separation or compartmentalization as far as their oneness with the land is concerned. Vanua is the Fijian word for land. But in Fiji and in almost all the Pacific Islands vanua means much more than land. It encompasses the total identity of the village in terms of the people, their traditions, values and cultures their way of life, how they live as community, their world views and their ethos. Those from urban communities refer to those from the village as those from the vanua. The term is loaded with meaning. It has its own unity and wholeness as well as integrity and dignity. When it is used there is a sense of peace. It is Shalom in my opinion and understanding. In studying Walter Bruggerman's theological commentaries on Psalms, he dwelt on the distinctions between place and space when he referred to the Old Testament and the Israelites understandings of place. His description articulates what I believe to be the Fijian and Pacific Islands understanding of vanua. Now, as I look back I can fully understand why the Pacific Conference of Churches and other organizations carried their crosses through engagement beginning in the early 70s, in the struggle for a Nuclear Free and Independent Pacific. I believe that the collective unconsciousness and consciousness of the Pacific Islanders in relation to our land, sea and environment was one of the motivating factors that impelled us to take our Christian faith to the socio-economic and political issues of our islands. Standing firm in our faith in a loving and just God, the God of righteousness and equity, we take our crosses to detest the intentional planning of powerful nations to continue polluting and destroying our environment, our seas and corals, fishes and lagoons, our sacred habitat. We took and still take our stand as we covenant ourselves to participate and be co-workers with God in the ongoing process of creation. Bruggermann in *The Land: Place as Gift, Promise and Challenge in the Biblical Faith*, had this to say:
Space means an arena of freedom, without coercion or accountability, free of pressure and void of authority. Space may be imagined as week-end, holiday, avocation, and is characterized by a kind of neutrality or emptiness waiting to be filled by our choosing. But 'place' is a very different matter. Place as space which has historical meanings, where something have happened which are now
remembered and which provide continuity and identity in generations. Place is space in which vows have exchanged promises have been made and demands have been issued. Place is indeed a protest against the unpromising pursuit of space. It is a declaration that our humanness cannot be found in escape and detachment and unrefined freedom....Whereas pursuit of space may be a flight from history, a yearning for space is a decision to enter history with an identifiable people in an identifiable pilgrimage. Humanness, as a biblical faith promises it, will be found in belonging to and referring to that locus in which the peculiar historicity of a community has been expressed and to which recourse is made for purposes of orientation, assurance, and empowerment. The land for which Israel yearns and which it remembers is never unclaimed space but is always a place with Yahweh, a place well filled with memories of life with him and vows to him.
Fourth, relating to their relationship with creation and attachment to the land is their belief in a God who punishes those who do not follow God's will. Prosperity of the land and the village births of young generations, unity and cooperation of communal life, caring and healthy relationships, success in education and achievement in employment are all related to the blessings of God. It is interesting to note that in almost every Annual Conference of the Methodist Church in Fiji a "vanua" will come to present its traditional presentation of whales tooth for the bulubulu asking for forgiveness, acceptance and blessings. To be forgiven for a past deed that the vanua did to the church for example taking back the piece of land that was given to the church for the catechist to plant his food. They believe that it contradicts the will of God because they are experiencing the negative effects of that action in the problematic life of the vanua. Their blessings seem to have been taken away since the catechist was not allowed to use the same piece of land to plant his food.
With the village people, their personal and communal relationship with God is being observed both individually and communally through prayers, Bible reading, shared reflections and communal worship. When asked whether they had a disciplined way of practicing their religious life, most answered through daily prayers and daily reading of the Bible. However some adults read sparingly and some youths and children do not have a particular discipline. Many of them do read their Bible at one time or another though. Personal prayer is carried out at homes, in their food plantations and where-ever they go. Most of the adults who were interviewed have a special place for prayer in their food plantations. When they reach it before beginning their work, they pray and when before returning home at the end of their work they pray as well. "I feel close to God and I pray for thanksgiving at times particularly when I completed a good days work in my plantation for example weeding so many rows and mounds of dalo, cassava or kava," is a typical expressions being articulated.
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8 Bruggermann, *The Land: Place as Gift, Promise and Challenge in the Biblical Faith*, p. 5
God's influence in the communal life.
First, a Fijian village's way of life, world views and ethos is one of community. The community comes before individuals. Individual identity is defined and constructed by the community. The formative power of the community is so strong that when one lives in the village one accepts its primacy. This communal life is permeated with God's prevenient grace that serves as the wellsprings of the village well-being. With this deep and profound faith in God, the Church plays an important role in the community. Everyone in the village belongs to the Christian faith and the predominant denomination is Methodist. Sunday is strictly observed as the Lord's sacred day, a day of worship and rest. Everyone in the village is Christian, so most of them attend the two main services on Sunday at 10.30am and 3.30pm. There is a prayer meeting at 6am before breakfast and Sunday School at 9am. Throughout the week, the youth, women and men's fellowship hold their meetings; and there are communal prayer meetings on Wednesday and Saturday nights. Every evening in the village at 7pm a lali\(^9\) is sounded for family devotions and prayers. Households are expected to be at their respective homes for this and, if not, to join the family that they are visiting. These daily and weekly practices of family and community prayers enable people to know the narratives in the Bible and know and sing most of the hymns without hymn books. Even the children can sing all the verses of some hymns without hymn books as well as the anthem that the church choir sings.
Second, the village communal life is one of caring, sharing and generosity girded with the value of treasuring healthy relationship in the community. There is always food in the village and there is no homeless. All village members are related to each other in blood. Before the 1930s, because of transportation limitations there was very little marriage outside the village and districts. When the public roads opened to the interior of the main island in the 1930s a good number of women from other islands and parts of Fiji married to Naivucini men. In Fijian society women go to their husband's village and family once they are married. There are exceptional cases where one would see a couple settled for good in the wife's village. When relationships are disturbed and endangered there are traditional customs and observances followed to restore them and bring about reconciliation. When Christianity arrived in Fiji in the 19th Century, the village communities in the most part were already living along Christian principles. They believed in God and in loving one's neighbor. The only new message that Christianity brought was "love your enemy as yourself." This was the Gospel and it explains why Methodism is very strong in Fiji. When the missionaries arrived and converted the paramount chief to
\(^{9}\)lali is a large wooden drum that has and open hollow sides that help produce a special sound belonging only to the wooden gong.
Christianity his people obeyed him and they all turned to Christianity accepting the Gospel that comes through the Methodist tradition.
*Third, village community is held together through strong practices and observances of their traditions and cultures.* Traditional activities take place daily. When families, clans, tribes or the whole village meet, traditional acts take place in different forms either as speeches, giving advice, *kava* or whale's tooth ceremonies. They are occasions for village rituals where values and metaphors are appropriated that evoke learning and thinking on holding and uniting the community where one belongs, and therefore find meaning in life. These are the traditional customs where one experiences the values that the village treasures and wishes to have transmitted, encouraged and appropriated. Most of these values boil down to the value of relationship, respecting, revering and honoring a person's dignity and integrity. It is extended to the community, land and the whole environment. It is the I<---->THOU relationship that Martin Buber writes about. In hearing the village stories that were told about parents and grandparents who died, it was obvious that their ancestors were women and men of integrity who were deeply religious and feared God and respected people. This respect for people is extended to guests when they come to the village. No matter which part of Fiji or the world the visitor comes from she or he are not only guests to an individual family, but guests of the entire village. This is practiced by village families bringing fruit, vegetables and food to the host family to help care for the visitors. Members, particularly men, will come after dinner to share bowls of *kava* with the guests. Traditions are important as they hold the community together and ground them in their identity.
Traditional respect for living creatures is not only limited to human beings. Respect for the *vanua*, as elaborated in the first section, extends itself to how one treats, respects and relates to the land and the rest of creation. It explains why Fijians will give their lives and fight to the death if necessary for the sovereignty of their country. Naivucini people believe that God is present in their traditions and in their culture. Therefore they are partners with God in the ongoing process of creation. God's Spirit is living with the spirits of the village ancestors who watches over and protect the village.
*Fourth, Naivucini community believes in, and has, many narratives and legends, such as of how they came to settle in their land and how things were created.* Being an oral community, members love to tell stories and talk. It is interesting to see that in the faith development interviews, one of the powerful experiences that helped form and shape individuals' lives were the storytimes with their grandparents. "I spent most of my childhood holiday times with my maternal and paternal grandparents because we did many fun activities together like rowing bamboo rafts down the
rivers as well as hearing the 'tukunis'" (traditional narratives). Learnings and teachings through exciting the imagination of listeners is one of the ways in which the older members of the village communicate the values they hold to the young generations. In family, tribe and clan worship and devotions, Biblical stories are narrated as they believe these nurture Christian families and homes.
Fifth, in Naivucini village there are also moments of friction and disturbance when there is disorientation in the families, clans, tribes and communities. The very close knit set up of communal life is also experiencing the disturbing factors of change that modernity is bringing to the country. The power of the cash economy and the value of individualistic development and striving for one's own benefit is encroaching on village life. The disorientation of the national life since the 1987 political coup is affecting the village where the socio-economic and political issues are raising basic religious and theological questions for the community of faith. In urban areas particularly exploitation of people are happening to the point where people are reduced to things. The transnational co-operations who often come with loyalties to profits and material gods reduce people to commodities, to values contradictory to those that are deeply rooted in Fijian communal life. Elders of the village are aware of this, and they see it as one of the basic issues they need to face. Interestingly enough, when being asked how they can work at meeting this problem, they believe having a great faith in God helps. "We believe that if we pray hard and ask God to help us, He will help us. We must encourage our people to believe in the power of prayer and pray hard." They see education and relevant economic and village developmental courses should be encouraged so that the whole community can take part. Further, they see the need for having a full time ordained minister to help them with relevant Bible studies so that they can develop and grow in their faith in order to meet the demand of today's society. With this, one clearly sees the integrated understanding and approach to life that village communities have. Their faith in God and in the Church place them in the community where the Church is one of the three pillars of Fijian society. The other two pillars are the vanua and the government. All of them are to be taken into account when dealing with the issues of village communities.
Even though the village community is being changed by modernity, secularism and secularization have not reached the degree where it cannot be salvaged from destroying communal values. The village members' strong belief that God can help solve their problems puts the "ball back into their court" on how they need to re-envision their village community. With this re-envisioning of their faith they will be able to take into account the necessary and needed changes with which the village needs to be engaged. This introduces us to the question of God and the use of power in the community.
God and the use of power in Naivucini village.
There are five major structures of the village community where one sees the exercise of power. *In any Fijian traditional village, the most powerful person is the paramount chief*. It is a hereditary position and the chief's main responsibility is to serve and lead the people. The chief has the village council that he works with for carrying out what he wants to be done; and it is this forum where community and *vanua* issues are discussed. The chief's place expresses itself in the rest of the village structure and systems through the clans, tribes and families. There are five tribes in the village with various clans and families. There is a chiefly tribe, and other tribes also have their roles and places identified. Fijian traditional leadership is patriarchal so the men are the heads of village structures.
*The second main source of power next to the chief is the Church representative*. He is called the *vakatawa*,\(^{10}\) or catechist of the village. The church, with its own organization as one of the three pillars of village life carries out responsibilities and ministries where the power is given both to men and women. The catechist works very closely with the chiefs and heads of tribes and clans. Because of the close relationship and complementary role that the church plays with the *vanua* and chief, important positions of leadership in the church are still taken by men such as a chief lay steward. Eventhough there are capable women who can hold this important and honorary post, the village patriarchal structure does not allow it. With these understandings members of the village think and believe of God as male, as a Father and as authoritarian. They also believe that the Fijian chiefly system is a God given privilege just like the British monarchy. One can clearly see the British Methodist tradition in the Fijian set-up. When members of the British monarchy visit Fiji, they feel very much at home as they are accorded the highest chiefly traditional ceremonies and receptions. The whole attitude and spirit of the indigenous Fijian chiefly system causes them to accept and receive them in this way.
---
\(^{10}\) **Vakatawa:** catechists are the lay leaders of the church who serve full time in each village. The catechist can be responsible for just one village or several. The catechist serves under a minister of the district. For Naivucini the minister at present lives in Narokorokoyawa, a village 50 miles from the village. The minister has villages and congregation. So the spiritual leadership in the village depends very much on the catechists. In rural places catechists have have at least a class 8 formal education. Some would have also attended the Lay Training Centre at the main mission Station in Davuilevu, the one mentioned in the introductory story. Most depend on the in-service training at local levels. There is a national exam that they take every year mainly with biblical studies, theology and church history. The catechists in the villages are also assisted by local preachers - *dauvunau* both men and women, adults and youths. The chief stewart, *Tuirara*, is an honourary position filled by a church elder who has to be a local preacher is elected at the Division Annual Meetings to be the Lay Leader of the Division, and is the liaison officer between the Church and the Vanua.
The third main source of power is the district school. The teachers, school committees and students occupy a good part of the village time and use of resources. "Education of our children" is one of the main issues that stand out in the survey and seminars that were conducted. Although the school is run by a local committee, appointment of teachers and curriculum are the responsibilities of the Education Department of the Fiji Government. In the school, Christian religion is taken seriously. Every morning different elders of the Methodist church take a short devotional period with the whole school. Teachers are free to hold prayers with their classes if they wish. "I begin my days in the class room with the students in prayers as well as ending the day in prayer," said one of the teachers who believes that her profession is her calling. Through the school committees the teachers can influence the village as members participate in the different activities of the school. During my research study time, there was friction in the village regarding the committee and its relationship with the Education Department. It was an issue pertaining to the availability of teachers for the new year. The appointed representatives of the village and I ended up going as a delegation of at least ten persons to the Government Divisional Head Office to share the village concern with the education authorities. The educational officers finally appointed a new teacher for Naivucini District School. Believing that God is also in the ministry of their school the village members accept that one of their major responsibility is to see that all children go to school. They also foresee that the blessings will return to the village as students complete their studies, find employment and hold responsible positions in society. They see the success of their children as God's blessings in their lives.
The fourth main source of power that influences the village is what comes from outside the village. Some of them through the Fijian administration, government or church representatives, and other individuals that members of the village have as guests; and thus as villagers visit cities and other districts they are influenced by those communities, thus returning to Naivucini with other ways of looking at things. Different ways of doing things can also bring friction and tensions into the community. Major tensions are dealt with at the village council level. In most cases individuals or groups are reprimanded for their misbehaving, but no one is ostracized in the village.
The fifth major power group that is very strong and also influences how the village lives and operates are the women. Eventhough the structural leadership of the village is patriarchal, the women have their own organizations that carry out their vision. When they move as a group they are listened to by the community and no one can stop them. For example, during my research in one of its seminars, the group involved wanted to begin an action right away. It was the women's group who discussed that one of the main causes of the divisions in the village and the lack of cooperative spirit that the village is known for, was the establishment of different Christian
denominations in the village. The group then decided to begin an all night prayer vigil every Sunday night from 8pm to 6am in the morning. Because of its ecumenical nature and because it was for the whole night the group decided to have it in a home. The sitting room of the home was prepared with a worship center. Women were divided into groups of twos and threes to take turns every hour. The rest of the women gathered together in the next house catching up with village news, bible discussions and discussion of issues. A mother with a baby brought her child and their mosquito net along. Some preschool children accompanied their mothers and grandmothers and spent the night at the prayer vigil. At five in the morning they held their devotion together before breaking for the week. They shared the inspirations and thoughts that came to them through the night's vigil. Even though the prayer vigil started before the research ended, the women believed that it helped salvage the uncooperative spirit that is increasingly apparent in the village. They believed that this was a spiritual inspiration that they wanted to act on. "Me ta masulake vua na Kalou me yukei keda me vakabulai na noda koro," (Let us commit ourselves to God in prayer for God to help us save our village) said one of the leaders of the group. When the research committee gave its report to the village meeting they explained that an action has already started that they believed was the inspiration of the Holy Spirit. They could not stop it because it came out of the women's own involvement in sharing their concerns of the village through discussions and Bible study during the seminar. The women also recommended certain actions to the village meeting to help solve some of the problems that the village is facing.
In identifying the issues of concerns that the village has, it is interesting to note that the question of power is paramount. The appointed chief of the vanua is not living in the village. He lives and has his farm in the Western side of Vitilevu, the main island where he has his own sugarcane plantation. He is from the chiefly tribe who from his childhood has spent little time actually living in the village. He was appointed by the village chiefly tribe and therefore attends the district and provincial councils representing the people and receiving the benefits that goes with his responsibilities. He visits the village from time to time but has delegated another one from his tribe to be responsible for vanua matters when he is not there. With the changes that are coming into Naivucini the spirit of unity and cooperation that the village is known for in the past is fading out. Groups and individuals are beginning to do their own things and life is beginning to be more complicated than before. The thinking and the spirit of the village from those who live permanently in Naivucini is one of blaming the chiefly leadership for not carrying out the task entrusted to him. They want him to come and live in the village so that the community can hear the leadership from one voice and direction instead of the five different ones that are happening at the moment. This issue of power and chiefly system is a theological one that needs to be addressed.
accordingly because Naivucini is a Christian village. We will now turn to some of the contextual theologies that are evolving relating to the life of the village as described above.
**Community of God's Creation**
**An evolving Fijian village contextual/practical theology.**
As I lived, participated, observed and tried to understand, comprehend and discern how God is incarnating Godself in Naivucini in relation to how village members relate to God individually and cooperately as they live in their community and how the powers have been expressed, it becomes very clear that the main theological well-spring that nourishes and enfolds the village is expressed in the title of this paper: **Community of God's Creation.** If God is a God of history and a personal God, then God is incarnating Godself in the reality of people's contemporary situations. God gives insights, meanings and questions to what concerns the people most at this time and place. From the realities of what the Naivucini community is presently engaged with, here are the evolving contextual theologica\(^1\) concepts. Different concepts that serve as the fountain of nourishing and quenching springs that spurts from the different bedrocks of the community include the following:
1. **Vanua in the Womb of God's Prevenient Grace.** God's prevenient grace is the life and breath of the village. Naivucini being predominantly Methodist, one is not surprised that this theological theme is there alive since God's grace was the main motivation of John Wesley's theology. One sees and can talk about its transformative potential for community. Furthermore it is for all practical purposes an eschatological view calling us into a different kind of community.
2. **A Believing, Liberating and Covenanting Community of Faith.** Naivucini believes in the understanding of a "Community of Faith." A community that is experiencing the liberating power of God and thus responding in covenenting itself with God. In discussing the issue of how the village can re-experience its spirit of unity, hard work and cooperation, they agreed that the village needs to re-envision and reimagine the new community as a community cooperating both in dreaming and planning. Guidelines need to be identified and people to commit and covenant themselves to the transformation of their community. Their faith in a God full of love and mercy inspires and encourages them to hope for a better future. An eschatological vision of a transformative community is calling them into a different kind of community in this time and place.
3. **I<---->Thou Relationship and partnership with God, humankind, nature and all of creation.** Loving, caring, sharing and celebrating community. Positive and
healthy relationship is the most striking dream, desire and depth of soul yearnings of the village. This relationship is girded with their conviction in the truth of Christ's ethical theological commandment, "Love God and love your neighbours as yourself." The unity of the village expresses itself in celebrations of life that brings the family, tribes, clans and the whole village together from time to time.
4. **God's leadership is one of Righteousness, Justice and Equity. Transforming Fijian chiefly leadership systems and structures.** As expressed earlier the foremost concern and issue that the village has that was expressed in answer to the questionnaire and in the different seminars is one on the traditional chiefly leadership. The issue also touches upon the wider national issues regarding the de-stabilisation and shake-up of the traditional chiefly system. The tension that exists in adhering to traditional structures and freedom in individualistic life and development is real. They believe without doubt that God can help save the village if they continue to pray in faith. "What is the nature of God's leadership with communities who covenant themselves to see God's righteousness and justice in the village?" is the probing question that needs to be addressed if the village believes in God's liberating and transforming life.
5. **Growing into Christ maturity and transformative learning for discipleship and citizenship.** The main concern of every parent is the education of their children to be successful in life and to grow as responsible citizen. Education for knowledge and understanding is necessary. There is need for transmissive, interpretive and transformative learning, learning that will enable members of the village to be critical and to have the wisdom of the heart whose purpose is to discern the will of God. A liberating, righteous and just God.
*The rest of the evolving contextual theological concepts will be only listed because of length.*
6. **I belong therefore I am and I am therefore I belong. The place and contribution of self in community.**
7. **Shalom:** Creation-Eco spirituality, worship, social justice and equity.
8. **Traditions, rituals and narrative community.**
9. **Freedom and independence with responsibility**
10. **From disorientation to new orientation.**
11. **Priesthood of all believers and discipleship of equals.**
12. **Discipleship and citizenship in a multicultural and multireligious nation.**
With the above theological concepts that are evolving from the village we can also see what the Christian faith, through the Methodist tradition, has brought to the village and contributed to the life of the community. We will ever be grateful to Rev. Thomas Baker from this country, United Kingdom, who was killed and eaten in the hinterland of Fiji as a missionary and to other
missionaries of the past and present and to our faithful fore-mothers and fathers who lived and communicated the Christian faith that is real and profound in the lives of the village. They endured, struggled and were successful in the evangelistic transformative message of the Gospel. For these we praise and thank God as we see the Christian Church as one of the Three Pillars of the Fijian society. Yet, one hundred and sixty-two years since the first missionaries landed on the shores of Fiji, we see the realities of the contradictions of the devout observances of the churches' activities, Sunday worship and observances, and the increasing escalation of societal problems (already expressed earlier on) of a pluralistic society. What is the calling today? How can we continue to build on and yet improve what the missionaries and our great, great grand-parents have done? It is my firm and deep conviction, and I clearly see the writing on the walls that: there is a calling to enable the deepening of the present evangelical faith through a liberating contextual critical praxis correlation's approach of theological learning and education. This leads to transformation of the communities where village members are enabled to "experience life in its' fullness" and where the righteousness and justice of God enlightens and sustains the governance and leadership of the village. My doctoral study project is one of the contributions towards appropriating this conviction. I am convinced that it is within the deeper cultural and traditional values of the simplicity of life in Naivucini village where commitments are present that can also help nurture the Christian religious faith that would be more relevant to this time and place. A Christian religious faith for discipleship and citizenship.
In relation to this international gathering of Methodist theologians, what can we contribute and where do we go from here?
Where do we go from here?
You will contribute as you reflect on this paper, share in the discussions, give your insights and see the interlinkage of what is happening in Naivucini and in your own communities. Is there any interlinkage? What is the relationship? How can we be in partnership in enabling and bringing about "life in its fullness" to be experienced by village members and to experience God's righteousness and justice?
Lorine Chan Tevi.
August 18, 1997
Emory University
Atlanta, USA
Note to the reader: No part may be duplicated by electronic means or shared beyond the dates of the Institute. Thank you for your co-operation. |
REQUEST FOR REVIEW
COUNTY DEPARTMENTS/DISTRICTS
- Glenn County Agricultural Commissioner
- Glenn County Air Pollution Control District/CUPA
- Glenn County Assessor
- Glenn County Building Inspector
- Glenn County Engineering & Surveying Division
- Glenn County Environmental Health Department
- Glenn County Sheriff's Department
- Glenn County Board of Supervisors
- Glenn County Resource Conservation District
- Glenn County Planning Commission
- Glenn LAFCO
FEDERAL AGENCIES
- U.S. Army Corps of Engineers
- U.S. Fish and Wildlife Service
- U.S. Department of Agriculture
- U.S. Bureau of Reclamation - Willows
OTHER
- City of Orland
- Sacramento River National Wildlife Refuge
- Orland Unit Water Users' Association
- Community Services District:
- Pacific Gas and Electric Company (PG&E)
- Fire Protection District: Orland Rural
- Glenn County Resource Conservation District
- School District: Orland
STATE AGENCIES
- Central Valley Flood Protection Board
- Central Valley Regional Water Quality Control Board (RWQCB)
- State Water Resources Control Board – Division of Drinking Water
- Department of Alcoholic Beverage Control (ABC)
- Department of Conservation, Division of Land Resource Protection
- Department of Conservation, Office of Mine Reclamation (OMR)
- Department of Conservation, Division of Oil, Gas, and Geothermal Resources
- Department of Fish and Wildlife
- Department of Food and Agriculture
- Department of Forestry and Fire Protection (Cal Fire)
- Department of Housing and Community Development (HCD)
- Department of Public Health
- Department of Toxic Substances Control (DTSC)
- Department of Transportation (Caltrans)
- Department of Water Resources (DWR)
- Office of the State Fire Marshall
- Northeast Center of the California Historical Resources Information System
- Paskenta Band of Nomlaki Indians
- Grindstone Rancheria of Wintun-Wailaki
- Mechoopda Indian Tribe of Chico Rancheria
- Colusa Indian Community Council Cachi Dehe Band of Wintun Indians
- Tehama-Colusa Canal Authority
- UC Cooperative Extension Office
DATE: December 21, 2022
PROJECT: Tentative Parcel Map 2022-002, Jouhal
PLANNER: Boniface Chifamba, Assistant Planner
email@example.com
APPLICANT: Amardev Singh Jouhal
P.O. Box 181188, Coronado, CA 92178
Phone Number: (619) 522 - 4593
LANDOWNERS: Amardev Singh Jouhal
P.O. Box 181188, Coronado, CA 92178
Phone Number: (619) 522 - 4593
ENGINEER: Hamilton Engineering Inc.
P.O. Box 978, Orland, CA 95963
Phone Number: (530) 865-8551
PROJECT: Tentative Parcel Map 2022-002, Jouhal
The project consists of a land division to divide one existing parcel (18.38± acres) into the following:
| Parcel | Acres |
|--------|---------|
| One | 3.8± acres |
| Two | 3.82± acres |
| Three | 3.00± acres |
| Four | 3.00± acres |
| Remainder | 4.73± acres |
LOCATION: The project is located on the east side of County Road 99W at 3698 County Road 99W, north of County Road 27, west of County Road M, and south of County Road 25; in the unincorporated area of Glenn County, California.
EXISTING APN: 024-090-013
ZONING: SC - Service Commercial
GENERAL PLAN: SC - Service Commercial
FLOOD ZONE: Flood Zone “X” according to Flood Insurance Rate Map (FIRM) No. 06021C0400D, dated August 5, 2010 issued by the Federal Emergency Management Agency (FEMA). Flood Zone “X” (unshaded) consists of areas of minimal risk outside the 1-percent and 0.2-percent annual chance floodplains. No base flood elevations or base flood depths are shown within this zone.
The Glenn County Planning Division is requesting comments on this proposal for determination of completeness, potential constraints, and/or proposed conditions of approval. If comments are not received by Thursday, January 12, 2023, it is assumed that there are no specific comments to be included in the analysis of the project. Comments submitted by e-mail are acceptable. Thank you for considering this matter.
AGENCY COMMENTS:
Please consider the following:
1. Is the information in the application complete enough to analyze impacts and conclude review?
2. Comments may include project-specific code requirements unique to the project. Cite code section and document (i.e., General Plan, Subdivision Map Act, etc.).
3. What are the recommended Conditions of Approval for this project and justification for each Condition? When should each Condition be accomplished (i.e., prior to any construction at the site, prior to recording the parcel map, filing the Final Map, or issuance of a Certificate of Occupancy, etc.)?
APPLICATION FOR TENTATIVE PARCEL MAP
NOTE: FAILURE TO ANSWER APPLICABLE QUESTIONS AND REQUIRED ATTACHMENTS COULD DELAY THE PROCESSING OF YOUR APPLICATION.
1. Applicant(s):
Name: Amardev Singh Jouhal
Address: P.O.Box 181188, Coronado, CA 92178
Phone:(Business) (Home) (619)522-4593
Fax: E-mail: firstname.lastname@example.org
2. Property Owner(s):
SAME AS #1 above
Name:
Address:
Phone:(Business) (Home)
Fax: E-mail:
3. Engineer/Surveyor:
Name: Hamilton Engineering Inc.
Mailing Address: P.O.Box 978, Orland, CA 95963
Phone:(Business) (530)865-8551 (Home)
Fax: (530)267-8347 E-mail: email@example.com
4. Name and address of property owner’s duly authorized agent (if applicable) who is to be furnished with notice of hearing (Section 65091 California Government Code).
Name: HAMILTON ENGINEERING INC.
Mailing Address: P.O. BOX 978, ORLAND, CA 95963
5. Is There a Deed of Trust on the Property? Yes No ✓
(If Yes, list the person(s):
Name: N/A
Mailing Address: N/A
6. Request or Proposal:
7. Address and Location of Project: 3698 County Rd 99W, Orland, CA 95963
8. Current Assessor’s Parcel Number(s): 024-090-013-000
9. Existing Zoning: Service Commercial
10. Existing Use of Property: VACANT land and one Dwelling (19.67 Ac)
11. Proposed Use of Property: TBD, but likely a business(s) compatible with Service Commercial
12. Number of Existing Residential Dwelling Units on each Resultant Parcel: TBD, but no more than one per resultant parcel.
13. Number of Parcels to be Created: 4 plus 1 Residual
14. Size for Each Parcel: 3.2 AC, 3.2 AC, 4.1 AC, 4.1 AC and 5.07 AC (Residual)
15. Request for Waiver: Yes No
(If “Yes”, a written request must be submitted when the map is filed).
16. Provide any additional information that may be helpful in evaluating this request: 19.67 Acres is too large for a single Business. Four Smaller Parcels, plus One Residual would optimize the size of each parcel and allow various businesses to Locate on this property.
DECLARATION UNDER PENALTY OF PERJURY
(Must be signed by Applicant(s) and Property Owner(s))
(Additional sheets may be necessary)
The Applicant(s) and/or Property Owner(s), by signing this application, shall be deemed to have agreed to defend, indemnify, release and hold harmless the County, its agents, officers, attorneys, employees, boards and commissions from any claim, action or proceeding brought against the foregoing individuals or entities, the purpose of which is to attack, set aside, void or null the approval of this development entitlement or approval or certification of the environmental document which accompanies it, or to obtain damages relating to such action(s). This indemnification agreement shall include, but not be limited to, damages, costs expenses, attorney fees or expert witness fees that may be asserted by any person or entity, including the applicant, arising out of or in connection with the approval of the entitlement whether or not there is concurrent passive or active negligence on the part of the County.
Applicant(s):
Signed:
Print: Amardev Singh Jouhal
Date: 11/23/2022
Address: P.O. Box 181188, Coronado, CA 92178
I am (We are) the owner(s) of property involved in this application and I (We) have completed this application and all other documents required.
I am (We are) the owner(s) of the property involved in this application and I (We) acknowledge the preparation and submission of this application.
I (We) declare under penalty of perjury that the foregoing is true and correct.
Property Owner(s):
Signed:
Print: Amardev Singh Jouhal
Date: 11/23/2022
Address: P.O. Box 181188, Coronado, CA 92178
ENVIRONMENTAL INFORMATION FORM
To be completed by applicant or engineer
Use extra sheets if necessary
This list is intended to meet the requirements of State of California Government Code Section 65940.
I. GENERAL INFORMATION:
1. Name: Amardev Singh Jouhal
Address, City, State, Zip: P.O. Box 181188, Coronado, CA 92718
Telephone: 619-522-4593 Fax:
E-mail: firstname.lastname@example.org
2. Name:
Address, City, State, Zip:
Telephone: Fax:
E-mail:
3. Address and Location of Project: 3698 County Road 99W
4. Current Assessor's Parcel Number(s): 024-09-013
5. Existing Zoning: Service Commercial
6. Existing Use: Designated Remainder: residential. Proposed P1-P4: Vacant
7. Proposed Use of Site (project for which this form is prepared): To be determined at a later time
8. Indicate the type of permit(s) application(s) to which this form pertains: Tentative Parcel Map
9. If the project involves a variance, conditional use permit, or rezoning application, state this and indicate clearly why the application is required: N/A
10. List and describe any other related permit(s) and other public approvals required for this project, including those required by city, regional, state, and federal agencies: none known
11. Have any special studies been prepared for the project site that are related to the proposed project including, but not limited to traffic, biology, wetlands delineation, archaeology, etc? No
II. ENVIRONMENTAL SETTING:
1. Describe in detail the project site as it exists before the project, including information on topography, soil stability, plants and animals (wetlands, if any), different crops, irrigation systems, streams, creeks, rivers, canals, water table depth, and any cultural historical or scenic aspects. Describe any existing structures on the site, and the use of the structures. Attach photographs of the site. Snapshots or Polaroid photos will be accepted.
Bare land south of the existing residential structures on the designated remainder
2. Describe the surrounding properties, including information on plants, animals, and any cultural, historical or scenic aspects. Indicate the type of land use (residential, commercial, agricultural, etc.), intensity of land use (one-family, apartment houses, shops, department stores, dairy, row crops, orchards, etc.) Attach photographs of the vicinity. Snapshots or Polaroid photos will be accepted.
North: Residential
East: Railroad and Orchard
South: Orland Artois Water District office
West: Highway Commercial businesses
3. Describe noise characteristics of the surrounding area (include significant noise sources): Road noise to the West and South and train crossing noise to the East
III. **SPECIFIC ITEMS OF IMPACT:**
1. **Drainage:**
Describe how increased runoff will be handled (on-site and off-site): No change in runoff anticipated
Will the project change any drainage patterns? (Please explain): No construction planned for this submittal
Will the project require the installation or replacement of storm drains or channels? If yes, indicate length, size, and capacity: no
Are there any gullies or areas of soil erosion? (Please explain): no
Do you plan to grade, disturb, or in any way change swales, drainages, ditches, gullies, ponds, low lying areas, seeps, springs, streams, creeks, river banks, or other area on the site that carries or holds water for any amount of time during the year? no
If yes, you may be required to obtain authorization from other agencies such as the Army Corps of Engineers or California Department of Fish and Game.
2. **Water Supply:**
Indicate and describe source of water supply (domestic well, irrigation district, private water company): well
Will the project require the installation or replacement of new water service mains? no
3. **Liquid Waste Disposal:**
Will liquid waste disposal be provided by private on-site septic system or public sewer?: on-site
If private on-site septic system, describe the proposed system (leach field or seepage pit) and include a statement and tests explaining percolation rates, soil types, and suitability for any onsite sewage disposal systems:
Will any special or unique sewage wastes be generated by this project other than normally associated with resident or employee restrooms? Industrial, chemical, manufacturing, animal wastes? (Please describe) no
Should waste be generated by the proposed project other than that normally associated with a single family residence, Waste Discharge Requirements may be required by the Regional Water Quality Control Board.
4. **Solid Waste Collection:**
How will solid waste be collected? Individual disposal, private carrier, city? Waste Management
5. **Source of Energy:**
What is the source of energy (electricity, natural gas, propane)? Electricity
If electricity, do any overhead electrical facilities require relocation? Is so, please describe: no
If natural gas, do existing gas lines have to be increased in size? If yes, please describe: no
Do existing gas lines require relocation? If yes, please describe: no
6. **Fire Protection:**
Indicate number and size of existing and/or proposed fire hydrants and distance from proposed buildings: no building planned at this time
Indicate number and capacity of existing and/or proposed water storage facilities and distance from proposed buildings: no water storage facilities planned at this time
IV. FOR ZONE CHANGE, ZONE VARIANCE, AND SPECIAL USE PERMIT APPLICATION:
1. Number and sizes of existing and proposed structures: N/A
2. Percentage of lot coverage:
3. Amount of off-street parking provided:
4. Will the project be constructed in phases? If so, please describe each phase briefly:
5. If residential, include the number of units, schedule of unit sizes, range of sale prices or rents, and type of household size expected:
6. If commercial, indicate type, estimated employment per shift, days and hours of operation, estimated number of daily customers/visitors on site at peak time, and loading facilities:
7. If industrial, indicate type, estimated employment per shift, and loading facilities:
8. If institutional, indicate the major function, estimated employment per shift, estimated occupancy, loading facilities, and community benefits to be derived from the project:
9. List types and quantities of any hazardous or toxic materials, chemicals, pesticides, flammable liquids, or other similar product used as a part of the operation and storage container sizes:
Submit Material Safety Data Sheets (MSDS) for any proposed hazardous materials. If hazardous materials are proposed, it is recommended that the applicant contact the Air Pollution Control District/CUPA for permitting requirements.
10. Describe any earthwork (grading) to be done and dust control methods to be used during construction:
____________________________________________________________________________________
11. Describe any potential noise or vibration sources associated with the project (i.e. compressor, machine noise, heavy equipment).
____________________________________________________________________________________
12. Describe source, type, and amount of air pollutant emissions (smoke, odors, steam, gases, water vapor, dust, chemicals) from the project. Describe what methods would be used to reduce emissions:
____________________________________________________________________________________
V. CERTIFICATION:
I hereby certify that the statements furnished above and in the attached exhibits present the data and information required for this initial evaluation to the best of my ability, and that the facts, statements and information presented are true and correct to the best of my knowledge and belief.
Date: 19 Dec 2022 Signature: ___________________________
For: ________________________________________________
According to Section 65943 for the California Government Code, your application will be reviewed within 30 days and you or your agent will receive written notice regarding the completeness of your application. Any reviewing agency may, in the course of processing the application, request the applicant to clarify, amplify, correct, or otherwise supplement the information required for the application.
According to Section 65944 (C), additional information may be requested in order to comply with Division 13 of the State of California Public Resources Code.
Project Site: 18.38 acres
APNs: 024-090-013
TPM2022-002, Jouhal
USGS 7.5 Minute Quadrangle Map: Orland, CA
Section 10, T21N, R3W, M.D.B. & M.
Glenn County Planning & Community Development Services Agency
Surveyor's Statement
This Tentative Parcel Map correctly represents a survey made by me or under my direction in conformance with the requirements of the Professional Land Surveyors' Act at the request of AMARDEV JOUHAL in November 2022.
Brian G. Hamilton, L.S., B&M
Hamilton Engineering Incorporated
PROPOSED PARCELS
PARCEL 1 3.80 ACRES
PARCEL 2 3.85 ACRES
PARCEL 3 3.00 ACRES
PARCEL 4 3.00 ACRES
REMAINDER 4.73 ACRES
TOTAL 16.38 ACRES
OWNERS CONSENT
THE UNDERSIGNING OWNERS HEREBY CONSENT TO THE PREPARATION OF THIS TENTATIVE PARCEL MAP
AMARDEV JOUHAL
OWNERS INFORMATION
APN: 024-090-013
AMARDEV JOUHAL
PO BOX 101118
ORLANDO CA 92178
(919) 522-4983
ELECTRICAL
PG&E
SEWER
ON-SITE SEPTIC
WATER
INDIVIDUAL ON-SITE WELLS
PROPOSED USE:
REMAINDER LOT: SINGLE FAMILY RESIDENTIAL
PARCELS 1,2,3,4 SERVICE COMMERCIAL
EXISTING USE: SINGLE RESIDENCE
CURRENT ZONING: SC
GENERAL PLAN DESIGNATION: SERVICE COMMERCIAL
TENTATIVE PARCEL MAP
THE SOUTH 159 FEET OF ALL THAT PART OF SOUTHWEST QUARTER OF SECTION 10, TOWNSHIP 21 NORTH, RANGE 5 WEST, WHICH LIES WEST OF THE RAILROAD RIGHT OF WAY AND EAST OF THE STATE HIGHWAY LEADING FROM ORLANDO TO THE CITY OF SAN FRANCISCO EXCEPTING THEREFROM A STRIP OF LAND OFF THE SOUTH AND THEREOF, 20 FEET IN WIDTH USED FOR A PUBLIC HIGHWAY.
PREPARED BY
HAMILTON ENGINEERING INC
P.O. BOX 978
ORLANDO, CA 92665, 530 855–0551
BRIAN G. HAMILTON
L.S., B&M
ENGINEER
NOVEMBER 2022
SHEET 1/CF 1 |
Freedom of Information and Privacy Acts
Subject: ZODIAC KILLER
File Number: 9-HQ-49911
SECTION 1
Federal Bureau of Investigation
THE BEST COPY OBTAINABLE IS INCLUDED IN THE REPRODUCTION OF THESE DOCUMENTS. PAGES INCLUDED THAT ARE BLURRED, LIGHT, OR OTHERWISE DIFFICULT TO READ ARE THE RESULT OF THE CONDITION OF THE ORIGINAL DOCUMENT. NO BETTER COPY CAN BE REPRODUCED.
TO: Director, FBI
ATTENTION: FBI Laboratory
FROM: SAC, Sacramento (9-68)
SUBJECT: UNKNOWN SUBJECT;
Vallejo Times Herald,
Vallejo, California
EXTORTION
Remytel, 8/1/69.
Enclosed herewith are the following documents:
(1) Original undated three page letter, beginning "Dear Editor, This is the zodiac speaking," ending with "did not get front page coverage." This letter was sent anonymously to the San Francisco Examiner, received, and turned over to Vallejo Police Department, 8/4/69.
(2) Photocopy of envelope and two page letter addressed to San Francisco Examiner, enclosing cipher.
(3) Photocopy of envelope and two page letter addressed to San Francisco Chronicle, enclosing cipher.
(4) Photocopy of envelope and two page letter addressed to Vallejo Times Herald, enclosing cipher.
These items are submitted in cooperation with the Vallejo Police Department. The original of items 2, 3, and 4 were examined by local police for latent fingerprints. Item 1 has not been examined and it is requested that it be processed for latent prints.
The ciphers enclosed with Items 2 - 4 were submitted by the Vallejo Police Department to the Navy Department, but were not examined by cryptographer.
Request that ciphers enclosed with Items 2 - 4 be examined to determine significance, if any. In this regard, police officials are of opinion that the letters were written by person responsible for the murder of the three and the wounding of the fourth victim. They have no idea as to the significance of the ciphers. It is further requested that letters and ciphers be compared with other threatening letters submitted to the FBI Laboratory.
All items should be returned to Sacramento, for return to the Vallejo Police Department, upon completion of examination.
No active investigation is being conducted by Sacramento, and none is requested of San Francisco.
Page(s) withheld entirely at this location in the file. One or more of the following statements, where indicated, explain this deletion.
Deletions were made pursuant to the exemptions indicated below with no segregable material available for release to you.
**Section 552**
- [ ] (b)(1)
- [ ] (b)(2)
- [ ] (b)(3)
- [ ] (b)(4)
- [ ] (b)(5)
- [ ] (b)(6)
**Section 552a**
- [ ] (d)(5)
- [ ] (j)(2)
- [ ] (k)(1)
- [ ] (k)(2)
- [ ] (k)(3)
- [ ] (k)(4)
- [ ] (k)(5)
- [ ] (k)(6)
- [ ] (k)(7)
- [ ] Information pertained only to a third party with no reference to the subject of your request or the subject of your request is listed in the title only.
- [ ] Documents originated with another Government agency(ies). These documents were referred to that agency(ies) for review and direct response to you.
- Pages contain information furnished by another Government agency(ies). You will be advised by the FBI as to the releasability of this information following our consultation with the other agency(ies).
- Page(s) withheld inasmuch as a final release determination has not been made. You will be advised as to the disposition at a later date.
- Pages were not considered for release as they are duplicative of __________________________________________
- Page(s) withheld for the following reason(s): _______________________________________________________
The following number is to be used for reference regarding these pages: 9 - 49911 - 1 pages 4 thru 33
XXXXXXXXXXXXXXXXX
X Deleted Page(s) X
X No Duplication Fee X
X for this page X
XXXXXXXXXXXXXXXXX
FEDERAL BUREAU OF INVESTIGATION
WASHINGTON, D.C. 20535
To: FBI, Sacramento (9-68)
Date: August 18, 1969
Re: UNKNOWN SUBJECT; Vallejo Times Herold, Vallejo, California Extortion
Examination requested by: Sacramento
Reference: Airtel 8/6/69
Examination requested: Document - Fingerprint - Cryptanalysis
Remarks: The results of the fingerprint and cryptographic examinations will be furnished under separate cover.
Enclosures (14) (Qc4 - Qc15, 2 Lab report)
2 - San Francisco Enclosures (2) (2 Lab report)
MAIL ROOM TELETYPE UNIT ADMINISTRATIVE PAGE
To: FBI, Sacramento (9-68)
Date: August 18, 1969
Re: UNKNOWN SUBJECT;
Vallejo Times Herold,
Vallejo, California
Extortion
Specimens received 8/8/69
Q1 Three-page hand printed letter, first page beginning "Dear Editor This is the Zodiac speaking..."
Q2 Second page of letter beginning "knee. I did not leave the scene of the killing..."
Q3 Third page of letter beginning "by high hill and trees..." signed "NO ADDRESS"
Qc4 Photocopy of envelope postmarked "SAN FRANCISCO, CALIF FM 31 JUL 1969," bearing hand printed address "S. F. EXAMINER San Fran, Calif PLEASE RUSH TO EDITOR"
Qc5 Accompanying photocopy of two-page hand printed letter, first page beginning "Dear Editor This is the murderer of the 2 teenagers..."
Qc6 Second page of letter beginning "Here is part of a cipher the other 2 parts of this cipher are being mailed..."
Qc7 Photocopy of cipher accompanying the Qc5 and Qc6 letter
Qc8 Photocopy of envelope postmarked "SAN FRANCISCO, CALIF FM 31 JUL 1969," bearing hand printed address "S. F. Chronicle San Fran, Calif. Please Rush to Editor!" and on flap "Please Rush to Editor!"
Page 1 (continued on next page)
LMS: sk (6) SK
Qc9 Accompanying photocopy of two-page hand printed letter, first page beginning "Dear Editor I am the killer of the 2 teenagers..."
Qc10 Second page of letter beginning "do not print this cipher, I will go on a Kill rampage..."
Qc11 Photocopy of cipher accompanying the Qc9 and Qc10 letter
Qc12 Photocopy of envelope postmarked "SAN FRANCISCO, CALIF 1A PM 31 JUL 1969," bearing hand printed address "Vallejo Time Herald Vallejo Calif Please Rush To Editor"
Qc13 Accompanying photocopy of two-page hand printed letter, first page beginning "I am the killer of the 2 teenagers..."
Qc14 Second page of letter beginning "cipher in your front page..."
Qc15 Photocopy of cipher accompanying the Qc13 and Qc14 letter
Result of examination:
Q1 through Qc15 were searched through the Anonymous Letter File without effecting an identification. Copies of these specimens have been added to this file for future reference.
The watermark "FIFTH AVENUE" appears on Q1 through Q3. This is a watermark of the F. W. Woolworth Company, Woolworth Building, New York, New York. No indented writing was found on Q1 through Q3 which would be of value in determining the source of these specimens.
Q1 through Q3 were photographed and are being returned separately. Qc4 through Qc15 are returned herewith. Photocopies of Qc4 through Qc15 are retained.
Page(s) withheld entirely at this location in the file. One or more of the following statements, where indicated, explain this deletion.
☐ Deletions were made pursuant to the exemptions indicated below with no segregable material available for release to you.
| Section 552 | Section 552a |
|-------------|--------------|
| (b)(1) | (b)(7)(A) |
| (b)(2) | (b)(7)(B) |
| (b)(3) | (b)(7)(C) |
| | (b)(7)(D) |
| | (b)(7)(E) |
| | (b)(7)(F) |
| (b)(4) | (b)(8) |
| (b)(5) | (b)(9) |
| (b)(6) | |
☐ Information pertained only to a third party with no reference to the subject of your request or the subject of your request is listed in the title only.
☐ Documents originated with another Government agency(ies). These documents were referred to that agency(ies) for review and direct response to you.
_____ Pages contain information furnished by another Government agency(ies). You will be advised by the FBI as to the releasability of this information following our consultation with the other agency(ies).
_____ Page(s) withheld inasmuch as a final release determination has not been made. You will be advised as to the disposition at a later date.
_____ Pages were not considered for release as they are duplicative of 9-4991-4 page 6
_____ Page(s) withheld for the following reason(s):
_____ The following number is to be used for reference regarding these pages: 9-4991-1 page 37
XXXXXXXXXXXXXXX
X Deleted Page(s) X
X No Duplication Fee X
X for this page X
XXXXXXXXXXXXXXX
Page(s) withheld entirely at this location in the file. One or more of the following statements, where indicated, explain this deletion.
Deletions were made pursuant to the exemptions indicated below with no segregable material available for release to you.
**Section 552**
- [ ] (b)(1)
- [ ] (b)(2)
- [ ] (b)(3)
- [ ] (b)(4)
- [ ] (b)(5)
- [ ] (b)(6)
**Section 552a**
- [ ] (b)(7)(A)
- [ ] (b)(7)(B)
- [ ] (b)(7)(C)
- [ ] (b)(7)(D)
- [ ] (b)(7)(E)
- [ ] (b)(7)(F)
- [ ] (b)(8)
- [ ] (b)(9)
Information pertained only to a third party with no reference to the subject of your request or the subject of your request is listed in the title only.
Documents originated with another Government agency(ies). These documents were referred to that agency(ies) for review and direct response to you.
Pages contain information furnished by another Government agency(ies). You will be advised by the FBI as to the releasability of this information following our consultation with the other agency(ies).
Page(s) withheld inasmuch as a final release determination has not been made. You will be advised as to the disposition at a later date.
Pages were not considered for release as they are duplicative of
Page(s) withheld for the following reason(s):
The following number is to be used for reference regarding these pages:
9-4991-1 Pages 38, 39, 40
XXXXXXXXXXXXXXXXX
X Deleted Page(s) X
X No Duplication Fee X
X for this page X
XXXXXXXXXXXXXXXXX
11/20
These are copies of some of the specimens in the case. Copies of all specimens being maintained in Lab Files.
67K
TO: DIRECTOR, FBI
ATTN: FBI LABORATORY
FROM: SAC, SACRAMENTO (9-68) (P)
SUBJECT: UNKNOWN SUBJECT;
"Vallejo Times-Herald"
Vallejo, California - VICTIM EXTORTION
Re Sacramento airtel to Bureau dated 8/6/69.
Enclosed herewith is an envelope bearing postmark San Francisco, Calif., 8/10/69, addressed to Sgt. [redacted] Vallejo Police Department, Vallejo, Calif., enclosing a 3 x 5 card bearing a typewritten note beginning "Dear Sgt. [redacted]" and ending with "concerned citizen". Also enclosed is a "key", which was furnished to the Vallejo Police Department by the anonymous letter writer who states, "I hope the enclosed key will prove to be beneficial to you in connection with the cipher letter writer".
It is requested that the enclosed items be examined for latent fingerprints. The "key" may or may not have some bearing upon the solution of the cipher enclosed with referenced airtel.
These items should be returned to San Francisco for return to the Vallejo Police Department upon completion of the examination.
Approved: ___________________________
Special Agent in Charge
To: FBI, Sacramento (9-68)
Date: August 21, 1969
Re: UNKNOWN SUBJECT;
"Vallejo Times-Herald"
Vallejo, California -
VICTIM
EXTORTION
Examination requested by: Sacramento
Reference: Airtel 8/14/69
Examination requested: Document-Fingerprint-Cryptanalysis
Specimens received 8/16/69
Q16 Envelope postmarked "San Francisco Calif. 3A PM 10 AUG 1969," bearing the typewritten address "Sergeant [redacted] Vallejo Police Department Vallejo, California"
Q17 Accompanying white 3" x 5" card bearing the typewritten note beginning "Dear Sergeant [redacted] I hope the enclosed key ..."
Sheet of white paper bearing hand printed letters and symbols beginning "A - G - S - (backwards) L ..."
Remarks:
The items submitted with reairtel have been received and designated Q16 through Q18 as indicated above.
You did not request any specific document examinations of these items; however, they were examined for watermarks and indented writing but none were found. It is noted that the typewriting on Q16 and Q17 contains numerous defects which would be of value in identifying a suspect machine; however, this typewriting is too limited to classify with any degree of accuracy. No further document examinations regarding these items are being conducted without a specific request.
Q18 through Q18 were photographed and are being forwarded to San Francisco per your request under separate cover.
The results of the cryptographic and fingerprint examinations are also being furnished separately.
No Laboratory report is attached.
FEDERAL BUREAU OF INVESTIGATION
WASHINGTON, D. C. 20535
To: FBI, Sacramento (9-68)
Date: August 20, 1969
UNKNOWN SUBJECT
"Vallejo Times-Herald"
Vallejo, California
EXTORTION
Examination requested by: Sacramento
Reference: Airtel 8/6/69 and 8/14/69
Examination requested: Document - Fingerprint - Cryptanalysis
Remarks:
MAILED 22 AUG 20 1969
COMM-FBI
Enclosures (2) (2 Lab Reports)
1 - Mr. [redacted] (sent direct)
KTB:sdh 8/21/69
ADMINISTRATIVE PAGE
SEP 10 1969
MAIL ROOM TELETYPE UNIT
19 AUG 22 1969
Q18 Sheet of white paper bearing hand printed letters and symbols beginning "A - G - S -(backwards)L . . ."
Result of examination:
Q18 is a substantially accurate key for decryption of previously submitted specimens Qc7, Qc11, and Qc15.
The specimens will be returned to you separately. The results of the document and fingerprint examinations will be furnished to you separately.
TO: DIRECTOR, FBI
ATTN: FBI LABORATORY
FROM: SAC, SACRAMENTO (9-68) (P)
SUBJECT: UNKNOWN SUBJECT;
"Vallejo Times-Herald"
Vallejo, California -
VICTIM
EXTORTION
Re Sacramento airtel to Bureau dated 8/6/69.
Enclosed herewith is an envelope bearing postmark San Francisco, Calif., 8/10/69, addressed to Sgt. [redacted] Vallejo Police Department, Vallejo, Calif., enclosing a 3 x 5 card bearing a typewritten note beginning "Dear Sgt. [redacted]" and ending with "concerned citizen". Also enclosed is a "key", which was furnished to the Vallejo Police Department by the anonymous letter writer who states, "I hope the enclosed key will prove to be beneficial to you in connection with the cipher letter writer".
It is requested that the enclosed items be examined for latent fingerprints. The "key" may or may not have some bearing upon the solution of the cipher enclosed with referenced airtel.
These items should be returned to San Francisco for return to the Vallejo Police Department upon completion of the examination.
2 - Bureau (Enc. 3) (AM RM)
2 - Sacramento
FBB:cde
(4) Lab Report to SC
dated 8/14/69
KTB/PAL
Recorded 8/18/69
11K
FEDERAL BUREAU OF INVESTIGATION
UNITED STATES DEPARTMENT OF JUSTICE
Laboratory Work Sheet
Re: UNKNOWN SUBJECT;
"Vallejo Times-Herald"
Vallejo, California -
VICTIM
EXTORTION
Examination requested by: Sacramento (9-68) Airtel 8/14/69
Examination requested: Document-Fingerprint-Crypt.
Result of Examination:
Generally invalid decryption
equivalent for Qc L11 and 15
Column 1 is p-c; Column 2 is c-p
Col 1, Xp should be T, not J
Col 2, Qc = Kp, Lp, not verifiable and Fp should be Q, not D
Not verifiable all Ac = Up, Ic = Op, and Lc = Lp
Specimens submitted for examination
Q16 Envelope postmarked "San Francisco Calif. 3A PM
10 AUG 1969," bearing the typewritten address
"Sergeant________ Vallejo Police Department
Vallejo, California"
Q17 A Accompanying white 3" x 5" card bearing the
typewritten note beginning "Dear Sergeant________
I hope the enclosed "key"..."
Q18 Sheet of white paper bearing hand printed letters
and symbols beginning "A - G - S - (backwards) L ..."
Return evidence
2 - S.F.
TO: DIRECTOR, FBI
(ATTN.: FBI LABORATORY)
FROM: SAC, SACRAMENTO (9-68)
SUBJECT: UNKNOWN SUBJECT;
"Vallejo Times-Herald"
Vallejo, California -
VICTIM
EXTORTION
Re Sacramento airtel to the Bureau, dated 8/6/69.
Enclosed herewith is a newspaper article appearing in the "Vallejo Times-Herald" 8/9/69, in which DONALD G. HARDEN, Salinas, California, claims to have broken the cipher. HARDEN's translation is set out in the newspaper article.
This clipping is submitted for whatever value it might have in request of Sacramento that the ciphers be examined to determine significance.
ENCLOSURE
ENCLOSURE ATTACHED
2 - Bureau (Enc. 1) (RM)
2 - Sacramento
FBB/il
(4)
Lab Rep to SC
8/19/69 KTB, TWS
REO 9 9-49911-4
Approved: ___________________________ Sent ______________ M Per ______________
Special Agent in Charge
Cryptogram Deciphered By Teacher
Vallejo Police Certain Killer Wrote Messages
The cipher sent to the Times-Herald by a man who claims he murdered three people in Vallejo apparently has been broken. It spells out a chilling message of killing for thrills. Police are convinced the cipher translation is accurate and that the author is indeed the killer, Donald E. Harden, a Salinas high school teacher of history and economics and an amateur cryptographer said he and his wife broke the cipher after about 20 hours of work. "As you can see," Harden said of the cryptogram, "this spelling is rather poor, but in some places he had made errors in the use of his own cipher.
These errors," Harden said, showed in incomprehensible groupings of letters, but the writer's message was fairly clear.
Harden's translation of the cryptogram, with sensible meanings of unintelligible words added in parentheses, reads:
"I LIKE KILLING PEOPLE BECAUSE IT IS SO MUCH FUN IT IS MORE FUN THAN KILLING IS A GAME TO ME THE DIRTIEST BECAUSE MAN IS THE MOST HONEST FUR (man, boy) ANIMAL OF ALL TO KILL SOMETHING THAT YOU THRILLING EXPERIENCE IT IS EVEN BETTER THAN GETTING YOUR PAST WITH A GIRL MY BEST PART OF IT I ATTACH ITS THAT WHEN I DIE I WILL BE REBORN IN PARADISE AND ALL THE HARD KILLERS WILL BECOME MY SLAVES I WILL NOT GIVE YOU MY NAME BECAUSE YOU WILL TRY TO SLOW DOWN MY MIND AND STOP MY COLLECTING OF SLAVES FOR MY AFTERLIFE EEBQ, RIST EMETH HPHT."
PUZZLING WORDS
There is no ready explanation for the last four words although possibly they have something to do with a signature.
Det. Sgt. John Lynch, who with Det. Sgt. Ed Burd, in charge of the murder investigation case, said, "There is no doubt in my mind that this is a true translation of the cipher and that the murderer wrote it. You can almost check the cipher against itself.
"I think perhaps the man's name is in the cryptogram, possibly in the last word."
Lynch talked to Harden and said, "I'm convinced he has it solved." He said he would talk to him again today. Meanwhile, Lynch and Harden's wife checked in sturming and comparing them with the three-part cryptogram and the translation.
In interviews delivered Aug. 14 to the Times-Herald, San Francisco Examiner and San Francisco Chronicle, the writer said he had killed two teenagers last weekend on the Hermits' Road and a young woman July 4 at Blue Rock Springs park.
THREE LETTERS
All three of the letters postmarked July 31 in San Francisco, the writer included a different cryptogram with instructions to submit them to Page 1 of the paper for an answer killing crime. The Vallejo Chronicle and the San Francisco Chronicle published the cryptogram and asked for suggestions from readers until two days later. The newspaper got a reply letter from the writer explaining the code used and bringing forward the message.
Lynch said the writer tried to make the cipher more difficult by using 18 different symbols for all the most commonly used letters in the language.
He said that in an obvious attempt to throw cryptanalysts off the track, the writer used a character "Q" in place of an effort to make the analysis think it stood for "e." Harden said he at first thought it did.
THREE CLUES
The Salinas school teacher said he broke the code by looking for four-letter patterns which would fit with the word "kill."
"We felt that 'K' would be used more than once," he said. Actually, the writer used "K" only once in the line twice and "drilling" and "kills" once each.
Lynch said he would devote more time to the cipher and its translation and would confer with Harden again.
See DECODED Page 2
FBI, Sacramento (9-68)
Date: August 19, 1969
Re: UNKNOWN SUBJECT;
Vallejo Times Herald
Vallejo, California
EXTORTION
Examination requested by: Sacramento
Reference:
Airtels 8/8/69 and 8/12/69
Examination requested: Document - Fingerprint - Cryptanalysis
Remarks:
MAILED 8 AUG 19 1969
COMM-FBI
Tolson _______ 1 - Mr. (sent direct)
Dietrich _______
Mohr _________
Bishop ________
Casper ________
Callahan ______
Conrad ________
Felt _________
Gale _________
Rosen ________
Sutton ________
Tavel _________
Trotter _______
Tele. Room ______
Holmes ________
Ward _________
KTB:trs (7) 67C
ADMINISTRATIVE PAGE
REPORT
of the
FBI
LABORATORY
FEDERAL BUREAU OF INVESTIGATION
WASHINGTON, D.C. 20535
To: FBI, Sacramento (9-68)
Date: August 19, 1969
FBI File No.
Lab. No. CR-13408 KJ
UNKNOWN SUBJECT;
Vallejo Times Herald
Vallejo, California
EXTORTION
Specimens received 8/8/69
Qc7 Photocopy of cipher accompanying the Qc5 and Qc6 letter.
Qc11 Photocopy of cipher accompanying the Qc9 and Qc10 letter.
Qc15 Photocopy of cipher accompanying the Qc13 and Qc14 letter.
Result of examination:
Qc15, Qc11, and Qc7, in that order, constitute a message encrypted with a uniliteral, substitution cryptosystem with variants. The message reads:
"I like killing people because it is so much fun. It is more fun than killing wild game in the forest because man is the most dangerous animal of all. To kill something gives me the most thrilling experience. It is even better than getting your rocks off with a girl. The best part of it is that when I die I will be reborn in paradise and all the (word missing) I have killed will become my slaves. I will not give you my name because you will try to slow down or stop my collecting of slaves for my afterlife (remainder of message garbled).
The specimens and results of the document and fingerprint examinations are being furnished separately."
RECORDED 8-12-69
cp
FEDERAL BUREAU OF INVESTIGATION
UNITED STATES DEPARTMENT OF JUSTICE
Laboratory Work Sheet
Re: UNKNOWN SUBJECT;
Vallejo Times Herald,
Vallejo, California
EXTORTION
Examination requested by: Sacramento (9-68) A. 8-6-69
Examination requested: Document - Fingerprint -
Crypt. Date received: 8-8-69
Result of Examination: Examination by:
Specimens submitted for examination
Q1 Three page hand printed letter, first page beginning "Dear Editor This is the Zodiac speaking..."
Q2 Second page beginning "knee. I did not leave the gene of the killing..."
Q3 Third page beginning "by high hill and trees..." and signed "NO ADDRESS"
Q4 Photocopy of envelope postmarked "SAN FRANCISCO, CALIF. PM 31 JUL 1969" bearing hand printed address "S. F. EXAMINER San Fran, Calif PLEASE RUSH TO EDITOR"
Q5 Accompanying photocopy of two page hand printed letter first page beginning "Dear Editor This is the murderer of the 2 teenagers..."
Q6 Second page beginning "Here is part of a cipher the other 2 parts of this cipher are being mailed..."
Q7 Photocopy of cipher accompanying Q5 and Q6 letter
Page 1 CONTINUED ON NEXT PAGE)
Qc8 Photocopy of envelope postmarked "SAN FRANCISCO, CALIF. PM 31 JUL 1969" bearing hand printed address "S. F. Chronicle San Fran, Calif Please Rush to Editor!" and on flap "Please Rush to Editor"
Qc9 Accompanying photocopy of two page hand printed letter first page beginning "Dear Editor I am the killer of the 2 teenagers..."
Qc10 Second page beginning "do not print this cipher, I will be on a kill rampage..."
Qc11 Photocopy of cipher accompanying Qc9 and Qc10 letter
Qc12 Photocopy of envelope postmarked "SAN FRANCISCO, CALIF IA PM 31 JUL 1969" bearing hand printed address "Vallejo Time Harold Vallejo Calif Please Rush To Editor"
Qc13 Accompanying photocopy of two page hand printed letter first page beginning "I am the killer of the 2 teenagers..."
Qc14 Second page beginning "cipher in your front page..."
Qc15 Photocopy of cipher accompanying Qc13 and Qc14 letter
Page 2
D-690808059 LL
_____ Page(s) withheld entirely at this location in the file. One or more of the following statements, where indicated, explain this deletion.
☐ Deletions were made pursuant to the exemptions indicated below with no segregable material available for release to you.
**Section 552**
☐ (b)(1)
☐ (b)(7)(A)
☐ (d)(5)
☐ (b)(2)
☐ (b)(7)(B)
☐ (j)(2)
☐ (b)(3)
☐ (b)(7)(C)
☐ (k)(1)
☐ (b)(4)
☐ (b)(7)(D)
☐ (k)(2)
☐ (b)(5)
☐ (b)(7)(E)
☐ (k)(3)
☐ (b)(6)
☐ (b)(7)(F)
☐ (k)(4)
☐ (b)(8)
☐ (k)(5)
☐ (b)(9)
☐ (k)(6)
☐ (k)(7)
☐ Information pertained only to a third party with no reference to the subject of your request or the subject of your request is listed in the title only.
☐ Documents originated with another Government agency(ies). These documents were referred to that agency(ies) for review and direct response to you.
_____ Pages contain information furnished by another Government agency(ies). You will be advised by the FBI as to the releasability of this information following our consultation with the other agency(ies).
_____ Page(s) withheld inasmuch as a final release determination has not been made. You will be advised as to the disposition at a later date.
_____ Pages were not considered for release as they are duplicative of 9-49911-1 pages 1, 2
_____ Page(s) withheld for the following reason(s): _______________________________________________________
_____ The following number is to be used for reference regarding these pages: 9-49911-4 pages 7, 8
XXXXXXXXXXXXXXXXX
X Deleted Page(s) X
X No Duplication Fee X
X for this page X
XXXXXXXXXXXXXXXXX
Enclosed Q specimens are described in a separate Laboratory report, which will also furnish disposition of submitted copies of envelopes, letters, and ciphers.
Specimens examined and one latent fingerprint of value developed on second page of letter, Q2, and one latent fingerprint of value developed on third page of letter, Q3.
Latent fingerprint searched through extortion section of single fingerprint file, but no identification effected.
Enc. (3)
AUG 26 1969
John Edgar Hoover, Director
THIS REPORT IS FURNISHED FOR OFFICIAL USE ONLY
RECORDED FEDERAL BUREAU OF INVESTIGATION
8-12-69 UNITED STATES DEPARTMENT OF JUSTICE
cp Recorded: 8-19-69 7:35 a.m. Received: 8-19-69 sjh
Laboratory Work Sheet
Re: UNKNOWN SUBJECT;
Vallejo Times Herald,
Vallejo, California
EXTORTION
Examination requested by: Sacramento (9-68) A. 8-6-69
Examination requested: Document - Fingerprint - Crypt.
Result of Examination:
Specimens submitted for examination
Q1 Three page hand printed letter, first page beginning "Dear Editor This is the Zodiac speaking..."
Q2 Second page beginning "knee. I did not leave the scene of the killing..."
Q3 Third page beginning "by high hill and trees..." and signed "NO ADDRESS"
Qc4 Photocopy of envelope postmarked "SAN FRANCISCO, CALIF PM 31 JUL 1969" bearing hand printed address "S. F. EXAMINER San Fran, Calif PLEASE RUSH TO EDITOR"
Qc5 Accompanying photocopy of two page hand printed letter first page beginning "Dear Editor This is the murderer of the 2 teenagers..."
Qc6 Second page beginning "Here is part of a cipher the other 2 parts of this cipher are being mailed..."
Qc7 Photocopy of cipher accompanying Qc5 and Qc6 letter
Page 1
CONTINUED ON NEXT PAGE)
Qc8 Photocopy of envelope postmarked "SAN FRANCISCO, CALIF PM 31 JUL 1969" bearing hand printed address "S. F. Chronicle San Fran, Calif. Please Rush to Editor!" and on flap "Please Rush to Editor"
Qc9 Accompanying photocopy of two page hand printed letter first page beginning "Dear Editor I am the killer of the 2 teenagers..."
Qc10 Second page beginning "do not print this cipher, I will go on a kill rampage..."
Qc11 Photocopy of cipher accompanying Qc9 and Qc10 letter
Qc12 Photocopy of envelope postmarked "SAN FRANCISCO, CALIF 1A PM 31 JUL 1969" bearing hand printed address "Vallejo Time Harold Vallejo Calif Please Rush To Editor"
Qc13 Accompanying photocopy of two page hand printed letter first page beginning "I am the killer of the 2 teenagers..."
Qc14 Second page beginning "cipher in your front page..."
Qc15 Photocopy of cipher accompanying Qc13 and Qc14 letter
Examination completed 3:12 PM 8/20/69 Dictated 8/20/69
Time Date Dictated Date
Page(s) withheld entirely at this location in the file. One or more of the following statements, where indicated, explain this deletion.
☐ Deletions were made pursuant to the exemptions indicated below with no segregable material available for release to you.
| Section 552 | Section 552a |
|-------------|--------------|
| (b)(1) | (d)(5) |
| (b)(2) | (j)(2) |
| (b)(3) | (k)(1) |
| | (k)(2) |
| | (k)(3) |
| | (k)(4) |
| (b)(4) | (k)(5) |
| (b)(5) | (k)(6) |
| (b)(6) | (k)(7) |
☐ Information pertained only to a third party with no reference to the subject of your request or the subject of your request is listed in the title only.
☐ Documents originated with another Government agency(ies). These documents were referred to that agency(ies) for review and direct response to you.
_____ Pages contain information furnished by another Government agency(ies). You will be advised by the FBI as to the releasability of this information following our consultation with the other agency(ies).
_____ Page(s) withheld inasmuch as a final release determination has not been made. You will be advised as to the disposition at a later date.
_____ Pages were not considered for release as they are duplicative of 9-49911-1 pages 1,2
_____ Page(s) withheld for the following reason(s):
_____ The following number is to be used for reference regarding these pages:
9-49911-5 pages 4,5
XXXXXXXXXXXXXXXXX
X Deleted Page(s) X
X No Duplication Fee X
X for this page X
XXXXXXXXXXXXXXXXX
FEDERAL BUREAU OF INVESTIGATION
Washington, D.C. 20537
REPORT
of the
IDENTIFICATION DIVISION
LATENT FINGERPRINT SECTION
COLOR FILE NO. 9-68
FBI FILE NO. 9-49911
LATENT CASE NO. A-10042
August 28, 1969
TO: SAC, Sacramento
RE: UNKNOWN SUBJECT:
"VALLEJO TIMES-HERALD"
VALLEJO, CALIFORNIA - VICTIM
EXTORTION
REFERENCE: Airtel 8/14/69
Examination requested by: Sacramento
Specimens: Q16 through Q18, envelope, 3 x 5 card, and sheet of white paper
The enclosed Q specimens are described in a separate Laboratory report.
One latent palm print of value developed on envelope, Q16.
ST-110
REG 43 9-49911-6
MAILED 22
AUG 28 1969
COMM-FBI
Enc (3)
John Edgar Hoover, Director
THIS REPORT IS FURNISHED FOR OFFICIAL USE ONLY
RECEIVED: 8-21-69 lrj
RECORDED: 8-21-69 8:10 a.m.
Re: UNKNOWN SUBJECT;
"Vallejo Times-Herald"
Vallejo, California -
VICTIM
EXTORTION
Examination requested by: Sacramento (9-98) Airtel 8/14/69
Examination requested: Document-Fingerprint-Crypt.
Result of Examination:
Q16 Envelope postmarked "San Francisco Calif. 3A PM
10 AUG 1969," bearing the typewritten address
"Sergeant [redacted] Vallejo Police Department
Vallejo, California"
Q17 a Accompanying white 3" x 5" card bearing the
typewritten note beginning "Dear Sergeant [redacted]
I hope the enclosed "key",..."
Q18 Sheet of white paper bearing hand printed letters
and symbols beginning "A - G - S - (backwards) L ..."
Specimens submitted for examination
Specimens destroyed & retd. lab
Lab rep't. sup.
Return evidence
Examination completed 10:35 A.M. 8/26/69
Time Date Dictated 8/26/69
Date Dictated
Page(s) withheld entirely at this location in the file. One or more of the following statements, where indicated, explain this deletion.
☐ Deletions were made pursuant to the exemptions indicated below with no segregable material available for release to you.
**Section 552**
☐ (b)(1)
☐ (b)(2)
☐ (b)(3)
☐ (b)(4)
☐ (b)(5)
☐ (b)(6)
☐ (b)(7)(A)
☐ (b)(7)(B)
☐ (b)(7)(C)
☐ (b)(7)(D)
☐ (b)(7)(E)
☐ (b)(7)(F)
☐ (b)(8)
☐ (b)(9)
**Section 552a**
☐ (d)(5)
☐ (j)(2)
☐ (k)(1)
☐ (k)(2)
☐ (k)(3)
☐ (k)(4)
☐ (k)(5)
☐ (k)(6)
☐ (k)(7)
☐ Information pertained only to a third party with no reference to the subject of your request or the subject of your request is listed in the title only.
☐ Documents originated with another Government agency(ies). These documents were referred to that agency(ies) for review and direct response to you.
_____ Pages contain information furnished by another Government agency(ies). You will be advised by the FBI as to the releasability of this information following our consultation with the other agency(ies).
_____ Page(s) withheld inasmuch as a final release determination has not been made. You will be advised as to the disposition at a later date.
_____ Pages were not considered for release as they are duplicative of 9-49911-2 page 1
_____ Page(s) withheld for the following reason(s):
_____ The following number is to be used for reference regarding these pages:
9-49911-6 page 3
XXXXXXXXXXXXXXXXX
X Deleted Page(s) X
X No Duplication Fee X
X for this page X
XXXXXXXXXXXXXXXXX
BY WAY OF BACKGROUND, THERE WERE A YOUNG BOY AND GIRL MURDERED IN A LOVER'S LANE NEAR VALLEJO, CALIFORNIA APPROXIMATELY CHRISTMAS, NINETEEN SIXTY-EIGHT. AROUND THE FOURTH OF JULY, NINETEEN SIXTY-NINE, THERE WAS A YOUNG GIRL MURDERED AND HER MALE COMPANION WAS SHOT AND GRAVELY WOUNDED. ALSO IN A LOVER'S LANE. THESE CASES ARE INVOLVED TO DATE.
1 Page(s) withheld entirely at this location in the file. One or more of the following statements, where indicated, explain this deletion.
☒ Deletions were made pursuant to the exemptions indicated below with no segregable material available for release to you.
| Section 552 | Section 552a |
|-------------|--------------|
| (b)(1) | (b)(7)(A) |
| (b)(2) | (b)(7)(B) |
| (b)(3) | (b)(7)(C) |
| | (b)(7)(D) |
| | (b)(7)(E) |
| | (b)(7)(F) |
| (b)(4) | (b)(8) |
| (b)(5) | (b)(9) |
| (b)(6) | |
☐ Information pertained only to a third party with no reference to the subject of your request or the subject of your request is listed in the title only.
☐ Documents originated with another Government agency(ies). These documents were referred to that agency(ies) for review and direct response to you.
_____ Pages contain information furnished by another Government agency(ies). You will be advised by the FBI as to the releasability of this information following our consultation with the other agency(ies).
_____ Page(s) withheld inasmuch as a final release determination has not been made. You will be advised as to the disposition at a later date.
_____ Pages were not considered for release as they are duplicative of ______________________________________
_____ Page(s) withheld for the following reason(s): _______________________________________________________
☒ The following number is to be used for reference regarding these pages:
9-49911-7 page 2
XXXXXXXXXXXXXXXXX
X Deleted Page(s) X
X No Duplication Fee X
X for this page X
XXXXXXXXXXXXXXXXX
VALLEJO PD HAS PROCESSED THE LETTER AND ENVELOPE AND HAVE DEVELOPED LATENT FINGERPRINTS. THIS DEPARTMENT HAS VERIFIED THE SENDING OF THE LETTERS TO THE SAN FRANCISCO "EXAMINER" AND SAN FRANCISCO "CHRONICLE" AND IS PICKING UP THESE TWO LETTERS FOR RETURN TO VALLEJO PD. [BLANK] VALLEJO PD, ADVISES HE HAS NOT SEEN THESE LETTERS, BUT THEY HAVE BEEN READ TO HIM AND THE TEXT IS SIMILAR, IF NOT IDENTICAL, TO THE LETTER WRITTEN TO THE VALLEJO "TIMES-HERALD". HE STATES THE FACTS RELATED BY THE ANONYMOUS WRITER ARE FACTUAL. SOME OF THIS INFORMATION, BUT NOT END PAGE THREE.
ALL, WAS RELATED IN THE LOCAL NEWSPAPER. STATES
THE LETTERS RECEIVED BY THE SAN FRANCISCO "EXAMINER" AND THE
SAN FRANCISCO "CHRONICLE" HAVE BEEN PROCESSED FOR LATENT FINGER-
PRINTS BY THE SAN FRANCISCO PD.
VALLEJO PD HAS SUBMITTED THE WRITING ACCOMPANYING THE
LETTER TO THE VALLEJO "TIMES-HERALD" TO THE CRYPTOGRAPHIC UNIT,
U.S. NAVY RADIO STATION, SKAGGS ISLAND, NEAR VALLEJO, CALIFORNIA.
LOCAL AUTHORITIES HAVE SPECIAL PATROLS AND ALL LOVER'S LANE
AREAS ARE BEING COVERED FOR THE NEXT FEW NIGHTS.
NO ACTIVE INVESTIGATION IS BEING CONDUCTED BY SACRAMENTO
IN VIEW OF THE INVESTIGATION BY BOTH THE SOLANO COUNTY SHERIFF'S OFFICE
AND THE VALLEJO PD IN CONNECTION WITH THE MURDERS COMMITTED WITHIN
THE JURISDICTION OF THESE DEPARTMENTS. THE FACILITIES OF THE
FBI LAB AND THE IDENTIFICATION DIVISION HAVE BEEN OFFERED. THE
BUREAU WILL BE KEPT ADVISED OF ANY PERTINENT DEVELOPMENTS.
END.
RDR
FBI WASH DC
SC...
SF...
CITY OF VALLEJO, Calif. 94590
October 2, 1969
Vallejo Times-Herald
Vallejo, Calif.—Victim
J. Edgar Hoover, Director
Federal Bureau of Investigation
Washington, D.C.
Re: FBI File #A-10042
VPD Case #243146
Attention Laboratory:
Dear Sir:
With reference to the above case, enclosed please find:
a. Copies of two letters sent to the San Francisco Examiner.
b. Copy of letter sent to the Vallejo Times Herald.
c. Copies of application for employment and applications for leave with handwriting of suspect,
Will you please have handwriting comparison made of handwriting in letters with that of on application forms.
Thank you,
JACK E. STILTZ
Chief of Police
ENCLOSURE
REC 85
DN: tm
Enclosures
Lab report
10/24/69
10/24/69
EX-103
17 OCT 8 1969
(1 STX-18)
WASHINGTON -- 3 --
8-55 PM URGENT 10/01/69 LCD
TO DIRECTOR (9-49911) PLAINTEXT
FROM SACRAMENTO (9-68) 2P
UNSUB: VALLEJO TIMES HERALD, VALLEJO, CALIFORNIA, EXTORTION;
OO SACRAMENTO
RE BUREAU LETTER AUGUST TWENTY FIVE LAST
FOR INFORMATION OF THE BUREAU, DURING THE PAST WEEK END IN
NAPA COUNTY, CALIFORNIA, A YOUNG MALE AND FEMALE WERE STABBED
BY UNKNOWN ASSAILANT RESULTING IN DEATH OF FEMALE AND
HOSPITALIZATION IN CRITICAL CONDITION OF MALE. NO AND MESSAGE
LEFT BY ASSAILANT IS IDENTICAL TO INDIVIDUAL RESPONSIBLE FOR
THE PREVIOUS MURDERS COMMITTED IN NEARBY VALLEJO, CALIFORNIA,
AS SET FORTH IN CAPTIONED CASE.
ON THIS DATE, DETECTIVE SGT. [BLANK] VALLEJO POLICE
DEPARTMENT ADVISED HE HAS DEVELOPED EXCELLENT SUSPECT IN CAPTIONED
AND RELATED CASES. HE IDENTIFIED SUSPECT AS [BLANK]
WMA, BORN [BLANK] AND PRESENTLY EMPLOYED
SAN ANTONIO, TEXAS
VALLEJO, CALIFORNIA DETECTIVE
END PAGE ONE.
70 OCT 14 1969
REC-95
28 OCT 8 1969
REC-0-PB2
28 OCT 8 1969
MOTION 5 3 21 6H 180
IS CONTACTING FBI IDENTIFICATION DIVISION THIS DATE AND REQUESTING COMPARISON OF SUSPECT'S FINGERPRINTS AGAINST LATENT FINGERPRINTS DEVELOPED BY IDENTIFICATION DIVISION ON QUESTIONED DOCUMENTS (LATENT CASE NUMBER A ONE ZERO ZERO FOUR TWO). DETECTIVE ALSO DESIRES COPY OF SUSPECT FINGERPRINT CARD FROM IDENTIFICATION DIVISION.
IN VIEW OF WIDE SPREAD PUBLICITY BEING AFFORDED THIS CASE BY NEWS MEDIA IN NORTHERN CALIFORNIA, IT IS REQUESTED FBI IDENTIFICATION DIVISION EXPEDITE SGT. REQUEST.
ARMED AND DANGEROUS.
END.
RM FBI WASH DC
CC: MR. TROTTER
FEDERAL BUREAU OF INVESTIGATION
U. S. DEPARTMENT OF JUSTICE
COMMUNICATIONS SECTION
OCTOBER 1969
RADIO
FROM SD RADIO STA 012119 GR 80
COMPARE LATENTS OBTAINED FROM FBI LATENT CASE A-10042
AGAINST PRINTS OF [BLURRED] WEA DOB [BLURRED] SAN ANTONIO, TEXAS. PHYSICAL DESC [BLURRED] CALIF.
PLEASE REPLY BY TT. REFER OUR CASE 243145.
ALSO REQUEST COPY OF SUBJECT'S FINGERPRINTS BE FORWARDED.
JACK E STILTZ COP VALLEJO CALIF /DET SGT
TOR 2152 FCT
5-57PM ERT
REC-95 9-49911 9-49911 9-49911
This report confirms and supplements our radiogram to you on October 2, 1969.
The previously reported latent fingerprints in this case are not identical with the fingerprints of [redacted], born [redacted] in Texas. This individual may or may not be the same person named in your radiogram. No palm prints are contained in our files for this individual.
The requested copy of the fingerprints of [redacted] is enclosed.
Enclosure
2 - Sacramento (9-68)
John Edgar Hoover, Director
THIS REPORT IS FURNISHED FOR OFFICIAL USE ONLY
FEDERAL BUREAU OF INVESTIGATION
LATENT FINGERPRINT SECTION WORK SHEET
Recorded: 10/2/69 8:00 a.m. Reference No: Case # 243146
Received: 10/1/69 zIn FBI File No: 9-49911 - 9
Latent Case No: A-10042
Answer to: Mr. Jack E. Stiltz, Chief of Police, Vallejo, California 94590
Attention: Detective Sergeant (Zip Code per National Zip Code Directory)
Examination requested by: Addressee
Copy to: San Francisco (9-68)
RE: UNKNOWN SUBJECT;
VALLEJO TIMES HEROLD,
VALLEJO, CALIFORNIA
EXTORTION
Date of reference communication: Radiotype 10/1/69 from San Vallejo Calif
Specimens:
Named Suspect: w/m, DOB
NOTE: Teletype answer
Result of examination: Called CF 11/2 240
Received 3/5 digits, no resident digits of
DOB - in Texas; may or may not be same individual named in radiogram.
No RPS here this individual.
Radio gram sent 10/2-69 two
Examination completed 5 p.m. Date 10/2/69 Dictated 10/2/69
copy of draft of [redacted] enclosed to addressee
Sec 1
10-2-69
This examination has been made with the understanding that the evidence is connected with an official investigation of a criminal matter and that the Laboratory report will be used for official purposes only, related to the investigation or a subsequent criminal prosecution. Authorization cannot be granted for the use of the Laboratory report in connection with a civil proceeding.
Re: HANDWRITING EXAMINATION
Examination requested by: Addresssee
Reference: Letter 10/2/69
Examination requested: Document
Specimens:
Originals of Q4i through Q4i5, previously submitted by FBI, Sacramento, California, under date of 8/8/69, further described as follows:
Q4 Envelope postmarked "SAN FRANCISCO, CALIF PM 31 JUL 1969," bearing hand printed address "S. F. EXAMINER San Fran, Calif PLEASE RUSH TO EDITOR"
Q5 Front side of accompanying hand printed letter, beginning "Dear Editor This is the murderer of the 2 teenagers..."
Enclosures (13) - Registered Airmail
2 - FBI, San Francisco (9-2296)
715064
2 - FBI, Sacramento (9-88)
(continued on next page)
Q6 Back of letter beginning "Here is part of a cipher the other 2 parts of this cipher are being mailed..."
Q7 Cipher accompanying the Q3 and Q4 letter
Q8 Envelope postmarked "SAN FRANCISCO, CALIF. PM 21 JUL 1969," bearing hand printed address "S. F. Chronicle San Fran, Calif. Please Rush to Editor!" And on flap "Please Rush to Editor"
Q9 Front side of accompanying hand printed letter, beginning "Dear Editor I am the killer of the 2 teenagers..."
Q10 Back of letter beginning "do not print this cipher, I will go on a kill rampage..."
Q11 Cipher accompanying the Q9 and Q10 letter
Q12 Envelope postmarked "SAN FRANCISCO, CALIF IA PM 21 JUL 1969," bearing hand printed address "Vallejo Time Herold Vallejo Calif Please Rush To Editor"
Q13 Front side of accompanying hand printed letter, beginning "I am the killer of the 2 teenagers..."
Q14 Back of letter beginning "cipher in your front page..."
Q15 Cipher accompanying the Q13 and Q14 letter
Kcl Photocopies of Application for Federal Employment and two Applications for Leave, bearing known handwriting and hand printing of [redacted]
Result of examination:
It was not determined whether the questioned hand printing on Q4 through Q15 was prepared by [redacted] because of an insufficient amount of comparable known standards; however, characteristics were observed which indicate that [redacted] probably did not prepare the questioned hand printing on Q4 through Q15.
The submitted material was photographed and is returned herewith.
TO: DIRECTOR, FBI (9-49911)
ATTN: IDENTIFICATION DIVISION
LATENT FINGERPRINT SECTION
LATENT CASE NUMBER A-10042
FROM: SAC, SACRAMENTO (9-68) (P)
SUBJECT: UNSUB;
(Vallejo Times-Herald)
Vallejo, California -
VICTIM
EXTORTION
For the information of Boston, on Christmas, 1968, a young boy and girl parked in a lovers' lane area of Vallejo, California, were shot and killed.
On July 4, 1969, another young couple parked in a lovers' lane area near Vallejo were attacked. The girl was shot and killed and the boy shot but is still alive in critical condition.
During August, 1969, several anonymous letters were sent to newspapers in Vallejo and San Francisco, California confessing the killings and relating surrounding events and enclosing cyphers, which the anonymous writer demanded be printed in the newspapers on threat of further killings.
On the weekend of September 20 - 21, 1969, another young couple were attacked in the nearby Lake Berryessa area. The girl was stabbed to death and the boy stabbed but is still alive, although in critical condition.
In the Vallejo killings, as well as the Lake Berryessa killing, the unknown subject called local authorities to report the assaults. Investigating officers believe that the same person is responsible for all of these killings and assaults. A description, along with an artist's conception of unsub has been published in local newspapers and received wide publication in this area.
On October 6, 1969, Mr. [redacted] officer of the Bank of America, NT & SA, Springstowe Branch, Vallejo, California, received Identification Order Number [redacted] on [redacted]. He noted similarity in physical description, as well as facial features.
Bureau is requested to compare the unidentified latent fingerprints, Lab Case Number A-10042, with the fingerprints of [redacted], 10 [redacted].
LEAD:
BOSTON
AT BOSTON, MASSACHUSETTS: Advise Sacramento whether the murder for which [redacted] is charged was similar in MD to murders in instant case. There is no indication that [redacted] is in the Vallejo area or has ever been here.
ARMED AND DANGEROUS
GENERIC INFORMATION
Subject: Descriptions of murders near Vallejo, California during Christmas 1968 and first half 1969. Unsigned communication posted in San Francisco, 4-30-69 received by Vallejo "Times Herald" from individual describing himself as killer and furnishing information regarding murders not generally known to public. Subject demands Times Herald print a part of a "cipher" he found prior to striking again. Kill rampage continues to date beginning 8-1-69. Subject continues to communicate intensive information on killings to local police department and newspaper. Local investigation and NAP investigation being conducted at present. No arrests or facilities identified. Subject is believed to have been released.
(2)
Latent fingerprints previously reported this case not identical fingerprints. No palm prints here for this person.
MAILED 11 OCT 14 1969
COMM: FBI
THIS REPORT IS FURNISHED FOR OFFICIAL USE ONLY
FEDERAL BUREAU OF INVESTIGATION
LATENT FINGERPRINT SECTION WORK SHEET
Recorded: 10/9/69 10:25 a.m.
Received: 10/9/69
Reference No: 9-68
FBI File No: 9-49911-10
Latent Case No: A-10042
Answer to: SAC, Sacramento
Examination requested by: Addressee
Copy to:
RE:
UNSUB
(VALLEJO TIMES-HERALD)
VALLEJO, CALIFORNIA -
VICTIM
EXTORTION
Date of reference communication: Airtel, 10/6/69
Specimens: Named Suspect:
Result of examination:
Examination completed 4:15 p.m. 10/10/69
Dictated 10/10/69
TO: DIRECTOR, FBI (9-49911)
ATTENTION: FBI LABORATORY
FROM: SAC, SAN FRANCISCO (9-2286)
SUBJECT: UNSUB; The Zodiac
VALLEJO TIMES-HERALD
VALLEJO, CALIFORNIA - VICTIM
EXTORTION
00: Sacramento
Re: Bureau letter to Sacramento, 8/21/69 and Sacramento airtel to San Francisco, 10/7/69.
Enclosed for the Bureau are two copies of undated and unsigned letter and envelope, which envelope is addressed to "S.F. Chronicle, San Fran., Calif. Please Rush To Editor", postmarked San Francisco, California, 10/13/69.
Enclosed for Sacramento is one copy each of above described letter and envelope and one copy of San Francisco Police Department wanted flyer #87-69.
For information of the Bureau and Sacramento, Inspector [redacted] of San Francisco Police Department, advised on 10/17/69 that above described letter and envelope were received by the "San Francisco Chronicle", a San Francisco daily newspaper and furnished to the San Francisco Police Department. Inspector [redacted] stated that latent prints were obtained from the letter and as soon as photographic copies of same can be reproduced, they will be furnished to this office with a request that they be searched through the latent and single fingerprint files of the FBI.
EX-111 Car 10 OCT 21 1969
Approved: Special Agent in Charge
Sent 10-21-69 Per SENN
Inspector ______ advised that investigation is currently being conducted by Napa, Vallejo and San Francisco Police Departments concerning captioned matter and that he believes UNSUB may have military background inasmuch as UNSUB used bayonet and two separate 9 mm weapons and one of surviving victims observed UNSUB to be wearing military-type boots. Further, Inspector ______ related that the enclosed letter from UNSUB, identifying himself as Zodiac and stating he was responsible for the killing of cab driver, enclosed a blood stained piece of material alleged to have been taken from victim's shirt. ______ stated he had definitely established that material did in fact come from victim's shirt and laboratory examination indicated handwriting is same as that in prior letters written in Napa County on 9/27/69.
The enclosed letter and envelope are being furnished to the laboratory for examination and comparison with material previously submitted by Sacramento Division in this matter.
Copies of the letter and envelope and wanted flyer are being furnished to Sacramento Division for information and any action deemed advisable.
San Francisco Division will maintain close contact with Inspector ______ Homicide Division, San Francisco Police Department, to furnish laboratory and latent fingerprint examinations requested.
Vallejo Times-Herald
Vallejo, Calif. - Victim
REURRADIOGRAM 10-1-69, YOUR CASE 243146. LATENT FINGERPRINTS
THIS CASE NOT IDENTICAL FINGERPRINTS [blacked out] BORN
[blacked out] WHO MAY BE IDENTICAL SUSPECT NAMED
URRAD: NO PALM PRINTS HERE FOR [blacked out] CONFIRMING.
HOOVER
JW: cao
(5)
FEDERAL BUREAU OF INVESTIGATION
COMMUNICATIONS SECTION
REC. 96 33-85718-4
OCT. 2 1969
2:45 AM
RADIO
NOV 4 1969
MAILING TELETYPE UNIT
The only original evidence received in this matter was Q1 through Q3. The other specimens have been photocopies, some of which were made after the evidence had been treated for latent fingerprints. Such photocopies do not show sufficient detail to permit an adequate handwriting examination.
To: FBI, San Francisco (9-2296)
Date: October 24, 1969
Re: UNSUB; "The Zodiac"
FBI File No. 9-49911
VALLEJO TIMES-HERALD
Lab. No. D-691020111 LL
VALLEJO, CALIFORNIA - VICTIM;
EXTORTION
Specimens received 10/20/69
Qc19 Photocopy of envelope postmarked "San Francisco Calif., JB PM 13 OCT. 1969" bearing hand printed address "S. F. Chronicle San Fran. Calif. Please Rush To Editor"
Qc20 Photocopy of accompanying hand printed letter beginning "This is the Zodiac speaking..." and ending "...kiddies as they come bouncing out."
Results of examination:
It could not be determined whether the questioned hand printing on Q1 through Qc6, Qc8 through Qc10, Qc12 through Qc14, Qc19 and Qc20, was prepared by one or more persons, because the photocopies of these specimens do not show sufficient detail for a satisfactory examination; however, characteristics were noted which indicate that these specimens were probably prepared by one person.
Qc7, Qc11, and Qc15 are photocopies of ciphers and are not comparable with the questioned hand printing in this matter. Qc16 and Qc17 are typewritten. Q18 is a key for the decryption of the ciphers in this matter and is not comparable with the questioned hand printing.
Qc19 and Qc20 are retained.
LMS:EMM (6)
MAIL ROOM TELETYPE UNIT
OFFICE OF THE SHERIFF OF NAPA COUNTY
STATE OF CALIFORNIA
October 10, 1969
Edgar Hoover, Director
Federal Bureau of Investigation
Washington D.C. 20535
Attention: Latent Fingerprint Laboratory
I hereby request the enclosed photographs of latent finger and palm prints and impressions be compared with the latent impressions found in your department by the Vallejo Police Department (their Case No. 74-146, Ref. # 187 P.C.) and with any suspects developed in that case.
I also further request the enclosed crime reports be checked, and that they be compared with any similars in your files that could be a possible suspect in the Vallejo case, in a Solano County case. The suspect in this case has been determined to be the same person throughout the entire investigation.
Thanking you for your cooperation in this matter, I am
Respectfully,
EARL RANDOL, SHERIFF-CORONER
by DETECTIVE/SGT.
Enclosures:
#1 - Case reports, NSO 105907
#2 - Drawing of suspect footprint
#3 - Photo (c) of wood sample from the prints
#4 - Photographs of latent fingerprints
#5 - Photographs of suspect's footprints
#6 - Photographs of suspect's handprints
#7 - Photographs of suspect's face
Sgt. J. C. B.
EVIDENCE EVIDENCE
FEDERAL BUREAU OF INVESTIGATION
WASHINGTON, D.C.
FEDERAL BUREAU OF INVESTIGATION
WASHINGTON, D.C.
FEDERAL BUREAU OF INVESTIGATION
WASHINGTON, D.C.
FEDERAL BUREAU OF INVESTIGATION
WASHINGTON, D.C.
IDENTIFICATION
FEDERAL BUREAU OF INVESTIGATION
WASHINGTON, D.C.
FEDERAL BUREAU OF INVESTIGATION
WASHINGTON, D.C.
21 Page(s) withheld entirely at this location in the file. One or more of the following statements, where indicated, explain this deletion.
Deletions were made pursuant to the exemptions indicated below with no segregable material available for release to you.
**Section 552**
- [ ] (b)(1)
- [ ] (b)(2)
- [ ] (b)(3)
- [ ] (b)(4)
- [ ] (b)(5)
- [ ] (b)(6)
- [ ] (b)(7)(A)
- [ ] (b)(7)(B)
- [ ] (b)(7)(C)
- [ ] (b)(7)(D)
- [ ] (b)(7)(E)
- [ ] (b)(7)(F)
- [ ] (b)(8)
- [ ] (b)(9)
**Section 552a**
- [ ] (d)(5)
- [ ] (j)(2)
- [ ] (k)(1)
- [ ] (k)(2)
- [ ] (k)(3)
- [ ] (k)(4)
- [ ] (k)(5)
- [ ] (k)(6)
- [ ] (k)(7)
- [ ] Information pertained only to a third party with no reference to the subject of your request or the subject of your request is listed in the title only.
- [ ] Documents originated with another Government agency(ies). These documents were referred to that agency(ies) for review and direct response to you.
- Pages contain information furnished by another Government agency(ies). You will be advised by the FBI as to the releasability of this information following our consultation with the other agency(ies).
- Page(s) withheld inasmuch as a final release determination has not been made. You will be advised as to the disposition at a later date.
- Pages were not considered for release as they are duplicative of ____________________________
- Page(s) withheld for the following reason(s): _______________________________________________
The following number is to be used for reference regarding these pages:
9-49911-13X pages 3 thru 23
XXXXXXXXXXXXXXXXX
X Deleted Page(s) X
X No Duplication Fee X
X for this page X
XXXXXXXXXXXXXXXXX
TO SAC, SAN FRANCISCO (9-2296)
FROM DIRECTOR, FBI (9-49911)
UNSUB; VALLEJO TIMES - HERALD, VALLEJO, CALIFORNIA - VICTIM; EXTORTION.
REURTEL CALL OCTOBER TWENTYFOUR SIXTYNINE.
PREVIOUSLY REPORTED LATENT FINGERPRINTS AND LATENT FINGERPRINTS IN PHOTOGRAPHS SUBMITTED WITH URAIRTEL OCTOBER TWENTYONE SIXTYNINE NOT IDENTICAL FINGERPRINTS [redacted] FBI NUMBER [redacted] NO PALM PRINTS HERE FOR [redacted]
JCJ: cao
(4)
LC #A-10042
VIA TELETYPE
OCT 25 1969
ENCIPHERED
70 NOV 3 - 1969
6-28 PM PDST URGENT 10/22/69 WEH
TO DIRECTOR (ATTENTION: IDENTIFICATION DIVISION) ---PLAINTEXT---
FROM SAN FRANCISCO (9-2296) /IP/
UNSUB; "VALLEJO TIMES-HERALD", VALLEJO, CALIFORNIA -
VICTIM, EXTORTION.
SAN FRANCISCO PD ADVISES POSSIBLE SUSPECT THIS CASE IS
A WHITE MALE, BORN
NO FURTHER DESCRIPTION. SUTEL IF RECORD
IN IDENTIFICATION FILES AND IF FINGERPRINT CARD AND PHOTO
AVAILABLE. FORWARD SAN FRANCISCO /67-130/ SPECIAL DELIVERY.
UNSUB ARMED AND DANGEROUS.
END.
REW FBI WASH DC
CALLED Ident b7c
By Time 550pm
Co. Mr. Rosen
TO: SAC, SAN FRANCISCO (9-2296)
FROM: DIRECTOR, FBI
UNSUB; "VALLEJO TIMES-HERALD", VALLEJO, CALIFORNIA - VICTIM, EXTORTION.
REUTRTEL OCT. TWENTYSECOND LAST.
BASIS INFORMATION FURNISHED UNABLE LOCATE ANY RECORD IDENT. DIV. FILES ON [redacted]
WRF 670
(3)
TO: DIRECTOR, FBI (3-40811)
ATTENTION: FBI LABORATORY
FROM: SAC, HOUSTON (S-new)
RE: UNKNOWN SUBJECT:
VALLEJO TIMES HERALD
Vallejo, California - VICTIM
EXTORTION
(DD: Sacramento)
67C
691027119
Renytel call San Francisco today.
Today [redacted] and [redacted], Houston (protect identity), appeared at the office and advised as follows:
[redacted] San Carlos, California, telephone [redacted] appears to be the type of individual who could be the "Nodac killer". [redacted] lived in [redacted] County, California. [redacted] used [redacted]. Some of the above was furnished on a confidential basis by [redacted] and is enclosed.
The above stated that they have been following the activities of this killer through the newspapers and feel that he could be identical with him.
[redacted]
Approved: [redacted]
Special Agent in Charge
7 NOV 24 1969
The above stated that they were only furnishing this information on the outside possibility that he could be identical, but requested that their identity not become known under any circumstances.
The Laboratory is requested to compare the writing in the attached with any of the notes that have been furnished in this matter.
Results should be furnished to Sacramento and San Francisco.
TO: DIRECTOR, FBI (9-43011)
ATTENTION FBI LABORATORY
FROM: SAC, SAN FRANCISCO (9-2288) 691022048
RE: UNSUB:
Vallejo Times-Herald
Vallejo, California -
VICTIM
EXTORTION
CC: Sacramento
Re San Francisco airtel to Bureau dated 10/17/68.
Enclosed for the FBI Laboratory are two (2) photographs of a letter received from Unknown Subject in this matter by San Francisco "Chronicle" and furnished this office by the San Francisco Police Department.
Xerox copies of this letter were furnished to the FBI Laboratory in referenced airtel.
Enclosed photographs are being furnished to the FBI Laboratory for inclusion in anonymous letter file and possible examinations with specimens obtained at a later date.
REC- 9-49911 - 17
2 - Bureau (Encl. 2)
1 - Sacramento (9-68) (TWO)
2 - San Francisco
CDs/3ad
(S) 2ELA
Approved: ___________________________ Sent __________ M Per __________
Special Agent in Charge
TO SAC SAN FRANCISCO (9-2296)
FROM DIRECTOR FBI (9-49911)
UNSUB; VALLEJO TIMES DASH HERALD, VALLEJO, CALIFORNIA DASH VICTIM, EXTORTION.
REURTEL OCTOBER TWENTYSEVEN SIXTYNINE.
LATENT FINGERPRINTS PREVIOUSLY REPORTED THIS CASE NOT IDENTICAL FINGERPRINTS [blacked out] FBI NUMBER [blacked out] OR [blacked out] FBI NUMBER [blacked out]. NO PALM PRINTS HERE FOR THESE INDIVIDUALS.
CONFIRMING.
LNW: lws
(5)
REC #: 9-49911-18
To: FBI, San Francisco (9-2296)
Date: October 24, 1969
Re: Unsub;
Vallejo Times - Herald
Vallejo, Calif. - Victim;
Extortion
OO: Sacramento
Examination requested by: San Francisco
Reference: Airtel dated 10/21/69
Examination requested: Document
Specimens received 10/22/69
Photographs of Qc19 and Qc20, previously submitted by San Francisco under date of 10/17/69.
Remarks:
You were previously advised of the examination of Qc19 and Qc20 by Laboratory report dated 10/24/69. The photographs described above do not alter the conclusions set forth in that report.
A representative copy of the questioned letters received in this matter has previously been added to the Anonymous Letter File.
The submitted photographs are retained.
No Laboratory report is attached.
105PM 10-24-69 URGENT MCC
TO DIRECTOR (9-49911), ATT: IDENTIFICATION DIVISION
SACRAMENTO (9-68) PLAINTEXT
FROM SAN FRANCISCO (9-2296) (P)
UNSUB; VALLEJO TIMES-HERALD, VALLEJO, CALIF. - VIKEX. 00,
SACRAMENTO.
RE SAN FRANCISCO AIRTEL TO BUREAU OCT TWENTYONE LAST.
SAN FRANCISCO PD HAS DEVELOPED WHAT THEY CONSIDER
EXCELLENT SUSPECT IN THIS CASE AND HE IS [redacted] FEDERAL BUREAU OF INVESTIGATION NO. [redacted]
IDENTIFICATION DIVISION IS REQUESTED TO COMPARE HIS
FINGERPRINTS WITH PRINTS SUBMITTED THIS CASE BY SACRAMENTO, SAN
FRANCISCO, VALLEJO PD AND NAPA COUNTY SO.
SACRAMENTO INSURE THAT ALL LIAENTS AVAILABLE THIS CASE,
YOUR DIVISION, HAVE BEEN SUBMITTED TO IDENTIFICATION DIVISION.
SUTEL. FBI
ARMED AND DANGEROUS.
END
REW FBI WASH DC
[Signature]
61 NOV 6 1969
cc: JX. Peden
[Signature]
9-49911
FEDERAL BUREAU OF INVESTIGATION
LATENT FINGERPRINT SECTION WORK SHEET
Recorded: 10-27-69, 8:10 a.m.
Received: 10-27-69, jag
Answer to: SAC, San Francisco
Examination requested by: Addressee
Copy to:
RE: UNSUB;
VALLEJO TIMES - HERALD
VALLEJO, CALIFORNIA - VICTIM;
EXTORTION
Date of reference communication: Teletype, October 24, 1969
Specimens:
Named Suspect: [Redacted]
Note: Telephone answer if ident
Teletype answer if nonident
Result of examination:
10/24 - Called jacket - 95
Prev. negtd. left figto (9) + 30 dot pts + 1 dot
6K smpr. of value in photos seam. w/5K
airtl dtd 10/21/69; nat & 6 pts
no pts due for [Redacted] - 98
Examination completed 8:55 P.M. 10/24
Dictated Teletype 10/24/69
RE: UNKNOWN SUBJECT;
VALLEJO TIMES HERALD
VALLEJO, CALIFORNIA
EXTORTION
Telephone call from: SAC San Francisco
REFERENCE: Division, on 10-21-69
EXAMINATION REQUESTED BY: San Francisco
This report supplements and confirms information telephonically furnished SAC on 10-21-69.
Latent fingerprints previously reported in captioned case and case entitled "Unsub.; Cecelia Ann Shepard - Victims, Lake Berryessa Area, Napa County, California, September 27, 1969; Assault, Murder," latent case #A-12397, not identical fingerprints of FBI. Latent impression in latent case #A-12397 compared available fingerprints of but no identification effected. Major case prints of which are needed for comparison with the latent impression and previously reported latent palm prints, are not contained Identification Division files.
REC 11 9-49911-20
JCS:mlg
John Edgar Hoover, Director
THIS REPORT IS FURNISHED FOR OFFICIAL USE ONLY
MAIL ROOM TELETYPE UNIT
FEDERAL BUREAU OF INVESTIGATION
LATENT FINGERPRINT SECTION WORK SHEET
Recorded: 10-22-69 8:00 a.m.
Received: 10-22-69 fcm
Answer to: SAC, San Francisco
Examination requested by: Addressee
Copy to:
RE: UNKNOWN SUBJECT;
VALLEJO TIMES HEARLD
VALLEJO, CALIFORNIA
EXTORTION
Date of reference communication: Telephone call from SAC, San Francisco on 10-21-69.
Specimens:
Results of examination:
Named Suspect: [Redacted] FBI # [Redacted]
Compare the above suspect with latents developed in captioned case and latents developed in case entitled:
UNKNOWN SUBJECT; [Redacted], CECELIA ANN SHEPARD-VICTIMS; LAKE BERRYESSA AREA, NAPA COUNTY, CALIFORNIA, SEPTEMBER 27, 1969, ASSAULT, MURDER., Bufile # [Redacted], LC# A-12397 NSO Case #105907.
Result of examination:
Examination by: [Redacted]
Evidence noted by: [Redacted]
Lat fingerprints prev captured case and LC# A-12397 mat & figs of [Redacted]
Lat amp (fingerprint pp) prev reported in LC# A-12397 comp unavailable figs of [Redacted] but no of affected) - [Redacted] major case prints needed to conduct conclusive comp - [Redacted] myth lat amps and for com with lat pps in these cases.
Examination completed 9:20AM 10/24/69 Dictated 10/24/69
TO: DIRECTOR, FBI (9-43011)
ATTENTION IDENTIFICATION DIVISION
FROM: SAC, SAN FRANCISCO (9-2296)
RE: UNSUB:
Vallejo Times-Herald
Vallejo, California -
VICTIM
EXTORTION
OO: Sacramento
Re San Francisco airtel dated 10/17/69.
Enclosed for the Identification Division are three (3) pages containing photographs of latent fingerprints and one (1) copy of San Francisco Police Department (SFPD) intra-departmental memoranda dated 10/19/69, which relates to the enclosed fingerprints and which is self-explanatory.
For the information of the division, the photographs of latent fingerprints were developed from an eight-inch negative of a photograph considered on 10/11/69 by unknown subject.
The laboratory is requested to compare the enclosed latents and latents previously developed from submissions by the Sacramento Office with the fingerprints of the FBI Number [redacted] Bureau file.
The Identification Division is also requested to search the enclosed fingerprints through the single fingerprint file and conduct any other search or examination deemed advisable.
Approved: ___________________________ Sent __________ M. Per __________
Special Agent in Charge
All of the latent prints in our case were obtained from a taxi cab. The latent prints that show traces of blood are believed to be prints of the suspect. The latent prints from right front door handle are also believed to be prints of the suspect. These prints are circled with a red pen.
The other latent prints, many of which are very good prints, may or may not be prints of the suspect in this case;
Per. Insp. [Redacted] Crime lab;
TO DIRECTOR, SAN FRANCISCO, LOS ANGELES, AND JACKSONVILLE
FROM ATLANTA 52-0 V
ZODIAC KILLER, SAN FRANCISCO, CALIFORNIA. MISCELLANEOUS - INFORMATION CONCERNING.
[Redacted] who requested her identity be protected, telephonically advised the Atlanta office Oct. twentythird, instant, that she saw an television news program on which San Francisco atty. Melvin Belli talked to the alleged "Zodiac" killer and she believes the voice of this killer to be the voice of [redacted]. She stated [redacted] presently residing in [redacted], Calif. He is [redacted] and is also [redacted] and according to [redacted] has access to [redacted].
Additionally, [redacted] advised [redacted] is proficient in [redacted] and has [redacted] he was employed by [redacted]
END PAGE ONE
is currently residing at [redacted], and will return to this location from Atlanta on Oct. twentyfourth, next. She described [redacted] as M/F, DOB [redacted]. No arrests known; parents reside at [redacted], first names unknown. [redacted] in possession of [redacted] in June, 'sixtynine. [redacted] does not consider [redacted] to be violent, but she stated he has no compassion for [redacted] and furnished above info only because of the recording of the alleged callers voice on television program she witnessed. She said she [redacted] if needed.
San Francisco, if [redacted] can be considered suspect in zodiac killings, request Los Angeles to determine [redacted] absence from Los Angeles at pertinent times and request Jacksonville to obtain photos of [redacted] in [redacted] FLA. RUS.
END
JSS
FBI WASH. DC
P
TO SACS, San Francisco
Los Angeles
Jacksonville
Atlanta (62-0) 9-49911-21X
FROM: Director, FBI
ZODIAC KILLER, SAN FRANCISCO, CALIFORNIA
MISCELLANEOUS - INFORMATION CONCERNING
Re Atlanta tel dated 10/23/69.
This will confirm telephonic instructions furnished San Francisco Division this date.
In the absence of any Bureau violation, no investigation should be conducted in this matter. San Francisco and Los Angeles insure information contained in referenced teletype furnished to appropriate local authorities.
RKB:sds
(10) SEE NOTE PAGE TWO
NOTE:
Our Atlanta Office was advised 10/23/69, by a woman who identified herself as [redacted] that the voice of [redacted] appeared to be identical to the voice of the Zodiac killer who is currently being sought by California authorities. [redacted] indicated that [redacted] is currently located in the Los Angeles Division. She stated that she had heard the voice of the Zodiac killer on a television news program at which time the killer was talking to the shyster attorney Melvin Belli of San Francisco. We telephonically notified San Francisco to conduct no investigation in the absence of any Bureau violation. San Francisco stated they would also advise Los Angeles.
Thirty latent fingerprints, three latent palm prints, and one latent impression (fingerprint from lower joint area of a finger or palm print) of value appear in submitted photographs.
One latent fingerprint identified as fingerprint of victim Paul Lee Stine, San Francisco, California, Coroner's #1976. Remaining latent fingerprints not identical fingerprints of Stine or FBI [redacted]. Latent impression compared available fingerprints of these individuals, but no identification effected. Impressions of lower joint areas of the fingers and palm prints of these individuals not contained.
(Continued on next page)
JCS:jlf
John Edgar Hoover, Director
THIS REPORT IS FURNISHED FOR OFFICIAL USE ONLY
MAIL ROOM [ ] TELETYPE UNIT [ ]
Identification Division files.
Latent fingerprints previously reported this case not identical fingerprints of [redacted].
Searches were conducted in single fingerprint file, but no identifications effected.
Submitted photographs and copy of San Francisco Police Department memorandum, which was also submitted, have been retained.
FEDERAL BUREAU OF INVESTIGATION
LATENT FINGERPRINT SECTION WORK SHEET
Recorded: 10/23/69 9:30 a.m. Reference No: 9-2296
Received: 10/23/69 bla FBI File No: 9-49911 -
Latent Case No: A-10042
Answer to:
SAC, San Francisco
Examination requested by: Addressee
Copy to: SAC, Sacramento (9-68)
RE:
UNSUB;
VALLEJO TIMES-HERALD
VALLEJO, CALIFORNIA -
VICTIM
EXTORTION
Date of reference communication: Airtel, 10/21/69
Specimens:
3 photographs bearing latent impressions
Named Suspect:
Also Submitted: INTRA-DEPARTMENTAL MEMORANDUM
Result of examination: Examination by:
Evidence noted by:
Examination completed Time Date Dictated Date
FEDERAL BUREAU OF INVESTIGATION
WASHINGTON, D.C. 20535
To: SAC, Boston (62D-5738)
January 24, 1983
FBI FILE NO. 62-119655
LAB. NO. 20507034 D LL PL
Re: UNSUB,
JOAN WEBSTER - VICTIM,
DPC
OO: Boston
Examination requested by: Boston
Reference:
Examination requested Communication dated May 4, 1982
Document - Cryptanalysis
Specimens received May 7, 1982
Specimen:
K1 Two sets of photocopies of one hundred and nineteen pages of material relating to [redacted] and the ZODIAC
Result of examination:
Specimen K1 has been analyzed to determine if the "solutions" offered by [redacted] to the disappearance of JOAN WEBSTER are valid. (Much of K1 concerns analysis of the ZODIAC communications.) Most of these theories are based on conjecture and numerous assumptions. Some assumptions are possibly correct. However, [redacted] selectively dissects the literature (often misquoting material) and presents results only if they corroborate the overall theme of his solution. Thus, on a cryptanalytic, mathematical, and technical basis, the Laboratory contends that the results are forced and inconsistent.
Unless investigative techniques validate the hypotheses proposed by [redacted], no further communications will be analyzed or evaluated.
Specimen K1 is being retained by the Laboratory. 24 1983
2 - Sacramento (9-68)
2 - San Francisco (9A-2296)
MAIL ROOM
1 = Bureau (9-49911) |
DEALING WITH NATURAL DISASTERS
Here Comes The Flood (Of Legal Issues)
2019 Annual Meeting
ABA Forum on Construction Law
April 24-27, 2019
The Diplomat Beach Resort
Hollywood, Florida
FORUM ON CONSTRUCTION LAW
Building the Best Construction Lawyers
PROGRAMS | PUBLICATIONS | PEOPLE
Dear Colleagues
Florida’s sunny beaches await you at the Forum’s Annual Meeting at the newly renovated Diplomat Beach Resort. With hurricane season now in the rearview mirror and Spring Break season upon us, late April is the perfect time to enjoy some fun-in-the-sun while you prepare yourself and your clients for the arrival of stormy days when a natural disaster strikes.
Many people in coastal states are all too familiar with hurricanes and tornadoes. But this program prepares you for far more. Whether a wildfire or earthquake out West, floods or environmental disasters in the East, or volcanic eruptions in the Pacific, lawyers and clients have to be prepared for the complex array of legal issues and claims that arise from the ashes of disaster. From risk assessment to insurance, labor shortages to FEMA, “Dealing with Natural Disasters” is designed to educate and prepare you for the worst so you can be at your best when it counts.
Thought leaders from around the country will prepare lawyers to deal with every type of natural disaster. Topics include:
• Preparing for the disaster;
• Insurance considerations before the event and claims recovery afterward;
• Environmental risks that arise in mitigation, clean-up, and remediation;
• Contract considerations to address well before the likelihood of the event;
• Fraud and abuse in the aftermath such as price gouging, unlicensed contracting, false claims as well as the impossibility of performance and other contractual risks;
• FEMA procedures and disaster recovery;
• Labor force issues at every level while operating in emergency circumstances.
Who should attend and why?
• **Litigators and Advocates** - No matter who your clients are, you will gain a broader understanding of the unique and complicated impact to your client’s rights, duties, risks, and remedies related to natural disasters. Whether you represent owners, contractors, subcontractors, subconsultants, or suppliers on small and large projects alike, as well as on public and private projects, you will want to know everything you can before the catastrophe.
• **Transactional and In-House Attorneys**. You will want to know more about risk assessment and insurance, contract drafting pitfalls and negotiation strategies, and requirements for documenting and presenting claims, as well as the ethical considerations in emergencies.
• **New Construction Attorneys**. This conference will provide you with a broader understanding of claims avoidance and claims presentation from contract drafting and negotiation to dispute resolution techniques. Attend the practicum on Wednesday, April 24, and learn more about negotiating your case to a successful outcome.
Of course, no program would be complete without guest activities for your spouse and family, a poolside Welcome Reception on Thursday evening, and tremendous guest speakers, including ABA President Robert Carlson and diversity speaker, Michele Coleman Mayes, Vice President, General Counsel and Secretary for the New York Public Library.
Finally, you don’t come to sunny Florida to sit inside all day. We selected The Diplomat Beach Resort with Friday and Saturday afternoon off so you and your Forum friends and family have time to enjoy the Resort’s beach, lagoon pool and infinity deck, poolside cabanas, and the beer and wine garden located on the Intracoastal Waterway.
Barring a natural disaster, we look forward to seeing you at the Forum’s 2019 Annual Meeting in South Florida!
Leadership
Chair
Thomas L. Rosenberg
Roetzel & Andress, LPA
Columbus, OH
Chair-Elect
Kristine A. Kubes
Kubes Law Office, PLLC
Minneapolis, MN
Immediate Past Chair
Wendy K. Venoit
Hinckley Allen
Boston, MA
Program Co-Chairs
Lauren E. Catoe
AECOM Hunt
Tampa, FL
Anthony D. Lehman
Hudson Parrott Walker, LLC
Atlanta, GA
Governing Committee Liaison
Claramargaret H. Groover
Becker & Poliakoff, P.A.
Orlando, FL
Marketing Committee Liaison
Timothy C. Ford
Hill Ward Henderson
Tampa, FL
Governing Committee
Cathy L. Altman
Carrington Coleman
Dallas, TX
Keith J. Bergeron
Deutsch Kerrigan, LLP
New Orleans, LA
Danielle J. Cole
Blueprint Construction Counsel, LLP
Atlanta, GA
John M. Cook
Smith Pachter McWhorter, PLC
Tysons Corner, VA
William E. Franczek
Vandeveenter Black, LLP
Norfolk, VA
Edward B. Gentilcore
Michael Baker International
Pittsburgh, PA
Claramargaret H. Groover
Becker & Poliakoff
Orlando, FL
Nicholas K. Holmes
Devine, Millimet & Branch, P.A.
Manchester, NH
Daniel P. King
Frost Brown Todd, LLC
Indianapolis, IN
Marilyn Klinger
Salamirad Morrow Timpane & Dunn, LLP
Los Angeles, CA
Tracy L. Steedman
Adelberg Rudow
Baltimore, MD
Richard J. Wittbrodt
Gibbs Giden
Los Angeles, CA
Program Schedule
WEDNESDAY, APRIL 24
12:00 P.M. – 3:00 P.M. Advance Registration Opens
1:00 P.M. – 5:00 P.M. ADVOCACY PRACTICUM – Today’s Strategies for Negotiation Success
Separate Registration Fee: $75 per person
Limited to 60 participants
Two 15 minute breaks are built into the program.
If you didn’t take negotiation in law school, you definitely belong here. Even if you took negotiation and have developed your own style, register for this special program taught by Ava J. Abramowitz. A current mediator and former assistant U.S. Attorney for the District of Columbia, Ms. Abramowitz teaches negotiation at George Washington University School of Law. Ms. Abramowitz is a founding fellow of the American College of Construction Lawyers and recipient of the ABA Forum on Construction Law’s Cornerstone Award. The practicum will start with a presentation from Ms. Abramowitz. After learning the various techniques and skills, you will have an opportunity to take those strategies for a test drive to prepare for active negotiations. The program will conclude with a recap from the negotiation teams and Ms. Abramowitz. Registration for the Annual Meeting is not required to register for this practicum.
Ava J. Abramowitz, The Offices of Ava J. Abramowitz | Leesburg, VA
Sponsored By: Division 1 – Litigation and Dispute Resolution Young Lawyers Division, and The Forum Leadership Circle
3:00 P.M. – 5:00 P.M. On Site Registration Opens
5:00 P.M. – 6:00 P.M. Networking Social Hosted By
5:30 P.M. – 6:00 P.M. First Time Attendee Welcome and Kickoff
| Time | Event |
|--------------|----------------------------------------------------------------------|
| 7:00 A.M. – 5:00 P.M. | Registration and Exhibit Hall Open
Sign-In for Continuing Legal Education Credits |
| 7:15 A.M. – 8:30 A.M. | Continental Breakfast |
| 8:15 A.M. – 8:30 A.M. | Welcome from the Chair:
Opening Remarks and Announcements |
| 8:30 A.M. – 9:45 A.M. | Plenary 1
The Hurricane is Coming in Five Days –
What’s a Lawyer to Do?
It is critically important to prepare for natural disasters, especially in the context of ongoing construction. This experienced panel will discuss the construction lawyer’s role in natural disaster planning and response, which often involves drafting or reviewing clients’ disaster preparedness procedures, as well as advising clients on a number of legal and logistical issues, such as site security, pre-disaster documentation of project progress and site condition, documentation of delays and financial impacts resulting from a disaster event, preservation of claim rights, pursuit of recovery, and recommencement of construction activities.
Jimmy L. Morales, City of Miami Beach | Miami Beach, FL
Luis Prats, Carlton Fields | Tampa, FL
Michael Stephens, Hillsborough County Aviation Authority | Tampa, FL |
| 9:45 A.M. – 10:00 A.M. | Break |
| 10:00 A.M. – 11:15 A.M. | Plenary 2
It’s All About the Insurance
We will focus on the numerous unique insurance issues associated with natural disasters. Issues of insurance coverage for property damage, notice requirements post-disaster, wind vs. water exclusions, other possible exclusions to coverage, coverage for business interruption, and builder’s risk coverage will be some of the issues discussed.
Timothy P. Kraft, Warrior Consulting Ventures | Sarasata, FL
Charles E. Comiskey, RiskTech, Inc. | Houston, TX
Amanda K. Anderson, Boyle & Leonard, P.A. | Tampa, FL |
| 11:15 A.M. – 11:30 A.M. | Break |
11:30 A.M. – 12:30 P.M. Workshop A
A Closer Look at Insurance Issues Following a Natural Disaster
After the plenary session on insurance issues, this workshop will take a more in depth analysis of critical insurance issues including builder’s risk insurance and business interruption losses as well as examine the availability of other types of insurance that can aid clients in the event of a natural disaster.
Philip C. Silverberg, Mound Cotton Wollan & Greengrass LLP | New York, NY
Philip J. Truax, Wickens Herzer Panza Co. | Cleveland, OH
11:30 A.M. – 12:30 P.M. Workshop B
Environmental Issues Following a Natural Disaster
Environmental issues often arise from a natural disaster. Our panelists will identify some of those issues and discuss how to allocate liability, mitigate damages, and resolve those issues within a reasonable timeframe.
Tracey D. Dodd, J.S. Held LLC | New Orleans, LA
Dorsey R. Carson, Jr., Carson Law Group | Jackson, MS
12:45 P.M. – 2:15 P.M. Lunch
Business Meeting, Elections and Awards
2:15 P.M. – 2:30 P.M. Break
2:30 P.M. – 3:45 P.M. Plenary 3
Key Contract Provisions When a Natural Disaster Strikes
This session will focus on contract terms that typically come into play in the event of a natural disaster, such as clauses covering force majeure, delays, and adverse weather. Topics will include drafting provisions to protect your client from the risks associated with natural disasters, the contracting parties’ claim rights and obligations following a natural disaster, as well as project suspension or termination.
Jeffrey R. Appelbaum, Thompson Hine | Cleveland, OH
Nathan C. Gould, ABS Group | St. Louis, MO
3:45 P.M. – 4:00 P.M. Break
4:00 P.M. – 5:15 P.M. Plenary 4
A Discussion on Post-Catastrophe Issues
Immediately after a natural disaster, the first people to mobilize include contractors trying to help and insurance companies and experts being asked to evaluate properties and projects. Practical issues include material shortages, labor prices, contractor licensing, avoiding price gouging, and getting experts mobilized to inspect properties and projects. Hear from people who have been on the ground post-disaster to learn about the unexpected legal and logistical issues.
Moderator: Jamie S. Peterson, HNTB | Oakland, CA
John Abruzzo, Thornton Tomasetti, Inc. | San Francisco, CA
Charles F. Boland, PE, GREYHAWK, North America, LLC | Mount Laurel, NJ
Roberto Hernández García, COMAD, S.C. | Mexico City, Mexico
6:30 P.M. – 8:00 P.M. Welcome Reception
FRIDAY, APRIL 26
7:00 A.M. – 1:00 P.M. Registration and Exhibit Hall Open
Sign-In for Continuing Legal Education Credits
7:30 A.M. – 8:45 A.M. Diversity Breakfast
8:45 A.M. – 9:00 A.M. Break
9:00 A.M. – 10:15 A.M. Plenary 5
FEMA 101: What Construction Contractors and Project Owners Need to Know
What do you as a construction lawyer need to know about FEMA? This session will describe what FEMA’s role is before, during, and after natural disasters. Key questions to be answered include: who is eligible to apply for assistance from FEMA? What types of properties are eligible to receive assistance? How much will FEMA pay and how much money is available? What are the procedures and protocols that must be followed to receive payment as a contractor? Finally, what are the potential pitfalls or traps that contractors might not realize exist, and how do they avoid problems?
Ernest B. Abbott, Baker Donelson | Washington, DC
Mary Ellen Martinet, Federal Emergency Management Agency (FEMA) | Washington, DC
10:15 A.M. – 10:30 A.M. Break
10:30 A.M. – 11:30 A.M. Plenary 6
Post-Disaster Labor Force Issues
A natural disaster can both create new labor force issues and augment existing ones. Using history and case studies, this workshop will include an overview of the impacts that weather conditions and natural disasters can have on labor availability, as well as preventative and restorative measures that can be used by lawyers when those impacts threaten or are encountered.
Anthony Gonzales, Spire Consulting Group, LLC | Austin, TX
Jodi Taylor, Brasfield & Gorrie, LLC | Atlanta, GA
11:30 A.M. – 11:45 A.M. Break
11:45 A.M. – 1:00 P.M. Division Lunches
SATURDAY, APRIL 27
8:00 A.M. – 11:45 A.M. Registration and Exhibit Hall Open
8:00 A.M. – 9:00 A.M. Continental Breakfast
9:00 A.M. – 10:15 A.M. Plenary 7
The Things I Wish I Had Known Before the Disaster
What should you do before a natural disaster to prepare you for the disaster? This panel consisting of a contractor’s in-house lawyer and two consultants who have worked on behalf of owners, contractors, subcontractors, and insurers will discuss the issues that they did not see coming. How did they work through those tough issues, and how can you do the same?
William R. Broz, P.E., Exponent | Los Angeles, CA
Tina Cydzik, P.E., LEED AP, Engineering Systems, Inc. (ESI) | Irvine, CA
Daniel R. Wireman, Cleveland Construction, Inc. | Naples, FL
10:15 A.M. – 10:30 A.M. Break
10:30 A.M. – 11:45 A.M. Plenary 8
The Potentially Catastrophic Design Error and the Ethical Response
Don’t miss this entertaining and informative session on issues that arise when a designer realizes that its design may be subject to a catastrophic failure, such as how to disclose the possibility of a failure, the ethical considerations for counsel and other professionals, insurance repercussions, and control over the solution.
Eileen M. Diepenbrock, Diepenbrock Elkin Gleason LLP | Sacramento, CA
Mark J. Heley, Heley, Duncan & Melander, PLLP | Minneapolis, MN
Michael S. Zetlin, Zetlin & De Chiara LLP | New York, NY
FRIDAY, APRIL 26
We are honored to have Robert Carlson, President of the American Bar Association, who will speak on the role of the ABA today, its mission to advance the rule of the law, to eliminate bias and enhance diversity, and to serve as the voice of the legal profession in the United States and abroad. Mr. Carlson is a small town practitioner in Butte, Montana. He will also share his lessons learned as a lawyer practicing for over 35 years.
WEDNESDAY, APRIL 24
FIRST TIME ATTENDEE WELCOME AND KICKOFF
5:30 P.M. – 6:00 P.M.
This special event welcomes those attending their first Forum meeting, and welcomes back any who are attending for the first time in five or more years. Come meet other first-timers and the leadership of the Forum. All attendees are invited to the Exhibitor Reception immediately following.
THURSDAY, APRIL 25
WOMEN’S NETWORKING RECEPTION
5:30 P.M. – 6:30 P.M.
Enjoy cocktails, network, and socialize with many of the best-known women in construction law. This reception is a great opportunity to meet colleagues and talk about how we got here, where we are, and what the future holds for women in the profession.
THURSDAY, APRIL 25
WELCOME RECEPTION
6:30 P.M. – 8:00 P.M.
Come and reconnect with Forum members. Enjoy drinks and hors d’oeuvres, while relaxing in the soft sea breezes with your fellow construction professionals.
FRIDAY, APRIL 26
DIVERSITY BREAKFAST
7:30 A.M. – 8:45 A.M.
Michele Coleman Mayes is vice president, general counsel and secretary for The New York Public Library (“NYPL”) and a member of the senior management group, having joined NYPL in 2012. From 1976 through 1982, she served in the United States Department of Justice as Assistant United States Attorney in Detroit and Brooklyn, eventually assuming the role of Chief of the Civil Division in Detroit. In 1982, Mayes entered the corporate sector as managing attorney of Burroughs Corporation. As Burroughs and Sperry Corporation merged, creating Unisys Corporation, she was appointed staff vice president and associate general counsel for Worldwide Litigation. In 1992, she joined Colgate-Palmolive Company as vice president and associate general counsel U.S. In 1993, she was promoted to vice president of Human Resources and Legal for North America and ultimately became vice president, legal and assistant secretary, and elected a corporate officer. In 2003, she joined Pitney Bowes as senior vice president and general counsel. In 2007, she assumed the role of executive vice president and general counsel for Allstate Insurance Company, a position she held until joining NYPL. Mayes is the recipient of numerous awards, including the American Bar Association, Commission on Women in the Profession - The Margaret Brent Award, and the Minority Corporate Counsel Association Trailblazer Award. Mayes was recognized in 2009 as one of the most Influential General Counsels in America by The National Law Journal and by Ethisphere Institute in 2011 Attorneys Who Matter. In 2012, she received a Lifetime Achievement Award from The American Lawyer. In 2011, Michele and Kara Baysinger co-authored a book entitled Courageous Counsel, which chronicles the rise of women general counsel in the Fortune 500. She served on the Presidential Commission on Election Administration in 2013-2014. She became Chair of the Commission on Women in the Profession of the American Bar Association in August 2014.
Other Social Events
THURSDAY, APRIL 25
Spouses and Guests
Everglades Excursion
12:00 P.M. – 4:00 P.M.
Limited Seats Available. Separate Ticketed Event: $60
Enjoy an Everglades Excursion as you journey into Mother Nature’s secretly preserved wilderness. This experience will be on an airplane propeller powered airboat, seeing creatures’ natural habitats, amidst alligators and other exotic wildlife. An experienced guide will point out some of the region’s most unique features, including wild birds, snakes, and other flora and fauna that are not found anywhere else in the country.
FRIDAY, APRIL 26
Catamaran Sail
1:00 P.M. – 5:00 P.M.
Limited Seats Available. Separate Ticketed Event: $80
Enjoy a sunny day on a 49 passenger catamaran with Forum friends and guests as you set sail on a private charter through the Intracoastal Waterway dotted with mansions and mega yachts. Once you reach your destination, sip a cool drink, relax and soak up the sun, swim, snorkel, or just mix and mingle.
Sponsors and Exhibits
Visit Forum Sponsors and Exhibitors in the Exhibits Area! The Forum Exhibits Area brings a variety of companies together in one place with capabilities fitting the unique needs of construction lawyers. Thanks to all of the Forum Sponsors and Exhibitors for their continued support of the Forum!
Forum Diversity Initiative
The Forum will waive the registration fee for the first ten Forum members who register for each of the three national meetings of the Forum during the 2018 - 19 Bar year who also register and bring along a diverse lawyer to his or her first national meeting of the Forum (a “first timer”), whose registration fee will also be waived. It could be a diverse young associate in the member’s office or a diverse lawyer on the other side of a case. The Forum member and the first timer must both commit to attend the program (offer limited to one per Forum member per Bar year). In order to take advantage of this offer, Forum members must contact firstname.lastname@example.org prior to registering for the program.
Diversity & Inclusion Electronic Survey
The Forum has partnered with Jones Diversity, a premier diversity and inclusion consulting firm, to develop an anonymous and confidential diversity and inclusion survey. Please take the time to complete this survey, which will provide valuable insights for Jones Diversity’s assessment of our organizational culture and diversity and inclusion efforts. The survey can be found here: www.research.net/r/Forum2019Survey and will close on Thursday, February 28th, 2019. If you have any questions regarding the survey, please email Sharon E. Jones of Jones Diversity at email@example.com.
Forum Diversity Scholarship Opportunity
The Forum has Diversity Scholarships available for women and minority construction lawyers, construction lawyers with disabilities, and construction lawyers from the LGBT community for the cost of registration to the Forum’s 2019 Annual Meeting. See the Forum website under the announcement section or contact David Theising at firstname.lastname@example.org for more information.
Hotel Information
The Diplomat Beach Resort, 3555 South Ocean Drive; Hollywood, Florida 33019. To reserve a hotel room call the hotel directly 855-689-2911 or use the web link https://book.passkey.com/gt/217279746?gtid=4258a9de31e1bca4ba04608f58a160143c. The deadline for reservations is April 1, 2019, 5:00 pm (CST) or before if the block is exhausted. Room rates start at: $299/night (plus tax and $30/resort fee). Please reference the ABA Forum on Construction Law 2019 Annual Meeting. You must register for the conference prior to making your hotel reservation.
CONFERENCE INFORMATION
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DEALING WITH NATURAL DISASTERS
Here Comes The Flood (Of Legal Issues)
2019 Annual Meeting ABA Forum on Construction Law
APRIL 24-27, 2019
The Diplomat Beach Resort | Hollywood, Florida
SAVE THE DATE FOR FUTURE PROGRAMS!
2019 Regionals Sticks & Bricks
September 20, 2019
New York, NY | Charlotte, NC
Sacramento, CA | Chicago, IL
2019 Fall Meeting
October 23-25, 2019
Philadelphia, PA
2020 Midwinter Meeting
January 22-24, 2020
Tucson, AZ |
Iron Oxide and Iron Sulfide Films Prepared for Dye-Sensitized Solar Cells
Kostyantyn Tuharin 1, Zdeněk Turek 1, Michal Zanáška 1,2, Pavel Kudrna 1,* and Milan Tichý 1,@
1 Faculty of Mathematics and Physics, Charles University, 121 16 Prague 2, Czech Republic; firstname.lastname@example.org (K.T.); email@example.com (Z.T.); firstname.lastname@example.org (M.Z.); email@example.com (M.T.)
2 Institute of Physics of the Czech Academy of Sciences, 182 21 Prague 8, Czech Republic
* Correspondence: firstname.lastname@example.org
Received: 5 March 2020; Accepted: 9 April 2020; Published: 11 April 2020
Abstract: In this paper, the prospects of iron oxide films and their sulfidation for dye-sensitized solar cells (DSSC) are reviewed. Iron oxide thin films were prepared by hollow cathode plasma jet (HCPJ) sputtering, with an admixture of oxygen in the argon working gas and with an iron nozzle as the sputtering target. The discharge was powered by a constant current source in continuous mode and by a constant voltage source in pulsed mode. Plasma composition was measured by an energy-resolved mass spectrometer. Moreover, secondary electron microscopy (SEM), energy-dispersive X-ray spectroscopy (EDX), absorption and Raman spectra of the films are presented. Strong correlation between the color of the iron oxide film and its phase composition was revealed. Iron oxide films were sulfided at 350 °C. A relatively clean pyrite phase was obtained from the magnetite, while the marcasite with admixture of the pyrite phase was obtained from the hematite. Low influence of sulfidation on the films’ microstructure was demonstrated.
Keywords: hollow cathode plasma jet; iron oxide; iron sulfide; absorption spectroscopy; dye-sensitized solar cell
1. Introduction
One of the biggest problems facing mankind is the search for substitutes for slowly but inevitably disappearing fossil fuels. At the same time, it is more necessary than ever to find ways to solve the negative consequences of the current energy system with regard to climate, environment and health. Of course, the quality of human life depends to a large extent on the availability of clean energy sources. One such source is solar power by means of solar batteries, especially dye-sensitized solar cells (DSSC).
Iron oxide can serve as a convenient precursor for iron sulfide (FeS₂), also known as pyrite, which is becoming a popular object of investigation nowadays. Pyrite is nontoxic, abundant and can be used in photovoltaic cells to enhance the photo-response of the front transparent electrode, or as an efficient low-cost counter electrode material potentially able to replace precious platinum [1,2]. The band gap energy of FeS₂ ~1.0 eV is close to the ideal band gap range of 1.1–1.5 eV for a single-junction photovoltaic device [3]. Unfortunately, the traditional pyrite synthetic process could lead to unwanted phases during pyrite formation, such as FeS or other intermediate phases [1,4]. These conductive metallic phases destroy the semi-conductive properties of FeS₂, reducing the quality of the resultant material. The conversion of the FeS phase to FeS₂ is possible by chemical methods [5], but attention must be paid to avoid FeS residuals. The Fe-O-S phase diagram (see Figure 1, top left [6]) shows that pyrite synthesis in the absence of oxygen crosses the FeS phase field. However, if sulfur is added to the oxides Fe₃O₄ or Fe₂O₃, one does not enter the FeS phase field. The substitution of oxygen with sulfur can be performed relatively easily in a furnace, with sulfur vapors (see Figure 1). The convenient
temperature at atmospheric pressure is above 350 °C [7]. A similar method was used, e.g., in [8]. The substitution reaction can be described by the equations (where (s) and (g) stand for “solid” and “gas”, respectively):
\[
2 \text{Fe}_2\text{O}_3 (\text{s}) + 11 \text{S} \rightarrow 4 \text{FeS}_2 (\text{s}) + 3 \text{SO}_2 (\text{g})
\]
(1)
\[
\text{Fe}_3\text{O}_4 (\text{s}) + 8 \text{S} \rightarrow 3 \text{FeS}_2 (\text{s}) + 2 \text{SO}_2 (\text{g})
\]
(2)
**Figure 1.** Fe-O-S phase diagram (top left), schematic of iron oxide sulfidation at a temperature of about 350 °C and atmospheric pressure (top right); and 3D model of the vacuum mini furnace for the iron oxide sulfidation of samples used in this article (bottom).
Iron oxide thin films can be prepared by plasma deposition in magnetrons, electric arc sprayers and other methods [9]. We utilized a hollow cathode plasma jet with an argon working gas and an oxygen admixture. The iron is sputtered from an iron nozzle, which serves as the sputtering target. The anomalous glow discharge inside the hollow cathode is able to reach a much higher degree of ionization compared to a normal glow discharge. The so-called hollow cathode effect arises from the difference between exponential electron multiplication in the cathode sheath and linear multiplication in the plasma [10]. The consequence of the higher plasma density is a higher deposition rate. The important advantage of the hollow cathode system is the possible separate injection of the oxygen out of the nozzle. This way the target poisoning is eliminated, the discharge works in metallic mode and the deposition rate remains high. This also improves the discharge stability, especially in the pulsed mode.
**2. Experimental Setup**
The hollow cathode plasma jet (HCPJ) is installed in the high vacuum chamber. The pure Fe (99.96%) nozzle is surrounded by copper blocks cooled by a water flow. While the argon is introduced into the system via the hollow cathode, the oxygen inflow tube is positioned a few centimeters away from the cathode (see Figure 2). The distance between the nozzle exit and the substrate is variable, 4–7 cm. The substrates were glass, silicon wafer and fluorine doped tin oxide (FTO) glass. The FTO film on the glass has the sheet resistance of 7 ohm/sq. This FTO film functions as a transparent electrode and provides the parallel conductivity to the contact in the assembled solar cell.
The outer surface of the hollow cathode system is insulated by a cylindrical ceramic shield. The discharge is powered by a constant current source in continuous mode or by a constant voltage source in pulsed mode. The apparatus was described in detail in previous studies [11]. A resistor in parallel with the pulse switch provides low continuous DC power, which is used as pre-ionization and achieves a reliable ignition of the pulsed discharge [12].
An oil-free vacuum system is pumped down to ultimate pressure on the order of $10^{-4}$ Pa by a combination of a turbomolecular pump and a piston pump. Prior to plasma ignition, the flow rate of the working gases is adjusted using mass flow controllers. A typical argon flow rate is between 100 and 300 sccm. The required pressure in the chamber is set by throttling the pumping speed by the gate valve between the chamber and the turbomolecular pump. During the deposition, the pressure inside the reaction chamber was in the range from 1 to 50 Pa. In order to easily ignite the discharge, the chamber pressure was temporarily increased to about 100 Pa, especially at pulsed operation [9].
3. Results and Discussion
3.1. Mass Spectrometric Diagnostics
To check the plasma composition, a Hiden EQP 500 mass spectrometer (Hiden Analytical, Warrington, UK) equipped with an energy analyzer was used. Its sampling orifice was positioned at the nozzle axis, at the location of the substrate holder, i.e., 6–7 cm from the nozzle, and was grounded. We compared the plasma parameters in continuous DC and pulsed DC modes when setting the ion energy analyzer to 0.5 eV. Table 1 shows the amplitudes of the strongest ion signal peaks identified in the mass spectrum with amplitudes above 1%. The indicated values are relative to that of the most abundant Ar$^+$ ion. The signals for the isotopes $^{36}$Ar, $^{54}$Fe and $^{57}$Fe of argon and iron correspond to their relative natural abundances of 0.3%, 5.8% and 2.1%, respectively, and are not shown in the table. The mass 1 amu was not measured, because of its proximity to mass 0, which allows all ions to pass. The doubly charged Ar$^{++}$ ion created from Ar$^+$ is always present in the pure argon, with an amplitude above 11%. The ArH$^+$ ions are formed from Ar$^+$ and water impurities. This destruction reaction of Ar$^+$ competes with the natural decay via diffusion. Therefore, the increase of the ArH$^+$ percentage at a pressure of 20 Pa can be qualitatively explained by the overabundance of the ArH$^+$ formation over about four times slower diffusion at 20 Pa compared to that at 5 Pa. Amplitudes of H$_3^+$ ions appear in an approximate proportion to ArH$^+$, which corresponds to their probable creation from ArH$^+$ and hydrogen.
The addition of oxygen changes the spectrum dramatically. The relative percentage of Ar$^{++}$ decreases down to about 3%, and O$_2^+$ ions appear with relative amplitude of 55%. O$_2$H$^+$ ions seem to be formed from O$_2^+$ in the same way as ArH$^+$ from Ar$^+$, i.e., from the reaction of O$_2^+$ with the remaining traces of water. Fe$^+$ ions are present with amplitudes of about 1.5% with respect to Ar$^+$, at a pressure of 5 Pa. At 20 Pa, the Fe$^+$ amplitude is much higher, around 12%. This corresponds to a higher Fe sputtering rate caused by an increase of the plasma density during the whole pulsed discharge period at higher pressure, as measured in [11].
Table 1. Amplitudes of the strongest ion signal peaks in the measured mass spectra. Values are relative to that of the most abundant Ar$^+$ ion, which is set to 100%. The ion energy was set to 0.5 eV. Distance from the cathode is 7 cm, Ar flow 150 sccm, O$_2$ flow 3 sccm (last row only), discharge current 150 mA and pulsed mode duty cycle 10% at a frequency of 1 kHz.
| Ion | H$_3^+$ | O$^+$ | H$_2$O$^+$ | Ar$^{++}$ | O$_2^+$ | O$_2$H$^+$ | ArH$^+$ | Fe$^+$ |
|-----|---------|-------|------------|-----------|---------|------------|---------|-------|
| Mass (amu) | 3 | 16 | 18 | 20 | 32 | 33 | 41 | 56 |
| Pulsed 5 Pa | — | — | — | 15.5 | — | — | 2.2 | 1.4 |
| Pulsed 20 Pa | 9.6 | — | — | 11.2 | — | — | 21 | 12.2 |
| DC 5 Pa | 2.2 | — | 4.0 | 20.5 | — | — | 6.3 | 1.5 |
| DC 5 Pa + O$_2$ | — | 5.1 | 4.5 | 3.1 | 55 | 2.5 | — | 1.3 |
Energetic spectra of Ar$^+$ and Fe$^+$ positive ions measured by the mass spectrometer with the energetic analyzer are shown in Figure 3. It is seen that all measured energies are below 3 eV. Since the ion mean free path is in the range of 1.6 to 0.4 mm, at a pressure range of 0.5 to 20 Pa, the ions undergo many collisions before entering the mass spectrometer. For this reason, their speed is thermalized and the measured energies reflect mainly the value of the plasma potential. In the DC mode with pure argon without oxygen, the changes of the discharge current, argon flow rate, pressure and distance from the cathode influence the ion energy only slightly. The shifts are less than 0.5 eV (see bottom row of Figure 3). The highest energies with peak value up to 2.3 eV were measured for Ar$^+$ ions in pulsed mode (see the top left panel of Figure 3). This is connected with the temporal dependence of the plasma potential, which nevertheless stays positive during the whole period of the pulsed discharge.
Figure 3. Energetic spectra for argon in DC and pulsed DC modes (a) and iron in DC mode (b). Energetic spectra for argon in DC mode for different pressures and distances from cathode (c) and argon flow rates (d). Default parameters: distance from cathode 7 cm, Ar flow 150 sccm, O$_2$ flow 0 sccm, discharge current 150 mA and pulsed mode duty cycle 10% at frequency 1 kHz.
The addition of 3 sccm of oxygen to the working gas inside the reaction chamber leads to a significant decrease in the measured ion energies in DC mode (see top row of Figure 3 with Ar\(^+\) and Fe\(^{+}\) ions). The energy of the lowest measured energetic peak of Ar\(^+\) is about \(-1\) eV. This apparently negative ion energy can be explained by the shift of the plasma potential to negative values after oxygen addition. This shift was measured in [13]. Although the sampling orifice of the spectrometer is grounded, it is covered by a nonconducting layer of iron oxides which are negatively charged. The negative charge attracts positive ions toward the sampling orifice. Since the mass spectrometer references the ion energy to ground, the positive ions coming from the negative plasma potential appear to have negative energies.
### 3.2. Thin Film Properties
Iron oxide films created in the continuous DC mode show different properties in the central part corresponding to the hollow cathode axis and in the off-center part contrary to the pulsed DC mode that produced a homogeneous film (see Figure 4). There are sixteen known iron oxides and oxyhydroxides, the best known of which is rust, a form of iron (III) oxide [14]. After the deposition of iron with various oxygen concentrations and plasma parameters, we obtained films with dominating magnetite (Fe\(_3\)O\(_4\)) and hematite (Fe\(_2\)O\(_3\)) phases, as measured by Raman spectroscopy (see below). In the pulsed DC case, the hematite dominated the whole substrate surface; in the continuous DC case, magnetite dominated in the central part of the substrate; and in the peripheral parts of the substrate, hematite dominated. This is schematically indicated by color-coding below the photos in Figure 4: hematite and magnetite are denoted by red and black, respectively. The corresponding positions of the color-coded regions on the deposited films are indicated by blue arrows. The real color of the obtained samples was similar to that of natural minerals, i.e., it varied between black, yellow, red and brown.
**Figure 4.** Photos of homogenous (pulsed-DC) and non-homogeneous (DC) iron oxide films on FTO glass substrate (**left**). The centers of schematic red circles correspond to the axis of the nozzle. Dark dots indicate the positions shown by arrows on the substrate. The discharge voltage and current waveforms during a typical pulsed DC operation with duty cycle of 10% and repetition frequency of 1 kHz are shown (**right**).
After the deposition of iron oxide, the sulfidation of the samples was performed in the furnace shown in Figure 1. The iron oxide samples were inserted into the furnace chamber, with a small amount of sulfur powder. The chamber was then evacuated and filled with argon, to a pressure of 0.5 bar. Next, the heating using halogen bulbs was switched on, which gradually increased the temperature inside the chamber up to 350 °C over a period of approximately 60 min, completing the process of sulfidation. After switching off the heating, the temperature eased down to 230 °C in about 20 min.
The recorded Raman spectra are depicted in Figure 5, and the dominating phases identified in the spectra are listed in Table 2. The positions of the individual phases on the substrate with respect to the nozzle axis are indicated by dots on red circles for iron oxides and dots on green circles for iron sulfides. The pyrite phase (d) was obtained from magnetite (a), while the mix of marcasite and
pyrite phase, (e) and (f), was obtained from hematite (b) and (c). Both sulfide phases are attractive for studying photovoltaic applications [15]. Other phases of iron sulfide were not identified. The Raman spectra after sulfidation in the right panel of Figure 5 show no traces of iron oxide phases, which indicates almost complete sulfidation up to the depth of the Raman diagnostics. Despite this, the EDX diagnostics showed a residual amount of oxygen listed in Table 3. This oxygen (22.4 at.% for Marcasite and 20.5 at.% for Pyrite) cannot be completely attributed to SnO$_2$ in FTO, because the amount of detected Sn is only 5.8 at.% for Marcasite and is almost negligible for Pyrite. Since the silicon was not detected, the electron penetration depth seems to be comparable to the film thickness. That means that the oxygen detected by EDX is attributed to the bulk of sulfide films below the detection depth of the Raman diagnostic and only partly attributed to SnO$_2$ in the case of thinner Marcasite film.
**Figure 5.** Raman spectra of iron oxide films before sulfidation, (a), (b) and (c) (**left**). Samples after sulfidation, (d), (e) and (f) (**right**). Amplitudes of measured spectra are scaled for better visibility.
**Table 2.** Dominating phases identified in spectra of Figure 5 using the Raman spectra database RRUFF [16].
| Before Sulfidation | After Sulfidation |
|--------------------|-------------------|
| (a) Magnetite Fe$^{2+}$Fe$^{3+}$$_2$O$_4$ (Fe$_3$O$_4$) | (d) Pyrite $\beta$-FeS$_2$ |
| (b), (c) Hematite Fe$_2$O$_3$ | (e), (f) Marcasite $\alpha$-FeS$_2$ |
**Table 3.** EDX of samples with dominating phases. Line intensities were recalculated to weight and atomic percentages.
| Element | Hematite | Magnetite | Marcasite | Pyrite |
|---------|----------|-----------|-----------|--------|
| | wt.% | at.% | wt.% | at.% |
| O (K line) | 35.1 | 67.6 | 31.8 | 62.0 |
| S (K line) | — | — | 31.8 | 40.5 |
| Sn (L line) | 11.7 | 3.0 | — | 16.7 |
| Fe (K line) | 53.2 | 29.4 | 68.2 | 38.0 |
| | | | 42.7 | 31.3 |
| | | | 62.1 | 44.1 |
The morphology of both the iron oxide and iron sulfide films was studied by AFM and SEM. The obtained AFM images are shown in Figure 6. This figure shows 10 AFM images of approximate size $2 \times 2 \mu m$ arranged sequentially at distances approximately 1.4 mm from the periphery towards the center of the substrate (10 corresponds to the system axis). It is seen that a wide range of possible nanostructures could be obtained using our experimental setup at DC regime. In AFM images 1–4 we see an increase of particle size and a slight change in their shape from round to triangular. AFM image number 5 corresponds to the interface between the black central part and the surrounding red peripheral ring and shows a different structure. The difference in interface structure at the boundary between the central and the outer part of the substrate and changing from sample to sample was
observed at all samples with magnetite and hematite phases. The black central part, images 6–10, contains even bigger triangular nanocrystals growing on top of a dense film of smaller particles.
**Figure 6.** AFM images of iron oxide nanocrystals measured at different positions 1 to 10 marked on a thin film photograph (top left). Image at position 10 shown with two different magnifications. Film was deposited on a glass substrate in DC mode at discharge current 300 mA, voltage 296 V, pressure 4.6 Pa, distance from the nozzle 4 cm, argon flow rate 170 sccm and oxygen flow rate 1 sccm.
We observed that deposition in the DC mode is much more sensitive to experimental conditions than the pulsed-DC. Even a slight change of deposition parameters could lead to dramatic change of color, roughness, or phase structure of films and linear size of nanocrystals. The pulsed DC sputtering leads to homogenous hematite films at a wider range of parameters.
The films were also analyzed by an SEM microscope equipped with a focused ion beam. A small platinum mask was deposited on top of the film. The ion beam then created the sharp cross-section below the mask edge (see Figure 7). The morphology of the film surface with pyramidal crystal shapes, as well as the columnar cross-section structure before (a) and after sulfidation (b), remained almost unchanged. In addition, the pyrite $\beta$-FeS$_2$ in the black central part (c) is very similar to Figure 6, number 10, before sulfidation.
Absorption spectra of the deposited films were measured in the range from 200 to 900 nm, using a deuterium lamp and an HR4000CG-UV-NIR spectrometer (originally Ocean Optics, now Ocean Insight, USA) and are shown in Figure 8. The absorbance of the reference TiO$_2$ film starts to decrease at approximately 350 nm and up to 430 nm more than 90% of the radiation is absorbed. This edge is shifted up by approximately 50 nm for the hematite film deposited in the pulsed DC mode. A further shift up to 600 nm was observed for the red hematite region of the film deposited in the DC mode. This is significant improvement, since the solar radiation spectrum has a maximum at 500 to 600 nm. After sulfidation, the absorption of the marcasite film is extended to 800 nm. The magnetite and pyrite regions of the same films are almost nontransparent, and their absorbance is over the limits of the spectrometer used.
Figure 7. SEM images and corresponding vertical cross sections created by the focused ion beam. (a) Hematite $\text{Fe}_2\text{O}_3$ film before sulfidation, (b) marcasite $\alpha$-$\text{FeS}_2$ after sulfidation and (c) pyrite $\beta$-$\text{FeS}_2$ after sulfidation. Deposited on FTO glass in DC mode, with the following parameters: discharge current 150 mA, pressure 4.7 Pa, distance from the nozzle 4 cm, argon flow rate 170 sccm, oxygen flow rate 1 sccm and deposition time 60 min (a) and 30 min (b,c).
Figure 8. Absorbance spectra of hematite and marcasite films. TiO$_2$ film shows for comparison.
4. Conclusions
The ion energies of all positive ions, especially of Ar$^+$ and Fe$^+$, measured by the mass spectrometer with energetic analyzer showed energies below 3 eV. The addition of oxygen to the working gas inside the reaction chamber led to a shift of plasma potential to negative values. Raman spectroscopy clearly showed us a strong correlation between the color of the iron oxide film and its phase composition. A relatively clean pyrite phase was obtained from the magnetite, while the marcasite with admixture of the pyrite phase was obtained from the hematite. SEM images demonstrated low influence of sulfidation on the films’ microstructure. The sulfidation extended the light absorption to up to 800 nm.
**Author Contributions:** Conceptualization, P.K., M.Z. and K.T.; methodology, P.K., M.Z. and K.T.; software, K.T., Z.T. and P.K.; investigation, K.T., Z.T. and P.K.; resources, K.T., Z.T. and P.K.; data curation, K.T., M.Z.; writing—original draft preparation, K.T. and P.K.; writing—review and editing, M.T. and P.K.; visualization, K.T.; supervision, P.K. and M.T.; project administration, P.K. and M.T.; funding acquisition, P.K. and M.T. All authors have read and agreed to the published version of the manuscript.
**Funding:** This research was funded by the Grant Agency of the Czech Republic, grant No. 19-00579S, and by the Charles University Grant Agency, grant No. 1188218.
**Conflicts of Interest:** The authors declare no conflict of interest. The funders had no role in the design of the study; in the collection, analyses or interpretation of data; in the writing of the manuscript; or in the decision to publish the results.
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2. Shukla, S.; Loc, N.H.; Boix, P.P.; Koh, T.M.; Prabhakar, R.R.; Mulmudi, H.K.; Zhang, J.; Chen, S.; Ng, C.F.; Huan, C.H.A.; et al. Iron pyrite thin film counter electrodes for dye-sensitized solar cells: High efficiency for iodine and cobalt redox electrolyte cells. *ACS Nano* **2014**, *8*, 10597–10605. [CrossRef] [PubMed]
3. Xia, C.; Jia, Y.; Tao, M.; Zhang, Q. Tuning the band gap of hematite $\alpha$-Fe$_2$O$_3$ by sulfur doping. *Phys. Lett. Sect. A Gen. At. Solid State Phys.* **2013**, *377*, 1943–1947. [CrossRef]
4. Shi, X.; Tian, A.; Xue, X.; Yang, H.; Xu, Q. Synthesis of FeS$_2$ (pyrite) nanotube through sulfuration of Fe$_2$O$_3$ nanotube. *Mater. Lett.* **2014**, *2*, 1–4. [CrossRef]
5. Botchway, E.A.; Ampong, F.K.; Nkrumah, I.; Boakye, F.K.; Nkum, R.K. Growth of a Pure and Single Phase Iron Sulfide (Pyrite) Thin Film by Electrochemical Deposition for Photovoltaic Applications. *Open J. Appl. Sci.* **2019**, *09*, 725–735. [CrossRef]
6. Ennaoui, A.; Fiechter, S.; Pettenkofer, C.; Alonsovante, N.; Buker, K.; Bronold, M.; Hopfner, C.; Tributsch, H. Iron Disulfide for Solar-Energy Conversion. *Sol. Energy Mater. Sol. Cells* **1993**, *29*, 289–370. [CrossRef]
7. von Goldbeck, O.K. IRON—*Binary Phase Diagrams*; Springer: Berlin/Heidelberg, Germany, 1982; Volume 46, ISBN 978-3-662-08026-9.
8. Kment, S.; Kmentova, H.; Sarkar, A.; Soukup, R.J.; Ianno, N.J.; Sekora, D.; Olejnicek, J.; Ksirova, P.; Krysa, J.; Remeš, Z.; et al. Epoxy catalyzed sol-gel method for pinhole-free pyrite FeS$_2$ thin films. *J. Alloys Compd.* **2014**, *607*, 169–176. [CrossRef]
9. Hubička, Z.; Kment, Š.; Olejníček, J.; Čada, M.; Kubart, T.; Brunclíková, M.; Kšírová, P.; Adámek, P.; Remeš, Z. Deposition of hematite Fe$_2$O$_3$ thin film by DC pulsed magnetron and DC pulsed hollow cathode sputtering system. *Thin Solid Films* **2013**, *549*, 184–191. [CrossRef]
10. Kolobov, V.I.; Tsendin, L.D. Analytic model of the hollow cathode effect. *Plasma Sources Sci. Technol.* **1995**, *4*, 551–560. [CrossRef]
11. Kudrna, P.; Kluson, J.; Leshkov, S.; Chichina, M.; Picková, I.; Hubička, Z.; Tichý, M. A study of plasma parameters in hollow cathode plasma jet in pulse regime. *Contrib. to Plasma Phys.* **2010**, *50*, 886–891. [CrossRef]
12. Pedersen, H.; Larsson, P.; Aijaz, A.; Jensen, J.; Lundin, D. A novel high-power pulse PECVD method. *Surf. Coat. Technol.* **2012**, *206*, 4562–4566. [CrossRef]
13. Leshkov, S.; Kudrna, P.; Chichina, M.; Klusoň, J.; Picková, I.; Virostko, P.; Hubička, Z.; Tichý, M. Spatial Distribution of Plasma Parameters in DC-Energized Hollow Cathode Plasma Jet. *Contrib. Plasma Phys.* **2010**, *50*, 878–885. [CrossRef]
14. Cornell, R.M.; Schwertmann, U. Introduction to the Iron Oxides. In *The Iron Oxides*; Wiley-VCH Verlag GmbH & Co. KGaA: Weinheim, Germany, 2004; pp. 1–7. ISBN 3-527-30274-3.
15. Schena, T.; Bihlmayer, G.; Blügel, S. First-Principles Studies of FeS$_2$ using many-body perturbation theory in the $G_0W_0$ Approximation. *Phys. Rev B* **2013**, *88*, 235203. [CrossRef]
16. The RRUFF Project. Available online: [http://rruff.info/index.htm](http://rruff.info/index.htm) (accessed on 1 March 2020).
© 2020 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution (CC BY) license (http://creativecommons.org/licenses/by/4.0/). |
EDITORIALS
Sugar Coated Values
Our society exists in an age when medical technology is at its peak. We are able now to transplant the heart of another human being into one about to die and give new life. We can now be tested in so many different technological ways as to be almost absolutely sure of a diagnosis.
This medical technology of which we speak, has been able, over the course of the last decade to discover two major products in our economy which are considered as cancer agents.
We find it extremely interesting and disgusting that the government would force cyclamates from the market in less than a month from when its possible link to cancer was discovered; while some six years after the similar link was discovered in cigarettes, that a $5 billion a year industry continues to pollute the lungs of millions of Americans.
It does seem as though we are placing the dollar sign before the health of our nation.
Trivial . . . But Typical
As usual, the people responsible for such things, have come up with a way to kill two birds with one stone. By allowing raw sewage to flow freely around the Student Union, they save money necessary to conduct sewerage underground and at the same time fertilize the grounds around the Union.
This of course, is very satirical and the problem extremely trivial. But it is typical of the red tape one must go through in order to get even the smallest of things accomplished on this campus. This particular problem has existed for five days, at the time of this writing, and is continuing to exist. Similar things such as a broken window in one of the dorms took weeks to replace and then there was the leak in the ceiling in the workshop at Roberts Hall which has been constantly getting worse for at least the last three years and probably remains to be repaired at this time.
The point is that the red tape should not exist and isn't necessary. Somebody had better start cutting it and The Anchor feels this process should begin at the top, with the administration and the department heads.
Viewpoint
RIC's Silent Majority
Silent majority here
Silent majority there
There a majority
Here a majority
Everywhere a silent, silent majority
by Dan Donnelly
The Great Silent Majority is a new American Institution and I fear that we'll have to start seeing it become more popular than the New York Mets and more popular than the Democratic-Republican Party. Conceived by President Richard Nixon (immucal), it consists of every man born babe has been welcomed, is welcomed into the homes and hearts of mankind.
At first I rejected what I was being told. I could not believe that the majority of our countrymen felt all well with and honorable with our nation and its policies. In fact, I viewed the whole stunt from afar as another Nixon-Agnaw Production, with Tricky Dick doing his magic dance and the rest of the Stick Spiro provided the comedy.
As the notion, or should I say movement, grew stronger, I was astonished and dismayed. Did the silent majority really exist? Even though I was against total defeat, I could not imagine where there could be a large group of people willing to support part of the war and the policies which have been set in place. It was not until I realized that it was largely because of Nixon's Silent Majority was actually an apathetic majority, indifferent to the problems which face our nation and disinterested in their fellow human beings, that I found the answers to my questions.
Magically, I did not have to look beyond our own student body for these answers. Right there, in our own egoistic, self-centered majority type our President spoke about. Apathetic, indifferent and uninterested in anything but itself, the silent majority trots its way through college and undoubtedly will trot its way through life. Although they may not support present institutions and policies, they will use their influence to have them to be interpreted as support, by those in power. The results are the same. From our own experience, we see a new regiment of silent majority members to replace those who previously slipped into their last reward.
It is hardly necessary to cite examples of campus problems. I may remember that there has not been one student election this year that has drawn a vote. A dog was elected Senate Vice-president. An intercurriculum day at the school newspaper, lighting a fire on the Fourth of July; the school newspaper, The Anchor, finds difficult and seemingly almost impossible to publish weekly, due to lack of student support; each and every class on campus is run by a handful of its members. The list goes on and on. The point
Got A Problem?
There is an old saying, proverb which states, "Man who goes to right place with problem, gets quick solution." Although I am not sure about the truthfulness of this statement, I am sure that it can be applied to the situation here at Rhode Island College. Here is the place to go with many of your problems is the Committee on Conditions and Services.
On the same angle, implies any problem which concerns either the conditions of life, is it adequate, faculty elections, etc., or the services which include janitorial, campus police, etc., should be directed to the Rhode Island College. We will be happy to look into any difficulties which should arise in these areas.
If you know of any situation which exists and should be rectified, please let me know about it. Just state the problem on a piece of paper and forward it to Dan Donnelly, Chairman of Conditions and Services Committee, care of Student Mail.
We promise to look into any matter which is brought to our attention.
It remains that a sound majority of our student body does not give a flying foot about the present or future welfare of this college or any of its organizations. To this silent majority on our campus; to this backbone of mediocrity, I have a few words to say. Unfortunately, they cannot be printed.
This Week at RIC
Friday, February 6 —
Dance — (Omega Chi Epsilon)
Student Center — 8:00 p.m.
Open House: (College Comm.
Union Invited) — Roberts
Hall Administration Wing 2
— 4:30 p.m.
Saturday, February 7 —
Basketball — Away — Boston
Wrestling — Away — Boston
Faculty Wives Supper —
Donnelly
History Dept. Colloquim —
Roberts Auditorium — 9:30
a.m.
Sunday, February 8 —
Film: "Rocco and His Brothers" — Ballroom Student
Union — 7:30 and 7:30 p.m.
Monday, February 9 —
Humanities Film — Mann
Aud. — 1:30 p.m.
Tuesday, February 10 —
Basketball — Away — SMU
Distinguished Film Series —
SU 3 — 3 and 5:30 p.m.
Wednesday, February 11 —
RIC Associates Family Dinner
(Donnelly) — 6:00 p.m.
Biology Colloquim
Jazz Concert (Fine Arts) —
SU Ballroom — 2:4 p.m.
WDOM Broadcasting Schedule (91.3FM)
Monday - Friday
3:00- 7:00 p.m. General Music
Wednesday
6:00 p.m.
Thursday
7:30- 9:00 p.m. Talk Show
9:00-12:00 p.m.
Saturday
6:00- 9:00 p.m.
9:00 p.m.
Sunday
2:00- 6:00 p.m.
Monday
7:00-10:00 p.m.
Tuesday
7:00-10:00 p.m.
HIGHLIGHTS
Shakespeare's Plays
P.C. Tonight — (Jack Reed) — Talk Show
Patterns — (Ray McKenna) — Folk and underground music
Broadway musicals
Cabaret with Steve Birmingham
Live from the Wooden Navel Coffeehouse
Sunday Afternoon at the Opera
with Don Esposito and Frank Tuber
Underground River
Blues and Blues Rock with Bob Boylan
Beaublahlahlah
with Kingfish Barracuda
Viewpoint
The SDS Isn't That Young
by Richard Warren
Being a newspaper reporter, I jumped at the long awaited chance of interviewing the national SDS leader, but until now the opportunity had never presented itself.
How it came about was that my friend Dr. Verdon, being a part-time geologist, struck under a huge rock on the Berkeley campus and fell into SDS National Headquarters. He was immediately captured by the guards, who after torturing him by making him watch a 30 by 30 foot picture of Mao Tse Yung for three hours straight, became convinced that he was nothing more than a spy or a narco agent. Later that same day over Chinese tea he informed them of my desire and set up the interview.
Upon arriving at the entrance to the rock it was met by two men dressed in black masks and black boots. They waved their black liggers in a motion that meant "come under the rock and we will follow."
Once under the rock I was escorted by a guard that carried an old chair and a gun on the far wall. The flag has a red background and on it were placed two letters S.A. As I sat waiting for the other two letters could mean, a short man wearing a brown suit, walked down the road. He stopped and stared at me for a second and then performed an exercise which I took to be a form of physical stretching. He kept his left hand at his side, extended his right arm at a 45 degree angle and finished it all off by clicking his heels together.
After finishing this brief exercise he leaned over to his chair, in a gait which reminded one of a goose, and sat down.
He leaned forward in his chair, and said, "May we proceed with the interview?"
"Yes," I said, "I would like to start by asking what the S.S. on that flag means."
He answered calmly saying, "The flag simply represents our organization 'Students for a Democratic Society'."
"Bat," I said, "I don't see the D for Democratic."
"Don't worry, you're not the first person who couldn't see the Democratic flag proceed with your next question."
"It is true that all S.D.S. factions support Mark Crisl and his proclaimed 'revolutionary goals.'"
I asked nervously.
"No, there are some of us who are more much opposed to violence for any reason."
"Well how do you plan to control people such as Crisl?"
"I plan to beat them up."
He answered calmly.
"But you just said that you oppose violence."
"You better mind what I said," he barked, "now answer the questions."
"It is true that the S.D.S. is very concerned with the plight of the workers?" I asked a bit apprehensively.
"Oh yeah, we are very concerned with the proletariat, who is constantly being exploited by the bourgeoisie, because we judge that exploitation to be cruel, unjust, and inhuman." He answered very automatically.
"But there are groups who claim that the S.D.S. exploits the workers for their own ends. What is your comment on this?"
"Humph!" he exclaimed while looking very bored.
Just after he had said this an old man with a large, dirty, weather beaten bucket and an awkward mop, entered the room. The old man was now quickly turned to leave, but the S.D.S. leader jumped up and screamed, "You stupid swine, how do you enter a room without knowing it?"
After saying this he walked (again like a goose) over to the old man who was freed from workwear, and slapped him across the face. He then pushed the old man out the door and rolled over and sat down as if nothing had happened.
"Next question," he barked.
"It is understood that to put it mildly, your organization does not approve of President Nixon. May I ask why?"
"We do not approve of Nixon because he is a fascist pig. Take for example when he said, 'What ever you do to me they will not affect me.' I mean who do you think he is? A madman, or some dictator that doesn't have to listen to the people?"
"Well," I said, "can I make a statement and then have you..."
Cutting me off he asked, "You mean I'll have to wait?"
"Well, you see..." Again cutting me off he exclaimed,
"Sorry, I never listen to anyone else's opinions because I am always right, and need no advice. Therefore you'd be wasting your time. Also, I don't think anyone would have no effect on me anyway. And furthermore I don't have the time, I have to get to the airport."
"Oh, where are you going," I asked.
He answered standing up and stretching again, "Genuinely, a bunch of us are getting together in this beerhall outside Munich, and..."
STUDENT UNION BOARD OF GOVERNORS
PRESENTS
THREE DOG NIGHT IN CONCERT
with HOYT AXTON also CONTINGENT
on
FRIDAY, FEBRUARY 13, 1970
WALSH GYMNASIUM
8:30 P.M.
ADMISSION - $4 to $5
RIC STUDENTS WITH ID $3, $4 (LIMITED NO.)
COME IN AND SUPPORT YOUR SCHOOL
BOARD OF GOVERNORS
Sponsors
WINTER WEEKEND
FEBRUARY 13-15th
13th THREE DOG NIGHT with Hoyt Axton
14th BASKETBALL RIC vs. Worcester State, 8 p.m.
15th Semi-Formal Dinner Dance
VENUS DE MILO, 8 P.M. - $9.00 Per Couple
Don't Miss The Fun! — Get Your Tickets Now! — Available in S.U. room 201
SCHEDULE FOR CURRICULUM MAJOR - MINOR CHOICE
BY FRESHMEN AND TRANSFER STUDENTS
Tuesday, February 10 — 1:00 P.M. — FRESHMAN ADVISERS AND STUDENT COUNSELORS MEET WITH FRESHMEN
Div. 1, 2, 3, 4, 29 — Mann Aud. (East) (P. Eutis)
Div. 5, 6, 7, 8 — Roberts Aud. (West) (J. Wilcox)
Div. 9, 10, 11, 12, 31 — Mann Aud. (Front) (D. McCool)
Div. 13, 14, 15, 16, 32 — Roberts Aud. (O. Knott)
Div. 17, 18, 19, 20, 21 — Mann Aud. (Center) (J. Corrigan)
Div. 21, 22, 23, 24, 30 — Mann Aud. (West) (L. Miquierno)
Div. 25, 26, 27, 28 — CS 128 (J. Podris)
Div. 33, 34, 35 — Roberts 338 (R. Parrish)
Wednesday, February 11 — 2:00 P.M. — ROBERTS AUDITORIUM
Liberal Arts & Professional Education Curricula (R. Shim and V. Pisciri)
Placement Office Services (N. Borden)
Wednesday, February 18 — 2:00 P.M. — MANN AUDITORIUM
Elementary Education and Early Childhood Curr. (R. Passy)
Secondary Education Curr. — CS 125 (R. Meinhold)
Wednesday, February 18 — 3:00 P.M. — DEPARTMENT MEETINGS
BY MAJOR OR MINOR
Anthropology M 253 (L. Lindquist) Mathematics M 374 (A. Nazarian)
Art CL 201 (R. Kenyon) Music CL 204 (R. Smith)
Biology M 116 (G. Polasky) Philosophy CL 231 (T. Howell)
Chemistry M 241 (C. LaBarbera) Political Science M 309 (R. Meinhold)
English CL 225 (M. Estrin) Physics M 309 (A. Laferriere)
Economics M 254 (K. Lundberg) Political Science M 256 (V. Pasquini)
French CL 202 (M. Berry) Psychology M 251 (R. Perry)
General Science M 258 (R. Meinhold) Social Science M 251 (G. Perry)
Geography M 255 (C. Smolinski) Sociology M 251 (R. Whitman)
History A 168 (K. Lewalski) Spanish M 296 (R. Coons)
Humanities CL 203 (M. Doherty) Theatre M 303 (E. Scheff)
Tuesday, February 24 — 1:00 P.M. — REPEAT DEPARTMENT MEETINGS
BY MAJOR AND/OR MINOR)
Same Location as above.
Wednesday, February 25 — 1:00 P.M. — Same Location as Feb. 10 Meeting
Freshman Advisers and Student Counselors meet with Freshmen to complete Curriculum Choice Cards and/or make appointments for following 2 days for individual conferences to discuss choice.
Monday, March 2 — ALL LEADERS TO SCHEDULING OFFICE FROM ADVISERS
(Tuesday, March 3 — 1:00 P.M. — TIME RESERVED IN THE EVENT OF A SNOW OUT)
PLEASE NOTE: In the event that a snow storm should cancel one of the above meetings all remaining meetings (including the one snowed out) will be advanced to the next scheduled time.
(Monday, March 9 — Cards to Scheduling Office if cancellation is necessary)
Freshmen in the:
Industrial Arts Curr.
Music Education Curr.
Music Education Curr.
Art Education Curr.
Middle Secondary Curr., may attend any or all of the above meetings.
The last scheduled meeting with advisers is most important so that a CURRICULUM CHOICE CARD CAN BE FILLED OUT AND TURNED IN TO THE ADVISER.
*BRING THIS SCHEDULE WITH YOU TO THE FIRST MEETING
Wilson Sets Record At Home:
But...Florida Isn't All That Great
At This Time of Year!
According to Coach Baird a combination of things caused the rather poor time in Rick Wilson's experience in the Sun-
shine State over this past vaca-
tion. A combination of long and
tiring flights, the heat of Florida,
the early going, and the absence
of Ray Huelbig were big factors
according to Baird. In reference
to Huelbig, Baird emphasized
that he was taking nothing from
Steve's performance but that he
felt in a job fit in the middle spot
of the Rhody offense, out by the
drives. Pointed out by Baird
was that Ray played his break
basketball in high school and has
the advantage of experience over
Steve's Baird. Further, that he
was quite pleased with the way
Rick had come along but
that performance he had been
forced into developing experience
under fire and this in itself is not
the same as playing.
In comparing the two guards
the difference seems to show
most in scoring average as Ray
was averaging about ten points
more per game than Steve. This
allows the opportunity to be
of Steve's making and take to, what
Coach Baird called "clogging
Wilson."
One comment which came out
of the trip was the surprisingly
poor caliber of officiating. There
was not one call that was con-
sistent by the officials as there
was simply a lower grade of
officialing.
In contrast to last year's
Carolina trip, one comment that
the fans and fans in the area
were very cordial and the games
were played well.
Prior to the Christmas vacation,
with North Adams State as its
victims Ricky Wilson put on a
one man show as to how to
dissect a defense. The six-foot-
ten sophomore rolled his
record in some thirty-five min-
utes before Coach Baird decided
to ease up on the remnants of
the North Adams squad and give
them a chance to develop. Five
ups and hard fought rebound
shots Rick piled up thirty-five
points for the game.
Rick's new mark eclipsed the
old record for the school, and
the Walsh Center, which had
stood at 47 by former RIC ace
Dick Rouleau.
Congrats Ricky, and welcome
home guys!
by Charly Tostoro
Ray Huelbig may return to
the lineup this week against
Fitchburg, if his academic con-
flicts are taken care of. Ray last
year was a superb player, one
which put him under the mini-
mum required of the NAIA. Ray
has taken courses offered in these
courses and the results are out
before the academic standing
committee. It is more than
likely, that at this time, Ray,
Ray and the team, the Academic
Standing Committee saw fit to
refer the matter to the depart-
ment chairmen in the cases
where these courses pertain.
To take a stand it appears to
the committee that only one
wants Ray to play but no one is
willing to make a definite
statement. It appears that
Ray takes a definite stand on
either side, either positive or nega-
tive, and people who are get-
ting their say by the entire situa-
tion. Unfortunately, Ray, Ray
and the team, the Academic
Standing Committee saw fit to
refer the matter to the depart-
ment chairmen in the cases
where these courses pertain.
To take a stand it appears to
the committee that only one
wants Ray to play but no one is
willing to make a definite
statement. It appears that
Ray takes a definite stand on
either side, either positive or nega-
tive, and people who are get-
ting their say by the entire situa-
tion. Unfortunately, Ray, Ray
and the team, the Academic
Standing Committee saw fit to
refer the matter to the depart-
Will Ray Play?
Department Chairmen Hold Key
by Charly Tostoro
Ray Huelbig may return to
the lineup this week against
Fitchburg, if his academic con-
flicts are taken care of. Ray last
year was a superb player, one
which put him under the mini-
mum required of the NAIA. Ray
has taken courses offered in these
courses and the results are out
before the academic standing
committee. It is more than
likely, that at this time, Ray,
Ray and the team, the Academic
Standing Committee saw fit to
refer the matter to the depart-
ment chairmen in the cases
where these courses pertain.
To take a stand it appears to
the committee that only one
wants Ray to play but no one is
willing to make a definite
statement. It appears that
Ray takes a definite stand on
either side, either positive or nega-
tive, and people who are get-
ting their say by the entire situa-
tion. Unfortunately, Ray, Ray
and the team, the Academic
Standing Committee saw fit to
refer the matter to the depart-
Sports Night Coming
"Sports Night 1970" sponsored
by the Alumni Association
and the Anchor Club at Middle
Island College is set for Febru-
ary 14. All alumni and friends of the
College are being invited to par-
ticipate in order to support the fine
RIC basketball team.
The evening will begin with a
beef supper in the Darden Dining
Center at 6:15 P.M., followed by
the highlight of the evening, the
RIC vs. SMU men's basketball
game at 8 p.m. in the Walsh
Center and ending with a "coffee
and a danish" post game social.
The Darden Center will accept
reservations for the evening for
both children and adults through
February 6.
Bill Baird Named Coach of the Year
By Words Unlimited
Bill Baird was directing his
charges in Florida when Words
Unlimited recently announced
that he had been chosen as
coach of the year. The continued
improvement of the caliber of
basketball played by RIC teams
under his direction, culminating
in last year's 12-3 record, were
all contributing factors in his
choice as Coach of the Year.
When contacted, Mr. Baird
stated that the award prize and
honored not only from a per-
sonal standpoint, but for the
fact that RIC basketball is be-
ginning to gain a little more rec-
ognition. In discussing this Mr.
Baird noted that he himself has
been named in the New England
small college ratings for the last
month and they were 5th
ranked in the latest poll, while
last year it was not until the
later stages of the season that
the team was even given rec-
ognition in the polls. |
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FIRST VOLUME
OF
PROPOSALS
for suitable methods of bringing the entire Atlantic City Frequency Allocation Table into operation
(Administrative Council Resolutions Nos. 199 and 200)
INTERNATIONAL TELECOMMUNICATION UNION
GENEVA, 1951
| Proposal No. | Country/Region | Page |
|-------------|----------------------------------------------------|------|
| 1 | United States of America | 5 |
| 2 | New Zealand | 29 |
| 3 | Belgium | 31 |
| 4 | France | 33 |
| 5 | Canada | 35 |
| 6 | French Protectorate of Tunisia | 53 |
| 7 | Oversea Territories of the French Republic and Territories administered as such | 55 |
INTRODUCTION
In Resolution No. 199 (Fifth Session, September 1950), concerning preparation for the Extraordinary Administrative Radio Conference to meet in Geneva on 16 August 1951, the Administrative Council requested:
"pending the meeting of the Conference and in order to facilitate and shorten its work;
"a) the active assistance of the IFRB (in accordance with paragraph c) of the Atlantic City Resolution relating to the participation in the FFB of Members of the IFRB) and of all Members of the Union in studying and making proposals for suitable methods of bringing the entire Atlantic City Table of Frequency Allocations into operation as soon as possible;
"b) the IFRB to assemble and collate all proposals and to circulate them to Members of the Union at least two months before the Conference."
In addition, the Administrative Council, in its Resolution 200, laid down the programme of preparation for the Extraordinary Administrative Radio Conference.
The present volume contains the proposals received by the IFRB up to 1st March 1951. They have been classed in the chronological order in which they were sent, and those proposals despatched on the same date have been placed in the alphabetical order of the names of the Members of the Union from which they come.
Further proposals received will be published later in one or more volumes.
The following is a list of the major topics covered in this course:
1. Introduction to Computer Science
2. Data Structures
3. Algorithms
4. Programming Languages
5. Operating Systems
6. Networks and Distributed Computing
7. Database Management Systems
8. Artificial Intelligence
9. Machine Learning
10. Computer Graphics
11. Computer Security
12. Human-Computer Interaction
Each topic will be explored in depth, with a focus on both theoretical concepts and practical applications. The course will also include hands-on programming assignments and projects to reinforce learning.
I enclose fourteen copies of a report of December 5, 1950 entitled "Exploratory Studies Undertaken by the United States with Respect to Implementation of the Radio Frequency Bands Below 27,500 Kilocycles" which constitute the initial comments of the United States on implementation in connection with preparations for the Extraordinary Administrative Radio Conference.
Note: The Administration of the United States of America sent 6 February 1951, the following telegram:
Request report entitled "Exploratory Studies Undertaken by the United States with Respect to Implementation of the Radio Frequency B Bands Below 27 500 KC December 5, 1950" be circulated all administrations for comment soonest.
EXPLORATORY STUDIES UNDERTAKEN BY THE UNITED STATES
WITH RESPECT TO IMPLEMENTATION OF THE RADIO FREQUENCY
BANDS BELOW 27,500 KILOCYCLES
INTRODUCTION
These studies were undertaken in preparation for The Hague Conference and have been reviewed and revised to take into account the resolution adopted by the Administrative Council of the International Telecommunication Union in September 1950 which contemplated the development of alternative approaches to the problem of implementing the Atlantic City Table of Frequency Allocations below 27,500 kilocycles.
The preparation of these studies proceeded with the knowledge that any final decisions regarding specific methods of implementation must await the actions of the Extraordinary Administrative Radio Conference on agenda items 1, 2a and 2b, but with full recognition that many of the operating and administrative problems to be met in the conversion to the Atlantic City Table of Frequency Allocations will not be affected by the actions of the Conference. Therefore, it is anticipated that preliminary discussions may be undertaken and tentative decisions reached on agenda items 2b, 2c, 3 and 5 during the early proceedings of the Conference.
Operational factors affecting each of the major services of the United States have been studied and summarized under their individual headings which follow the "General Considerations" set forth in this paper.
GENERAL CONSIDERATIONS
Because of the large number of active assignments and the crowded conditions in many of the frequency bands below 27,500 kilocycles it would appear to be essential that specific procedures be adopted by the Conference which would provide for a method for implementing the Atlantic City Table of Frequency Allocations and enumerating therewith, a sequential order of events with a view toward minimizing disruptions and interference to all active radio services during the transition period.
In determining the time and manner for establishing new assignments below 27,500 kilocycles, careful consideration should be given to the wide variation in problems which depend largely on the nature and purpose for which communications are desired. Consideration should also be given to such factors as geography and the time of year, as well as the capabilities and limitations of each Administration, in order that a mutually acceptable agreement may be reached.
It is believed that the individual and collective problems of all services will require the adoption of certain general principles, such as those contained in the following list. (The order in which these principles appear has no chronological significance).
1) The use of frequencies below 27,500 kilocycles must be brought into conformity with the Atlantic City Table of Frequency Allocations at the earliest possible date.
2) The Conference should establish the earliest possible date for bringing into force the Atlantic City Table for those frequencies below 27,500 kilocycles.
3) The Conference should prescribe necessary interim instructions for the IFRB so that it may be of maximum assistance to the Administrations in the over-all implementation program during the period between the close of the Conference and the effective date in (2) above.
4) As soon as the objectives in (1) and (2) above have been met, the IFRB then should begin to function and assume the regular duties prescribed in the Radio Regulations of Atlantic City.
5) The Conference should establish a sequence of events for the over-all implementation and a schedule of dates therefor.
6) A notice period, as short as practicable, should elapse between the end of the Conference and the date set for the beginning of the implementation program, which is referred to hereafter as Date 1.
After consideration of the operational problems involved in the full implementation of the Atlantic City service allocations, it would appear that a complete and instantaneous changeover of assignments is not practical for all services. However, an implementation program does appear to be practicable if it is divided into two distinct phases each having definite beginning and ending dates.
Using this procedure, the first phase should begin on Date 1 and end on Date 2. The second phase should begin on Date 2 and end on Date 3.
The first-phase preparations would consist of making as many frequency adjustments as can be made without creating harmful interference. Such adjustments could be facilitated in some instances by cooperative arrangements between administrations. On the completion of the first phase, or Date 2, all administrations would terminate all out-of-band assignments, and henceforth throughout the second phase, all frequency adjustments which had not been accomplished by Date 2, would be dealt with in blocks of spectrum space, to be accomplished by Date 3.
With respect to the second phase, it is believed that reassignments should begin at 27,500 kilocycles and continue downward in sequential progression. Among the advantages to be gained from this procedure, is that small segments in a relatively uncrowded portion of the spectrum would be reassigned at one time and the further advantage that displaced operations will tend to be slightly upward in frequency rather than downward. This would minimize the number of disruptions to current operations and therefore such a course of action would seem both logical and practical.
The Administrative Council's resolution of September 1950 which considered all frequencies below 4000 kc/s as one category is not believed to be a practical division of the radio frequency spectrum. It is suggested, therefore, that implementation should begin at 27,500 kc/s and progress downward to 2000 kc/s in order that some space for the aeronautical mobile
bands (R) (now between 2850 and 3500 kc/s) may be made available on higher frequencies as a result of the downward progression (see paragraph 6, Study "A"). Frequencies below 2000 kc/s may then be treated as a separate category and without regard to the implementation schedule for those frequencies above 2000 kc/s.
In developing the "downward progression" plan of implementation, consideration was given to the amount of spectrum space that might be considered at any one time during the implementation period. These studies indicate that such divisions of spectrum space should be in "blocks of frequencies" that are small enough to permit reasonably rapid treatment, in order to minimize the period of time during which the various active services may be inconvenienced. These "blocks" should be large enough, however, to permit inter-service and intra-service reassignments at any one order of frequencies. On the basis of these considerations it is believed that a division of the spectrum space into nine "blocks" as shown in the following table, would be entirely suitable for establishing a practical sequence of events.
Starting with Block No. 1 would make space available for those assignments migrating upward from Block 2 which in turn would provide space for migrations from Block 3 and so on down through and including Block 7.
| Division of Spectrum | Block No. 1 | 27,500 - 21,450 kc/s |
|----------------------|-------------|----------------------|
| | Block No. 2 | 21,450 - 15,450 kc/s |
| | Block No. 3 | 15,450 - 11,000 kc/s |
| | Block No. 4 | 11,000 - 6,765 kc/s |
| | Block No. 5 | 6,765 - 5,250 kc/s |
| | Block No. 6 | 5,250 - 3,500 kc/s |
| | Block No. 7 | 3,500 - 2,000 kc/s |
| | Block No. 8 | 2,000 - 150 kc/s |
| | Block No. 9 | 150 - 10 kc/s |
**SEQUENCE OF EVENTS**
All Dates will begin as determined by the Conference. The Conference should insure that a period of time will elapse between the close of the Conference and Date 1, which will be sufficient for the Administrations to prepare for the implementation program.
Frequencies between 27,500 - 2000
(1) Close of Conference.
All Administrations prepare for implementation.
(2) Phase One
Date 1. All Administrations make as many adjustments as possible between 27,500 and 2000 kc/s without regard to "Blocks of Frequencies", and without creating harmful interference.
(3) Phase Two
Date 2. Discontinue all out-of-band operations. Continue adjustments by "Block of Frequencies".
Block 1 Date 3
Block 2 Date 3
Block 3 Date 3
Block 4 Date 3
Block 5 Date 3
Block 6 Date 3
Block 7 Date 3
(4) Date 3 (final)
Frequencies between 150 - 2000 kc/s
It is believed that the bands between 150 and 2000 kc/s may be implemented on a regional basis, either before or after the implementation above 2000 kc/s; and further that the administrations affected within each separation region should agree on the dates and methods for implementing these bands.
The special arrangements already consummated in Region 2 under the provisions of paragraph 1076.1 of the Radio Regulations could serve as a basis for a detailed program of implementation. It appears that each of the bands 1605-2000, 535-1605, 415-535 and 150-415 kc/s presents a slightly different problem.
It is felt that the 415-535 kc/s band should be implemented first on a specific date, and should be accomplished simultaneously with the adjustments to be made on those assignments now in use between 355 and 550 kc/s. The specified date should be approximately six months after the new lists of frequency assignments involved have been finally coordinated.
Gradual implementation of the future band of 150-415 kc/s is considered practical, the only requirements being (a) coordination in adjustments of specific frequency assignments between the countries directly concerned, (b) agreement on a date by which the table of frequency allocations for this band shall become effective. The effective date for 150-415 kc/s could be the same as the effective date for the 415-535 kc band. Agreement should be reached on the earliest possible effective implementation dates for the 1605-2000 and 535-1605 kc bands. However, the effective date for 535-1605 kc should not be earlier than the effective date for the 150-535 kc, or the 1605-2000 kc bands.
Frequencies between 10-150 kc/s
In as much as the present fixed service assignments within the 10-150 kc band are in-band with respect to the Atlantic City Table, and with the belief that it may take two or three years to complete necessary reassignments from bands above 150 kc and then make all necessary readjustments within the 10-150 kc band, it would appear that all Administrations concerned should begin immediately after the Conference to make individual adjustments on specific dates by special arrangement between the Administrations concerned. However, this should not preclude the possibility for bringing into force the Atlantic City Table of Frequency Allocations as of Date 3 for Block 7 of the spectrum.
Preparation of Master International Frequency Register: 10-27,500 Kilocycles
Based upon the preceding program of implementation, it is believed that the Conference should authorize the I.F.R.B. to prepare the Master International Frequency Register for all of the bands between 10 and 27,500 kc/s in accordance with the following procedures:
A. Approved Frequency Lists
For those bands and services where the Conference approves lists of specific frequency assignments to stations, the following procedure shall be employed:
Registration or notification shall be accorded by the IFRB for all bands and services having lists of specific frequencies which have been approved by the Extraordinary Administrative Radio Conference. All such registrations or notifications shall bear retroactive dates which coincide with the date on which the Final Acts of the Conference were signed and shall become a part of the Register.
Changes in any "Block" which are made subsequent to the approval of the lists and before Date 3 of any particular block involved, shall be accepted by the IFRB on a notification basis only. These changes, and all subsequent notifications shall be reviewed by the IFRB after Date 3 of the particular Block involved. All reviews shall be in accordance with the procedures stipulated in the Atlantic City Radio Regulations.
B. Approved Allotment Plans
Allotment plans, such as those adopted by the Aeronautical Mobile Service, which have been approved by the Conference shall be accepted by the I.F.R.B.; and administrations shall notify the IFRB of individual assignments made under such allotment plans. Such notification of assignments will be received by the IFRB at any time prior to Date 3 for the particular block within which the assignment falls; and on the Date 3 applicable to any assignment so received, it will be accorded registration or notification whichever is appropriate. Each such registration or notification shall bear an identical date which will be retroactive to the date of signing of the Final Acts of the Conference.
Any assignment which is brought into operation and is not in accordance with approved allotment plans, shall be accepted on a notification basis only and shall bear a date based on its date of receipt by the Board. After Date 3 for the block involved, the IFRB shall take appropriate action on such assignments and on all other subsequent notifications, in accordance with the procedures stipulated in the Radio Regulations.
It should be noted that this procedure is not intended to prevent the inclusion of an appropriate provision in the Final Acts of the Conference, which would allow for the implementation of paragraph 7 (a-f inclusive) of Resolution 6 of the International Administrative Aeronautical Radio Conference, Geneva, 1949.
C. No Lists or Allotment Plans
In those bands and services where no lists or allotment plans are accepted by the Conference, the IFRB shall prepare the Register in the following manner.
1. (Category 1) Each Administration shall notify the IFRB, prior to Date 1, of the assignment particulars of all active frequency usage projected over a sunspot cycle, for actual communication services or circuits being maintained as of the end of this Conference which:
a. Do not require adjustments in frequencies as the result of bringing into force all the provisions of the Radio Regulations (except the cooperative adjustment suggested in paragraph C, 3, b) and
b. The Administrations intend to continue in operation, and
c. The Administrations consider necessary to include in the new International Frequency List.
The IFRB shall assume that all these operations so notified can continue to operate satisfactorily, even though certain limitations may exist which will require continued cooperation between the Administrations concerned.
2. (Category 2) Each Administration having, on the final day of the Conference, any additional active operating frequency assignments not covered by Category 1, may begin to adjust such frequency assignments on Date 1 in order that such operation shall not be in conflict with the Radio Regulations. The particulars of all such adjusted frequency assignments shall be made available to the IFRB by not later than Date 2 for the "Block" involved.
Where such frequency adjustments are not feasible, the operation may continue on its present frequency until Date 2 for the Block involved, providing that each Administration concerned will resolve any cases of interference resulting from such operations.
3. The particulars of all assignments in both categories 1 and 2 shall be entered in the Register by the IFRB. As of Date 3 for any Block concerned, the IFRB shall enter a date in the notification column for each entry in either category. This date shall be the same as the date of signing of the Final Acts of the Conference. As of Date 3 for Block 7, the IFRB shall accord registration status to those assignments which are in conformity with the Table of Frequency Allocations. Those assignments that are involved in cases of harmful interference which are pending before the Board shall receive notification status and shall remain in the notification column until such interference has been satisfactorily resolved. The dates for all such assignments shall be the same as the date of the signing of the Final Acts of the Conference. The Administrations concerned should take the following steps to insure the minimum disruption and interference to all active radio operations:
(a) Every effort should be made to share the available spectrum space so that harmful interference is avoided.
(b) All practicable measures should be taken by Administrations so that operations which are in-band as of Date 1 may be readjusted whenever this will facilitate the accommodation of out-of-band uses in category 2.
(c) No operation which is out-of-band as of Date 1 will be shifted in-band prior to Date 2 for the Block concerned if such shift creates harmful interference.
(d) All uses which are in-band as of Date 1 will be reviewed with the objective of eliminating as many as possible before Date 2 for the block involved, so that only those operations which are essential need be considered after Date 2.
Notices of assignments in these bands received by the Board which do not fall in either category 1 or 2 above shall be entered in the Register with the dates of receipt in the notification column only and these dates may, after Date 3 for Block 7, be transferred from the notification column to the registration column in accordance with the provisions of the Radio Regulations.
4. Notices of operations activated after Date 2 for the Block involved will be handled by the IFRB in accordance with the procedure stipulated in the Radio Regulations.
D. For the Regional Frequency Bands Below 4000 Kc/s
In these "regional" frequency bands a procedure should be developed at the Conference whereby at least the following objectives will be attained:
(a) Registration and notification dates, as appropriate, for operations active as of the end of the Conference which are to be made retroactive to the date of signing of the Final Acts.
(b) Coordination of any inter-regional interference problems.
(c) Integration of these assignments into the Register.
E. Interference
In any cases of temporary harmful interference which may arise between Date 1 and Date 3 for Package 7, the Administrations concerned shall make every effort to effect a solution of such temporary interference cases on a mutually satisfactory basis, but may, in the event such agreement cannot be reached within a reasonable period of time, refer particular cases
of harmful interference to the IFRB for handling in accordance with the procedures stipulated in the Radio Regulations.
Studies describing the implementation problems of the several services of the United States:
A - Aeronautical Mobile
B - Amateur
C - Broadcasting
D - Fixed
E - Land Mobile
F - Maritime Mobile
STUDY "A"
AERONAUTICAL MOBILE SERVICE
PART I - Aeronautical Mobile (R) Service
The following comments relate to the problem of shifting out-of-band operations to specific frequencies provided by the IAARC Allotment Plan, Geneva-1949, in the following Aeronautical Mobile (R) bands:
| Frequency Range | Frequency Range |
|-----------------|-----------------|
| 2850-3025 | 8815-8965 |
| 3400-3500 | 10005-10100 |
| 4650-4700 | 11275-11400 |
| 5450-5480 (Region 2) | 13260-13360 |
| 6525-6685 | 17900-17970 |
These comments are based on conditions as they are known to exist today and within the foreseeable future.
It should be noted that the AeM(R) frequencies presently used domestically within the USA are not the same as those in the IAARC Allotment Plan. It will, therefore, be necessary to change all frequencies presently installed aboard aircraft operating within the domestic USA. In addition, it is estimated that few, if any, of the presently used international route frequencies are the same as those provided by the IAARC Allotment Plan for the routes concerned and, accordingly, it is anticipated that all presently installed frequencies aboard USA international aircraft will be replaced in implementing the IAARC Allotment Plan.
1. EQUIPMENT
1.1 To provide an approximate picture of the scope of the impact upon equipment aboard USA air-carrier aircraft the following table has been prepared showing the number of aircraft, receivers, transmitters and crystals involved in the shift of frequencies from the present to the new (IAARC):
| No. A/C | XMTRS | XTALS | Revrs | XTALS |
|---------|-------|-------|-------|-------|
| Scheduled aircraft authorized for domestic service only...1) | 633 | 949 | 9490 | 949 | 9490 |
1) This figure includes 10 aircraft which are not equipped with transmitters.
equipment required to effect the necessary modifications in accordance with 1.2 and 1.3, above.
1.62 Establishment of procedures. The procedures to be used for the modification or removal of the presently used frequencies and installation of the new frequencies in aircraft receiving and transmitting equipment are the most complex part of the problem facing the USA aircarriers of implementing the Atlantic City AeM(R) bands. These procedures are of great importance since they will control the length of time required to effect the change. These procedures involve three major variables as follows:
Availability of aircraft at the modification point/s for a sufficient length of time for the modification to be made. In some of the smaller operations, aircraft return daily to the point where the modification is to be made, while in some of the larger operations this period may extend to two months.
Spare equipment at points along the routes must be modified at the same time the equipment aboard the aircraft is modified.
Scheduling of work in aircraft radio maintenance shops, in conjunction with availability of aircraft so that routine maintenance work of aircraft radio equipment will not be disrupted.
1.63 Procurement of equipment. This phase, which can be carried out concurrently with establishment of procedures is primarily one of finances and time. The financial aspect, which is basic, has been treated under 2, below. Orders for equipment would not be placed until arrangements for the necessary funds had been completed. It is estimated that after orders had been placed for the necessary materials, a maximum of four months would be required for these orders to be filled.
2. Budgetary Consideration
2.1 It is estimated that the cost of modifying transmitting and receiving equipment aboard U.S.A. aircraft, both domestic and international, to remove presently used frequencies and install the IAARC AeM(R) frequencies, would be approximately two million dollars (based on cost levels existing as of June 1950). This does not include the cost of shifting aeronautical stations from presently used frequencies to the IAARC AeM(R) frequencies.
3. Time Required between Date 1 and Date 2
As a result of the preceding aviation study it is believed that the needs of the Industry can be met if the following sequence of events leading up to complete implementation of the Atlantic City Allocation Table can be approximately maintained:
3.1 Notice Required
It is anticipated that between Date 1 and Date 2, the following actions will be taken:
Determine the equipment required aboard aircraft and at aeronautical stations.
Establish equipment maintenance, etc., procedures for effecting the frequency changes.
Make the necessary budgetary arrangements.
Procure equipment to make the changes.
Reduce to an absolute minimum the number of frequencies presently installed aboard aircraft and at aeronautical stations, both domestically and internationally, and voluntarily install as many as possible of the new (IAARC) frequencies in preparation for initial operation on Date 2 for the Block concerned.
These considerations indicate that approximately twelve months should be provided between Date 1 and Date 2.
4. **Time Required Between Date 2 and Date 3**
It is anticipated that between Date 2 for Block 2 and Date 3 for Block 7, the following actions will be taken:
On Date 2 for the Block concerned, discontinue operations on the frequencies presently assigned, both domestically and internationally. Even though it may not be possible for all air carriers to begin operation on the new IAARC frequencies, operations will begin on the new frequencies wherever installations have been completed between Date 1 and Date 2.
Complete the modifications from present to new frequencies, for aircraft and aeronautical stations, and begin operations on the new frequencies as soon thereafter as practicable.
Allowing approximately ten days for each Block (2 through 7), it is estimated that the total processing time between Date 2, Block 2 and Date 3, Block 7 would be about two months.
5. Because instrument flight is required most often during the winter months, and consequently the safety of flight operations is most dependent on communications during this period of the year; it would appear to be particularly advantageous to have the transition of operations begin (as of Date 2 for Block 1) on or about June 1 and end by September in order that the transition may be carried out during a good weather period.
6. **Whole or in Part**
6.1 The Block plan which permits shifting of loads between the various megacycle orders between Date 2 and Date 3 is considered practical. This flexibility is necessary as concerns the international operations and is an absolute necessity as concerns the domestic operations, where a large percentage of all present air-ground communications will have to be shifted upwards from the 5-6 megacycle band to the 8-12 megacycle band, and from the 2850-3500 kilocycle band to the 4-6 megacycle band.
6.2 In order to provide the necessary degree of safety and to permit coordination of operations, all operations on any specific route must be shifted simultaneously, domestically, as well as internationally.
The considerations enumerated above apply equally to all types of aviation service to be conducted in the AeM(R) bands.
PART II - Aeronautical Mobile (OR) Service
While the operational problems of the (OR) service vary somewhat from those of the (R) service, the same time factors, from the point of view of implementation, appear practical.
STUDY "B"
AMATEUR SERVICE
No implementation problems involving operational considerations are encountered in the Amateur Service.
STUDY "C"
BROADCASTING SERVICE
The physical plant facility problems of the Broadcasting service are similar to those of the fixed service, and the time factors involved for the fixed service apply equally to the Broadcasting service.
STUDY "D"
FIXED SERVICE
1. This study is based on certain premises and assumptions, it sets forth the position of operating agencies in respect to the more significant questions or considerations which apply to the fixed services in a program of implementation (i.e., of adjusting U.S. frequency uses) in conformance with the provisions of the Atlantic City Frequency Allocation Table. Specific information is set out as a guide bearing upon the necessity and length of an advance notice period, the duration of the change-over period, whether change-over should be made in whole throughout all bands in one step or broken down to several steps in different frequency ranges, and the time (season and year) when change-over should occur.
1.1 It has been assumed that:
1.11 An over-all procedure or basis for frequency utilization and/or specific frequency plans in respect to certain services or for certain frequency bands will be agreed upon at the forthcoming Extraordinary Administrative Radio Conference (EARC) of the ITU;
1.12 A program, including specific dates and covering certain important phases of the implementation program, will be established at the conference;
1.13 In general, the specific frequencies on which operations are to be conducted under the new procedure or frequency plan in accordance with the Atlantic City Allocation Table will be known in advance of the preliminary period required for notification purposes.
1.14 The performance of available equipment will meet the minimum operational limitations required.
2. The implementation problems and the time required for adjusting operations into conformance with the Atlantic City Frequency Allocation Table, will be materially affected by the procedure or method of approach adopted by the Extraordinary Administrative Radio Conference.
2.1 The minimum figures cited below as to time requirements and impact on operations, are based on the continuation of in-band operations on present frequencies and adjusting out-of-band operations to in-band frequencies.
3. An advance notification period will be required in order that voluntary changes may be made, and a date must be set for the discontinuance of out-of-band operations. These requirements are consistent with the overriding need for holding communication disruptions and confusion to a minimum during the implementation period by:
3.1 Permitting voluntary changes to be made prior to the change-over period scheduled by the Conference.
3.2 Providing time during which advance planning and arrangements for necessary material and personnel can be completed, to the end that all actual frequency uses may be adjusted, where necessary, in accordance with the agreed program, and may proceed expeditiously without undue delays from the standpoint of necessary administrative action and physical adjustment of all equipment involved;
3.3 Providing a definite terminal date by which out-of-band operations in any frequency band must be discontinued permitting the full availability of each frequency band by Services as provided in the Atlantic City Allocation Table without harmful interference from out-of-band operations.
4. The more significant equipment considerations which must be evaluated in establishing the implementation program are:
4.1 Antennas
4.11 Rhombic type transmitting and receiving antenna installations predominate in the fixed service within the high frequency portion of the spectrum. Frequency characteristics of such antennas are generally broad enough that frequency changes of the order to be anticipated will not pose serious difficulties. The consensus of opinion of operating agencies is that adjustments of such antennas to new operating frequencies will not require any increase in the length of the advance notification or actual change-over period beyond that dictated by crystal replacement (see 4.2 below).
4.12 A relatively small number of special antenna arrays are employed on high frequencies on certain international operations. Such arrays, in certain instances, are critically designed as to operating frequency and have very limited effective frequency coverage. Frequency adjustments in excess of about plus or minus 5% will require material adjustment of these installations, which may involve a quite expensive and lengthy adjustment program. If frequency adjustments, on circuits where these arrays are employed, beyond the effective range of the antennas are required, they may be accomplished without further extension of the notification and change-over periods by temporary utilization of less effective alternative antenna installations until such time as array installations may be conveniently altered. This temporary arrangement would result in an appreciable degradation of the signals now radiated from the aspect of desired and undesired directivity ratios.
4.13 In the low frequency range 10-150 kc and the associated regional band (150-200 kc), frequency changes may be of an order to require the installation of new antennas and also new transmitter equipment. Such installations, as the frequency is progressively lowered, become increasingly significant. Procurement and installation may require many months and possibly several years for over-all completion. In such instances, it may be found necessary to provide for interim operating arrangements pending ultimate completion of long term installation projects.
4.2 Crystals
4.21 One of the controlling factors in determining the length of the advance notification period is the amount of time required to procure, through normal commercial channels, and deliver crystals for both transmitting and receiving equipment to distant terminals which in some instances may be relatively inaccessible. Normal procurement delays may be seriously aggravated due to the accumulation of simultaneous demands from many agencies and for different operating Services. It appears that, on the basis of current practices in respect to the accuracy of frequency assignment maintenance, a minimum period of 3 to 6 months will be essential in advance of the change-over period in order to allow for the procurement and delivery of crystals to circuit terminals.
4.22 Should it be necessary, incidental to a reduction in adjacent frequency channel separations, to maintain operating frequencies substantially closer to assigned values than is current practice on international circuits, the crystal processing and replacement problem would be aggravated. This would result from the need for replacing many additional crystals and from increased time for processing individual crystals.
4.3 **Transmitters**
4.31 New frequency assignments in the high frequency range may in certain instances fall above the upper limit of existing transmitter tuning ranges. A limitation on transmitter tuning range in a few instances such that the highest frequency of a circuit complement is unusable immediately should be of relatively little concern at this time in view of the decreasing importance of such frequencies of a circuit complement in maintaining satisfactory service since the peak of the solar activity cycle has passed and, beginning about 1952, low solar activity may be expected for the next few years. Therefore, it does not appear that such situations should be a factor in delaying implementation.
4.32 In the low frequency range (10-150 kc) special circumstances may require extensive replacement of transmitter equipment. This may make special treatment of implementation necessary in the range as noted in sub-paragraph 4.13 above.
4.33 Tuning coils for transmitters, particularly in the case of those having very limited tuning adjustment flexibility may have to be replaced. Transmitting stations generally are provided with adequate tuning coils to permit adjustment of transmitter frequencies over the foreseeable range of frequency variation. Some additional flexibility may be needed to permit operation on revised frequencies under plans adopted by the Conference. As soon as revised frequencies are known, it is believed that concurrent action to provide additional coils needed can be accomplished within the period established as required for the provision of crystals.
4.34 In the case of SSB transmitters, it is noted that procurement of new tuning units through normal commercial channels may require 3 to 6 months time.
4.4 **Receiving Systems**
4.41 New frequency assignments in the high frequency range may in certain instances, as in the case of transmitters, fall above the upper limit of the receiver tuning range. Such situations present less of a problem in the case of receivers than in the case of transmitters. The same general remarks, as outlined in section 4.31 above, seem appropriate.
4.42 Tuning coils of receivers, as in the case of transmitters, may have to be replaced. (see 4.33 and 4.34 above).
4.43 Selectivity characteristics of present radio telegraph receiving systems (excluding multichannel SSB systems) are, in many instances, inadequate from a performance standpoint even on the basis of present practices as to adjacent channel separations for transmissions in the same interference area. With present adjacent channel separations, operational problems will expand in proportion with the degree of departure from present conditions in respect to frequency usage in any particular area. The extent to which material reductions are made in adjacent channel separations in any new frequency assignment plans will materially increase the resulting operational problems. The solution to such difficulties arising from inadequate selectivity characteristics of receiving systems appears to require the development and procurement of improved receiving equipment which is not currently available. Consequently, it appears that frequency plans, to be implemented within the next year or two, must be based on present
equipment and must conform generally with present operating practices in respect to frequency tolerances and separation of adjacent frequency channels.
5. **Personnel**
5.1 Increased demands will be placed upon available operating and technical personnel generally as a result of any program to implement large numbers of frequency changes. The length of the advance notice period and also of the change-over period must be gauged with the limitation as to the reasonable number of changes that can be handled by personnel. Generally, it is believed that present personnel would have to suffice to carry the workload involved. This factor may be more significant in determining the minimum length of the change-over period rather than the advance notification period particularly if a very short change-over period is to be considered in any frequency band.
6. **Program Costs**
6.1 The costs of the implementation program, in the case of operating agencies having large responsibilities in respect to the number of circuits and radio terminals operated, will be very substantially based on crystal procurement alone without including major equipment adjustments such as receiver, transmitter, or antenna installation adjustments or replacements. Absorption of expenses as routine maintenance costs would be facilitated if the over-all program is spread over a period in excess of one year. If an evolutionary procedure for establishing fixed service usage of the Atlantic City fixed bands is adopted by the Conference, the total cost of implementation would be materially less than if all fixed station assignments were changed, as would be required by a PFB type of fixed service list.
7. **Change-Over in Whole or in Part**
Some of the operating agencies involved considered that it was acceptable during the change-over period to effect changes in whole during one period or in several parts during several periods based either on different frequency ranges or individual circuit complements or even frequency by frequency. The most practical plan suggested was to divide the task taking several consecutive frequency ranges and several periods of relatively short duration rather than effecting the change-over throughout the entire frequency range in one period. Estimates of the duration of the final change-over periods varied, for each of these ranges, up to a maximum of several months.
8. **Change-Over Time of Year Preferred and Actual Time**
8.1 Some agencies considered that the time of year was not significant in connection with the implementation program. However, a viewpoint was expressed that least impact on communication services generally would result if the bulk of frequency changes were effected during a relatively stable period of ionospheric conditions. During such a period, there is less divergence between maximum and minimum frequencies used on any circuit and generally fewer frequencies used on any circuit. Consequently, during such a period, fixed operations can be accommodated on less actual frequency space in terms of frequency hours per day, facilitating the rapid adjustment of fixed service operations to release bands allocated to other services. The period after the spring equinox and before the fall equinox from approximately 1 May to 15 August in the
northern hemisphere, is recognized by propagation specialists as most desirable in respect to stability of ionospheric conditions.
8.2 Provided essential time is allowed in the notification period to prepare for implementation and make such changes as can be accomplished on a voluntary basis, and in the actual change-over period to effect changes which must be completed before that period's terminal date, it appears that if the Atlantic City Allocation Table is to be made effective there is no compelling reason from the standpoint of the fixed service for undue deferment.
Based on the assumption stipulated herein, it appears that implementation from the viewpoint of the fixed service, could be accomplished within a period of not less than one year beginning with Date 1.
STUDY "E"
LAND MOBILE SERVICE
1. Facts bearing on the Situation:
a. Land Mobile operations are generally of a domestic rather than an international nature in that communication is generally between stations within a particular country or territorial division thereof. Most of the land mobile operations of the United States are conducted on frequencies above 27 500 kc, but certain operations require, for reasons of frequency propagation, the use of frequencies below 27 500 kc. This study considers only this latter category.
b. Comparatively low radiated powers are generally employed in Land Mobile communications. Thus their interference impact upon other countries is primarily regional in extent, however, Land Mobile operations are generally susceptible to interference from regional and international transmissions as operations in other services.
c. Due to the essential need for stability together with ease and rapidity of frequency adjustment in Land Mobile communications, crystal control of equipment is predominant. In particular operations a large number of equipments may be involved which must have flexibility to permit operation on many different frequencies. This results in a large number of crystals being required for individual mobile equipments and the total number of crystals utilized in the Land Mobile service is very substantial.
d. Certain mobile equipments are designed to permit operation alternatively with crystal or master oscillator frequency control in order to provide maximum flexibility. In the case of such equipments, implementation of revised frequency assignments would be facilitated in that initially, at least, operation on new frequencies could be established with master oscillator control without time delays. In the case of some equipments, however, crystal control only of transmitters is provided.
e. In the regional bands below 4000 kc, while several exclusive bands have been established for Aeronautical and Maritime Mobile services, such as 2065-2105, 2850-3025, 3025-3155, and 3400-3500 kc, the major portion of this space from 1605 to 4000 kc is still available for Land Mobile service on a shared basis. Thus, certain operations will have to be adjusted to clear these relatively small exclusive bands. Certain in-band operations may have to be adjusted to new in-band frequencies, but a large portion of present Land Mobile operations may continue on in-band frequencies now in use. Adjustments of this nature generally will not pose serious problems other than the need for replacement of crystals and readjustment of transmitters and receivers. The same comments apply in the case of the bands above 20,000 kc except that even fewer frequency changes appear to be required.
f. In the case of the bands from 4000 to 20000 kc, there have been very substantial changes in the provision for Land Mobile operation under the allocation table of Atlantic City from the provision under the Cairo Table. Under Cairo the shared bands 4000-5500, 8550-8900, 12825-13350, 17100-17750, as well as the mobile bands 5500-5640, 6200-6675, 8200-8550, 11000-11400, 12300-12825, and 16400-17100 kc were generally available for possible Land Mobile utilization. In practice, there has been little actual utilization of frequencies for Land Mobile operations between 7000 and 20000 kc. The major portion of activity has been concentrated in the band 4000-5500 kc. Under Atlantic City, within Region 2, Land Mobile service is only provided for in the three bands 4438-4650 (212 kc), 4850-4995 (145 kc), and 5250-5450 kc (200 kc) between 4000 and 20000 kc. The above allocations are on a shared basis with Fixed service in the band 5250-5450, shared with Fixed and Broadcasting in the case of the band 4850-4995, and shared with Fixed and other Mobile except Aeronautical Mobile (R) in the case of the band 4438-4650 kc.
g. In view of the substantial changes in allocations for Land Mobile operations, it is obvious that substantial adjustments must be made to the present frequency assignments. It is assumed, however, that frequency adjustments for Land Mobile operations will not require a major adjustment of present frequency ranges of equipment.
2. Assuming that, by some process, frequency assignments suitable to accommodate Land Mobile operations are determined as of a certain date, the problems facing the Land Mobile service in implementation of such new frequencies appear to be as follows:
a. Crystals must be purchased for new frequencies.
b. These must be distributed and installed by appropriate field service agencies. Simultaneously, it may be necessary to recalibrate and retune transmitters and receivers.
c. Since replacement of crystals and recalibration of equipment will require bringing the actual equipments into servicing shops, it appears essential that all frequency changes on individual equipments should be completed as one operation at one time rather than successive treatment in different frequency ranges at different times.
d. Pertinent instructions and information must be furnished in advance of implementation to all operating personnel.
e. Provision to permit absorption of the cost of such an implementation program must be included in budget estimates together with any supplemental needs in replacing crystal stocks which in certain instances may be an appreciable factor. Replacement of such stocks, however, would not necessarily have to be effected within the actual implementation period.
3. In the light of the above facts and considerations bearing on Land Mobile operations, it is estimated that a period of not less than one year should be allowed, from the time that new frequency assignments become known and after all controlling decisions in respect to implementation have been reached, before a complete change-over of all equipment to new frequencies can be effected in the Land Mobile service.
STUDY "F"
MARITIME MOBILE SERVICE
PART I - High Frequency Ship Telegraph Bands
Objectives:
(1) Bring the use of frequencies allocated to the Maritime Mobile Service below 27 500 kc into conformity with the Atlantic City Table of Frequency Allocations at the earliest possible date.
(2) The EARC Conference should establish the earliest possible date, and a method of procedure for implementation, taking into account the considerations of the Maritime Mobile Service.
(3) In effecting over-all implementation of the bands between 4000 and 27 500 kc, while some interim harmful interference and degradation of all services may be unavoidable, it must be kept to a minimum both in time and magnitude.
Considerations:
(1) Between the close of the EARC Conference and Date 1, all affected operating agencies and licensees will be informed by their Administrations of the specific frequencies assigned to each ship telegraph station pursuant to Article 33 and Appendix 10 of the Atlantic City Radio Regulations together with implementation details and such administrative directives as may be necessary.
(2) For reasons of economy and the low rate of availability of many ships at service ports, the complete equipage, calibration, and tune-up of each ship should be done in a single job. Double transitions of either ships or coast stations are economically and operationally impractical.
(3) The minimum period of time required to completely equip and calibrate all ship H.F. telegraph transmitters designed for Master Oscillator - Power Amplifier (MOPA) and/or crystal operation pursuant to Article 33 and Appendix 10 (frequencies) is calculated to be 13 months from Date 1. If 24 or more months is provided in the plan adopted by the Conference, it would be operationally and economically desirable to equip the ships concerned at the same time the foregoing adjustments are made so that they can, on a voluntary basis, meet the conditions in paragraph 592 of the Radio Regulations and in column 3 of the tolerance table in Appendix 3.
(4) Contingent upon appropriate preparation, transition from the Cairo Table to the Atlantic City Table can be effected in all bands simultaneously and instantaneously. However, if necessary to harmonize the transition with any over-all implementation plan on a successive block basis, this can be done, but may not be the most desirable from the viewpoint of the ship telegraph service.
(5) Implementation of any given band will not be practical until transmissions of other services capable of causing harmful interference have ceased in the band in question.
(6) Simultaneous guarding by coast stations of duplicate Cairo and Atlantic City ship sub-bands at a given order of frequency is not desirable, but, if unavoidable, should be kept to an absolute minimum period of time.
(7) Because of the world-wide nature of the H.F. Maritime Mobile Radiotelegraph Service, it is necessary that a single, universal, implementation procedure be employed for this service.
Plans for Implementation:
Any plan of implementation should provide for the following actions:
(1) Prior to Date 1, each Administration shall notify all operating agencies and licensees concerned of the specific frequencies assigned to each H.F. ship telegraph station pursuant to Article 33 and Appendix 10 of the Atlantic City Radio Regulations together with implementation details and such administrative directives as may be necessary.
(2) On or before Date 1, operating agencies, licensees and other affected parties shall proceed with the preparation of ship telegraph stations in accordance with the implementation plan adopted. Enumerated below are 3 plans of implementation each of which is related to the amount of time that the Conference allows for the preparation of H.F. ship telegraph stations.
Plan 1: Twenty-four month Allowance for Preparation
All ship telegraph stations, including those that are not now equipped with crystal controlled transmitters, can be prepared for complete transition in all bands with crystal controlled transmitters by instantaneous or block-by-block plan on any date which is 24 months or more after Date 1. This plan would afford sufficient time for ships to be equipped, on a voluntary basis, to meet the conditions in paragraph 592 of the Radio Regulations and in column 3 of Appendix 3 thereto.
Plan 2: Thirteen-month Allowance for Preparation
All ship telegraph stations can be prepared and ready for complete frequency transition (primarily MOPA) by instantaneous or block-by-block plan on any date which is 13 months or more after Date 1. This plan differs from Plan 1 in that sufficient time would not be afforded for all ships to be equipped, on a voluntary basis, to meet the conditions in paragraph 592 of the Radio Regulations and in Column 3 of Appendix 3 thereto.
Plan 3: Six Months plus Allowance for Preparation
(1) Six months after Date 1, ship telegraph stations which have been prepared and are ready for immediate frequency transition (primarily MOPA) can shift (represents approximately 50% of United States ships affected).
(2) Beginning six months after Date 1, all ship telegraph stations shall cease using Atlantic City out-of-band frequencies.
(3) Between Date 1 plus six months and Date 1 plus thirteen months, the remaining ship telegraph stations shall be prepared and shifted on a ship-by-ship basis.
Plan Preferences:
(1) Plan 1 is preferred to Plans 2 and 3 because it affords sufficient time to prepare completely, pursuant to considerations (2) and (3), all United States H.F. ship telegraph stations before any transition takes place, and thus, most economically, permits full implementation of the Atlantic City H.F. ship telegraph frequencies, and, at the same time, voluntary meeting of the conditions in 592 RR and Column 3 of Appendix 3 RR.
(2) Plan 2 represents the minimum time required to implement the Atlantic City frequencies, but is less desirable than Plan 1 because it does not afford sufficient time, on the basis of one overhaul per ship, to meet, on a voluntary basis, the conditions in 592 RR and Column 3 of Appendix 3 RR.
(3) Plan 3, while offering the advantage of an earlier date for the commencement of implementation, nevertheless contains the following serious disadvantages which would occur during at least part of the transition period:
(a) Two different sets of operating regulations would be in effect;
(b) Coast Stations would be required to guard two calling sub-bands per band;
(c) Intra-service interference problems would be created, particularly in the passenger ship working sub-bands.
(d) During the period of transition, unshifted ships would have a materially reduced number of working frequencies.
PART II - Coastal Telegraph Bands
The problem of modifying the transmitting and receiving equipment for coastal telegraph stations is the same as for the Fixed Service (Study D) and the same approximate time factors appear to be involved.
PART III - Ship Telephone Bands
Periods ranging up to 15 to 19 months must be allowed for the procurement of crystals and other components and the adjustment of ship telephone transmitters, depending, in part, upon the time of year agreed for obligatory implementation. If such a time period is agreed, no other major implementation problems will occur for ship telephone stations. In some cases, actual frequency shifts will be made aboard vessels at sea.
PART IV - Coastal Telephone Bands
The problems of implementation for coastal telephone stations are, in general, comparable to those of coastal telegraph stations but actual frequency shifts, for operational reasons should be made at the same time as the corresponding changes for the ship telephone stations which they serve.
7. **General** (In relation to (c) of invitation of Resolution 200 of Administrative Council).
The New Zealand Administration adheres to the principle of an orderly development of use of the Radio Frequency Spectrum, and believes that the progress made to date, being substantial, cannot lightly be jettisoned. It is considered that the engineering rules developed by the P.F.B. if wisely used can produce a more economical frequency usage system. In our own case we have 242 Berne registrations for fixed circuits on frequencies higher than 3.9 mc/s. The P.F.B. procedure with an application of stringent consolidation of circuits and frequencies gives 194 frequencies, a saving of 48 frequencies or about 20%. Consequently, there is no inflation either in registration or in the engineering procedure.
It is our view that there can be no progress without some sacrifice, and while we recognise that countries must protect their important circuits, nevertheless we believe that it is the desire of the majority of countries to have order rather than confusion. If, to achieve this objective, it is necessary to restrict for the time being frequency demands, then this should be done.
We believe that there is greater room for consolidation of requirements on the part of all countries. We have 123 fixed circuits using frequencies above 3.9 mc/s. The P.F.B. rules have given 388 frequencies by straight application. With consolidation 194 frequencies are obtained. We are unable to go further at this stage, but we think, having reduced by 20% our Berne list filings for a small number of circuits, that countries having large numbers of circuits can at least reach this figure, there being more possibilities of reduction.
We find that cases of harmful interference are on the increase. Reports from stations under the control of this Administration indicate that congestion of the spectrum is not mere fantasy. Shifting fixed circuits into a narrower spectrum space will not decrease the effect but obviously will increase it. Consequently, for a proper approach we must limit the assignments being made. Administrations must, therefore, if satisfaction is to be attained, reduce their demands then our services will be sacrificed by interference. The picture is very clear.
We are prepared to adopt any reasonable policy which will provide an orderly approach to the problem backed up by further consolidation and restriction. We fully realise that equipment
design must play an important part in any such approach. The development will prove expensive. The time-sharing of circuits requires reconsideration.
It is our desire that the Aeronautical Plan be introduced at the earliest possible moment. This could not be accomplished frequency by frequency, since the frequencies for the Aeronautical Plan - and for the Maritime Mobile Plans - are not necessarily the same as exist today for other circuits occupying the adjacent spectrum space. With fast flying national and international aircraft depending upon a planned communications system, both mobile and fixed, we would not be able to agree with any move which may tend to leave any other circuits operating in the bands over any period of time. Therefore, we would require to shift frequencies band by band. As it would appear that any Aeronautical Mobile Plan must be introduced simultaneously world-wide, to provide for M.W.A.R.A. similarly any Maritime Mobile Plan - it must then follow that all changes must be made in a relatively short period.
If this is to be done, then we feel that all fixed circuit frequencies must be negotiated in advance, which means negotiation at the Extraordinary Conference, and which in turn means an earnest endeavour to prepare an orderly and co-ordinated International Frequency List.
Summarising, we advocate the following approach to the existing problem.
1. The acceptance of existing plans as far as possible - Regional, Aeronautical and Maritime Mobile and Fixed, as suggested by the Administrative Council.
2. The development of an orderly approach to the problem of the fixed bands based on a greater reduction of demands in the first instance.
3. The containing of international high frequency broadcasting services in the appropriate bands - preferably on a planned basis but in any case with limitation to the appropriate bands.
4. The implementation of services possessing frequencies lying above 3.9 mc/s within a restricted period.
5. The implementation of services possessing frequencies lying below 3.9 mc/s in a restricted period, not necessarily, but preferably at the same time as in 4.
Further to your request for information relative to paragraphs c) and d) of Administrative Council Resolution No. 200, the Belgian Administration has certain suggestions to make, in view of the fact that application by Belgian telecommunication services of the frequency assignments above 4000 kc/s as determined by the Provisional Frequency Board would present serious drawbacks, and also in view of the need to accelerate implementation of the Atlantic City plan. These suggestions are as follows:
A) In the case of frequencies below 4000 kc/s, we could accept the assignments proposed by the special and service conferences held since 1948, and those evolved by the Provisional Frequency Board, without major amendment (see my letter No. 131 RV, of 8 December 1950, in reply to paragraphs a) and b) of the above-mentioned resolution).
B) In the case of frequencies between 4000 and 27,500 kc/s, there would seem to be but little hope of obtaining, in any foreseeable future, a new frequency assignment list based on sound technical principles. Hence we are of the opinion that the best practical temporary solution, and one which would chiefly be to the advantage of the security services, would be for each administration to consider using, for its fixed services, only those frequencies which it is now using in accordance with the Berne List, provided they fall within the bands reserved for the fixed service by the Atlantic City Regulations. This would mean that services other than the fixed service should discontinue use of frequencies outside the special allocations made to them.
As a second step, in order to ensure that the frequencies remaining available to the fixed services were employed to the fullest possible extent, each administration would be asked to provide the IFRB with the following information:
1) a list of those frequencies which experience has shown to be the best for the requirements of that administration's essential services;
2) a list of frequencies which for one reason or another cannot be used in the normal way. Against each frequency would be indicated the frequency requested in exchange. It would be for the IFRB to decide on the exchanges to be made.
No solution of the frequency assignment problem seems possible without a very substantial reduction in the requirements hitherto recorded. The above procedure would appear to offer a possibility of implementing the Atlantic City Plan, a matter of concern to all the various services.
During the transitional period research would be continued on ways and means whereby the new frequency list might be evolved in accordance with the Radio Regulations.
I have the honour to send you herewith the contribution from the French Administration to the study of the problem set by the Administrative Council in its Resolution No. 200, namely:
".... proposals relating to new methods of bringing into effect those parts of the Atlantic City Table for which the Extraordinary Administrative Radio Conference is unlikely to establish a frequency list."
We are of the opinion that there is no point in going into great detail before the methods we are advocating have been discussed with other administrations, so that the following paper is couched in very general terms.
1. We are convinced that as regards the bands between 4 and 27.5 Mc/s, the Extraordinary Administrative Radio Conference will be unable to prepare a new frequency list in the form and according to the methods decided upon at Atlantic City. This conviction is based on the fact that the Provisional Frequency Board, applying technical rules of excessive complexity - rules which, our knowledge being what it is, are insufficiently precise - failed to draw up a new list based on the circuit requirements notified by administrations.
2. We are, nevertheless, of the opinion that, to implement the Atlantic City Frequency Allocation Table, a new list will have to be prepared. Since this Table constitutes a major re-arrangement of the Cairo one, it has become essential to coordinate the frequency transfers which will result from its application, if indescribable chaos is to be avoided.
3. There can be no doubt that the major difficulty in preparing a new list lies in the need to fit all the fixed service frequencies - by far the most numerous - into a spectrum space which has been cut down in relation to that which was allocated at Cairo. Hence it follows that rigorous observance by all other services of the special bands allocated to them at Atlantic City is a prerequisite of any attempt to draw up a new list.
This presupposes that the problem abandoned by the Florence-Rapallo High Frequency Broadcasting Conference will be solved, that the plans produced by the International Administrative Aeronautical Radio Conference are acceptable, and that the Provisional Frequency Board's draft plans for the maritime mobile service can be used as a basis for the preparation of a final plan.
4. This assumption being made, the problem is reduced to one of transferring the fixed service from the bands allocated to this service by the Cairo Regulations, but allocated to others at Atlantic City.
There can be no question, we think, of upsetting the state of affairs existing in the bands allocated to this service by the Cairo Regulations and still allocated to it in the Atlantic City ones. Hence we consider that the new list should be built up on the model of the existing list, so that:
a) only frequency requirements should be considered; and
b) the list of circuit requirements drawn up by the Provisional Frequency Board in accordance with the directives issued by the Atlantic City Conference should be ignored.
c) An equitable means should be found of making allowance for priority in notification.
Such a procedure would give a document which at the outset would be identical with the existing one, but would be open to judicious improvement, notably by the inclusion of reception points.
5. How then, are we to draw up a list of the frequency transfers to be made?
We are of the opinion that this must be done by reference to an official Union document. In this case, it would seem wise to take the lists of frequency transfers to be made, as submitted by administrations in response to Administrative Council Resolution No. 200, and to check whether the frequencies therein included are also shown in the 16th edition of the list being prepared by the ITU General Secretariat. This latter list will include all frequency notifications made up to 1 March 1951.
6. It would be pointless, we feel, to attempt such frequency transfers during the Extraordinary Administrative Radio Conference; the agenda of the conference does not include this task. We are of the opinion that the conference could do no more than lay down a method whereby such transfers could be made; we make the following broad suggestions:
In those parts of the spectrum allocated to the fixed service by the Atlantic City Regulations, each administration would seek an opportunity for transferring all the frequencies used by it and notified up to 1 March 1951, when these frequencies were in bands allocated to the fixed service by the Cairo Regulations but since then allocated to other services. Administrations would then submit proposals to the Union.
Cases would no doubt occur of several administrations all desirous of making transfers to a frequency left temporarily unoccupied by other administrations notifying it. It would be for the IFRB to examine the requests put forward and to suggest possible solutions based on any information it may have collected from the international monitoring service. It would draw up a general plan for frequency transfers which would subsequently be submitted to a radio conference in a form to be decided on at the Extraordinary Administrative Radio Conference itself.
Such a procedure could of course begin to show tangible results only after a considerable period; we hold, nevertheless, that it is the only practicable one.
If it proves impossible to make the transfers, it would be better to keep the Cairo Frequency Allocation Table or to modify the Atlantic City one, in order to avoid major changes in the frequency bands allocated to the various services.
I have the honour to refer to Administrative Council Resolutions No. 199 and 200, dealing with the convening of the Extraordinary Administrative Radio Conference and the preparation for that Conference.
Resolution No. 199 invites Administrations to make proposals relating to suitable methods of bringing the entire Atlantic City Table of Frequency Allocations into operation as soon as possible and Resolution No. 200 requests Administrations to supply to the I.F.R.B. by January 31, 1951 proposals relating to new methods of bringing into effect those parts of the Atlantic City Table for which the Conference is unlikely to establish a frequency list.
The complex problem of implementing the Atlantic City Frequency Allocation Table below 27,500 kc/s has been given considerable study by this Administration. Of particular concern to the Canadian Administration is the difficulty of reaching agreement with regard to the Fixed Service allocations.
I am enclosing a paper prepared as a result of this study, which outlines one procedure, "Controlled Approach", which would appear to warrant further detailed investigation by the I.F.R.B. and other administrations. Briefly, this "Controlled Approach" is based on a contraction of the channel spacing which has generally been followed in the past.
This paper should be regarded at present as being merely for technical study and should not be considered as a formal proposal of the Canadian Administration. In fact further detail study by the Canadian Administration of the "Controlled Approach" procedure outlined in this paper between now and the holding of the Conference may result in such a procedure not receiving any support by the Canadian Delegation to the Conference.
The "Controlled Approach" appears to have some merit and we came to the conclusion that the results of our study should be made available to the I.F.R.B. and other administrations, with the feeling that it might stimulate studies along this or other lines prior to the Conference.
INTRODUCTION
1. The Canadian Administration has completed a study of some methods by which a new International frequency list could be compiled in conformity with the Atlantic City Allocation Table.
2. The study has produced one procedure which appears to merit consideration by other administrations.
GENERAL SITUATION
3. The work carried out by the International Telecommunication Union and particularly the work of the Provisional Frequency Board, has emphasized that one of the major difficulties involved in preparing an acceptable international frequency list in conformity with the Atlantic City Allocation Table is the problem of accommodating the Fixed Service in its reduced spectrum space.
4. The Canadian Administration has studied several methods, and in particular:
(a) The PFB approach based on the application of technical principles to accommodate the circuit requirements submitted by all Administrations in 1947;
(b) A modified PFB approach in which each Administration would present a "circuit priority list" of which approximately the first thirty percent of the circuits would be accommodated by registration in a properly engineered list. Of the remainder, as many as possible would be properly engineered into the list, and the unaccommodated residue would operate on a "notification" or non-interference basis to the registered circuits;
(c) An "evolutionary" approach, based on the International Frequency List (published by the Secretary General of the I.T.U., and hereafter referred to as the ITU List) of some date yet to be decided. Under this method "out of band" circuits would be shifted into the appropriate service bands under arrangements made individually or multilaterally by the various administrations.
5. The study of the PFB approach leads to the conclusion that, while the plans produced by the PFB are generally acceptable to Canada, it is apparent that most of these plans are unacceptable to a substantial number of administrations, and therefore are unlikely to be adopted. Furthermore, the Canadian Administration is most concerned that the PFB was unable to prepare plans for the band of frequencies between 5 - 9 Mc/s (which is of vital importance to Canadian circuits). There appears to be little possibility of producing a generally acceptable list by this method mainly
because of the difficulty of obtaining an accurate list of circuit requirements from each administration, and because the technical approach tends to increase rather than reduce the number of frequencies which must be assigned to the circuits.
6. The modified PFB approach based on a circuit priority list is likely to meet the same difficulties as the PFB method due to the difficulty of obtaining an accurate list of requirements on an equitable scale from each administration. The disadvantage due to the inflationary tendency of the application of technical principles still remains. It seems unlikely that administrations will be willing to devote more time and money to this type of approach after the experience of the PFB.
7. The evolutionary approach has the considerable merit that it is based on a more realistic list of circuit requirements (i.e., the ITU List) and due to the probability that administrations are not likely to waste time and effort in obtaining unnecessary frequencies by their own action for nonexistent or unimportant circuits. However, at present no detailed procedure has been indicated by which this process would be controlled. Furthermore there is no way of indicating to each administration how it will fare under this method. There is danger of serious dislocation if each administration attempts to secure "in band" frequencies by its own efforts.
PROCEDURE SUGGESTED FOR FURTHER STUDY:
8. The procedure developed as a result of the investigation by the Canadian Administration is to be regarded at present as merely a technical study. It is not to be considered as a formal proposal and will not necessarily be supported by the Canadian Administration. For purpose of reference in this paper the procedure will be referred to as the "controlled approach", since the whole operation is closely controlled by the ITU List.
9. The "controlled approach" is based on contraction of the channel spacing of the ITU List. The ITU List reflects a 5 Kc/s basic channel spacing, with a relatively small number of registrations on "interspersed" channels, usually half-way between the discrete 5 Kc/s channels. The Canadian Administration, after investigating the registrations up to Annex 3 inclusive (i.e., to 31 December, 1949) found that the Fixed Service registrations could be accommodated within the appropriate Atlantic City bands by adoption of the following reduced spacings between existing 5 Kc/s channels of the ITU List:
(a) For Atlantic City fixed service bands between 4000-4995 Kc/s: 3.0 Kc/s
(b) For Atlantic City fixed service bands between 5005-5450 Kc/s: 3.5 Kc/s
(c) For Atlantic City fixed service bands between 5730-21000 Kc/s: 4.0 Kc/s
(d) For Atlantic City fixed service bands between 21750-27500 Kc/s: 5.0 Kc/s
(no change)
10. It is apparent that the ITU List channel spacing bears no relation to present day channel spacing standards. There is considerable wasted space in some cases, such as where two adjacent A1 emissions are separated by 5 Kc/s. There is also considerable overlap, such as where two adjacent A3 operations (each requiring 7.0 Kc/s protected bandwidth) are separated by 5 Kc/s, and presumably operate satisfactorily since the registrations have not been cancelled. It must be assumed that in the cases of apparent overlap, the circuits continue to work:
(a) Because the overlap is not sufficient to produce harmful interference;
(b) Because the stations are sufficiently separated geographically;
(c) Because the hours of use of the frequency are different; or
(d) Because one of the circuits is not in operation on the frequency.
This being the case, it is reasonable to conclude that the present spacing can be reduced without seriously disrupting the present sharing pattern or increasing interference between stations.
11. The "controlled approach" has the advantage that all concerned can see at once how their interests are affected, and can assess from past and present operation whether the assignments are workable. Furthermore the basic arrangement of the new list is achieved with very little work. Once the basic layout is derived by the "controlled approach" method, individual cases of potential interference can be dealt with in detail.
12. One apparent disadvantage is the fact that practically every fixed service circuit would be required to change frequency if the "controlled approach" method were adopted. However, the average change involved would be only of the order of 250 Kc/s, and the largest change would be of the order of 800 Kc/s. Furthermore, in cases where a change is absolutely unacceptable, the administration concerned could negotiate to retain its present registration, by making bilateral arrangements with other interested administrations.
13. It is emphasized that the "controlled approach" envisages two distinct phases:
(a) First, the achievement of the basic arrangement by means of a general reassignment procedure;
(b) Second, the detailed rearrangement to overcome individual objections;
14. (a) Appendix "A" to this paper shows one arrangement of the basic re-assignment plan. Other arrangements are possible, and this is merely an illustration. It will be noted that this arrangement provides some spare (unused) space;
(b) Appendix "B" shows the affect of this re-assignment on other services which under the Atlantic City Table, share bands with the Fixed Service. The services thus dealt with are:
(i) Land Mobile
(ii) Tropical Zone broadcasting
(iii) Maritime Mobile (example)
(iv) Aeronautical Mobile (example)
15. This investigation dealt primarily with the Fixed Service registrations contained in the 1947 ITU List and annexes 1, 2 and 3 (to 31 Dec 49). Annex 4, published since the completion of the initial study, is estimated to increase the problem very slightly. Only those Fixed Service registrations which were on frequencies allocated to the Fixed Service in the Cairo Table were considered.
The general procedure employed was as follows:
(a) All Fixed Service registrations in the Fixed Service Cairo bands were listed in columns, one column per channel; the registrant country and emission were indicated; in the case of international circuits the indicated correspondent country was also listed;
(b) All registrations within 1 Kc/s of the main channel were treated as being on the main channel (main channels are those whose nominal frequency is a multiple of 5 Kc/s);
(c) All registrations more than 1 Kc/s from a main channel were listed under the frequency falling midway between the main channels;
(d) All registrations of Services entitled under the Cairo Table to share with the Fixed Service registrations listed above, were included in the appropriate column, but were separated from the Fixed Service registrations. The registrant country, service and emission were shown;
(e) The foregoing procedure made it possible to analyse the main list and the three annexes at once, and clearly indicated the channel loading;
(f) Calculations were then made to determine the reduction in channel spacing necessary to accommodate the Fixed Service registrations within the Atlantic City Bands;
(g) The new frequency, based on the reduced channel spacing, was written in the appropriate column under the existing ITU List frequency;
(h) The effect on services which share the Atlantic City Bands with the Fixed Service circuits was then assessed. With the exception of Land Mobile and Tropical Zone Broadcasting these services have also been provided with exclusive bands, under the Atlantic City Allocation Table.
16. On first consideration, it may appear that the reduction of channel spacing is unworkable. It is considered that any such criticism applies equally to the existing spacing which also appears to be too close theoretically in many cases. However, if the reduction of channel spacing is envisaged as a first step, to obtain a basic rearrangement, and if this phase is followed by a process of individual adjustment, it is considered that the procedure is practical and should, if adopted, result in production of a workable list.
OTTAWA
January, 1951.
| CAIRO BAND | BERNE LIST FREQ. | FREQ. AFTER COMPRESSION | ATLANTIC CITY BAND |
|------------|-----------------|-------------------------|--------------------|
| 4000 Kc/s | 4002 Kc/s | World-wide Fixed | (4000-4063 Kc/s) |
| 4005 Kc/s | 4005 Kc/s | | |
| 4010 Kc/s | 4008 Kc/s | | |
| 4015 Kc/s | 4011 Kc/s | | |
| through | 4095 Kc/s | | |
| 4097.5 Kc/s| 4059 Kc/s | | |
| | 4060.5 Kc/s | | |
| 4100 Kc/s | 4440 Kc/s | World-wide Maritime Mobile | (4063-4438 Kc/s) |
| 4105 Kc/s | 4443 Kc/s | Region 1 - Fixed | |
| 4110 Kc/s | 4446 Kc/s | Region 2 - Fixed and Mobile except AeM(R) | |
| through | 4445 Kc/s | through 4647 Kc/s | |
| | | | |
| 4450 Kc/s | 4752 Kc/s | World-wide AeM(R) and AeM(OR) | (4650-4750 kc/s) |
| 4455 Kc/s | 4755 Kc/s | AeM(OR) Broadcasting | |
| 4460 Kc/s | 4758 Kc/s | Region 1 Fixed, Land Mobile | |
| 4465 Kc/s | 4761 Kc/s | Regions 2 and 3 Fixed | |
| | Through | Through | |
| | 4850 Kc/s | 4992 Kc/s | World-wide Fixed Broadcasting | |
| | 4852 Kc/s | 4993.5 Kc/s | Land Mobile (4850-4995 Kc/s) | |
| | | | |
| | 4855 Kc/s | World-wide Standard Frequency | (4995-5005 Kc/s) |
| | 4860 Kc/s | | |
| | 4865 Kc/s | | |
| | 4870 Kc/s | | |
| through | 4930 Kc/s | | |
| | 4932 Kc/s | | |
| | 4935 Kc/s | | |
| | 4940 Kc/s | | |
| through | 5465 Kc/s | | |
| | 5006.5 Kc/s | Broadcasting | |
| | 5010 Kc/s | World-wide Fixed | |
| | 5013.5 Kc/s | (5005-5060 Kc/s) | |
| | 5017 Kc,s | World-wide Fixed | |
| through | 5059 Kc/s | Regions 1 and 3 Fixed | |
| | (Spare space not assigned) | Land Mobile (5250-5430 Kc/s) | |
| | 5076 Kc/s | Region 2 Fixed Land Mobile | (5250-5450 Kc/s) |
| | 5077.5 Kc/s | (Note - 5060 to 5075 Kc/s Not Assigned) | |
| | 5081 Kc/s | | |
| through | 5448.5 Kc/s | | |
| CAIRO BAND | BERNE LIST FREQ. | FREQ. AFTER COMPRESSION | ATLANTIC CITY BAND |
|------------|-----------------|-------------------------|--------------------|
| Mobile - (5500-5640 Kc/s) | 5467.5 Kc/s, 5470 Kc/s, 5475 Kc/s through 5500 Kc/s | AeM(OR), Region Fixed, 1 and 3 Land Mobile (5430 to 5480 Kc/s) Region 2 AeM(R) (Note - No "Fixed" Registrations for Regions 1 and 3 have been transferred into this band - it is therefore available for additional ones) |
| Aero - (5640-5700 Kc/s) | 5700 Kc/s, 5705 Kc/s through 5930 Kc/s, 5932.5 Kc/s | World-wide AeM(R) and AeM(OR) (5480-5730 Kc/s) |
| Fixed (5700-6000 Kc/s) | 5935 Kc/s, 5940 Kc/s, 5945 Kc/s through 6000 Kc/s | World-wide Fixed (5730-5930 Kc/s) |
| Broadcasting (6000-6200 Kc/s) | 6675 Kc/s, 6680 Kc/s through 6890 Kc/s, 6892.5 Kc/s | World-wide Broadcasting (5950-6200 Kc/s) |
| Mobile (6200-6675 Kc/s) | 6768 Kc/s, 6772 Kc/s, 6776 Kc/s through 6820 Kc/s | World-wide Maritime Mobile (6200-6525 Kc/s) |
| Fixed (6675-7000 Kc/s) | 6824 Kc/s, 6828 Kc/s through 6996 Kc/s, 6998 Kc/s | World-wide AeM(R) and AeM(OR) (6525-6765 Kc/s) |
| | 6824 Kc/s, 6828 Kc/s through 6996 Kc/s, 6998 Kc/s | World-wide Fixed (6765-7000 Kc/s) |
| | 6824 Kc/s, 6828 Kc/s through 6996 Kc/s, 6998 Kc/s | World-wide Amateur (7000-7100 Kc/s) |
| CAIRO BAND | BERNE LIST FREQ. | FREQ. AFTER COMPRESSION | ATLANTIC CITY BAND |
|------------|-----------------|-------------------------|--------------------|
| Fixed (Contd) (6675–7000 Kc/s) | 6895 Kc/s, 6900 Kc/s, 6905 Kc/s through 7000 Kc/s | 7304 Kc/s, 7308 Kc/s, 7312 Kc/s through 7388 Kc/s | Regions 1 and 2 Amateur Broadcasting (7100–7150 Kc/s) |
| Amateurs (7000–7200 Kc/s) | | | Regions 1 and 2 Broadcasting (7150–7300 Kc/s) |
| Amateurs Broadcasting (7200–7300 Kc/s) | 7300 Kc/s, 7305 Kc/s, 7310 Kc/s through 8200 Kc/s | 7392 Kc/s, 7396 Kc/s, 7400 Kc/s through 8112 Kc/s | Region 2 Amateur (7100–7300 Kc/s) |
| Mobile – (8200–8550 Kc/s) | 8550 Kc/s, 8555 Kc/s through 8645 Kc/s | 8116 Kc/s, 8192 Kc/s | World-wide Fixed (7300–8195 Kc/s) |
| Fixed and Mobile (8550–8900 Kc/s) | 8650 Kc/s, 8655 Kc/s through 9215 | 9044 Kc/s, 9048 Kc/s through 9496 Kc/s | World-wide Maritime Mobile (8195–8815 Kc/s) |
| Fixed (8900–9500 Kc/s) | 9220 Kc/s, 9225 Kc/s, 9230 Kc/s through 9490 Kc/s | 9777 Kc/s, 9781 Kc/s, 9785 Kc/s through 9993 Kc/s | World-wide AeM(R) and AeM(OR) (8815–9040 Kc/s) |
| | | | World-wide Fixed (9040–9500 Kc/s) |
| | | | World-wide Broadcasting (9500–9775 Kc/s) |
| | | | World-wide Fixed (9775–9995 Kc/s) |
| | | | World-wide Standard Frequency (9995–10005 Kc/s) |
| | | | World-wide AeM(R) (10005–10100 Kc/s) |
| CAIRO BAND | BERNE LIST FREQ. | FREQ. AFTER COMPRESSION | ATLANTIC CITY BAND |
|------------|-----------------|-------------------------|--------------------|
| Fixed (contd.) (8900–9500 Kc/s) | 9495 Kc/s 9500 Kc/s | 10104 Kc/s 10108 Kc/s | World-wide Fixed (10100–11175 Kc/s) |
| Broadcasting (9500–9700 Kc/s) | 9700 Kc/s 9705 Kc/s through 11000 Kc/s | 10112 Kc/s 10116 Kc/s through 11152 Kc/s | |
| Mobile – (11000–11400 Kc/s) | 11400 Kc/s 11405 Kc/s through 11420 Kc/s | 11156 Kc/s 11160 Kc/s through 11172 Kc/s | World-wide AeM(OR) and AeM(R) (11175–11400 Kc/s) |
| Fixed (11400–11700 Kc/s) | 11425 Kc/s 11430 Kc/s through 11700 Kc/s | 11404 Kc/s 11408 Kc/s through 11624 Kc/s | World-wide Fixed (11400–11700 Kc/s) |
| Broadcasting (11700–11900 Kc/s) | 11900 Kc/s 11905 Kc/s through 11985 Kc/s | 11628 Kc/s 11632 Kc/s through 11696 Kc/s | World-wide Broadcasting (11700–11975 Kc/s) |
| Fixed (11900–12300 Kc/s) | 11990 Kc/s 11995 Kc/s 12000 Kc/s through 12300 Kc/s | 11977 Kc/s 11981 Kc/s 11985 Kc/s through 12225 Kc/s | World-wide Fixed (11975–12330 Kc/s) |
| Mobile (12300–12825 Kc/s) | 12825 Kc/s 12830 Kc/s through 12945 Kc/s | 12229 Kc/s 12233 Kc/s through 12325 Kc/s | World-wide Maritime Mobile (12330–13200 Kc/s) |
| Fixed and Mobile (12825–13350 Kc/s) | 12950 Kc/s 12955 Kc/s through 13350 Kc/s | 13362 Kc/s 13366 Kc/s through 13682 Kc/s | World-wide AeM(OR) and AeM(R) (13200–13360 Kc/s) |
| | | | World-wide Fixed (13360–14000 Kc/s) |
| CAIRO BAND | BERNE LIST FREQ. | FREQ. AFTER COMPRESSION | ATLANTIC CITY BAND |
|------------|-----------------|-------------------------|--------------------|
| | 13355 Kc/s | 13686 Kc/s | (contd.) |
| | 13360 Kc/s | 13690 Kc/s | World-wide |
| | through | through | Fixed |
| | 13745 Kc/s | 13998 Kc/s | (13360–14000 Kc/s) |
| | | | |
| | 13750 Kc/s | 14354 Kc/s | World-wide |
| | 13755 Kc/s | 14358 Kc/s | Amateur |
| | 13760 Kc/s | 14362 Kc/s | (14000–14350 Kc/s) |
| | through | through | |
| | 14000 Kc/s | 14554 Kc/s | |
| | | | |
| | 14400 Kc/s | 14558 Kc/s | World-wide |
| | 14405 Kc/s | 14562 Kc/s | Fixed |
| | through | through | (14350–14990 Kc/s) |
| | 14935 Kc/s | 14986 Kc/s | |
| | | | |
| | 14940 Kc/s | 15452 Kc/s | World-wide |
| | 14945 Kc/s | 15456 Kc/s | Standard Frequency |
| | 14950 Kc/s | 15460 Kc/s | (14990–15010 Kc/s) |
| | through | through | |
| | 15100 Kc/s | 15580 Kc/s | |
| | | | |
| | 15350 Kc/s | 15584 Kc/s | World-wide |
| | 15355 Kc/s | 15588 Kc/s | Fixed |
| | through | through | (15450–16460 Kc/s) |
| | 16400 Kc/s | 16424 Kc/s | |
| | | | |
| | 17100 Kc/s | 16428 Kc/s | World-wide |
| | 17105 Kc/s | 16432 Kc/s | Maritime Mobile |
| | 17110 Kc/s | 16436 Kc/s | (16460–17360 Kc/s) |
| | 17115 Kc/s | 16440 Kc/s | |
| | 17120 Kc/s | 16444 Kc/s | |
| | 17125 Kc/s | 16448 Kc/s | |
| | 17130 Kc/s | 16452 Kc/s | |
| | 17135 Kc/s | 16456 Kc/s | |
| CAIRO BAND | BERNE LIST FREQ. | FREQUENCIES AFTER COMPRESSION | ATLANTIC CITY BAND |
|------------|-----------------|-------------------------------|-------------------|
| Fixed and Mobile (Contd.) (17100–17750 Kc/s) | 17140 Kc/s, 17145 Kc/s, 17150 Kc/s through 17560 Kc/s | 17362 Kc/s, 17366 Kc/s, 17370 Kc/s through 17698 Kc/s | World-wide Fixed (17360–17700 Kc/s) |
| Broadcasting (17750–17850 Kc/s) | 17565 Kc/s, 17570 Kc/s through 17750 Kc/s | 18034 Kc/s, 18038 Kc/s through 18182 Kc/s | World-wide Broadcasting (17700–17900 Kc/s) |
| Fixed (17850–21450 Kc/s) | 17850 Kc/s, 17855 Kc/s, 17860 Kc/s through 20100 Kc/s | 18186 Kc/s, 18190 Kc/s, 18194 Kc/s through 19986 Kc/s | World-wide Fixed (18030–19990 Kc/s) |
| Broadcasting (21450–21750 Kc/s) | 20105 Kc/s, 20110 Kc/s, 20115 Kc/s through 21435 Kc/s | 20012 Kc/s, 20016 Kc/s, 20020 Kc/s through 20996 Kc/s | World-wide Standard Frequency (19990–20010 Kc/s) |
| Mobile (21750–22300 Kc/s) | 21440 Kc/s, 21445 Kc/s, 21450 Kc/s | 21755 Kc/s, 21760 Kc/s, 21765 Kc/s | World-wide Amateur (21000–21450 Kc/s) |
| Fixed and Mobile (22300–24600 Kc/s) | 22300 Kc/s, 22305 Kc/s through 22375 Kc/s | 21770 Kc/s, 21775 Kc/s through 21845 Kc/s | World-wide Broadcasting (21450–21750 Kc/s) |
| | | 21770 Kc/s, 21775 Kc/s through 21845 Kc/s | World-wide Fixed (21750–21850 Kc/s) |
| | | 21770 Kc/s, 21775 Kc/s through 21845 Kc/s | World-wide Aero Fixed and AeM(R) (21850–22000 Kc/s) |
| | | 21770 Kc/s, 21775 Kc/s through 21845 Kc/s | World-wide Maritime Mobile (22000–22720 Kc/s) |
| CAIRO BAND | BERNE LIST FREQ. | FREQ. AFTER COMPRESSION | ATLANTIC CITY BAND |
|------------|-----------------|-------------------------|--------------------|
| | 22380 Kc/s | 22725 Kc/s | World-wide |
| | 22385 Kc/s | 22730 Kc/s | Fixed |
| | through | through | (22820–23200 Kc/s) |
| | 22850 Kc/s | 23195 Kc/s | |
| | 22855 Kc/s | 23355 Kc/s | World-wide |
| | 22860 Kc/s | 23360 Kc/s | Aero Fixed and AeM(OR) |
| | through | through | (23200–23350 Kc/s) |
| | 24485 Kc/s | 24,985 Kc/s | |
| | 24490 Kc/s | 25015 Kc/s | World-wide |
| | 24495 Kc/s | 25020 Kc/s | Standard Frequency |
| | through | through | (24990–25010 Kc/s) |
| | 24600 Kc/s | 25125 Kc/s | |
| Mobile | (24600–25000 Kc/s) | 25130 Kc/s | World-wide |
| Mobile | (25 – 25.6 Mc/s) | 25135 Kc/s | Fixed and Mobile |
| Broadcasting | (25.6 – 26.6 Mc/s) | through | except AeM |
| | 26600 Kc/s | 25595 Kc/s | (25010–25600 Kc/s) |
| | 26605 Kc/s | 26105 Kc/s | World-wide |
| | through | 26110 Kc/s | Broadcasting |
| | 27065 Kc/s | through | (25600–26100 Kc/s) |
| Fixed | (26.6 – 27.5 Mc/s) | 26535 Kc/s | World-wide |
| | 27070 Kc/s | Spare | Fixed and Mobile |
| | 27075 Kc/s | (Freqs 26536 to 27500 kc/s not assigned) | except ACM |
| | through | | |
| | 27500 Kc/s | | |
LAND MOBILE SERVICE
1. Under the Cairo Allocation Table, this service was entitled to operate between 4000-5500 Kc/s. Under the Atlantic City Allocation Table, the allocation to this service is different for each Region.
2. In many cases, a particular frequency has been registered by an administration for both Land Mobile and Fixed Service operation. In such cases, the Land Mobile registration has not been counted in these studies. Only those cases where a frequency is registered for Land Mobile only (with no other service indicated) have been considered.
3. The total number of registrations for Land Mobile Service between 4000-5500 Kc/s is approximately 166. Of these, approximately half are registrations by Australia.
4. An analysis of the frequencies registered at present shows approximately:
(a) 110 registrations are out of band on the basis of the Atlantic City Table;
(b) 56 registrations are in band on the basis of the Atlantic City Table.
5. The reassignment effected by the proposed reduction of channel spacing gives the following result approximately:
(a) 74 registrations fall outside the appropriate Atlantic City Band;
(b) 92 registrations fall inside the appropriate Atlantic City Band.
6. It is noted that the proposed reassignment places 36 more registrations "in band" than under the present listings.
7. It is considered that the problem of accommodating the remaining 74 registrations which are "out of band" after the proposed reassignment (of which 35 are registered for Australia and are therefore a purely regional problem) is a small one.
1. Under the Cairo Allocation Table, this service was entitled to operate between 4770-4965 Kc/s. Under the Atlantic City Allocation Table, this service can operate in the bands 4750-4995 Kc/s and 5005-5060 Kc/s.
2. An analysis of the Tropical Broadcasting Registrations between 4000-5500 Kc/s shows approximately:
(a) 12 registrations between 4000-4770 Kc/s; it is to be noted that these registrations are out of band under the Cairo Table;
(b) 105 registrations between 4770-4965 Kc/s; these registrations are in band under both the Cairo and the Atlantic City Tables;
(c) 12 registrations between 4965-5500 Kc/s; it is to be noted that these registrations are out of band under the Cairo Table.
3. The reassignment effected by the proposed reduction of channel spacing gives the following result approximately:
(a) 5 registrations (now registered between 4750-4770 Kc/s) which are presently out of Cairo band, but are presently in band under the Atlantic City, will fall in band under the proposed reassignment;
(b) 87 registrations (now registered between 4770-4965 Kc/s) which are presently in band both under Cairo and Atlantic City, will fall in band under the proposed reassignment;
(c) 20 registrations (now registered between 4770-4965 Kc/s) which are presently in band both under Cairo and Atlantic City, will fall out of band under the proposed reassignment.
4. It is considered that the problem of accommodating the twenty registrations under para 3 (c) which will fall out of band under the proposed reassignment, is a small one and is regional in nature.
1. Under the Cairo Allocation Table, this service was entitled to operate between 4000-5500 Kc/s. Under the Atlantic City Allocation Table, no maritime mobile shared bands are provided in Region 1, while in Regions 2 and 3 the maritime mobile service shares the band 4435-4650 with other services. There is in addition, an exclusive maritime mobile band 4063-4438 Kc/s available world-wide.
2. An analysis of the maritime mobile registrations between 4000-5500 Kc/s shows approximately:
(a) 8 registrations now operating between 4000-4063 Kc/s; these are not in any maritime mobile band (either exclusive or shared) under the Atlantic City Table;
(b) 85 registrations now operating between 4063-4438 Kc/s. These are in the exclusive world-wide maritime mobile band under the Atlantic City Table;
(c) (i) No registration in Region 1 now operating between 4438-4650 Kc/s; this is not a maritime mobile band under the Atlantic City Table;
(ii) 19 registrations in Regions 2 and 3 now operating between 4438-4650 Kc/s; these are in a maritime mobile shared band under the Atlantic City Table;
(d) 42 registrations now operating between 4650-5500 Kc/s; these are not in a maritime mobile band under the Atlantic City Table.
3. The reassignment effected by the proposed reduction of channel spacing gives the following result approximately, for registrations now operating between 4000-5500 Kc/s:
(a) 9 registrations were reassigned to frequencies between 4000-4063 Kc/s; these would be out of band under the Atlantic City Table;
(b) No registrations were reassigned to frequencies between 4063-4438 Kc/s, since the reassignment plan left the exclusive world-wide maritime mobile band unoccupied;
(c) (i) No registrations in Region 1 were reassigned to frequencies between 4438-4650 Kc/s; this band is not available in Region 1 for the maritime mobile service under the Atlantic City Table;
(ii) 86 registrations in Regions 2 and 3 were reassigned to frequencies between 4438-4650 Kc/s; these would be in band under the Atlantic City Table;
(d) 59 registrations were reassigned to frequencies between 4650-5760 Kc/s; these would be out of band under the Atlantic City Table.
4. Thus, under the proposed reassignment:
(a) The entire exclusive maritime mobile band (4063-4438 Kc/s) is uncommitted and is therefore available to accommodate the plans made for this service by the ITU;
(b) 86 existing registrations fall in a shared band available to the maritime mobile service;
(c) 68 existing registrations fall out of band.
5. If existing registrations are considered on the basis of the frequency at present in use:
(a) 8 registrations are out of band;
(b) 85 registrations fall into the exclusive maritime mobile band 4063-4438 Kc/s;
(c) 61 registrations are within Atlantic City shared bands available to the Maritime Mobile Service.
6. It is apparent that the majority of the Berne List Maritime Mobile Service Registrations are provided for in the plans prepared by the ITU for the exclusive maritime mobile bands. There appears to be adequate provision under the proposed reassignment plan for the remaining registrations which were not accommodated in this way, within the shared bands available under the Atlantic City Table for this service.
AERONAUTICAL MOBILE SERVICE (EXAMPLE)
1. Under the Cairo Allocation Table, this service was entitled to operate between 4000-5500 Kc/s. Only "Off Route" (OR) aeronautical mobile operations are permitted in shared bands under the Atlantic City Table. Since "Route" (R) operations are confined to exclusive "Route" (R) bands, these are not considered here.
2. In some cases a particular frequency has been registered by an administration for both Aeronautical and Fixed Service operation. In such cases the Aeronautical registration has not been counted in this study.
3. The total number of registrations for Aeronautical Mobile Services falling within the Cairo Mobile bands (4000-5500 Kc/s) is as follows:
Region 1 - 69
Region 2 - 96
Region 3 - 99
4. Under the proposed reassignment, the situation is as follows:
Berne Registrations Falling Within the Atlantic City Shared Bands Open to AeM
New Assignments Falling Within the Atlantic City Shared Bands Open to AeM
Region 1 7 21
Region 2 19 23
Region 3 16 Nil
5. In view of the fact that the majority of Aeronautical Mobile requirements will be satisfied in their exclusive bands, it is considered that there is sufficient (in fact more than sufficient) provision for these registrations in the limited shared space available under the Atlantic City Table.
Further to Administrative Council Resolution No. 200, relative to implementation of the Atlantic City Table of Frequency Allocations, I have the honour to acquaint you, in what follows, with the views entertained by the Tunisian Administration.
If it be assumed that, as is to be hoped, a plan can be evolved for the aeronautical, maritime and high-frequency broadcasting services, the kernel of the problem will lie in the preparation of a list for the fixed services. Two problems arise: first, transfer of the stations using frequencies in bands allocated to the fixed services by the Cairo Regulations, but not allocated to this service by the Atlantic City Conference, and, second, satisfaction for the new requirements submitted. We feel, incidentally, that the allocations made in the Cairo Regulations should not be too drastically revised when they really correspond to the bands now allocated to the fixed services. This would mean that frequency requirements, rather than circuit requirements, would be studied.
Thus it would seem that administrations having frequencies to transfer, or new frequency requirements, should themselves, in the light of what they have observed, seek such new frequencies in the bands allocated at Atlantic City as may appear suitable for their needs.
It would then be incumbent on the IFRE to examine these requirements, and to submit observations and proposals to any administrations which might have chosen those same frequencies. Such a procedure, one may reasonably hope, would lead by successive approximations to the goal desired.
In paragraph c) of Resolution 200, the Administrative Council asks administrations to send the IFRE: "proposals relating to new methods of bringing into effect those parts of the Atlantic City Table for which the Conference (Extraordinary Administrative Radio) is unlikely to establish a frequency list."
In my letter 9 Postel/1/LB, dated 2 January 1951, I have already given my views on those parts of the Table for which, in all likelihood, the Conference will be unable to produce a list based on the work done by the FFB.
The parts in question are those which have been designated "K" and "bb" by the FFB. I may as well say that I see no chance of anything more than limited regional agreements for the bands lower than "K".
In other words, a plan for the bands between 5 and 21.7 Mc/s is impossible, while there is some chance of limited agreement for those between 4 and 5 Mc/s and those above 21.7 Mc/s.
In view of the fact that:
1) the FFB evolved its plans by assigning frequency complements to circuits;
2) most of the frequencies in those plans which might conceivably serve as a basis for agreement are associated with other frequencies in plans with regard to which it would seem that agreement cannot possibly be reached;
3) the Atlantic City Table involving a very considerable modification of the Cairo one, its implementation has been made dependent on the prior preparation of a new frequency list;
4) this modification involves particularly serious sacrifices for the fixed service;
5) frequency bands shared between several services under the Cairo Table have been allocated for the exclusive use of services in the Atlantic City one;
I can but support the proposals submitted by the French Administration in letter No. 2/452 CR, dated 30 January 1951.
PAGE INTENTIONALLY LEFT BLANK
PAGE LAISSEE EN BLANC INTENTIONNELLEMENT |
Trends in Stratospheric Temperatures
Lead Authors:
M.-L. Chanin
V. Ramaswamy
Coauthors:
D.J. Gaffen
W.J. Randel
R.B. Rood
M. Shiotani
Contributors:
J.K. Angell
J. Barnett
P. Forster
M. Gelman
J. Hansen
P. Keckhut
Y. Koshelkov
K. Labitzke
J-J.R. Lin
E.V. Lysenko
J. Nash
A. O’Neill
M.D. Schwarzkopf
K.P. Shine
R. Swinbank
O. Uchino
# Chapter 5
## Trends in Stratospheric Temperatures
### Contents
**Scientific Summary** ................................................................. 5.1
5.1 Introduction ........................................................................... 5.5
5.2 Observations ........................................................................ 5.6
5.2.1 Data .................................................................................. 5.6
188.8.131.52 Radiosonde Datasets ............................................. 5.8
184.108.40.206 Rocketsonde and Lidar Datasets ............................ 5.9
220.127.116.11 MSU and SSU Satellite Datasets ............................ 5.9
18.104.22.168 Analyzed Datasets ............................................... 5.10
5.2.2 Summary of Various Radiosonde-Based Investigations of Trends .............................................. 5.11
5.2.3 Zonal, Annual-Mean Trends ............................................. 5.15
22.214.171.124 Trends Determination ............................................. 5.15
126.96.36.199 Trends at 50 and 100 hPa ..................................... 5.15
188.8.131.52 Vertical Profiles .................................................... 5.18
184.108.40.206 Rocket Data and Trends Comparisons ....................... 5.19
5.2.4 Latitude-Season Trends .................................................. 5.22
5.2.5 Uncertainties in Trends Estimated from Observations ................................................................. 5.25
220.127.116.11 Uncertainties Associated with Radiosonde Data ........... 5.26
18.104.22.168 Uncertainties Associated with Analyses of SSU Satellite Data ........................................ 5.28
22.214.171.124 Uncertainties in Satellite-Radiosonde Trend Intercomparisons ........................................ 5.28
126.96.36.199 Uncertainties Associated with Rocket Data ................. 5.28
188.8.131.52 Uncertainties Associated with the Lidar Record ............ 5.29
5.2.6 Issues Concerning Variability ........................................ 5.29
184.108.40.206 Volcanic Aerosol Influences .................................... 5.29
220.127.116.11 Solar Cycle ............................................................ 5.30
18.104.22.168 QBO Temperature Variations ................................... 5.32
22.214.171.124 Planetary Wave Effects .......................................... 5.33
126.96.36.199 El Niño-Southern Oscillation (ENSO) ......................... 5.33
5.2.7 Changes in Tropopause Height ....................................... 5.33
5.3 Model Simulations ............................................................... 5.34
5.3.1 Background .................................................................... 5.34
5.3.2 Well-Mixed Greenhouse Gases ....................................... 5.35
5.3.3 Stratospheric Ozone ....................................................... 5.38
188.8.131.52 Lower Stratosphere ................................................. 5.38
184.108.40.206 Sensitivities Related to Ozone Change ....................... 5.44
5.3.4 Aerosols ........................................................................ 5.46
5.3.5 Water Vapor .................................................................. 5.47
5.3.6 Other (Solar Cycle, QBO) .............................................. 5.47
5.4 Changes in Trace Species and Observed Temperature Trends ......................................................... 5.48
5.4.1 Lower Stratosphere ....................................................... 5.48
5.4.2 Middle and Upper Stratosphere ....................................... 5.50
5.4.3 Upper Troposphere ....................................................... 5.51
References .................................................................................. 5.51
SCIENTIFIC SUMMARY
Observations
- Datasets available for analyzing stratospheric temperature trends comprise measurements by radiosonde (1940s-present), satellite (1979-present), lidar (1979-present), and rocketsonde (periods varying with location, but most terminating by ~mid-1990s); meteorological analyses based on radiosonde and/or satellite data; and products based on assimilating observations using a general circulation model (GCM).
- The temporary global, annual-mean lower stratospheric (~50-100 hPa) warming (peak value ~1 K) associated with the aerosols from the Mt. Pinatubo volcanic eruption (see WMO, 1992, 1995), which lasted up to about 1993, has now given way to a relatively colder stratosphere.
- Radiosonde and satellite data indicate a cooling trend of the global, annual-mean lower stratosphere since ~1980. Over the period 1979-1994, the trend is ~0.6 K/decade. For the period prior to 1980, the radiosonde data exhibit a substantially weaker long-term cooling trend.
- Over the period 1979-1994 there is an annual-mean cooling of the Northern Hemisphere midlatitude lower stratosphere (~0.75 K/decade at 30-60°N). This trend is coherent amongst the various datasets with regard to the magnitude and statistical significance. Over the longer period 1966-1994, the available datasets indicate an annual-mean cooling at 30-60°N of ~0.3 K/decade.
- In the ~15-45° latitude belt of the Southern Hemisphere, the radiosonde record indicates an annual-mean cooling of the lower stratosphere of up to ~0.5-1 K/decade over the period 1979-1994. The satellite record also indicates a cooling of the lower stratosphere in this latitude belt; the cooling is statistically significant between about November and April.
- Substantial cooling (~3-4 K/decade) is observed in the polar lower stratosphere during late winter/springtime in both hemispheres. An approximate decadal-scale cooling trend is evident in the Antarctic since about the early 1980s, and in the Arctic since about the early 1990s. However, the dynamical variability is large in these regions, particularly in the Arctic, and this introduces difficulties in establishing a high statistical significance of the trends.
- A cooling of the upper stratosphere (pressure < 3 hPa; altitude > 40 km) is apparent over the 60°N-60°S region from the annual-mean Stratospheric Sounding Unit (SSU) satellite data over the 1979-1994 period (up to ~3 K/decade near 50 km). There is a slight minimum in cooling in the middle stratosphere (~30-40 km) between the maxima in the lower and upper stratosphere.
- Lidar and rocket data available from specific sites generally show a cooling over most of the middle and upper stratosphere (~30-50 km) of 1 to 2 K/decade since ~1970, with the magnitude increasing with altitude. The influence of the 11-year solar cycle is relatively large (>1 K) at these altitudes (>30 km).
- The vertical profile of the annual-mean stratospheric temperature change observed in the Northern Hemisphere midlatitude (45°N) over the 1979-1994 period is robust among the different datasets. The overall trend (Figure 5A) consists of a ~0.8 K/decade cooling of the ~20-35 km region, with the cooling trend increasing with height above (~2.5 K/decade at 50 km).
Model Results and Model-Observation Comparisons
- Model simulations based on the known changes in the stratospheric concentrations of various radiatively active species indicate that the depletion of lower stratospheric ozone is the dominant factor in the explanation of the observed global-mean lower stratospheric cooling trend (~0.5-0.6 K/decade) for the period 1979-1990. The contribution to this trend from increases in well-mixed greenhouse gases is estimated to be less than one-fourth that due to ozone loss.
- Model simulations indicate that ozone depletion is an important causal factor in the latitude-month pattern of the decadal (1979-1990) lower stratospheric cooling. The simulated lower stratosphere in Northern and Southern Hemisphere midlatitudes, and in the Antarctic springtime, generally exhibits a statistically significant cooling trend over this period, consistent with observations.
- The Fixed Dynamical Heating (FDH; equivalently, the pure radiative response) calculations yield a mid- to high-latitude annual-mean cooling that is approximately consistent with a GCM’s radiative-dynamical response (Figure 5B); however, changes in circulation simulated by the GCM cause an additional cooling in the tropics, besides affecting the meridional pattern of the temperature decrease.
- FDH model results indicate that both well-mixed greenhouse gases and ozone changes are important contributors to the cooling in the middle and upper stratosphere; however, the computed upper stratospheric cooling is smaller than the observed decadal trend. Increased water vapor in the lower to upper stratosphere domain could also be an important contributor to the cooling; however, decadal-scale global stratospheric water vapor trends have not yet been determined.
- Model simulations of the response to the observed global lower stratospheric ozone loss in mid to high latitudes suggest a radiative-dynamical feedback leading to a warming of the middle and upper stratospheric regions, especially during springtime; however, while the modeled warming is large and can be statistically significant during the Antarctic spring, it is not statistically significant during the Arctic spring. Antarctic radiosonde observations indicate a statistically significant warming trend in spring at ~30 hPa (24 km) and extending possibly to even higher altitudes; this region lies above a domain of strong cooling that is approximately collocated with the altitude of the observed ozone depletion.
- There is little evidence to suggest that tropospheric climate changes (e.g., induced by greenhouse gas increases in the troposphere) and sea surface temperature variations have been dominant factors in the global-mean stratospheric temperature trend over the 1979-1994 period. The effect of potential shifts in atmospheric circulation patterns upon the decadal trends in global stratospheric temperatures remains to be determined.
Figure 5A. Summary figure illustrating the overall mean vertical profile of temperature trend (K/decade) over the 1979-1994 period in the stratosphere at 45°N, as compiled using radiosonde, satellite, and analyzed datasets (Section 220.127.116.11). The vertical profile of the averaged trend estimate was computed as a weighted mean of the individual system trends shown in Figure 5-9, with the weighting being inversely proportional to the individual uncertainty. The solid line indicates the weighted trend estimate while the dashed lines denote the uncertainty at the 2-sigma level (note: Table 5-6 lists the numerical values of the trends and the uncertainty at the one-sigma level). (Figure assembled for this chapter in cooperation with the SPARC-Stratospheric Temperature Trends Assessment project.)
Figure 5B. Top panel: Idealized, annual-mean stratospheric ozone loss profile, based on Total Ozone Mapping Spectrometer (TOMS) and Stratospheric Aerosol and Gas Experiment (SAGE) satellite-observed ozone trends. Middle panel: Corresponding temperature change, as obtained using a Fixed Dynamical Heating (FDH) model, which illustrates the pure radiative response, and (bottom panel) a general circulation model (GCM), which illustrates the radiative-dynamical response (Section 18.104.22.168). (Adapted from Ramaswamy et al., 1992, 1996).
5.1 INTRODUCTION
For at least a decade now, the investigation of trends in stratospheric temperatures has been recognized by the World Meteorological Organization (WMO) to be an integral part of the ozone trends report. A comprehensive international scientific assessment of stratospheric temperature changes was undertaken in WMO (1990a). Analyses of the then-available datasets (rocketsonde, radiosonde, and satellite records) over the period 1979/80 to 1985/86 indicated that the observed temperature trend was inconsistent with the then-apparent ozone losses inferred from Solar Backscatter Ultraviolet (SBUV) spectrometer data, but consistent with Stratospheric Aerosol and Gas Experiment (SAGE) ozone changes. The largest cooling in the observed datasets was in the upper stratosphere, while the lower stratosphere had experienced no significant cooling except in the tropics and Antarctica. It is interesting to note that the period analyzed by WMO (1990a) was one when severe ozone losses were just beginning to be recognized in the Antarctic springtime lower stratosphere. It was also a period from sunspot maximum to sunspot minimum. Standard interactive photochemical-radiation models then available that incorporated trace-gas changes (including ozone) were found to yield a cooling in the upper/middle stratosphere that was broadly consistent with the available observations but under-predicted the observed cooling in the lower stratosphere. A warming due to the El Chichón volcanic eruption (1982-1983) was also reported, with simple models using imposed aerosol inputs reproducing the observed transient warming.
Since the time of the 1988 WMO Assessment (WMO, 1990a), there has been an ever-growing impetus for observational and model investigations of stratospheric temperature trends (WMO, 1990b, 1992, 1995). This has occurred owing to the secular increases in greenhouse gases and the now well-documented global and seasonal losses of stratospheric ozone, both of which have a substantial impact on the stratospheric radiative-dynamical equilibrium. The availability of various temperature observations and the ever-increasing length of the data record have also been encouraging factors. In addition, models have progressively acquired the capability to perform more realistic simulations of the stratosphere. This has provided a motivation for comparing model results with observations, and thereby the search for causal explanation(s) of the observed trends. The developments seen in modeling underscore the significance of the interactions between radiation, dynamics, and chemistry in the interpretation of linkages between changes in trace species and temperature trends. Temperature changes are also instrumental in the microphysical-chemical processes of importance in the stratosphere (see Chapter 7).
The assessment of stratospheric temperature trends is now regarded as a high priority in climate change research inasmuch as it has been shown to be a key entity in the detection and attribution of the observed vertical profile of temperature changes in the Earth’s atmosphere (Hansen et al., 1995; Santer et al., 1996; Tett et al., 1996). Indeed, the subject of trends in stratospheric temperatures is of crucial importance to the Intergovernmental Panel on Climate Change assessment (IPCC, 1996) and constitutes a significant scientific input into policy decisions.
We summarize here the principal results concerning stratospheric temperature trends from the previous WMO ozone assessments. In general, the successive assessments since the WMO (1986) and WMO (1990a) reports have traced the evolution of the state of the science on both the observation and model simulation fronts. On the observational side, WMO has reported on available temperature trends from various kinds of instruments: radiosonde, rocketsonde, satellite, and lidar. On the modeling side, since the 1986 report, WMO has reported on model investigations that illustrate the role of greenhouse gases and aerosols in the thermal structure of the stratosphere, and the effects due to changes in their concentrations upon stratospheric temperature trends. The 1989 Assessment (WMO, 1990b) began to recognize, from observational and modeling standpoints, the substantial lower stratospheric cooling occurring during springtime in the Antarctic as a consequence of the large ozone depletion. The low-and middle-latitude lower stratosphere were inferred to have a cooling of less than 0.4 K/decade over the prior 20 years. The upper stratosphere was estimated to have cooled by $1.5 \pm 1$ K between 1979/80 and 1985/86.
The 1991 Assessment (WMO, 1992) reported that, based on radiosonde analyses, a global-mean lower stratospheric cooling of $\sim 0.3$ K had occurred over the previous 2-3 decades. Model calculations indicated that the observed ozone losses had the potential to yield substantial cooling of the global lower stratosphere. At
44°N during summer, an observed cooling of the upper stratosphere (~1 K/decade at ~35 km) and mesosphere (~4 K/decade) was also reported. However, in general, for assessment purposes, the global stratospheric temperature record and understanding of temperature changes were found to be not as sound as those related to ozone changes.
The 1994 Assessment (WMO, 1995) discussed the observational and modeling efforts through 1994, focusing entirely on trends in lower stratospheric temperatures. That Assessment concluded, based on radiosonde and satellite microwave observations, that there were short-term variations superposed on the long-term trends. A contributing factor to the former was stratospheric aerosol increases following the El Chichón and Mt. Pinatubo volcanic eruptions, which resulted in an increase of the global stratospheric temperature. These transient warmings posed a complication when analyzing the long-term trends and inferring their causes. The long-term trends from the radiosonde and satellite data indicated a cooling of 0.25 to 0.4 K/decade since the late 1970s, with suggestions of an acceleration of the cooling during the 1980s. The global cooling of the lower stratosphere suggested by the observations was reproduced reasonably well by models considering the observed decreases of ozone in the lower stratosphere. For altitudes above the lower stratosphere, a clear conclusion concerning trends could not be made. The 1991 and 1994 Assessments (WMO, 1992, 1995) laid the basis for the conclusion that the observed trends in the lower stratosphere during the 1980s were largely attributable to halocarbon-induced ozone losses.
This 1998 Assessment extends the evaluations of the earlier ones by focusing on the decadal-scale lower to upper stratospheric temperature trends arising out of observational (Section 5.2) and model simulation (Section 5.3) analyses. The temperature observations considered span at least 10 years; the period considered for evaluation is typically at least 15 years. The trend estimates discussed here include (i) a long-term period that spans two decades or more, (ii) the period since 1979 and extending to either 1994 or the present (i.e., up to 1998), and (iii) the period extending from 1979 to about the early 1990s. The last-mentioned period is that for which several model simulations have been compared with observations. In Section 5.4, we use the results from Sections 5.2 and 5.3 to investigate the extent to which the observed temperature trends can be attributed to changes in the concentrations of radiatively active species.
5.2 OBSERVATIONS
5.2.1 Data
The types of observational data available for investigation into stratospheric temperature trends are diverse. They differ in type of measurement, length of time period, and space-time sampling. There have been several investigations of trends that have considered varying time spans with the different available datasets, as will be discussed shortly. In recent years, the World Climate Research Programme’s SPARC-STTA (Stratospheric Processes and their Role in Climate-Stratospheric Temperature Trends Assessment) group has initiated a project to bring together various datasets covering the period 1966-1994 and to intercompare the resulting global stratospheric temperature trends. The authors and contributors of this current WMO/UNEP 1998 Assessment chapter largely constitute the working group of the SPARC-STTA. The data and trends obtained by this group are used in some of the intercomparisons reported here. The chapter prepared for the current WMO/UNEP Assessment will serve as an input to the ongoing SPARC investigation of stratospheric temperature trends.
SPARC-STTA chose two different time periods to examine the trends, based on the availability of the data, viz., 1979-1994 and 1966-1994. The former period coincides with the period when severe global ozone losses have been detected and also coincides with the period of global satellite observations. The second period is a longer one for which radiosonde (and a few rocketsonde) datasets are available.
The updated datasets made available to and employed by the SPARC-STTA for the analyses are shown (with the exception of rocketsonde datasets) in Table 5-1 along with their respective latitudes, altitudes, and periods of coverage. Additionally, independent of the STTA activity, some investigations (Dunkerton et al., 1998; Keckhut et al., 1998; Komuro, 1989; Golitsyn et al., 1996; Kokin and Lysenko, 1994; Lysenko et al., 1997) have analyzed trends from rocketsonde observations made at a few geographical locations and over specific time periods (see Table 5-2). We utilize these datasets in some of the presentations to follow. It is convenient to group the currently known datasets in the following manner:
- **Ground-based instruments**: radiosonde, rocketsonde, and lidar
Table 5-1. Zonal temperature time series made available to and considered by SPARC-STTA. For the MSU and Nash satellite data, the approximate peak levels “sensed” are listed. References to earlier versions of the datasets are also listed. See Section 5.2.1 for details.
| Dataset | Period | Latitude Coverage | Averaging | Levels (hPa) |
|--------------------------|-----------------|-------------------|-------------|--------------|
| Angell | 1958-1994 | 8 bands | 3-monthly | 100-50 |
| (Angell, 1988) | | 4 bands | 3-monthly | 50, 30, 20, 10 |
| Oort | 1958-1989 | 85°S-85°N | monthly | 100, 50 |
| (Oort and Liu, 1993) | | | | |
| Russia | 1959-1994 | 70°N, 80°N | monthly | 100 |
| (Koshelkov and Zakharov, 1998) | 1961-1994 | 70°N, 80°N | monthly | 50 |
| UK RAOB (or RAOB) | 1961-1994 | 87.5°S-87.5°N | monthly | 100, 50, 30, 20 |
| (Parker and Cox, 1995) | | | | |
| Berlin | 1965-1994 | 10-90°N | monthly | 100, 50, 30 |
| (Labitzke and van Loon, 1994) | | | | |
| Lidar | 1979-1994 | 44°N, 6°E | monthly | 10, 5, 2, 1, 0.4 |
| (Hauchecorne et al., 1991) | | | | |
| MSU | 1979-1994 | 85°S-85°N | monthly | 90 |
| (Spencer and Christy, 1993) | | | | |
| Nash | 1979-1994 | 75°S-75°N | monthly | 50, 20, 15, 6, 5, 2, 1.5, 0.5 |
| (Nash and Forrester, 1986) | | | | |
| CPC | 1979-1994 | 85°S-85°N | monthly | 70, 50, 30, 10, 5, 2, 1 |
| (Gelman et al., 1994) | | 20°N-85°N | monthly | 50, 30, 10 |
| Reanal | 1979-1994 | 85°S-85°N | monthly | 100, 70, 50, 30, 10 |
| (Kalnay et al., 1996) | | | | |
| GSFC | 1979-1994 | 90°S-90°N | monthly | 100, 70, 50, 30, 20 |
| (Schubert et al., 1993) | | | | |
| UKMO/SSUANAL | 1979-1994 | 90°S-90°N | monthly | 50, 20, 10, 5, 2, 1 |
| (Bailey et al., 1993) | | | | |
STRATOSPHERIC TEMPERATURE TRENDS
- **Satellite instruments**: microwave and infrared sounders
- **Analyses**: employing data from one or both of the above instrument types, without/with a numerical model
The datasets indicated in Table 5-1 are a collection of monthly-mean, zonal-mean temperature time series. All but one of these datasets cover the years 1979-1994, and some extend farther back in time. The pressure-altitude levels of the datasets vary, but overall they cover the range 100 to 0.4 hPa (approximately 16-55 km). Most datasets provide temperatures at specific pressure levels, but some provide data as mean temperatures representative of various pressure layers. The instrumental records from radiosondes, rocketsondes, lidar, and satellite (Microwave Sounding Unit (MSU) and Stratospheric Sounding Unit (SSU)) are virtually independent of each other. General characteristics of the different datasets are discussed below (see also WMO, 1990a,b).
### 22.214.171.124 Radiosonde Datasets
Radiosonde data are available dating back to approximately the early 1940s. Although the sonde data do not cover the entire globe, there have been several well-documented efforts to use varied techniques in order to obtain the temperatures over the entire Northern Hemisphere or the global domains. The sonde data cover primarily the lower stratospheric region (approximately, pressures greater than 10 hPa). The geographical coverage is quite reasonable in the Northern Hemisphere (particularly midlatitudes) but is poor in the extremely high latitudes and tropics, and is seriously deficient in the Southern Hemisphere (Oort and Liu, 1993).
As was the case at the time of the 1988 Assessment, two organizations monitor trends and variations in lower stratospheric temperatures using radiosonde data alone. The “Berlin” group (e.g., Labitzke and van Loon, 1995) prepares daily hand-drawn stratospheric maps based on synoptic analyses of radiosonde data at 100, 50, 30, and, in some months, 10 hPa, beginning from 1964. The Berlin monthly dataset examined by SPARC-STTA is derived from these daily analyses. The National Oceanic and Atmospheric Administration (NOAA) Air Resources Laboratory (e.g., Angell, 1988) uses daily radiosonde soundings to calculate seasonal layer-mean “virtual temperature” anomalies from long-term means, and uses these to determine trends since 1958 in the 850-300, 300-100, and 100-50 hPa layers (lower stratosphere). (Virtual temperature is the temperature of dry air having the same pressure and density as the actual moist air. Virtual temperature always exceeds temperature, but the difference is negligible in the stratosphere (Elliott et al., 1994).) The layer-mean virtual temperatures are determined from the geopotential heights of the layer endpoints. The Berlin analyses are of the Northern Hemisphere stratosphere and troposphere and are based on all available radiosonde data, whereas the Air Resources Laboratory monitors trends at 63 stations in eight zonal bands covering the globe. Additionally, Angell (1991b) also monitors stratospheric temperature, particularly its response to volcanic eruptions, at four levels between 20 km (50 hPa) and 31 km (10 hPa) using a network of 12 stations ranging from 8°S to 55°N. The “Angell” data used here represent a subset.
Extensive analyses of radiosonde temperature data by the NOAA Geophysical Fluid Dynamics Laboratory (GFDL) (Oort and Liu, 1993) and the U.K. Meteorological Office’s (UKMO) Hadley Centre for Climate Prediction and Research (Parker et al., 1997) have also been used for quantifying stratospheric trends. The GFDL database consists of gridded global objective analyses based on monthly means derived from daily soundings for the period 1958-1989 for the tropospheric levels and the 100-, 70-, 50-, and 30-hPa levels in the lower stratosphere. Layer-mean trends for the 100-50 hPa layer are based on temperature data at the 100-, 70-, and 50-hPa levels. A subset of this dataset, labeled “Oort,” is used here. The UKMO gridded dataset (RAwinsonde OBservations, denoted as “RAOB” or “UK RAOB”) for 1958-1996 is based on monthly mean (CLIMAT TEMP) station reports, adjusted (using MSU Channel 4 data, discussed below, as a reference) to remove some time-varying biases since 1979 for stations in Australia and New Zealand, and interpolated in some data-void regions. The “Russia” set consists of data from the high northern latitudes (70 and 80°N; Koshelkov and Zakharov, 1998). Thus, the Angell, Berlin, Oort, Russia, and RAOB datasets used by SPARC-STTA are compilations of data from various radiosonde stations, grouped, interpolated, and/or averaged in various ways to obtain monthly-mean and latitude-mean, pressure-level or vertical-average temperatures.
Table 5-2. Rocketsonde locations and periods of coverage utilized for the present Assessment. (Based on Dunkerton et al., 1998; Golitsyn et al., 1996; Keckhut et al., 1998; Kokin and Lysenko, 1994; Lysenko et al., 1997; and Komuro, 1989 (updated).)
| Station | Latitude, Longitude (degrees) | Period |
|-----------------------|------------------------------|--------------|
| Heiss Island | 81N, 58E | 1964-1994 |
| Volgograd | 49N, 44E | 1965-1994 |
| Balkhash | 47N, 75E | 1973-1992 |
| Ryori | 39N, 141.5E | 1970-present |
| Wallops Island | 37.5N, 76W | 1965-1990 |
| Point Mugu | 34N, 119W | 1965-1991 |
| Cape Kennedy | 28N, 80W | 1965-1993 |
| Barking Sands | 22N, 160W | 1969-1991 |
| Antigua | 17N, 61W | 1969-1991 |
| Thumba | 08N, 77E | 1971-1993 |
| Kwajalein | 09N, 167E | 1969-1990 |
| Ascension Island | 08S, 14W | 1965-1993 |
| Molodezhnaya | 68S, 46E | 1969-1994 |
126.96.36.199 Rocketsonde and Lidar Datasets
Rocketsonde and lidar data cover the altitude range from about the middle stratosphere into the upper stratosphere and mesosphere. Rocketsonde data are available through the early 1990s from some locations, but the activity appears to be virtually terminated except in Japan (see Table 5-2). The lidar measurement, just like the rocketsonde measurement, has a fine vertical resolution. Lidar measurements of stratospheric temperatures are available since 1979 from the Haute Provence Observatory (OHP) in southern France (44°N, 6°E). Specifically, the “lidar” (Table 5-1) temperatures observed at altitudes of 30 to 90 km are obtained from two lidar stations, with data interpolated to pressure levels (Keckhut et al., 1995). Several other lidar sites have initiated operations and could potentially contribute in future temperature trends assessments.
188.8.131.52 MSU and SSU Satellite Datasets
Satellite instruments of interest have become available since ~1979 (Table 5-1). These fall into two categories: those that remotely sense in the microwave wavelengths (Spencer and Christy, 1993) and those that remotely sense in the thermal infrared wavelengths (Nash and Forrester, 1986). The “MSU” Channel 4 dataset derives from the lower stratosphere channel (~150-50 hPa) of the Microwave Sounding Unit on NOAA polar-orbiting operational satellites (Figure 5-1, left panel). The “Nash” dataset consists of brightness temperatures from observed (25, 26, and 27) and derived (47X, 36X, 35X, 26X, and 15X) channels of the Stratospheric Sounding Unit (SSU) instrument on these same satellites (Figure 5-1). The SSU data used in this report are extensions (J. Nash, UKMO, UK, personal communication, 1997) of earlier works (e.g., Nash and Forrester, 1986) and have been provided to SPARC and WMO for temperature trends assessment purposes. One complication with satellite data is the fact that there are discontinuities in the time series owing to the measurements being made by different satellites monitoring the stratosphere since 1979. Adjustments have been made in the Nash channel data provided to compensate for radiometric differences, tidal differences between spacecraft, long-term drift in the local time of measurements, and spectroscopic drift in Channels 26 and 27. Adjustments have also been made to MSU data (e.g., Christy et al., 1995).
An important attribute of the satellite instruments is their global coverage. However, in contrast to the ground-based instruments, e.g., radiosondes, which perform measurements at specific pressure levels, the available satellite sensors have response functions that sense the signal from a wide range in altitude. The nadir
Figure 5-1. Altitude range of the signals “sensed” by the various thermal infrared channels of the Stratospheric Sounding Unit instrument (SSU) and by Channel 4 of the Microwave Sounding Unit (MSU). Nadir (left panel) and off-nadir (right panel) channel weighting functions.
Satellite instruments “sense” the emission originating from a layer of the atmosphere approximately 10–15 km thick. Figure 5-1 illustrates the weighting function for the MSU and SSU channels analyzed here, exhibiting the thick-layer nature of the measurements. For example, the emission for microwave MSU Channel 4 comes from the ~12–22 km layer, while, for the thermal infrared SSU Channel 15X, it is from the ~12–28 km layer. In Table 5-1, a nominal center pressure of each satellite channel has been designated, but it is emphasized that the preponderance of energy comes from a vertical layer, ~8–12 km thick, centered around the concerned pressure level, as indicated in Figure 5-1. A perspective into the global-mean anomalies of temperature at various stratospheric altitudes between 1979 and 1995 (deviations with respect to the mean over this period), as derived from different SSU channels, can be obtained from Figure 5-2. The MSU record was discussed in WMO (1995).
184.108.40.206 Analyzed Datasets
A number of datasets involve some kind of analyses of the observations. They employ one or more types of observed data, together with the use of some mathematical technique and/or a general circulation assimilation model, to construct the global time series of the temperatures. They are, in essence, more of a derived dataset than the satellite- or the ground-based ones. The “CPC” analyses (from the Climate Prediction Center, formerly Climate Analysis Center) and “UKMO/SSUANAL” stratospheric analyses (Table 5-1) do not involve any numerical atmospheric circulation model. The CPC Northern Hemisphere 70-, 50-, 30- and 10-hPa analyses use radiosonde data. Both the CPC and UKMO/SSUANAL analyses (see also Swinbank and O’Neill, 1994) use Television and InfraRed Observational Satellite (TIROS) Operational Vertical Sounder (TOVS) temperatures, which incorporate data
Figure 5-2. Time series of global temperature anomalies from the overlap-adjusted SSU data. These data measure the thermal structure over thick layers (thickness ~10-15 km) of the stratosphere; the label of each panel indicates the approximate altitude of the weighting function maximum. (Figure assembled for this chapter in cooperation with the SPARC-Stratospheric Temperature Trends Assessment project.)
from the SSU, High-Resolution Infrared Sounder (HIRS-2), and MSU on the NOAA polar-orbiting satellites. Adjustments based on rocketsonde data (Finger et al., 1993) have been applied to the CPC 5-, 2-, and 1-hPa temperatures for the SPARC dataset. (However, both the CPC data above 10-hPa altitude and the UKMO/SSUANAL datasets may be limited in scope for trend studies, as they have not yet been adjusted for some of the known problems associated with SSU satellite retrievals from many different satellites (see Section 220.127.116.11); hence, they are not considered in this chapter.)
The “Reanal” (viz., the U.S. National Centers for Environmental Prediction (NCEP) reanalyzed) and the “GSFC” (Goddard Space Flight Center, National Aeronautics and Space Administration (NASA)) datasets are derived using numerical atmospheric general circulation models (GCMs) as part of the respective data assimilation systems. These analysis projects provide synoptic meteorological data extending over many years using an unchanged assimilation system. In general, analyzed datasets are dependent on the quality of the data sources, such that a spurious trend in a data source could be inadvertently incorporated in the assimilation. Also, analyses do not necessarily account for longer-term calibration-related problems in the data. Further, the analyzed datasets may not contain adjustments for satellite data discontinuities (Santer et al., 1998).
5.2.2 Summary of Various Radiosonde-Based Investigations of Trends
Radiosonde data show a cooling of the lower stratosphere over the past several decades. Table 5-3 summarizes published temperature trend estimates by various investigators, including those mentioned in Section 5.2.1. The data periods and the analysis techniques vary, as do the levels and layers analyzed. No attempt is made here to critically evaluate these diverse estimation techniques. The reported trends have
Table 5-3. Lower stratospheric temperature trends from published studies of radiosonde data.
| Reference | Data Period | Level or Layer | Region | Trend (K/decade) | Comments |
|--------------------|-------------------|---------------------------------|----------------------|------------------|--------------------------------------------------------------------------|
| Angell (1991a) | 1972-1989 | 50 hPa, 20 km | 8°S - 55°N | -0.5 ± 0.3 | 12 radiosonde stations. Data were adjusted for the El Chichón influence. |
| | | 30 hPa, 24 km | | -0.4 ± 0.3 | Greatest cooling in winter. |
| | | 20 hPa, 27 km | | -0.3 ± 0.3 | |
| | | 10 hPa, 31 km | | -0.3 ± 0.3 | |
| Angell (1991b) | 1970-1988 | 100-50 hPa layer | NH | -0.2 | Trends reported here are based on Angell’s presentation of temperature |
| | | | SH | -0.5 | differences between the periods 1980-88 and 1970-78. |
| Koshelkov and | 1965-1994 | 50- and 100-hPa levels | 65°N - 83°N | 0 to -1 (-0.5) | Significant (95% confidence level) trends only from May to October. |
| Zakharov (1998) | 1979-1994 | | | 0 to -1 | Significant (95% confidence level) trends only from June to August. |
| Labitzke and van | 1965-1993 | 100 hPa | NH (10-90°N) | 0 to -0.5 | Significant (95% confidence level) trends between 60 and 80°N. |
| Loon (1995) | | 50 hPa | NH (10-90°N) | 0 to -0.5 | Significant (95% confidence level) trends between 20 and 90°N. |
| | | 30 hPa | NH (10-90°N) | 0 to -0.5 | Significant (95% confidence level) trends between 30 and 60°N. |
| | 1979-1993 | 100 hPa | NH (10-90°N) | -0.2 to -0.8 | Significant (95% confidence level) trends only at about 40°N. |
| | | 50 hPa | NH (10-90°N) | 0 to -0.9 | Significant (95% confidence level) trends between 35 and 50°N. |
| | | 30 hPa | NH (10-90°N) | 0 to -1.0 | Significant (95% confidence level) trends between 30 and 50°N. |
| Miller et al. | 1964-1986 | 150-30 hPa | Global (62 stations, as Angell) | -0.2 to -0.4, depending on level | Four stations’ data were adjusted for level shifts. |
| Reference | Data Period | Level or Layer | Region | Trend (K/decade) | Comments |
|---------------------------|-------------------|-------------------------|------------|-----------------|--------------------------------------------------------------------------|
| McCormack and Hood (1994)| 1979-1990 | 100 hPa | NH | 0 to -4.5 | Data from the FUB analyses. Significant trends only in winter at 30-45°N. |
| Oort and Liu (1993) | 1963-1988 | 100-50 hPa layer | NH | -0.38 ± 0.14 | |
| | | | SH | -0.43 ± 0.16 | |
| | | | Globe | -0.40 ± 0.12 | |
| | 1959-1988 | | NH | -0.40 ± 0.10 | |
| Pawson and Naujokat (1997)| 1965-1996 | 50 hPa | NH (10-90°N)| -1.90 (min) | Decrease in daily minimum temperature, increase in daily maximum, for |
| | | | | +1.67 (max) | winter season. Increase in the area of T<195 K and T<192 K, although the |
| | | | | | early data for T<192 are questionable. |
| | | 30 hPa | | -1.85 (min) | |
| | | | | +4.07 (max) | |
| Parker et al. (1997) | 1965-1996 | 150-30 hPa layer | NH | -0.27 | Radiosonde data weighted to correspond with MSU4. Adjustments made to |
| | | | | | Australasia data for 1979-1996. Trends significant at the 95% confidence |
| | | | | | level or better. |
| | 1979-1996 | | SH | -0.44 | |
| | | | NH | -0.63 | |
| | | | SH | -0.73 | |
| Reid et al. (1989) | 1966-1982 | 100-15 hPa levels | Tropics | -1.2 to +0.8 | Five radiosonde stations. Trends vary by station and level. |
| Taalas and Kyrö (1992) | 1965-1988 | 50 hPa | Sodankylä, Finland, station | -0.2 ± 1.6 (annual) | 100, 70, and 30 hPa showed similar results. |
| | | | | -1.6 ± 0.08 (January) | |
| | | | | +1.5 ± 0.05 (April) | |
| Taalas and Kyrö (1994) | 1965-1992 | 50 hPa | Sodankylä, Finland, station | -0.16 | Also, an increase in the number of observations of T<195 K in winter. |
all been converted to units of degrees Kelvin per decade. Overall, the trends, based on areal averages and all seasons, are negative and range from zero to several tenths of a degree per decade. The few studies with global coverage show more cooling of the Southern Hemisphere (SH) lower stratosphere than the Northern Hemisphere (NH). Large trends evaluated for the decade of the 1980s emphasize the period of ozone loss. Positive trends have been found at a few individual stations in the tropics by Reid et al. (1989) for the period 1966-1982, possibly due to the influence of El Chichón volcano effects. (It may be noted that Labitzke and van Loon (1995) find positive trends (not listed in Table 5-3) at high and low latitudes for the month of January.)
The sensitivity of trend estimates to the period of record considered is evident from the time series of global or hemispheric mean lower stratospheric temperature anomalies (Angell, 1988; Oort and Liu, 1993; Parker et al., 1997). These data (Figure 5-3 (top); Angell, 1988, updated; Halpert and Bell, 1997) show relatively high temperatures (particularly in the Southern Hemisphere) during the early 1960s, fairly steady temperatures till about 1981, and relatively low temperatures since about 1984, with episodic warmings associated with prominent volcanic eruptions. Figure 5-3 (bottom) shows the global temperature anomalies from the MSU satellite. The evolution of the anomalies is qualitatively similar to the radiosonde anomalies (Christy, 1995), including the warming in the wake of the El Chichón and Mt. Pinatubo eruptions (WMO, 1995), followed by a cooling to somewhat below the pre-eruption levels. The long-term cooling tendency of the global stratosphere is discernible in both datasets, although the satellite data exhibit less interhemispheric difference.
The Berlin analysis (Figure 5-4) shows that the radiosonde temperature time series for the 30-hPa region at the northern pole in July acquires a distinct downward trend when the 1955-1997 period is considered, in contrast to the behavior for the 1955-1977 period. The trend estimates are seen to depend on the end years chosen. The summertime temperature decreases in the high northern latitudes have been more substantial and significant when the decade of 1980s and after are considered; note that this does not necessarily imply a sharp downward trend for the other months.
A few studies have examined radiosonde observations of extreme temperatures in the lower stratosphere. At Sodankylä, Finland, Taalas and Kyrö (1994) found an increase in the frequency of occurrence of temperatures below 195 K at 50 hPa during 1965-1992. At both 50 and 30 hPa over the Northern Hemisphere (10-90°N), Pawson and Naujokat (1997) found a decrease in the minimum and an increase in the maximum daily wintertime temperatures during 1965-1996. They also found an increase in the area with temperatures less than 195 K and suggested that extremely low temperatures appear to have occurred more frequently over the past 15 years.
Figure 5-4. Time series of July 30-hPa temperatures for 1955-1997 at high northern latitude (80°N). Trends over the 1955-1977, 1979-1997, and 1955-1997 time periods are -0.01, -1.41, and -0.5 K/decade, respectively. Of these, only the 1979-1997 trend is statistically significant. (Updated from Labitzke and van Loon, 1995.)
5.2.3 Zonal, Annual-Mean Trends
18.104.22.168 Trends Determination
There is a wide range in the numerical methods used in the literature to derive trends and their significance. Most studies are based on linear regression analyses, although details of the mathematical models and particularly aspects of the standard error estimates are different. Differences in details of the models include the method of fitting seasonal variability, the number and types of dynamical proxies included, and the method used to account for serial autocorrelation of meteorological data (e.g., the multiple linear regression analysis (MLRA) model of Keckhut et al. (1995) and the model used by Randel and Cobb, 1994).
The SPARC-STTA group calculated the temperature trends (K/decade) from each of the datasets using autoregressive time-series analyses (maximum likelihood estimation method; e.g., Efron, 1982). The methodology consists of fitting the time series of monthly-mean values at each latitude with a constant and six variables (annual sine, annual cosine, semiannual sine, semiannual cosine, solar cycle, and linear trend). The derived trend and standard error are the products of this computation. The t-test for significance at the 95% confidence level is met if the absolute value of the trend divided by the standard error estimate exceeds 2. The results from the statistical technique used by SPARC-STTA have been intercompared with other methods employed in the literature (A.J. Miller, NOAA, U.S., personal communication, 1998) and found to yield similar trend estimates. It is cautioned, however, that the estimates of the statistical uncertainties could be more sensitive to details of the method than the trend results themselves, especially if the time series has lots of missing data.
An important caveat to the interpretation of the significance of the datasets is that the time series analyzed below, in some instances, is only 15 years long or, in the case of the lengthier rocketsonde and radiosonde records, up to ~30 years long. In this context, it must be noted that the low-frequency variability in the stratosphere, especially at specific locations, is yet to be fully ascertained and, as such, could have a bearing on the robustness of the derived trend values.
22.214.171.124 Trends at 50 and 100 hPa
Figure 5-5 illustrates the decadal trends for the different datasets over the 1979-1994 period. For the non-satellite datasets, the trends at 50 and 100 hPa are illustrated in panels (a) and (b), respectively; panel (c) illustrates the satellite-derived trends. The latitudes where the trends are statistically significant for the different datasets are listed in Table 5-4. (The Oort data (Oort and Liu, 1993), which have been used widely (e.g., Hansen et al., 1995; Santer et al., 1996), are not included in this plot owing to the fact that they span a shorter period of time (1979-1989) than the other datasets.) In the case of the MSU and Nash (SSU 15X) satellite data, the trend illustrated in panel (c) is indicative of a response function that spans a wide range in altitude (Figure 5-1); e.g., for MSU, about half of the signal originates from the upper troposphere at the low latitudes. Because of this, caution must be exercised in comparing the magnitudes of the non-satellite trends in Figure 5-5 panels (a) and (b) with those for the satellite in panel (c). This aspect could explain, in part, the lesser cooling obtained by the satellites relative to radiosondes in the tropical regions; however, this argument is contingent upon the trends in the tropical upper troposphere (not investigated in this report). The MSU data indicate less cooling than Nash in the tropics. One reason for this
could be that the Nash peak signal originates from a slightly higher altitude than the MSU; again, though, the extent of the cooling/warming trend in the upper troposphere needs to be considered for a full explanation. The results are statistically insignificant in almost all of the datasets at the low latitudes. This could be in part due to the variable quality of the tropical data. It is conceivable that the radiosonde trends are significant over selected regions where the data are reliable over long time periods, but that the significance aspect is destroyed when reliable and unreliable data are combined to get a zonal mean.
All datasets indicate a cooling of the entire Northern Hemisphere and the entire low- and midlatitude Southern Hemisphere at the 50-hPa level over this period. At the 100-hPa level, there is a cooling over most of the northern and southern latitudes. The midlatitude (30-60°N) trends in the Northern Hemisphere exhibit a statistically significant (Table 5-4) cooling at both 50- and 100-hPa levels, with the magnitude in this region being ~0.5-1 K/decade. This feature is true for the satellite data as well. The similarity of the magnitude and significance in the mid-Northern Hemisphere latitudes from the different datasets is particularly encouraging and suggests a robust trend result for this time period. The trends in the Southern Hemisphere midlatitudes (~15-45°S) range up to ~0.5-1 K/decade but are generally statistically insignificant over most of the area in almost all datasets, except Reanal. Note that the Southern Hemisphere radiosonde data have more uncertainties owing to fewer observing stations and data homogeneity problems (see Section 126.96.36.199). The non-satellite data indicate a warming at 50 hPa but a cooling at 100 hPa at the high southern latitudes, while the satellites indicate a cooling trend. Thus, as for the tropical trends, satellite-radiosonde intercomparisons in this region have to consider carefully the variation of the trends with altitude (Section 188.8.131.52). The lack of
**Figure 5-5.** Zonal-mean decadal temperature trends for the 1979-1994 period, as obtained from different datasets. These consist of radiosonde (Angell, Berlin, UK/RAOB, and Russia) and satellite (MSU and Nash) observations, and analyzed datasets (CPC, GSFC, and Reanal). See Table 5-1, and Sections 5.2.1 and 184.108.40.206 for details. Panel (a) denotes 50-hPa trends, panel (b) denotes 100-hPa trends, and panel (c) denotes trends observed by the satellites for the altitude range “sensed,” which includes the lower stratosphere (see Figure 5-1). Latitude bands where the trends are statistically significant at the 2-sigma level are listed in Table 5-4. (Figure assembled for this chapter in cooperation with the SPARC-Stratospheric Temperature Trends Assessment project.)
Table 5-4. Latitude bands where the observed 50-hPa, 100-hPa, and satellite temperature trends (1979-1994) from various data sources (see Table 5-1 and Figure 5-5) are statistically significant at the 2-sigma level. SH and NH denote Southern and Northern Hemisphere, respectively. A dash denotes either no data or no statistically significant latitude belt in that hemisphere.
| Dataset | Latitude Band |
|---------|---------------|
| | SH | NH |
| **50 hPa** | | |
| Berlin | - | 30-55°N |
| GSFC | - | 42-58°N |
| Reanal | 37.5-25°S | 32.5-55°N |
| RAOB | 12.5°S | 32.5-62.5°N |
| CPC | 30°S | 10°N |
| Angell | - | 50°N |
| Russia | - | - |
| **100 hPa** | | |
| Berlin | - | 0-5°N; 35-80°N|
| GSFC | - | 38-60°N |
| Reanal | - | 37.5-57.5°N |
| RAOB | 47.5°S | 12.5°N; 37.5-72.5°N |
| Russia | - | 70°N |
| **Satellite** | | |
| Nash | - | 30-60°N |
| MSU | - | 28.75-63.75°N |
Statistically significant trends in the southern high latitudes need not imply that significant trends do not occur during particular seasons (e.g., Antarctic springtime). The high northern latitudes indicate a strong cooling (1 K/decade or more) in the 50-hPa, 100-hPa, and satellite datasets. However, no trends are significant poleward of ~70°N owing to the large interannual variability there. There is a general consistency of the trends from the analyzed datasets (CPC, GSFC, Reanal) with trends derived directly from the instrumental data. Considering all datasets, the global lower stratospheric cooling trend over the 1979-1994 period is estimated to be ~0.6 K/decade. The 50-100 hPa cooling is consistent with earlier WMO results based on shorter records (e.g., Figure 6.17 of WMO, 1990a; Figure 2.4-5 of WMO, 1990b).
Figure 5-6 shows the annual-mean trend over 1966-1994 at 50 hPa and comprises principally the radiosonde record. Note that the Oort time series extends only through 1989. The cooling trends in the northern high latitudes, and in several other latitude belts, are less strong in the radiosonde datasets when the longer period is
**Figure 5-6.** Zonal-mean decadal temperature trends at 50 hPa over the 1966-1994 period from different datasets (see Table 5-1 and Sections 5.2.1 and 220.127.116.11 for details). Latitude bands where the trends are statistically significant at the 2-sigma level are listed in Table 5-5. (Figure assembled for this chapter in cooperation with the SPARC-Stratospheric Temperature Trends Assessment project.)
Table 5-5. Latitude bands where the 1966-1994 observed 50-hPa temperature trends from various data sources (see Table 5-1 and Figure 5-6) are statistically significant at the 2-sigma level. SH and NH denote Southern and Northern Hemisphere, respectively. A dash denotes either no data or no statistically significant latitude belt in that hemisphere.
| 50-hPa Dataset | Latitude Band |
|----------------|---------------|
| | SH | NH |
| Berlin | - | 20-70°N |
| CPC | - | 10-20°N; 50-60°N |
| Angell | - | 10, 20, 50°N |
| RAOB | 37.5-32.5°S; 22.5-17.5°S | 17.5°N; 32.5°N; 42.5-72.5°N |
| Oort | 84-56°S; 30-28°S; 24-22°S; 18-16°S | 20-30°N; 34°N; 40°N; 46°N; 52-68°N |
| Russia | - | 70°N |
considered (note that the Berlin radiosonde time series for July, Figure 5-4, exhibits a similar feature). The cooling trend in the 30-60°N belt is about 0.3 K/decade. The strong cooling trend in the Oort data in the high southern latitudes is consistent with Oort and Liu (1993), Parker et al. (1997), and the Angell data (D. Gaffen, NOAA, U.S., personal communication, 1998). Regions of statistically significant trends in the datasets are listed in Table 5-5. In the Southern Hemisphere, the two global radiosonde datasets indicate a significant cooling over broad belts in the low and midlatitudes, with the Oort data exhibiting this feature at even the higher latitudes. The Oort global-mean trend is -0.33 K/decade over the 1966-1989 period. In the Northern Hemisphere, again, the midlatitude regions stand out in terms of the significance of the estimated trends. Latitudes as low as 10-20° exhibit significant trends over the longer period considered.
18.104.22.168 Vertical Profiles
Figure 5-7 shows the vertical and latitudinal structure of the zonal, annual-mean temperature trend as obtained from the SSU and MSU satellite measurements. The plot is constructed by considering 5-km-thick levels from linear combinations of the weighting functions of the different channels (Figure 5-1). Figure 5-7 shows panels with and without the inclusion of the volcanic periods (i.e., the “no-volcano” calculations omit 2 years of data following the El Chichón and Mt. Pinatubo eruptions; see Figure 5-2). The omission of the volcano-induced warming period (particularly that due to Mt. Pinatubo near the end of the record) yields an enhanced cooling trend in the lower stratosphere. The vertical profile of the temperature trend in the middle and upper stratosphere between ~60°N and ~60°S shows a strong cooling, particularly in the upper stratosphere (up to 3 K/decade). Cooling at these latitudes in large portions of the middle and upper stratosphere is seen to be statistically significant.
We next focus on 45°N latitude. At this latitude, lidar records from the Haute Provence Observatory (OHP) are available, which afford a high vertical resolution above 30 km, relative to the other instrumental data available. Figure 5-8 displays the annual-mean trend profile for 1979-1998 updated from Keckhut et al. (1995) and shows a cooling of ~1-3 K/decade over the entire altitude range 35-70 km, but with statistical significance obtained only around 60 km. The vertical gradient in the profile of cooling between 40 and 50 km differs somewhat from the 1979-1990 summer trend reported in the 1991 WMO Assessment (WMO, 1992, Figure 2-20).
Figure 5-9 compares the vertical pattern of the temperature trend at 45°N obtained from different datasets for the 1979-1994 period. There is a broad agreement in the cooling at the lower stratospheric altitudes, reiterating results in Figure 5-5. The vertical patterns of the trends from the various data are also in qualitative agreement, except for the lidar data (which,
in any case, are not statistically significant over that height range). Note that the lidar trend for the 1979-1998 period (Figure 5-8) exhibits better agreement with the satellite trend than that in Figure 5-9c, indicating a sensitivity of the decadal trend to the end year considered. Generally speaking, there is an approximately uniform cooling of about 0.8 K/decade between ~50 and 5 hPa (~20-35 km), followed by increasing cooling with height (e.g., ~2.5 K/decade at 1 hPa (~50 km)). The analyzed datasets (Table 5-1), examined here for pressures > 10 hPa, are in approximate agreement with the instrument-based data. Figure 5A (see this chapter’s Scientific Summary) illustrates the overall mean vertical profile of the trend and uncertainty at 45°N, taking into account all of the datasets and accounting for the uncertainties of the individual measurements (see also Table 5-6 for numerical values of the trend estimates and the uncertainty at the one-sigma level). The vertical profile of cooling, and especially the large upper stratospheric cooling, are consistent with the global plots in WMO (1990a, e.g., Figure 6.17; 1990b, e.g., Figure 2.4-5) constructed from shorter data records.
22.214.171.124 Rocket Data and Trends Comparisons
Substantial portions of the three available rocket datasets (comprising data from U.S., Russian, and Japanese rocketsondes; see Table 5-2) have been either reanalyzed or updated since the review by Chanin (1993). Golitsyn et al. (1996) and Lysenko et al. (1997) updated the data from five different locations over the period 1964-1990 or 1964-1995. Golitsyn et al. (1996) conclude a statistically significant cooling from 25 to 75 km, except around 45 km (Figure 5-10a). Lysenko et al. (1997)
obtain a similar vertical profile of the trend for the individual rocketsonde sites (Figure 5-10b). They find a significant negative trend in the mesosphere particularly at the midlatitude sites.
Out of the 22 stations of the U.S. network, nine have provided data for more than 20 years. Some series have noticeable gaps that prevent them from being used for trend determination. Independently, two groups have revisited the data: Keckhut et al. (1998) selected six low-latitude sites (8°S–28°N), and Dunkerton et al. (1998) selected five out of six of the low-latitude sites plus Wallops Islands (37°N). Both accounted for spurious jumps in the data by applying correction techniques.
Keckhut et al. (1998) found a significant cooling...
Table 5-6. Weighted trend estimates and uncertainty at the 1-sigma level computed from the individual system estimates shown in Figure 5-9. The weighted trend estimates and the uncertainty at the 2-sigma level are illustrated in Figure 5A.
| Altitude (km) | Trend (K/decade) | Uncertainty (1-sigma level) |
|--------------|------------------|-----------------------------|
| 15 | -0.49 | 0.18 |
| 20 | -0.84 | 0.18 |
| 25 | -0.86 | 0.20 |
| 30 | -0.80 | 0.29 |
| 35 | -0.88 | 0.30 |
| 40 | -1.23 | 0.33 |
| 45 | -1.81 | 0.37 |
| 50 | -2.55 | 0.40 |
between 1969 and 1993 of about 1-3 K/decade between 20 and 60 km (Figure 5-11a). A similar result is seen in the data available since 1970 from the single and still operational Japanese rocket station (Figure 5-11b, updated from Komuro, 1989). Dunkerton et al. (1998), using data from 1962 to 1991, infer a downward trend of -1.7 K/decade for the altitude range 29-55 km; they also obtain a solar-induced variation of ~1 K in amplitude. It should be noted that the amplitude of the lower-mesosphere cooling observed in the middle and high latitudes from the Russian rockets (between 3 and 10 K/decade) is somewhat larger than from the U.S. dataset. Nevertheless, all four rocketsonde analyses shown in Figures 5-10 and 5-11, together with the lidar trend at 44°N (Figure 5-8), are consistent in yielding trends of ~1-2 K/decade between about 30 and 50 km.
Figure 5-12 compares the vertical profiles of trends over the 1979-1994 period from various datasets at
**Figure 5-10.** Panel A: Trends (K/yr) based on the Former Soviet Union (FSU) rockets (25-70 km) since the mid-1960s (see Table 5-2). (Adapted from Golitsyn et al., 1996.) Panel B: Trends (K/yr) at specific sites based on the same FSU rocket dataset. (Adapted from Lysenko et al., 1997.)
Figure 5-11. Panel A: Trend (K/yr) compiled from U.S. rocket sites in the 8°S-34°N belt (see Table 5-2) over the period 1969-1993 (Keckhut et al., 1998). Panel B: Trend (K/yr) from the Japanese rocket station at Ryori over the period 1970-present. The 2-sigma uncertainties are also indicated. (Updated from Komuro, 1989.)
~30°N, including the rocket stations at 28°N (Cape Kennedy) and 34°N (Point Mugu). As at 45°N (Figure 5-9), almost all the datasets agree in the sign (though not in the precise magnitude) of temperature change below about 20 hPa (~27 km). Above 10 hPa (~30 km), both satellite and rocket trends yield increasing cooling with altitude, with a smaller value at the 28°N rocket site. At 1 hPa, there is considerable divergence in the magnitudes of the two rocket trends. The rocket trends are derived from time series at individual locations, which may explain their greater uncertainty relative to the zonal-mean satellite trends. In a general sense, the vertical profile of the trend follows a pattern similar to that at 45°N (Figure 5-9).
5.2.4 Latitude-Season Trends
The monthly, zonal-mean trends in the lower stratosphere are considered next. Figure 5-13 illustrates the lower stratospheric temperature trends derived from MSU data over the period January 1979-May 1998. This represents an update from the 1994 Assessment (WMO, 1995). Substantial negative trends are observed in the midlatitudes of both hemispheres during summer (-0.5 K/decade), and in springtime polar regions (up to ~3 to -4 K/decade). There is a broad domain of statistical significance in the cooling at the midlatitudes; in the NH, this occurs from ~June through October, whereas in the SH, it occurs from about mid-October to April. Little or no cooling is observed in the tropics in Figure 5-13, although, as already stated, the MSU measurements in the tropics originate from a broad layer of 50-150 hPa and thus implicitly include a trend signal from the upper troposphere (the weighting function maximum is near the tropical tropopause; Figure 5-1). Thus, the tropical MSU result may not be indicative of a purely lower stratospheric trend (Section 126.96.36.199; Figure 5-5). There is some symmetry evident in the observed trends in the two hemispheres, although most of the regions have values not significantly different from zero. Comparison with the MSU trends derived from data for 1979-1991 (Randel and Cobb, 1994; see Figure 8-11 in WMO, 1995) shows similar patterns in the SH, but substantial differences in the NH. The 1979-1991 NH trends peaked in winter midlatitudes, and the springtime polar cooling was not statistically significant. Addition of data through
mid-1998 diminishes the northern midlatitude winter trends and increases those over the pole in spring. Thus, owing to a high degree of interannual variability, especially during polar spring, the MSU trend estimates are dependent on the choice of the end year.
The larger springtime polar trends are strongly influenced by the occurrence of several relatively cold years since about 1990, as shown in Figure 5-14 (top panel) for $80^\circ$N using the NCEP reanalyzed data and MSU observations. Note that the NCEP reanalyzed data have not been adjusted for the discontinuities due to the switchover to satellite temperature retrievals (1976 for SH and 1979 for NH). This leads to a discontinuity in the analyzed temperatures for those years, associated with
Figure 5-12. Vertical profiles of the zonal, annual-mean decadal stratospheric temperature trend (K/decade) over the 1979-1994 period at 28-38°N from different datasets (Tables 5-1 and 5-2). Horizontal bars denote statistical significance at the 2-sigma level while vertical bars denote the approximate altitude range “sensed” by the MSU and by the different SSU satellite channels (see Figure 5-1). (Figure assembled for this chapter in cooperation with the SPARC-Stratospheric Temperature Trends Assessment project.)
STRATOSPHERIC TEMPERATURE TRENDS
Figure 5-13. Latitude-time section of trends in MSU Channel 4 temperature over January 1979-May 1998. Dashed lines indicate cooling trends. The contour interval is 0.5 K/decade, and shading indicates the trends are significant at the 5% level. (Updated from Randel and Cobb, 1994.)
the model’s systematic error. Naujokat and Pawson (1996) also noted the relatively cold 1994/95 and 1995/96 northern polar winters. The 1990s-averaged temperature in March is lower than that for the 1980s. Manney et al. (1996) suggest that an unusual circulation pattern (low planetary wave forcing and an intense polar vortex) was primarily responsible for this feature. In particular, March 1997 was very cold, about 18 K below the 1980-1989 decadal average. Indeed, the monthly-mean 30-hPa temperature over the pole in March 1997 may have been one of the coldest years since 1966 (“Monthly Report on Climate System, 1997” by Japan Meteorological Agency). Newman et al. (1997) indicate that this coincided with the occurrence of the lowest total ozone amount in the Northern Hemisphere for this season. The extreme low temperatures in March 1997 appear to be associated with record-low planetary wave activity (Coy et al., 1997). There are suggestions that the observed Arctic polar stratospheric conditions in recent years may be linked to changes in tropospheric circulation (see Chapter 12). It is not certain whether these are secular trends or whether they are the consequence of a decadal-scale variability in the climate system. With regard to the frequency of major sudden stratospheric warmings, Labitzke and van Loon (1992) note that, before 1992, the largest lapse of time between two major warmings was about 4 years. In comparison, no major warming appears to have occurred between 1991 and 1997, i.e., over seven winters. This is broadly consistent with the sense of the temperature trend in the 1990s up to 1997.
In the Antarctic, analyses of long-term records of radiosonde data continue to reveal substantial cooling trends in spring, further endorsing the early study of Newman and Randel (1988). This cooling trend is closely linked to springtime ozone depletion (Angell, 1986; Chubachi, 1986; Trenberth and Olson, 1989; Jones and Shanklin, 1995; Butchart and Austin, 1996). This springtime cooling is an obviously large feature of the MSU temperature trends shown in Figure 5-13. Figure 5-14 (bottom) shows the time series of 100-hPa temperatures in November over Halley Bay, derived from radiosonde data, together with time series from the NCEP reanalysis interpolated to Halley Bay. Both these records reveal a decadal-scale change in temperature beginning in about the early 1980s, together with significant year-to-year variability (see also Chapter 4). The timing of the change in the Antarctic may be compared with that at 80°N (March) around 1990, as illustrated in the top panel of Figure 5-14. It is notable that temperatures in NH springtime polar regions indicate a strong cooling in recent years and an enhancement above natural variability (also, compare Figure 5-13 with Figure 8-11 of WMO, 1995) that is reminiscent of that observed in the Antarctic about a decade ago.
The structure of the decadal-scale temperature change over Antarctica as a function of altitude and month is shown in Figure 5-15, calculated as the difference in decade means (1986–1995 minus 1970–1979), and averaged over seven radiosonde stations (Randel and Wu, 1998). These data show a significant cooling (of ~6 K) in the lower stratosphere in spring (October–December). Significant cooling persists through austral summer (March), while no significant temperature changes are found during winter. These data also show a statistically significant warming trend (3 K or more) at the uppermost data level (30 hPa; 24 km) during spring.
Kokin and Lysenko (1994) have analyzed the seasonal trends in the middle and upper stratosphere from their data for five rocketsonde stations for the 1972–1990 period. Generally, the cooling is evident almost throughout the year at all sites, but there are exceptions. Figure 5-16 indicates a significant positive trend during spring above Molodezhnaya (at ~35 km) and during
winter above Volgograd and Balkhash (at $\sim 40$ km). The warming feature for Molodezhnaya is consistent with the springtime warming inferred for lower altitudes in the Antarctic by Randel (1988), and with that shown in Figure 5-15. The warming is located above a domain of cooling in both Figures 5-15 and 5-16. It is interesting that such an effect also takes place during the northern winter over the Volgograd and Balkhash locations.
**Figure 5-14.** Top panel: Time series of 100-hPa zonal-mean temperatures at $80^\circ N$ in March from NCEP reanalyses (solid lines), together with data from MSU. The smooth curve through the reanalysis data indicates the decadal-scale variation. Bottom panel: Time series of 100-hPa temperature in November at Halley Bay, Antarctica, from radiosonde data (solid lines) and NCEP reanalyses (dashed lines). The smooth curve through radiosonde data indicates the decadal-scale variation. (Randel and Wu, 1998.)
**5.2.5 Uncertainties in Trends Estimated from Observations**
Determining stratospheric temperature trends from long-term observations is complicated by the presence of additional, non-trend variability in the data. Two types of phenomena contribute to the uncertainty in trend estimates. The first is true atmospheric variability that is not trend-like in nature. Major sources of such variability include the (quasi-) periodic signals associated with the annual cycle, the quasi-biennial oscillation (QBO), the solar cycle, and the El Niño-Southern Oscillation (ENSO). In addition, stratospheric temperatures vary in response to episodic injections of volcanic aerosols. To first approximation, these atmospheric phenomena have negligible effects on the long-term temperature trend because they are periodic or of relatively short duration. Nevertheless, because current data records are only a few decades long, at most, these phenomena may appear to enhance or reduce an underlying trend. At a minimum, the additional temperature variability associated with these signals reduces the statistical confidence with which long-term trends can be identified. Whereas periodic signals can be removed, the effects of sporadic events are more difficult to model and remove. Furthermore, there may be long-term trends in these cycles and forcings that confound the analysis. A second source of uncertainty is due to spurious signals in the time series that are the result of changes in methods of observation rather than changes in the atmosphere. The problem of detecting
**Figure 5-15.** Altitude-time section of temperature differences over Antarctica, 1986-1995 minus 1970-1979, derived from an average of seven radiosonde stations. Dashed lines indicate cooling trends. The contour interval is 1 K. Shading denotes that the temperature differences are significantly different from natural variability. (Randel and Wu, 1998.)
temperature trends in the presence of changes in the bias characteristics of the observations is receiving increased attention (Christy, 1995; Santer et al., 1998). It seems likely that over the next few years, better methods will be employed to quantify and reduce the uncertainty in stratospheric temperature trend estimates attributable to these spurious signals.
188.8.131.52 Uncertainties Associated with Radiosonde Data
Although most radiosonde analyses show cooling of the lower stratosphere in recent decades, it is important to recognize that they all rely on subsets of the same basic dataset, the global observing system upper-air network. This network is fundamentally a meteorological one, not a climate monitoring network, not a reference network for satellite observations, and not a network for detection of stratospheric change. When the radiosonde data are used for temperature trends analyses, any difficulties that plague the radiosonde network will also affect the analyses that use those data.
Karl et al. (1995) and Christy (1995) have reviewed some of the problems associated with using radiosonde data for the detection of atmospheric temperature trends. These fall into two categories: the uneven spatial distribution of the observations, and temporal discontinuities in station records.
The radiosonde network is predominantly a Northern Hemisphere, midlatitude land network. About half the stations are in the 30–60°N latitude band, and less than 20% are in the Southern Hemisphere (Oort and Liu, 1993). Moreover, the uneven distribution of stations is worse for stratospheric data than for lower tropospheric data, because low-latitude and Southern Hemisphere soundings have a higher probability of taking only one observation daily (other stations make two, and many formerly made four) and because the soundings more often terminate at lower altitudes (Oort and Liu, 1993). Estimates of layer-mean trends, and comparisons of trends at different levels, are less meaningful when data at the top of the layer are fewer than at the bottom.
For trend detection, the temporal homogeneity of the data is the key. As discussed by Parker (1985), Gaffen (1994), Finger et al. (1993), and Parker and Cox (1995), numerous changes in operational methods have led to discontinuities in the bias characteristics of upper-air temperature observations, which are particularly severe in the lower stratosphere (Gaffen, 1994). Because radiosondes are essentially expendable probes (although some are recovered and reconditioned), changing methods is much easier than, for example, in surface observations at fixed locations. Effects on data have been shown for changes in instrument manufacturer and replacement of old models with newer ones from the same
manufacturer (Parker, 1985; Gaffen, 1994), changes in time of observation (Elliott and Gaffen, 1991; Zhai and Eskridge, 1996), changes in the lag characteristics of the temperature sensors (Parker, 1985; Huovila and Tuominen, 1990), and even changes in the length of the suspension cord connecting the radiosonde balloon with the instrument package (Suzuki and Asahi, 1978; Gaffen, 1994) and in balloon type (Parker and Cox, 1995).
Daytime stratospheric temperature data in the early years of radiosonde operations were particularly affected by errors due to solar radiation, and substantial changes in both data correction methods (e.g., Scrase, 1956; Teweles and Finger, 1960) and instrument design have been made to address the problem. In general, the result has been a reduction in a high bias over time, leading to an artificial “cooling” in the data (Gaffen, 1994). The example in Figure 5-17, monthly-mean 100-hPa temperatures at Tahiti, shows that a 1976 change from one model of the French Mesural radiosonde to another, each with different temperature sensors, was associated with an artificial temperature drop of several degrees. Given estimated temperature trends on the order of tenths of a degree Kelvin per decade, such inhomogeneities introduce substantial uncertainty regarding the magnitude of the trends in the lower stratosphere. Furthermore, Luers (1990) has demonstrated that daytime radiosonde temperature errors can exceed 1 K at altitudes above 20 km (50 hPa) and that the magnitude of the error is a strong function of the temperature and radiative environment, which suggests that, as the atmosphere changes, so will the nature of the measurement errors.
A few investigators have attempted to adjust radiosonde temperature time series to account for “change-points,” or level shifts like the one illustrated in Figure 5-17. Miller et al. (1992), using data from 1970-1986, made adjustments to lower stratospheric data at four of 62 stations in Angell’s (1988) network on the basis of a statistical regression model that includes a level shift term. However, Gaffen (1994) concluded that, over a longer period, many more of the Angell stations showed data inhomogeneities. Parker et al. (1997) have made adjustments to temperature data from Australia and New Zealand for the period 1979-1995 by using MSU data as a reference time series, and station histories (Gaffen, 1994) to identify potential change-points. The adjustments (of earlier data relative to 1995 data) ranged from 0 to -3.3 K and reduced the estimated zonal-mean temperature change between the periods 1965-1974 and 1987-1996 at about 30°S (30 hPa) from -2.5 K/decade to about -1.25 K/decade (Parker et al., 1997).
**Figure 5-17.** Monthly-mean 100-hPa raw temperatures measured by radiosondes at Tahiti. Several instrument changes occurred during this data period, but the 1976 change from the Mesural FMO 1943B, with a bimetal temperature sensor, to the Mesural FMO 1944C, with a thermistor, had the most obvious effect on the time series. (Gaffen, 1996; see also Gaffen, 1994.)
184.108.40.206 Uncertainties Associated with Analyses of SSU Satellite Data
The stratospheric temperature analyses from NCEP's Climate Prediction Center (CPC) are an operational product, derived using a combination of satellite and radiosonde temperature measurements. Radiosonde data contribute to the analyses in the NH over the 70-10 hPa levels; satellite data alone are used in the tropics and SH, and over the entire globe above 10 hPa (Gelman et al., 1986; Section 5.2.1). The satellite temperature retrievals are from the TOVS instruments, which have been operational since late 1978. A series of TOVS instruments have been put into orbit aboard a succession of operational satellites; these instruments do not yield identical radiance measurements for a variety of reasons, and derived temperatures may change substantially when a new instrument is introduced (Nash and Forrester, 1986). Finger et al. (1993) have compared the operationally derived temperatures with co-located rocketsonde and lidar observations, and find systematic biases of order ±(3 to 6) K in the upper stratosphere (due primarily to the low vertical resolution of TOVS). These biases furthermore change with the introduction of new operational satellites, and Finger et al. (1993) provide a set of recommended corrections to the temperature data (dependent on the particular satellite instrument for each time period), which have been used by CPC.
In spite of the application of the adjustments recommended by Finger et al. (1993), time series of temperature anomalies from the CPC analyses still exhibit significant discontinuity near the times of satellite transitions. Figure 5-18 shows deseasonalized CPC temperature anomalies over the equator at 1 hPa, together with a time series of equatorial anomalies from the overlap-adjusted (i.e., accounting for the discontinuity in satellites) SSU Channel 27 data (whose weighting function peaks near 1.5 hPa; Figure 5-1). These time series show very different characteristics, with apparent discontinuity or "jumps" in the CPC data that are coincident with satellite changes. Two particularly large changes are seen in Figure 5-18 in mid-1984 and late 1988; the specific nature of these discontinuities depends on latitude and altitude. Overall, the presence of such discontinuities in the CPC data limits their reliability for robust estimates of upper stratospheric trends (as in, say, Figure 5-9) and is even problematic for the determination of interannual variability. The overlap-adjusted SSU data (see Figure 5-2) used in Figures 5-7, 5-9, and 5-12 do not exhibit such obvious problems.
220.127.116.11 Uncertainties in Satellite-Radiosonde Trend Intercomparisons
A distinct advantage of the satellite instruments over in situ ones is their globally extensive coverage. However, as already mentioned, this is tempered by the fact that the signals that they receive originate from a broad range of altitudes (Figure 5-1). This is in contrast to the specific altitudes of measurements in the case of the ground-based instruments located at specific sites. This feature of the satellite trends complicates the interpretation for any particular vertical region of the atmosphere and, more particularly, hampers a rigorous comparison with, say, the radiosonde trends (see Section 18.104.22.168). As an example, consider the problem of the lower stratospheric temperature trends. The MSU's Channel 4 senses the entire extent of the lower part of the stratosphere, and even the upper troposphere at low latitudes. This poses problems in the precise intercomparison of currently available satellite-based trends with those from ground-based instruments. In the tropics, approximately half of the signal originates from the upper troposphere, leading to a potential misinterpretation of the actual lower stratospheric temperature trend based on MSU data alone. This problem can become acute particularly if the tropical upper troposphere and lower stratosphere have temperature trends of opposite signs. A similar comment also applies to the comparison with the stratosphere trends from SSU measurements (Figure 5-1). Further, because of the areal coverage of the low latitudes, the global means from satellite data and those from the in situ instruments may be comparable only after appropriate adjustments are made for the differential sampling by the two kinds of instruments. Therefore, caution must be exercised in the interpretation of satellite-based trends vis-à-vis radiosonde and other ground-based instruments. Besides, satellite data interpretations also have to cope with problems involving temporal discontinuity, instrument calibration, and orbit drift.
22.214.171.124 Uncertainties Associated with Rocket Data
The rocket data are very useful because they were the only observations of the 30-80 km region before the lidars started operating. However, determining
determining trends. Yet another source of uncertainty is due to the different times of measurements, as the amplitude of tidal influence may not be negligible at these altitudes (±2 K around 40-45 km according to Gille et al. (1991) and Keckhut et al. (1996)). This may explain the small error limit in the Ryori Japanese measurements (Figure 5-11b), which are always conducted at the same local time. The factor related to the local measurement time was accounted for in the analysis of the U.S. rocket data by Keckhut et al. (1998). Because rocket data are available from only a few locations around the globe, there is a difficulty in ascertaining consistency of the trend and its significance when compared against zonal-mean satellite data.
126.96.36.199 Uncertainties Associated with the Lidar Record
Temperatures obtained from Rayleigh lidar are affected by the presence of aerosols. Thus, a measure of the atmospheric scattering ratio is required after major volcanic eruptions. Otherwise, the temperatures are given in absolute value as a function of altitude from 30 km upward, without any need of external calibration. An accuracy of 1% is easily attained, with a principal limit for ascertaining the significance of a trend being the length of the available dataset. Using the actual measurements at the Haute Provence site, France, it was found that the establishment of a significance in the trend at the 95% level in the upper stratosphere required 20.5 years of data for summer and 35 years for winter trends. More years are required for the wintertime owing to the increased variability present in that season (Keckhut et al., 1995). Of course, the length of a period needed to establish statistical significance also depends on the amplitude of the signal. Compared to rocket data, which are made at a specific time (even though it may not be the same local time for different sites), the lidar data can be made at any time during the night. This could constitute a potential source of uncertainty owing to tidal effects and may explain, in part, the large error limits observed in Figure 5-8. This could be improved by selecting data corresponding to the same local time.
5.2.6 Issues Concerning Variability
188.8.131.52 Volcanic Aerosol Influences
A number of factors influence temperature trends in the stratosphere. Among the most significant as a
short-term phenomenon is the large build-up of stratospheric aerosols following volcanic eruptions (see Chapter 3). The SAGE extinction data and other satellite data (e.g., McCormick et al., 1995) reveal a notable increase in stratospheric aerosol concentrations for 1-2 years following volcanic eruptions. Over the past two decades, such transient enhancements have come about due to volcanic eruptions of different intensities. Data from earlier ground-based observations reveal other episodes of volcanic loading of the stratosphere dating back to the 1960s. It is well understood that aerosols injected into the lower stratosphere by major volcanic eruptions result in a warming of this region of the atmosphere owing to enhanced absorption of solar radiation and the upwelling terrestrial infrared radiation (Pollack and Ackerman, 1983; WMO, 1990a; Labitzke and McCormick, 1992).
Three volcanoes stand out in particular since the 1960s, the period when widespread and routine radiosonde observations began. The three volcanoes of particular importance for climate variations have been Agung (Bali, Indonesia, 1963), El Chichón (Mexico, 1982), and Mt. Pinatubo (Philippines, 1991). In each one of these three cases, well-documented instrumental records indicate that the temperatures increased and stayed elevated until the aerosol concentrations were depleted completely (WMO, 1990a, 1995). All three eruptions produced somewhat similar warming characteristics (Angell, 1993), viz., a warming of the lower stratosphere (~15-25 km) centered in the tropics (~30°N-30°S), with a magnitude of 1-2 K (up to 3 K for Mt. Pinatubo). The warming diminishes in time, but anomalies are observed for approximately 2 years following each eruption (Figures 5-2 (SSU 15X) and 5-3). Because the volcanic effects are episodic and clearly identifiable, their direct effect on calculation of trends is minimal (the volcanic time periods simply need to be omitted prior to trend calculation), except as they possibly overlap with other potentially causal phenomena such as the solar cycle.
The magnitude and evolution of the transient warming agree reasonably well between the radiosonde and satellite datasets (Labitzke and McCormick, 1992; Christy and Drouilhet, 1994; Randel and Cobb, 1994; Figure 5-3). Relative to the analyses in WMO (1995), the temperature of the global-mean lower stratosphere has become progressively colder in both the satellite and radiosonde time series (Figures 5-2 (bottom panel) and 5-3).
In the upper stratosphere and mesospheric regions, an indirect effect could be expected from the change of circulation and/or the upwelling flux arising from the lower stratospheric heating. Such an indirect effect appears to have been observed after the Mt. Pinatubo eruption in the OHP lidar data. A cooling of 1.5 K in the upper stratosphere and a warming of 5 K at 60-80 km were detected (Keckhut et al., 1995). Thus, a trend analysis for these regions also requires the omission or correction of post-volcanic eruption data (e.g., such a correction was applied to the data plotted in Figure 5-8 by adding a term proportional to the aerosol optical thickness in the analysis technique).
184.108.40.206 Solar Cycle
The 11-year modulation of the ultraviolet (UV) solar flux, which is now well documented, is expected to, through photochemistry, influence stratospheric ozone and therefore stratospheric temperature. A number of investigators have attempted to identify a signature of the 11-year solar cycle in the temperature dataset. The solar proxy used in most studies is the 10.7-cm radio flux, which spans the longest period, even though more realistic proxies would be the He I line, Mg II line, or UV irradiance. However, several analyses using these different proxies justify the choice of the 10.7-cm flux (Donnelly et al., 1986; Keckhut et al., 1995).
Satellite data provide a global view of the signature due to solar variations, but the time series is relatively short. The overlap-adjusted SSU and MSU datasets (spanning 1979-1995) exhibit a coherent temperature variation approximately in phase with the solar cycle. Figure 5-19 shows the vertical-latitudinal structure of the solar signal (derived via regression onto the 10.7-cm solar flux time series) using the overlap-adjusted MSU and SSU data. Even though the dataset is limited to 17 years, this shows a statistically significant solar component of order 0.5-1 K throughout most of the low-latitude (30°N-30°S) stratosphere, with a maximum near 40 km. The spatial patterns show maxima in the tropics, with an approximate symmetry about the equator. A small solar response is observed in these data at the high latitudes. The 0.5-1 K solar signal seen in the Nash data is in reasonable agreement with results from the longer records of radiosondes/rocketsondes discussed below. At northern midlatitudes, the satellite-derived signature, which is not statistically significant, goes from slightly positive at ~17 km to slightly negative at ~25 km, with a
null value at 45-50 km. This is similar to the OHP lidar record (Keckhut et al., 1995) and to the Volgograd rocket record (Kokin et al., 1990). At high latitudes, although the satellite data uncertainty is large, there is a hint of a large positive response in the mesosphere, as is observed in the Heiss Island rocket data (Kokin et al., 1990).
The longest time series are provided by radiosondes and rockets; even then, they barely cover at best four solar cycles. There is, thus, in general, some difficulty in establishing a firm relationship with the 11-year solar cycle. Labitzke and van Loon (1989) and van Loon and Labitzke (1990) use the Berlin meteorological analyses, beginning in 1964 and spanning the NH lower stratosphere, to isolate coherent temperature cycles in the subtropics in phase with the solar cycle. Labitzke and van Loon (1997) update their previous analysis and find a correlation of 0.7 with the 30-hPa geopotential height (which can be taken to imply a similar correlation with layer-mean temperature below this level). The maximum correlation occurs over the west Pacific near China. Using the NCEP reanalyzed global dataset, van Loon and Labitzke (1998) show a similar solar signal manifest in the Southern Hemisphere, with higher correlations in the tropical regions.
Angell (1991b) has used radiosonde and rocketsonde data to deduce tropical and NH midlatitude solar cycle variations of approximately 0.4 and 0.8 K in the lower and upper stratosphere, respectively (changes per 100 units of 10.7-cm solar flux, or approximately solar maximum minus solar minimum values). Dunkerton and Baldwin (1992) isolate a weak solar cycle in CPC temperatures in the NH winter lower stratosphere, using data from 1964-1991 (these analyses are based primarily on radiosonde data). Isolation of a solar cycle signal in CPC upper stratospheric temperature data beginning in 1979 is somewhat problematic, due to the spurious discontinuities introduced by satellite changes (see Figure 5-18; Section 220.127.116.11). This suggests that the solar cycle variations derived from these data (e.g., Kodera and Yamazaki, 1990; Hood et al., 1993) should be treated with caution.
In their rocket data analysis, Dunkerton et al. (1998) found a 1.1-K response to the solar cycle for the integrated altitude range of 29-55 km (Figure 5-20). Kokin et al. (1990), Angell (1991b), and Mohanakumar (1995), using rocket data, and Keckhut et al. (1995), using lidar data, infer a clear solar signature in the mesosphere of +4 to 10 K per 100 units of 10.7-cm flux.
**Figure 5-19.** Latitude-altitude structure of the solar cycle signal in the satellite temperature (K) dataset, derived from regression analyses. Shaded areas show 95% confidence intervals for the regression estimates. (Figure assembled for this chapter in cooperation with the SPARC-Stratospheric Temperature Trends Assessment project.)
On the other hand, the results obtained in the upper stratosphere and around the stratopause are different in both amplitude and sign for the different sites, and are also variable with season.
From the records, it thus appears that the solar cycle signature in stratospheric temperatures need not be uniform and identical all over the globe and at all altitudes. This has been manifest in Labitzke and van Loon (1997) on the horizontal scale, as well as on the vertical scale in Chanin and Keckhut (1991) and may be attributable to the role of planetary waves. An additional point to note is that the solar-induced temperature changes need not occur at the same latitudes as any changes in ozone.
In the lower stratosphere, the effect of solar variations is found to have a relatively small effect on trend calculations for time series longer than 15 years such as those analyzed here. Regression estimates of trends neglecting a solar cycle term change by only ~10% (this sensitivity was determined by testing several of the time series analyzed here). Elsewhere in the stratosphere, the amplitude of the solar cycle signature has the potential to introduce a bias in trend estimates (especially if the number of cycles involved in the time series is small). The determination of the amplitude and structure of the
solar cycle effect may be disturbed in the two recent cycles by the presence of two major volcanic eruptions spaced about 9 years apart, which is not different enough from 11 years, and so has the potential to be confused with the solar cycle.
18.104.22.168 QBO TEMPERATURE VARIATIONS
Interannual variability of zonal winds and temperature in the tropical stratosphere is dominated by an approximate 2-year periodicity: the quasi-biennial oscillation (QBO). The QBO is most often characterized by downward-propagating zonal wind reversals in the tropics (e.g., Naujokat, 1986; Reid, 1994), but the QBO is also prevalent in tropical temperatures (which are in thermal wind balance with the zonal winds). Aspects of the QBO in global stratospheric temperatures have been derived from radiosonde observations (Dunkerton and Delisi, 1985; Labitzke and van Loon, 1988; Angell, 1997) and satellite-derived datasets (Lait et al., 1989; Randel and Cobb, 1994; Christy and Drouilhet, 1994). Randel et al. (1998) have used UKMO assimilated wind and temperature fields (Swinbank and O’Neill, 1994), together with overlap-adjusted SSU data, to isolate global patterns of the QBO. The results of these studies produce the following picture of the QBO in temperature:
1) Tropical QBO temperature anomalies maximize in the lower stratosphere (~20-27 km) over 10°N-10°S, with an amplitude of ±(2 to 4) K. There is a secondary maximum in the tropical upper stratosphere (~35-45 km) of similar magnitude, approximately out of phase with the lower stratosphere maxima. The structure in temperature is qualitatively similar to the two-cell structure observed in ozone (see Section 4.3 of Chapter 4 of this report).
2) There is a substantial midlatitude component of the QBO in temperature, maximizing over ~20-50° latitude and approximately out of phase with the tropical anomalies. The midlatitude patterns also exhibit maxima in the lower and upper stratosphere, which are vertically out of phase. An intriguing aspect of the midlatitude QBO is that it is seasonally synchronized, occurring only during winter-spring of the respective hemispheres; this produces a highly asymmetric temperature pattern at any given time.
3) There is also evidence for a coupling of the QBO with the lower stratosphere polar vortex in late winter-spring of each hemisphere (Holton and Tan, 1980, 1982; Lait et al., 1989). The polar QBO temperatures are out of phase with those in the tropics. Observational evidence for the polar QBO is less statistically significant than that in the tropics or midlatitudes, at least partly because of the high level of “natural” interannual variability in polar vortex structure. Evidence of a quasi-biennial modulation of the Southern Hemisphere stratospheric polar vortex has been presented by Baldwin and
An interesting question arising from recent studies (Salby et al., 1997; Baldwin and Dunkerton, 1998a) is whether the interactions between the QBO and a so-called biennial oscillation could be a factor in the observed signature of the solar cycle.
Because the available satellite and radiosonde data records span many observed QBO cycles, it is possible to empirically model and isolate QBO variations in temperature with a good degree of confidence. The QBO has little effect on calculated trends, although trend significance levels are increased by accurate characterization of QBO variability.
### 22.214.171.124 Planetary Wave Effects
The trend, solar cycle, volcanic, and QBO variations account for the majority of observed interannual temperature variability in the tropics and low latitudes. Over middle and high latitudes there is a substantial amount of residual interannual variance, particularly during winter (e.g., Dunkerton and Baldwin, 1992). This additional variance is due to “natural” meteorological fluctuations, in particular the presence or absence of stratospheric warming (or planetary wave) events during a particular month (a large wave event corresponds to a warm month, and vice versa). This relatively high level of natural variability of the polar vortex means that somewhat larger natural or anthropogenic signals (e.g., trends due to changes in radiative species, or solar or QBO variations) are required for statistical significance.
### 126.96.36.199 El Niño-Southern Oscillation (ENSO)
El Niño events are known to have a major impact on lower stratospheric temperature anomalies in the tropics, with a warming of the sea surface temperature (SST) and the increase in moist convection being accompanied by a cooling of the lower stratosphere (Pan and Oort, 1983; Reid, 1994). This inverse relationship between tropical surface and lower stratosphere temperatures is also manifest in the long-term record (Sun and Oort, 1995). Because tropical SSTs are known to have been increasing in recent decades (e.g., Graham, 1995), this suggests a potential contribution toward a tropical lower stratospheric cooling trend. It remains to be determined how the secular trends in the upper troposphere and lower stratosphere are quantitatively related to SST variations and trends, both in the tropics and extratropics.
### 5.2.7 Changes in Tropopause Height
Temperature changes in the upper troposphere and lower stratosphere may induce a change in the tropopause height, which may complicate the determination of temperature trends in the tropopause region. This was first suggested by Fortuin and Kelder (1996) in the context of radiative cooling caused by the trends in ozone and other greenhouse gases. To date, most models would be unable to represent such changes, as they are much smaller than the typical vertical spacing in models. Therefore, inferences have to rely entirely on the review of the available observations. Several results obtained at northern midlatitudes provide some indication of such changes, even though there is a lack of agreement on the amplitude of the effect.
An increase of the tropopause height by $150 \pm 70$ m (2-sigma) has been found at Hohenpeissenberg over the last 30 years (Steinbrecht et al., 1998). This increase is correlated with the decrease in the ozone mixing ratio in the lower stratosphere and with a tropospheric warming at 5 km of $0.7 \pm 0.3$ K/decade (2-sigma) since 1967 (Figure 5-21). Bojkov and Fioletov (1997) indicate that the tropopause over Central Europe has increased by about 300 m over the last 20 years. For the tropics, Reid (G. Reid, NOAA, U.S., personal communication, 1998) has carried out a preliminary analysis of data from Truk ($7.5^\circ N$, $151.8^\circ E$) for the period 1965-1994 and has found no detectable change in the temperature but a significant change in height, consistent with a warming of the troposphere (7.7 m/yr, or 230 m in 30 years). These results have yet to be extended to include other stations and have not yet accounted for ENSO and volcanic influences. On a global scale, Hoinka (1998a) has made a study of the tropopause surfaces based on European Centre for Medium-Range Weather Forecasts (ECMWF) reanalyses data, but for a shorter time period. His results indicate that the sign of the trend could vary depending on the latitude and longitude. A more recent work (Hoinka, 1998b) analyzes the trends for tropopause height, potential temperature, and water vapor mixing ratio. Clearly, this subject warrants more scrutiny on all spatial scales in order to quantify more rigorously the increase in the height of the tropopause, particularly over the past decade.
Figure 5-21. Change in tropopause height compared with the change in the 5-km temperature at Hohenpeissenberg. The 5-km temperature (dark line) shows a trend of 0.7 K/decade while the tropopause height (grey line) shows a trend of 150 m/decade (Steinbrecht et al., 1998).
5.3 MODEL SIMULATIONS
5.3.1 Background
In this section, we discuss results from model investigations that have analyzed the effects of various natural and anthropogenic factors, notably changes in trace species, upon stratospheric temperature trends and variations. We focus in particular on the changes in the lower stratospheric region and also discuss the vertical profile of the modeled trends from the lower to upper stratosphere. Where possible and relevant, available model results are compared with observations.
Numerical models based on fundamental understanding of radiative, dynamical, and chemical processes constitute essential tools for understanding the effects of specific mechanisms on temperature trends and variability in the stratosphere, and for interpreting observed temperature changes in terms of specific mechanisms. The numerical models used thus far have attempted to include, to varying degrees, the relevant components of the climate system that could influence stratospheric temperatures. These include interactions among radiative, chemical, and dynamical processes. The models also attempt to capture the important links between the stratosphere, troposphere, and mesosphere.
It is well recognized that the global, annual-mean thermal profile in the stratosphere represents a balance between solar radiative heating and longwave radiative cooling, involving mainly ozone, carbon dioxide, water vapor, methane, nitrous oxide, halocarbons, and aerosols (see Chapter 9 of Goody and Yung (1989) and references therein). In the context of the general global stratosphere, dynamical effects also become a factor in determining the thermal profile. Since the late 1950s, with increasing knowledge of trace species’ concentration changes and their optical properties, numerical models have played a significant role in highlighting the potential roles of various constituents and the different mechanisms operating in the stratosphere. For example, WMO (1986, 1990a) concluded that changes in the concentrations of trace gases and aerosols could substantially perturb the radiative balance of the contemporary stratosphere and thereby affect its thermal state.
Early numerical models were developed as one-dimensional ones on the basis that the global, annual-mean stratosphere is in radiative equilibrium. Together with the assumption of a radiative-convective
equilibrium in the troposphere, this led to the so-called one-dimensional radiative-convective models (1-D RCMs), which have been widely employed to study effects due to trace-gas perturbations (WMO, 1986). The radiative-convective models represent the atmosphere as a single global-mean vertical column (Manabe and Wetherald, 1967; Ramanathan, 1981). The temperatures at the surface and in the troposphere are determined both by radiation and by some representation of the processes that determine the vertical advection of heat by the fluid motions (normally via a convection scheme). In the stratosphere, the thermal state determined is a balance between absorbed solar radiation, and absorbed and emitted thermal infrared radiation. Radiative-convective models can also include chemical processes to represent feedbacks between temperature and chemical constituents (e.g., Brühl and Crutzen, 1988).
A variation of the RCMs is the so-called Fixed Dynamical Heating (FDH) model (Fels and Kaplan, 1975; Ramanathan and Dickinson, 1979; Fels et al., 1980). The contemporary FDH models (e.g., WMO, 1992) hold the tropospheric temperature, humidity, and cloud fields fixed and allow for changes in the stratospheric temperature in response to changes in radiatively active species. It is assumed that, in the unperturbed state, the radiative heating is exactly balanced by the dynamical heating at each height. If the concentration of a radiatively active constituent is altered, then the radiative heating field is altered. It is assumed that the dynamical heating remains unchanged and that the temperature field adjusts in response to the perturbation. In turn, this alters the radiative heating field such that it again exactly balances the dynamical field. The time scale for adjustment to a specific perturbation typically varies on the order of a few months in the lower stratosphere to a few days in the upper stratosphere.
The application of the RCM and FDH model concepts for understanding stratospheric temperature changes has evolved with time (see WMO, 1990b, 1992, 1995). Both types of models have been extensively used for gaining perspectives into the thermal effects due to the observed and projected changes in radiatively active trace gases. These simple models, though, have important limitations. In particular, the FDH models can only predict temperature changes at any location due to constituent changes occurring there; i.e., the response is entirely localized within that particular stratospheric column. As will be seen in Section 188.8.131.52, changes in the circulation as a consequence of a radiative perturbation at any latitude can influence temperature changes at other latitudes. Hence, it should not be expected that FDH or FDH-like models can realistically simulate features such as the latitudinal and monthly variation of trends. Nonetheless, these simple models remain useful in revealing reasonable, first-order solutions of the problem.
There has been a steady progression from the simple RCMs and FDH models to the three-dimensional (3-D) general circulation model (GCM; see WMO (1986) for an early discussion of models used for studying the stratosphere), which seeks to represent the radiative-dynamical (and even chemical in some instances) interactions in their entirety. Such models have representations of radiative processes that may be less complete and accurate than in the 1-D models, but provide the best means of mimicking the physical processes in the real atmosphere. It may be noted that one useful aspect of the FDH simulations is that their comparison vis-à-vis a GCM simulation enables a quantitative distinction to be made between the radiative and radiative-dynamical responses of the stratosphere to a specific perturbation.
### 5.3.2 Well-Mixed Greenhouse Gases
While increases in well-mixed greenhouse gases (carbon dioxide ($\text{CO}_2$), methane ($\text{CH}_4$), nitrous oxide ($\text{N}_2\text{O}$), halocarbons) warm the Earth surface, their effects on the lower stratospheric temperature vary, primarily because of the location of the absorption bands of each of the species and the radiative characteristics of the atmosphere in those bands. The essential radiative processes are that, first, an increase in greenhouse gas concentration enhances the thermal infrared emissivity of a layer in the stratosphere; hence, if the radiation absorbed by this layer remains fixed and other factors remain the same, then, to achieve equilibrium, the same amount of energy has to be emitted at a lower temperature and the layer cools. Second, an increase in emissivity due to increased concentration also implies an increase in the thermal infrared absorptivity; a larger amount of the radiation emitted by the troposphere will be absorbed in the stratosphere, leading to a warming tendency. Note that the upwelling/downwelling radiation reaching the lower stratosphere is itself dependent on the infrared opacity and the thermal state of the troposphere/middle-and-upper stratosphere. The net result is a balance
involving these processes (Ramanathan et al., 1985; Ramaswamy and Bowen, 1994; Pinnock et al., 1995).
For carbon dioxide, the main 15-\(\mu\)m band is saturated over quite short distances. Hence the upwelling radiation reaching the lower stratosphere originates from the cold upper troposphere. When the CO\(_2\) concentration is increased, the increase in absorbed radiation is quite small and the effect of the increased emission dominates, leading to a cooling at all heights in the stratosphere. For gases such as the chlorofluorocarbons (CFCs), their absorption bands are generally in the 8–13 \(\mu\)m “atmospheric window” (WMO, 1986); hence much of the upwelling radiation is originating from the warm lower troposphere. In this case the increase in the absorbed energy is generally greater than the increase in emitted energy and a warming of the lower stratosphere results (although there are exceptions to this case if the halocarbon absorption is in a region of already large atmospheric absorption; see Pinnock et al., 1995). Methane and nitrous oxide are midway between these two regimes, so that an increase in concentration has little effect on the lower stratospheric temperature because the increased absorption and increased emission almost balance. In the upper stratosphere, increases in all well-mixed gases lead to a cooling because the increased emission effect becomes greater than that due to the increased absorption.
One significant consequence of this differing behavior concerns the common use of “equivalent CO\(_2\)” in climate simulations. Equivalent CO\(_2\) is the amount of CO\(_2\) used in a model calculation that results in the same radiative forcing of the surface-troposphere system as a mixture of greenhouse gases (see, e.g., IPCC, 1995). Although the equivalence concept works reasonably well for tropospheric climate change (IPCC, 1995), it does not work well for stratospheric temperature changes because increases in different greenhouse gases cause different stratospheric temperature responses, thus requiring the consideration of each gas explicitly. In fact, some trace gases warm, not cool like CO\(_2\), the lower stratospheric region near the tropopause (WMO, 1986). Even if all gases were to cause an effect of the same sign in the stratosphere, an equivalence with respect to CO\(_2\) that holds for the troposphere need not be true for the stratosphere. In general, the use of an equivalent CO\(_2\) concentration, such as used for estimating tropospheric climate change, overestimates the actual stratospheric cooling by the non-CO\(_2\) well-mixed greenhouse gases. For realistic mixtures of greenhouse gases, the stratospheric cooling is found to be about half of that obtained using equivalent CO\(_2\) (Wang et al., 1991; Shine, 1993).
The mechanism by which temperatures change in the stratosphere as a result of constituent changes is twofold. First, the change in the constituent leads to a change in the radiative heating field, even if all other conditions are kept fixed. Second, in considering the response of the climate system, the time scale for the adjustment of stratospheric temperatures is less than about 100 days, which is much faster than the decadal (or multi-decadal) time-scale response of surface and lower tropospheric temperatures. This “fast” process of stratospheric temperature change is then modified as the troposphere comes into a new equilibrium with the forcing. Thus, for example, an increase in CO\(_2\) leads to an initial cooling of the stratosphere. As the surface and troposphere warm up due to CO\(_2\) increase, the increased emission from the surface-troposphere system contributes a warming tendency in the lower stratosphere. Forster et al. (1997) have shown that this process leads to a significant reduction of the initial cooling in the very lower stratosphere for CO\(_2\); in the case of CFCs, it leads to a significant heating. When increases in all the well-mixed gases over the last century are considered in a 1-D RCM, the overall result for the lower stratosphere is one of an initial radiative cooling, arising due to increase in tropospheric opacity, which reduces the upwelling longwave flux reaching the stratosphere and its absorption there. There is also an increased emission from the stratosphere. The equilibrium result is a decrease in lower stratospheric temperatures, with an increased flux divergence of the downward longwave beam in the now colder lower stratosphere balancing the increase in the flux convergence of the upward beam due to tropospheric warming (Ramaswamy and Bowen, 1994). Thus, the actual temperature change in the lower stratosphere depends on the degree to which the surface-troposphere system equilibrates to the changes in the radiative constituents.
GCMs have been used to determine the changes in stratospheric climate due to changes in the well-mixed greenhouse gases. Fels et al. (1980) obtained a cooling of ~10 K at 50 km for a doubling of CO\(_2\). This study also found that FDH results for CO\(_2\) doubling agreed reasonably well with the GCM simulations. Subsequently, other GCM experiments of a similar nature (e.g., Wang et al., 1991; Rind et al., 1990) also obtain a substantial cooling of the stratosphere. However, the
degree of cooling, especially in the polar stratospheres, is model dependent because of differences in the manner in which physical processes are parameterized in the models (Mahlman, 1992; Shindell et al., 1998). GCMs that are used to determine changes in surface and tropospheric climates also simulate the stratospheric changes (e.g., those discussed in Chapter 8 of IPCC, 1996). However, several such models have a coarse vertical resolution in the stratosphere, which inhibits performing a reliable trends assessment using their results at those altitudes. Nonetheless, all models predict a general cooling of the stratosphere due to CO$_2$ increases. WMO (1990a) estimated a cooling of 0.2-0.3 K at 2 hPa and 0.15 K at 10 hPa between 1979/80 and 1985/86 due to CO$_2$ increases alone.
A number of 1-D radiative-photochemical model predictions of the cooling due to increased concentrations of greenhouse gases (CO$_2$, N$_2$O, CH$_4$, and the CFCs) were reviewed in WMO (1990a). These models included the effects of the temperature changes caused by increases in the well-mixed greenhouse gases upon the ozone concentrations. Our understanding of the chemistry at that time was such that the important feedbacks were deemed to occur in the upper stratosphere. Briefly, the features of these calculations were that peak coolings were estimated to occur between 40 and 50 km. Simulations for the period since 1960 indicated that the mean cooling rate was about 1.5 K/decade, for the period since 1940 it was about 1 K/decade, and for the period from 1850 it was about 0.4 K/decade. There was more spread in model results at 24 km, ranging from almost zero to -0.3 K/decade for the period since 1960.
Both 1-D RCMs (e.g., Ramanathan et al., 1985) and 3-D GCMs (e.g., Wang et al., 1991) indicate that the presence of the well-mixed non-CO$_2$ trace gases can be expected to yield a slight warming of the lower stratosphere. Ramaswamy et al. (1996) have compared the 50-100 hPa temperature change for different time periods for CO$_2$ alone, and for a realistic mixture of gases (Figure 5-22) using a 1-D RCM. For the period 1765-1990, the temperature change due to all gases is less than 50% of the effect due to CO$_2$ alone. For more recent periods, e.g., since ~1960, when the relative importance of other gases, and in particular that of the CFCs, has grown (Ramanathan et al., 1985), the temperature change due to all well-mixed greenhouse gases is not only less than that due to CO$_2$ alone, but becomes quite small in absolute value. The overall cooling effect in the lower stratosphere due to increases in the well-mixed greenhouse gases is to be contrasted with their warming effect on the surface.
The vertical profile of the computed temperature change in the stratosphere due to recent changes in the well-mixed gases is discussed in WMO (1992; see Figure 7-7 of that report). There is a general increase of the cooling with height. This is further exemplified by Forster and Shine (1997), who show that the FDH-computed increases in the well-mixed greenhouse gases over the decade of the 1980s would yield an increasing cooling with height at 40°N (~0.7 K/decade at 35 km; Figure 5-23). The FDH model of Ramaswamy et al. (1992) considered the well-mixed greenhouse gas increases over the 1979-1990 period. The model calculations yield an annual-mean cooling that increases with height between ~20 and 50 km and is fairly uniform throughout the globe (Figure 5-24), with a peak cooling of ~1 K/decade occurring in the tropics at ~50 km. This figure also illustrates that the combined effect of the well-mixed greenhouse gases is a slight but characteristic warming near the tropopause at low latitudes.
**Figure 5-22.** Computed global- and annual-mean temperature changes in the ~50-100 hPa (~16-21 km) lower stratospheric region. The result for the ozone depletion corresponds to the 1979 to 1990 losses and is computed using a GCM. The results for CO$_2$ alone, and for all the well-mixed greenhouse gases together (viz., CO$_2$, CH$_4$, N$_2$O, and CFCs) are computed using a 1-D RCM for three different periods. (Reprinted by permission from *Nature* (Ramaswamy et al., *Nature*, 382, 616-618, 1996) Copyright (1996) Macmillan Magazines Ltd.)
5.3.3 Stratospheric Ozone
184.108.40.206 Lower Stratosphere
Over the past decade or so, much of the work on stratospheric temperature trends has focused on the effects due to lower stratospheric ozone change, following the realization of the large ozone loss trends in this region, as well as the accumulating evidence for substantial temperature changes in this region (WMO, 1990b, 1992, 1995). In particular, the large Antarctic springtime ozone losses were the first to be examined for their potential temperature effects. Subsequently, investigations have been extended to examine the changes initiated by ozone depletion in the global lower stratosphere.
As a general demonstration of the sensitivity of the global lower stratosphere to changes in ozone, Figure 5-25 shows the change in lower stratospheric and tropospheric temperatures when the entire ozone in the 70-250 hPa region is removed. Temperature decreases of up to about 4 K are obtained. Note that the region in the vicinity of the tropopause is most substantially affected, consistent with the known radiative sensitivity and large radiative damping time of this region (Fels, 1982; Kiehl and Solomon, 1986). A warming is seen above the cooling, which is in part due to more upwelling thermal infrared radiation reaching this region in the absence of ozone in the 70-250 hPa layer, and in part due to dynamical changes; these will be elaborated upon later in this section.
With regard to actual decadal trends, Miller et al. (1992) estimated a cooling of the lower stratosphere by about 0.3 K/decade over the 1970-1986 period, based on radiosonde observations. By performing a calculation of temperature changes using observed ozone trends, they inferred a substantial role due to ozone losses in the observed temperature trend. Because ozone changes vary greatly with latitude, there is a need to proceed beyond global means and perform model calculations that resolve the latitudinal variations. Locally, the stratosphere is not in radiative equilibrium, and the temperature is determined by both radiative and dynamical processes. However, by considering the stratosphere to be in a local radiative-dynamical equilibrium, with the dynamical heating rates fixed over some specific time scale (e.g., season), the FDH concept in effect has been extended to derive the local columnar temperature changes. Shine (1986) demonstrated that a large cooling would occur in...
the Antarctic winter/spring lower stratosphere owing to the ozone hole.
McCormack and Hood (1994) presented the first attempt to match the observed seasonal and latitudinal variation of lower stratospheric temperature with that predicted by an FDH model using imposed ozone changes based on observations. The resemblance between the size and pattern of the model temperature changes (with peak changes in the winter/spring of northern midlatitudes and spring of southern high latitudes) and MSU satellite observations (Randel and Cobb, 1994) was found to be encouraging. As discussed below, this work has been taken further by using GCMs, which strengthens the model-observation comparisons.
One particular item of interest in the case of FDH calculations (e.g., McCormack and Hood, 1994) is that the peak cooling in the Antarctic springtime tends to occur about one month earlier than in the observations. This occurs because the standard FDH approximation does not account for the time period during which the perturbation in the constituent (in this case ozone) persists. In the Antarctic springtime, typical radiative time scales are in excess of a month and yet the time scale of the most marked ozone change is only one month. Hence, the atmosphere does not have time to fully equilibrate to the ozone-induced radiative perturbation (Shine, 1986). The standard FDH approximation does not account for this and assumes that the temperature adjustment occurs essentially instantaneously. Figure 5-26, from Forster et al. (1997), shows the temperature change at $80^\circ$S and 18.5 km using seasonally varying ozone changes in the context of the standard FDH approach, and a modified FDH approach (termed the Seasonally Evolving FDH (SEFDH)) that accounts for the time scale of the perturbation. The SEFDH result is obtained by time-marching the radiation calculations through the seasons. As can be seen, the maximum cooling in the FDH occurs earlier in the austral spring and is significantly larger than the SEFDH-derived maximum cooling. Also notable is that the FDH model does not retain a “memory” of perturbations at other times of year. An ozone loss only in October would have no effect on temperatures at other times of year. The SEFDH model does retain a memory of the radiative perturbations, and the increased cooling that persists from late spring to late summer in the SEFDH calculations is because the model temperatures have not yet recovered from the large loss of ozone in the springtime.
Early GCM works investigating the effects of ozone depletion did so assuming uniform stratospheric ozone losses, with a view toward diagnosing in a simple manner the radiative-dynamical response of the stratosphere (e.g., Fels et al., 1980; Kiehl and Boville, 1988). Although the depletion profiles employed did not quite represent those observed subsequently in the lower stratosphere, these studies have provided insights on the mechanism of the stratospheric response to ozone changes there. Recently, Christiansen et al. (1997) have further examined the nature of the stratospheric response to different types of idealized ozone perturbations.
With the steady build-up of knowledge since the early to middle 1980s about the spatial and temporal distribution of ozone losses in the lower stratosphere, GCM experiments of two types have been carried out to determine the resulting temperature changes in the stratosphere. One type of investigation concerns attempts to simulate the interactive radiative-chemistry-dynamical changes due to ozone losses in the Antarctic polar region during springtime; e.g., Cariolle et al. (1990) and Prather et al. (1990) found a substantial lower stratospheric cooling during the duration of the ozone hole. Mahlman
et al. (1994) found a statistically significant cooling in the Antarctic spring due to the ozone loss. They also found a significant warming of the altitude region above the altitudes of ozone loss, consistent with the observations (Randel, 1988; Figures 5-15 and 5-16). Recent studies have extended the interactive simulations to the Arctic region as well. Austin et al. (1992) concluded from their investigation that the stratosphere can be expected to be cooler owing to both long-term CO$_2$ increases and ozone decreases, which raises the possibility in the future of Arctic “ozone holes” and a strong positive feedback effect involving ozone depletion and lower stratospheric cooling. Shindell et al. (1998) have also examined the effects of increased well-mixed greenhouse gases and ozone changes upon the global stratospheric temperatures over the next few decades (see Chapter 12). Their results reiterate the sensitivity of the polar springtime temperatures to greenhouse gas increases and the feedback effect caused by ozone losses, with the actual magnitudes subject to details of model representations of various physical processes.
Another type of GCM investigation has consisted of imposing the observed ozone losses and then determining the GCM response, without any considerations of the chemical and dynamical processes affecting ozone distributions. Again, early studies began with investigations of the Antarctic springtime lower stratosphere owing to the large observed losses there. A substantial lead-in to the 3-D aspects was provided by the 2-D study of Chipperfield and Pyle (1988). They found a large cooling (>9 K) at ~70 hPa during October, just like the earlier FDH result (Shine, 1986). In addition, they found a warming (up to ~6 K) in the upper stratosphere. The GCM simulation of Kiehl et al. (1988) yielded a large cooling (~5 K) by the end of October, which further substantiated the FDH inference. This GCM study also found a warming in the upper stratosphere (up to ~4 K at 10 hPa).
Employing the observed global lower stratospheric ozone depletion, Hansen et al. (1995) demonstrate a good agreement in the magnitude of the GCM-simulated cooling of the global, annual-mean lower stratosphere with the observed MSU satellite and radiosonde temperature trends (Figure 5-27). This study, along with others, also indicates that the cooling due to ozone loss overwhelms the temperature change resulting from changes in concentration of the well-mixed greenhouse gases in the 50–100 hPa (~16–21 km) region (see Figures 5-22, 5-23, and 5-27).
The differences between FDH and GCM simulations of the effects of ozone losses have been investigated by Fels et al. (1980) and Kiehl and Boville (1988) using idealized stratospheric ozone perturbations. For annual-mean model simulations, Fels et al. (1980) concluded that the FDH response to uniform percentage reductions tended to be comparable to the GCM solutions, except at the tropical tropopause and tropical mesosphere. For “perpetual January” simulations, Kiehl and Boville (1988) found that the uniform reduction experiments were not well represented by the FDH
calculations. However, more realistic ozone scenarios in which the losses increase from equator to the poles yielded FDH results comparable to the GCM. This point is substantiated by the “perpetual January” simulations of Christiansen et al. (1997), who performed uniform ozone reduction and large lower stratospheric depletion experiments. The main dynamical effect in their perturbation experiments was a weakening of the diabatic meridional circulation accompanied by a latitudinal smoothing of the temperature response.
The satellite-observed global lower stratospheric ozone losses over the ~1979-1991 period (i.e., just prior to the Mt. Pinatubo volcanic eruption) can be used to obtain a comparison of the resulting radiative and radiative-dynamical solutions for the stratospheric temperature changes. This is illustrated here by comparing the results of the FDH and GCM simulations performed, respectively, by Ramaswamy et al. (1992) and (1996) using an identical model framework (Figure 5-28). This comparison enables a delineation of the role of dynamical influences on the temperature changes caused by the observed ozone depletion. The GCM result, like the FDH, indicates a cooling of the lower stratosphere, but there are distinct differences due to dynamical changes. In the middle to high southern latitudes, there is less cooling in the GCM. In the Northern Hemisphere, the midlatitudes are less cold in the GCM, but the high latitudes are more so relative to the FDH result, again a consequence of the dynamical changes in the model. In the GCM, there is a cooling even in those regions where there are no ozone losses imposed, e.g., the lower stratosphere equatorward of $15^\circ$. A warming occurs above the region of cooling, particularly noticeable in the Southern Hemisphere, similar to the results obtained by other GCM studies (Kiehl et al., 1988; Mahlman et al., 1994; Shindell et al., 1998). The dynamical changes (see also Mahlman et al., 1994) consist of an induced net rising motion in the tropics and a compressional heating of the middle stratosphere at the higher latitudes. The annual-mean response is statistically significant between $\sim 13$ and 21 km in the $\sim 20$ to $50^\circ$ latitude belt (Ramaswamy et al., 1996). The changes at high latitudes ($>60^\circ$) fail the significance test because of large interannual variability in those regions. The warming above the lower stratospheric regions in both hemispheres is reasonably similar to observations (Randel, 1988; Figures 5-15 and 5-16). On the basis of the GCMs-observations comparisons, a principal factor for the observed warming could be the radiative-dynamical feedbacks involving ozone depletion in the lower stratosphere.
Hansen et al. (1993) show that the zonal-mean patterns of GCM-simulated lower stratospheric temperature change due to imposed ozone losses correspond well with observed changes. In a study analogous to the FDH model-observation comparison discussed earlier, Ramaswamy et al. (1996) have compared the latitude-month trend pattern of the decadal (period: $\sim 1979-1990$) temperature change and its statistical significance, as simulated by a GCM (Figure 5-29a) in the altitude region of the observed lower stratospheric ozone change (tropopause to $\sim 7$ km above), with that derived from satellite observations (Figure 5-29b) of the lower stratosphere for the same period (Randel and Cobb, 1994). The match of the latitudinalSTRATOSPHERIC TEMPERATURE TRENDS
Figure 5-28. Idealized, annual-mean stratospheric ozone loss profile based on TOMS and SAGE satellite-observed ozone trends (top panel), and the corresponding temperature changes, as obtained using a FDH model (middle panel) and GCM (bottom panel). (Adapted from the model simulations of Ramaswamy et al., 1992, 1996).
The month pattern of cooling with observations bears a fair resemblance to the FDH-based study of McCormack and Hood (1994). In the midlatitudes, both panels illustrate a cooling from ~January to October in the Northern Hemisphere and from ~September to July in the Southern Hemisphere. The cooling in the midlatitudes of the Northern Hemisphere from ~December to July, and in the Southern Hemisphere from ~December to May, are statistically significant in both model and observation. Comparing Figure 5-29 with Figure 5-13, it is apparent that the observed space-time domain of statistically significant cooling is also dependent on the end year chosen for the analysis. Near the poles, both the simulation and observation exhibit a relatively large magnitude of cooling during winter and spring. The simulated cooling in the Antarctic is highly significant during the austral spring (period of the ozone hole), consistent with observation. The springtime cooling in the Arctic does not show a high significance owing to a large dynamical variability there. The simulated cooling in the tropics, which arises as a result of changes in circulation and is absent in FDH, is not significant for most of the year owing to small temperature changes there. There exist some quantitative differences between the simulated and observed trends. In addition, there is less variability in the model compared to observations.
In general, the observed ozone losses introduce a nonuniform space-time cooling. This is in contrast to well-mixed greenhouse gas effects that tend to yield a more uniform lower stratospheric cooling with season (not shown). Thus, the observed seasonal trend (Figure 5-29b), which exhibits a spatial dependence, is unlikely to be due solely to increases in well-mixed greenhouse gases. Note that, in the context of the GCM results, it is not possible to associate specific seasonal cooling at any location with the corresponding seasonal ozone loss.
Some models that have been principally used to study tropospheric climate changes due to greenhouse gases (e.g., IPCC, 1996) have also considered the lower stratospheric ozone depletion. However, as noted earlier, several of these climate models have a poor vertical resolution in the stratosphere that affects the accuracy of the calculated temperature changes. Nevertheless, the cooling predicted by these models using observed ozone loss in the lower stratosphere is generally consistent with the observed global-mean cooling trend, typically 0.5 K/decade.
Model calculations illustrate that, in addition to lower stratospheric ozone change, tropospheric ozone
change could also have a smaller but non-negligible effect on stratospheric temperatures (Ramaswamy and Bowen, 1994). Since preindustrial times, tropospheric ozone may have increased by ~50% or more in some regions in the Northern Hemisphere (IPCC, 1995; Berntsen et al., 1997). As a result, this may have contributed to a substantial cooling tendency in the lower stratosphere in specific regions.
In a diagnostic study, Fortuin and Kelder (1996) discuss relationships between ozone and temperature changes by analyzing concurrent measurements of these two quantities made at eight stations over the past two decades. They find that both vertical displacement and radiative adjustment to trace gas concentrations need to be considered in order to explain the observed ozone and temperature variations at the various locations.
220.127.116.11 Sensitivities Related to Ozone Change
One of the most important factors affecting the temperature change due to ozone is the precise vertical profile of the ozone changes in the stratosphere, especially the region near the tropopause, a problem that has been reiterated for a number of years now (WMO, 1986, 1992, 1995). Additionally, there are some uncertainties about the middle and upper stratospheric ozone changes that, too, impact in a non-negligible manner upon the temperature changes in those regions.
The sensitivity of the temperature change to the details of the vertical profile of ozone change has been discussed by Forster and Shine (1997). Figure 5-30 shows the latitude-height profile of the FDH-derived temperature change using a simplified vertical profile of ozone change (where a constant percentage of ozone is removed within 7 km of the tropopause, with the total column ozone change derived from the SBUV trends reported in WMO, 1995), and one where the vertical profile of trends derived from SAGE data is used. The calculations are for the period since 1979. The vertical profile of the cooling obtained due to the two ozone profiles at 40°N is compared with other species in Figure 5-23. Generally speaking, the cooling in the lower stratosphere due to either profile is strong and outweighs contributions estimated due to other possible species’ changes. Although the general vertical profile of the ozone-induced coolings remains the same, peaking at ~1 K/decade in some regions, the latitudinal variation is quite different. The SBUV trends give only small ozone changes in low latitudes, and the cooling is concentrated in the extratropical lower stratosphere. The SAGE trends show large changes in the tropical lower stratosphere (despite modest total column changes), and these result in the peak cooling in the tropics. It is noted that the SPARC Ozone Trends Panel has recently assessed the status of knowledge about the vertical trends of ozone changes (WMO, 1998). According to that panel and Cunnold et al. (1996a,b), the large trends of SAGE I/II at 15-20 km are unrealistic, with these data being most reliable above 20 km.
One further important aspect of Figure 5-30 concerns the trends in the middle stratosphere. Using the simplified ozone change profile, there is only heating at ~30 km, most marked in southern high latitudes where the increase in the upwelling thermal infrared radiation, as a result of the removal of ozone in the lower stratosphere, leads to an increase in the absorbed radiation. Using the SAGE vertical profiles, which are probably more reliable at these heights, there are coolings at almost all latitudes, reaching 0.4 K/decade. Hence, whilst the ozone loss is probably most important in the lower stratosphere, the losses at these stratospheric altitudes (~30 km) remain substantial and could lead to trends that are of the same magnitude approximately as the temperature trends, over the same period, due to increases in well-mixed greenhouse gases (see Figure 5-24).
Hansen et al. (1997a) have examined the sensitivity of the lower stratospheric temperature changes due to ozone depletion by conducting various GCM experiments with varying profiles and amounts of ozone losses (their result for the specific case when depletion of ozone occurs over the 70-250 hPa region is illustrated by Figure 5-25). They find that the magnitude of temperature change near the tropopause is strongly dependent on the vertical profile of the ozone loss. The degree to which the temperature change is affected is also dependent on the latitude under consideration.
The GCM sensitivity experiments by Hansen et al. (1997a) mentioned above also demonstrate that the observed ozone losses not only cool the lower stratosphere but also affect the vertical profile of temperature change below the region of ozone losses. The crossover of temperature change from a warming in the troposphere to a cooling in the stratosphere occurs at a lower altitude when stratospheric ozone depletion is considered in the models, in contrast to when only the changes in the well-mixed gases are considered. Santer et al. (1996) have shown how the inclusion of the ozone loss in the lower stratosphere not only alters the modeled vertical profile of the atmospheric temperature change due to anthropogenic species, but is a critical element in the attribution of the observed temperature profile change to human activity. Tett et al. (1996) and Folland et al. (1998) further point out that the inclusion of the lower stratospheric ozone depletion is an important anthropogenic factor for the vertical profile of temperature changes near the tropopause, and thereby could affect the lower altitudes and surface.
Ozone changes also affect higher regions of the stratosphere. Fels et al. (1980) and Rind et al. (1990, 1998) point out that, while the stratosphere generally cools in response to the carbon dioxide increases, the cooling in the middle and upper stratosphere is reduced (by ~10% at 50 km) when ozone is allowed to respond
Figure 5-30. FDH-computed annually averaged global stratospheric temperature change during the 1980s versus latitude due to (a) SBUV column depletion with ozone loss between local tropopause and 7 km above it, and (b) assumption of the SAGE vertical profile. (Adapted from Forster and Shine, 1997.)
photochemically. FDH estimates using the SAGE vertical profile of temperature change indicate that the positive (or negative) temperature change generally follows the positive (or negative) changes in ozone. Thus, the result from the calculations performed by Schwarzkopf and Ramaswamy (1993) suggests that ozone losses over the 1980-1990 period have caused a cooling of $-0.3$ K/decade at $\sim 40$ km. This is to be contrasted with the well-mixed greenhouse gas-induced cooling of about 0.7 K/decade at these altitudes (Figures 5-23 and 5-24).
As mentioned in Section 18.104.22.168, Shindell et al. (1998) simulate the changes in the stratosphere due to secular trends in greenhouse gases and ozone changes using an interactive radiative-dynamical-chemical GCM (see also Chapter 12). Their results indicate that the cooling of the entire stratosphere due to the trace-gas changes leads to a significant expansion of the area of ozone loss in the polar regions. Besides the expansion of the Antarctic polar ozone loss area, there also occurs a pronounced depletion of the Arctic springtime ozone. The rather dramatic modeled cooling is attributed to changes in planetary wave characteristics. In general, the quantitative nature of such changes in GCMs depends crucially on the model parameterizations.
5.3.4 Aerosols
As stated in Section 22.214.171.124, major volcanic eruptions result in temporary increases of stratospheric aerosol concentrations which, in turn, cause transient warmings of the lower stratosphere (WMO, 1990a, 1992). One-dimensional radiative-convective, two-dimensional, and three-dimensional models have all been used to estimate the effects on stratospheric temperatures (e.g., Hansen et al., 1978, 1997b; Harshvardhan, 1979; Pitari et al., 1987). An important research outcome in recent years has been the fact that simulations of the climatic effect of the Mt. Pinatubo eruption (Hansen et al., 1993, 1997b) reproduce the observed lower stratospheric warming (refer to Section 126.96.36.199; Christy, 1995; Randel et al., 1995; Angell, 1997; also Figures 5-2 (bottom panel) and 5-3), the peak and its duration, remarkably well (IPCC, 1995). Although temporary, the volcanic aerosol-induced lower stratospheric warming is in the opposite sense of the cooling due to ozone depletion and the cooling due to the combined well-mixed greenhouse gas increases (Figures 5-23, 5-24, and 5-27).
Rind et al. (1992) investigated the role of volcanic effects on the stratosphere in GCM experiments with and without sea surface temperature changes. Their results show that, in response to the volcanic injections, the lower stratosphere warmed, while the upper stratosphere cooled and the mesosphere warmed at middle and high latitudes. These responses are similar qualitatively to the OHP lidar observations. The occurrence of mesospheric warming is indirectly supported by a decrease in the occurrence of noctilucent clouds in the summer of 1992 (Zalcik, 1993).
Several 2-D radiative-dynamical-photochemical models (Brasseur and Granier, 1992; Tie et al., 1994; Rosenfield et al., 1997), with different degrees of complexity in the representation of physical and chemical processes, have been deployed to study the temperature, circulation, and ozone changes due to the increase in stratospheric aerosol concentrations following the Mt. Pinatubo volcanic eruption. Additionally, Eluszkiewicz et al. (1997) have used Upper Atmosphere Research Satellite (UARS) measurements to investigate the stratospheric heating rate sensitivity and the resulting residual circulation. These studies indicate a warming of the tropical lower stratosphere that is approximately consistent with observations. This heating is found to be sensitive to the presence of tropospheric clouds and to the aerosol vertical extinction profiles, which corroborates the sensitivity results of WMO (1990a). The perturbed heating in the tropics results in an upwelling and an altered circulation, a feature seen in model simulations and diagnosed from observations. Thus, the transient volcanic aerosol-induced warming has the potential to alter atmospheric dynamics and could thereby affect the surface-troposphere system (Hansen et al., 1997b). Ozone depletions are obtained by the 2-D model as a result of the heterogeneous processes involving aerosols, changes in photolysis rates, and changes in the meridional circulation (Tie et al., 1994). The ozone loss at high latitudes yields a cooling there (Rosenfield et al., 1997), which could have contributed to the prolonged duration of the colder-than-normal temperatures in the Arctic region (Section 5.2.4; Figures 5-4 and 5-14 (top)).
Although both the El Chichón and Mt. Pinatubo eruptions have resulted in a large transient warming, these are estimated to have only a small direct effect on the decadal temperature trends in the lower stratosphere, with even smaller effects higher up. However, an indirect effect through aerosol-induced, chemically catalyzed ozone loss, and the subsequent ozone radiative feedback, can yield an enhanced global cooling trend (Solomon et al., 1996). Figures 5-2 (bottom panel) and 5-3 illustrate the colder global-mean lower stratospheric temperatures now than in the pre-Pinatubo period (see also Chapter 7). Thus, the volcanic events could have had an important bearing on the lower stratospheric temperature trend observed over the decade of the 1980s and early 1990s.
Ramaswamy and Bowen (1994) show that changes in tropospheric aerosols can affect lower stratospheric temperatures. While the tropospheric aerosols assumed in that study acted to oppose the greenhouse warming in the troposphere, they enhanced the cooling in the stratosphere by reducing the upwelling thermal infrared radiation coming from a cooler troposphere. It should be noted that there is considerable uncertainty in the distribution and optical properties of aerosols; in addition, they may have a substantial effect on the optical properties of clouds (see IPCC, 1995, 1996), which would also affect the upwelling longwave flux from the troposphere. Thus, it is not possible as yet to be quantitative about the present-day tropospheric aerosols' effect on stratospheric temperatures.
5.3.5 Water Vapor
Stratospheric water vapor is an important radiatively active constituent, and it is expected to increase in concentration due to increased methane oxidation. It could also be influenced by changes in tropospheric water vapor concentration and changes in the transport of water vapor across the tropopause. Oltmans and Hofmann (1995) reported significant trends of 0.5%/yr in water vapor over Boulder, Colorado, from balloonsonde observations between 1981 and 1994. It is not clear whether these changes are occurring at other locations and, more important, on a global scale. Forster and Shine (1997) have used a FDH model to calculate the possible impact of these changes. At 40°N and between 15 and 20 km, the cooling due to water vapor changes exceeds 0.2 K/decade (Figure 5-23). This is much larger than the effect of changes in the well-mixed greenhouse gases at the same altitude (typically 0.1 K/decade; Figures 5-23 and 5-24); depending on the vertical profile of ozone loss adopted, the water vapor change causes a cooling of about 20-30% of the effect of the ozone change. Recent observational analyses (Nedoluha et al., 1998) suggest an increase in H$_2$O of 1-2% or more per year (between 1991 and 1996) in the middle and upper stratosphere and mesosphere. If sustained for a decade, the heating rate change would be about 0.05 K/day. Combining this with a radiative damping time of ~10 days (Fels, 1982; Kiehl and Solomon, 1986) would yield a cooling of 0.5 K/decade at 50 km. This value would be about half of that for the well-mixed greenhouse gases (Section 5.3.2; Figure 5-24), and could exceed that due to ozone change at that altitude (Section 188.8.131.52).
5.3.6 Other (Solar Cycle, QBO)
All the above constituent changes are essentially ones that have taken place in the stratosphere itself. External changes, such as changes in the incoming solar radiation, reflected solar radiation from the troposphere, and emitted thermal infrared radiation, can also impact stratospheric temperatures.
Changes in the output of the Sun can clearly influence the amount of UV and visible radiation absorbed by the stratosphere. In the absence of changes in ozone, WMO (1990a) radiative-convective model calculations showed that, over the course of a solar cycle, the temperature at the stratopause can vary by about 1 K, but by 20 km, the changes are less than 0.1 K. If planetary wave propagation plays a role in the way the solar cycle influences the stratosphere, as observations appear to indicate, then model simulations need to adequately account for these dynamical processes. Several numerical model simulations (Garcia et al., 1984; Brasseur, 1993; Fleming et al. 1995; McCormack and Hood, 1996) indicate that the maximum of the solar effect should be situated at the stratopause at all latitudes, with a value of about 1.5-2 K/cycle in the tropics. Figure 5-31 illustrates results from two models for the equatorial latitudes and compares them with rocket and satellite (see also Figure 5-19) observations. The models yield amplitudes of ~2 K at the tropical stratopause. The modeled temperature change is roughly consistent with observations, although the maximum at the stratopause is not manifest in the satellite data; the same models are less successful when compared with observations at middle and high latitudes. In fact, any potential dynamical effects associated with the observed solar cycle signature (Section 184.108.40.206) are likely not being captured adequately by interactive radiative-chemical-dynamical models as yet.
**Figure 5-31.** Comparison of low-latitude (5°N) temperature response due to solar cycle variation, as computed by two models (Brasseur, 1993; McCormack and Hood, 1996), with SSU satellite observations (thick, dashed line), and rocket data (Dunkerton et al., 1998) for the altitude range ~28-55 km (vertical bar). McCormack and Hood (1996) performed two FDH calculations using the range of the observed ozone values; their model results (solid curves) are quite similar to the result of Brasseur, 1993 (thin dashed curve). (Adapted from McCormack and Hood, 1996.)
Haigh (1996) has simulated the possible effect of solar-induced stratospheric ozone and temperature variations on the tropospheric Hadley circulation and jet streams using a GCM. The results suggest that changes in stratospheric ozone may provide a mechanism whereby small changes in solar irradiance can cause a measurable impact on climate. Haigh (1996) proposed that changes in the thermal structure of the lower stratosphere could cause a strengthening of the low-latitude upper tropospheric easterly winds. Haigh (1998) further suggests that this easterly acceleration can come about as a result of a lowering of the tropopause and deceleration of the poleward meridional winds in the upper portions of the Hadley cells. More observational diagnostics work and model investigations are needed to confirm these hypotheses.
Balachandran and Rind (1995) studied the influence of UV variability and QBO using a GCM that emphasizes the middle atmosphere. They found that changes in UV tended to alter the radiative heating, with an accompanying influence on the winter polar jet, though it must be noted that the large variability in this quantity inhibits a statistically significant and robust determination. The high-latitude response to UV is affected by alteration in planetary wave activity, with the QBO exerting a modulating effect. The influence of solar change on the temperature yielded changes of opposite sign at the stratopause between latitudes above and below 60°N. Such changes are quite similar to those seen in the overall stratosphere from the satellite data analyses (Figure 5-19).
5.4 CHANGES IN TRACE SPECIES AND OBSERVED TEMPERATURE TRENDS
5.4.1 Lower Stratosphere
As far as the global lower stratosphere is concerned, there is now a firm documentation of the changes in ozone and greenhouse gases. With regard to temperature trends, the importance of ozone depletion relative to that due to changes in other greenhouse gases that are well-mixed (CO₂, CH₄, N₂O, CFCs) has been evaluated by several studies with various types of models (1-D to 3-D). Miller et al. (1992) and Hansen et al. (1995) demonstrate that the global-mean lower stratospheric temperature change in the 1980s can be explained only when ozone changes are considered (Figure 5-27). Ramaswamy et al. (1996) show that the global, annual-mean GCM temperature change due to the decadal ozone losses in the ~50–100 hPa (~16–21 km) lower stratospheric region is much greater than that due to increases in CO₂ only and all well-mixed greenhouse gases taken together (Figure 5-22). It is thus encouraging that all model studies, ranging from FDH and RCMs to GCMs, yield similar findings (Section 220.127.116.11). The global-mean decadal cooling in the 1980s due to ozone is estimated to be ~0.5 to 0.6 K, which is comparable to the reported decadal trends from observations (Section 18.104.22.168; Figure 5-27). The well-mixed gases’ effect is less than one-fourth that due to ozone depletion. The increase in CO₂ alone since 1765 yields a cooling of ~0.3 K; inclusion of the other well-mixed gases, which together tend to warm the tropopause region, yields ~0.15 K. It is thus clear that the computed 1979 to 1990 ozone effect on lower stratospheric temperature outweighs the effects of changes in other gases not only over the last 10 to 30 years, but also over the past two centuries. In the global, annual mean, it can be strongly declared that the observed ozone depletion in the lower stratosphere is the dominant radiative cause of the observed global-mean cooling. Section 7.3 presents a theoretical basis for how a long-term global, annual-mean trend in the stratosphere must necessarily be associated with radiative perturbations.
As discussed in Section 22.214.171.124, uncertainties arise in the simulation owing to incomplete observational knowledge of the vertical profile of global ozone loss near the tropopause, including that in the tropical areas. While more thorough altitudinal measurements of ozone loss would lead to more precise simulation of temperature change, with cooling extending to perhaps even higher altitudes (e.g., springtime southern polar latitudes), the lower stratosphere region, taken as a whole, can be expected to cool notably given the magnitude of the ozone losses observed. A principal conclusion from all investigations thus far is that, whether ozone changes are prescribed or determined self-consistently within a model, the global lower stratospheric region (especially the mid to high latitudes) cools in a significant manner in simulations for the decades of the 1980s and 1990s.
In addition to the above, a principal feature from especially the GCM studies is the reasonably good correspondence of the zonal-mean lower stratospheric cooling trends since ~1979 with satellite and radiosonde records (e.g., Hansen et al., 1993). It is concluded that the reasonable consistency of the simulated cooling pattern and magnitudes with those observed, including
the regimes of statistically significant changes, coupled with the high correlations noted between observed temperature changes and ozone losses (Section 126.96.36.199), confirm the notion that ozone depletion has caused a substantial spatially and seasonally dependent effect in the lower stratosphere over the past decade. For example, Figure 5-29 highlights the model-observation consistency with regard to magnitude and statistical significance in the midlatitudes of both hemispheres during the first half of the year, and during the Antarctic springtime. Although the attribution of the observed temperature trends to the observed ozone depletion in the lower stratosphere is strong in the global, annual-mean sense, the spatial and temporal aspects demand more circumspection. However, no other cause besides ozone depletion has been shown as yet to yield a latitude-month fingerprint such as that seen in the observations (Figure 5-29b). Thus, in the zonal-mean, seasonal sense, it can be stated that ozone is identified as an important causal factor of lower stratospheric temperature change.
Possible secular changes in other radiatively active species are estimated to contribute smaller decadal effects than the stratospheric ozone loss. Information on decadal changes in global water vapor (Section 5.3.5) and clouds is insufficient to estimate their influence precisely; there is no information at present to suggest that their effects could be as dominant as that due to the stratospheric ozone loss. Although volcanic aerosols can have substantial impact over the 1-2 years that they are present in the lower stratosphere, their direct effect on the past decade’s temperature trend has probably been small compared with that of ozone (Sections 188.8.131.52, 5.3.4). There is little evidence to suggest that forcings from the troposphere (e.g., sea surface temperature changes; Section 184.108.40.206) or natural climate variability or solar cycle (Sections 220.127.116.11, 5.3.6) have significantly influenced the global lower stratospheric temperature change over the past 1.5 decades, although, in the absence of rigorous long-term observations, a precise estimate of their contributions cannot be obtained. It is noted that some ozone loss has been reported for the 1970s, too (Lacis et al., 1990), which would have contributed to the small observed cooling during that decade (e.g., Figures 5-3(top) and 5-4). However, this contribution is not likely to have been as much as in the 1980s and 1990s, because the ozone losses for the earlier decades are concluded to have been never as high as those in recent ones (Bojkov and Fioletov, 1995).
There is a scarcity of knowledge on the low-frequency variability of the stratosphere and its causes, from either observations or models. Unlike surface temperature measurements that span multi-decades, those for the stratosphere are available only from about the late 1950s, and the continuous record is available only at a few locations in the NH. This makes it difficult to assess accurately the low-frequency variability. Although global coverage has become possible with the MSU and SSU satellites since 1979, the time period available to date is too short to assess anything beyond interannual variability; certainly, rigorous decadal-scale variability analysis will not be possible until data for a few more decades become available. The model simulations to date suggest an interannual variability in some features that bears some resemblance to that observed, but there are also features that the existing models either cannot reproduce or that fail to mimic the observations (e.g., Hamilton et al., 1995). A prominent uncertainty arises due to the lack of a proper simulation of the polar wintertime and winter-to-spring transitional temperatures (including sudden warmings) from first principles. The usual method to reproduce observations is to “tune” the model in some manner, e.g., gravity-wave drag. The quantitative effect that this has on the fidelity of the simulation of trends and variability remains to be determined.
The cold winters/springs occurring in the lower stratosphere of the Arctic in recent times (Section 5.2.4) have drawn considerable attention, including a search for the possible cause(s). The Arctic temperatures can vary substantially in magnitude on interannual time scales (see Figure 5-14(top)), thus demanding caution in the inference and attribution of long-term trends there. Baldwin et al. (1994) and Perlwitz and Graf (1995) document the existence of a coupling between the winter polar vortex and middle troposphere. Thompson and Wallace (1998) show coherence between hemispheric wintertime surface air temperature and pressure, and 50-hPa temperatures. The studies of Manney et al. (1996) and Coy et al. (1997) indicate that extreme low temperatures in spring are associated with record-low planetary wave activity and an intense vortex. The above studies suggest a possible shift in Arctic meteorological conditions in the early to middle 1990s, one that is linked to tropospheric circulation and variability in planetary wave forcing. The notion that this could be related in some manner to greenhouse gas-induced warming of the lower atmosphere (Chapter 12) remains to be conclusively demonstrated.
Indeed, the effect of tropospheric climate change due to changes in trace gases and aerosols, equator-to-pole tropospheric temperature gradient, waves propagating into the stratosphere, and the ensuing effects on the radiative-dynamical-chemical stratospheric equilibrium are not well understood in a quantitative manner. For example, different GCMs suggest a substantially different manner of changes in the characteristics of the planetary wave activity due to increase of CO$_2$, which would, in turn, impact the radiative-dynamical interactions and the magnitude of stratospheric temperature changes (Fels et al., 1980; Fels, 1985; Rind et al., 1990; Mahlman et al., 1992; Graf et al., 1995; Shindell et al., 1998; Rind et al., 1998).
### 5.4.2 Middle and Upper Stratosphere
Unlike the case for the lower stratosphere, the trends estimated from the different observational platforms for the middle and upper stratosphere are not as robust. The satellite, lidar, and rocket data, although having a consistency of pattern above $\sim$50 hPa (e.g., Figures 5-9 and 5-12), do not exhibit the same degree of coherency that exists with respect to both magnitude and statistical significance for the different datasets of the lower stratosphere (Figures 5-5 and 5-6).
In the middle and upper stratosphere, model results suggest that the increases in the well-mixed greenhouse gases and changes in ozone will contribute to temperature changes. Figure 5-24 shows the zonal, annual-mean temperature trend due to the well-mixed greenhouse gas increases in the 1980s. The overall picture in the annual mean is one of cooling from the lower to the upper stratosphere (see also Figure 5-23). This cooling in the middle stratosphere due to the well-mixed gases can be expected to be enhanced in FDH calculations that also consider ozone losses in the middle stratosphere; the latter is estimated to yield about a 0.3 K/decade cooling using the SAGE depletion for the 1980s period (Section 18.104.22.168). The computed vertical profile bears a qualitative similarity to the observations (e.g., Figures 5-7 and 5-9) with regard to the cooling of the entire stratosphere. This reaffirms the secular cooling trend due to greenhouse gas increases inferred for the stratosphere from shorter records (WMO, 1990a,b).
However, at altitudes above the lower stratosphere, there are major quantitative differences between the modeled and observed cooling. The FDH simulated cooling increases with height when only the well-mixed gases are considered (Figure 5-24), whereas the observations indicate a rather uniform trend between 20 and 35 km (with perhaps even a slight reduction at $\sim$30-35 km; see Figure 5A and Figures 5-7 to 5-12). It must be noted here that the GCM’s simulation of the effects due to ozone loss involve a dynamical change (not evident in FDH) that causes some warming above the location of the cooling in the lower stratosphere (Section 22.214.171.124 and Figure 5-28). This GCM-simulated warming, which may not be statistically significant, occurs mainly in winter/spring and is qualitatively consistent with observations during that season (Figures 5-15 and 5-16). Consideration of this warming could retard somewhat the rapid increase of the well-mixed greenhouse gas-induced cooling with height seen in Figure 5-24 (e.g., above 25 km) and enable a full radiative-dynamical (i.e., GCM) computation to become more consistent with observations than the FDH results.
Additionally, the magnitude of the modeled cooling in the upper stratosphere is less than that observed; e.g., at $\sim$45 km, the modeled cooling is about 1 K/decade due to the well-mixed greenhouse gases and about 0.3 K/decade due to ozone, while the observed cooling is greater than 1.5 K/decade (e.g., at 45 km in Figure 5A). Some of this bias could be due to water vapor, whose decadal trend in the 1980s globally is not known. Recent satellite data suggest an upward trend over the past 5 years, which would add to the cooling trend computed for the upper stratosphere (Section 5.3.5) and reduce the present discrepancy.
The vertical and latitudinal magnitude of the cooling, and likewise the location of the warming region above the cooling in the lower stratosphere, are very sensitive to the vertical profile of ozone depletion imposed in the model. The models invariably locate the cooling at exactly the region of the imposed ozone loss, with a warming immediately above it at the higher latitudes. Thus, any shift of the altitude extent of ozone depletion in the model has the potential to shift the peak cooling, and thus alter the vertical profile of the computed cooling trend. In turn, this affects the quantitative inferences about the consistency between computed and observed temperature trends in the middle and upper stratosphere.
5.4.3 Upper Troposphere
The cooling of the lower stratosphere in response to ozone losses there also leads to a cooling below the ozone loss region in the global upper troposphere (~10-14 km), in part due to reduced infrared emission from the stratosphere (Ramanathan and Dickinson, 1979). The cooling of the lower stratosphere also impacts the forcing of the troposphere (WMO, 1992, 1995; Chapter 10). Specifically, an ozone-induced cooling of the lower stratosphere implies a reduction in the longwave radiative emission from the stratosphere into the troposphere. This leads to a negative radiative forcing of the surface-troposphere system (Hansen et al., 1997a). In general, GCMs simulating the effects of stratospheric ozone loss indicate a cooling of the upper troposphere (see Figures 5-25, 5-27, and 5-28).
All modeling efforts that have considered appropriate changes in trace gases yield a cooling of the tropopause region (e.g., Hansen et al., 1995; see also Figure 5-27; Vinnikov et al., 1996; Santer et al., 1996; Hansen et al., 1997a). Here, again, the lower stratospheric ozone depletion effects dominate over all other gases including CO$_2$. Further, the vertical profile of changes in ozone critically determines the profile of the temperature change in the upper troposphere.
A difficulty arises in comparing simulated upper tropospheric temperature changes due to ozone losses with observations over the past decade, as the "signal" from models (see Figures 5-27, and 5-28) is quite small, less so than that in the lower stratosphere (say, at 50 hPa or ~20 km). It may be noted that the modeled upper tropospheric changes, even for as a large a forcing as a doubling of CO$_2$, are generally small compared with those in the lower troposphere or higher in the stratosphere (Vinnikov et al., 1996). It is difficult at present to interpret the small change in the upper tropospheric temperatures inferred from observations in terms of a change originating primarily from the stratosphere (e.g., lower stratospheric ozone loss) or one arising in the troposphere (e.g., tropospheric ozone chemistry). Further, the halocarbon-induced depletion of ozone in the lower stratosphere can also be expected to affect upper tropospheric ozone through a downward transport of the anomalies, thereby contributing to a cooling of the upper troposphere.
In general, the temperature changes near the tropopause have the potential to affect the water vapor distribution and cloudiness, especially cirrus clouds, which in turn can cause feedback effects in the climate system. One example available from observations of the effects in the upper troposphere due to a stratospheric perturbation concerns the aftermath of the Mt. Pinatubo eruption. Lidar and other observations (Sassen et al., 1995) suggest that the aerosols from this volcanic eruption affected cirrus (ice) cloud formations near the tropopause.
The interactions between trace species' changes and the associated chemistry, microphysics, radiation, and dynamics remain to be more thoroughly explored, both from modeling and observational perspectives, taking into account the three-dimensional nature of the problem (Holton et al., 1995). Meteorological parameters such as tropopause location (Schubert and Munteanu, 1988; Hoinka et al., 1998a), temperature, and geopotential height (Ohring and Muench, 1960; Spankuch and Schulz, 1995) tend to be highly correlated to total ozone. They can, therefore, be expected to exhibit changes owing to trends in ozone. At this time, such changes are not well documented (Section 5.2.7). There is growing evidence of a connection between variability and trends in the stratosphere with those in the troposphere (e.g., Kodera et al., 1990; Kitoh et al., 1996; Perlwitz and Graf, 1995). As noted earlier, Thompson and Wallace (1998) show a connection between the trend in winter-mean NH surface temperature and pressure and the trend in polar vortex strength. Such linkages inferred from observations emphasize that the radiative-chemical-dynamical interactions, which couple the stratospheric and tropospheric processes, need to be fully accounted for in order to attribute the observed temperature variations and trends to well-defined mechanisms that include changes in trace species.
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FAURÉ - POULENC - SATIE
DEBUSSY - SAINT-SAËNS
RAVEL
Impressions
pour trompette
THE FRENCH TRUMPET
THIERRY CAENS
CHRISTIAN IVALDI
LA CAMERATA DE BOURGOGNE
disques PIERRE VERANY
© ARION 2010 — © ARION 2010 — PV710161 — www.arion-music.com
Couverture : Valia Guillard, « Le Géant musicien » — photo Valia — www.kid-sens.com
« IMPRESSIONS POUR TROMPETTE »
‘IMPRESSIONS FOR TRUMPET’
1 GABRIEL FAURE (1845-1924) : Berceuse op. 16 (trompette et piano) 3’30
2 ERIK SATIE (1866-1925) : Gnossienne 1 (trompette, piano et quintette à cordes & harpe) 3’20
3 MAURICE RAVEL (1875-1937) : Pièce en forme de Habanera (trompette et piano) 2’37
4 FAURE : Le pas espagnol extrait de Dolly (trompette, piano et quintette à cordes, harpe, tambour) 1’10
5 FAURE : Après un rêve (trompette, piano et quintette à cordes) 3’01
6 FRANCIS POULENC (1899 - 1963) : Humoresque (trompette et piano) 2’04
7 RAVEL : Pavane pour une Infante défunte (trompette, piano et quintette à cordes, harpe et vibraphone) 5’32
8 FAURE : Sicilienne (trompette et piano) 3’29
9 FAURE : Élégie (trompette et piano) 5’56
10 POULENC : Villageoises (trompette, piano et quintette à cordes & harpe) 5’09
11 DEBUSSY : Clair de lune (trompette, piano et quintette à cordes & harpe) 4’34
12 FAURE : Berceuse op. 56 extraite de Dolly (trompette et piano) 2’37
13 DEBUSSY : Valse La plus que lente (trompette et piano) 4’30
14 POULENC : Polka des Mariés de la tour Eiffel (trompette, piano et quintette à cordes) 1’17
15 DEBUSSY : Bruyères (trompette, piano, violon et violoncelle) 3’13
16 FAURE : Pavane (trompette, piano, violoncelle et contrebasse) 5’08
17 CAMILLE SAINT-SAËNS (1835-1921) : Le cygne (trompette, piano et quintette à cordes) 2’59
18 DEBUSSY : Rêverie (trompette, violon, harpe, vibraphone, contrebasse) 3’52
19 DEBUSSY : Polka finale de La boite à joujoux (trompette, piano et quintette à cordes) 1’45
20 DEBUSSY : Le petit berger (trompette, harpe et vibraphone) 2’05
21 RAVEL : Le petit nègre (trompette, piano, quintette à cordes et harpe) 1’43
22 POULENC : Valse « Les Chemins de l’Amour » (trompette, piano, quinterre à cordes & harpe) 3’19
Thierry Caens (trompette/trumpet)
Christian Ivaldi (piano)
LA CAMERATA DE BOURGOGNE
Jean François Corvaisier & Emmanuelle Kirklar (violons/violins)
Valérie Pelissssier (alto/viola)
Laurent Lagarde (violoncelle/cello)
Pierre Sylvan (contrebasse/doublebass)
Esther Davoust (harpe/harp)
Didier Ferriere (percussions & vibraphone)
ORCHESTRATIONS THIERRY CAENS
www.thierrycaens.com - firstname.lastname@example.org
ÉDITIONS/PUBLISHINGS :
Hamelle Leduc (1, 3, 8, 9, 12, 13, 16)
Midi Musique (2, 4, 5, 7, 10, 11, 15, 17, 18, 19, 20, 21)
« Impressions » est un projet que je caresse depuis de nombreuses années et qui est dédié à mon père Marcel Caens, natif d’Honfleur, comme Erik Satie et Alphonse Allais. Très tôt j’ai baigné dans cet esprit particulier et dans la culture des Impressionnistes et des Surréalistes si chère à mon père. Cette passion pour les compositeurs impressionnistes, en particulier Debussy et Ravel, nous la partagions et très vite elle s’est étendue à la musique française de cette époque, encouragés par notre ami et grand chef Michel Plasson, véritable ambassadeur de notre patrimoine national.
À l’origine de ce projet, il y a bien sûr l’amour de ces musiques mais aussi la volonté d’étudier et approfondir l’orchestration si riche de ces maîtres. Je voulais être l’artisan de ces relectures, aussi il me fallait une certaine maturité, c’est sans doute cela qui m’a conduit à attendre le bon moment pour les réaliser.
Dans ces musiques, si diverses, il y a des constantes et un certain air de famille. Je trouve par exemple que les mélodies, si elles nécessitent un phrasé soutenu et ample, requièrent également une distance et une certaine retenue. Cette forme de distinction et de sobriété devait, pour moi, être au cœur de mon travail sur les orchestrations et sur le phrasé à adopter. La trompette étant un instrument « généreux et brillant », je devais me conformer à cette voie plus intime et délicate. C’est la raison pour laquelle ce disque est essentiellement composé de mélodies et pièces lentes qui font la part belle au son plutôt qu’à la virtuosité.
Cela rejoint d’ailleurs les discussions que nous avions avec mon père (qui fut aussi mon professeur), au sujet du style ; celui qu’il avait hérité d’Eugène Foveau, grand trompettiste et cornettiste du 20ème siècle, qui fut son maître et légendaire soliste à l’Orchestre de l’Opéra de Paris.
Depuis de nombreuses années je collecte les pièces qui constituent ce disque si cher à mon cœur, et qui contient tant de symboles et souvenirs.
1) Berceuse de Fauré, pour trompette et piano, pour donner le caractère général de ce disque.
2) Gnossienne 1 de Satie, en version piano harpe et quintette à cordes, un chef d’œuvre de simplicité et d’orientalisme discret.
3) Pièce en forme de habanera de Ravel, les sonorités espagnoles d’une belle étude-vocalise que l’auteur proposa sous diverses instrumentations.
4) Le pas espagnol de Fauré, extrait de Dolly, orchestré avec piano harpe quintette à cordes et percussion, du rythme pour apporter un peu de contraste.
5) Après un rêve de Fauré, superbe mélodie « mythique », beaucoup de plaisir et de prudence en écrivant l’accompagnement des cordes ; la partie de piano est originale.
6) Humoresque de Poulenc, la vivacité d’un compositeur facétieux et génial pour cette pièce initialement écrite pour piano solo.
7) Pavane pour une infante défunte de Ravel, le chef d’œuvre absolu, jouée ici au bugle (pour rappeler le cor original) avec piano harpe vibraphone et cordes, parce que la version de l’Orchestre de Paris avec A. Cluytens était un de mes disques de chevet.
8) Sicilienne de Fauré, extraite de la suite de Pelléas et Mélisande : danse langoureuse en duo avec piano, une des premières œuvres jouées à la classe d’orchestre du Conservatoire de Dijon.
9) Élégie de Fauré, parce que le violoncelle est l’instrument du chant et de la générosité. Une gageure d’arrangement et une vraie épreuve pour la conduite du son.
10) Danses villageoises de Poulenc tirées de Pièces enfantines pour le piano, ici en version piano, harpe et cordes : une musique populaire où le caractère humoristique de la trompette n’est jamais absent.
11) Clair de Lune de Debussy, jouée avec la sourdine « bol », pour retrouver le climat intimiste de l’original : elle fait partie des pièces incontournables de ce disque tant je ne pouvais accepter que cette musique soit interdite à un trompettiste…
12) Berceuse de Fauré, extraite également de Dolly, en duo avec piano : j’aime beaucoup l’apparente simplicité de ces musiques.
13) Valse « la plus que lente » de Debussy, cette musique me poursuit depuis des années : Timofei Dokshizer, grand trompettiste russe, m’avait donné son enregistrement magistral lorsque j’étais très jeune, étant surpris qu’un russe soit le 1er à jouer cette musique il m’avait ouvert une voie. Par la suite, après l’avoir mis à mon répertoire j’eus l’occasion de la jouer pour un film d’Yves Robert (Montparnasse-Pondichéry) : une grande valse française.
14) Polka des Mariés de la Tour Eiffel de Poulenc, avec piano et cordes, pour retrouver le cornet à pistons et les kiosques à musique.
15) *Bruyères* de Debussy, prélude pour piano en version musique de chambre avec violon et violoncelle. Ici, il fallait oublier la trompette et se fondre dans la délicatesse des cordes.
16) *Pavane* de Fauré, jouée au bugle, accompagnée par le piano violoncelle et contrebasse : exercice de style par un maître de la mélodie.
17) *Le Cygne* de Saint-Saëns toujours au bugle, pour remplacer la majesté du violoncelle. Relecture du *Carnaval des Animaux* version piano et cordes, et aussi parce que Saint-Saëns devait être présent sur ce CD.
18) *Rêverie* de Debussy, pièce méditative où l’orchestration particulière, violon contrebasse harpe et vibraphone, donne un peu plus l’aspect lunaire.
19) *Polka finale* de *La boite à joujoux* de Debussy, pièce enfantine : une chanson traditionnelle repassée au filtre du compositeur génial.
20) *Le petit berger* de Debussy, extrait du *Childrens Corner* : seuls la harpe et le vibraphone accompagnent une trompette rêveuse et pastorale.
21) *Le petit nègre* de Debussy. Le piano original est soutenu ici par les cordes et la harpe, pièce d’allégresse et de légèreté dans l’esprit « ragtime ».
22) *Les Chemins de l’Amour* de Poulenc, pour finir en chanson : une valse, extraite de « Leocadia » par le moins impressionniste de ces compositeurs mais probablement le plus surprenant.
Ce disque a été possible grâce au talent et à l’extrême justesse de Christian Ivaldi, partenaire incontournable de ce projet et pianiste idéal. La présence de la Camerata de Bourgogne conclut, elle, une aventure heureuse de 23 ans, dans la ville de Rameau où il fait si bon vivre, et où, grâce à mon père, j’ai rêvé mes passions musicales.
Thierry Caens, Septembre 2010
‘Impressions’ is a project that had been in my mind for many years, and which is dedicated to my father, Marcel Caens, who, like Erik Satie and Alphonse Allais, came from Honfleur. From a very early age I was immersed in that particular spirit and in the Impressionist and Surrealist culture he loved so much. We shared a passion for the impressionist composers, especially Debussy and Ravel, and very soon – encouraged by our friend Michel Plasson, who is not only a great conductor but also a fine ambassador of the French heritage – for other French music of that period too.
At the root of this project is my love for these pieces of music, but also a desire to study and look more deeply into the very rich orchestration of their composers. I wanted to provide new readings, and that required maturity, which is no doubt why I waited until I felt the time was right.
These very diverse pieces have a family resemblance. The melodies, for instance, require broad and sustained phrasing, but distance and a certain restraint are also necessary. Distinction and soberness, I felt, were to be my aim in orchestrating these pieces. The trumpet is ‘generous and brilliant’, but I had to strive for intimacy and delicacy. This recording is therefore made up essentially of melodies and slow pieces in which sound is more important than virtuosity.
That is in keeping moreover with my father’s ideas on style, which he expressed in the discussions we had on the subject (my father was also my teacher); that is to say, the style he inherited from his teacher, the great trumpeter, cornet player and legendary soloist with the Orchestra of the Paris Opéra, Eugène Foveau. I have been collecting these pieces a very long time and this recording, with its many symbols and memories, is of great importance to me.
1) Berceuse (from Dolly, for violin and piano) by Fauré: played on the trumpet and the piano, it sets the tone for this recording.
2) Gnossienne 1 by Satie, in the version for piano, harp and string quintet: a masterpiece of simplicity and discreet orientalism.
3) Pièce en forme de Habanera by Ravel (originally Vocalise étude en forme de Habanera): the composer himself provided several different instrumentations of this very Spanish-sounding piece.
4) Le pas espagnol (from Dolly) by Fauré: orchestrated for piano, harp, string quintet and percussion. This rhythmic piece provides a little contrast.
5) Après un rêve by Fauré: a superb melody. Writing the string accompaniment called for prudence, but it was a real pleasure. The original piano part is retained.
6) Humoresque by Poulenc: the vivacity of a facetious and brilliant composer, in a piece originally written for solo piano.
7) Pavane pour une infante défunte by Ravel: an absolute masterpiece. I used to listen over and over again to the version recorded by the Orchestre de Paris under André Cluytens. It is played here on the bugle (a reminder of the original horn), with piano, harp, vibraphone and strings.
8) Sicilienne (from the suite Pelléas et Mélisande) by Fauré: a languorous dance in duet with the piano. This was one of the first works played in the orchestra class at the Conservatoire in Dijon.
9) Élégie by Fauré, because the cello, which is so close to the human voice, is the instrument of singing and generosity. Arranging this piece was a real challenge.
10) Danses villageoises by Poulenc, from his Petites pièces enfantines for piano, played here in the version for piano, harp and strings, with the humorous character of the trumpet constantly present.
11) Clair de Lune by Debussy. To capture the intimate mood of the original we used a ‘bowl’ mute on the trumpet. Impossible for me to resist playing this wonderful piece!
12) Berceuse by Fauré (also from Dolly), played in duet with the piano. I love the apparent simplicity of music such as this.
13) La plus que lente: this waltz by Debussy has been with me for many years. The great Russian musician Timofei Dokshizer, who was the first to play it on the trumpet, gave me his remarkable recording of this piece when I was very young. Later I took it into my repertoire and I also played it for the film by Yves Robert, Montparnasse-Pondichéry.
14) Polka (from Les Mariés de la Tour Eiffel) by Poulenc, with piano and strings, evoking the cornet and the bandstands of yore.
15) Bruyères by Debussy, a piano prelude presented in a chamber version with violin and cello. Here we had to forget the trumpet and blend in with the delicacy of the strings.
16) Pavane by Fauré, played on the bugle, accompanied by piano, cello and double bass: an exercise in style by a master of melody.
17) Le Cygne by Saint-Saëns, also played on the bugle, replacing the majestic cello. A new reading of this piece from Le Carnaval des Animaux for piano and strings. It was important to include Saint-Saëns here.
18) Rêverie by Debussy is a meditative piece; the unusual orchestration (violin, double bass, harp and vibraphone) brings out the lunar aspect a little more.
19) The final Polka from Debussy’s La boîte à joujoux: a brilliant composer’s version of a traditional song.
20) Le petit berger (from Children’s Corner) by Debussy: a dreamy, pastoral trumpet here, accompanied by harp and vibraphone.
21) Le petit nègre by Debussy: the original piano is supported by strings and harp. A light, cheerful piece, with a ‘ragtime’ spirit.
22) Les Chemins de l’Amour by Poulenc enables us to end with a song. This waltz, part of the incidental music for the play Léocadia (Anouilh), was written by the least impressionist – but probably the most astonishing– of these composers.
This recording was made possible by the talent and extreme clear-sightedness of Christian Ivaldi, an indispensable partner in this project and the ideal pianist. The presence of the Camerata de Bourgogne concludes a happy, twenty-three-year adventure in Dijon, the city of Rameau, where life is so pleasant and where, thanks to my father, I dreamed my musical passions.
Thierry Caens, September 2010.
Thierry Caens was born in Dijon (France) in 1958. He received his first musical education with his father and then with Robert Pichaureau and Pierre Pollin, and joined the Paris Conservatoire National Supérieur de Musique in the class of Maurice André, where he obtained a First Prize for Trumpet in 1977 and a First Prize for Cornet in 1978. He joined the Orchestre de Lyon as Solo Trumpet at age 17. From 1981 he was Solo Cornet with the Orchestre de l’Opéra de Paris for five years. In the meantime he won a Bronze Medal at the Geneva International Competition in 1981 and founded the ‘Concert Arban’ which he led until 1989, when he became musical director of ‘Les Cuivres Français’. He plays in trio regularly with horn-player André Cazalet and trombonist Michel Becquet. He currently teaches at the Dijon Conservatoire and has been a trumpet-teacher at the Lyon Conservatoire National Supérieur de Musique since 2003.
He now devotes himself mainly to his career as a soloist, and is invited in the most famous concert halls in the world, from the Geneva Victoria Hall to Bunka Kaikan in Tokyo, including China, Italy and the United States, not forgetting the Paris Salle Pleyel.
He plays with the greatest soloists and numerous orchestras. Thierry Caens’s passion for mixed artistic genres makes him one of the most inventive and sought-after musicians of his generation: He played the trumpet solo part of Jean-Claude Petit’s score for the film Cyrano de Bergerac. Since October 1977 he has been sound-designer for the German firm J.A. Musik and contributes to the design of B&S trumpets. A composer and arranger, he runs the Hamelle-Leduc ‘Thierry Caens’ collection, and Midi-Musique’s Brass-Plus collection on the Internet.
He was Artistic Director of the Camerata de Bourgogne (1987 - 2009) and he is always of the festival ‘Musique au Chambertin’. He gave a world première of William Sheller’s Concerto at the Paris Salle Pleyel in January 1993 with the Orchestre des Concerts Lamoureux conducted by Yutaka Sado. In 1999 he created his first show Le Piston Magique at the Music Festival of Sully-sur-Loire with the circus company ‘Les Saltimbanques’, stage-produced by Jean-Marie Sénia. |
2019 VISITOR’S GUIDE
CATCH SOME fun in FRANKLIN COUNTY
www.FranklinCountyTourism.com
CATCH SOME FUN IN Franklin County
Beeds Lake State Park
Friday Uncorked, Downtown Hampton
Halloween Howl, Hampton Courthouse
Splash Pad, Latimer
Rolling Prairie Trail, Coulter
Franklin County Tourism
www.HamptonIowa.org
the Chamber Greater Franklin County
hamptoniowa.org 641.456.5668
A Main Street Iowa Community
firstname.lastname@example.org
As you look for activities in and around the county, look no further than the
HAMPTON CHRONICLE & The Sheffield Press
We are honored to be the county’s most trusted media source.*
As you turn the pages of our publications you’ll find the most up to date news anywhere. You can find us online at hamptonchronicle.com or sheffieldpress.com, on Facebook, or available for sale on newsstand locations throughout the county.
We’re thrilled you’ve chosen to visit Franklin County and look forward to another visit in the very near future. In the mean time, stay in touch!
Pam DeVries,
President/CEO
Mid-America Publishing Corporation
THE OFFICIAL NEWSPAPERS of Franklin County
HAMPTON CHRONICLE
641-456-2585 | 9 2nd St. NW, Hampton
SHEFFIELD PRESS
641-892-4636 | 303 Gilman St., Sheffield
*Results are from the 2014 Downtown Hampton Market survey
A Big Franklin County Welcome!
Greetings!
On behalf of the Greater Franklin County Chamber of Commerce, I would like to welcome you to our county. Whether you are visiting for the day, looking for a new place to call home, or you are already a resident of our thriving community, Franklin County is an outstanding place to live, work and grow a business.
For many years our members have supported our community and continue to graciously donate and share their time and expertise with our growing community. The Greater Franklin County extends beyond our county lines, and includes the school districts of Hampton-Dumont-CAL and West Fork. With these extended communities making up the Greater Franklin County Chamber of Commerce, we work to keep the businesses prospering.
I am proud to say that we are an active Chamber that looks to advance its members’ growth and prosperity, and provide increased opportunities and value for its membership. The Chamber’s mission is to work together by supporting and encouraging growth in the downtown district and beyond. By advocating for and uniting the business community with the Main Street Iowa District, we strive to promote business interests and the region’s economic health. To carry out this mission, the Chamber serves as the voice of business and community leadership.
As the Chamber of Commerce President, I want to encourage you to look at the center of this visitor’s guide to find by category the businesses that belong to the Franklin County Chamber of Commerce. I would also encourage you to become active in the community and in our Chamber of Commerce by reviewing our published calendars of events and opportunities to make a positive difference in our community at www.HamptonIowa.org. If you have further questions, please give us a call at 641-456-5668. Thank you for the opportunity to serve you.
Megan Abbas
President,
Greater Franklin County Chamber of Commerce
Assistant Office Manager,
Rehabilitation Center of Hampton
Hello friends,
My name is Marcus Kofoot and I would like to personally welcome you to Franklin County! In the heart of North Iowa, with three major travel ways running through our incredible landscape, we are easy to find just use Hwy 3, Hwy 65, or Interstate 35. From outdoor recreation to antiquing, shopping to wine tasting, people watching to exploring history, Franklin County offers endless opportunities! I enthusiastically invite you to visit us and CATCH SOME FUN!
Once your settled in at one of our locally owned hotels or motels (or checked in at the amazing Bed and Breakfast) you’ll want to plan plenty of time to visit all the unique specialty shops in historic downtown Hampton and surrounding communities. You can find hand-crafted treasures, antique and vintage items, curated clothing ensembles and accessories as well as fine jewelry just to name a few. If picking is your passion come for the fun on Labor Day weekend and browse the Highway 3 Corridor Yard Sale or make a trip to the Geneva Market each spring and fall.
Several of our picturesque communities including Sheffield, Hampton, Geneva, Bradford, Coulter and many others are home to amazing family owned eateries. You can find hand-made pizza, award winning tenderloins, ethnic cuisine, and much more just don’t forget our local cafés for an amazing breakfast. If brews or the fruit of the vine are your passion visit the Rustic Brew an amazing micro-brewery or the TownsEnd Winery (make sure to attend their annual wine release)!
We invite you to golf one of our award-winning courses, spend an afternoon at the shooting range, play a round of disk golf, or try geocaching. We are also home to Beeds Lake State Park as well as many county parks for your camping, fishing, hunting, and outdoor recreational enjoyment. Rolling Prairie Trail system cuts through the heart of Franklin County connecting many of our incredible towns, enjoy it year-round for bike riding, snowmobiling and trail blazing.
Please stop by our visitor’s center, Center 1, on Main Street Hampton, located on Highway 3, and pick up a self-guided walking tour of our Historic Downtown District or find information on our many historic sites and markers. Grandpa’s Farm and the Historic Pleasant Hill are open during the Franklin County Fair in July, with free admission and national touring acts as well. Plan to attend the Harriman-Nielsen Annual Fall Festival, in October. The Historic Windsor Theatre offers blockbuster movies weekly and special performances sponsored by the Franklin County Arts Council throughout the year.
“Like” our Facebook pages at Franklin County, Iowa Tourism; Greater Franklin County Chamber of Commerce; and Hampton, Iowa to find links to new events and activities going on in Franklin County.
Thank you for your interest in Franklin County. Stop, visit and CATCH SOME FUN!
Respectfully,
Marcus Kofoot
President, Franklin County Tourism
Welcome to Franklin County!
We’re sure you’ll enjoy shopping, dining, and even banking locally with us!
Our ATM:
Available 24/7 for withdrawals & deposits. Conveniently and securely located in our south entry.
Our Lobby Hours:
Monday thru Friday: 8:30 a.m. - 3:00 p.m.
Drive-thru: 8:30 a.m. - 5:00 p.m.
Saturday: 8:30 a.m. - 11:00 a.m.
FIRST BANK HAMPTON
First for you!
211 First Ave N.W. Hampton, IA
Ph: 641-456-4793
www.firstbankhampton.com
GO BANK SHOP DINE LOCAL
Member FDIC
Produced by Mid-America Publishing
March, 2019
9 Second Street NW – Hampton, IA 50441
641-456-2585
CONTENTS
2 Welcome to Franklin County
4 Visitor Resources: Government Listings
ATTRACTIIONS
6 Golf Courses in Franklin County
7 North Hansell Shooting Complex
Rolling Prairie Trail
9 Hampton Family Aquatic Center
Latimer Splash Pad
10 Beeds Lake State Park
11 City Parks: Hampton, Coulter, Latimer, Geneva,
Hansell, Popejoy, Sheffield, Ackley, Dows
17 Franklin County Freedom Rock
18 Park Events
20 Franklin County Parks
BUSINESS
26 Greater Franklin County Chamber Members
Business Directory: Lodging, Retail, Vehicle,
Professional, Construction, Organizations and
Churches
33 Greater Franklin County Chamber Board 2019
34 Franklin County Businesses
ENTERTAINMENT
36 Harriman-Nielsen Festival
37 Franklin County Fair 2019
38 2019 Fun Schedule: Events Calendar
HISTORY
43 Franklin County Historical Sites
COVER PHOTOS
Events throughout
Franklin County
Photos by Mid-America Publishing staff
FRANKLIN COUNTY
FRANKLIN COUNTY BOARD OF SUPERVISORS - ELECTED
District 1, Mike Nolte • 641-456-5444
District 2, Gary McVicker • 641-456-3916
District 3, Corey Eberling • 641-892-4726
The board meets Mondays at 8:30 a.m. in the supervisors’ boardroom, lower level of the courthouse, 12 1st Ave. NW, Hampton. Supervisors’ boardroom • 641-456-5624
FRANKLIN COUNTY ASSESSOR
Gwana Wirtjes
12 - 1st Ave. NW, PO Box 575
Hampton, IA 50441
Phone: 641-456-5118
Fax: 641-456-6005
FRANKLIN COUNTY ATTORNEY
Brent J. Symens
24½ 1st St. NW, PO Box 315
Hampton, IA 50441
Phone: 641-456-4658
FRANKLIN COUNTY AUDITOR
Michelle Giddings
12 - 1st Ave NW, PO Box 26
Hampton, IA 50441
Phone: 641-456-5622
Fax: 641-456-6001
STATE OF IOWA CLERK OF COURT
Deb Bausman
PO Box 28
Hampton, IA 50441
Phone: 641-456-5626
Fax: 641-456-5628
FRANKLIN COUNTY RECORDER
Toni Wilkinson
12 1st Ave NW, PO Box 26
Hampton, IA 50441
Phone: 641-456-5675
Fax: 641-456-6009
FRANKLIN COUNTY SHERIFF
Aaron Dodd
PO Box 57
Hampton, IA 50441
Phone: 641-456-2731 (dispatch)
641-456-6035 (office)
FRANKLIN COUNTY TREASURER
Chad Murray
12 - 1st Ave NW, PO Box 26
Hampton, IA 50441
Phone: 641-456-5678
Fax: 641-456-6003
MORE COUNTY DEPARTMENTS
COMMUNITY RESOURCE CENTER
641-456-2128
CONSERVATION & PARKS
641-456-4375
EMERGENCY MANAGEMENT AGENCY
641-456-6032
ENGINEER’S OFFICE
641-456-4671
ENVIRONMENTAL HEALTH & SANITATION
641-456-4090
EXTENSION SERVICE
641-456-4811
GIS & MAPPING
641-456-6045
HOME CARE SERVICES
641-456-5830
INFORMATION TECHNOLOGY
641-456-6044
PLANNING & PROGRAMMING
641-456-2128
PUBLIC HEALTH
641-456-5820
VETERANS AFFAIRS
641-456-5670
ZONING
641-456-2128
CITY OF ALEXANDER
MAYOR
Thomas Schear
COUNCIL
Roy Arends, Cody Hoyt, Quentin Boelman, Marie Carroll and Virgil Larson.
Council meets the first Tuesday of the month.
CITY CLERK
Aimee Miller
Mail: PO Box 1, Alexander, IA, 50420
Phone: 641-692-3223
Email: email@example.com
CITY OF COULTER
MAYOR
Joel Lohrbach
COUNCIL
Cristie Larsen, Lon Allen, Dallas Paris, Anthony Stadtlander and Daniel Tilkes.
Council meets the second Wednesday of the month.
CITY CLERK
Janet Hansen
Mail: PO Box 5, Coulter, IA 50431
Phone: 641-866-6942
Email: firstname.lastname@example.org
CITY OF ACKLEY
MAYOR
Erik Graham
COUNCIL
Pat Hurt, Judy Crawford, Pat Daggs, Robert Harms and Joe Wessels.
Council meets the second Wednesday of the month.
CITY CLERK
Kelly DeBerg
CITY HALL: 208 State, Ackley, IA 50601
Phone: 641-847-3332
Email: email@example.com
ECONOMIC DEVELOPMENT
Jefferson Fosbender • 641-847-2214
Email: firstname.lastname@example.org
CITY OF DOWS
MAYOR
Larry Klatt
Council meets the first Monday of the month.
CITY CLERK
Jeanette Wenzel
Mail: PO Box 395, Dows, IA 50071
Phone: 515-852-4327
Email: email@example.com
CITY OF GENEVA
MAYOR
Sean Porter
COUNCIL
Brody Bertram, Larry Kreimeyer, Raymond Silver, Todd Pilchard and Jim Zacharias.
Council meets the second Wednesday of the month.
CITY CLERK
Erica Nolte
Mail: PO Box 217, Ackley, IA 50601
Phone: 641-580-0427
Email: firstname.lastname@example.org
CITY OF HANSELL
MAYOR
Colten Harper
COUNCIL
Joe Hanna, Jason Harper, Taylor Jones, Daryl Norman and Michael Norman.
Council meets the second Monday of the month.
CITY CLERK
Erica Nolte
Mail: PO Box 217 Ackley, IA 50601
Phone: 641-580-0427
Email: email@example.com
MORE DEPARTMENTS
AIRPORT 641-456-4853
AQUATIC CENTER 641-456-5757 (summer, or city hall off-season)
CITY HALL 641-456-4853
CEMETERY 641-456-5740
EMERGENCY 911
STREET DEPARTMENT 641-456-4372
UNDERGROUND UTILITY LOCATING 800-292-8989
WASTE WATER 641-456-2635
WATER WORKS 641-456-2124
TOWN OF SHEFFIELD
MAYOR
Scott Sanders
COUNCIL
James Robbins, Nick Wilson, Jim Hagerty, Brad Mulford and David Smit.
Council meets second Monday of the month.
CITY CLERK
Katy Flint
Mail: PO Box 252, Sheffield, IA 50475
Phone: 641-892-4718
Email: firstname.lastname@example.org
CITY OF HAMPTON
MAYOR
Brook Boehmler
COUNCIL
Jesse Mollenbeck, Lance Uhlenhopp, Russell Wood, Bill Hodge, Richard Lukensmeyer and Jim Davies.
Council meets the second and fourth Thursday of the month.
ADMINISTRATIVE STAFF
CITY MANAGER
Ron Dunt
PUBLIC WORKS DIRECTOR
Doug Tarr
122 1st Ave. NW, Hampton, IA 50441
Phone: 641-456-4853
Fax: 641-456-3216
Email: email@example.com
POLICE DEPARTMENT
CHIEF
Robert Schaefer
17 2nd St. NW, Hampton, IA 50441
Phone: 641-456-2527
FIRE DEPARTMENT
CHIEF
Kent Wilkinson
203 2nd Ave. NW, Hampton, IA 50441
Phone: 641-456-4213
HAMPTON PUBLIC LIBRARY
DIRECTOR
Kim Manning
4 Federal St. S, Hampton, IA 50441
Phone: 641-456-4451
TOWN OF LATIMER
MAYOR
Mark Johanssen
COUNCIL
Catherine Crooks, Eric Bruns, Randall DeBour, Shaun Koenen and Landon Plagge.
Council meets the second Wednesday of the month.
CITY CLERK
Melissa Simmons
Mail: PO Box 744, Latimer, IA 50452
Phone: 641-579-6452
Email: firstname.lastname@example.org
CITY OF POPEJOY
MAYOR
Dale Maas
COUNCIL
Ronald Allen, Dennis Bradley, Shi Trenary, Sean Ludwig and Jason Nohrenberg.
Council meets the second Tuesday of the month at 6 p.m.
CITY CLERK
Jolene Nohrenberg
Mail: PO Box 15 A, Popejoy, IA 50027
Phone: 641-373-6660
Email: email@example.com
FRANKLIN COUNTY TOURISM BOARD
PRESIDENT
Marcus Kofoot, Franklin County Fair/Midwest Meter Mid:Com
VICE-PRESIDENT
Dennis Carlson, Carlson Tree Farm
PAST PRESIDENT
Crystal Cross, Franklin General Hospital
TREASURER
Cindy Mollenbeck, First Bank Hampton
MEMBERS
Donnis Borcherding, First Security Bank & Trust
Michelle Hartman, Tupperific Team Sales Tupperware
Dyanne Pralle, Pralle’s Car Wash
Guyla Pohlman, Specialty Shops/The Wood Cellar
EX OFFICIO
Gary McVicker, Franklin County Supervisor
Jim Davies, City of Hampton Representative
STAFF
Newton Grotzinger, Greater Franklin County Chamber of Commerce Executive Director
Dawn Collins, Greater Franklin County Chamber of Commerce Assistant
Iowans love their golf, and that’s because there is so much golf available for the average hacker and the fanatic alike.
Hampton is home to the prestigious Hampton Country Club, previously voted the best nine-hole course in Iowa. It features established trees, a short but tight layout, and some wickedly tricky greens that always leave golfers shaking their heads. The signature hole is the 255-yard par four sixth. If you hit a big drive straight, you have a chance for an eagle. Mess up the drive, and you might wind up with a six, or worse! The course is private, but if you live outside the county, you can play on certain days. Call 641-456-3256 for more information.
The newest course in the area is the Ridge Stone Golf Club on the southwest side of Sheffield. This public-play-links-style layout has it all - a few trees, difficult bunkers, water hazards, elevated and fast greens and beautiful tees. The par five seventh hole is a dandy, featuring a pond on the right and a creek on the left off the drive. The creek meanders about 70 yards in front of the green, making going for it in two a hazard. The two-tiered green, protected by bunkers and trees, adds a little more spice. Call 641-892-8040 for information.
If you want to work on your short game, try the Latimer Golf Club. It’s easy to walk as the course is mostly flat, and the holes are short. But the elevated greens and a few well-placed bunkers make scoring well very difficult. If the bump-and-run is your shot, this is your course! The course is open to the public. Call 641-579-6090 for details.
Another well-kept secret is the Dows Golf Course on the east side of Dows. This course has challenging holes of all lengths and widths. The course is played by a corps of loyal golfers who take pride in the condition of the course. You’ll enjoy the blind tee shot through the saddle as you near the end of your round — especially if you hit it well. Call 515-852-4751 for information.
NORTH HANSELL SHOOTING COMPLEX
The North Hansell Shooting Complex is located two miles north of Hansell on Franklin County Road S-56 (Timber Avenue) just south of C-25. Two open shelters were completed in 2011 to protect users of the long-range course from the elements, with the aid of a grant from the Community Foundation of Franklin County.
The course features a shotgun range with a sporting clays launcher, a rifle range with target berms at 100-350 yards and a pistol range with target areas from 15-100 yards. The shorter three-gun range for action shooting is a more recent addition.
Range users will be asked for a $10 per day fee to cover development and maintenance of the facility. For regular visitors, a $50 season pass is available.
The range features reflective steel targets, offering visual and auditory feedback. Paper targets may be brought.
The pistol range features swinging steel plate targets at 15 and 25 yards, and a dueling tree. The rifle range offers swinging steel plate targets at each of the target berms ranging from the size of a deck of playing cards up to 2 by 2 feet. Picnic tables are available. The complex is handicap-accessible with an on-site restroom.
The North Hansell Shooting Complex is part of the Franklin County Conservation Department and was built entirely by volunteers and donations. It is next to the site of the former Franklin County Landfill.
For more information, contact Franklin County Conservation at 641-456-4375.
THE ROLLING PRAIRIE TRAIL
Walkers, joggers, cyclists and snowmobilers can appreciate Franklin County’s beautiful landscape first hand with a trip down the Rolling Prairie Trail.
The 20-mile recreational path opened in 2011 and runs from Coulter to the Butler County line. It can be utilized for multiple purposes depending on the season, and it’s become one of Franklin County’s most prized attractions since its creation.
The limestone trail has multiple rest areas along the route for users to catch their breath or take in the scenery. There is also an asphalt trail detour that leads to Beads Lake State Park, where there are even more recreational opportunities. In 2015, a pair of bridges that are located on the route to Hansell were resurfaced.
The new structures provide a wider, smoother surface to accommodate cyclists, snowmobiles and the trail groomer for use during all seasons. They were installed over top of the existing bridges, which have been deemed structurally sound by an engineer. The conservation department recently resurfaced the entire trail with crushed limestone, all the way from Coulter to the county line. The crushed limestone now provides a much smoother ride.
The creation of the Rolling Prairie Trail was a joint effort between Franklin County Conservation, the Iowa River Riders Snowmobile Club and multiple local donors. The trail, which was formerly a railroad, is groomed for users each season and is a well-maintained outlet for residents and visitors in Franklin County.
The trail takes users through the rolling hills and expansive landscape of rural Iowa. Wildlife like prairie birds, small mammals and other critters can be seen along the path, which is an added bonus for nature lovers both young and old.
When you visit, make sure to check out the Rolling Prairie Trail. It will give you a unique look at Franklin County’s beautiful landscape that’s sure to have you coming back for more.
Please heed signs on the trail. Except for handicap-assistive devices, motor vehicles are not allowed on parts of the trail, especially the cemetery spur.
For details, call Franklin County Conservation at 641-456-4375.
I wanted to write and thank you for all your help in my first home purchase. I really enjoyed working with you.
I enjoyed your low pressure sales approach.
I’ve dealt with salespeople that wouldn’t leave you alone, I need time to make decisions on my own. You were always there though when I needed help on the things I didn’t understand. Thanks for everything!
Rob B.
Chuck just sold our house, got more than asking price. He went above and beyond, even doing some painting on the house when we ran out of time. Our seller’s loan was long and complicated but he stuck with it and pushed to get everything through, fighting for every step.
I would recommend him to anyone to sell anything!
Andrew Y.
Thank you so much for the professional handling of the sale of our Dows home. Holly and I have been involved in approximately thirty real estate transactions and feel your service ranked at the top. It was obvious you expended great effort to provide extensive comparable values for us to determine the asking price.
We have yet to find a superior agency to Abbott Realty.
Steve & Holly C.
SOLD in six days!
We had two offers in that time frame, one of them being for the full list price. We worked with Kathy for the purchase and sale of this home and she kept us promptly informed on showings, negotiations, and also requests from the buyer. I would recommend Kathy to anyone who is moving into, around, or out of Hampton.
Lloyd & Mahna R.
My family worked with Kathy & Chuck early this year to sell my Dad’s house. We listed the house in December, not the best time of year in Iowa to list a home. However, by the end of March we had an offer and by the end of May all was done. They took care of everything!
Being the executor of my Dad’s estate there was a lot of paperwork to complete. Kathy made it so easy by coming to my office for my convenience. I would definitely use Abbott Realty for future real estate business.
Carol R.
My brother and I contacted Kathy of Abbott Realty when we made the decision to sell the acreage of our parent’s farm. We couldn’t have made a better choice. Because we both lived out of the area, we needed to have someone that we could trust to get us the best deal possible. She did that and more.
We ran into some problems and she handled them quickly and professionally. I highly recommend Kathy to anyone who needs a competent Realtor who is willing to go above and beyond for her clients.
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We purchased a home in Oct. 2016 from Abbott Realty in Hampton, IA. Chuck Svendsen was our agent and he endured many telephone calls through our buying process and was always gracious and very helpful. He was very professional and we were very happy to have Chuck and Abbott Realty as our Realtors.
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NEW LATIMER SPLASH PAD PROVIDES WAVES OF RELIEF FROM SUMMER HEAT
The City of Latimer celebrated a new way to beat the heat last summer.
Just days before the Fourth of July, on a night where temperatures climbed near 100 degrees, the Latimer Splash Pad was turned on for the public for the first time.
That night, when dozens of children and their parents showed up to cool off, marked the culmination of a little more than a year of fundraising and grant writing. The pad, which contains several water features and fountains, was purchase and constructed strictly out of grants and donations.
Located in the city park, the splash pad provides a great opportunity for families to cool down from the summer heat and do so without having to travel since the nearest pool at the Hampton Aquatic Center is 10 miles away.
To get the Splash Pad was a community wide effort with Cub Cadet Daycare, the Latimer Parks Society, the City of Latimer and the Splash Pad Committee all kicking in with the planning process. Even the schools joined the fun, conducting fundraisers and challenges to pitch in their spare change.
HAMPTON FAMILY AQUATIC CENTER
The Hampton Family Aquatic Center opened in May of 2011, replacing the city pool that was nearly 50 years old at the time.
With multiple water slides of varying speeds, diving boards, a zero-depth entry pool, a kids’ area and more, the $3 million aquatic center features something for swimmers of all ages. And before the pool closes for the season, four-legged friends are invited to splash around in the water during the aquatic center’s annual Dog Swim.
The Hampton Family Aquatic Center typically opens on Memorial Day weekend, conditions permitting and operates until Labor Day weekend. Hours of operation are noon to 5 p.m. and 6 to 8 p.m. The aquatic center sits on the north side of Hampton’s Progress Park. The park includes a baseball diamond, a skate park, play structures and recently renovated basketball, tennis and volleyball courts.
Aquatic center rates may be obtained by calling 641-456-5757 or the Hampton City Hall at 641-456-4853.
Visit www.hamptonia.us for more information.
BEEDS LAKE STATE PARK
Whether you are picnicking, camping, boating or just taking a stroll through hiking paths, Beeds Lake State Park is ideal for outdoor enthusiasts of all ages.
Since 1857, the handicapped-accessible state park is one of the most popular attractions in Franklin County. It features an expansive 320-acre park area and 98-acre lake.
Beeds Lake is an ideal place for a family cookout, with many grassy and shaded picnic areas to provide opportunities for relaxation.
A major attraction is the former beach concession, which has been renovated into a lodge. It is available for rentals at a cost of $80 on weekends and $40 during the week, plus tax. It has a large amount of seating, a kitchen and French doors that open lakeside and to the south.
A rustic shelter with electrical service is available and may be reserved for $25, plus tax. The shelter and lodge may be reserved through the park reservation system online.
The sandy beach is located on the west side of the causeway. Although no lifeguard is on duty, the beach area is always open and is a great place for young and old to enjoy the water on a hot summer day.
The lake is a popular destination for anglers year-round. Walleyes, bass, catfish, panfish and tiger muskies are available. A fishing jetty and dock are located on the south shore of the lake and are accessible to people who are mobility-impaired.
Beeds Lake is a popular boating spot due to its scenic beauty. Motors of all horsepower may be used, but must be operated at no-wake speed. A modern boat ramp is located on the southern shore of the lake near the beach area.
The campground at Beeds Lake has 144 sites, 99 with electricity. Modern restrooms and shower facilities are available, as well as a sanitary dump station.
Camping permits are $16 per night for a basic unit in the electric area and $11 per night for a basic unit in the non-electric area, for up to six people, from Memorial Day through Labor Day.
Beeds Lake was a recipient of a large capital investment. In May 2014, workers completed the finishing touches on the campground’s second new shower house and restroom facility. The first one was completed in 2013 near the east side of the camping area, and workers installed the latest addition on the west side.
The new facility cost approximately $220,000. The first shower house was extremely popular with visitors in 2013, and park officials expected more of the same with this one. Both are handicapped accessible, very low maintenance and provide more privacy for users.
Iowa does not have a fee to use its state parks, but you should take a few garbage bags. You are responsible for removing your own trash from the park.
Beeds Lake State Park provides more than just recreation and a view of Iowa’s rural beauty. It also provides a taste of Iowa’s rich history.
Listed on the National Register of Historic Places, the park and man-made lake feature structures built by the Civilian Conservation Corps during the Depression years of the 1930s. The CCC cluster includes the spillway, causeway, bathhouse and concession stand.
HAMPTON PARKS
Band Shell Park
Features the second-oldest band shell in Iowa. It was built in 1959 at a cost of $4,400 using funds from an estate and the park board.
Music and architecture enthusiasts should be sure to visit the recently renovated Hampton Band Shell in the summer. The Hampton Municipal Band performs concerts each Tuesday night in June as part of the Chamber’s Tuesdays on the Town event, which is held downtown in Band Shell Park across from the Franklin County Courthouse. Guests are encouraged to bring lawn chairs or use the park’s many benches to take in the unique music experience.
In 2010, the band shell was deemed structurally unsound. After pro-bono consulting from RDG Planning and Design in Des Moines, the community pitched in to raise more than $90,000, enough to restore the historic structure and begin an endowment for future improvements.
Progress Park
The north side of the park, on the hill, features the bright Hampton Family Aquatic Center with four waterslides, a foam lobster, wading pool, play set and water dump bucket. A restroom is available seasonally.
At the foot of the hill, the park includes a baseball diamond and — new in 2013 — a skate park, two new play structures, and renovated basketball, tennis and sand volleyball courts.
The recreational trail connects Progress Park to the main line a block north.
Harriman Park
Located on the north edge of Hampton on Highway 65, includes several picnic shelters, playground equipment and fishing at the Spring Creek dam.
Improvements to Harriman Park were completed in 2016, with the installment of a 66-foot zip line, thanks in part to fundraising efforts by the Kiwanis Club of Hampton.
The addition of the zip line concludes approximately a year-and-a-half of fundraising, planning and construction.
The pond at Harriman Park was dredged in 1999 and 2000, and is full and ready for fishing.
A four-season shelter was built in 2001, and features air conditioning.
Nestled in a valley under many trees, Harriman Park has long been a popular spot for reunions and picnics.
East Park
Is on the east side of town along Highway 3. The park includes a disc golf course with a tricky water trap, soccer fields, a picnic shelter, playground equipment and wide-open spaces.
In the 2010s, East Park has been a stop on the North Iowa Disc Golf Tour.
A shelter house and concession stand building was constructed with funds from Hampton Rotary Club and the city in 2009.
Memorial Park
Located in the northwest of Hampton, at 3rd Avenue and 8th Street. It includes playground equipment, one shelter and room to play.
Beeds Lake State Park
Though near Hampton, it is outside city limits and can be found under county parks.
CITY PARK SHELTERS
Can be reserved by calling Hampton City Hall at 641-456-4853. To ensure that care is taken, the deposit is twice the rental fee.
COULTER PARKS
Coulter City Park and Athletic Field
Located in the center of town, Coulter has two blocks of public space. The first block features a memorial gazebo and benches lit with vintage style lighting; a large area with playground equipment, shelter house with grills, basketball area, restrooms and concession stand beneath a large canopy of trees.
The athletic field serves several area sports. First, our local Little Leagues baseball and softball teams and their families enliven the park from May until early July. Home field for La Liga de Coulter, 14 community soccer leagues from north and central Iowa play soccer tournaments on two fields every Saturday and Sunday night from April until November. The concession stand serves authentic Mexican food during the tournaments.
The entire two blocks of the city park also features a 9-hole Frisbee golf course.
Coulter Fun Day: Scheduled for Saturday, June 22, 2019; includes a parade, lunch and evening fireworks. Other activities include childrens’ entertainment and other local events. Find it on Facebook at Coulter Fun Day.
LATIMER PARKS
Latimer boasts two city parks. Community groups made many improvements at West Park in 2011. The park offers playground equipment, a renovated shelter house, tetherball courts, new picnic tables, vintage lighting, and wide sidewalks allowing wheelchair access. A portable restroom is available.
Over at Latimer’s East Park, on the north side of town, the summer is spent enjoying ball games at two diamonds, one for softball and one for baseball.
The east diamond, used for softball, saw a new roof and siding and relocation, with help of local FFA members, in 2012.
The town also features a small Gazebo Memorial Park next to its post office. Visitors may enjoy rest among the flowers.
**LATIMER**
*Latimer Fun Day*: Every two years, on the last Saturday of July, the Latimer Community Club puts together a day of fun for the town. Next Fun Day is scheduled for July 2019.
Games and activities aplenty are there to enjoy for kids of all ages.
**Latimer Historical Museum**
The back rooms of Latimer City Hall house a museum dedicated to the town history. City hall is open weekdays until 3 p.m. The museum is also available by appointment. Visitors learn about Latimer’s past through historic memorabilia from when the town was first established.
Call Latimer City Hall for more information, 641-579-6452.
**GENEVA**
*Burkley Park*
Rural Geneva is home to Burkley Park, operated by Franklin County Conservation. See County Parks.
**HANSELL**
*Hansell City Park*
Hansell’s city park features a softball diamond, playground equipment, a wooden ship and a shelter house.
The wooden ship, made by the Amish, was a gift from the Sue Rowen family to honor late mayor, David Rowen.
Community betterment funds allowed for building the shelter house.
The softball diamond is open until dark. Softball teams wishing to reserve the diamond should call city clerk Deanna Genz at 641-494-8425.
A portable restroom is available seasonally.
**POPEJOY**
*Popejoy Conservation Park*
Rural Popejoy is home to Popejoy Conservation Park, a 61-acre park half a mile south of Popejoy. See County Parks.
**SHEFFIELD**
*Sheffield Legion Park*
The city’s primary park is supported by both the city and the local American Legion.
Featuring a playground, gazebo, and a war memorial, the park is a central activity location for all ages.
Two little league ball diamonds opened for games in 2011, with an electric scoreboard.
*People in the Park*: People in the Park will be held on Saturday, Sept. 7, 2019, with the Sheffield Community Club the sponsoring organization. Legion Park is the location for most of the activities of the day. They begin with an omelet breakfast sponsored by the Sheffield Library Foundation, followed with a parade at 10:30 a.m., and kids games and activities. Lunch will be served by the Sheffield Community Club. There will also be vendors. There is free admission to the park.
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Path of Progress
Eugene Sukup had the vision for the path when the railroad quit running through Sheffield eight years ago. At that time, Sheffield obtained from the railroad the right of way with the idea in mind to create a bike trail. Ultimately, Eugene would like to see the trail connect with the new path in Hampton, which also connects to the path to Coulter.
“There is a lot of history from the north side of Sheffield south of Chapin, and it’s along that rail line. If we didn’t build a trail there, no one would have the opportunity to see it. There have been a lot of great businesses here in Sheffield and we want to make sure that people remember them,” Eugene explained.
The first 1.2 mile section of the Sheffield Path of Progress was completed in mid-September of 2011. That section includes a 170-foot bridge that was designed and constructed by employees of Sukup Manufacturing Company. Sukup also fabricated signs at the trailhead that list all of the businesses along that trail that were and/or are the lifeblood of the Sheffield community.
Along with sharing the area’s history, the Sheffield Path of Progress also allows Sheffield-area residents to get involved in the future of the state of Iowa. Iowa’s Healthiest State Initiative is a privately led public initiative intended to inspire Iowans and their communities throughout the state to improve their health and happiness and make Iowa the healthiest state. Using the walking/biking trail between Sheffield and Chapin is a great way for people in the Sheffield area to join in the initiative. Individuals are encouraged to form walking groups and “Just Move.” For more information on the Healthiest State Initiative, go to www.iowahealthieststate.com.
“We are blessed and thrilled to be able to give back to the community that means so much to us. We hope that people will make use of the trail to get out, exercise and take in the history and beauty of our area,” said Eugene.
ACKLEY
Prairie Bridges Park
Prairie Bridges Park and Campground is on County Highway S56 north of Ackley.
The park boasts 101 acres of prairie, timber, stocked fishing ponds, a swimming area and three miles of trails to bike and walk on. Trails take visitors through forested areas, among 18 acres of native prairie, and over streams and ponds via eight historical bridges.
A recreation trail connects it to town.
Amenities include a modern campground with 120 sites, most with electrical service, water, and septic connections, plus restroom and shower facilities.
There are 30 basic campsites; pull-through sites and septic sites are available.
An insulated shelter house and banquet facility measures 30 by 40 feet and accepts group reservations. Call 641-485-1623.
Fishing areas are accessible by small boats. Fishing is also accessible through a 14 by 16-foot handicap-accessible dock, cleared shoreline or numerous bridges.
Yearly events at Prairie Bridges Park include a car show put on by Sons of the American Legion, Haunted Hayrides in October and Christmas in July. For the car show and Christmas in July, trophies are awarded. There is also a 5k run and walk during the Ackley festival, Sauerkraut Days, in June.
Sauerkraut Days: Sauerkraut Days is the first weekend in June in Ackley. For more than a century, this four-day event has brought people together. Activities include carnival rides, live entertainment, wieners and sauerkraut, a grand parade, a children’s parade, children’s tractor pull, fishing derby, a German band, fireworks, a flea market and City wide garage sales.
DOWS
The Dows City Park and Shelter House takes up half a block and is on Ellsworth Street/County Highway S13. It is open year-round. The shelter house is suitable for entertainment events.
Dows Park and Swimming Pool is on the southwest edge of town at 2732 Dows Williams Road. The park and an adjoining campground are open year-round.
The campground has about 11 spots for electric and water hookup. It accommodates recreational vehicles.
The campground and pool share a bathroom and shower facility. Bathrooms are handicap-accessible and stay open May 1 to Nov. 1.
The swimming pool area is open June 1 to Aug. 31. The pool boasts two waterslides. The deep end is about 10 feet. There is also a wading pool.
For pricing, June to August, call the pool office at 515-852-4644.
The Dows Golf Course is at 200 85th St. The course is open from April 15 to Oct. 15. No reservations are taken. The course was built in 1965 solely by the labor of community members and has operated continuously.
For more information, call Dows City Hall at 515-852-4327, or during operating season, call the Golf Course office at 515-852-4751.
Dows Corn Days: The first weekend in August marks a large celebration. The festivities include a parade, entertainment in the park, food vendors, inflatable rides, several activities including a great fireworks display Friday night and a community church service on Sunday morning.
FREEDOM ROCK PROVIDES A COLORFUL HISTORY LESSON IN COULTER
Franklin County last fall became the 80th Iowa county to receive a Freedom Rock, courtesy of artist Ray “Bubba” Sorensen.
Just off the Rolling Prairie Trail in Coulter, the rock features images that honor both Franklin County’s and Iowa’s military history. Sorensen included a nod to Hampton’s Grand Army of the Republic Hall, the only hall west of the Mississippi River, and Admiral William Leahy, a Hampton native, who was appointed as Chief of Staff to President Franklin Roosevelt in 1942.
Sorensen also added scenes of the American Legion Riders, a presentation of the United States flag to the family of a fallen soldier and a tribute to all from the area currently serving.
Sorensen first painted a Freedom Rock near Menlo in Adair County nearly 20 years ago for Memorial Day. Word of that rock – and Sorensen’s annual tradition of repainting it for Memorial Day – soon spread. Sorensen then decided to make it his mission to paint one in all 99 counties.
Franklin County’s rock tells the story of some of the area’s most influential military presences. Sorensen’s mission is to paint each rock unique to its community but when those rocks are combined, they tell the history of Iowa as a whole.
“I love this state because we’re all the same but a little different,” he said. “It’s been amazing to dig up this local history. We have titans of some of the major battles in our history right here in Iowa.”
The Greater Franklin County Chamber of Commerce and the Franklin County Tourism Board of Directors are always working on events to keep Franklin County lively and entertaining! There are a lot of fun events planned for this year.
**TUESDAY ON THE TOWN**
*Every Tuesday in June*
Tuesdays on the Town are every Tuesday in June in Hampton’s Band Shell Park! This event will take you back to when families would come downtown for their entertainment and spend time together. KLMJ Radio invites a Nashville Recording artist each Tuesday to perform live on the Band Shell stage. The performance is then followed by the Hampton Municipal Band playing at 8 p.m. You will find food, vendors and that old fashioned laid back feel right in your own backyard.
**GRAN FESTIVAL**
*Saturday, June 1, 2019*
The fourth annual Gran Festival of North Iowa will be held on Saturday, June 1 in the Band Shell Park in Hampton, from noon until 10 p.m.
The event, that emphasizes Hispanic culture, is a fundraiser by local outreach group La Luz Hispana to support its programs. It features live music, folkloric dances, games and vendors and food to showcase the area’s unique cultural diversity.
Children are treated to train rides, a petting zoo, face painting and inflatables.
SUMMERFEST & CAR SHOW
August 24, 2019
Vehicles of all ages, of four wheels and two wheels, are cruised around the county Friday, Aug. 24. There will be a live band, car show, inflatables for the kids, and the KLMJ Tractor Parade. The White Sidewalls, a classic rock cover band, will take you back to the 50’s and 60’s when the music was hip and the cars were fast! There will be vendors in the park with food and product, and the car show will line up around the park.
FARMERS MARKET
Tuesdays and Fridays, May-October, 5-7 p.m.
The Franklin County’s Farmers Market takes place in downtown Hampton. Shoppers browse the selection of varied vegetables, sweets, baked goods and even plant transplants.
HARVEST WEEKEND
October 6, 2019
The Harriman-Nielsen Fall Festival at the historic farm site, on the west edge of Hampton on Highway 3, is Sunday, Oct. 6. A live vaudeville show and silent movie at the Hampton’s historic Windsor Theatre precedes it on Saturday, Oct. 5. Call 641-456-5668 for information about visitor’s accommodations that weekend.
Stay current with all of our community events through our website at www.hamptoniowa.org. There are new events posted all the time! ■
FRANKLIN COUNTY PARKS
Franklin County is blessed with an extensive park system and an active parks and recreation program.
Semi-modern camping means electric hookups but no water hookup, no shower and no flush toilets.
All areas said to be open to public hunting are thus only during hunting season and to licensed hunters. Non-resident hunting license applications are available from the Iowa Department of Natural Resources by phone at 1-800-367-1188.
Call 641-456-4375 for information on summer programs and the county parks.
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**ATTRACTIIONS**
**INGEBRETSON MEMORIAL GROVE**
Two miles west of Sheffield on C-13 and one mile north: Timbered area left in its natural state, with 1½ miles of trails.
**BURKLEY PARK**
Two miles west of Geneva: It is six acres of heavy timber.
**HANDORF ROADSIDE PARK**
Eight miles east of Hampton on Highway 3: It is four acres with a shelter house, toilets and picnic area.
**HAWKINS GAME MANAGEMENT AREA**
Three miles east of Alexander on C-25. It is one acre and open for public hunting.
**INTERSTATE LAKE PARK**
One mile south of I-35 and Highway 3: It is a 26-acre lake, originally a borrow pit for the construction of I-35. The lake is stocked with bluegills, channel catfish and largemouth bass. No swimming is allowed. Boats are restricted to 1½ hp motors.
**CREEK AT MALLORY PARK**
**MALLORY MEMORIAL PARK**
Four-and-a-half miles south of Hampton, and two miles west of Highway 65: It is 71 acres with semi-modern and primitive camping areas, playground equipment, 1¼ miles of hiking trails, two picnic areas, and good smallmouth bass fishing.
**OAKLAND-IOWA RIVER CONSERVATION AREA**
Three miles southwest of Popejoy: A 281-acre tract bordering the Iowa River, open to fishing and hunting.
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**HAMPTON COUNTRY CLUB**
The Hampton Country Club is a beautiful **9-hole golf course** located just northeast of Hampton off Highway 65. We offer **affordable memberships** for those living in Franklin and the contiguous counties.
Our **course is open** to out-of-area golfers on Monday, Tuesday, Friday, Saturday & Sunday.
Our **restaurant is open to the public** for lunch on Tuesday, Wednesday & Friday and dinner on Tuesday & Friday.
**Clubhouse rental** is available for special events. Give us a call for details.
**We hope to see you soon!**
Hampton Country Club
1620 Country Club Lane
Hampton, IA 50441
T: 641-456-3256
WWW.HAMPTONIOWA.ORG
WKW CONSERVATION PARK
One mile north and one mile east of Hampton: It is 54 acres with trails and camping.
TOFT WILDLIFE AREA
Located on northeast corner of Dows: 14 acres for fishing and hunting along the Iowa River and an old gravel pit.
OAKLAND VALLEY GAME MANAGEMENT AREA
One-and-a-quarter mile southwest of Popejoy: The town of Oakland Valley existed here from 1855-83. The area is preserved as a wildlife area and historical site.
POPEJOY CONSERVATION PARK
Half mile south of Popejoy: It is a 61-acre park with semi-modern camping facilities, an enclosed shelter house for year-round use, toilets, picnic area, electricity, water, and playground equipment. A sledding hill is maintained for winter use.
Franklin Wellness Center
1514 Central Avenue E (Hwy. 3 E) - Hampton
www.franklinwellness.com
641-456-2827
ACCESSIBLE TO THE ROLLING PRAIRIE BIKE TRAIL
FACILITY HOURS
Monday - Thursday
5:30 a.m.-8:30 p.m.
Friday
5:30 a.m.-7:30 p.m.
Saturday
7:30 a.m.-5 p.m.
Sunday
Noon-5 p.m.
LAP & THERAPY POOL HOURS
Monday, Wednesday, Friday
5:30 a.m.-7:30 a.m.
Noon-1 p.m.
Monday thru Friday
4 p.m.-7 p.m.
Saturday & Sunday
12:30 p.m.-4:30 p.m.
Fitness/Strength Area
Gymnasium
Multipurpose Room
Walking Track
Pickle Ball
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DEER MEADOW WILDLIFE AREA
THORN APPLE WOODS
Five miles north and 7½ miles east of Hampton: A 93-acre tract of heavy timber and grassland on the West Fork of the Cedar River, open to public hunting and fishing.
ROBINSON PARK
One mile north and one mile east of Hampton: It is 60 acres with semi-modern camping, a shelter house, toilets, picnic area, playground equipment, electricity and water. Otter Creek runs through the park for the angler and a trail runs through the oak timber for the nature lover.
WEST FORK WILDLIFE AREA
Three miles north and 8½ miles east of Hampton: It is 123 acres of heavy timber located on the West Fork of the Cedar River, open to public hunting and fishing.
SHEFFIELD GAME MANAGEMENT AREA
Three miles west and one mile north of Sheffield: It is 16 acres divided into a small fishing lake, open grassland, and light timber. Open to hunting and fishing.
SPRING CREEK WILDLIFE AREA
Two miles east of Latimer and one mile north of Highway 3: It is a 20-acre grassy lowland through which Spring Creek flows. It is open to public hunting.
LONGSPUR HABITAT AREA
Lukes Wetland, three miles west of Hampton on Highway 3, then ½ mile north: A 100-acre wildlife habitat area, mostly a grassy flood plain of Spring Creek, with some timber and uplands. It is open to public hunting. A fen on the area is a type of wetland formed by the Wisconsin Glacier 12,000 years ago, which is on peat soils fed by ground water which comes to the surface. It has many unique and rare plants which thrive.
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Thurs. 9 a.m.–5 p.m. • Sat. 9 a.m.–12 p.m.
Powering Iowa
The wind in Franklin County will soon power more than 160,000 Iowa homes with clean energy.
This year, we’re building Whispering Willow East, to go alongside the existing Whispering Willow North and Franklin County Wind Farms.
Learn the latest at alliantenergy.com/wind.
MAYNES GROVE LODGE
DEER MEADOW WILDLIFE AREA
Nine miles east of Hampton and ½ mile north: It is 84 acres of bottom land timber and grassland. Hartgrave Creek passes through the public hunting and fishing area.
IOWA DNR WHITETAIL FLATS
Located off of Interstate 35 and three miles south of Dows in Wright and Franklin counties: It is 391 acres of river bottom timber and upland habitat, with three accesses to the Iowa River. It is open to public hunting and fishing.
IOWA DNR BEEDS WILDLIFE AREA
Two miles northwest of Hampton: A 30-acre tract of upland timber and grassland, containing two old fish rearing ponds and Spring Creek passing through; public hunting and fishing.
PRAIRIE TRACT
A half mile north of Highway 3 on Killdeer Ave.: It is a 37-acre annex to Spring Creek Wildlife Area. Open to hunting.
MAYNES GROVE
Four miles south of Hampton on Highway 65: It is 280 acres of upland timber with a 12-acre lake stocked with bluegill and catfish; three miles of hiking trails and cross country skiing; 2½ miles marked for horseback riding; a boat ramp for boats with motors up to 1½ hp; public hunting.
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HAMPTON
WWW.HAMPTONIOWA.ORG
### HOSPITALITY, RESTAURANT, CAMPING AND LODGING
**AmericInn Lodge & Suites**
Lori Mensing
702 Central Avenue W
Hampton, IA 50441
(641) 456-5559
www.americinn.com
Motels
**Antojitos Mexicanos La Chozita**
Israel Rodriguez
24 1st Street NW
Hampton, IA 50441
(641) 456-1908
Food Products, Services
Restaurants/Clubs/Tea Room
**B & C Kitchen Inc.**
Jeffrey Ho
7 1st Avenue NW
Hampton, IA 50441
(641) 456-2788
Restaurants/Clubs/Tea Room
**Beeds Lake State Park**
Scott Doescher
1422 165th Street
Hampton, IA 50441
(641) 456-2047
www.exploreparks.com
Parks and Recreation
**Country Heritage Bed & Breakfast**
Lacey Elphic
1034 Hwy 3
Hampton, IA 50441
(641) 456-4036
www.countryheritagebb.com
Bed and Breakfast
**Dudley’s Corner**
Dave Dudley
648 Highway 3
Latimer, IA 50452
(641) 866-6999
Restaurants/Clubs/Tea Room
Convenience Store
Gifts/Gift Shop
**Gold Key Motel**
Stephen and Sheri Mathis
1570B Hwy 65 N
Hampton, IA 50441
(641) 456-1996
www.goldkeymotel.net
Lodging
Motels
---
### Hampton Country Club
Jim Rhodes
1620 Country Club Lane
Hampton, IA 50441
(641) 456-3256
www.hamptoncountryclub.com
Golf Course
**Hampton Motel Corp.**
Dawn Zacharias
816 Central Avenue W
Hampton, IA 50441
(641) 456-3680
Motels
**Hardee’s**
Greg Emery
10 3rd Street SW
Hampton, IA 50441
(641) 456-3312
www.hardees.com
Restaurants/Clubs/Tea Room
Food Products, Services
**La Frontera Restaurant**
Mary Villanueva
200 1st Street NW
Hampton, IA 50441
(641) 456-9130
Restaurants/Clubs/Tea Room
Clothing/Grocery Store
**McDonald’s**
Scott Soifer
411 Central Avenue E
Hampton, IA 50441
(641) 456-4122
www.mcdonalds.com
Restaurants/Clubs/Tea Room
**Pit Row Pub, LLC**
Tom & Jennifer Rooney
19 Federal Street N
Hampton, IA 50441
(641) 456-1940
Lounge/Bar
**Rustic Brew**
Joel & Kathy Heuer
117 1st Street NW
Hampton, IA 50441
(641) 456-2141
Restaurants/Clubs/Tea Room
Coffee Shop
Gifts/Gift Shop
**Seven Stars Family Restaurant**
Frankie Aliu
709 4th Street SE
Hampton, IA 50441
(641) 456-5378
www.7starsfamily.com
Restaurants/Clubs/Tea Room
---
### RETAIL PRODUCTS AND SERVICES
**Access Systems**
Nicole Wagner
606 S Federal Avenue
Mason City, IA 50401
(605) 212-6794
www.accesssystems.com
Office Supplies, Equipment & Furniture
**Butson Tractor Repair & Restoration**
Jacob Butson
1027 6th Street SW
Hampton, IA 50441
(641) 456-3671
Retail, Products, Services
**Butson Snow Removal**
**Carlson Tree Farm**
Dennis & Cathy Carlson
867 130th Street
Hampton, IA 50441
(641) 866-6946
www.carlsontreefarm.com
Tree Farms
---
**Carol’s Flower Box, LLC**
Carol Schnabel
119 1st Street NW
Hampton, IA 50441
(641) 456-4580
www.carol’sflowerbox.com
Florist, Gifts/Gift Shop
**Casey’s General Store**
Tammy Viet
719 4th Street NE
Hampton, IA 50441
(641) 456-1909
Convenience Store
**Cathy’s Country Cook’n**
Cathy Carlson
867 130th Street
Hampton, IA 50441
(641) 866-6946
www.carlsontreefarm.com
Bakeries
**Cellular Advantage**
Mitchell Roe
20 1st Street NW
Hampton, IA 50441
(641) 373-7171
www.uscellular.com
Cellular Phone Service
**Christensen Jewelry**
Russ Gibson
120 1st Street NW
Hampton, IA 50441
(641) 456-3473
www.christensenjewelry.com
Jewelers, Gifts/Gift Shop
**Consolidated Energy Company**
Chris Waters
1120 S Federal
Hampton, IA 50441
(641) 456-5596
www.cecgas.com
Bulk Fuel & Oil
**Continental Wholesale Company, LLC**
Joel Orr
15 5th Avenue SE
Hampton, IA 50441
(641) 456-3165
www.continentalwholesale.net
Retail
## RETAIL PRODUCTS AND SERVICES
**Creative Solutions Unlimited, Inc.**
Kathy Alden
203 Gilman Street
Sheffield, IA 50475
(641) 351-7557
www.creativesolutionsunlimited.com
Website Design & Hosting
**Crossroads**
Connie Evans
4 4th Street SE
Hampton, IA 50441
(641) 456-3242
Convenience Store
www.wesselsoil.com
**D & L Sanitation, Inc.**
Scott & Jill Conlon
PO Box 556
Sheffield, IA 50475
(641) 892-4483
Garbage/Rubbish Collection
**DataQuest**
Dan Grell
1504 Oak Court
Hampton, IA 50441
(641) 456-5525
www.dataquest-hampton.com
Computer Sales/Service
**Diamond Ridge, Inc.**
Russ Gibson
703 Central Avenue W
Hampton, IA 50401
(641) 425-5420
www.dixiechopper.com
Lawn Mower Sales
**El Valle Store**
Jesus Duran
212 1st Avenue NW
Hampton, 50441
(641) 494-7244
Grocery Store
**Fareway Stores, Inc.**
Rick Schall
309 Central Avenue W
Hampton, IA 50441
(641) 456-5253
www.fareway.com
Grocery Store
**Fireside Gifts**
Cindy Grefe
104 1st Street NW
Hampton, IA 50441
(641) 456-3171
Gifts/Gift Shop
**First & Second Vintage**
Jerre Grefe
123 1st Street NW
Hampton, IA 50441
(515) 851-0518
Antiques, Gifts/Gift Shop
**Flowers on Fourth**
Tiffany Winkowitsch
16 1st Street NW
Hampton, IA 50441
(641) 456-4283
Flower Shop, Gifts/Gift Shop
**Four Oaks Enterprises**
Dave Harms
1267 190th Street
Hampton, IA 50441
(641) 456-4293
Lawn Care & Landscape, Snow Removal
**Franklin Grassland Seed Inc.**
Is Noelck
1418B 170th Street
Hampton, IA 50441
(641) 456-4410
Agriculture, Seed Conditioning/Distribution
**Giddings Signs**
Jason Lubben
1105 4th Street SE
Hampton, IA 50441
(641) 456-2182
www.giddingssigns.com
Signs
**Got You Covered!**
John & Debbie Currier
112 1st Avenue NW
Hampton, IA 50441
(641) 456-4124
www.got-you-covered.biz
Apparel, Advertising Specialties, Athletic Wear, Embroidery, Screen/Screen Print
**Graphics Plus**
Scott Krogh
201 Main Street
Iowa Falls, IA 50126
(641) 648-2583
www.inkbig.net
Advertising Specialties
**Hampton Chronicle, a division of Mid-America Publishing Corp.**
Pam DeVries
9 2nd Street NW
Hampton, IA 50441
(641) 456-2585
www.hamptonchronicle.com
Newspapers
**Hampton Hardware**
Jeff Hofer
416 Central Avenue W
Hampton, IA 50401
(641) 456-1900
Hardware, Computer Sales/Service, Rentals/Party Equipment & Supplies
**Hampton Travel Planner**
Richard Lukensmeyer
420 4th Street NE
Hampton, IA 50441
(641) 456-5631
www.travel-planner.net
Travel Agencies
**Keith’s Krafts & Fixit, LLC**
Keith Kothenbeutel
4 2nd Street SE
Hampton, IA 50441
(641) 456-3557
Saw & Scissor Sharpening, Vacuum Cleaner Repair
**Koerner-Whipple Pharmacies, Inc.**
Todd Wragge & Wendal Speake
104 1st Street NW
Hampton, IA 50441
(641) 456-2510
Pharmacy/Drug Store, Gifts/Gift Shop
**Kum & Go**
Melody Taylor
609 Central Avenue W
Hampton, IA 50441
(641) 456-5106
Convenience Store
**Kwik Star**
Sheri Boomgarden
300 Central Avenue W
Hampton, IA 50441
(641) 456-2315
Convenience Store
**Liquor Barn II**
Amber Anderson
721 Central Avenue W
Hampton, IA 50441
(641) 456-4603
Liquor Stores
**Long Term Medical Supply Retail Store**
Teri Cywinski
116 2nd Avenue NW
Hampton, IA 50441
(641) 456-3192
www.ltms.com
Medical Supplies
**Medical Center Pharmacy**
Todd Wragge & Wendal Speake
1720 Central Avenue East
Hampton, IA 50441
(641) 456-4146
Pharmacy/Drug Store
**Miller Tree Farm**
Doug & Cindy Miller
1690 Raven Avenue
Hampton, IA 50441
(641) 456-2228
Tree Farms
**North Central Building Supply, Inc.**
Rod & Sandy Pralle
801 4th Street SE
Hampton, IA 50441
(641) 456-4711
Lumber
**Olive Avenue Feed**
Jon Petersen
1696 Olive Avenue
Hampton, IA 50441
(641) 456-3630
Pet Supplies
**Orange Possum**
Kelsey Card
12 1st Street NW
Hampton, IA 50441
(641) 456-4777
Gifts/Gift Shop, Clothing
**Prairie Vintage**
Carol Lowery
1518 Highway 65 N
Hampton, IA 50441
(641) 456-4515
www.midwestprairiecandles.com
Gifts/Gift Shop, Apparel, Candles, Home Decor
**Shopko Hometown**
Cathy Huffman
808 4th Street NE
Hampton, IA 50441
(641) 456-4891
www.pamida.com
Department Stores
**South Hill Designs/Mialisia**
Deana Hanson
19550 West Street
(712) 790-8748
www.southhildesigns.com/deanahanson
Retail, Jewelers
## RETAIL PRODUCTS AND SERVICES
**Spoken Wheel Cyclery**
Tyler Duit
416 Washington Avenue
Iowa Falls, IA 50126
(641) 648-2924
www.spokenwheelcyclery.com
Retail
**Sweet Moments Bakery**
Kathy Heeren
2362 170th Street
Dumont, IA 50625
(641) 857-3544
Home Business
**The Computer Guy**
Patrick Palmer
114 3rd Avenue N.E.
Hampton, IA 50441
(641) 456-1936
www.thecomputerguy.bz
Computer Sales/Service
**The Pampered Chef**
Suzann Rodemeyer
514 3rd Street SE
Hampton, IA 50441
(319) 290-9311
www.pamperedchef.biz/suerode
Gifts/Gift Shop, Home Business
**The Wood Cellar**
Guyla Pohlman
8 1st Street NW
Hampton, IA 50441
(641) 456-5510
Gifts/Gift Shop
**Timeless Treasure**
Vera Campbell
223 W Gilman Street
Sheffield, IA 50475
(641) 430-4492
www.sheffieldtimelesstreasure.com
Gifts/Gift Shop
**TownsEnd Winery & Vineyard**
Vernon and Judy Harper
2138 160th Street
Hansell, IA 50441
(641) 456-2836
www.townsendwinery.com
Gifts/Gift Shop, Retail, Winery
**Tupperific Team Sales-Tupperware**
Michelle Hartmann
801 South Lincoln Street
Sheffield, IA 50475
(641) 892-4206
www.mytupperware.com/michellehartman
Home Business, Retail
**Twin States Inc./Liqui-Grow**
Steve Heilskov
1455 140th Street
Hampton, IA 50441
(641) 456-4825
www.liqui-grow.com
Agriculture, Agriculture Retail
**Van Wall Equipment**
1611 Hwy 65
Hampton, IA 50441
(641) 456-2534
www.vanwall.com
Agriculture Retail, Agricultural Equip Repairs
**Verizon Wireless/ Select Communications**
Pat Macke
612 S. Oak
(641) 648-6550
www.verizonwireless.com
Cellular, Phone Service
**Windsor Theatre**
Jim Davies
103 Federal Street N
Hampton, IA 50441
(641) 456-4389
www.windsortheatre.com
Movies, Theaters
**Wize Bize**
Jeff Hofer
221 1st Avenue NW
Hampton, IA 50441
(641) 456-2662
Grocery Store
**Yarrow Avenue Collection**
Andrea Benning
420 Yarrow Avenue
(319) 430-9263
www.yarrowavenuecollection.com
Retail
**Young Living Essential Oils–Shanlyn & Breanna Goodman**
Shanlyn Goodman
692 120th Street
(515) 988-2730
www.shanlyngoodmanvibrantscents.com
Retail
## VEHICLE PRODUCTS AND SERVICES
**Brent’s Ag & Auto Repair**
Brent Kotenbrink
1683B Hwy 65 N
Hampton, IA 50441
(641) 456-5297
Agricultural Equip Repairs, Automobile Repairs
**BSA Auto Sales, Inc.**
Eric Barkema and Pauline Barkema
1014 4th Street NE
Hampton, IA 50441
(641) 456-4559
www.bsaautosales.com
Car Dealer, Detailing
**Butch Gruelke Auto Body, Inc.**
Hampton Auto Glass
Butch and Jennifer Gruelke
521 4th Street S.E.
Hampton, IA 50441
(641) 456-2425
Auto Body Repair and Paint, Detailing, Locksmith
**Hampton Auto Glass, Inc.**
Butch Gruelke
521 4th Street S.E.
Hampton, IA 50441
(641) 456-2425
Glass
**NAPA Auto Parts**
Jeremy Bidwell
11 Federal Street N
Hampton, IA 50441
(641) 456-2553
www.napaonline.com
Automobile Parts
**Pralle’s Wash City, Coulter**
Tod and Dyanne Pralle
45 Main Street
Coulter, IA 50431
(641) 456-0123
www.pralleswashcity.com
Car Wash
**Pralle’s Wash City, Hampton North**
Dyanne Pralle
1317 4th Street NE
Hampton, IA 50441
(641) 456-0123
www.pralleswashcity.com
Car Wash
**Pralle’s Wash City, Hampton West**
Tod Pralle
604 Central Avenue W
Hampton, IA 50441
(641) 456-0123
www.pralleswashcity.com
Car Wash
## PROFESSIONAL SERVICES
**Abbott Realty**
Kathy Plendl
7 1st Avenue NE
Hampton, IA 50441
(641) 456-4707
www.hamptoniowarealestate.com
Farm Real Estate, Real Estate-Commercial & Residential
**ABCM Corporation**
Richard Alibee
1320 4th Street NE
Hampton, IA 50441
(641) 456-5636
www.abcmcorp.com
Health Care/Organizations
**Apple Valley Assisted Living**
Terri Cosselman
1724 Central Avenue E
Hampton, IA 50441
(641) 456-2309
Care Centers
**Beringer Monument Company**
Dean Endriss
306 4th Street NE
Hampton, IA 50441
(641) 456-2303
www.kjgems.com
Funeral Homes/Monuments
**BodyWorks Fitness Club**
Brad Scheideman
808 4th Street NE
Hampton, IA 50441
(641) 456-4106
www.bodyworksfitnessclub.hamptoniowa.org
Fitness Club
## PROFESSIONAL SERVICES
**Burns Insurance & Financial**
Bob Burns
825 South Taft Avenue
Mason City, IA 50401
(641) 423-0075
www.burnsfinancialinc.com
Financial Planner, Insurance
**C4 Horsemanship Learning Center**
Carol Lowery
1518 Highway 65
Hampton, IA 50441
(641) 456-8509
www.carolowery.com
Horsemanship Learning Center
**Cady Rosenberg Law Firm, P.L.C.**
Art Cady/Megan Rosenberg
P.O. Box 456
Hampton, IA 50441
(641) 456-2555
www.hobsoncadylaw.com
Attorneys
**Cano’s Golden Shears**
Mayra Cano
201 1st St. NW
Hampton, IA 50441
(641) 231-1280
Cosmetology, Barber/Beauty Salons
**Castle Dick and Kelch**
Duane Kelch
2 2nd Street NW
Hampton, IA 50441
(641) 456-2578
www.cdkinc.biz
Insurance, Real Estate-Commercial & Residential
**Coonley & Coonley**
John Coonley
121 1st Avenue NW
Hampton, IA 50441
(641) 456-4741
www.coonleylawfirm.com
Attorneys
**Coonley & Heilskov, CPA’s, PC**
Patricia Heilskov
121 1st Avenue NW
Hampton, IA 50441
(641) 456-2441
Accountants, Quick Books Consulting
---
## Cub Cadet Childhood Center
Robyn Hill-Kofoot
1441 Gull Avenue
Latimer, IA 50452
(641) 579-6555
Childcare, Daycare
## Culligan Water Conditioning
Steve Carew
512 S Oak Street
Iowa Falls, IA 50126
(641) 648-5199
www.culliganwater.com
Water Conditioning
## Dr. Paul Sensor
Dr. Paul Sensor
112 2nd Avenue NW
Hampton, IA 50441
(641) 456-2625
Dentists/Dental Labs/Dental Care
## Dumont Telephone Company
Roger Kregel
506 Pine Street
Dumont, IA 50625
(641) 857-3211
www.dumonttelephone.com
Data Network Wiring
## Dumont Wellness Center
Mari Bansi
921 3rd Street
Dumont, IA 50625
(641) 857-3401
Care Centers
## Dutchman’s Oaks Assisted Living
Mari Bansi
921 3rd Street
Dumont, IA 50625
(641) 857-3401
Assisted and Independent Living
## Edward Jones
Soren Heilskov
1202 4th Street NE
Hampton, IA 50441
(641) 456-4946
www.edwardjones.com
Investment Counselors
## First Bank Hampton
David Heuberger
211 1st Avenue NW
Hampton, IA 50441
(641) 456-4793
www.firstbankhampton.com
Banks & Banking Associations
## First Security Bank & Trust – Hampton
Ron Raney
100 1st Street NW
Hampton, IA 50441
(641) 456-2559 - (800) 749-6209
www.1stsecuritybank.com
Banks & Banking Associations
## Franklin County Abstract Company
Dennis Borcherding
121 1st Avenue NW
Hampton, IA 50441
(641) 456-4551
Title Companies
## Franklin Financial Services
Belen Krabbe
11 1st Avenue NW
Hampton, IA 50441
(641) 456-4644
www.franklinfinancialservices.net
Investment Counselors, Insurance
## Franklin General Hospital
Kim Price
1720 Central Avenue E
Hampton, IA 50441
(641) 456-5000
www.franklingeneral.com
Hospitals/Healthcare Organizations/Medical Clinic
## Franklin Medical Center
Kim Price
1720 Central Avenue E
Hampton, IA 50441
(641) 456-5050
www.franklingeneral.com
Medical Clinic
## Franklin Wellness Center
Jim Davies
1514 Central Avenue E
Hampton, IA 50441
(641) 456-2827
www.franklinwellness.com
Fitness Club, Recreation
## Gibson Management, L.L.C.
Russell Gibson
120 1st Street NW
Hampton, IA 50441
(641) 456-2225
Real Estate-Commercial & Residential
## Hampton Community Christian Daycare, Inc.
Laura Bradley
104 12th Avenue NE
Hampton, IA 50441
(641) 456-4922
www.hamptondaycare.org
Daycare
## Hampton Dental P.L.C.
Jake Sorensen
27 N Federal
Hampton, IA 50441
(641) 456-3352
www.hamptoniowadental.com
Dentists/Dental Labs/Dental Care
## Hampton Veterinary Center
Dr. Zach Vosburg
1381 Nettle Avenue
Hampton, IA 50441
(641) 456-4744
www.hamptonvetcenter.com
Animal Care
## Hauser Financial Group
Phil Hauser
16 4th Street NE
Hampton, IA 50441
(641) 456-5255
www.hauserfinancialgroup.com
Insurance, Financial Planner
## Hickman Chiropractic
Jay Hickman
820 4th Street NE
Hampton, IA 50441
(641) 456-2280
Chiropractors
## Hospice of North Iowa
Connie Bleile
232 2nd Street SE
Mason City, IA 50401
(641) 428-6208
www.hospicenorthiowa.com
Health Care Organizations
## Iowa Specialty Hospital
Hampton Clinic
Kim Marker
700 Second St. SE
Hampton, IA 50441
(641) 812-1094
www.iowaspecialtyhospital.com
Medical Clinic
## Jaacks, Jeffrey A., L.P.A.
Jeff Jaacks
3 1st Street SW
Hampton, IA 50441
(641) 456-4125
Accountants
## PROFESSIONAL SERVICES
**Judy’s Cleaning**
Judy Mulford
114 1st Avenue NE #1
Hampton, IA 50441
(641) 373-0996
Commercial Cleaning
Housekeeping
**KIMT-TV 3**
Rick Janssen
112 N Pennsylvania Avenue
Mason City, IA 50402
(800) 323-4883
www.kimt.com
Media
**KLMJ-KQCR**
Craig Donnelly
1509 4th Street NE
Hampton, IA 50441
(641) 456-5656
www.radioonthego.com
Advertising, Media, Radio
**Koenen-Collins Chiropractic Clinic**
Dr. Chad Collins/Dr. James Koenen
303 Central Avenue E
Hampton, IA 50441
(641) 456-4142
Chiropractors
**Krukow Real Estate**
Yvonne Krukow
515 Central Avenue W
Hampton, IA 50441
(641) 456-3883
www.krukowrealestate.com
Real Estate-Commercial & Residential, Farm Real Estate
**Leahy Grove Independent & Assisted Living Facility**
Laura Hanna
800 2nd Street SE
Hampton, IA 50441
(641) 456-2701
www.abcmcorp.com
Assisted and Independent Living
**Massage By Kelsey**
Kelsey Skjefte
6 2nd Street NW
Hampton, IA 50441
(320) 841-0367
Masseuse
**Miller & Miller, P.C.**
Brian D. Miller
123 Federal Street N
Hampton, IA 50441
(641) 456-2111
www.millerandmillerpc.com
Attorneys
**Pearson, Steven E., C.P.A., P.C.**
Steven Pearson
104 Federal Street N
Hampton, IA 50441
(641) 456-4829
Accountants
**Rehabilitation Center of Hampton**
Kathy J. Meyer-Allbee
700 2nd Street SE
Hampton, IA 50441
(641) 456-4701
www.abcmcorp.com
Care Centers
**Reminder Printing Company**
Mary Doyle
125 2nd Avenue NW
Hampton, IA 50441
(641) 456-4512
Printers, Publishers, Graphics, Advertising
**Round Mound of Sound**
Mike Holm
1010 4th Street SE
Hampton, IA 50441
(641) 456-8065
DJ Services/Karaoke
**Sackville Insurance, Inc.**
Scott Sackville
7 1st Street SW
Hampton, IA 50441
(641) 456-5521
www.sackvilleinsurance.net
Insurance
**Sam’s Painting**
Sam Ellingston
114 Harriman Street
Latimer, IA 50452
(641) 812-2030
Painting Commercial/Residential
**Scheideman Financial Strategies**
Brad Scheideman
808 4th Street NE
Hampton, IA 50441
(641) 456-4106
www.scheidemanfs.com
Insurance, Investment, Counselors
**Scott’s Audio**
Scott Conlon
PO Box 556
Sheffield, IA 50475
(641) 892-4483
DJ Services/Karaoke
**Servpro of Mason City**
Keith Messenger
808 S. Monroe
Mason City, IA 50401
(641) 424-3382
www.servpromasoncity.com
Carpet/Furniture Cleaning, Fire Restoration, Mold Remediation, Water Damage Restoration
**Sietsema-Vogel Funeral Home and Monument Sales**
Greg Counsell/Greg Dombrowski
306 Central Avenue E
Hampton, IA 50441
(641) 456-3232
www.sietsemavogelfuneralhomes.com
Funeral Homes/Monuments
**Small Time Enterprises, LLC DBA Top Hat, Fireplace Cleaning Solutions**
Vincent Perry
541 6th Avenue SE
(515) 341-0527
www.northiowacleaningsolutions.com
Fireplace Cleaning
**Staley Real Estate & Farm Management**
Brad Staley
21 4th Street NE
Hampton, IA 50441
(641) 456-3607
www.staleyonline.com
Real Estate-Commercial & Residential, Certified Appraisal Services, Farm Management Consultants, Farm Real Estate, Rural Appraisals
**State Farm Insurance**
Holly Narber
5 1st Avenue NW
Hampton, IA 50441
(641) 456-2198
www.hollynarberinsurance.com
Insurance
**Styles on Third**
Nadine Goodwin
222 3rd Avenue NE
Hampton, IA 50441
(641) 456-2317
Barber/Beauty Salons, Cosmetology
**Th3 Spot**
Corey Ahrens
14 1st Street NW
Hampton, IA 50441
(641) 531-9191
Fitness Club, Recreation
**The Doug Peter Agency, Inc.**
Doug Peter
1323 Olive Avenue
Hampton, IA 50441
(641) 456-4767
www.dougpeier.com
Insurance, Investment Counselors
**United Bank & Trust Company**
John J. Trewin
400 Central Avenue E
Hampton, IA 50441
(641) 456-5587
www.ubtc.net
Banks & Banking Associations
**Wiechmann, Daniel F., Jr.**
Daniel Wiechmann
114 3rd Street NE
Hampton, IA 50441
(641) 456-4545
Attorneys
**Wood Vision Clinic**
Dr. Jarod Wood
402 12th Avenue NE
Hampton, IA 50441
(641) 456-4251
www.woodvisionclinic.com
Optometrists, Opticians & Optical Labs
## SKILLED CONSTRUCTION SERVICES, PRODUCTS AND MANUFACTURING
**Buresh Building Systems, Inc. & North Central Millwright, Inc.**
Brian Buresh
1219 Imperial Road
Hampton, IA 50441
(641) 456-5242
www.bureshbuildings.com
Grain Equipment Sales & Services
**Concrete, Inc.**
Dave Forgy
1242 Olive Avenue
Hampton, IA 50441
(641) 456-3214
Concrete, Construction Companies/General Contractors, Poured Walls
## Skilled Construction Services, Products and Manufacturing
| Company Name | Contact Person | Address | City, State, Zip Code | Phone Number | Website | Industry |
|--------------------------------------------------|----------------------|--------------------------------|-----------------------|---------------|--------------------------|-----------------------------------|
| Corn Belt Power Cooperative | Kathy Taylor | 1320 Olive Avenue | Hampton, IA 50441 | (641) 456-3591 | www.cbpower.coop | Utilities |
| EGL Enterprises Inc. dba La Snow Busters and LaRue Excavation | Eugene LaRue | 314 2nd Avenue NW | Hampton, IA 50441 | (641) 373-1062 | | Construction Companies/General Contractors |
| Franklin County Wind Farm | Jo Macal | 1584 70th Street SE | Hampton, IA 50441 | (641) 648-0155 | www.alliantenergy.com | Utility/Wind Farm |
| Franklin Rural Electric Cooperative | Becky Bradburn | 1560 Hwy 65 | Hampton, IA 50441 | (641) 456-2557 | www.franklinrec.coop | Utilities |
| Hahn Roofing, Inc. | Robert Maddox | 701 S 22nd Street | Fort Dodge, IA 50501 | (641) 456-2485 | www.hahnoroofing.com | Roofing |
| J-T Machine & Tool Company, Inc. | Jeff Spear | 602 Federal Street S | Hampton, IA 50441 | (641) 456-4513 | | Machine Shop |
| Martin Marietta Materials | Steve Sorenson | 14454 300th Street | Mason City, IA 50401 | (641) 423-9411 | | Crushed Limestone, Sand, & Gravel |
| Marvin Janssen Electric | Marvin and Betty Janssen | 1539 95th Street | Hampton, IA 50441 | (641) 456-2027 | | Electricians |
| MidAmerican Energy Company | Todd Lewis | 1300 4th Street NE | Hampton, IA 50441 | (641) 373-0796 | www.MidAmericanEnergy.com | Utilities |
| Midwest Meter, Inc./MID:COM | Rick Salvesen | 1605 170th Street | Hampton, IA 50441 | (641) 456-5205 | www.midwestmeter.com | Manufacturing |
| Miller Concrete, Inc. | Doug Miller | 1690 Raven Avenue | Hampton, IA 50441 | (641) 456-2228 | | Concrete |
| Mort’s Incorporated | Crystal Morton | 1451A Gull Avenue | Latimer, IA 50452 | (641) 866-6866 | www.mortsinc.com | Backhoe/Trenching, Plumbing, Sewer & Drain Cleaning |
| Mort’s Water Company | Mike Goodwin | 1410 Gull Avenue | Latimer, IA 50452 | (641) 579-6500 | www.mortsonline.com | Backhoe/Trenching, Plumbing, Sewer & Drain Cleaning |
| Murphy’s Heating and Plumbing, Inc. | Keegan Murphy | 1207 Central Avenue E | Hampton, IA 50441 | (641) 456-2372 | www.murphysheating.com | Heating, Air Conditioning, Plumbing |
| Omnium-Winfield Solutions | Phil Johnson | 1280 Imperial Road | Hampton, IA 50441 | (641) 456-2500 | www.winfieldsolutionsllc.com | Manufacturing |
| Point Builders North, Inc. | Scott Arends | 202 1st Street SE, Ste 204 | Mason City, IA 50401 | (641) 424-4470 | www.pointbuildersnorth.com | Construction Companies/General Contractors, Roofing |
| Pralle’s Machine & Welding | Todd Pralle | 417 1st Street | Coulter, IA 50431 | (641) 866-6889 | | Welding/Sheet Metal |
| Reliable 1 Heating/AC/Plumbing | Jenny Rabe | 7 2nd Avenue NE | Hampton, IA 50441 | (641) 456-2651 | www.reliable1iowa.com | Heating, Air Conditioning, Plumbing, Duct Cleaning, Gas Fireplaces, Plumbing |
| Seabee, a Ligon Company | Laura Hovenga | 712 1st Street NW | Hampton, IA 50441 | (641) 456-4871 | www.seabeecylinders.com | Manufacturing |
| Sukup Manufacturing Company | Charles Sukup | 1555 255th Street | Sheffield, IA 50475 | (641) 892-4222 | www.sukup.com | Agriculture Manufacturing |
| Swieter Salvage | Dennis Swieter | 1540 95th Street | Hampton, IA 50441 | (641) 751-5346 | | Manufacturing |
| T.I.G.O. Trading, LLC | Scott Henze | 1268 Imperial Road | Hampton, IA 50441 | (319) 961-0080 | | |
| Whispering Willow Wind Farm | Tony Vaughn | 1584 70th Street | Iowa Falls, IA 50126 | (641) 648-0152 | | Utility/Wind Farm |
| Wurth DMB Supply, Inc. | Dave Vetter | 1255 Imperial Road | Hampton, IA 50441 | (641) 456-1935 | www.dmbolt.coop | Warehouse & Distribution |
## Organizations, Churches and Government
| Company Name | Contact Person | Address | City, State, Zip Code | Phone Number | Website | Industry |
|--------------------------------------------------|----------------------|--------------------------------|-----------------------|---------------|--------------------------|-----------------------------------|
| Access, Inc. | Mark Whipple | 20 5th Street NW | Hampton, IA 50441-0268| (641) 456-2532| | Organizations |
| American Legion | Jim Zacharias | 218 Clock Street | Geneva, IA 50633 | (641) 430-2975 | | Organizations |
| Bridge of Hope North Central Iowa | Janella Kolthoff | 420 1st Avenue NE | Hampton, IA 50441 | (641) 456-8644 | www.NorthCentrallowa. bridgeofhopeinc.org | Organizations |
| CAL Community Schools | Todd Lettow | 1441 Gull Avenue | Latimer, IA 50452 | (641) 579-6086 | www.cal.k12.ia.us | Education |
| Church of Christ | | 420 4th Street SE | Hampton, IA 50441 | (641) 456-2268 | | Churches |
| Church of the Living Word | Pastor Dan Varns | 420 1st Avenue NE | Hampton, IA 50441 | (641) 456-8175 | www.clwhampton.org | Churches |
## ORGANIZATIONS, CHURCHES AND GOVERNMENT
### City of Coulter/Coulter Betterment
LaDonna Jorges
112 Main Street
Coulter, IA 50452
(641) 866-6942
Government
### City of Hampton
Ron Dunt
122 1st Avenue NW
Hampton, IA 50441
(641) 456-4853
www.hamptonia.us
Government
### Community & Family Resources
Shelly Zabel
500 Fair Meadow Drive
Webster City, IA 50595
(515) 832-5432 ext. 1404
www.cfrhelps.org
Organizations
### Compassion Flights
Doug & Robyn Pralle
1274 Olive Avenue, Suite B
Hampton, IA 50441
(641) 430-9710
Organizations
### Crisis Intervention Service
Andrea DeGroote
420 4th Street SE
Hampton, IA 50441
(641) 812-0418
www.cisihelps.org
Organizations
### Faith Baptist Church
Pastor David Koenigsberg
1701 Central Avenue E
Hampton, IA 50441
(641) 456-4887
www.faith-hampton.com/wp/
Churches
### First Congregational United Church of Christ
Pastor Linzy Collins
22 1st Avenue SW
Hampton, IA 50441
(641) 456-2192
www.ucc.org
Churches
### Franklin County Arts Council
Moli Gerken
4 5th Avenue NW
Hampton, IA 50441
(641) 425-0959
Organizations
### Franklin County Cattlemen
Mark DeVries
1993 Mallard Avenue
Sheffield, IA 50475
(641) 425-2150
Organizations
### Franklin County Conservation
Ned Parker
1002 Central Avenue W
Hampton, IA 50441
(641) 456-4375
www.franklincountyconservation.org
Organizations
### Franklin County Extension
Michelle Sackville
3 1st Avenue NW
Hampton, IA 50441
(641) 456-4811
www.extension.iastate.edu/franklin
Organizations
### Franklin County Fair Association
Barb Muilenburg
1008 Central Avenue W
Hampton, IA 50441
(641) 456-2049
www.franklincountyfair.com
Organizations
### Franklin County Family Focus
Joy Anderson
1600 Central Avenue East
Hampton, IA 50441
(641) 330-2741
Organizations
### Franklin County Farm Bureau Federation
Anna Dunnwald
1323 Olive Avenue
Hampton, IA 50441
(641) 456-4767
www.iowafarmbureau.com
Organizations
### Franklin County Historical Society
Darwin Meyer
Franklin County Fairgrounds
Hampton, IA 50441
(641) 456-5777
Organizations
### Franklin County Pistol & Rifle Club
Keith Kothenbeutel
(641) 456-3557
Organizations
### Friends of Beeds Lake
Dave Heyden
1456 Beeds Lake Drive
Hampton, IA 50441
(641) 456-2473
www.friendsofbeedslake.com
Community Services/Clubs
### Geneva Community Betterment
Tonya Sanders
318 South Street
Geneva, IA 50633
(515) 574-9572
Organizations
### Greater Franklin County Chamber of Commerce
Newton Grotzinger
5 1st Street SW
Hampton, IA 50441
(641) 456-5668
www.hamptoniowa.org
Organizations
### Hampton-Dumont Boy Scouts
Sean Johnson
15 6th Street NE
(641) 430-6723
Organizations, Community Services/Clubs
### Hampton Lions Club
Craig Semler
1421 Beeds Lake Drive
Hampton, IA 50441
(641) 425-1909
www.iowlions.org/hampton
Organizations, Community Services/Clubs
### Hampton Public Library
Kim Manning
4 Federal Street S
Hampton, IA 50441
(641) 456-4451
www.hampton.lib.ia.us
Libraries
### Hampton Rotary Club
Becky Bradburn
PO Box 55
Hampton, IA 50441
(641) 456-2557
www.rotary.org
Organizations, Community Services/Clubs
### Hampton Senior Citizen Center
Eileen Holm
23 1st Street SW
Hampton, IA 50441
(641) 456-5191
Organizations
### Hampton-Dumont Community Schools
Todd Lettow
601 12th Avenue NE
Hampton, IA 50441
(641) 456-2175
www.hdcsd.org
Education, Schools, Colleges & Education
### Hampton-Dumont Education Association
Sarah Baird
917 3rd Street NW
Hampton, IA 50441
(641) 456-2261
Organizations
### Harriman-Nielsen Historic Farm
Berry Johnson
23 NW 10th Street
Hampton, IA 50441
Organizations
### Healthy Harvest of North Iowa
Jan Libbey
1465 120th Street
Canawha, IA 50447
(515) 851-1690
www.northiowafood.org
Organizations
### Iowa River Riders Snowmobile Club
Karen McVicker
PO Box 56
Coulter, IA 50431
(641) 456-3916
www.iowariverriders.com
Snowmobile Club
### Kiwanis Club of Hampton
Kent Mollenbeck
PO Box 331
Hampton, IA 50441
(641) 456-4793
www.kiwanis.org
Organizations, Services/Clubs
### Knights of Columbus
Jim Davies
1405 Federal Street N
Hampton, IA 50441
(641) 425-5100
Organizations
## ORGANIZATIONS, CHURCHES AND GOVERNMENT
| Organization | Contact Person | Address | Phone | Website | Category |
|---------------------------------------------------|----------------------|----------------------------------------------|----------------|-------------------------------|-----------------------------------------------|
| La Luz Hispana | Claudia Rivera | 116 First Avenue NW | (641) 812-1090 | www.laluzhispana.org | Education |
| NIVC Services | Hope Polk | 123 1st Avenue SW | (641) 210-8290 | www.nivcservices.org | Organizations |
| North Central Iowa Model Railroad Club | Ken Meyer | 1749 200th Street | (641) 456-3772 | | Organizations |
| North Iowa Area Community College, NIACC | Terry Schumaker | 500 College Drive | (641) 422-4358 | www.niacc.edu | Education, Schools, Colleges & Education |
| North Iowa Youth for Christ – Franklin County | Darwin Van Horn | 420 4th Street NE | (641) 456-2250 | www.niyfc.net | Education, Community Services/Clubs |
| Prairie Ridge Addiction Treatment Services | | 32 North Eisenhower Avenue | (641) 456-8268 | www.prairieridge.net | Organizations |
| St. John’s Lutheran Church | Beth Eddy | 1207 Indigo Avenue | (641) 866-6738 | | Churches |
| St. Patrick’s Catholic Church | Father Kevin Earlywine | 1405 Federal Street N | (641) 456-4857 | www.franklinhardincatholic.org | Churches |
| St. Paul Lutheran Church | Pastor Dan Hanson | 17 2nd Street NE | (641) 456-3276 | | Churches |
| Trinity Lutheran Church | Rev. Karl C. Bollhagen | 16 12th Avenue NE | (641) 456-4816 | www.trinityhampton.com | Churches |
| United Methodist Church | Pastor Michael Adedokun | 100 Central Avenue E | (641) 456-4238 | www.umc-hampton.org | Churches |
| United Way of North Central Iowa | Jennifer Arends | 2911 4th Street SE | (641) 423-1774 | www.unitedwaynci.org | Organizations, Community Services/Clubs |
| West Fork Community School District | Darrin Strike | 504 Park Street | (641) 892-4160 | www.westforkschool.org | Education |
| Zion Reformed Church | | 2029 Jonquil Avenue | (641) 579-6186 | www.zionreformed.com | Churches |
## GREATER FRANKLIN COUNTY CHAMBER BOARD 2019
| Name | Business | Phone |
|-----------------------------|-----------------------------------------------|----------------|
| Megan Abbas – President | Rehabilitation Center of Hampton | work: 641.456.4701 |
| Karen Isley – Vice President| First Security Bank & Trust | work: 641.257.1343 |
| Sue Followwill – Past President | KLMJ/KOCR | work: 641.456.5656 |
| Newton Grotzinger – Executive Director | Greater Franklin County Chamber | work: 641.456.5668 |
| Kent Mollenbeck – Treasurer | First Bank Hampton | work: 641.456.4793 |
| Mayra Cano | Cano’s Golden Shears | work: 641.231.1280 |
| Soren Heilskov | Edward Jones | work: 641.456.4946 |
| Frankie Aliu | Seven Stars/Staley Real Estate | work: 641.456.3607 |
| Jo Macal | Franklin County Wind Farm/Alliant Energy | work: 641.648.0155 |
| Ronda Reimer | Franklin General Hospital | work: 641.456.5006 |
| Jalen Uhlenhopp | First Bank Hampton | work: 641.456.4793 |
| Claudia Rivera | La Luz Hispana | work: 641.812.1090 |
| Greg Emery | Hardee’s Restaurants | work: 641.456.3312 |
| Greg Forbes | Hampton Chronicle | work: 641.456.2585, Ext: 131 |
| Jim Davies – City Representative | Franklin Wellness Center | cell: 641.456.2266 |
FRANKLIN COUNTY
BUILDING BUSINESS/CULTIVATING OPPORTUNITY
Business
Unleash your potential with a Franklin County location for your business. Across the county we can point to success experienced by humble start-ups to nationally recognized corporations. From Sukup Manufacturing to Global Ag Inc. to Land O’Lakes - all have chosen Franklin County as the place to be.
What makes us special? Attitude and location.
Franklin County has a positive attitude about supporting business projects and we back that with professional technical assistance, incentives and financing. We build buildings and tame the ground so others can build. We take the attitude that to succeed you must be proactive so we three industrial parks in the county and three occupied spec buildings with a fourth looking for an occupant.
We have successfully recruited new companies and encouraged existing business expansion which has resulted in well over $100 million in investment over the past few years. Success like that is unheard of in communities our size but stands as a testament to the value of having a positive, pro-active attitude toward business.
Location is another reason why companies succeed in Franklin County. Product can get anywhere from here. Being in the middle of the country we are within a day’s drive to a market of roughly 89 million people. Location involves transportation and with assets such as I-35 and our farm to market grid we ensure product can go anywhere.
LATIMER SET TO WELCOME DRY ICE PLANT
Rural Latimer will soon be home to a major producer of dry ice.
West Des Moines-based Burtek Dry Ice late in 2018 announced intentions to open a facility in the former Hutchinson/Mayrath building in the Latimer Business Park.
Owner Mike Kentfield said Latimer was the perfect location for the plant because of its proximity to the new Prestage Farms location in Eagle Grove and the opportunity to expand the business north and east with its location off Interstate 35.
The Latimer facility will include production and shipping. The facility will produce three forms of dry ice – rice, pellet and block.
Eventually, Burtek will add a block press to the Latimer location which will help cut customized blocks for customers.
Burtek plans to initially have three to four new positions at the new facility but Kentfield said more jobs may be available as Prestage Farms’ demand for dry ice increases.
Kentfield said the Latimer location will be the perfect place to allow the business to not only continue its mission, but grow as well.
“The Latimer and the people at Franklin County have been unbelievable to work with,” he said. “We look forward to serving that community.”
Life
Attitude and location play a part in why Franklin County is better for life. There’s nothing quite like rural living. Tucked into the beautiful, peaceful countryside of the central Midwest, people living in Franklin County enjoy the benefits of affordable living and the fun stuff expected in today’s world like high speed internet and espresso. You can walk safely to just about anywhere and the opportunities to have fun are endless. It’s a result of a community-family attitude.
INDUSTRIES AT THE HAMPTON INDUSTRIAL PARK NOW HAVE ACCESS TO FIBER-OPTIC INTERNET
Installation of the fiber-optic service was completed early in 2018 and now allows businesses at the park the chance to have high-speed internet. Rockwell Cooperative Telephone Association provided the internet.
Karen Mitchell, Franklin County Development Association Director, said the journey to get fiber-optic internet installed at the industrial park began last year when business owners reached out to the FCDA to inquire about having a more reliable internet service at the park. Owners expressed frustration with slow and inadequate service.
Todd Hall and Richard Martin, co-owners of Global Fabrication and Global Ag, were early advocates for the service. Martin said Global Ag regularly uses the internet to send quotes, correspondence and approval drawings back and forth with customers across the country. He said the new high-speed internet is a “game changer”, as the previous service was not fast enough to connect with customers.
Aside from providing an immediate boost to existing businesses at the industrial park, the fiber internet is also an incentive to attract new businesses looking to expand or relocate.
BUSINESSES AND INDUSTRIES TO KNOW
• ABCM Corp., Hampton, is the parent company for 28 assisted living, rehabilitation and nursing care facilities in Iowa. It is named for its founders.
• Buresh Buildings and North Central Millwright, Hampton, offers steel building construction.
• Global Ag, Inc. - Millwright and fabrication for agriculture.
• Hampton Hydraulics/SeaBee Corp., Ligon Industries, Hampton, makes highly engineered cylinders for such uses as construction and oil drilling.
• Iowa Specialty Hospital, of Belmond and Clarion opened its newest clinic in Hampton in 2013. Offering specialized care in Family Medicine, OB/GYN and Orthopedics.
• Kum & Go Convenience Stores, Hampton, helped build the convenience store model.
• Latham Hi-Tech Seeds, Alexander, offers corn, soybeans and alfalfa across seven states.
• Midwest Meter Inc./MID:COM, manufacturer and distributor of meters, pumps and accessories.
• Omnium and Land O’Lakes, engaged in sophisticated chemistry for crops.
• Sukup Manufacturing, Sheffield, sells grain drying and handling equipment all over the world.
SCHOOLS
We have four public school districts: Hampton-Dumont, CAL Community, West Fork Schools and the AGWSR School District; St. Paul’s Parochial School. Hampton-Dumont is the second-largest employer in Franklin County, after Sukup.
The Hampton-Dumont, CAL and West Fork school districts are part of the taxing district for North Iowa Area Community College, in Mason City.
AGWSR, which includes Ackley and Geneva, is part of the taxing district for Iowa Valley Community College, the parent organization of Ellsworth Community College in Iowa Falls.
HISTORICAL SITES
The most famous historical site is the Franklin County Courthouse.
COUNTY GOVERNMENT
Franklin County has three county supervisors. Their names are Gary McVicker, Mike Nolte and Corey Eberling. See the government listing in this guide, or visit www.co.franklin.ia.us.
HARRIMAN-NIELSEN FESTIVAL
Located directly north of the Franklin County Fairgrounds, the Harriman-Nielsen Historic Farm contains the fascinating history of a pioneer doctor, an early blacksmith, and an immigrant Danish farm family.
The farm, consisting of twenty acres of land, a house built in 1881 and the original dairy barn were given to the Franklin County Historical Society by Nielsine Nielsen, the last surviving daughter of the Danish farm family. The house is listed on the National Register for Historic Places.
The Franklin County Historical Society established a Board of Directors to oversee the renovation of the historic farm. Hundreds of hours have already been donated to the renovation process and have given the old farmstead a remarkable facelift. The dairy barn has been restored, work on the house continues, renovation of the outbuildings has begun, corn will be planted in the field and the garden produces a bountiful harvest each year.
There are events held at the farm each year that showcase the history of the property. The house is open for tours. The first Sunday in October brings the Fall Festival. The festival features a pumpkin patch, music, bean soup made from beans grown in the garden and much, much more. The renovated barn is available for rental.
Stop by the farm and view a part of Hampton’s history.
Contact the Franklin County Historical Museum to arrange a tour at 641-456-5777. ■
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IOWA STATE UNIVERSITY
Extension and Outreach
In Franklin County,
we are...
BUILDING A #STRONGIOWA
• Feeding people
• Keeping them healthy
• Helping our community to prosper and thrive
• Turning the world over to the next generation in better shape than we found it
Iowa State University Extension and Outreach does not discriminate on the basis of age, disability, ethnicity, gender identity, genetic information, marital status, national origin, pregnancy, race, religion, sex, sexual orientation, socioeconomic status, or status as a U.S. veteran. Direct inquiries to Ross Wilburn, 515-294-1482, firstname.lastname@example.org; EQADV.16.04JE Nov. 2016
JOIN US WWW.EXTENSION.IASTATE.EDU/FRANKLIN
The 2019 Franklin County Fair kicks off Wednesday, July 17 with a grandstand favorite.
The Franklin County Fair Grandstand lineup kicks on Wednesday, July 17 with the rodeo presented by Heuer Rodeo Company LLC. Spectators may remember Heuer Rodeo’s show from the Buckin in the Barn rodeo series last winter.
Thursday, July 18 contains an unknown surprise.
Thursday’s grandstand act has not been announced but is expected to be unveiled in May. Fair officials say that the announcement will be well worth the wait.
Friday, July 19 will be a blast from the past with Dennis DeYoung. Dennis DeYoung, a founding member of 70s and 80s rock juggernaut Styx, will grace the stage of the Franklin County Fairgrounds Grandstand. Dennis DeYoung and the Music of Styx promises to bring the audience a catalogue of Top 10 hits such as “Lady,” “Babe,” “Come Sail Away,” “Too Much Time On My Hands,” “Best of Times” and “Mr. Roboto,” as well as classic rock anthems such as “Renegade,” “Blue Collar Man,” “Suite Madame Blue” and “Rockin’ the Paradise.”
DeYoung will bring his iconic voice for an evening fairgoers won’t soon forget.
Familiar tunes with a familial twist take the stage on Saturday, July 20.
Ben and Noel Haggard, sons of legendary singer/songwriter Merle Haggard, will team up to bring concert goers an evening of their father’s famous tunes.
Ben has made a name for himself in the country music scene, contributing to recordings of his father and appearances on stage with Blake Shelton, Vince Gill, Keith Urban and Toby Keith. He also provided versions of “Mama Tried” and “Sing Me Back Home” for “Working Man’s Poet: A Tribute to Merle Haggard” alongside songs recorded by Toby Keith, Jason Aldean, Jake Owen, Luke Bryan and Dierks Bentley.
Saturday night’s entertainment kicks off with double platinum American country group BlackHawk. With over 7 million albums sold and a catalogue of 1990s radio hits, BlackHawk is sure to set the tone for the night. The audience will likely recognize “Goodbye Says It All,” “Every Once in a While,” “I Sure Can Smell the Rain,” “Down in Flames,” and “That’s Just About Right” – all from the double-platinum debut self-titled album.
The fair winds down Sunday, July 21, but not quietly, with figure eight races.
Gunderson Racing will present the always popular races to round out the 2019 Franklin County Fair.
Tickets can be purchased at www.franklincountyfair or by calling the fair office at 641-456-2049.
Find Your Fun in Franklin County
The Greater Franklin County Chamber of Commerce/Main Street and Franklin County Tourism have plans to keep you entertained and having fun in Franklin County this year!
If you love live music while sitting outdoors, you will want to attend Tuesdays on the Town every Tuesday in June in Band Shell Park! This event takes you back to the day when families would come downtown for their entertainment and spend time together.
The Chamber along with KLMJ Radio invites a Nashville Recording artist each Tuesday to perform live on the Band Shell Park stage. The performance is then followed by the Hampton Municipal Band playing at 8 p.m. You will find food, vendors and that old fashioned laid back feel right in your own backyard.
June also features a Bluegrass Festival, the 6 through 8.
July kicks off with Dumont Sand Baggin’ Day on the 12 and 13, and the Franklin County Fair, the 17 through the 21. The fair promises good music and a great time.
The Beeds Lake Restoration Run kicks off Aug. 24 and promises to be a great time.
In August, Hampton comes together for a town festival called Summerfest in Band Shell Park. On Aug. 24, there will be food vendors and kids’ activities in the park. On Saturday, Aug. 24, the park will take you back to the 1950’s and 60’s. There will be classic cars lined up for the Summerfest Car Show with LIVE entertainment by the ever so famous 50’s and 60’s cover band, the Whitesidewalls Rock ‘n’ Roll Revue. Food and product vendors will fill the park along with games and inflatables for the kids.
The Highway 3 Corridor Yard sale will be Aug. 29 thru 31.
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Butler, Franklin and Wright County will host yard sales along and around Highway 3. This event gets bigger and more popular each year!
The Fall Specialty Shops’ Open Houses are Sept. 5-8. Geneva Market Days on the 20 and 21.
October brings the Harriman-Nielsen Historic Farm Fall Festival and Halloween Howl trick-or-treat event, downtown.
“An Evening Like It Used To Be” is a live vaudeville show at the Windsor Theatre.
Holly Dazzle season is in November and December. During Holly Dazzle season we have several Santa sightings, free movies for the kids, Santa’s Secret Workshop and our famous Friday Uncorked!
Friday Uncorked (formerly called Wine Walk) will take place on Black Friday, Nov. 29. This event sells out each year, so get your tickets early at Center 1. Sample and shop wines from different locations in Hampton! Many people have made this event a tradition and we love to see the familiar faces as well as the new! Come sample and shop in our quaint little town, Hampton.
Visits with Santa are held around greater Franklin County in December, from the Hampton and Dumont libraries to the Latimer Fire Station and Coulter Community Center. Sometimes the events include Christmas gifts. Always, there is food. Photo opportunities for Christmas cards abound.
Join the Chamber in December with the $10,000 raffle, a Main Street fundraiser.
APRIL
9 Puppet Play at the Hampton Public Library, 6:30-7:30 p.m.
27 Daddy/Daughter Dance at the Franklin Co. Convention Center, 6 p.m.
ENTERTAINMENT
MAY
Tuesdays and Fridays Farmers Market, 5-7 p.m.
3-4 Geneva Market Days, Geneva Auditorium.
6 Old Time Country Hoe Down at the Windsor Theatre, 6-9 p.m.
27 Memorial Day.
JUNE
Tuesdays and Fridays Farmers Market, 5-7 p.m.
1 Gran Festival of North Iowa at the Band Shell Park, noon-10 p.m.
3 Old Time Country Hoe Down at the Windsor Theatre, 6-9 p.m.
4, 11, 18, 25 Tuesday on the Town, all evening, downtown Hampton.
7 Greater Franklin County Chamber of Commerce’s Quarterly Coffee.
6 Comedian/Musician Babaloo at the Hampton Public Library
6-8 Bluegrass Festival, Franklin County Fairgrounds, Hampton
23-24 Franklin County Arts Council Summer Drama Production
JULY
Tuesdays and Fridays Farmers Market, 5-7 p.m.
1 Old Time Country Hoe Down at the Windsor Theatre, 6-9 p.m.
3 Independence Day Celebration, Fireworks at 9 p.m.
12-13 Dumont Sand Baggin’ Day (Butler County)
JULY, cont.
16 Franklin County Fair Parade, from Hampton-Dumont High School through downtown Hampton.
17-21 Franklin County Fair, fairgrounds on south side of Hwy. 3, west side of Hampton.
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SHEFFIELD OFFICE
113 Gilman
641-892-4791
Residential • Commercial
New Construction • Remodel
Heating • Plumbing • Air Conditioning
“Financing Available”
email: firstname.lastname@example.org
Dave Lennox
PREMIER DEALER
LENNOX®
AUGUST
Tuesdays and Fridays Farmers Market, 5-7 p.m.
5 Old Time Country Hoe Down at the Windsor Theatre, 6-9 p.m.
TBD Greater Franklin County Chamber Golf Open, Hampton Country Club.
24 Summerfest and Car Show, Band Shell Park.
25 People in the Park, Sheffield.
25 Beeds Lake Restoration Run, Hampton.
Aug. 29-31 Highway 3 Corridor Yard Sale.
NAIL IT!
Master Your “To-Do” List:
• Lumber & Building
• Shingles • Decking • Steel
• Siding • Flooring • Cabinets
• Counter Tops • Paint
• Paint Supplies • & More!
801 4th St. SE Hampton | (641) 456-4711
M-F 7:30 am—5 pm | Sat. 8-12
Big or Small... We Do It All!
Need an ATM?
Drive-up to ours!
Available 24/7 in our drive-up lane.
First Citizens Bank
119 North Akir St • Latimer, IA 50452
641-579-6240 • Member FDIC
WWW.HAMPTONIOWA.ORG
**ENTERTAINMENT**
**SEPTEMBER**
- **Tuesdays and Fridays** Farmers Market, 5-7 p.m.
- **2** Labor Day.
- **5-8** Specialty Shops Fall Open Houses, Downtown Hampton.
- **6** Greater Franklin County Chamber of Commerce’s Quarterly Coffee.
- **9** Old Time Country Hoe Down at the Windsor Theatre, 6-9 p.m.
- **20-21** Geneva Market Days, Geneva Auditorium.
**OCTOBER**
- **Tuesdays and Fridays** Farmers Market, 5-7 p.m.
- **7** Old Time Country Hoe Down at the Windsor Theatre, 6-9 p.m.
- **6** “An Evening Like It Used To Be,” Vaudeville Show and Silent Movie at the Windsor Theatre, Hampton.
- **6** Harriman-Nielsen Fall Festival, at historic farm of same name.
- **26** Halloween Howl, downtown Hampton.
**NOVEMBER**
- **4** Old Time Country Hoe Down at the Windsor Theatre, 6-9 p.m.
- **7-10** Specialty Shop Holiday Open Houses, Downtown Hampton.
- **11** Veterans Day.
- **28** Thanksgiving Day.
- **29** Friday Uncorked and Lighting of the Courthouse, Hampton.
**DECEMBER**
- **2** Old Time Country Hoe Down at the Windsor Theatre, 6-9 p.m.
- **6** Greater Franklin County Chamber of Commerce’s Quarterly Coffee.
- **13** Bank Open Houses (tentative date)
- **TBD** Franklin Chorale Christmas Concert, Hampton.
- **8 & 9** Franklin County Arts Council Winter drama production.
- **19** $10,000 Raffle, Hampton, 5:30 p.m.
- **20** Sharing the Warmth, Band Shell Park, Hampton.
- **20** Ugly Sweater Day, School and Local Businesses, Hampton.
Stay current with all of our community events at www.hamptoniowa.org.
Franklin County offers plenty of historical sites for visiting history buffs. Most of the sites are open by appointment, but several have regular hours. Call ahead to discover some treasures sure to make you learn, smile and remember.
**Franklin County Historical Museum, Hampton:** Located at the county fairgrounds along Iowa Highway 3 on the western edge of Hampton, the museum features outstanding exhibits and memorabilia from Franklin County businesses and displays like “The Depression Era,” “Victorian Secrets” and a crazy quilt circa 1880. The military display room includes photos, uniforms and other military artifacts from the Civil War until the present.
One of the museum’s most prized exhibits features native son and war hero Admiral William D. Leahy. The Hampton native was the first Five Star Military Commander in U.S. history, and also served as chief of staff for President Franklin D. Roosevelt and President Harry S. Truman. A model replica of the USS Leahy was brought to the museum in October 2013 and is now on a permanent lease from the U.S. Navy. The exhibit also features several items like Leahy’s White House desk, his uniform, and a Four-Star Commander flag.
Other Hamptonites featured in the museum include:
- C. Glenn Haney, who owned the oldest retail business in Franklin County, Haney Jewelry.
- Milton S. Wirtz, DDS, of Latimer, invented the plastic prosthetic eye during World War II when glass eyes made from German sand were embargoed.
- The Coonley family, from which James E. Coonley, Sr., successfully prosecuted the nation’s first drunk driving case using blood-alcohol content evidence in 1937.
- Jack Bailey III, who hosted the TV show Queen for a Day.
- Bob Artley, nationally published author, illustrator and syndicated political (and apolitical) cartoonist, World War II veteran, Grinnell College alumnus, and author of the book “Ginny: A Love Remembered,” written about his wife.
**The Rock Island Depot,** also at the museum complex, dates back to the turn of the 20th Century. It was restored for use as an exhibit hall specializing in railroad history. The depot features a working order board and signals, telegraph, and a 40-year-old caboose gifted to the museum in the 2000s by a Waterloo businessman.
The museum, depot and caboose are open for summer tours and during the Franklin County Fair, July 19-23, 2017. Hours from Jan. 15 to Nov. 15 are 1-4 p.m. Monday through Friday and by appointment. Private tours can be scheduled by calling 641-456-5777. Free admission.
**Franklin County Courthouse, Hampton:** The most photographed and visible structure in Franklin County is the courthouse located in downtown Hampton. Built in the early 1890s at a prices of $60,000, it is “a building of harmonious proportions, pleasing architectural lines and substantial construction.” It is 72 by 102 feet and reaches 133 feet to the top of the dome, which includes a clock on each side and a chime. The building is on the National Register of Historic Places and was restored in 1970. The courthouse is open for business from 8 a.m.-4 p.m., Monday through Friday. Call 641-456-5622 to schedule a tour.
**Memorial Hall, Hampton:** It is the only “Soldiers Memorial Hall” in Iowa and listed on the National Register of Historic Places. It was built in 1890 after the Iowa General Assembly authorized counties to establish a tax to build monuments that honored deceased county Civil War veterans. The soldier standing sentinel over the building was refurbished in 1992, and the one-of-a-kind marble tablets inside the building bear the names of war veterans. Schedule a tour by calling 641-456-5670 or 641-456-5620.
**Old Stone House, rural Geneva:** The 1854 house was the first permanent structure in Franklin County and still stands to this day. It consists of seven rooms, including two bedrooms on the second floor, a full basement and a pantry off the kitchen. The structure was built with limestone from the banks of nearby Maynes Creek and was inhabited until 1956. It was converted into a pioneer museum in June 1985. The exterior was repaired in 2009. Schedule a tour by calling 641-456-5777.
**Maysville Schoolhouse, rural Hampton:** The town of Maysville was settled in 1856. It grew to 150 people and featured a post office, hotel, two blacksmith shops, two stores, a steam saw mill and a school. Maysville citizens dreamed of making their town the county seat, but the railroad went through Hampton instead. The town was dead by 1890.
All that remains today is the two-story limestone schoolhouse built in 1867. Situated on a crest of a hill and visible from U.S. Highway 65 about five miles south of Hampton on 95th Street, the school has survived a full century after the town’s demise. It housed many events and organization through the years, and until recently served as the official voting place for Reeve Township. Schedule a tour by calling 641-456-5777.
**REA Power Plant Museum, rural Hampton:** Located four miles south of the Franklin County Fairgrounds and 1½ miles west on gravel roads, the Corn Belt Power REA plant was the first farmer-owned power plant in the nation to receive an REA grant and only the second in the nation to go on line in the 1930s. The plant was given to the Franklin County Historical Society and has been turned into a rural and electrical museum. 2013 marked the 75th anniversary of the plant going on line. It is listed on the National Register of Historic Places.
For more information or a tour, call Marvin O. Rodemeyer at 641-456-3477 or Franklin County Historical Museum at 641-456-5777.
DOWS
Dows Depot/Iowa Welcome Center, Blacksmith Shop & Mercantile, Dows: More than 7,500 people visit the Dows Depot Welcome Center each year to view railroad memorabilia and other historical items from the town.
Located about two miles from the interstate, the historical society installed a sequence of Burma Shave-type signs along the way to let drivers know they were still headed in the right direction.
Stephen Dows brought the railroad from Holland through the town of Otisville to Clarion in 1880. Otisville was renamed in Dows’ honor. The depot was built in 1896 after more lines connected to the town and was operated until 1980.
The Dows Historical Society bought the depot 1987. More than 120 volunteers worked on the restoration, and the group received a state matching grant to help open the building as an official State of Iowa Welcome Center.
The Dows Mercantile housed general stores, a hardware store, hairdressers, a veterinarian and apartments over the years. It opened in 1989 after the historical society purchased it and now features an antique mall, folk art, crafts and fine art from Iowa artists and manufacturers. The Crème de la Crème ice cream parlor also serves sandwiches, soups and coffee.
The Blacksmith Shop was willed to the historical society in 1990. Until that time, it was owned and operated by Fred Quasdorf.
The Quasdorf Blacksmith and Wagon Museum is said to be one of the best-equipped blacksmith shops in the Midwest.
The Evans Little Prairie House was donated in 2005, when the descendants of Mr. and Mrs. Ingebret Evans chose to move it off the homestead it occupied rather than demolish it.
As many as 10 Evans children, plus the parents, lived in the house at any one time. It has modest furnishings: a bed, a rocker made by Ingebret Evans and a stove. Displays describe the history of the house and the process of moving it off the homestead.
Hours: The welcome center’s operating hours are 9 a.m.-5 p.m., Monday through Saturday, and from noon-5 p.m., on Sunday. For a tour of any of the buildings run by the Dows Historical Society, call 515-852-3595.
Dows Country School: The Vernon Township Country Schoolhouse was built in 1887 in Wright County. (Dows sits on the line between Wright and Franklin counties.) The Dows Historical Society and the Dows Community moved the building from its original site and placed it on a permanent foundation near the Welcome Center and Mercantile. It was restored inside and out and is furnished with original desks, blackboards, and books. The grounds are planted with native trees and shrubs.
The school is open for tours by calling 515-852-3595.
For more information on Franklin County tourism sites, contact Center 1 in Hampton at 641-456-5668 during regular business hours.
When it is happening, we will be there!
Your stations on the go are
KLMJ & KQCR
RADIO On The Go
We’ve got you covered when you’re on the go!
Follow Us on:
KLMJ FM 104.9 HAMPTON
KQCR 98.9 FM Parkersburg
160th FRANKLIN COUNTY FAIR
JULY 17-21, 2019
FREE SHOWS AND ATTRACTIONS:
SCOTT’S MAGIC SHOW
LIVESTOCK SHOWS
HORSE AND TRACTOR PULL
PAGEANT CONTEST
TALENT AND PEDAL PULL CONTEST
FARM CHORE RELAYS AND AG LEARNING
COMMERCIAL AND OPEN CLASS EXHIBITS
MUCH MORE
WEDNESDAY, JULY 17
Rodeo Night with Heuer Rodeo Co, LLC
THURSDAY, JULY 18
Modern Chart Topping Country Artists TBA
FRIDAY, JULY 19
An evening with DENNIS DEYOUNG AND THE MUSIC OF STYX
SATURDAY, JULY 20
Ben and Noel Haggard
BlackHawk
SUNDAY, JULY 21
Gunderson Racing in partnership with Franklin County Fairboard: Figure 8 & Cruise Car
LIKE US ON FACEBOOK
FREE GATE & PARKING
PURCHASE TICKETS ONLINE AT WWW.FRANKLINCOUNTYFAIR.COM OR CALL THE FAIR OFFICE 641-456-2049 |
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